The Motor Vehicle Manufacturing Industry Applying Aluminum Parts --

Total Cadmium Data

Facility Name	City	State	Sample Date	Sample ID	Duplicate Indicator Constituent Name	Total Actual or Calculated	Analytical Method	Total Concentration Result	Units	Total Non-Detect Indicator	Total Detection Limit mg/kg	Total Detection Limit Data Qualifier	Description

BMW Manufacturing Corporation	SPARTANBURG	SC

Comp-1	N	cadmium	actual

21.3	mg/kg

	?	Unknown

BMW Manufacturing Corporation	SPARTANBURG	SC

Comp-2	N	cadmium	actual

21.5	mg/kg

	?	Unknown

BMW Manufacturing Corporation	SPARTANBURG	SC

Comp-3	N	cadmium	actual

20.6	mg/kg

	?	Unknown

BMW Manufacturing Corporation	SPARTANBURG	SC

Comp-4	N	cadmium	actual

19.9	mg/kg

	?	Unknown

BMW Manufacturing Corporation	SPARTANBURG	SC

Dup-00101 (Comp-2)	Y	cadmium	actual

21.1	mg/kg

	?	Unknown

DaimlerChrysler Jefferson North Assembly Plant	DETROIT	MI

JN-1	N	cadmium	actual

2.7	mg/kg

DaimlerChrysler Jefferson North Assembly Plant	DETROIT	MI

JN-2	N	cadmium	actual

2.4	mg/kg

DaimlerChrysler Jefferson North Assembly Plant	DETROIT	MI

JN-3	N	cadmium	actual

2.5	mg/kg

DaimlerChrysler Jefferson North Assembly Plant	DETROIT	MI

JN-4	N	cadmium	actual

2.3	mg/kg

DaimlerChrysler Jefferson North Assembly Plant	DETROIT	MI

JN-5	N	cadmium	actual

2.5	mg/kg

DaimlerChrysler Jefferson North Assembly Plant	DETROIT	MI

JN-6	N	cadmium	actual

2.6	mg/kg

DaimlerChrysler Jefferson North Assembly Plant	DETROIT	MI

JN-7	N	cadmium	actual

2.6	mg/kg

Ford Wixom Assembly Plant	WIXOM	MI

Drum #2	N	cadmium	actual

4.7	mg/kg

1

GM Hamtramck Plant	DETROIT	MI

H1-6	N	cadmium	actual

1.1	mg/kg

GM Hamtramck Plant	DETROIT	MI

H2-5	N	cadmium	actual

17	mg/kg

GM Lansing Assembly Center	LANSING	MI	12/19/1997	LAN-S01-01	N	cadmium actual	Method 6020	0.66	mg/kg

GM Lansing Assembly Center	LANSING	MI	12/19/1997	LAN-S01-02	N	cadmium actual	Method 6020	1.2	mg/kg

GM Lansing Assembly Center	LANSING	MI	12/19/1997	LAN-S01-03	N	cadmium actual	Method 6020	0.99	mg/kg

GM Lordstown Assembly Plant	LORDSTOWN	OH	12/16/1997	LOR-S01-01	N	cadmium actual

0.68	mg/kg

GM Lordstown Assembly Plant	LORDSTOWN	OH	12/16/1997	LOR-S01-02	N	cadmium actual

0.62	mg/kg

GM Lordstown Assembly Plant	LORDSTOWN	OH	12/16/1997	LOR-S01-03	N	cadmium actual

0.71	mg/kg

GM Lordstown Assembly Plant	LORDSTOWN	OH	12/16/1997	LOR-S01-04	N	cadmium actual

0.66	mg/kg

GM Lordstown Assembly Plant	LORDSTOWN	OH	12/16/1997	LOR-S01-05	N	cadmium actual

0.93	mg/kg

GM Lordstown Assembly Plant	LORDSTOWN	OH	6/9/1998	LOR-S02-01	N	cadmium actual

0.56	mg/kg

GM Lordstown Assembly Plant	LORDSTOWN	OH	6/9/1998	LOR-S02-02	N	cadmium actual

0.6	mg/kg

GM Oklahoma City	OKLAHOMA CITY	OK	12/16/1997	OKL-S01-01	N	cadmium	actual

0.85	mg/kg

GM Oklahoma City	OKLAHOMA CITY	OK	12/16/1997	OKL-S01-05	N	cadmium	actual

0.83	mg/kg

GM Oklahoma City	OKLAHOMA CITY	OK	6/11/1998	OKL-S02-01	N	cadmium	actual

0.6	mg/kg

GM Oklahoma City	OKLAHOMA CITY	OK	6/11/1998	OKL-S02-02	N	cadmium	actual

0.51	mg/kg

GM Oklahoma City	OKLAHOMA CITY	OK	6/11/1998	OKL-S02-03	N	cadmium	actual

0.8	mg/kg

GM Oklahoma City	OKLAHOMA CITY	OK	6/11/1998	OKL-S02-04	N	cadmium	actual

0.43	mg/kg

GM Oklahoma City	OKLAHOMA CITY	OK	6/11/1998	OKL-S02-05	N	cadmium	actual

0.5	mg/kg

GM Orion Assembly Center	LAKE ORION	MI	2/20/1995	UPCU 4103788/255-008 - RB-4	N	cadmium	actual

1	mg/kg

	J	Estimate

GM Orion Assembly Center	LAKE ORION	MI	2/20/1995	UPCU<PHONE_NUMBER>-007 - RB-3	N	cadmium	actual

1.9	mg/kg

	J	Estimate

GM Orion Assembly Center	LAKE ORION	MI	2/20/1995	UPCU 4108183/255-002 - RB-3-Dup	Y	cadmium	actual

1.6	mg/kg

	J	Estimate

GM Orion Assembly Center	LAKE ORION	MI	2/20/1995	UPCU 4108183/255-003 - RB-1	N	cadmium	actual

1	mg/kg

	J	Estimate

GM Orion Assembly Center	LAKE ORION	MI	2/20/1995	UPCU 4117098/255-004 - RB-2	N	cadmium	actual

1.8	mg/kg

	J	Estimate

GM Pontiac East Plant	PONTIAC	MI

PE-5	N	cadmium	actual

1.1	mg/kg

Nissan North America Manufacturing Facility	SMYRNA	TN	6/24/2002	NS-06a	N cadmium	actual

2.1	mg/kg

0.61

Nissan North America Manufacturing Facility	SMYRNA	TN	7/8/2002	NS-11a	N cadmium	actual

0.58	mg/kg

Nissan North America Manufacturing Facility	SMYRNA	TN	7/10/2002	NS-12a	N cadmium	actual

0.66	mg/kg

n 	41

	MAXIMUM	21.5

	MEAN	4.113902439

	MEDIAN	1.1

	Std. Dev.	6.839914429

	90th Percentile	19.9

	50th Percentile	1.1


[Federal Register Volume 80, Number 205 (Friday, October 23, 2015)]
[Notices]
[Page 64406]
[FR Doc No: 2015-26960]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

Combined Notice of Filings #2

    Take notice that the Commission received the following electric
corporate filings:

    Docket Numbers: EC16-15-000.
    Applicants: Michigan Power Limited Partnership.
    Description: Application for Authorization Pursuant to Section 203
of the Federal Power Act of Michigan Power Limited Partnership.
    Filed Date: 10/19/15.
    Accession Number: 20151019-5314.
    Comments Due: 5 p.m. ET 11/9/15.

    Take notice that the Commission received the following electric
rate filings:

    Docket Numbers: ER10-2719-023; ER10-2718-024; ER14-1317-005; ER11-
2041-009; ER11-2042-009; ER10-3193-008; ER10-2964-010; ER10-2924-008;
ER10-2480-007; ER10-2959-008; ER10-2961-008; ER10-2934-007; ER12-281-
009; ER10-3099-015; ER13-821-009; ER10-2950-007; ER14-2500-003; ER14-
2498-003; ER10-2615-009; ER10-2538-005; ER11-2335-010.
    Applicants: East Coast Power Linden Holding, L.L.C., Cogen
Technologies Linden Venture, L.P., Sunshine Gas Producers, LLC,
Innovative Energy Systems, LLC, Seneca Energy II, LLC, Brooklyn Navy
Yard Cogeneration Partners, L.P., Selkirk Cogen Partners, L.P., Kleen
Energy Systems, LLC, Berkshire Power Company, LLC, Chambers
Cogeneration, Limited Partnership, Edgecombe Genco, LLC, Logan
Generating Company, L.P., Northampton Generating Company, L.P., RC Cape
May Holdings, LLC, Scrubgrass Generating Company, L.P., Spruance Genco,
LLC, Newark Energy Center, LLC, EIF Newark, LLC, Plum Point Energy
Associates, LLC, Plum Point Services Company, LLC, Panoche Energy
Center, LLC.
    Description: Notice of Non-Material Change in Status of East Coast
Power Linden Holding, L.L.C., et al.
    Filed Date: 10/19/15.
    Accession Number: 20151019-5252.
    Comments Due: 5 p.m. ET 11/9/15.

    Docket Numbers: ER15-2236-001.
    Applicants: Midwest Power Transmission Arkansas, LLC.
    Description: Compliance filing: Compliance Filing, Midwest Power
Transmission Arkansas, LLC to be effective 9/21/2015.
    Filed Date: 10/19/15.
    Accession Number: 20151019-5329.
    Comments Due: 5 p.m. ET 11/9/15.

    Docket Numbers: ER15-2237-001.
    Applicants: Kanstar Transmission, LLC.
    Description: Compliance filing: Compliance Filing, Kanstar
Transmission, LLC to be effective 9/21/2015.
    Filed Date: 10/19/15.
    Accession Number: 20151019-5330.
    Comments Due: 5 p.m. ET 11/9/15.

    Docket Numbers: ER16-117-000.
    Applicants: Wolverine Power Supply Cooperative, Inc.
    Description: Sec.  205(d) Rate Filing: Oden IFA to be effective 10/
2/2015.
    Filed Date: 10/19/15.
    Accession Number: 20151019-5299.
    Comments Due: 5 p.m. ET 11/9/15.

    Docket Numbers: ER16-118-000.
    Applicants: Midcontinent Independent System Operator, Inc., ALLETE,
Inc.
    Description: Sec.  205(d) Rate Filing: 2015-10-19_Allete
Transmission Rate Incentive Filing to be effective 1/1/2016.
    Filed Date: 10/19/15.
    Accession Number: 20151019-5300.
    Comments Due: 5 p.m. ET 11/9/15.

    Docket Numbers: ER16-119-000.
    Applicants: PJM Interconnection, L.L.C.
    Description: Sec.  205(d) Rate Filing: Original Service Agreement
No. 4276; Queue #Y3-088/Y3-090/Y3-091 to be effective 9/18/2015.
    Filed Date: 10/19/15.
    Accession Number: 20151019-5342.
    Comments Due: 5 p.m. ET 11/9/15.

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

    Dated: October 19, 2015.
Nathaniel J. Davis, Sr.,
Deputy Secretary.
[FR Doc. 2015-26960 Filed 10-22-15; 8:45 am]
 BILLING CODE 6717-01-P


[Federal Register: September 22, 2005 (Volume 70, Number 183)]
[Notices]
[Page 55642-55643]
[DOCID:fr22se05-67]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-52451; File No. SR-ISE-2005-44]

Self-Regulatory Organizations; International Securities Exchange,
Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule
Change Relating to Primary Market Maker Obligations

September 15, 2005.
    Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934
(``Act''),\1\ and Rule 19b-4 thereunder,\2\ notice is hereby given that
on September 14, 2005, the International Securities Exchange, Inc.
(``ISE'' or ``Exchange'') filed with the Securities and Exchange
Commission (``Commission'') the proposed rule change as described in
Items I and II below, which Items have been prepared by the Exchange.
The Exchange has filed the proposed rule change as a ``non-
controversial'' rule change pursuant to Section 19(b)(3)(A) of the
Act,\3\ and Rule 19b-4(f)(6) thereunder,\4\ which renders the proposal
effective upon filing with the Commission. 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\ 17 CFR 240.19b-4.
    \3\ 15 U.S.C. 78s(b)(3)(A).
    \4\ 17 CFR 240.19b-4(f)(6).
---------------------------------------------------------------------------

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

    The Exchange proposes to amend ISE Rule 803 regarding Primary
Market Maker obligations in consideration of a recently approved change
to the ISE Rules relating to the Plan for the Purpose of Creating and
Operating an Intermarket Option Linkage.\5\
---------------------------------------------------------------------------

    \5\ On July 28, 2000, the Commission approved a national market
system plan for the purpose of creating and operating an intermarket
option linkage proposed by the American Stock Exchange LLC, the
Chicago Board Options Exchange, Incorporated, and the ISE. See
Securities Exchange Act Release No. 43086 (July 28, 2000), 65 FR
48023 (August 4, 2000) (``Linkage Plan''). Subsequently, upon
separate requests by the Philadelphia Stock Exchange, Inc., the
Pacific Exchange, Inc., and the Boston Stock Exchange, Inc., the
Commission issued orders to permit these exchanges to participate in
the Linkage Plan. See Securities Exchange Act Release Nos. 43573
(November 16, 2000), 65 FR 70851 (November 28, 2000); 43574
(November 16, 2000), 65 FR 70850 (November 28, 2000); and 49198
(February 5, 2004), 69 FR 7029 (February 12, 2004).
---------------------------------------------------------------------------

    The text of the proposed rule change is available on the Exchange's
Web site (http://www.iseoptions.com), at the Exchange's Office of the

Secretary, and at the Commission's Public Reference Room.

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

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

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

1. Purpose
    In file number SR-ISE-2005-33, which was recently approved by the
Commission, the Exchange proposed to amend its rules governing Linkage
\6\ trading with respect to trade-throughs and locked markets.\7\ SR-
ISE-2005-33 provided that an Exchange member may trade an order at a
price that is one minimum quoting increment inferior to the national
best bid and offer (``NBBO'') if the member contemporaneously transmits
to the market(s) disseminating the NBBO Linkage Order(s) \8\ to satisfy
all interest at the NBBO price (``trade and ship''). Under trade and
ship, pursuant to agency obligations, any execution the member receives
from the market disseminating the NBBO must be reassigned to any
customer order underlying the Linkage Order that was transmitted to
trade with the market disseminating the NBBO.
---------------------------------------------------------------------------

    \6\ The Exchange defines ``Linkage'' in ISE Rule 1900(9).
    \7\ See Securities Exchange Act Release No. 52418 (September 13,
2005) (order approving SR-ISE-2005-33).
    \8\ The Exchange defines ``Linkage Order'' in ISE Rule 1900(10).
---------------------------------------------------------------------------

    The purpose of this proposed rule change is to reflect the change
made in SR-ISE-2005-33 in ISE Rule 803(c), which specifies the
obligations of a Primary Market Maker when handling a Public Customer
Order. Specifically, the Exchange proposes to amend ISE Rule 803(c) to
specify that a Primary Market Maker may trade and ship as described
above. This proposed rule change is necessary to assure that the
Exchange's rules are consistent with respect to the handling of Public
Customer Orders.
2. Statutory Basis
    The basis under the Act for this proposed rule change is the
requirement under Section 6(b)(5) \9\ that an exchange have rules that
are designed to prevent fraudulent and manipulative acts and practices,
to promote just and equitable principles of trade, to foster
cooperation and coordination with persons engaged in regulating,
clearing, settling, processing information with respect to, and
facilitating transactions in securities, to remove impediments to and
perfect the mechanism of a free and open market and a national market
system, and, in general, to protect investors and the public interest.
In particular, the proposed rule change will help implement the Linkage
Plan by facilitating the ability of market makers to execute their
customer orders and assuring that the Exchange's rules in this respect
are consistent.
---------------------------------------------------------------------------

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

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

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

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

    The Exchange has not solicited, and does not intend to solicit,
comments on this proposed rule change. The Exchange has not received
any written comments from members or other interested parties.

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

    Because the foregoing proposed rule change effects a change that
does not: (1) Significantly affect the protection of investors or the
public interest; (2) impose any significant burden on competition; and
(3) become operative for 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 \10\ and Rule 19b-4(f)(6)
thereunder.\11\ As required under Rule 19b-4(f)(6)(iii),\12\ the
Exchange provided the Commission with written notice of the Exchange's
intent to file the proposed rule change at least five business days
prior to the filing date of the proposed rule change.
---------------------------------------------------------------------------

    \10\ 15 U.S.C. 78s(b)(3)(A).
    \11\ 17 CFR 240.19b-4(f)(6).
    \12\ 17 CFR 240.19b-4(f)(6)(iii).
---------------------------------------------------------------------------

    A proposed rule change filed under Rule 19b-4(f)(6) \13\ normally
may not become operative prior to 30 days after the date of its filing.
However, Rule 19b-4(f)(6)(iii) \14\ permits the Commission to designate
a shorter time if such action is consistent with the protection of
investors and the public interest. The Exchange has requested that the
Commission waive the 30-day operative delay, as specified in Rule 19b-
4(f)(6)(iii), and designate the proposed rule change operative upon
filing.
---------------------------------------------------------------------------

    \13\ 17 CFR 240.19b-4(f)(6).
    \14\ 17 CFR 240.19b-4(f)(6)(iii).
---------------------------------------------------------------------------

    The Commission believes that waiving the 30-day operative delay is
consistent with the protection of investors and the public
interest,\15\ because accelerating the operative date immediately
eliminates the inconsistency in the Exchange Rules with respect to
Primary Market Makers Obligations to Public Customer Orders that
otherwise exists as a result of the approval of trade and ship.\16\ For
this reason, the Commission designates that the proposal is operative
upon filing.
---------------------------------------------------------------------------

    \15\ For the purpose only of waiving the 30-day operative delay,
the Commission has considered the proposed rule's impact on
efficiency, competition, and capital formation. 15 U.S.C. 78c(f).
    \16\ See supra note 7.
---------------------------------------------------------------------------

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

IV. Solicitation of Comments

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

Electronic Comments

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

File Number SR-ISE-2005-44 on the subject line.

Paper Comments

     Send paper comments in triplicate to Jonathan G. Katz,
Secretary, Securities and Exchange Commission, 100 F Street, NE.,
Washington, DC 20549-9303.

    All submissions should refer to File Number SR-ISE-2005-44 . This
file number should be included on the subject line if e-mail is used.
To help the Commission process and review your comments more
efficiently, please use only one method. The Commission will post all
comments on the Commission's Internet Web site (http://www.sec.gov/rules/sro.shtml
). Copies of the submission, all subsequent amendments,

all written statements with respect to the proposed rule change that
are filed with the Commission, and all written communications relating
to the proposed rule change between the Commission and any person,
other than those that may be withheld from the public in accordance
with the provisions of 5 U.S.C. 552, will be available for inspection
and copying in the Commission's Public Reference Room. 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; the Commission does not edit personal identifying
information from submissions. You should submit only information that
you wish to make available publicly. All submissions should refer to
File Number SR-ISE-2005-44 and should be submitted on or before October
13, 2005.

    For the Commission, by the Division of Market Regulation,
pursuant to delegated authority.\17\
---------------------------------------------------------------------------

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

Jonathan G. Katz,
Secretary.
[FR Doc. 05-18895 Filed 9-21-05; 8:45 am]

BILLING CODE 8010-01-P


[Federal Register Volume 87, Number 6 (Monday, January 10, 2022)]
[Notices]
[Pages 1171-1175]
[FR Doc No: 2022-00182]

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

DEPARTMENT OF HOMELAND SECURITY

[Docket No. FEMA-2021-0031]

Privacy Act of 1974; System of Records

AGENCY: Federal Emergency Management Agency, Department of Homeland
Security.

ACTION: Notice of a new system of records.

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

SUMMARY: In accordance with the Privacy Act of 1974, the Department of
Homeland Security (DHS) proposes to establish a new Department of
Homeland Security system of records titled, ``Department of Homeland
Security/Federal Emergency Management Agency (FEMA)-016 Disaster Case
Management Files System of Records.'' This system of records allows the
Department of Homeland Security/Federal Emergency Management Agency to
collect and maintain records on survivors of a Presidentially-declared
major disaster with Individual Assistance (IA) authorized (as
documented in the declaration published in the Federal Register) who
participate in Federal Emergency Management Agency-administered
Disaster Case Management (DCM) Programs. This newly established system
will be included in the Department of Homeland Security's inventory of
record systems.

DATES: Submit comments on or before February 9, 2022. This new system
will be effective upon publication. Routine uses will be effective
February 9, 2022.

ADDRESSES: You may submit comments, identified by docket number FEMA-
2021-0031 by one of the following methods:
     Federal e-Rulemaking Portal: http://www.regulations.gov.
Follow the instructions for submitting comments.
     Fax:<PHONE_NUMBER>.
     Mail: Lynn Parker Dupree, Chief Privacy Officer, Privacy
Office, Department of Homeland Security, Washington, DC 20528-0655.
    Instructions: All submissions received must include the agency name
and docket number FEMA-2021-0031. All comments received will be posted
without change to http://www.regulations.gov, including any personal
information provided.
    Docket: For access to the docket to read background documents or
comments received, go to http://www.regulations.gov.

FOR FURTHER INFORMATION CONTACT: For general questions, please contact:
Tammi Hines,<PHONE_NUMBER>, [email protected], Senior Director
for Information Management, Federal Emergency Management Agency,
Department of Homeland Security, Washington, DC 20528. For privacy
questions, please contact: Lynn Parker Dupree,<PHONE_NUMBER>,
[email protected], Chief Privacy Officer, Privacy Office, Department
of Homeland Security, Washington, DC 20528-0655.

SUPPLEMENTARY INFORMATION:

I. Background

    Pursuant to Executive Order 12148, as amended by Executive Orders
12673 and 13286, the President of the United States has delegated to
the Department of Homeland Security, including the Federal Emergency
Management Agency, the authority to provide case management services,
pursuant to the Robert T. Stafford Disaster Relief and Emergency
Assistance Act (Stafford Act), 42 U.S.C. 5189d. Under the Stafford Act,
the Federal Emergency Management Agency (or another federal agency,
non-profit organization, or qualified private organization when
operating on behalf of the Federal Emergency Management Agency) may
provide Disaster Case Management services directly to survivors or
through financial assistance (funding through a federal award) to state
(which includes the fifty states, the territories, and the District of
Columbia) or local government agencies, Indian tribes, or qualified
private organizations.
    Disaster Case Management services include identifying and
addressing disaster-caused unmet needs of survivors through
identification of, and referral to, available resources. A disaster-
caused unmet need is an un-resourced item, support, or assistance that
has been assessed and verified as necessary for a survivor to recover
from a disaster. This may include food, clothing, shelter, first aid,
emotional and spiritual care, household items, home repair, or
rebuilding.
    In order to provide immediate to long-term Disaster Case Management
during a Presidentially-declared major disaster declaration when
Individual Assistance has been authorized, the Federal Emergency
Management Agency may: (1) Directly provide Disaster Case Management
services; (2) contract with a non-profit organization or qualified
private organization who implements Disaster Case Management on behalf
of the Federal Emergency Management Agency; (3) enter into an
interagency agreement or mission assignment with another federal agency
who implements Disaster Case Management on behalf of the Federal
Emergency Management Agency; or (4) award federal funding through a
grant or cooperative agreement to a state or local government, a tribe,
or a qualified private organization who implements their own Disaster
Case Management program.
    This System of Records Notice only applies to Disaster Case
Management services administered directly by the Federal Emergency
Management Agency or by a non-profit organization, qualified private
organization, or federal

agency on the Federal Emergency Management Agency's behalf. Records
collected and maintained during Disaster Case Management program
implementation will be used to provide these services and to monitor
and assess the effectiveness of the Federal Emergency Management
Agency-administered Disaster Case Management programs. Disaster Case
Management may also include: Making intake assessments and referrals
for critical unmet needs; providing outreach and triage at locations
such as shelters, congregate areas, and temporary disaster housing
locations; developing and monitoring a disaster recovery plan, which
documents a survivor's unmet needs, recovery goals, referral resources,
and status of survivor recovery efforts; connecting the disaster
survivor to recovery resources that are locally available; and
advocating for available resources to assist survivors.
    In addition, the Federal Emergency Management Agency and the
entities providing Federal Emergency Management Agency-administered
Disaster Case Management may share information with federal, state,
tribal, local, and voluntary entities, as well as Federal Emergency
Management Agency-recognized and/or state-recognized long term recovery
committees (LTRC) and their members (long term recovery groups (LTRG))
for a declared county charged through legislation or chartered with
administering disaster relief or assistance programs consistent with
the routine uses set forth in this system of records notice. Note that
a state, local, or tribal entity providing case management services is
not acting on behalf of the Federal Emergency Management Agency.
However, this System of Records Notice does support sharing with state,
local, and tribal entities when the Federal Emergency Management Agency
is sharing information after a Federal Emergency Management Agency-
administered Disaster Case Management implementation.
    The records that the Federal Emergency Management Agency or another
federal agency, a non-profit organization, or a qualified private
organization will collect and maintain on behalf of the Federal
Emergency Management Agency in order to provide Federal Emergency
Management Agency-administered Disaster Case Management services may be
first collected in the field from disaster survivors or may be provided
by the Federal Emergency Management Agency to these entities. The
implementing non-profit organization, qualified private organization,
or other federal agency will enter into agreements with the Federal
Emergency Management Agency to maintain the records in accordance with
the National Archives and Records Administration (NARA) and Federal
Emergency Management Agency-approved records polices. The Federal
Emergency Management Agency is currently working with the National
Archives and Records Administration to establish the appropriate
records retention schedule for the records collected and covered by
this System of Records.
    Consistent with the Department of Homeland Security' information
sharing mission, information stored in the DHS/FEMA-016 Disaster Case
Management Files System of Records may be shared with other Department
of Homeland Security components that have a need to know the
information to carry out their national security, law enforcement,
immigration, intelligence, or other homeland security functions. In
addition, the Federal Emergency Management Agency may share information
with appropriate federal, state, tribal, local, foreign, or
international government agencies consistent with the routine uses set
forth in this system of records notice.
    This newly established system will be included in the Department of
Homeland Security's inventory of record systems.

II. Privacy Act

    The Privacy Act embodies fair information practice principles in a
statutory framework governing the means by which Federal Government
agencies collect, maintain, use, and disseminate individuals' records.
The Privacy Act applies to information that is maintained in a ``system
of records.'' A ``system of records'' is a group of any records under
the control of an agency from which information is retrieved by the
name of an individual or by some identifying number, symbol, or other
information assigned to the individual. In the Privacy Act, an
individual is defined to encompass U.S. citizens and lawful permanent
residents. Additionally, the Judicial Redress Act (JRA) provides
covered persons with a statutory right to make requests for access and
amendment to covered records, as defined by the Judicial Redress Act,
along with judicial review for denials of such requests. In addition,
the Judicial Redress Act prohibits disclosures of covered records,
except as otherwise permitted by the Privacy Act.
    Below is the description of the DHS/FEMA-016 Disaster Case
Management Files System of Records.
    In accordance with 5 U.S.C. 552a(r), the Department of Homeland
Security has provided a report of this system of records to the Office
of Management and Budget and to Congress.

SYSTEM NAME AND NUMBER:
    Department of Homeland Security (DHS)/Federal Emergency Management
Agency (FEMA)-016 Disaster Case Management (DCM) Files System of
Records.

SECURITY CLASSIFICATION:
    Unclassified.

SYSTEM LOCATION:
    Records are maintained at the Federal Emergency Management Agency
Headquarters in Washington, DC; Federal Emergency Management Agency
Regional Offices; Joint Field Offices; Disaster Field Offices; National
Processing Service Centers; Disaster Recovery Centers; and the Federal
Emergency Management Agency data centers located in Bluemont, Virginia,
and Clarksville, Virginia. Subject to agreement with an organization
chosen by the Federal Emergency Management Agency to implement Disaster
Case Management on its behalf, records may be maintained at the
facilities of federal agencies with interagency agreements or mission
assignments or with non-profit organizations or qualified private
organizations under contract.

SYSTEM MANAGER(S):
    Division Director, Individual Assistance Division,<PHONE_NUMBER>,
[email protected], Federal Emergency Management Agency,
500 C Street SW, Washington, DC 20472.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    Section 426 of the Robert T. Stafford Disaster Relief and Emergency
Assistance Act, as amended (42 U.S.C. 5189d); Executive Order 12148, as
amended by Executive Order 12673 and Executive Order 13286.

PURPOSE(S) OF THE SYSTEM:
    The purpose of this system is to enable the Federal Emergency
Management Agency, and its chosen providers (which can be non-profit
organizations, qualified private organizations, or federal agencies
working on behalf of the Federal Emergency Management Agency), to
provide services in an efficient and expeditious manner that support
the overall Federal Emergency Management Agency-administered Disaster
Case Management programs. Records will primarily be used to connect
disaster survivors who have disaster-related

unmet needs to locally available services and will additionally support
long term recovery assistance provided by state, tribal, and local
entities and the Federal Emergency Management Agency and/or state
recognized long term recovery committees and their members (e.g., long
term recovery groups).

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Following a Presidentially-declared major disaster when Individual
Assistance is authorized, all individuals and their family and
household members who register for Federal Emergency Management Agency-
administered Disaster Case Management, who express interest in
registering for Federal Emergency Management Agency-administered
Disaster Case Management, or who may benefit from Federal Emergency
Management Agency-administered Disaster Case Management, as well as
employees, contractors, or other personnel providing Disaster Case
Management assistance.

CATEGORIES OF RECORDS IN THE SYSTEM:
    Disaster-related case management records, consisting of:
     Disaster number;
     Case ID numbers (e.g., FEMA Registration ID, client
numbers);
     Written consents;
     Disaster Case Management Applicant/Co-Applicant and
Household Information:
    [cir] Full name;
    [cir] Languages spoken, written, or signed;
    [cir] Address;
    [cir] Location types;
    [cir] Dates of occupation;
    [cir] Location at time of registration;
    [cir] Phone numbers;
    [cir] Email addresses;
    [cir] Disaster Case Management-related healthcare records (e.g.,
health insurance type, status, service provider, type of appointment
referral);
    [cir] Household size;
    [cir] Demographic information (e.g., age, gender, relationship to
head of household, marital status);
    [cir] Referral assessment and tracking information/Disaster
Recovery Plan:
    [ssquf] Referral source;
    [ssquf] Appointment times and attendance/no show to appointment;
    [ssquf] Reported symptoms and feelings of distress;
    [ssquf] Behavioral health advocacy assessment;
    [ssquf] Children and youth, clothing assessment;
    [ssquf] Employment assessment;
    [ssquf] Food assessment;
    [ssquf] Furniture and appliances assessment;
    [ssquf] Healthcare needs assessment;
    [ssquf] Housing assessment;
    [ssquf] Transportation assessment;
    [ssquf] Senior services assessment;
    [ssquf] Legal services assessment;
    [ssquf] Assistance animals and household pets; and
    [ssquf] Funeral assistance.
     Federal Emergency Management Agency Disaster Assistance
Registration Assistance Records:
    [cir] Homeowners insurance coverage details (including flood
coverage and compliance);
    [cir] Details on damage to real and personal property (Federal
Emergency Management Agency verified);
    [cir] Degree of total damage incurred (Federal Emergency Management
Agency verified);
    [cir] Residence type;
    [cir] Self-reported income;
    [cir] Housing Assistance (HA) eligibility, types, and amounts;
    [cir] Other Needs Assistance (ONA) eligibility, types, and amounts;
    [cir] Approved direct assistance received, including Direct Housing
Assistance eligibility, types, received status;
    [cir] Total Individuals and Households Program (IHP) amount
approved, assistance sought, assistance received, source of assistance;
    [cir] Small Business Administration (SBA) referral details, and
status of access and functional needs and/or emergency needs; and
    [cir] Self-reported disability or access and functional need, such
as Personal Assistance Services.
     Business contact information collected from employees,
contractors, and other personnel providing Disaster Case Management
assistance (e.g., name, title, email address, phone number).

RECORD SOURCE CATEGORIES:
    Records may be obtained from disaster survivors (i.e., applicant)
or a member of the applicant's family or household, or may be provided
by other governmental entities (e.g., federal, state, tribal, or local
governments) through the Federal Emergency Management Agency-
Administered Disaster Case Management Intake Form and the Federal
Emergency Management Agency-Administered Disaster Case Management
Consent Form, as well as the Federal Emergency Management Agency's
Disaster Assistance Registration Form (FEMA Forms 009-0-1 and 009-0-2).

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND PURPOSES OF SUCH USES:
    In addition to those disclosures generally permitted under 5 U.S.C.
552a(b) of the Privacy Act, all or a portion of the records or
information contained in this system may be disclosed outside the
Department of Homeland Security as a routine use pursuant to 5 U.S.C.
552a(b)(3) as follows:
    A. To the Department of Justice (DOJ), including the U.S. Attorneys
Offices, or other federal agencies conducting litigation or proceedings
before any court, adjudicative, or administrative body, when it is
relevant or necessary to the litigation and one of the following is a
party to the litigation or has an interest in such litigation:
    1. Department of Homeland Security or any component thereof;
    2. Any employee or former employee of the Department of Homeland
Security in his/her official capacity;
    3. Any employee or former employee of the Department of Homeland
Security in his/her individual capacity, only when the Department of
Justice or the Department of Homeland Security has agreed to represent
the employee; or
    4. The United States or any agency thereof.
    B. To a congressional office from the record of an individual in
response to an inquiry from that congressional office made at the
request of the individual to whom the record pertains.
    C. To the National Archives and Records Administration or General
Services Administration pursuant to records management inspections
being conducted under the authority of 44 U.S.C. 2904 and 2906.
    D. To an agency or organization for the purpose of performing audit
or oversight operations as authorized by law, but only such information
as is necessary and relevant to such audit or oversight function.
    E. To appropriate agencies, entities, and persons when (1) the
Department of Homeland Security suspects or has confirmed that there
has been a breach of the system of records; (2) the Department of
Homeland Security has determined that as a result of the suspected or
confirmed breach there is a risk of harm to individuals, the Department
of Homeland Security (including its information systems, programs, and
operations), the federal government, or national security; and (3) the
disclosure made to such agencies, entities, and persons is reasonably
necessary to assist in connection with the Department of Homeland
Security's efforts to respond

to the suspected or confirmed breach or to prevent, minimize, or remedy
such harm.
    F. To another federal agency or federal entity, when the Department
of Homeland Security determines that information from this system of
records is reasonably necessary to assist the recipient agency or
entity in (1) responding to a suspected or confirmed breach or (2)
preventing, minimizing, or remedying the risk of harm to individuals,
the recipient agency or entity (including its information systems,
programs, and operations), the Federal Government, or national
security, resulting from a suspected or confirmed breach.
    G. To an appropriate federal, state, tribal, local, international,
or foreign law enforcement agency or other appropriate authority
charged with investigating or prosecuting a violation or enforcing or
implementing a law, rule, regulation, or order, when a record, either
on its face or in conjunction with other information, indicates a
violation or potential violation of law, which includes criminal,
civil, or regulatory violations and such disclosure is proper and
consistent with the official duties of the person making the
disclosure.
    H. To contractors and their agents, grantees, experts, consultants,
and others performing or working on a contract, service, grant,
cooperative agreement, or other assignment or agreement for the
Department of Homeland Security, when necessary to accomplish an agency
function related to this system of records. Individuals provided
information under this routine use are subject to the same Privacy Act
requirements and limitations on disclosure as are applicable to
Department of Homeland Security officers and employees.
    I. To a voluntary organization, as defined in 44 CFR 206.2(a)(27),
or to a Federal Emergency Management Agency-recognized or state-
recognized long term recovery committee and its members (long term
recovery groups) for a declared county charged through legislation or
chartered with administering disaster relief or assistance programs,
that is actively involved in the recovery efforts of the disaster and
that has an assistance program to address one or more unmet disaster-
related needs of disaster survivors. The Federal Emergency Management
Agency may disclose to such voluntary organizations lists of applicant
names and contact information, as well as information necessary to
provide the identified additional disaster assistance and/or address a
specified unmet need.
    J. To a state, tribal, or local agency for a statistical or
research purpose, including the development of methods or resources to
support statistical or research activities, provided that the records
support Department of Homeland Security programs and activities that
relate to the purpose(s) stated in this System of Records Notice, and
will not be used in whole or in part in making any determination
regarding an individual's rights, benefits, or privileges under federal
programs, or published in any manner that identifies an individual.
    K. To recipients of a long-term Disaster Case Management federal
award, such as a state, tribal, or local government entity or a non-
profit entity, to ensure continuity of services for each disaster
survivor, if the disaster survivor still has unmet needs at the
conclusion of the Federal Emergency Management Agency-administered
Disaster Case Management program.
    L. To the subject of a Disaster Case Management case file, the
name, title, and business contact information of the employee or
contractor providing Disaster Case Management assistance.
    M. To the news media and the public, with the approval of the Chief
Privacy Officer in consultation with counsel, when there exists a
legitimate public interest in the disclosure of the information, when
disclosure is necessary to preserve confidence in the integrity of the
Department of Homeland Security, or when disclosure is necessary to
demonstrate the accountability of the Department of Homeland Security's
officers, employees, or individuals covered by the system, except to
the extent the Chief Privacy Officer determines that release of the
specific information in the context of a particular case would
constitute a clearly unwarranted invasion of personal privacy.

POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
    The Federal Emergency Management Agency and non-profit
organizations, qualified private organizations, or federal agencies
supporting Federal Emergency Management Agency-administered Disaster
Case Management programs store records in this system in a secure
computer system electronically or on paper in secure facilities in a
locked drawer behind a locked door. The records may be stored on
magnetic disc, tape, and digital media.

POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
    The Federal Emergency Management Agency and non-profit
organizations, qualified private organizations, or federal agencies
supporting the Federal Emergency Management Agency-administered
Disaster Case Management program may retrieve records by a case
identification number, name, or address.

POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
    In accordance with National Archives and Records Administration
Authority N1-311-86-1, Item 4C10a, records pertaining to disaster
assistance will be placed in inactive storage when two years old and
will be destroyed when they are six years and three months old. In
accordance with National Archives and Records Administration Authority
N1-311-86-1, Item 4C6a, Disaster Case Management files covering the
administrative management, program, and information functions (such as
mission assignments and correspondence with state and local officials)
will be consolidated at appropriate regional offices upon close of the
Disaster Field Office (DFO). These files will be retired to off-site
storage one year after closeout and destroyed three years after
closeout.

ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:
    The Federal Emergency Management Agency safeguards records in this
system according to applicable rules and policies, including all
applicable federal and national standard automated systems security and
access policies. The Federal Emergency Management Agency has imposed
strict controls to minimize the risk of compromising the information
that is being stored. Access to computer systems containing the records
in this system is limited to those individuals who have a need to know
the information for the performance of their official duties and who
have appropriate clearances or permissions.

RECORD ACCESS PROCEDURES:
    Individuals seeking access to and notification of any record
contained in this system of records, or seeking to contest its content,
may submit a request in writing to the Chief Privacy Officer and the
Federal Emergency Management Agency Freedom of Information Act (FOIA)
Officer, whose contact information can be found at http://www.dhs.gov/foia under ``Contact Information.'' If an individual believes more than
one component maintains Privacy Act records concerning him or her, the
individual may submit the request to the Chief Privacy Officer and
Chief Freedom of Information Act Officer, Department of Homeland
Security, Washington, DC 20528-0655.

Even if neither the Privacy Act nor the Judicial Redress Act provide a
right of access, certain records about you may be available under the
Freedom of Information Act.
    When an individual is seeking records about himself or herself from
this system of records or any other Departmental system of records, the
individual's request must conform with the Privacy Act regulations set
forth in 6 CFR part 5. The individual must first verify his/her
identity, meaning that the individual must provide his/her full name,
current address, and date and place of birth. The individual must sign
the request, and the individual's signature must either be notarized or
submitted under 28 U.S.C. 1746, a law that permits statements to be
made under penalty of perjury as a substitute for notarization. In
addition, the individual should:
     Explain why he or she believes the Department would have
information being requested;
     Identify which component(s) of the Department he or she
believes may have the information;
     Specify when the individual believes the records would
have been created; and
     Provide any other information that will help the Freedom
of Information Act staff determine which the Department of Homeland
Security component agency may have responsive records.
    If the request is seeking records pertaining to another living
individual, the request must include an authorization from the
individual whose record is being requested, authorizing the release to
the requester.
    Without the above information, the component(s) may not be able to
conduct an effective search, and the individual's request may be denied
due to lack of specificity or lack of compliance with applicable
regulations.

CONTESTING RECORD PROCEDURES:
    For records covered by the Privacy Act or covered Judicial Redress
Act records, individuals may make a request for amendment or correction
of a record of the Department about the individual by writing directly
to the Department component that maintains the record, unless the
record is not subject to amendment or correction. The request should
identify each particular record in question, state the amendment or
correction desired, and state why the individual believes that the
record is not accurate, relevant, timely, or complete. The individual
may submit any documentation that would be helpful. If the individual
believes that the same record is in more than one system of records,
the request should state that and be addressed to each component that
maintains a system of records containing the record.

NOTIFICATION PROCEDURES:
    See ``Record Access Procedures'' above.

EXEMPTIONS PROMULGATED FOR THE SYSTEM:
    None.

HISTORY:
    None.
* * * * *

Lynn P Dupree,
Chief Privacy Officer, Department of Homeland Security.
[FR Doc. 2022-00182 Filed 1-7-22; 8:45 am]
BILLING CODE 9111-19-P


[Federal Register: April 12, 2010 (Volume 75, Number 69)]
[Notices]
[Page 18558-18559]
[DOCID:fr12ap10-110]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-61843; File No. SR-NYSEArca-2010-12]

Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting
Accelerated Approval of a Proposed Rule Change Relating to Listing of
the One Fund Under NYSE Arca Equities Rule 8.600

April 5, 2010.
    On March 2, 2010, NYSE Arca, Inc. (``NYSE Arca'' or ``Exchange''),
filed with the Securities and Exchange Commission (``Commission''),
pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934
(``Act'') \1\ and Rule 19b-4 thereunder,\2\ a proposed rule change to
list and trade shares of One Fund (the ``Fund''), a series of the U.S.
One Trust (the ``Trust'') under NYSE Arca Equities Rule 8.600
(``Managed Fund Shares''). The proposed rule change was published in
the Federal Register on March 18, 2010.\3\ The Commission received no
comments on the proposal. This order grants approval of the proposed
rule change on an accelerated basis.
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    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 17 CFR 240.19b-4.
    \3\ See Securities Exchange Act Release No. 61689 (March 11,
2010), 75 FR 13181 (``Notice'').
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I. Description of the Proposal

    The Fund seeks to achieve its investment objective by investing
primarily in the retail shares of other exchange-traded funds that are
registered under the Investment Company Act of 1940 (``1940 Act'')
(``Underlying ETFs'').\4\ U.S. One, Inc. (the ``Adviser'') is the
adviser for the Fund. The Adviser is not affiliated with a broker-
dealer. If the Adviser becomes affiliated with a broker-dealer, the
Adviser would be required to comply with the ``fire wall'' provisions
contained in Commentary .07 to NYSE Arca Equities Rule 8.600.\5\ PNC
Global Investment Servicing, Inc. serves as the custodian, transfer
agent and administrator for the Fund.
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    \4\ The Trust is registered under the 1940 Act. On February 5,
2010, the Trust filed with the Commission Amendment No. 2 to Form N-
1A under the Securities Act of 1933 (15 U.S.C. 77a), and under the
1940 Act relating to the Fund (File Nos. 333-160877 and 811-22320)
(``Registration Statement'').
    \5\ Commentary .07 to Rule 8.600 provides that, if the
investment adviser to the Investment Company issuing Managed Fund
Shares is affiliated with a broker-dealer, such investment adviser
shall erect a ``fire wall'' between the investment adviser and the
broker-dealer with respect to access to information concerning the
composition and/or changes to such Investment Company portfolio. In
addition, Commentary .07 requires that personnel who make decisions
on the open-end fund's portfolio composition must be subject to
procedures designed to prevent the use and dissemination of material
nonpublic information regarding the open-end fund's portfolio.
Commentary .07 to Rule 8.600 is similar to Commentary .03(a)(i) and
(iii) to NYSE Arca Equities Rule 5.2(j)(3); however, in connection
with the establishment of a ``fire wall'' between the investment
adviser and the broker-dealer, Commentary .07 reflects the
applicable open-end fund's portfolio, not an underlying benchmark
index, as is the case with index-based funds.
---------------------------------------------------------------------------

    The Exchange states that the Shares will conform to the initial and
continued listing criteria under NYSE Arca Equities Rule 8.600 and that
the Fund will be in compliance with Rule 10A-3 under the Act,\6\ as
provided by NYSE Arca Equities Rule 5.3. The Fund's investment
objective is to seek long-term capital appreciation. In pursuing its
investment objective, the Adviser will normally invest at least 80% of
its total assets in Underlying ETFs. The Adviser invests in Underlying
ETFs that track various securities indices comprised of large, mid and
small capitalization companies in the United States, Europe and Asia,
as well as other developed and emerging markets.
---------------------------------------------------------------------------

    \6\ 17 CFR 240.10A-3.
---------------------------------------------------------------------------

    Additional information regarding the Fund, the Shares, the Fund's
investment objective, investment strategies, policies, restrictions,
risks, fees and expenses, creations and redemptions of Shares,
availability of information, trading rules and halts, and surveillance
procedures, among other things, can be found in the Registration
Statement and in the Notice, as applicable.\7\
---------------------------------------------------------------------------

    \7\ See supra notes 3 and 4.
---------------------------------------------------------------------------

II. Discussion and Commission's Findings

    The Commission has carefully reviewed the proposed rule change and
finds that it is consistent with the requirements of Section 6 of the
Act \8\ and the rules and regulations thereunder applicable to a
national securities exchange.\9\ In particular, the Commission finds
that the proposal is consistent with Section 6(b)(5) of the Act,\10\
which requires, among other things, that the Exchange's rules be
designed to promote just and equitable principles of trade, to remove
impediments to and perfect the mechanism of a free and open market and
a national market system, and, in general, to protect investors and the
public interest.
---------------------------------------------------------------------------

    \8\ 15 U.S.C. 78f.
    \9\ In approving this proposed rule change the Commission has
considered the proposed rule's impact on efficiency, competition,
and capital formation. See 15 U.S.C. 78c(f).
    \10\ 17 U.S.C. 78f(b)(5).
---------------------------------------------------------------------------

    The Commission finds that the proposal to list and trade the Shares
on the Exchange is consistent with Section 11A(a)(1)(C)(iii) of the
Act, which sets forth Congress' finding that it is in the public
interest and appropriate for the protection of investors and the
maintenance of fair and orderly markets to assure the availability to
brokers, dealers and investors of information with respect to
quotations for and transactions in securities. Quotation and last sale
information for the Shares will be available via the Consolidated Tape
Association (``CTA'') high-speed line, and the Exchange will
disseminate the Portfolio Indicative Value (``PIV'') at least every 15
seconds during the Core Trading Session through the facilities of the
CTA. In addition, the Fund will make available on its Web site on each
business day before commencement of trading of the Core Trading Session
the Disclosed Portfolio as defined in NYSE Arca Equities Rule
8.600(c)(2) \11\ that will form the basis for its calculation of

the net asset value (``NAV''), which will be determined as of the close
of the regular trading session on the New York Stock Exchange
(ordinarily 4:00 p.m. Eastern Time) on each business day. In addition,
a basket composition file, which includes the security names and share
quantities required to be delivered in exchange for Fund Shares,
together with estimates and actual cash components, will be publicly
disseminated daily prior to the opening of the New York Stock Exchange
via the National Securities Clearing Corporation. The Fund's Web site
will also include additional quantitative information updated on a
daily basis relating to trading volume, prices, and NAV. Information
regarding the market price and trading volume of the Shares will be
continually available on a real-time basis throughout the day via
electronic services, and the previous day's closing price and trading
volume information for the Shares will be published daily in the
financial sections of newspapers.
---------------------------------------------------------------------------

    \11\ The Exchange represents that the Fund will disclose on the
Fund's Web site for each portfolio security or other financial
instrument of the Fund the following information: Ticker symbol (if
applicable), name of security or financial instrument, number of
shares or dollar value of financial instruments held in the
portfolio, and percentage weighting of the security or financial
instrument in the portfolio.
---------------------------------------------------------------------------

    The Commission further believes that the proposal to list and trade
the Shares is reasonably designed to promote fair disclosure of
information that may be necessary to price the Shares appropriately and
to prevent trading when a reasonable degree of transparency cannot be
assured. The Commission notes that the Exchange will obtain a
representation from the issuer of the Shares that the NAV per Share
will be calculated daily and that the NAV and the Disclosed Portfolio
will be made available to all market participants at the same time.\12\
Additionally, if it becomes aware that the NAV or the Disclosed
Portfolio is not disseminated daily to all market participants at the
same time, the Exchange will halt trading in the Shares until such
information is available to all market participants. Further, if the
PIV is not being disseminated as required, the Exchange may halt
trading during the day in which the disruption occurs; if the
interruption persists past the day in which it occurred, the Exchange
will halt trading no later than the beginning of the trading day
following the interruption.\13\ Finally, the Commission notes that the
Reporting Authority that provides the Disclosed Portfolio must
implement and maintain, or be subject to, procedures designed to
prevent the use and dissemination of material non-public information
regarding the actual components of the portfolio.\14\
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    \12\ See NYSE Arca Equities Rule 8.600(d)(1)(B).
    \13\ See NYSE Arca Equities Rule 8.600(d)(2)(D). The Exchange
states that trading in the Shares may also be halted because of
market conditions or for reasons that, in the view of the Exchange,
make trading in the Shares inadvisable. These may include: (1) The
extent to which trading is not occurring in the securities
comprising the Disclosed Portfolio and/or the financial instruments
of the Fund; or (2) whether other unusual conditions or
circumstances detrimental to the maintenance of a fair and orderly
market are present.
    \14\ See NYSE Arca Equities Rule 8.600(d)(2)(B)(ii).
---------------------------------------------------------------------------

    The Exchange has represented that the Shares are equity securities
subject to the Exchange's rules governing the trading of equity
securities and will trade on the NYSE Arca Marketplace from 4 a.m. to 8
p.m. Eastern Time in accordance with NYSE Arca Equities Rule 7.34
(Opening, Core, and Late Trading Sessions). In support of this
proposal, the Exchange has made representations, including:
    (1) The Shares will conform to the initial and continued listing
criteria under NYSE Arca Equities Rule 8.600.
    (2) The Exchange's surveillance procedures are adequate to properly
monitor Exchange trading of the Shares in all trading sessions and to
deter and detect violations of Exchange rules and applicable Federal
securities laws.
    (3) Prior to the commencement of trading, the Exchange will inform
its ETP Holders in an Information Bulletin of the special
characteristics and risks associated with trading the Shares.
Specifically, the Information Bulletin will discuss the following: (a)
The procedures for purchases and redemptions of Shares and that Shares
are not individually redeemable; (b) NYSE Arca Equities Rule 9.2(a),
which imposes a duty of due diligence on its ETP Holders to learn the
essential facts relating to every customer prior to trading the Shares;
(c) the risks involved in trading the Shares during the Opening and
Late Trading Sessions when an updated PIV will not be calculated or
publicly disseminated; (d) how information regarding the PIV is
disseminated; (e) the requirement that ETP Holders deliver a prospectus
to investors purchasing newly issued Shares prior to or concurrently
with the confirmation of a transaction; and (f) trading information.
    (4) The Fund will be in compliance with Rule 10A-3 under the
Act.\15\
---------------------------------------------------------------------------

    \15\ See supra note 6.
---------------------------------------------------------------------------

    (5) Underlying ETFs will be listed and traded in the U.S. on a
national securities exchange. While the Underlying ETFs may hold non-
U.S. equity securities, the Fund will not invest in non-U.S. equity
securities.
    This approval order is based on the Exchange's representations. For
the foregoing reasons, the Commission finds that the proposed rule
change is consistent with Section 6(b)(5) of the Act\16\ and the rules
and regulations thereunder applicable to a national securities
exchange.
---------------------------------------------------------------------------

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

 III. Accelerated Approval

    The Commission finds good cause, pursuant to Section 19(b)(2) of
the Act,\17\ for approving the proposal prior to the thirtieth day
after the date of publication of the Notice in the Federal Register.
The Commission notes that it has approved the listing and trading on
the Exchange of shares of other actively managed exchange-traded funds
based on a portfolio of securities, the characteristics of which are
similar to those to be invested by the Fund.\18\ The Commission also
notes that it has received no comments regarding the proposed rule
change. Further, the Commission believes that proposed rule change does
not raise any novel regulatory concerns. The Commission believes that
accelerating approval of this proposal should benefit investors by
creating, without undue delay, additional competition in the market for
Managed Fund Shares.
---------------------------------------------------------------------------

    \17\ 15 U.S.C. 78s(b)(2).
    \18\ See, e.g., Securities Exchange Act Release No. 60460
(August 7, 2009), 74 FR 41468 (August 17, 2009) (SR-NYSEArca-2009-
55) (approving the listing and trading of shares of the Dent
Tactical ETF).
---------------------------------------------------------------------------

IV. Conclusion

    It is therefore ordered, pursuant to Section 19(b)(2) of the
Act,\19\ that the proposed rule change (SR-NYSEArca-2010-12) be, and it
hereby is, approved on an accelerated basis.
---------------------------------------------------------------------------

    \19\ 15 U.S.C. 78s(b)(2).

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

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

Florence E. Harmon,
Deputy Secretary.
[FR Doc. 2010-8222 Filed 4-9-10; 8:45 am]
BILLING CODE 8011-01-P


[Federal Register Volume 88, Number 136 (Tuesday, July 18, 2023)]
[Notices]
[Pages 45943-45945]
[FR Doc No: 2023-15128]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-97885; File No. SR-CboeEDGA-2023-010]

Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice
of Filing and Immediate Effectiveness of a Proposed Rule Change To
Amend Its Fee Schedule

July 12, 2023.
    Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934
(the ``Act''),\1\ and Rule 19b-4 thereunder,\2\ notice is hereby given
that on June 30, 2023, Cboe EDGA Exchange, Inc. (the ``Exchange'' or
``EDGA'') filed with the Securities and Exchange Commission (the
``Commission'') the proposed rule change as described in Items I and II
below, which Items have been prepared by the self-regulatory
organization. The Commission is publishing this notice to solicit
comments on the proposed rule change from interested persons.
---------------------------------------------------------------------------

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

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

    Cboe EDGA Exchange, Inc. (the ``Exchange'' or ``EDGA'') proposes to
amend its Fee Schedule. The text of the proposed rule change is
provided in Exhibit 5.
    The text of the proposed rule change is also available on the
Exchange's website (http://markets.cboe.com/us/equities/regulation/rule_filings/edga/), at the Exchange's Office of the Secretary, and at
the Commission's Public Reference Room.

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

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

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

1. Purpose
    The Exchange proposes to amend its Fee Schedule applicable to its
equities trading platform (``EDGA Equities'') by revising the fee
associated with fee code DQ. The Exchange proposes to implement these
changes effective July 3, 2023.
    The Exchange first notes that it operates in a highly competitive
market in which market participants can readily direct order flow to
competing venues if they deem fee levels at a particular venue to be
excessive or incentives to be insufficient. More specifically, the
Exchange is only one of 16 registered equities exchanges, as well as a
number of alternative trading systems and other off-exchange venues
that do not have similar self-regulatory responsibilities under the
Securities Exchange Act of 1934 (the ``Act''), to which market
participants may direct their order flow. Based on publicly

available information,\3\ no single registered equities exchange has
more than 15% of the market share. Thus, in such a low-concentrated and
highly competitive market, no single equities exchange possesses
significant pricing power in the execution of order flow. The Exchange
in particular operates a ``Taker-Maker'' model whereby it pays credits
to members that remove liquidity and assesses fees to those that add
liquidity. The Exchange's Fee Schedule sets forth the standard rebates
and rates applied per share for orders that remove and provide
liquidity, respectively. Currently, for orders in securities priced at
or above $1.00, the Exchange provides a standard rebate of $0.00180 per
share for orders that remove liquidity and assesses a fee of $0.0030
per share for orders that add liquidity.\4\ For orders in securities
priced below $1.00, the Exchange does not assess any fees or provide
any rebates for orders that add or remove liquidity.\5\ Additionally,
in response to the competitive environment, the Exchange also offers
tiered pricing which provides Members opportunities to qualify for
higher rebates or reduced fees where certain volume criteria and
thresholds are met. Tiered pricing provides an incremental incentive
for Members to strive for higher tier levels, which provides
increasingly higher benefits or discounts for satisfying increasingly
more stringent criteria.
---------------------------------------------------------------------------

    \3\ See Cboe Global Markets, U.S. Equities Market Volume
Summary, Month-to-Date (June 22, 2023), available at https://www.cboe.com/us/equities/market_statistics/.
    \4\ See EDGA Equities Fee Schedule, Standard Rates.
    \5\ Id.
---------------------------------------------------------------------------

    The Exchange currently offers fee code DQ, which is appended to
Midpoint Discretionary Orders (``MDOs'') \6\ using the Quote Depletion
Protection (``QDP'') \7\ order instruction which add liquidity to the
EDGA Book.\8\ QDP is designed to provide enhanced protections to MDOs
by tracking significant executions that constitute the best bid or
offer on the EDGA Book and enabling Users to avoid potentially
unfavorable executions by preventing MDOs entered with the optional QDP
instruction from exercising discretion to trade at more aggressive
prices when QDP has been triggered.\9\ Currently, MDOs entered with a
QDP instruction and which add liquidity to the EDGA Book are appended
fee code DQ and assessed a flat fee of $0.0010 per share in securities
at or above $1.00 and 0.30% of dollar value for securities priced below
$1.00. The Exchange now proposes to amend the fee associated with fee
code DQ from $0.0010 per share in securities at or above to $1.00 to
$0.0015 per share. There is no proposed change in the fee assessed to
securities priced below $1.00.
---------------------------------------------------------------------------

    \6\ See Exchange Rule 11.8(e).
    \7\ See Exchange Rule 11.8(e)(10).
    \8\ See Exchange Rule 1.5(d).
    \9\ See Securities Exchange Act Release No. 89016 (June 4,
2020), 85 FR 35488 (June 10, 2020) (SR-CboeEDGA-2020-005) (``Notice
of Filing of Amendment No. 1 and Order Granting Accelerated Approval
of a Proposed Rule Change, as Modified by Amendment No. 1, to Amend
the Rule Relating to MidPoint Discretionary Orders to Allow Optional
Offset or Quote Depletion Protection Instructions'').
---------------------------------------------------------------------------

2. Statutory Basis
    The Exchange believes the proposed rule change is consistent with
the Act and the rules and regulations thereunder applicable to the
Exchange and, in particular, the requirements of Section 6(b) of the
Act.\10\ Specifically, the Exchange believes the proposed rule change
is consistent with the Section 6(b)(5) \11\ requirements that the rules
of an exchange be designed to prevent fraudulent and manipulative acts
and practices, to promote just and equitable principles of trade, to
foster cooperation and coordination with persons engaged in regulating,
clearing, settling, processing information with respect to, and
facilitating transactions in securities, to remove impediments to and
perfect the mechanism of a free and open market and a national market
system, and, in general, to protect investors and the public interest.
Additionally, the Exchange believes the proposed rule change is
consistent with the Section 6(b)(5) \12\ requirement that the rules of
an exchange not be designed to permit unfair discrimination between
customers, issuers, brokers, or dealers as well as Section 6(b)(4) \13\
as it is designed to provide for the equitable allocation of reasonable
dues, fees and other charges among its Members and other persons using
its facilities.
---------------------------------------------------------------------------

    \10\ 15 U.S.C. 78f(b).
    \11\ 15 U.S.C. 78f(b)(5).
    \12\ Id.
    \13\ 15 U.S.C. 78f(b)(4)
---------------------------------------------------------------------------

    As described above, the Exchange operates in a highly competitive
market in which market participants can readily direct order flow to
competing venues if they deem fee levels at a particular venue to be
excessive or incentives to be insufficient. The Exchange believes the
proposed amendment to the fee associated with fee code DQ is reasonable
as it does not represent a significant departure from the Exchange's
general pricing structure. The Exchange notes that the proposed
amendment to the fee associated with fee code DQ represents a modest
increase over existing prices and yet the proposed fee is lower than
other similar fees assessed to orders that add liquidity to the EDGA
Book.\14\ In addition, the Exchange believes the proposed amendment
represents an equitable allocation of fees and rebates and is not
unfairly discriminatory because the fees will apply to all Members who
add liquidity utilizing an MDO with a QDP instruction, equally.
---------------------------------------------------------------------------

    \14\ See, e.g., EDGA Equity Fee Schedule, Fee Codes DA, DM, and
HA.
---------------------------------------------------------------------------

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. Rather, as discussed above,
the Exchange believes that the proposed changes would encourage the
submission of additional order flow to a public exchange, thereby
promoting market depth, execution incentives and enhanced execution
opportunities, as well as price discovery and transparency for all
Members. As a result, the Exchange believes that the proposed changes
further the Commission's goal in adopting Regulation NMS of fostering
competition among orders, which promotes ``more efficient pricing of
individual stocks for all types of orders, large and small.''
    The Exchange believes the proposed rule changes do not impose any
burden on intramarket competition that is not necessary or appropriate
in furtherance of the purposes of the Act. The proposed fees associated
with fee code DQ would apply to all Members equally in that all Members
would be subject to the same flat fee for the execution of an MDO with
a QDP instruction that adds liquidity to the Exchange. Both MDO and the
associated QDP instruction are available to all Members on an equal and
non-discriminatory basis. As a result, any Member can decide to use (or
not use) the QDP instruction based on the benefits provided by that
instruction in potentially avoiding unfavorable executions, and the
associated charge that the Exchange proposes to amend.
    Next, the Exchange believes the proposed rule changes does not
impose any burden on intermarket competition that is not necessary or
appropriate in furtherance of the purposes of the Act. As previously
discussed, the Exchange operates in a highly competitive market.
Members have numerous alternative venues that they may participate on
and direct their order flow, including other equities exchanges, off-
exchange venues, and alternative trading systems.

Additionally, the Exchange represents a small percentage of the overall
market. Based on publicly available information, no single equities
exchange has more than 15% of the market share.\15\ Therefore, no
exchange possesses significant pricing power in the execution of order
flow. Indeed, participants can readily choose to send their orders to
other exchange and off-exchange venues if they deem fee levels at those
other venues to be more favorable. Moreover, the Commission has
repeatedly expressed its preference for competition over regulatory
intervention in determining prices, products, and services in the
securities markets. Specifically, in Regulation NMS, the Commission
highlighted the importance of market forces in determining prices and
SRO revenues and, also, recognized that current regulation of the
market system ``has been remarkably successful in promoting market
competition in its broader forms that are most important to investors
and listed companies.'' \16\ The fact that this market is competitive
has also long been recognized by the courts. In NetCoalition v.
Securities and Exchange Commission, the D.C. Circuit stated as follows:
``[n]o one disputes that competition for order flow is `fierce.' . . .
As the SEC explained, `[i]n the U.S. national market system, buyers and
sellers of securities, and the broker-dealers that act as their order-
routing agents, have a wide range of choices of where to route orders
for execution'; [and] `no exchange can afford to take its market share
percentages for granted' because `no exchange possesses a monopoly,
regulatory or otherwise, in the execution of order flow from broker
dealers'. . . .''.\17\ Accordingly, the Exchange does not believe its
proposed fee change imposes any burden on competition that is not
necessary or appropriate in furtherance of the purposes of the Act.
---------------------------------------------------------------------------

    \15\ Supra note 1.
    \16\ See Securities Exchange Act Release No. 51808 (June 9,
2005), 70 FR 37496, 37499 (June 29, 2005).
    \17\ NetCoalition v. SEC, 615 F.3d 525, 539 (D.C. Cir. 2010)
(quoting Securities Exchange Act Release No. 59039 (December 2,
2008), 73 FR 74770, 74782-83 (December 9, 2008) (SR-NYSEArca-2006-
21)).
---------------------------------------------------------------------------

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

    The Exchange neither solicited nor received comments on the
proposed rule change.

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

    The foregoing rule change has become effective pursuant to Section
19(b)(3)(A) of the Act \18\ and paragraph (f) of Rule 19b-4 \19\
thereunder. At any time within 60 days of the filing of the proposed
rule change, the Commission summarily may temporarily suspend such rule
change if it appears to the Commission that such action is necessary or
appropriate in the public interest, for the protection of investors, or
otherwise in furtherance of the purposes of the Act.
---------------------------------------------------------------------------

    \18\ 15 U.S.C. 78s(b)(3)(A).
    \19\ 17 CFR 240.19b-4(f).
---------------------------------------------------------------------------

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 (https://www.sec.gov/rules/sro.shtml); or
     Send an email to [email protected]. Please include
file number SR-CboeEDGA-2023-010 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-CboeEDGA-2023-010. 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 (https://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
a.m. and 3 p.m. Copies of the filing also will be available for
inspection and copying at the principal office of the Exchange. Do not
include personal identifiable information in submissions. You should
submit only information that you wish to make available publicly. We
may redact in part or withhold entirely from publication submitted
material that is obscene or subject to copyright protection. All
submissions should refer to file number SR-CboeEDGA-2023-010 and should
be submitted on or before August 8, 2023.
---------------------------------------------------------------------------

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

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\20\
J. Matthew DeLesDernier,
Deputy Secretary.
[FR Doc. 2023-15128 Filed 7-17-23; 8:45 am]
BILLING CODE 8011-01-P


[Federal Register: November 5, 2009 (Volume 74, Number 213)]
[Proposed Rules]
[Page 57266-57268]
[DOCID:fr05no09-14]

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

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 Model
Gulfstream G150 Airplanes

AGENCY: Federal Aviation Administration (FAA), DOT.

ACTION: Notice of proposed rulemaking (NPRM).

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

SUMMARY: We propose to adopt a new airworthiness directive (AD) for the
products listed above. This proposed AD results 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 describes 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 unsafe condition is potential ignition of the baggage
compartment rubber seals, which could lead to a larger fire. The
proposed AD would require actions that are intended to address the
unsafe condition described in the MCAI.

DATES: We must receive comments on this proposed AD by December 21,
2009.

ADDRESSES: You may send comments by any of the following methods:
     Federal eRulemaking Portal: Go to http://
www.regulations.gov. Follow the instructions for submitting comments.
     Fax:<PHONE_NUMBER>.
     Mail: U.S. Department of Transportation, Docket
Operations, M-30, West Building Ground Floor, Room W12-140, 1200 New
Jersey Avenue, SE., Washington, DC 20590.
     Hand Delivery: U.S. Department of Transportation, Docket
Operations, M-30, West Building Ground Floor, Room W12-40, 1200 New
Jersey Avenue, SE., Washington, DC, between 9 a.m. and 5 p.m., Monday
through Friday, except Federal holidays.
    For service information identified in this proposed AD, contact
Gulfstream Aerospace Corporation, P.O. Box 2206, Mail Station D-25,
Savannah, Georgia 31402-2206; telephone<PHONE_NUMBER>; fax<PHONE_NUMBER>;
e-mail<EMAIL_ADDRESS>Internet http://www.gulfstream.com/
product_support/technical_pubs/pubs/index.htm. You may review copies
of the referenced service information at the FAA, Transport Airplane
Directorate, 1601 Lind Avenue, SW., Renton, Washington. For information
on the availability of this material at the FAA, call<PHONE_NUMBER> or
425-227-1152.

Examining the AD Docket

    You may examine the AD docket on the Internet at http://
www.regulations.gov; or in person at the Docket Operations office
between 9 a.m. and 5 p.m., Monday through Friday, except Federal
holidays. The AD docket contains this proposed AD, the regulatory
evaluation, any comments received, and other information. The street
address for the Docket Operations office (telephone<PHONE_NUMBER>) is
in the ADDRESSES section. Comments will be available in the AD docket
shortly after receipt.

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:

Comments Invited

    We invite you to send any written relevant data, views, or
arguments about this proposed AD. Send your comments to an address
listed under the ADDRESSES section. Include ``Docket No. FAA-2009-1028;
Directorate Identifier 2009-NM-188-AD'' at the beginning of your
comments. We specifically invite comments on the overall regulatory,
economic, environmental, and energy aspects of this proposed AD. We
will consider all comments received by the closing date and may amend
this proposed AD based on those comments.
    We have lengthened the 30-day comment period for proposed ADs that
address MCAI originated by aviation authorities of other countries to
provide adequate time for interested parties to submit comments. The
comment period for these proposed ADs is now typically 45 days, which
is consistent with the comment period for domestic transport ADs.
    We will post all comments we receive, without change, to http://
www.regulations.gov, including any personal information you provide. We
will also post a report summarizing each substantive verbal contact we
receive about this proposed AD.

Discussion

    The Civil Aviation Authority of Israel (CAAI), which is the
aviation authority for Israel, has issued CAAI Airworthiness Directive
25-04-05-09R1, dated November 12, 2008 (referred to after this as ``the
MCAI''), to correct an unsafe condition for the specified products. The
MCAI states:

    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 unsafe condition is potential ignition of the baggage compartment
rubber seals, which could lead to a larger fire. Required actions
include 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.
You may obtain further information by examining the MCAI in the AD
docket.

Relevant Service Information

    Gulfstream Aerospace LP has issued Service Bulletin 150-25-055,
dated October 28, 2008. The actions described in this service
information are intended to correct the unsafe condition identified in
the MCAI.

FAA's Determination and Requirements of This Proposed AD

    This product has been approved by the aviation authority of another
country, and is approved for operation in the United States. Pursuant
to our bilateral agreement with the State of

Design Authority, we have been notified of the unsafe condition
described in the MCAI and service information referenced above. We are
proposing this AD because we evaluated all pertinent information and
determined an unsafe condition exists and is likely to exist or develop
on other products of the same type design.

Differences Between This AD and the MCAI or Service Information

    We have reviewed the MCAI and related service information and, in
general, agree with their substance. But we might have found it
necessary to use different words from those in the MCAI to ensure the
AD is clear for U.S. operators and is enforceable. In making these
changes, we do not intend to differ substantively from the information
provided in the MCAI and related service information.
    We might also have proposed different actions in this AD from those
in the MCAI in order to follow FAA policies. Any such differences are
highlighted in a NOTE within the proposed AD.

Costs of Compliance

    Based on the service information, we estimate that this proposed AD
would affect about 33 products of U.S. registry. We also estimate that
it would take about 10 work-hours per product to comply with the basic
requirements of this proposed AD. The average labor rate is $80 per
work-hour. Required parts would cost about $0 per product. Where the
service information lists required parts costs that are covered under
warranty, we have assumed that there will be no charge for these costs.
As we do not control warranty coverage for affected parties, some
parties may incur costs higher than estimated here. Based on these
figures, we estimate the cost of the proposed AD on U.S. operators to
be $26,400, or $800 per product.

Authority for This Rulemaking

    Title 49 of the United States Code specifies the FAA's authority to
issue rules on aviation safety. Subtitle I, section 106, describes the
authority of the FAA Administrator. ``Subtitle VII: Aviation
Programs,'' describes in more detail the scope of the Agency's
authority.
    We are issuing this rulemaking under the authority described in
``Subtitle VII, Part A, Subpart III, Section 44701: General
requirements.'' Under that section, Congress charges the FAA with
promoting safe flight of civil aircraft in air commerce by prescribing
regulations for practices, methods, and procedures the Administrator
finds necessary for safety in air commerce. This regulation is within
the scope of that authority because it addresses an unsafe condition
that is likely to exist or develop on products identified in this
rulemaking action.

Regulatory Findings

    We determined that this proposed AD would not have federalism
implications under Executive Order 13132. This proposed AD would not
have a substantial direct effect on the States, on the relationship
between the national Government and the States, or on the distribution
of power and responsibilities among the various levels of government.
    For the reasons discussed above, I certify this proposed
regulation:
    1. Is not a ``significant regulatory action'' under Executive Order
12866;
    2. Is not a ``significant rule'' under the DOT Regulatory Policies
and Procedures (44 FR 11034, February 26, 1979); and
    3. Will not have a significant economic impact, positive or
negative, on a substantial number of small entities under the criteria
of the Regulatory Flexibility Act.
    We prepared a regulatory evaluation of the estimated costs to
comply with this proposed AD and placed it in the AD docket.

List of Subjects in 14 CFR Part 39

    Air transportation, Aircraft, Aviation safety, Incorporation by
reference, Safety.

The Proposed Amendment

    Accordingly, under the authority delegated to me by the
Administrator, the FAA proposes to amend 14 CFR part 39 as follows:

PART 39--AIRWORTHINESS DIRECTIVES

    1. The authority citation for part 39 continues to read as follows:

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

Sec.  39.13  [Amended]

    2. The FAA amends Sec.  39.13 by adding the following new AD:

Gulfstream Aerospace LP (formerly Israel Aircraft Industries, Ltd.):
Docket No. FAA-2009-1028; Directorate Identifier 2009-NM-188-AD.

Comments Due Date

    (a) We must receive comments by December 21, 2009.

Affected ADs

    (b) None.

Applicability

    (c) This AD applies to Gulfstream Aerospace LP Model Gulfstream
G150 airplanes; certificated in any category; serial numbers 201
through 233 inclusive.

Subject

    (d) Air Transport Association (ATA) of America Code 25:
Equipment/Furnishings.

Reason

    (e) The mandatory continuing airworthiness information (MCAI)
states:

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 unsafe condition is potential ignition of the baggage
compartment rubber seals, which could lead to a larger fire.
Required actions include 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.

Actions and Compliance

    (f) Unless already done, do the following actions.
    (1) Within 12 months after the effective date of this AD,
inspect baggage compartment seals for manufacturer identification at
Station 12247 around AFT liner location, at Station 10884 around FWD
liner location, and at Station 10844 floor panel adjacent to FWD
line, in accordance with the Accomplishment Instructions of
Gulfstream Service Bulletin 150-25-055, dated October 28, 2008.
    (2) If during the inspection required by paragraph (f)(1) of
this AD, all three seals are found to be imprinted Rubbercraft, no
further action is required by this AD.
    (3) If during the inspection required by paragraph (f)(1) of
this AD any seal is found to be imprinted Gumiyan, or any imprint is
illegible, replace the affected seals before further flight with
Rubbercraft manufactured seals, in accordance with the
Accomplishment Instructions of Gulfstream Service Bulletin 150-25-
055, dated October 28, 2008.

FAA AD Differences

    Note 1: This AD differs from the MCAI and/or service information
as follows: No differences.

Other FAA AD Provisions

    (g) The following provisions also apply to this AD:
    (1) Alternative Methods of Compliance (AMOCs): The Manager,
International Branch, ANM-116, Transport Airplane Directorate, FAA,
has the authority to approve AMOCs for this AD, if requested using
the procedures found in 14 CFR 39.19. Send information to Attn: Mike
Borfitz, Aerospace Engineer, International Branch, ANM-116,
Transport Airplane Directorate, FAA, 1601 Lind Avenue, SW., Renton,
Washington 98057-3356; telephone<PHONE_NUMBER>; fax<PHONE_NUMBER>.
Before using

any approved AMOC on any airplane to which the AMOC applies, notify
your principal maintenance inspector (PMI) or principal avionics
inspector (PAI), as appropriate, or lacking a principal inspector,
your local Flight Standards District Office. The AMOC approval
letter must specifically reference this AD.
    (2) Airworthy Product: For any requirement in this AD to obtain
corrective actions from a manufacturer or other source, use these
actions if they are FAA-approved. Corrective actions are considered
FAA-approved if they are approved by the State of Design Authority
(or their delegated agent). You are required to assure the product
is airworthy before it is returned to service.
    (3) Reporting Requirements: For any reporting requirement in
this AD, under the provisions of the Paperwork Reduction Act, the
Office of Management and Budget (OMB) has approved the information
collection requirements and has assigned OMB Control Number 2120-
0056.

Related Information

    (h) Refer to Civil Aviation Authority of Israel (CAAI)
Airworthiness Directive 25-04-05-09R1, dated November 12, 2008; and
Gulfstream Service Bulletin 150-25-055, dated October 28, 2008; for
related information.

    Issued in Renton, Washington, on October 28, 2009.
Stephen P. Boyd,
Acting Manager, Transport Airplane Directorate, Aircraft Certification
Service.
[FR Doc. E9-26683 Filed 11-4-09; 8:45 am]

BILLING CODE 4910-13-P