[Federal Register Volume 88, Number 31 (Wednesday, February 15, 2023)]
[Notices]
[Pages 9930-9934]
[FR Doc No: 2023-03166]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-96868; File No. SR-NYSENAT-2023-06]

Self-Regulatory Organizations; NYSE National, Inc.; Notice of
Filing and Immediate Effectiveness of Proposed Rule Change Extending
the Expiration Date of the Temporary Amendments to Rules 10.9261 and
10.9830

February 9, 2023.
    Pursuant to Section 19(b)(1) \1\ of the Securities Exchange Act of
1934 (``Act'') \2\ and Rule 19b-4 thereunder,\3\ notice is hereby given
that on January 31, 2023, NYSE National, Inc. (``NYSE National'' or the
``Exchange'') filed with the Securities and Exchange Commission (the
``Commission'') the proposed rule change as described in Items I and II
below, which Items have been prepared by the self-regulatory
organization. The Commission is publishing this notice to solicit
comments on the proposed rule change from interested persons.
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    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 15 U.S.C. 78a.
    \3\ 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 extending the expiration date of the
temporary amendments to Rules 10.9261 and 10.9830 as set forth in SR-
NYSENAT-2020-31 from January 31, 2023 to April 30, 2023, in conformity
with recent changes by the Financial Industry Regulatory Authority,
Inc. (``FINRA''). The proposed rule change would not make any changes
to the text of NYSE National Rules 10.9261 and 10.9830. The proposed
rule change is available on the Exchange's website at www.nyse.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 self-regulatory organization
included statements concerning the purpose of, and basis for, the
proposed rule change and discussed any comments it received on the
proposed rule change. The text of those statements may be examined at
the places specified in Item IV below. The Exchange has prepared
summaries, set forth in sections A, B, and C below, of the most
significant parts of such statements.

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

1. Purpose
    The Exchange proposes extending the expiration date of the
temporary amendments as set forth in SR-NYSENAT-2020-31 \4\ to Rules
10.9261 (Evidence and Procedure in Hearing) and 10.9830 (Hearing) from
January 31, 2023 to April 30, 2023 to harmonize with recent changes by
FINRA to extend the expiration date of the temporary amendments to its
Rules 9261 and 9830. SR-NYSENAT-2020-31 temporarily granted to the
Chief or Deputy Chief Hearing Officer the authority to order that
hearings be conducted by video conference if warranted by the current
COVID-19 public health risks posed by in-person hearings. The proposed
rule change would not make any changes to the text of Exchange Rules
10.9261 and 10.9830.\5\
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    \4\ See Securities Exchange Act Release No. 90137 (October 8,
2020), 85 FR 65087 (October 14, 2020) (SR-NYSENAT-2020-31) (``SR-
NYSENAT-2020-31'').
    \5\ The Exchange may submit a separate rule filing to extend the
expiration date of the proposed extension beyond April 30, 2023 if
the Exchange requires additional temporary relief from the rule
requirements identified in SR-NYSENAT-2020-31. The amended NYSE
National rules will revert back to their original state at the
conclusion of the temporary relief period and any extension thereof.
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Background
    In 2018, NYSE National adopted disciplinary rules that are, with
certain exceptions, substantially the same as the disciplinary rules of
its affiliate NYSE American LLC, which are in turn substantially
similar to the FINRA Rule 8000 Series and Rule 9000 Series, and which
set forth rules for conducting investigations and enforcement
actions.\6\
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    \6\ See Securities Exchange Act Release No. 83289 (May 17,
2018), 83 FR 23968, 23976 (May 23, 2018) (SR-NYSENAT-2018-02)
(``2018 Approval Order'').
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    In adopting disciplinary rules modeled on FINRA's rules, NYSE
National adopted the hearing and evidentiary processes set forth in
Rule 10.9261 and in Rule 10.9830 for hearings in matters involving
temporary and permanent cease and desist orders under the Rule 10.9800
Series. As adopted, the text of Rule 10.9261 and

Rule 10.9830 are substantially the same as the FINRA rules with certain
modifications.\7\
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    \7\ See id.
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    In response to the COVID-19 global health crisis and the
corresponding need to restrict in-person activities, on August 31,
2020, FINRA filed with the Commission a proposed rule change for
immediate effectiveness, SR-FINRA-2020-027, which allowed FINRA's
Office of Hearing Officers (``OHO'') to conduct hearings, on a
temporary basis, by video conference, if warranted by the current
COVID-19-related public health risks posed by an in-person hearing.
Among the rules FINRA amended were Rules 9261 and 9830.\8\
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    \8\ See Securities Exchange Act Release No. 89737 (September 2,
2020), 85 FR 55712 (September 9, 2020) (SR-FINRA-2020-027) (``SR-
FINRA-2020-027'').
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    Given that FINRA and OHO administers disciplinary hearings on the
Exchange's behalf, and that the public health concerns addressed by
FINRA's amendments apply equally to Exchange disciplinary hearings, on
September 29, 2020, the Exchange filed to temporarily amend Rule
10.9261 and Rule 10.9830 to permit FINRA to conduct virtual hearings on
its behalf.\9\ In December 2020, FINRA filed a proposed rule change,
SR-FINRA-2020-042, to extend the expiration date of the temporary
amendments in SR-FINRA-2020-027 from December 31, 2020, to April 30,
2021.\10\ On December 22, 2020, the Exchange similarly filed to extend
the temporary amendments to Rule 10.9261 and Rule 10.9830 to April 30,
2021.\11\ On April 1, 2021, FINRA filed a proposed rule change, SR-
FINRA-2021-006, to extend the expiration date of the temporary rule
amendments to, among other rules, FINRA Rule 9261 and 9830 from April
30, 2021, to August 31, 2021.\12\ On April 20, 2021, the Exchange filed
to extend the temporary amendments to Rule 10.9261 and Rule 10.9830 to
August 31, 2021.\13\ On August 13, 2021, FINRA filed a proposed rule
change, SR-FINRA-2021-019, to extend the expiration date of the
temporary amendments to, among other rules, FINRA Rule 9261 and 9830
from August 31, 2021, to December 31, 2021.\14\ On August 27, 2021, the
Exchange filed to extend the temporary amendments to Rule 10.9261 and
Rule 10.9830 to December 31, 2021.\15\ On December 7, 2021, FINRA filed
a proposed rule change, SR-FINRA-2021-031, to extend the expiration
date of the temporary amendments in both SR-FINRA-2020-015 and SR-
FINRA-2020-027 from December 31, 2021, to March 31, 2022.\16\ On
December 27, 2021, the Exchange filed to extend the temporary
amendments to Rule 10.9261 and Rule 10.9830 to March 31, 2022, after
which the temporary amendments will expire absent another proposed rule
change filing by the Exchange.\17\ On March 7, 2022, FINRA filed to
extend the expiration date of the temporary rule amendments to, among
other rules, FINRA Rule 9261 and 9830 from March 31, 2022, to July 31,
2022.\18\ On March 29, 2022, the Exchange filed to extend the temporary
amendments to Rule 9261 and Rule 9830 to July 31, 2022.\19\ On July 8,
2022, FINRA filed to extend the expiration date of the temporary rule
amendments to, among other rules, FINRA Rule 9261 and 9830 from July
31, 2022 to October 31, 2022.\20\ On July 29, 2022, the Exchange filed
to extend the temporary amendments to Rule 10.9261 and Rule 10.9830 to
October 31, 2022.\21\ On October 17, 2022, FINRA filed to extend the
expiration date of the temporary rule amendments to, among other rules,
FINRA Rule 9261 and 9830 from October 31, 2022 to January 31, 2023.\22\
On October 28, 2022, the Exchange filed to extend the temporary
amendments to Rule 9261 and Rule 9830 to January 31, 2023, after which
the temporary amendments will expire absent another proposed rule
change filing by the Exchange.\23\
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    \9\ See note 4, supra.
    \10\ See Securities Exchange Act Release No. 90619 (December 9,
2020), 85 FR 81250 (December 15, 2020) (SR-FINRA-2020-042).
    \11\ See Securities Exchange Act Release No. 90822 (December 30,
2020), 86 FR 627 (January 6, 2021) (SR-NYSENAT-2020-39).
    \12\ See Securities Exchange Act Release No. 91495 (April 7,
2021), 86 FR 19306 (April 13, 2021) (SR-FINRA-2021-006).
    \13\ See Securities Exchange Act Release No. 91634 (April 22,
2021), 86 FR 22477 (April 28, 2021) (SR-NYSENAT-2021-11).
    \14\ See Securities Exchange Act Release No. 92685 (August 17,
2021), 86 FR 47169 (August 23, 2021) (SR-FINRA-2021-019).
    \15\ See Securities Exchange Act Release No. 92908 (September 9,
2021), 86 FR 51424 (September 15, 2021) (SR-NYSENAT-2021-16).
    \16\ See Securities Exchange Act Release No. 93758 (December 13,
2021), 86 FR 71695 (December 17, 2021) (SR-FINRA-2021-31).
    \17\ See Securities Exchange Act Release No. 93919 (January 6,
2022), 87 FR 1804 (January 12, 2022) (SR-NYSENAT-2021-25).
    \18\ See Securities Exchange Act Release No. 94430 (March 16,
2022), 87 FR 16262 (March 22, 2022) (SR-FINRA-2022-004).
    \19\ See Securities Exchange Act Release No. 94662 (April 11,
2022), 87 FR 22601 (April 15, 2022) (SR-NYSENAT-2022-03).
    \20\ See Securities Exchange Act Release No. 95281 (July 14,
2022), 87 FR 43335 (July 20, 2022) (SR-FINRA-2022-018).
    \21\ See Securities Exchange Act Release No. 95476 (August 11,
2022), 87 FR 50668 (August 17, 2022) (SR-NYSENAT-2022-14).
    \22\ See Securities Exchange Act Release No. 96107 (October 19,
2022), 87 FR 64526 (October 25, 2022) (SR-FINRA-2022-029).
    \23\ See Securities Exchange Act Release No. 96262 (November 8,
2022), 87 FR 68540 (November 15, 2022) (SR-NYSENAT-2022-24).
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    According to FINRA, due to the upward trend in the number of COVID-
19 cases since October 2022--when FINRA last filed to extend the
temporary relief, COVID-19 still remains a public health concern.\24\
For example, according to the Centers for Disease Control and
Prevention (``CDC''), approximately 61.73 percent of counties in the
United States have a medium or high COVID-19 Community Level based on
the CDC's most recent calculations.\25\ The daily average number of
hospital admissions is also on the rise.\26\ Much uncertainty also
remains as to whether there will be a significant increase in the
number of cases of COVID-19 in the future given the emergence of new
Omicron variants that the CDC currently is tracking \27\ and the
dissimilar vaccination rates (completed primary series and a first
booster dose) throughout the United States.\28\ Due to the continued
presence and uncertainty of COVID-19, FINRA believes that there is a
continued need for temporary relief beyond January 31, 2023.\29\ On
January 18, 2023, FINRA accordingly filed to extend the expiration date
of the temporary rule amendments to, among other rules, FINRA Rule 9261
and 9830 from January 31, 2023 to April 30, 2023.\30\
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    \24\ See Securities Exchange Act Release No. 96746 (January 25,
2023) (``SR-FINRA-2023-001'').
    \25\ See CDC, COVID Data Tracker--COVID-19 Integrated County
View, https://covid.cdc.gov/covid-data-tracker/#county-view?list_select_state=all_states&list_select_county=all_counties&data-type=CommunityLevels&null=CommunityLevels (last visited Oct. 11,
2022).
    \26\ See CDC, COVID Data Tracker Weekly Review--Daily Trend in
Number of New COVID-19 Hospital Admissions in the United States,
https://www.cdc.gov/coronavirus/2019-ncov/covid-data/covidview/index.html (last visited Jan. 9, 2023) (``The current 7-day daily
average for December 28, 2022-January 3, 2023, was 6,519. This is a
16.1% increase from the prior 7-day average (5,613) from December
21-27, 2022.'').
    \27\ These new Omicron variants include BQ.1.1, XBB.1.5 and
BQ.1. See CDC, COVID Data Tracker--Variant Proportions, https://covid.cdc.govicovid-data-trackerNvariant-proportions (last visited
Jan. 9, 2023).
    \28\ A state-by-state comparison of vaccination rates is
available at https://covid.cdc.gov/covid-data-tracker/#vaccinations_vacc-people-additional-dose-totalpop (last visited
Jan. 9, 2023).
    \29\ See SR-FINRA-2023-001.
    \30\ See generally SR-FINRA-2023-001. As a further basis for
extending the temporary rule relief until April 30, 2023, FINRA
noted that its Board has approved the submission of a rule proposal
to the Commission to make permanent, with some modifications, the
temporary rules to allow hearings to be conducted by video
conference originally set forth in SR-FINRA-2020-027 and SR-FINRA-
2020-015. See https://www.finra.org/about/governance/finra-board-governors/meetings/update-finra-board-governors-meeting-december-2022. See id., at n 14. FINRA indicated that the extension of the
temporary rule amendments until April 30, 2023 would help avoid
FINRA's rules reverting to their original form and allow FINRA time
to file for (and the Commission time to approve) the permanent
rules. See id.

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Proposed Rule Change
    Consistent with FINRA's recent proposal, the Exchange proposes to
extend the expiration date of the temporary rule amendments to NYSE
National Rules 10.9261 and 10.9830 as set forth in SR-NYSENAT-2020-31
from January 31, 2023 to April 30, 2023.
    As set forth in SR-FINRA-2023-001, due to the upward trend in the
number of COVID-19 cases since October 2022--when FINRA last filed to
extend the temporary relief, COVID-19 still remains a public health
concern. For example, according to the Centers for Disease Control and
Prevention (``CDC''), approximately 61.73 percent of counties in the
United States have a medium or high COVID-19 Community Level based on
the CDC's most recent calculations.\31\ The daily average number of
hospital admissions is also on the rise.\32\ Much uncertainty also
remains as to whether there will be a significant increase in the
number of cases of COVID-19 in the future given the emergence of new
Omicron variants that the CDC currently is tracking \33\ and the
dissimilar vaccination rates (completed primary series and a first
booster dose) throughout the United States.\34\ Due to the continued
presence and uncertainty of COVID-19, FINRA believes that there is a
continued need for temporary relief beyond January 31, 2023.\35\ FINRA
accordingly proposed to extend the expiration date of the temporary
rule amendments from January 31, 2023 to April 30, 2023.
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    \31\ See supra note 25 (CDC, COVID Data Tracker--COVID-19
Integrated County View).
    \32\ See supra note 26 (CDC, COVID Data Tracker Weekly Review--
Daily Trend in Number of New COVID-19 Hospital Admissions in the
United States).
    \33\ See supra note 27 (regarding the new Omicron variants
described in CDC, COVID Data Tracker--Variant Proportions).
    \34\ See supra note 28 (regarding state-by-state comparison of
COVID-19 vaccination rates).
    \35\ See SR-FINRA-2023-001.
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    The Exchange proposes to similarly extend the expiration date of
the temporary rule amendments to NYSE National Rules 10.9261 and
10.9830 as set forth in SR-NYSENAT-2020-31 from January 31, 2023 to
April 30, 2023. The Exchange agrees with FINRA that, due to the upward
trend in the number of COVID-19 cases since October 2022--when FINRA
last filed to extend the temporary relief, that COVID-19 still remains
a public health concern. The Exchange also agrees that, due to the
continued presence and uncertainty of COVID-19, for the reasons set
forth in SR-FINRA-2023-001, there is a continued need for this
temporary relief beyond January 31, 2023. The proposed change would
permit OHO to continue to assess, based on critical COVID-19 data and
criteria and the guidance of health and security consultants, whether
an in-person hearing would compromise the health and safety of the
hearing participants such that the hearing should proceed by video
conference. As noted in SR-FINRA-2023-001, in deciding whether to
schedule a hearing by video conference, OHO may consider a variety of
other factors in addition to COVID-19 trends. Similarly, as noted in
SR-FINRA-2023-001, in SR-FINRA-2020-027, FINRA provided a non-
exhaustive list of other factors OHO may take into consideration,
including a hearing participant's individual health concerns and access
to the connectivity and technology necessary to participate in a video
conference hearing.\36\ The Exchange believes that this is a reasonable
procedure to continue to follow for hearings under Rules 10.9261 and
10.9830 chaired by a FINRA employee.
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    \36\ See SR-FINRA-2023-001.
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    As noted below, the Exchange has filed the proposed rule change for
immediate effectiveness and has requested that the SEC waive the
requirement that the proposed rule change not become operative for 30
days after the date of the filing, so the Exchange can implement the
proposed rule change immediately.
2. Statutory Basis
    The proposed rule change is consistent with Section 6(b) of the
Act,\37\ in general, and furthers the objectives of Section
6(b)(5),\38\ in particular, because it is designed to prevent
fraudulent and manipulative acts and practices, to promote just and
equitable principles of trade, to foster cooperation and coordination
with persons engaged in facilitating transactions in securities, to
remove impediments to, and perfect the mechanism of, a free and open
market and a national market system and, in general, to protect
investors and the public interest. Additionally, the Exchange believes
the proposed rule change is designed to provide a fair procedure for
the disciplining of members and persons associated with members,
consistent with Sections 6(b)(7) and 6(d) of the Act.\39\
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    \37\ 15 U.S.C. 78f(b).
    \38\ 15 U.S.C. 78f(b)(5).
    \39\ 15 U.S.C. 78f(b)(7) & 78f(d).
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    The Exchange believes that the proposed rule change supports the
objectives of the Act by providing greater harmonization between
Exchange rules and FINRA rules of similar purpose, resulting in less
burdensome and more efficient regulatory compliance. As such, the
proposed rule change will foster cooperation and coordination with
persons engaged in facilitating transactions in securities and will
remove impediments to and perfect the mechanism of a free and open
market and a national market system.
    The proposed rule change, which extends the expiration date of the
temporary amendments to Exchange rules consistent with FINRA's
extension to its Rules 9261 and 9830 as set forth in SR-FINRA-2023-001,
will permit the Exchange to continue to effectively conduct hearings
given the continued presence and uncertainty of COVID-19. Given that
COVID-19 remains a public health concern and the uncertainty around a
potential spike in cases of the disease, without this relief allowing
OHO to proceed by video conference, some or all hearings may have to be
postponed. The ability to conduct hearings by video conference will
permit the adjudicatory functions of the Exchange's disciplinary rules
to continue unabated, thereby avoiding protracted delays. The Exchange
believes that this is especially important in matters where temporary
and permanent cease and desist orders are sought because the proposed
rule change would enable those hearings to continue to proceed without
delay, thereby enabling the Exchange to continue to take immediate
action to stop significant, ongoing customer harm, to the benefit of
the investing public.
    As set forth in detail in SR-NYSENAT-2020-31, the temporary relief
to permit hearings to be conducted via video conference maintains fair
process and will continue to provide fair process consistent with
Sections 6(b)(7) and 6(d) of the Act \40\ while striking an appropriate
balance between providing fair process and enabling the Exchange to
fulfill its statutory obligations to protect investors and maintain
fair and orderly markets while avoiding the COVID-19-related public
health risks for hearing participants. The Exchange notes that this
proposal, like SR-NYSENAT-2020-31, provides only temporary relief. As
proposed, the

changes would be in place through April 30, 2023. As noted in SR-
NYSENAT-2020-31 and above, the amended rules will revert back to their
original state at the conclusion of the temporary relief period and, if
applicable, any extension thereof.
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    \40\ 15 U.S.C. 78f(b)(7) & 78f(d).
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    Accordingly, the proposed rule change extending this temporary
relief is in the public interest and consistent with the Act's purpose.

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

    The Exchange does not believe that the proposed temporary rule
change will impose any burden on competition that is not necessary or
appropriate in furtherance of the purposes of the Act. The proposed
rule change is not intended to address competitive issues but is rather
intended solely to extend temporary relief necessitated by the
continued presence and uncertainty of COVID-19 and the related health
and safety risks of conducting in-person activities. The Exchange
believes that the proposed rule change will prevent unnecessary
impediments to critical adjudicatory processes and its ability to
fulfill its statutory obligations to protect investors and maintain
fair and orderly markets that would otherwise result if the temporary
amendments were to expire on January 31, 2023.

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

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

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

    The Exchange has filed the proposed rule change pursuant to Section
19(b)(3)(A)(iii) of the Act \41\ and Rule 19b-4(f)(6) thereunder.\42\
Because the 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 prior to
30 days from the date on which it was filed, or such shorter time as
the Commission may designate, if consistent with the protection of
investors and the public interest, the proposed rule change has become
effective pursuant to Section 19(b)(3)(A) of the Act and Rule 19b-
4(f)(6)(iii) thereunder.
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    \41\ 15 U.S.C. 78s(b)(3)(A)(iii).
    \42\ 17 CFR 240.19b-4(f)(6).
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    A proposed rule change filed under Rule 19b-4(f)(6) \43\ normally
does not become operative prior to 30 days after the date of the
filing. However, pursuant to Rule 19b4(f)(6)(iii),\44\ the Commission
may designate a shorter time if such action is consistent with the
protection of investors and the public interest. The Exchange has asked
the Commission to waive the 30-day operative delay so that the proposal
may become operative immediately upon filing. The Exchange has
indicated that there is a continued need to extend the temporary relief
because the Exchange agrees with FINRA that the COVID-19 related health
concerns necessitating this relief will continue beyond January 31,
2023.\45\ The Exchange also states that extending the temporary relief
provided in SR-NYSENAT-2020-31 immediately upon filing and without a
30-day operative delay will allow the Exchange to continue critical
adjudicatory and review processes so that the Exchange may continue to
operate effectively and meet its critical investor protection goals,
while also protecting the health and safety of hearing
participants.\46\ The Commission also notes that this proposal extends
without change the temporary relief previously provided by SR-NYSENAT-
2020-31.\47\ As proposed, the temporary changes would be in place
through April 30, 2023 and the amended rules will revert back to their
original state at the conclusion of the temporary relief period and, if
applicable, any extension thereof.\48\ For these reasons, the
Commission believes that waiver of the 30-day operative delay for this
proposal is consistent with the protection of investors and the public
interest. Accordingly, the Commission hereby waives the 30-day
operative delay and designates the proposal operative upon filing.\49\
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    \43\ 17 CFR 240.19b-4(f)(6).
    \44\ 17 CFR 240.19b-4(f)(6)(iii).
    \45\ See supra Item II; see also SR-FINRA-2023-001.
    \46\ See SR-FINRA-2023-001 (noting the same in granting FINRA's
request to waive the 30-day operative delay so that SR-FINRA-2023-
001 would become operative immediately upon filing).
    \47\ See supra note 4.
    \48\ See supra note 5. As noted above, the Exchange states that
if it requires temporary relief from the rule requirements
identified in this proposal beyond April 30, 2023, it may submit a
separate rule filing to extend the effectiveness of the temporary
relief under these rules.
    \49\ For purposes only of waiving the 30-day operative delay,
the Commission has considered the proposed rule change's impact on
efficiency, competition, and capital formation. See 15 U.S.C.
78c(f).
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    At any time within 60 days of the filing of such proposed rule
change, the Commission summarily may temporarily suspend such rule
change if it appears to the Commission that such action is necessary or
appropriate in the public interest, for the protection of investors, or
otherwise in furtherance of the purposes of the Act. If the Commission
takes such action, the Commission shall institute proceedings under
Section 19(b)(2)(B) \50\ of the Act to determine whether the proposed
rule change should be approved or disapproved.
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    \50\ 15 U.S.C. 78s(b)(2)(B).
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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-NYSENAT-2023-06 on the subject line.

Paper Comments

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

All submissions should refer to File Number SR-NYSENAT-2023-06. 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 website (http://www.sec.gov/rules/sro.shtml).
Copies of the submission, all subsequent amendments, all written
statements with respect to the proposed rule change that are filed with
the Commission, and all written communications relating to the proposed
rule change between the Commission and any person, other than those
that may be withheld from the public in accordance with the provisions
of 5 U.S.C. 552, will be available for website viewing and printing in
the Commission's Public Reference Room, 100 F Street NE, Washington, DC
20549 on official business days between the hours of 10:00 a.m. and
3:00 p.m. Copies of 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-NYSENAT-2023-06 and should
be submitted on or before March 8, 2023.

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\51\
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    \51\ 17 CFR 200.30-3(a)(12).
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Sherry R. Haywood,
Assistant Secretary.
[FR Doc. 2023-03166 Filed 2-14-23; 8:45 am]
BILLING CODE 8011-01-P


[Federal Register Volume 78, Number 136 (Tuesday, July 16, 2013)]
[Notices]
[Pages 42520-42521]
[FR Doc No: 2013-16997]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

[Project No. 14472-000]

Control Technology, Inc.; Notice of Preliminary Permit
Application Accepted for Filing and Soliciting Comments, Motions To
Intervene, and Competing Applications

    On December 18, 2012, Control Technology, Inc. filed an application
for a preliminary permit, pursuant to section 4(f) of the Federal Power
Act, proposing to study the feasibility of the River Mountain Pumped
Storage Project, at the U.S. Army Corps of Engineers (Corps) Lake
Dardanelle on the Arkansas River in Logan County, Arkansas. The sole
purpose of a preliminary permit, if issued, is to grant the permit
holder priority to file a license application during the permit term. A
preliminary permit does not authorize the permit holder to perform any
land disturbing activities or otherwise enter upon lands or waters
owned by others without the owners' express permission.
    The proposed project would consist of: (1) A new 177-acre upper
reservoir, lined with an impermeable membrane, having 11,500 acre-feet
gross storage capacity; (2) the existing Corps Lake Dardanelle as its
lower reservoir, (3) a reinforced concrete penstock with intake/outlet
structure in the upper reservoir; (4) a 30-foot diameter, concrete-
lined penstock approximately 680 feet long connecting the upper
reservoir's intake and outlet structure to an underground, horizontal
power tunnel; (5) a 30-foot-diameter, concrete-lined, power tunnel that
extends 1,250 feet from the vertical shaft to the

penstocks; (6) three 16-foot diameter penstocks approximately 450 feet
long, 250 feet of which are steel-lined; (7) an underground powerhouse,
containing three reversible pump-turbine generator units, each
generating with up to 13,200 cfs and pumping with up to 10,560 cfs with
a total generating capacity of 600 megawatts; (8) a 4,800 feet-long
tailrace tunnel; (9) a 2,700 foot-long access tunnel; (10) a 500-kV
transmission line from the powerhouse to an existing transmission line
owned by Arkansas Power and Light. The project would generate
approximately 6,000 megawatt-hours per day and operate as directed by
the Corps.
    Applicant Contact: David Kates, Control Technology, Inc., 2416
Cades Way, Vista, CA 92083; phone<PHONE_NUMBER>; fax<PHONE_NUMBER>.
    FERC Contact: Chris Casey<EMAIL_ADDRESS>(202) 502-
8577.
    Deadline for filing comments, motions to intervene, competing
applications (without notices of intent), or notices of intent to file
competing applications: 60 days from the issuance of this notice.
Competing applications and notices of intent must meet the requirements
of 18 CFR 4.36. Comments, motions to intervene, notices of intent, and
competing applications may be filed electronically via the Internet.
See 18 CFR 385.2001(a)(1)(iii) and the instructions on the Commission's
Web site 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>or toll free at 1-866-208-3676,
or for TTY,<PHONE_NUMBER>. Although the Commission strongly encourages
electronic filing, documents may also be paper-filed. To paper-file,
mail an original and five copies to: Kimberly D. Bose, Secretary,
Federal Energy Regulatory Commission, 888 First Street NE., Washington,
DC 20426.
    More information about this project, including a copy of the
application, can be viewed or printed on the ``eLibrary'' link of
Commission's Web site at http://www.ferc.gov/docs-filing/elibrary.asp.
Enter the docket number (P-14472) in the docket number field to access
the document. For assistance, contact FERC Online Support.

    Dated: July 10, 2013.
Kimberly D. Bose,
Secretary.
[FR Doc. 2013-16997 Filed 7-15-13; 8:45 am]
BILLING CODE 6717-01-P


[Federal Register Volume 86, Number 247 (Wednesday, December 29, 2021)]
[Notices]
[Pages 74204-74206]
[FR Doc No: 2021-28244]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-93849; File No. SR-NYSE-2021-74]

Self-Regulatory Organizations; New York Stock Exchange LLC;
Notice of Filing of Proposed Rule Change Proposes To Amend the
Provisions of Rule 7.35B

December 22, 2021.
    Pursuant to Section 19(b)(1) \1\ of the Securities Exchange Act of
1934 (``Act'') \2\ and Rule 19b-4 thereunder,\3\ notice is hereby given
that, on December 14, 2021, New York Stock Exchange LLC (``NYSE'' 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 self-regulatory
organization. The Commission is publishing this notice to solicit
comments on the proposed rule change from interested persons.
---------------------------------------------------------------------------

    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 15 U.S.C. 78a.
    \3\ 17 CFR 240.19b-4.
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I. Self-Regulatory Organization's Statement of the Terms of Substance
of the Proposed Rule Change

    The Exchange proposes to amend the provisions of Rule 7.35B
relating to the cancellation of MOC, LOC, and Closing IO Orders before
the Closing Auction. The proposed rule change is available on the
Exchange's website at www.nyse.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 self-regulatory organization
included statements concerning the purpose of, and basis for, the
proposed rule change and discussed any comments it received on the
proposed rule change. The text of those statements may be examined at
the places specified in Item IV below. The Exchange has prepared
summaries, set forth in sections A, B, and C below, of the most
significant parts of such statements.

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

1. Purpose
    The Exchange proposes to amend Rule 7.35B (DMM-Facilitated Closing
Auctions). Specifically, the Exchange proposes to modify Rule
7.35B(f)(2), which sets forth rules pertaining to the cancellation of
MOC, LOC, and Closing IO Orders before the Closing Auction Imbalance
Freeze, and make conforming changes to Rule 7.35B(j)(2)(B).
    Rule 7.35B(f) provides that the Auction Imbalance Freeze for the
Closing Auction will begin at the Closing Auction Imbalance Freeze Time
and specifies how order entry and cancellation will be processed during
the Closing Auction Imbalance Freeze.\4\ Rule 7.35B(f)(2)(A) currently
provides that, between the beginning of the Auction Imbalance Freeze
and two minutes before the scheduled end of the Core Trading Hours,
MOC, LOC, and Closing IO Orders \5\ may be cancelled or reduced in size
only to correct a Legitimate Error.\6\ Rule 7.35B(f)(2)(B) currently
specifies that, except as provided for in Rule 7.35B(j)(2)(B),\7\ a
request to cancel, cancel and replace, or reduce in size a MOC, LOC, or
Closing IO Order entered two minutes or less before the scheduled end
of the Core Trading Hours will be rejected.
---------------------------------------------------------------------------

    \4\ The ``Auction Imbalance Freeze'' is the period that begins
before the scheduled time for an Auction. See Rule 7.35(a)(3).
``Auction'' means the process for the opening, reopening, or closing
of the trading of Auction-Eligible Securities on the Exchange, and
an ``Auction-Eligible Security'' is a security for which the
Exchange is the primary listing market. See Rules 7.35(a)(1) and
7.35(a)(2). The ``Closing Auction'' is the Auction that closes
trading at the end of the Core Trading Session, and the ``Closing
Auction Imbalance Freeze Time'' is 10 minutes before the scheduled
end of Core Trading Hours. See Rules 7.35(a)(1)(C) and 7.35(a)(8).
    \5\ A ``MOC Order'' or ``Market-on-Close Order'' is a Market
Order that is to be traded only during a closing auction. See Rule
7.31(c)(2)(B). A ``LOC Order'' or ``Limit-on-Close Order'' is a
Limit Order that is to be traded only during a closing auction. See
Rule 7.31(c)(2)(A). A ``Closing IO Order'' or ``Closing Imbalance
Offset Order'' is a Limit Order to buy (sell) an in an Auction-
Eligible Security that it to be traded only in a Closing Auction.
See Rule 7.31(c)(2)(D).
    \6\ ``Legitimate Error'' means an error in any term of an order,
such as price, number of shares, side of the transaction (buy or
sell), or identification of the security. See Rule 7.35(a)(13).
    \7\ Rule 7.35B(j)(2)(B) currently specifies the circumstances
under which the Exchange may temporarily suspend the prohibition on
canceling an MOC or LOC Order in connection with the Closing
Auction.
---------------------------------------------------------------------------

    The Exchange proposes to modify Rule 7.35B(f)(2) to provide that
any requests to cancel, cancel and replace, or reduce in size a MOC,
LOC, or Closing IO Order that are entered between the beginning of the
Auction Imbalance Freeze and the scheduled end of Core Trading Hours
would be rejected. That is, requests to cancel, replace, and/or reduce
in size a MOC, LOC, or Closing IO Order must be received prior to the
beginning of the Auction Imbalance Freeze (i.e., 10

minutes prior to the scheduled end of Core Trading Hours), even in the
case of a Legitimate Error. To facilitate this change, the Exchange
proposes to delete current Rule 7.35B(f)(2)(A) and modify current Rule
7.35B(f)(2)(B) to replace the reference to ``two minutes or less
before'' with ``from the beginning of the Auction Imbalance Freeze
until,'' in relation to the scheduled end of Core Trading Hours. The
Exchange also proposes to renumber current Rule 7.35B(f)(2)(B) as Rule
7.35B(f)(2).\8\
---------------------------------------------------------------------------

    \8\ The Exchange also proposes a non-substantive formatting
change to italicize the heading of Rule 7.35B(f)(2).
---------------------------------------------------------------------------

    The Exchange proposes conforming changes to Rule 7.35B(j)(2)(B) to
reflect the proposed changes to Rule 7.35B(f)(2), described above. Rule
7.35B(j)(2)(B) currently provides that the Exchange may temporarily
suspend the prohibition on cancelling an MOC or LOC Order after two
minutes before the scheduled end of Core Trading Hours when (1) the
cancellation is necessary to correct a Legitimate Error, or (2) the
execution of such an MOC or LOC Order would cause significant price
dislocation at the close. To make Rule 7.35B(j)(2)(B) consistent with
the proposed changes to Rule 7.35B(f)(2), the Exchange proposes to (1)
replace the reference to ``two minutes before the scheduled end of Core
Trading Hours'' with ``the beginning of the Auction Imbalance Freeze,''
and (2) replace the reference to ``paragraph (f)(2)(B)'' with
``paragraph (f)(2).'' Thus, Rule 7.35B(j)(2)(B), as amended, will
provide that the Exchange may temporarily suspend the prohibition on
cancelling an MOC or LOC Order after the beginning of the Auction
Imbalance Freeze (as such prohibition will be set forth in Rule
7.35B(f)(2), as amended).
2. Statutory Basis
    The proposed rule change is consistent with Section 6(b) of the
Securities Exchange Act of 1934,\9\ in general, and furthers the
objectives of Section 6(b)(5),\10\ in particular, because it is
designed to prevent fraudulent and manipulative acts and practices, to
promote just and equitable principles of trade, to foster cooperation
and coordination with persons engaged in facilitating transactions in
securities, to remove impediments to, and perfect the mechanism of, a
free and open market and a national market system and, in general, to
protect investors and the public interest.
---------------------------------------------------------------------------

    \9\ 15 U.S.C. 78f(b).
    \10\ 15 U.S.C. 78f(b)(5).
---------------------------------------------------------------------------

    The Exchange believes that the proposed rule change is designed to
prevent fraudulent and manipulative acts and practices, to promote just
and equitable principles of trade, and to remove impediments to and
perfect the mechanism of a free and open market and, in general,
protect investors and the public interest because it would streamline
the Exchange's processing of MOC, LOC, and Closing IO Orders in
connection with the Auction Imbalance Freeze. Specifically, rather than
permitting MOC, LOC, and Closing IO Orders to be cancelled, replaced,
and/or reduced in size for the limited purpose of correcting a
Legitimate Error up until two minutes before the scheduled end of Core
Trading Hours, the Exchange proposes to modify Rule 7.35B(f)(2) to
provide that requests to cancel, cancel and replace, or reduce in size
such orders would be rejected after the beginning of the Auction
Imbalance Freeze. The Exchange notes that, since August 2021, it has
not received any requests to cancel, cancel and replace, or reduce in
size an MOC, LOC, or Closing IO Order between the beginning of the
Auction Imbalance Freeze and two minutes before the scheduled end of
Core Trading Hours. Accordingly, the Exchange believes that the
proposed rule change would also remove impediments to and perfect the
mechanism of a free and open market by providing greater determinism of
the Closing Auction Imbalance Information because MOC, LOC, and Closing
IO Orders would not be eligible to be cancelled once the Auction
Imbalance Freeze begins for any reason. The proposed change would also
eliminate a provision in Exchange rules that is not used by Members,
thereby simplifying the Exchange's rules and better aligning its rules
with the behavior of its Members.

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

    The Exchange does not believe that the proposed rule change will
impose any burden on competition that is not necessary or appropriate
in furtherance of the purposes of the Act. The proposed rule change
would apply to the processing of all MOC, LOC, and Closing IO Orders
during the Auction Imbalance Freeze and thus would not create any undue
burden on competition. Moreover, as described above, the Exchange has
not received any requests to cancel, cancel and replace, or reduce in
size a MOC, LOC, or Closing IO Order between the beginning of the
Auction Imbalance Freeze and two minutes before the scheduled end of
Core Trading Hours since August 2021 and thus believes that modifying
Rule 7.35B(f)(2) and making conforming changes to Rule 7.35B(j)(2)(B)
to permit such requests only up until the beginning of the Auction
Imbalance Freeze would not impose any burden on competition.

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

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

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

    Within 45 days of the date of publication of this notice in the
Federal Register or up to 90 days (i) as the Commission may designate
if it finds such longer period to be appropriate and publishes its
reasons for so finding or (ii) as to which the self-regulatory
organization consents, the Commission will:
    (A) by order approve or disapprove the proposed rule change, or
    (B) institute proceedings to determine whether the proposed rule
change should be 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-NYSE-2021-74 on the subject line.

Paper Comments

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

All submissions should refer to File Number SR-NYSE-2021-74. 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 website (http://www.sec.gov/rules/sro.shtml).
Copies of the submission, all subsequent amendments, all written
statements with respect to the proposed rule change that are filed with
the Commission, and all written

communications relating to the proposed rule change between the
Commission and any person, other than those that may be withheld from
the public in accordance with the provisions of 5 U.S.C. 552, will be
available for website viewing and printing in the Commission's Public
Reference Room, 100 F Street NE, Washington, DC 20549 on official
business days between the hours of 10:00 a.m. and 3:00 p.m. Copies of
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-
NYSE-2021-74 and should be submitted on or before January 19, 2022.
---------------------------------------------------------------------------

    \11\ 17 CFR 200.30-3(a)(12).

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\11\
J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2021-28244 Filed 12-28-21; 8:45 am]
BILLING CODE 8011-01-P


[Federal Register: May 26, 2010 (Volume 75, Number 101)]
[Proposed Rules]
[Page 29466]
[DOCID:fr26my10-13]

========================================================================
Proposed Rules
                                                Federal Register
________________________________________________________________________

This section of the FEDERAL REGISTER contains notices to the public of
the proposed issuance of rules and regulations. The purpose of these
notices is to give interested persons an opportunity to participate in
the rule making prior to the adoption of the final rules.

========================================================================

=======================================================================
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DEPARTMENT OF TRANSPORTATION

Federal Aviation Administration

14 CFR Part 39

[Docket No. FAA-2009-1028; Directorate Identifier 2009-NM-188-AD]
RIN 2120-AA64

Airworthiness Directives; Gulfstream Aerospace LP (Type
Certificate Previously Held by Israel Aircraft Industries, Ltd.) Model
Gulfstream G150 Airplanes

AGENCY: Federal Aviation Administration (FAA), Department of
Transportation (DOT).

ACTION: Proposed rule; withdrawal.

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SUMMARY: The FAA withdraws a notice of proposed rulemaking (NPRM) that
proposed a new airworthiness directive (AD) for certain Model
Gulfstream G150 airplanes. The proposed AD would have required
inspecting to determine the manufacturer of the baggage compartment
rubber seals, and replacing the baggage compartment rubber seals
manufactured by Gumiyan with seals manufactured by Rubbercraft. Since
the proposed AD was issued, we have received new data from the
manufacturer stating that all affected airplanes have already been
modified as described in the proposed AD. Accordingly, the proposed AD
is withdrawn.

ADDRESSES: You may examine the AD docket on the Internet at http://
www.regulations.gov; or in person at the Docket Management Facility
between 9 a.m. and 5 p.m., Monday through Friday, except Federal
holidays. The AD docket contains this AD, the regulatory evaluation,
any comments received, and other information. The address for the
Docket Office (telephone<PHONE_NUMBER>) is the Document Management
Facility, U.S. Department of Transportation, Docket Operations, M-30,
West Building Ground Floor, Room W12-140, 1200 New Jersey Avenue, SE.,
Washington, DC 20590.

FOR FURTHER INFORMATION CONTACT: Mike Borfitz, Aerospace Engineer,
International Branch, ANM-116, Transport Airplane Directorate, FAA,
1601 Lind Avenue, SW., Renton, Washington 98057-3356; telephone (425)
227-2677; fax<PHONE_NUMBER>.

SUPPLEMENTARY INFORMATION:

Discussion

    We proposed to amend part 39 of the Federal Aviation Regulations
(14 CFR part 39) with a notice of proposed rulemaking (NPRM) for a new
AD for certain Model Gulfstream G150 airplanes. That NPRM was published
in the Federal Register on November 5, 2009 (74 FR 57266). The NPRM
would have required inspecting to determine the manufacturer of the
baggage compartment rubber seals, and replacing the baggage compartment
rubber seals manufactured by Gumiyan with seals manufactured by
Rubbercraft. The NPRM resulted from mandatory continuing airworthiness
information (MCAI) originated by an aviation authority of another
country to identify and correct an unsafe condition on an aviation
product. The MCAI described the unsafe condition as:

    IAI Company Flammability tests revealed that the baggage
compartment rubber seals manufactured by Gumiyan are not compliant
with FAR [Federal Aviation Regulation] 25, Appendix F, Part I
requirements.

The proposed actions were intended to prevent potential ignition of the
baggage compartment rubber seals, which could lead to a larger fire.

Actions Since NPRM Was Issued

    Since we issued the NPRM, Gulfstream Aerospace LP has informed the
FAA that all Model Gulfstream G150 airplanes have been modified in
accordance with Gulfstream Service Bulletin 150-25-055, dated October
28, 2008 (specified as the appropriate source of service information
for accomplishing the requirements of the proposed AD). Gulfstream
Aerospace LP states that, consequently, all actions specified in the
NPRM are complete.

FAA's Conclusions

    Upon further consideration, we have determined that the proposed AD
is not necessary. Accordingly, the NPRM is withdrawn.
    Withdrawal of the NPRM does not preclude the FAA from issuing
another related action or commit the FAA to any course of action in the
future.

Regulatory Impact

    Since this action only withdraws an NPRM, it is neither a proposed
nor a final rule and therefore is not covered under Executive Order
12866, the Regulatory Flexibility Act, or DOT Regulatory Policies and
Procedures (44 FR 11034, February 26, 1979).

List of Subjects in 14 CFR Part 39

    Air transportation, Aircraft, Aviation safety, Safety.

The Withdrawal

    Accordingly, we withdraw the NPRM, Docket No. FAA-2009-1028,
Directorate Identifier 2009-NM-188-AD, which was published in the
Federal Register on November 5, 2009 (74 FR 57266).

    Issued in Renton, Washington, on May 14, 2010.
Ali Bahrami,
Manager, Transport Airplane Directorate, Aircraft Certification
Service.
[FR Doc. 2010-12673 Filed 5-25-10; 8:45 am]
BILLING CODE 4910-13-P


CITY OF HICKORY AIR QUALITY AWARENESS PROGRAM ACTION PLAN Prepared by the Department of Planning and Development And Revised by Hickory City Council June 15, 2004 2 Table of Contents Introduction........................................................................................... Page 3 Notification & Incentives....................................................................... Page 6 Trip Reduction by City Co workers....................................................... Page 7 Air Quality Coordinators ....................................................................... Page 7 General Departmental Procedures & Measures...................................... Page 9 Quantifying Reduction in Vehicle Miles Traveled.................................. Page 10 Specific Departmental Procedures & Measures ..................................... Page 11 Engineering ................................................................................... Page 11 Fire Department ............................................................................ Page 11 Police Department ......................................................................... Page 12 Public Services Department........................................................... Page 12 Piedmont Wagon........................................................................... Page 14 Conclusion ............................................................................................ Page 14 Appendix A........................................................................................... Page 15 Appendix B........................................................................................... Page 16 Appendix C........................................................................................... Page 17 Appendix D........................................................................................... Page 20 3 1. Introduction Background The Environmental Protection Agency ( EPA) has developed new stringent standards for air quality. The air quality standards set maximum allowable levels of ground level ozone, which is the primary pollutant in smog. Failure to meet these standards can result in health and environmental hazards to local citizens and in the reduction of federal funds. In response to these new standards, the North Carolina Department of Environment and Natural Resources ( DENR), Division of Air Quality established the North Carolina Air Quality Awareness Program. The purpose of the program is to conduct an outreach effort to inform the public about air pollution and prevention.

Representatives of the various city departments collaborated in developing an air quality Action Plan, designed to educate and encourage City employees to reduce the number of vehicles and equipment being used during potentially high ozone periods. This plan outlines a number of citywide measures and specific departmental strategies to lessen vehicle and equipment usage on high ozone days. The City's Air Quality Awareness Program's Action Plan will only be implemented on " Orange", " Red", and " Purple" Action Days ( the most severe and unhealthy ozone condition days). A code Orange Alert will be issued when ozone levels are between 88 and 100 percent of the national ozone standard. A Code Red Alert will be issued when ozone levels are above 100.

Ground level ozone, not stratospheric ozone, is the primary pollutant most likely to cause air quality problems in the Unifour counties of Catawba, Caldwell, Burke and Alexander and across all of North Carolina. It is measured 214 days each year from April to October of each year and can frequently reach levels, which exceed the EPA's new National Ambient Air Quality Standards ( NAAQS) within the Clean Air Act, particularly during the warmest months of May through September. High ozone levels usually occur on hot sunny days with stagnant air, when pollutants such as nitrogen oxides and volatile organic compounds combine in the atmosphere. In the Unifour counties, vehicle emission is the main contributor to the formation of ground level ozone. Other pollutants can be problematic as well.

Although today's automobiles are 70 to 90 percent cleaner than their 1970 counterparts, vehicle emissions continue to be a significant cause of air pollution due to rapid increase in vehicle miles traveled since 1970. In the aggregate, mobile sources pollute the most because these modes constitute the majority of all travel. In addition, diesel vehicles, including both highway and rail, contribute more to Nitrogen Oxide ( Nox) emissions than gasoline powered vehicles, both on an aggregate and per mile basis. Therefore, the primary purpose of the City's Action Plan is the reduction in vehicle emissions as measured by vehicle miles traveled ( VMT). 4 Short Term Objectives

To ensure that the City identifies, manages and promotes to its employees practices and procedures that control, reduce and/ or eliminate harmful emissions that create ozone.

To identify, prioritize and advocate to others in the region the importance of recognizing urban air quality issues and support actions that reduces ozone

Reducing transportation related emissions by improving energy efficiency in city fleets, equipments and planning policies.

To inform and promote the awareness of the air quality issue to City co workers and the public in Hickory in partnership with other local governments and organizations.

Long Term Objectives

Discouraging emission growth in the long term through land use and transportation policies.

To encourage and partner with others in the region to support air quality initiatives.

It is important to note that local initiatives will reduce the need for state mandatory regulations.

Why do we need an Air Quality Awareness Program Action Plan?

Air pollution is an issue most of us are concerned about after all, we all want good air to breathe. The big challenge is finding a way of involving each and every one of us in protecting air quality, because much of our city's air pollution is caused by the cumulative impact of our everyday legitimate activities. In particular, motor vehicles are responsible for a higher total percentage of air pollution in the region than that contributed by large manufacturers. ( A definitive figure will be available in the next couple of months from the Division of Air Quality of the DENR).

What is an Air Quality Awareness Action Plan?

The Air Quality Awareness Action Plan for the City of Hickory will set out a framework for how we can improve air quality in the city and region.

It will canvass the wide ranging, and often complex issues, which we must deal with to tackle, air pollution.

Most importantly it will provide a focus to help get the various departments involved in protecting air quality.

It would not be a statutory policy, but will be endorsed by City Council.

It will be a guide to influence the decisions made by the city so that as our region continues to grow and expand, it is not at the expense of our air quality. 5 Reducing Ground Level Ozone Concentrations Reducing ground level ozone concentrations in the region would provide the following benefits:

Protect public health, especially for children, the elderly and asthmatics.

Improve visibility and reduce environmental damage to plant life and ecosystems.

Provide economic benefits through reduced health care costs, improved economic development opportunities and enhanced tourism.

Environmental & Health Issues Air Pollution contributes to lung disease, including respiratory tract infections, asthma, and lung cancer. Lung disease claims close to 344,000 lives in the United States every year ( 344,044 in 2000) and is the third leading cause of death in the country. Over the last decade, the death rate for lung disease has risen faster than that of any of the top five causes of death. In 1995, North Carolina had above average ( for the United States) rates for the following lung diseases: Lung Cancer, Pneumonia, Asthma, and chronic Obstructive Pulmonary Disease ( which includes chronic bronchitis and emphysema). These lung diseases account for 9,651 lung disease deaths during 1995 alone. 1 Ozone is especially harmful to young children and the elderly. According to the Environmental Protection Agency ( EPA), high ozone levels can cause crop damage and suppressed growth in trees and native vegetation. Ozone can also damage elastics, textiles, dyes, electrical insulation, and fine art.

Ambient Air Quality Standards The purpose of the ambient air quality standards is to establish certain maximum limits on parameters of air quality considered desirable for the preservation and enhancement of the quality of the nation's air resources.

The ambient air quality standard for ozone measured by a reference method based on Appendix D of 40 CFR Part 50 and designated according to 40 CFR Part 53 is 0.08 parts per million ( ppm), daily maximum 8 hour average. The standard is obtained at an ambient air quality monitoring site when the average of the annual fourth highest daily maximum 8 hour average ozone concentration is less than or equal to 0.08 parts per million ( ppm) as determined by Appendix 1 of 40 CFR Part 50, or equivalent methods established under 40 CFR Part 53.2 1 American Lung Association web site at http:// www. lungusa. org 2 North Carolina Administrative Code 6 Federal Regulations The City of Hickory will be in violation of the new more restrictive ozone standard that EPA adopted in July 1997. Although the area has not been officially designated as a nonattainment area, the Action Plan is intended to demonstrate a proactive effort and a first step in minimizing public exposure to ozone and to comply with the NAAQS.

If the City is in violation of the new standard, it could face the following regulations:

1. Reduction or suspension of federal transportation funding to this area. 2. Restrictions on the location and expansion of industry that would slow economic growth by keeping new job opportunities from coming to Hickory. 3. Mandatory vehicle emissions testing program in Hickory and other counties in the area that do not currently have these programs 4. Requiring alternative fuels for cars, which could results in higher gas and vehicle purchase prices.

1. Notification & Incentives Notification Process for Ozone Action Days The following procedures will be used in the event of a Code Orange or Red Ozone Action Day.

The Division of Air Quality will send an Air Quality Alert Forecast to the Public Information Office via e mail by 3: 00 PM on the afternoon before an ozone action day.

The Public Information Office will: ( 1) e mail, fax or telephone the Air Quality Coordinators ( see Section 4 for contact list) before the close of the business day and ( 2) e mail all co workers with e mail capabilities to communicate the forecast.

Air Quality Coordinators will prominently post the alert notice in each work place.

The Air Quality Coordinators will be responsible for monitoring their department's Ozone reduction effort.

Incentives to Participate In an effort to promote the City's air quality ( vehicle emission reduction) efforts, the following incentives will be provided to those co workers who choose to participate in the program:

Free Piedmont Wagon Transportation System bus pass will be provided to city coworkers to use on ozone alert days.

The individual and department that demonstrates the greatest percentage and overall reduction in vehicle miles traveled ( VMT) will be recognized.

A raffle for prizes will be open to all participants. 7 3. Trip Reduction by City Co workers The ability of the City to reduce vehicle trips could be constrained by the lack of commuting alternatives available to co workers. For this situation, significant trip reduction might require that the City facilitate a vanpool program. Its implementation by city co workers will be voluntary and have the full support and encouragement of the City of Hickory. A vanpool program will help to substantially reduce the amount of vehicle emissions produced by city co workers and will be an example of their contribution to a better quality of life in the region.

4. Air Quality Coordinators For implementation of the Air Quality Action Plan, two city coordinators will work with the various departments to implement this program. The Air Quality Coordinators for each department will be responsible for disseminating information and for tracking their department's emission reducing efforts ( primarily by monitoring VMT). The tracking procedures for the measures listed in Section 5 are provided in Section 6 ( page 9). The coordinators will be expected to provide a brief presentation or update on the Air quality Awareness Program at the beginning of each summer ( i. e. ozone season). The coordinators will also be responsible for posting the ozone action notice in the departments. For those departments that have additional procedures, the coordinator will be asked to provide an assessment of the costs, ease of implementation, etc. of the measures. This information will be used to modify the Action Plan if necessary, during the annual evaluation, to improve the efficiency of the Plan's programs.

City of Hickory Coordinators: 1. Mandy Pitts, Public Information Officer 2. Cal Overby, Planner 8 AIR QUALITY COORDINATORS Departmental Coordinators Department Phone Fax E mail Back up Coordinator Parks & Rec. Director Mack McLeod Parks & Recreation 323 7046 323 1042 Yes Parks & Rec. Main. Supr.. Eric Starnes Exec Asst. Planning & Dev Tom Carr City Manager's Office 323 7405 323 7500 Yes Executive Asst.   Operations Sam Chambers Asst. City Engineer Brendon Prichard Engineering 323 7416 323 7476 Yes Civil Engineer Miles Champion Finance Director Tim Inch Finance/ Accounting 323 7417 323 7550 Yes Asst. Fin. Dir. Rodney Miller Deputy Fire Chiefs Fred Hollar & Greg Rohr Fire Dept. 323 7420 323 7566 Yes Deputy Fire Chief George Byers H. Resources Dir. Joan Patterson Human Resources 323 7421 323 7550 Yes Training Coord. Claudia Main I. T. Director Jeff Brittain Information Technology 323 7428 323 7550 Yes Network Admin. Kevin Harris Library Director Philip Cherry Library 304 0050 323 0023 Yes Ref. Manager Beth Bradshaw Manager Cynthia McGinnis Piedmont Wagon 464 9444 466 0570 Yes Admin. Tech Dawn Kemp Planner Cal Overby Planning & Development 324 4651 323 7476 Yes Planner Eric Ben Davies Police Captain Clyde Deal Police Dept. 324 2060 324 0607 Yes Admin. Asst Lisa Drum Director Chuck Hansen Public Services Administration 323 7570 323 7403 Yes Director Chuck Hansen Public S. Mgr. Gene Haynes Public Utilities Administration 323 7427 323 7403 Yes Public S. Mgr. Gene Haynes Public S. Mgr. Ed Bowman Public Works 323 7500 323 7403 Yes Public S. Mgr. Ed Bowman Fleet Manager Doug Ingle Garage 323 7500 323 7403 Yes Supervisor Danny Carver Director Timothy B. Deike Airport 323 7408 323 8456 Yes Admin. Tech. Duncan Cavanaugh 9 5. General Departmental Procedures and Measures

The City shall seek to implement a Stage II vapor recovery system.

Join and participate in the activities of the Unifour Early Action Compact ( EAC).

Educate employees, contractors, and developers on ways to be sensitive to emissions.

The City will explore opportunities for telecommuting. It is a strategy that improves congestion and is a result of our electronic age. Many employees can work productively away from their offices with the aid of computers, modems, telephones, and fax machines. Well planned telecommuting can reduce the need for office space, as well as reduce congestion and air pollution. It may be used on a full time basis or only on OADs.

The City will seek Emission Reduction grants estimated at around $ 10,000.00

All City co workers will be encouraged to carpool or vanpool on Ozone Action Days where feasible.

Postpone or consolidate non essential fieldwork, business errands and other travel requiring the use of City vehicles.

All City co workers will be encouraged to bring their lunch to work rather than driving to a restaurant.

In an effort to reducing exposure to gasoline vapors the city will consider using vapor recovery system. Note that although cleaner burning gasoline pollutes less, all gasoline vapors contain hazardous substances.

Encourage co workers to avoid intersections that are noted for congestion when they must travel by vehicle.

Keep all City Vehicles properly maintained in accordance with current city maintenance schedule

Refocus yard work to reduce the use of 2 cycle gasoline powered lawn equipment.

Minimize warm up time for all vehicles.

Explore the potential of equipping some vehicles with alternate fuel retrofits.

Emergency generators will be test run at more appropriate time of day. 10

Ensure optimal energy efficiency by city facilities through routine maintenance and when renovations occur, retrofit older facilities with systems that promote energy conservation.

Work with contractors to ensure the energy consumption standards for newly constructed public facilities are in excess of national standards.

Work with contractors to develop procedures to minimize the use of heavy equipment on OAD's.

6. Quantifying Reductions in Vehicle Miles Traveled In order to determine the effectiveness of the City of Hickory's Air Quality Awareness Program, a mechanism to quantify the success has been included. Vehicle miles travel ( VMT) is a quantifiable measure that is at the core of the ozone problem. Therefore, reducing the number of vehicles on the road during potentially high ozone periods can help in reducing high ozone concentrations. By monitoring the reduction in VMT, the City of Hickory will be able to quantify its reduction in automobile emissions.

The strategies to reduce VMT focus on baseline commuting VMTs and daily at work VMTs ( i. e. what a person would have driven if it were not an Ozone Action Day). Coworkers would be asked to identify the number of miles they drive to work as their baseline. Then, on the Ozone Action Day ( OAD), if the co workers carpools, vanpools, uses public transit, bikes or walks, then that co worker's OAD miles traveled will represent a VMT reduction. The same holds true for the at work trips. For nonparticipants their baseline commuting mileage will be counted every OAD that they worked. For co workers on travel, sick leave, or vacation, no VMTs would be recorded ( either as driven or reduced). An example of the OAD Survey is shown below.

Individual Code:________ Date____________

Baseline Mileage OAD Mileage Name Cmute @ work Lunch Total Cmute @ work Lunch Total John Doe 12 10 4 26 12 0 4 16 Jane Doe Travel   0    0 Sally Doe 38  3 41 0  0 0 Alex Doe 20   20 20   20 Total Baseline 87 Total OAD 36 VMT Reduction (%)      59% VMT Reduction ( Miles)   .. 51 Percent Participation    ...? % of total City work force 11 These spreadsheets will be provided to each departmental coordinator electronically. Coordinators will post a hard copy of this spreadsheet in a common area of the department on Ozone Action Day. Co workers will write in their mileage. Coordinators will tally the mileage reduced for that OAD and forward that number electronically to the Planner ( a citywide coordinator) who will consolidate the information from all the departments into a citywide spreadsheet.

7. Specific Departmental Procedures In addition to the citywide co worker measures, the individual departments have identified specific measures to implement to help reduce harmful emissions during high ozone days. The coordinators will be asked to inform their department's co workers about these measures. If there are measures that may have a financial impact ( for example, having contractors postpone work on an OAD), then the coordinator will be responsible for measuring the cost to the City where feasible. In addition, when contracts are up for bid, departments are encouraged to incorporate language in new contracts addressing the OAD and the rescheduling of work tasks.

Air alerts will be forecasted by NC Division of Air Quality at 3: 00 PM on the day that ground level ozone levels are expected. The Air Alerts will be relayed to or obtained by the Public Information Officer who will relay the forecast to all departments.

The specific departmental measures are listed below.

Engineering

If feasible, postpone construction projects that entail the usage of heavy equipment on an OAD.

If feasible, direct contractors to avoid open burning on an OAD.

Postpone all non essential vehicle use on an OAD.

Planning and Development

Develop and implement development policies which promote smart growth and infill development.

Postpone all non essential vehicle use on an OAD.

Support and work in conjunction with the Unifour MPO.

Take steps to develop facilities for bicycle and pedestrian use.

Ensure all development activities provide landscaping and buffering in compliance with the City's Land Development Code. 12 Fire Department

Upon receiving an Air Alert from the Public Information Officer, Fire Administration will notify all fire department personnel through the chain of command.

Company officers beginning their tour of duty during the Air Alert shall:

1. If feasible, postpone and/ or reschedule inspections, pre fire surveys, hydrant maintenance, driver training and other non essential activities that involve driving. 2. Refrain from using charcoal grills for station cooking. 3. If feasible, reschedule lawn mowing until the evening.

Personnel will be encouraged to eat at the stations and not utilize vehicles for this purpose.

As two cycle lawn mowers engines are replaced, four cycle engines will be purchased.

Depending on the location of the station, emergency generators will be tested in the evenings.

Minimize and consolidate trips to obtain parts and supplies. This includes the delivery of supplies to the various stations.

Office staff will strive to limit trips for business and postpone all unnecessary trips.

There will be no changes in response to fire alarms and medical calls.

Police Department

Officers not responding to calls for service or that are working details not requiring automobile usage will park their vehicles and turn off the engine, remaining visible in the community by utilizing foot or bike patrol.

During extremely hot weather requiring the use of air conditioning, officers will use businesses and other sites for report writing as opposed to completing this task in their police vehicles. If temperatures are not excessive, police vehicle windows will be down for cooling as opposed to using the vehicle's air conditioning.

All personnel will be encouraged to carpool or vanpool or utilize public transit to and from work. When feasible, personnel will also carpool or vanpool to work assignments and training.

When possible, personnel should use public transit or walk to locations within reasonable distances during and after work.

Eliminate, delay or consolidate business errands requiring the use of automobiles.

All personnel will be encouraged to refuel business and personal vehicles after 1900 hours.

Investigators will car pool while conducting investigations to minimize the use of vehicles. Evening shift detectives will be encouraged not to utilize vehicles until after 1900 hours, unless an emergency occurs. 13

Drivers Training will be limited to a minimum and when feasible, delayed until after 1900 hours.

All personnel will be encouraged to bring their lunch or eat on site locations ( in lieu of driving home, etc.) and not utilize vehicles for this purpose.

All personnel will seek to obtain the cooperative efforts of friends, relatives, and neighbors to minimize the amount of pollution on poor air quality days.

There will be no mobile enforcement of parking regulations. This will eliminate emissions from the vehicles used to perform this function.

Public Services Department FLEET SERVICE DIVISION

The City shall seek to implement a Stage II Vapor Recovery System

Limit or postpone the amount of test driving, idling or moving of vehicles being serviced. We will also seek to replace all two cycle engines.

Minimize trips for parts delivery. We would consolidate our trips and also request that our vendors work with us to consolidate their deliveries.

Ensure vehicles follow established routine maintenance schedule to optimize engine performance.

Continue use of vehicles operating on Compressed Natural Gas ( CNG).

Explore opportunities to expand the number of city owned vehicles operating on Compressed Natural Gas ( CNG).

Ensure annual routine emissions inspections for all required vehicles.

WATER & WASTEWATER TREATMENT PLANTS

Postpone all non essential vehicle use as long as the alert is in effect, including but not limited to:

1. Reduction in non critical driving both on and off plant sites 2. Carpooling or vanpooling to off site activities, such as training, etc. 3. Trip to obtain parts and supplies will only be made by authorization of plant supervisor.

Lawn mowing and landscape maintenance activities will be suspended. This will apply to contract operations and city staff.

Emergency generators will be test run at more appropriate time of day.

Facilities that have the option of using alternate fueled equipment will do so when possible. The test running of emergency generators will be tied in the use of alternate fuels. 14 LANDSCAPE MAINTENANCE CREW

We will not operate motorized pesticide sprayers on OAD days, but utilize pump sprayers.

The City will consider rescheduling the use of augers on construction projects.

The City will not operate gas powered hedge clippers on OAD days.

CONSTRUCTION & GROUNDS MAINTENANCE CREW ( Mowing)

We have limited ability to reduce production within this operation because of the tight schedule we run to meet expected intervals of mowing. If it is one day or an isolated day, we will make it a goal to lessen this operation's impact. The following are possibilities if schedule will not be adversely affected.

The City will consider rescheduling crews responsible for weed trimming and mowing based on OAD.

Will incorporate OAD provisions on future maintenance contracts. It is not proposed that the department dictate a schedule.

Combine crews working together on a project and have them ride together.

Reschedule non essential maintenance work to reduce vehicle use.

Note: It is proposed that the department stop the operation of tractor mowers.

BUILDING SERVICES

Reschedule non essential maintenance work to reduce vehicle use.

Combine crews working together on projects and have them ride together.

TRAFFIC

Reschedule non essential maintenance work to reduce vehicle use.

Take steps to ensure the computerize signalization control computers are controlling signalized intersections to minimize vehicle idling.

Piedmont Wagon

Engine warm up will not exceed five minutes

All vehicles will be shut down at the end of each run if the wait time is greater than five minutes

Office staff will attempt to limit trips for business and vehicle change outs to a minimum and postpone all unnecessary trips

Vehicles will be kept tuned and tire inflation will be checked to improve miles per gallon ( mpg) 15

All demand response vehicles will shut down their engine if there is more than five minutes wait time between pickups.

Exploration of expansion of transit and ride share programs.

8. Conclusion The Air Quality Awareness Action Plan offers background information and outlines the goal and short and long term objectives; and proposes actions to implement those objectives. The plan will provide general and specific departmental procedures and measures and also baselines and trends of Vehicle Miles Travel ( VMT) in city fleet operations. It will be dynamic and responsive, to take account of new information about air pollution as it becomes available and appropriate changes made as they relate to the management of air quality in the region.

The plan is the outcome of a broadly collaborative effort among the various departments and has developed a vision and an approach that make common sense. The process will never really stop, as the plan will be updated to keep it relevant 16 Appendix A Air Quality Index Color Code Guide Air Quality Weather Conditions Recommended Actions Health Effects Good AQI: 0 50 ( Green)   Cool summer   Windy conditions   Significant cloud cover   Heavy or steady precipitation   Keep cars and boats tuned up   Use environmentally safe paints and cleaning products   Conserve electricityset A/ C to highest comfortable level   No health effects are expected.

Moderate AQI: 51 100 ( Yellow)   Temperatures in the upper 70s to lower 80s   Light to moderate winds   Partly cloudy or mostly sunny skies   Chance of rain or afternoon thunderstorms   Keep cars and boats tuned up   Use environmentally safe paints and cleaning products   Conserve electricityset A/ C to highest comfortable level   Unusually sensitive people should consider limiting prolonged outdoor exertion.

Unhealthy For Sensitive Groups AQI: 101 150 ( Orange)   Temperatures in the 80s and 90s   Light winds   Mostly sunny skies   Slight chance of afternoon thunderstorms   Limit day time driving   Limit vehicle idling   Refuel vehicles after dusk   Don't " top off your gas" tank   Avoid congested periods   Use water based paints   Use transit, vanpool or carpool   Bike or walk for short trips   Use newest or best maintained car   Active children and adults, and people with respiratory disease, such as asthma, should limit prolonged outdoor exertion. 17 Unhealthy AQI: 151 200 ( Red)   Hot, hazy, and humid   Stagnant air   Sunny skies   Little chance of precipitation   Limit daytime driving   Limit vehicle idling   Refuel vehicles after dusk   Don't " top off" gas tank   Avoid congested periods   Use water based paints   Use transit, vanpool or carpool   Bike or walk for short trips   Use newest or best maintained car   Combine trips and share rides   Postpone using gasoline mowers   Barbeque without starter fluid   Active children and adults, and people with respiratory disease such as asthma, should avoid all outdoor exertion; everyone else, especially children, should limit outdoor exertion 18 Very Unhealthy AQI: 201 300 ( Purple)   Hot, and very hazy   Extremely stagnant air   Sunny skies   No precipitation   Limit daytime driving   Limit vehicle idling   Refuel vehicles after dusk   Don't " top off" gas tank   Avoid congested periods   Use water based paints   Use transit, vanpool or carpool   Bike or walk for short trips   Use newest or best maintained car   Combine trips and share rides   Postpone using gasoline mowers   Barbecue without starter fluid   Active children and adults, and people with respiratory disease such as asthma, should avoid all outdoor exertion; everyone else, especially children, should limit outdoor exertion AQI refer to Air Quality Index. The weather conditions listed above are common weather types associated with the respective air quality levels. A combination of part or of all these weather conditions could lead to a certain level of observed air quality Source: Division of Air Quality A division of the NC Department of Environment and Natural Resources ( DENR). 19 Appendix B Public Outreach and Education In addition to the City's internal policies and procedures, the City should also work to provide information to its citizens regarding air quality issues. Such measures could include periodic press releases and/ or educational programs design to enlighten school age children of the importance of air quality and techniques used to maintain safe and acceptable air quality levels.

These could include the following:

1. Annual pre ozone season press releases highlighting the dangers of ground level ozone and steps that can be taken to prevent or mitigate its presence.

2. Periodic press releases throughout the peak season to demonstrate steps being taken by the City of Hickory and how citizens of the City of Hickory can take similar measures.

3. Provide informational narratives in monthly City of Hickory publications regarding air quality issues.

4. Explore the possibility of inserting informational pamphlets in utility mailings.

5. Explore opportunities to establish partnerships with Hickory City Schools and the Catawba County Health Department to provide educational programs that can be provided to school age children.

6. Explore the development of public awareness campaigns that participate in or hold public events highlighting the values and necessities of air quality awareness. 20 Appendix C Unifour Early Action Compact Emission Control Measures On February 17, 2004 the Hickory City Council adopted the Unifour Early Action Compact Emission Reduction Strategies. These strategies were collaboratively developed through partnership with the U. S Environmental Protection Agency, the North Carolina Division of Air Quality, and each of the local governments of the Unifour participating in the Early Action Compact. The reduction strategies are designed to mitigate diminished air quality and improve the quality of the air in an effort to provide safe and clean air for the citizens of and visitors to the Unifour.

The emission reduction strategies adopted are made up of fourteen ( 14) distinct measures that are to be taken to improve and maintain air quality standards within the City of Hickory and Unifour. The number list below delineates each of these strategies. The details of each of the below listed strategies can be found in Appendix D. This document outlines the description of how these strategies will be implemented as well as other information including target implementation dates and how the strategies are to be quantified.

1. Local governments join and participate with the private sector in the NC Air Awareness Program. 2. Enhanced Ozone Awareness ( Outreach Communication): assign a local agency to develop and implement an aggressive program to educate and motivate individuals and businesses/ organizations, to take actions to minimize ozone pollution. Can include a wider distribution of educational materials, increased media alerts, promoting NC Air Awareness program, etc. 3. Evaluate the benefits of participation in the Clean Cities program. 4. City and County Energy Plan ( Energy Conservation Plan): An energy plan could be developed that directs city & county departments to reduce energy use. This could include new construction standards for new buildings, retrofitting city/ county buildings, schools, & street lights for energy efficiency, and energy renewable sources i. e. Sustainable Building Design Stds. " Energy Star" Program, white roofs, etc., promoting transportation alternatives, and encouraging recycling & composting. 5. Assign staff to become air quality contact. 6. Adopt a local clean air policy & appoint a stakeholder group to identify & recommend locally feasible air improvement actions. 7. Landscaping Standards: Planted trees and vegetative landscaping reduce the need for air conditioning, reduce the heat island effect in urban areas, and reduce energy usage. Landscaping and tree ordinances could be drafted to establish minimum tree planting standards for new development; and to promoted strategic tree planting, street trees, and parking lot trees " Urban Forests Program". 8. Implement Smart Growth, mixed use, and infill development policies. 9. Develop plans to encourage bicycle and pedestrian usage. 10. Discourage Open Burning on Ozone Action Days ( Pledge Program). 21 11. Support Coordination of Metropolitan Planning Organization ( MPO) and Rural Planning Organization ( RPO) efforts. 12. Encourage the use of compressed work weeks or flexible work hours, which helps reduce traffic congestion during the peak driving hours by spreading out the number of vehicles on the roadway over a longer period of time. 13. Expand Transit and Ridesharing programs ( carpooling/ vanpooling). These are options where employers living in the same area agree to ride to work together rather than to drive their individual vehicles to work. 14. Improve traffic operational planning, engineering and maintenance for existing and future transportation infrastructure. APPENDIX D Unifour Early Action Compact Emission Reduction Strategies Emission Reduction Strategy Description and analysis of how the strategy will be implemented Estimate of emission reductions ( if available/ details on status Date of Implementation Resource Concerns/ Constraints Geographic area and/ or local government 1. Local governments join and participate with the private sector in the NC Air Awareness Program Division of Air Quality ( DAQ) and WPCOG will encourage local governments and the private sector to join the Air Awareness Program. Not quantifiable, but effective 2003/ ongoing Need the Division of Air Quality's support and coordination assistance Unifour Areas All stakeholders 2. Enhanced Ozone Awareness ( Outreach Communication):

assign a local agency to develop and implement an aggressive program to educate and motivate individuals and businesses/ organizations, to take actions to minimize ozone pollution. Can include a wider distribution of educational materials, increased media alerts, promoting NC Air Awareness program, etc. All EAC members will coordinate program. Not quantifiable, but effective 2003/ ongoing WPCOG will need education materials Unifour Areas All stakeholders 3. Evaluate the benefits of participation in the Clean Cities program WPCOG will coordinate program if UAQC desires to participate Not quantifiable, but effective 2003/ ongoing None Unifour Areas All stakeholders 4. City and County Energy Plan ( Energy Conservation Plan): An energy plan could be developed that directs city & county departments to reduce energy use. This could include new construction standards for new buildings,

retrofitting city/ county buildings, schools, & street lights for energy efficiency, and energy renewable sources i. e.

Sustainable Building Design Stds. " Energy Star"

Program, white roofs, etc., promoting transportation alternatives, and encouraging recycling & composting. Local governments will develop their own energy plan ( possibly involve Cooperative Extension Service) Not quantifiable, but effective 2005/ ongoing Need outside expertise to develop plans Unifour Areas All stakeholders 5. Assign staff to become air quality contact Local governments will designate staff member as air quality contact person Not quantifiable, but effective 2003/ ongoing None Unifour Areas All stakeholders 6. Adopt a local clean air policy & appoint a stakeholder group to identify & recommend locally feasible air improvement actions Unifour Air Quality Committee ( UAQC) will continue to serve as this group Not quantifiable, but effective 2003/ ongoing None Unifour Areas All stakeholders 7. Landscaping Standards: Planted trees and vegetative landscaping reduce the need for air conditioning, reduce the heat island effect in urban areas, and reduce energy usage. Landscaping and tree ordinances could be drafted to establish minimum tree planting standards for new development; and to promoted strategic tree planting,

street trees, and parking lot trees " Urban Forests Program" All local governments should develop tree and landscaping ordinances. Local governments should educate and encourage citizen participation with tree and other vegetative plantings. Riparian buffer regulations should also be supported Not quantifiable, but effective 2005 ( Some in 2003) None Unifour Areas All stakeholders 8. Implement Smart Growth, mixed use, and infill development policies. Encourage compact development to reduce travel and promote Smart Growth concepts and redevelopment activities Not quantifiable, but effective 2005 ( Some in 2003) None Unifour Areas All stakeholders 9. Develop plans to encourage bicycle and pedestrian usage. Each EAC member will develop plans within a regional context. Not quantifiable, but effective 2005 ( Some in 2003) None Unifour Areas All stakeholders 10. Discourage Open Burning on Ozone Action Days ( Pledge Program) Request all major land development and grading businesses to sign pledges to not engage in open burning activities on high ozone days. Will survey participants for # of days that open burning did not occur 2003/ ongoing None Unifour Areas All stakeholders 11. Support Coordination of Metropolitan Planning Organization ( MPO) and Rural Planning Organization ( RPO) efforts MPO and RPO will coordinate transportation and air quality planning efforts Not quantifiable, but effective 2003 None Unifour Areas All stakeholders 12. Encourage the use of compressed work weeks or flexible work hours, which helps reduce traffic congestion during the peak driving hours by spreading out the number of vehicles on the roadway over a longer period of time MPO and RPO will promote benefits of telecommuting,

flexible work hours and staggered work schedules Will determine # of participants and estimate reduction in VMT 2004 None Unifour Areas All stakeholders 13. Expand Transit and Ridesharing programs ( carpooling/ vanpooling). These are options where employers living in the same area agree to ride to work together rather than to drive their individual vehicles to work. MPO and RPO and local governments will educate and promote these benefits Produce Maps to locate employees to assist with ridesharing programs Will determine # of participants and estimate reduction in VMT 2004 None Unifour Areas All stakeholders 14. Improve traffic operational planning, engineering and maintenance for existing and future transportation infrastructure. MPO, RPO, NCDOT, and municipalities, will expand traffic operational and engineering technologies ( signal timing, signing, message boards, etc., and other intelligent transportation strategies) Not quantifiable, but effective 2004 None Unifour Area Municipalities &

NC DOT


[Federal Register: January 11, 2010 (Volume 75, Number =
6)]
[Notices]              =20
[Page 1363]
[DOCID:fr11ja10-41]                        =20

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

[Docket No. EL10-26-000]

=20
City of Riverside, CA, California Independent System Operator=20
Corporation; Notice of Filing

January 4, 2010.
    Take notice that on December 22, 2009, City of Riverside,=20
California and the California Independent System Operator Corporation=20
filed its seventh annual revision to its Transmission Revenue Balancing=20
Account Adjustment, to become effective January 1, 2010.
    Any person desiring to intervene or to protest this filing must=20
file in accordance with Rules 211 and 214 of the Commission's Rules of=20
Practice and Procedure (18 CFR 385.211, 385.214). Protests will be=20
considered by the Commission in determining the appropriate action to=20
be taken, but will not serve to make protestants parties to the=20
proceeding. Any person wishing to become a party must file a notice of=20
intervention or motion to intervene, as appropriate. Such notices,=20
motions, or protests must be filed on or before the comment date. On or=20
before the comment date, it is not necessary to serve motions to=20
intervene or protests on persons other than the Applicant.
    The Commission encourages electronic submission of protests and=20
interventions in lieu of paper using the ``eFiling'' link at http://frwebgate=
.access.gpo.gov/cgi-bin/leaving.cgi?from=3DleavingFR.html&log=3Dlinkl=
og&to=3Dhttp://www.ferc.gov. Persons unable to file =
electronically should submit an=20
original and 14 copies of the protest or intervention to the Federal=20
Energy Regulatory Commission, 888 First Street, NE., Washington, DC=20
20426.
    This filing is accessible on-line at http://frwebgate=
.access.gpo.gov/cgi-bin/leaving.cgi?from=3DleavingFR.html&log=3Dlinkl=
og&to=3Dhttp://www.ferc.gov, using the=20
``eLibrary'' link and is available for review in the Commission's=20
Public Reference Room in Washington, DC. There is an ``eSubscription''=20
link on the Web site that enables subscribers to receive e-mail=20
notification when a document is added to a subscribed docket(s). For=20
assistance with any FERC Online service, please e-mail=20
<EMAIL_ADDRESS>, or call<PHONE_NUMBER> (toll free). For=20
TTY, call<PHONE_NUMBER>.
    Comment Date: 5 p.m. Eastern Time on January 12, 2010.

Kimberly D. Bose,
Secretary.
[FR Doc. 2010-182 Filed 1-8-10; 8:45 am]
BILLING CODE 6717-01-P