[Federal Register Volume 82, Number 133 (Thursday, July 13, 2017)]
[Notices]
[Pages 32396-32399]
[FR Doc No: 2017-14670]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-81103; File No. SR-NYSE-2017-07; SR-NYSEMKT-2017-16]

Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE
MKT LLC; Order Granting Approval of Proposed Rule Changes, as Modified
by Amendment No. 1, Amending NYSE Rule 36 and NYSE MKT Rule 36--
Equities To Permit Exchange Floor Brokers To Use Non-Exchange Provided
Telephones on the Floor

July 7, 2017.

I. Introduction

    On March 31, 2017 and March 22, 2017, New York Stock Exchange LLC
(``NYSE'') and NYSE MKT LLC (``NYSE MKT'') (each of NYSE and NYSE MKT
an ``Exchange''), respectively, 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\ proposed rule changes to permit Exchange floor brokers
to use telephones not provided by the Exchange while on the Floor of
the Exchange, and make related changes. The proposed rule changes were
published for comment in the Federal Register on April 10, 2017.\3\ On
May 24, 2017, pursuant to Section 19(b)(2) of the Act,\4\ the
Commission designated a longer period within which to either approve
the proposed rule changes, disapprove the proposed rule changes, or
institute proceedings to determine whether to disapprove the proposed
rule changes.\5\ On July 6, 2017, NYSE and NYSE MKT each filed
Amendment No. 1 to its respective proposed rule change.\6\ The
Commission received no comments on the proposed rule changes. This
order grants approval of the proposed rule changes, each as modified by
the respective Amendment No. 1.
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    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 17 CFR 240.19b-4.
    \3\ See Securities Exchange Act Release Nos. 80374 (April 4,
2017), 82 FR 17306 (``NYSE Notice''); and 80375 (April 4, 2017), 82
FR 17302 (``NYSE MKT Notice'').
    \4\ 15 U.S.C. 78s(b)(2).
    \5\ See Securities Exchange Act Release No. 80753 (May 24,
2017), 82 FR 25032 (May 31, 2017). The Commission designated July 9,
2017 as the date by which it shall approve, disapprove, or institute
proceedings to determine whether to disapprove the proposed rule
changes.
    \6\ Each Amendment No. 1 clarified the expected implementation
date of the respective proposed rule change. See infra note 29 and
accompanying text. Amendment No. 1 is available on each Exchange's
Web site. Each Amendment No. 1 is not subject to notice and comment
because it is a technical amendment that does not materially alter
the substance of the proposed rule change or raise any novel
regulatory issues.
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II. Description of the Proposed Rule Changes, as Modified by Amendment
No. 1

    NYSE and NYSE MKT propose to amend NYSE Rule 36 and NYSE MKT Rule
36--Equities, respectively, to permit Exchange floor brokers to use
cellular or wireless telephones not provided by the Exchange while on
the Floor \7\ of the Exchange.
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    \7\ The ``Floor'' means the trading floor of the Exchange and
the premises immediately adjacent thereto, such as the various
entrances and lobbies of the 11 Wall Street, 18 New Street, 8 Broad
Street, 12 Broad Street, and 18 Broad Street buildings, and also
means the telephone facilities available in these locations. See
NYSE Rule 6; NYSE MKT Rule 6--Equities.
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    Currently, with Exchange approval, a floor broker may maintain a
telephone line or use an Exchange authorized and Exchange provided
portable telephone, which permits a non-member off the Floor to
communicate with a member or member organization on the Floor. Any
floor broker receiving orders from the public over portable telephones
must be properly qualified under Exchange rules to conduct such public
business. Exchange rules prohibit the use of a portable telephone on
the Floor other than one authorized and issued by the Exchange, with a
limited exception that allows members and employees of member
organizations to use personal portable telephones while outside of the
Trading Floor \8\ but still on the Floor of the Exchange.\9\
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    \8\ The ``Trading Floor'' means the restricted-access physical
areas designated by the Exchange for the trading of securities,
commonly known as the ``Main Room'' and the ``Buttonwood Room.'' The
Trading Floor does not include the areas in the ``Buttonwood Room''
designated by the Exchange where NYSE Amex-listed options securities
are traded (the ``NYSE Amex Options Trading Floor''), or the
physical area within fully enclosed telephone booths located in 18
Broad Street at the Southeast wall of the Trading Floor. See NYSE
Rule 6A; NYSE MKT Rule 6A--Equities.
    \9\ See NYSE Rule 36, Supplementary Material .20(a) and .23;
NYSE MKT Rule 36--Equities, Supplementary Material .20(a) and .23.
NYSE MKT specifies that the Exchange will approve the maintenance of
telephone lines only at the booth location of a member or member
organization. See NYSE MKT Rule 36--Equities, Supplementary Material
.20(a).
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    NYSE and NYSE MKT propose to allow a floor broker to use a personal
cellular or wireless telephone, rather

than an Exchange authorized and Exchange provided telephone, to
communicate with non-members located off the Floor, subject to Exchange
approval and specified registration requirements. The use of a cellular
or wireless telephone on the Floor other than one registered with the
Exchange would be prohibited, subject to the existing exception for use
of cellular or wireless telephones outside of the Trading Floor.\10\
NYSE and NYSE MKT would require floor brokers to register, prior to
use, any cellular or wireless telephone to be used on the Floor by
submitting a request in writing to the Exchange in an acceptable
format. Floor brokers would be required to attest that they are aware
of and understand the rules governing the use of telephones on the
Floor.\11\ No floor broker would be allowed to use any alternative
cellular or wireless telephone on the Floor without prior Exchange
approval.\12\
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    \10\ See proposed NYSE Rule 36, Supplementary Material .20(a);
proposed NYSE MKT Rule 36--Equities, Supplementary Material .20(a).
    \11\ See proposed NYSE Rule 36, Supplementary Material .21(a);
proposed NYSE MKT Rule 36--Equities, Supplementary Material .21(a).
NYSE and NYSE MKT submitted proposed attestations, each at Exhibit
5A. As explained in their proposals, according to NYSE and NYSE MKT,
they would issue appropriate regulatory guidance regarding the use
of personal cellular or wireless telephones on the Floor prior to
the effective date of the proposed rule changes. See NYSE Notice,
supra note 3, at 17309 n. 18; NYSE MKT Notice, supra note 3, at
17304 n. 15. According to NYSE and NYSEMKT, this regulatory guidance
would specify where the written request to use a cellular or
wireless telephone should be sent and that the floor broker must
provide the telephone number of the telephone being registered. See
NYSE Notice, supra note 3, at 17309 n. 17; NYSE MKT Notice, supra
note 3, at 17304 n. 14. NYSE explained that, for NYSE, the
attestation and regulatory guidance would supersede a previously
developed acknowledgement form and previous guidance. See NYSE
Notice, supra note 3, at 17309 n. 18.
    \12\ See proposed NYSE Rule 36, Supplementary Material .21(a);
proposed NYSE MKT Rule 36--Equities, Supplementary Material .21(a).
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    NYSE and NYSE MKT explained that NYSE Arca, Inc. (``NYSE Arca'')
and NYSE MKT allow floor-based permit holders and their employees to
use personal cellular telephones while on the exchanges' options
trading floors.\13\ The Exchanges' proposed restrictions (described
further below) for the use of personal cellular telephones on their
equity Floors are modeled after, with some exceptions, the rules of
NYSE Arca and NYSE MKT concerning cellular telephone use on their
options trading floors.\14\
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    \13\ See NYSE Notice, supra note 3, at 17307-08; NYSE MKT
Notice, supra note 3, at 17303.
    \14\ See NYSE Notice, supra note 3, at 17307-08; NYSE MKT
Notice, supra note 3, at 17303. See also NYSE Arca Rule 6.2(h); NYSE
MKT Rule 902NY(i). According to NYSE and NYSE MKT, they did not
propose to add certain requirements applicable to the NYSE Arca and
NYSE MKT options trading floors that, according to the Exchanges,
are not compatible with current practices on the NYSE and NYSE MKT
equities trading floors that allow floor brokers to speak to
individuals off the Floor and provide certain status reports and
observations. See NYSE Notice, supra note 3, at 17308 n. 14; NYSE
MKT Notice, supra note 3, at 17303 n. 12.
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    Currently, when using an Exchange authorized and Exchange provided
portable telephone, a floor broker: (i) May engage in direct voice
communication from the point of sale on the Floor to an off-Floor
location; (ii) may provide status and oral execution reports as to
orders previously received, as well as ``market look'' observations as
historically have been routinely transmitted from a broker's booth
location; (iii) must comply with NYSE Rule 123(e) or NYSE MKT Rule
123(e)--Equities, as applicable; and (iv) must comply with all other
rules, policies, and procedures of both the Exchange and the federal
securities laws, including record retention requirements.\15\ NYSE and
NYSE MKT also require floor brokers and their member organizations to
implement procedures designed to deter anyone calling their Exchange
authorized and Exchange provided portable telephones from using caller
ID block or other means to conceal telephone numbers.\16\ Under the
proposals, NYSE and NYSE MKT would continue to apply these requirements
when a floor broker uses a personal cellular or wireless telephone on
the Floor.\17\
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    \15\ See NYSE Rule 36, Supplementary Material .21(a)(i)-(iv);
NYSE MKT Rule 36--Equities, Supplementary Material .21(a)(i)-(iv).
See also NYSE Rule 440; NYSE MKT Rule 440--Equities; 17 CFR 240.17a-
3; 17 CFR 240.17a-4.
    \16\ See NYSE Rule 36, Supplementary Material .21(b); NYSE MKT
Rule 36--Equities, Supplementary Material .21(b). Members and member
organizations must make and retain records demonstrating compliance
with such procedures. See NYSE Rule 36, Supplementary Material
.21(b); NYSE MKT Rule 36--Equities, Supplementary Material .21(b).
    \17\ See proposed NYSE Rule 36, Supplementary Material
.21(b)(i)-(iv) and (c); proposed NYSE MKT Rule 36--Equities,
Supplementary Material .21(b)(i)-(iv) and (c).
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    NYSE and NYSE MKT currently prohibit floor brokers from using call-
forwarding or conference calling, and Exchange authorized and Exchange
provided portable telephones do not have these capabilities.\18\ Under
the proposals, NYSE and NYSE MKT would eliminate this restriction.\19\
According to NYSE and NYSE MKT, the prohibition on forwarding calls
prevented floor brokers from forwarding calls to a non-Exchange issued
device, and this goal of preventing floor brokers from forwarding calls
from an Exchange-issued device to a non-Exchange-issued device would no
longer be relevant if the floor brokers were using personal cellular
telephones.\20\ NYSE and NYSE MKT also noted that records of conference
calls would be captured pursuant to the proposed recordkeeping
requirements for floor brokers that, as explained further below, would
require floor brokers to maintain records of their telephone use and
such records would be available to the Exchange upon request.\21\
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    \18\ See NYSE Rule 36, Supplementary Material .21(a)(v); NYSE
MKT Rule 36--Equities, Supplementary Material .21(a)(v).
    \19\ See proposed NYSE Rule 36, Supplementary Material .21(b);
proposed NYSE MKT Rule 36--Equities, Supplementary Material .21(b).
    \20\ See NYSE Notice, supra note 3, at 17309; NYSE MKT Notice,
supra note 3, at 17304.
    \21\ See NYSE Notice, supra note 3, at 17309; NYSE MKT Notice,
supra note 3, at 17304.
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    Currently, NYSE MKT prohibits floor brokers from using Exchange
authorized and Exchange provided portable telephones that they use to
trade equities while on the NYSE Amex Options Trading Floor.\22\ Under
the proposal, NYSE MKT would retain this prohibition on using a
telephone used to trade equities while on the options floor, thus
requiring floor brokers to use a separate personal cellular or wireless
telephone for equities versus options trading, as needed.\23\
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    \22\ See NYSE MKT Rule 36--Equities, Supplementary Material
.21(c).
    \23\ See proposed NYSE MKT Rule 36--Equities, Supplementary
Material .21(e). NYSE MKT has proposed to add a cross-reference to
this provision in its rule concerning general use of personal
portable or wireless communication devices by members and employees
of member organizations. See proposed NYSEMKT Rule 36--Equities,
Supplemental Material .23.
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    Additionally, NYSE and NYSE MKT would require floor brokers to
maintain records of the use of telephones and all other approved
devices, including call logs, for at least three years.\24\ The
Exchange could deny, limit, or revoke registration of any device used
on the Floor upon a determination that use of such device is
inconsistent with the public interest, the protection of investors, or
just and equitable principles of trade, or that such device has been or
is being used to facilitate any violation of the Act, as amended, or

rules thereunder, or Exchange Rules.\25\ Each Exchange states that it
would assume no liability to floor brokers due to conflicts between
telephones in use on the Floor or electronic interference problems
resulting from the use of telephones on the Floor.\26\
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    \24\ See proposed NYSE Rule 36, Supplementary Material .21(d);
proposed NYSE MKT Rule 36--Equities, Supplementary Material .21(d).
Floor brokers would need to maintain the first two years of records
in an accessible place. The Exchange would reserve the right to
periodically inspect such records pursuant to NYSE Rule 8210 and
NYSE MKT Rule 8210, respectively. See proposed NYSE Rule 36,
Supplementary Material .21(d); proposed NYSE MKT Rule 36--Equities,
Supplementary Material .21(d).
    \25\ See proposed NYSE Rule 36, Supplementary Material .21(e);
proposed NYSE MKT Rule 36--Equities, Supplementary Material .21(f).
    \26\ See proposed NYSE Rule 36, Supplementary Material .21(f);
proposed NYSE MKT Rule 36--Equities, Supplementary Material .21(g).
According to NYSE and NYSE MKT, rules of other exchanges similarly
limit or cap liability for losses arising from the use of an
exchange's facilities, systems, or equipment. See NYSE Notice, supra
note 3, at 17310 n. 23; NYSE MKT Notice, supra note 3, at 17305 n.
20 (citing Nasdaq Rule 4626; NYSE Arca Options Rules 2.8 and 14.2;
NYSE Arca Equities Rules 2.7 and 13.2).
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    NYSE and NYSE MKT propose to replace references to ``portable,''
``personal portable,'' or ``Exchange authorized and provided portable''
telephones with ``cellular or wireless'' telephones.\27\ Finally, NYSE
and NYSE MKT propose to make minor technical changes to the rules.\28\
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    \27\ See proposed NYSE Rule 36, Supplementary Material .20, .21,
and .23; proposed NYSE MKT Rule 36--Equities, Supplementary Material
.20, .21, and .23.
    \28\ See proposed NYSE Rule 36, Supplementary Material .20(a);
proposed NYSE MKT Rule 36--Equities, Supplementary Material .20(a)
and .21(b)(ii).
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    NYSE and NYSE MKT noted that they will announce the implementation
date of the proposed rule changes in a Regulatory Bulletin at least 30
days in advance of such implementation date and that the proposed rules
changes will become operative within 90 days of approval.\29\ As of the
implementation date, the Exchanges will no longer provide portable
telephones to floor brokers.
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    \29\ See Amendment No. 1, supra note 6.
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II. Discussion and Commission Findings

    After careful review, the Commission finds that the proposed rule
changes, as modified by Amendment No. 1, are consistent with the
requirements of the Act and the rules and regulations thereunder
applicable to a national securities exchange.\30\ In particular, the
Commission finds that the proposed rule changes are consistent with
Section 6(b)(5) of the Act,\31\ which requires, among other things,
that the rules of a national securities exchange be designed to prevent
fraudulent and manipulative acts and practices, 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.
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    \30\ In approving these proposed rule changes, the Commission
has considered the proposed rules' impact on efficiency,
competition, and capital formation. See 15 U.S.C. 78c(f).
    \31\ 15 U.S.C. 78f(b)(5).
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    NYSE and NYSE MKT propose to allow floor brokers to use personal
cellular or wireless telephones on the Floor, instead of Exchange
authorized and Exchange provided telephones, subject to Exchange
approval and specified registration requirements. The Commission notes
that NYSE Arca and NYSE MKT currently allow floor brokers to use
personal cellular or wireless telephones on their options trading
floors.\32\ The Commission further notes that floor brokers' use of
personal cellular or wireless telephones will be generally subject to
the existing regulatory framework pertaining to use of portable
telephones on the Floor, with certain additions and one change as
described further below. With respect to NYSE MKT, the Commission notes
that if a floor broker conducts business on both the equities floor and
the options floor, the floor broker would be required to maintain a
separate personal cellular or wireless telephone for use on each floor.
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    \32\ See NYSE Arca Rule 6.2(h); NYSE MKT Rule 902NY(i). See also
supra notes 13 and 14 and accompanying text.
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    When first approving NYSE floor brokers' use of Exchange authorized
and Exchange provided portable telephones on the Floor on a pilot
basis, the Commission noted that the Exchange would have access to all
telephone records and that proper surveillance is an essential
component of any telephone access policy to an Exchange trading
floor.\33\ NYSE and NYSE MKT propose that floor brokers would be
required to maintain records of telephone use, including logs of calls
placed, and that the Exchange would have the right to periodically
inspect such records. The Commission expects that NYSE and NYSE MKT
will provide guidance to floor brokers concerning these proposed rule
changes that delineates the floor brokers' recordkeeping requirements
(including specific steps floor brokers should take to fully comply
with such requirements) and then institute adequate surveillance
procedures to monitor these efforts.
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    \33\ See Securities Exchange Act Release No. 47671 (April 11,
203), 68 FR 19048, 19050 (April 17, 2003) (SR-NYSE-2002-11).
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    As the Commission originally stated when first approving floor
brokers' use of Exchange authorized and Exchange provided portable
telephones, surveillance procedures are essential, and should help to
ensure that floor brokers who are interacting with the public are
authorized to do so and that orders are being handled in compliance
with Exchange rules.\34\ These requirements remain the same
notwithstanding that, as noted in the proposals, the Floor has changed
and is now a largely automated trading environment.
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    \34\ See id. For example, among others, NYSE Rule 123(e) and
NYSE MKT Rule 123(e)--Equities require members and member
organizations to record the details of an order in an electronic
system immediately upon receipt. See NYSE Rule 123(e); NYSE MKT Rule
123(e)--Equities.
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    Essentially, the Exchanges' proposals deal with changes in
ownership of the portable telephones. NYSE and NYSE MKT have amended
their rules to address these changes by adding floor broker
recordkeeping and other requirements within the existing regulatory
structure of NYSE Rule 36 and NYSE MKT Rule 36--Equities, respectively.
The responsibility of the Exchanges, as self-regulatory organizations,
to conduct surveillance and ensure compliance with their rules remains
the same, regardless of who owns the telephones. The Exchanges have
assured us that they can fulfill their duties despite the change in
ownership of the telephones and, based on that representation, we are
approving the proposed rule changes.\35\
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    \35\ Notwithstanding any Regulatory Service Agreements with
FINRA and the application of FINRA rules to floor brokers as
registered broker dealers, the Exchanges retain legal responsibility
for their regulation of their members on their Floor and their
market and the performance of FINRA as a regulatory service
provider. The Exchanges have represented that they can supervise and
monitor the use of communications on their Floor and approval of the
proposed rule changes is based, in part, on those representations
and that the Exchanges' own surveillance and compliance
responsibilities will be supported by that of FINRA. Each Exchange
retains ultimate legal responsibility for the performance of its
regulatory functions and to assure compliance by its members with
the new rules. See 15 U.S.C. 78s(g).
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    NYSE and NYSE MKT propose specific registration requirements for
the use of personal cellular or wireless telephones on the Floor,
including an attestation that floor brokers are aware of applicable
rules. The Exchange would have the ability to deny, limit, or revoke
such registration.\36\ The Commission believes that these registration
requirements will allow the Exchanges to oversee floor brokers' use of
personal cellular or wireless telephones. Further, NYSE and NYSE MKT
propose to remove restrictions on the use of call forwarding and
conference calling. The Commission believes that the initial reason for
the restriction on the use of call forwarding is moot now that floor
brokers will not use Exchange-issued telephones and the recordkeeping
requirements described

above should allow the Exchanges to monitor the use of conference
calls.
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    \36\ See supra note 25 and accompanying text.
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    Based on the foregoing, the Commission believes that the proposed
rule changes present no novel regulatory issues and therefore finds the
proposed rule changes to be consistent with the Act. The Commission
believes that it is reasonable for NYSE and NYSE MKT to allow floor
brokers to use personal cellular or wireless telephones on their
equities Floors, subject to Exchange approval, registration
requirements, and a regulatory framework similar to that which
currently exists for use of Exchange authorized and Exchange provided
portable telephones on their equities Floors, and for the use of
personal cellular telephones on options floors, in compliance with
Exchange Rules and federal securities laws. The Commission expects that
the Exchanges will monitor compliance with Exchange rules by floor
brokers using personal cellular or wireless telephones on the Floor and
will inform the Commission if they encounter unanticipated difficulties
in enforcing their rules, and make any subsequent changes to their
rules to address these issues, or otherwise find that the use of
personal telephones raises regulatory concerns.

IV. Conclusion

    It is therefore ordered, pursuant to Section 19(b)(2) of the
Act,\37\ that the proposed rule changes (SR-NYSE-2017-07 and SR-
NYSEMKT-2017-16), each as modified by their respective Amendment No. 1,
be, and hereby are, approved.
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    \37\ 15 U.S.C. 78s(b)(2).
    \38\ 17 CFR 200.30-3(a)(12).

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\38\
Eduardo A. Aleman,
Assistant Secretary.
[FR Doc. 2017-14670 Filed 7-12-17; 8:45 am]
 BILLING CODE 8011-01-P


[Federal Register Volume 78, Number 173 (Friday, September 6, 2013)]
[Notices]
[Pages 54923-54925]
[FR Doc No: 2013-21663]

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DEPARTMENT OF LABOR

Occupational Safety and Health Administration

[Docket No. OSHA-2013-0013]

Federal Advisory Council on Occupational Safety and Health

AGENCY: Occupational Safety and Health Administration (OSHA), Labor.

ACTION: Request for nominations to serve on the Federal Advisory
Council on Occupational Safety and Health (FACOSH).

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SUMMARY: The Assistant Secretary of Labor for Occupational Safety and
Health invites interested individuals to submit nominations for
membership on FACOSH.

DATES: Nominations for FACOSH must be submitted (postmarked, sent,
transmitted, or received) by November 5, 2013.

ADDRESSES: You may submit nominations and supporting materials using
one of the following methods:
    Electronically: You may submit nominations, including attachments,
electronically at http://www.regulations.gov, the federal eRulemaking
portal. Follow the online instructions for submitting nominations;
    Facsimile: If your nominations and supporting materials and
attachments do not exceed 10 pages, you may FAX them to the OSHA Docket
Office at<PHONE_NUMBER>;
    Mail, express delivery, hand delivery, messenger or courier
service: You may send nominations and supporting materials to the OSHA
Docket Office, Docket No. OSHA-2013-0013, Room N-2625, U.S. Department
of Labor, 200 Constitution Avenue NW., Washington, DC 20210; telephone
(202) 693-2350 (TTY number<PHONE_NUMBER>). Deliveries by hand, express
mail, messenger, and courier service are accepted during the Department
of Labor's and OSHA Docket Office's normal business hours, 8:15 a.m.-
4:45 p.m., E.S.T.
    Instructions: Your submissions and supporting materials must
include the agency name and docket number for this Federal Register
notice (OSHA-2013-0013). Due to security-related procedures,
submissions by regular mail may experience significant delays. Please
contact the OSHA Docket Office for information about special security
procedures for submitting nominations and supporting materials. For
additional information on submitting nominations and supporting
materials, see the SUPPLEMENTARY INFORMATION section of this notice.
    OSHA will post all submissions, including any personal information
you provide, without change on http://www.regulations.gov. Therefore,
OSHA cautions you about submitting personal information such as Social
Security numbers and birthdates.
    To read or download submissions in response to this Federal
Register notice, go to Docket No. OSHA-2013-0013 at http://www.regulations.gov. All documents in the docket are listed in the
index of that Web site; however, some documents (e.g., copyrighted) are
not publicly available to read or download from that Web site. All
submissions, including copyrighted material, are available for
inspection and copying at the OSHA Docket Office.

For Additional Information

    For press inquiries: Mr. Francis Meilinger, OSHA, Office of
Communications, Room N-3647, U.S. Department of Labor, 200 Constitution
Avenue NW., Washington, DC 20210; telephone<PHONE_NUMBER>; email
<EMAIL_ADDRESS>    For general information: Mr. Francis Yebesi, OSHA, Office of
Federal Agency Programs, Directorate of Enforcement Programs, Room N-
3622, U.S. Department of Labor, 200 Constitution Avenue NW.,
Washington, DC 20210;

telephone<PHONE_NUMBER>; email<EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION: The Assistant Secretary of OSHA invites
interested individuals to submit nominations for membership on FACOSH.
    Background. FACOSH is authorized to advise the Secretary of Labor
(Secretary) on all matters relating to the occupational safety and
health of federal employees (Occupational Safety and Health Act of 1970
(29 U.S.C. 668), 5 U.S.C. 7902, Executive Orders 12196 and 13511). This
includes providing advice on how to reduce and keep to a minimum the
number of injuries and illnesses in the federal workforce, and how to
encourage the establishment and maintenance of effective occupational
safety and health programs in each federal agency.
    FACOSH membership. FACOSH is comprised of 16 members, who the
Secretary appoints to staggered terms not to exceed 3 years. OSHA is
seeking nominations to fill five positions on FACOSH that will become
vacant on January 1, 2014.
    The categories of FACOSH membership and the number of new members
to be appointed to three-year terms include:
     Eight members who are federal agency management
representatives--Two management representatives will be appointed.
     Eight members who are representatives of labor
organizations that represent federal employees--Three federal employee
representatives will be appointed.
    FACOSH members serve at the pleasure of the Secretary and the
Secretary may appoint FACOSH members to successive terms. FACOSH meets
at least two times a year.
    The Department of Labor is committed to equal opportunity in the
workplace and seeks broad-based and diverse FACOSH membership. Any
interested federal agency, labor organization, or individual(s) may
nominate one or more qualified persons for membership on FACOSH.
Interested individuals also are invited and encouraged to submit
statements in support of particular nominees.
    Nomination requirements. Submission of nominations must include the
following information:
    1. The nominee's name, contact information and current occupation
or position;
    2. The nominee's resume or curriculum vitae, including prior
membership on FACOSH and other relevant organizations, associations and
committees;
    3. Category of membership (management, labor) the nominee is
qualified to represent;
    4. A summary of the nominee's background, experience and
qualifications that address the nominee's suitability to serve on
FACOSH;
    5. Articles or other documents the nominee has authored that
indicate the nominee's knowledge, experience and expertise in
occupational safety and health, particularly as it pertains to the
federal workforce; and
    6. A statement that the nominee is aware of the nomination, is
willing to regularly attend and participate in FACOSH meetings, and has
no apparent conflicts of interest that would preclude membership on
FACOSH.
    Member selection. The Secretary appoints FACOSH members based upon
criteria that include the nominee's level of responsibility for
occupational safety and health matters involving the federal workforce;
experience and competence in occupational safety and health; and
willingness and ability to regularly and fully participate in FACOSH
meetings. Federal agency management nominees who serve as their
agency's Designated Agency Safety and Health Official (DASHO), or at an
equivalent level of responsibility within their respective federal
agencies, are preferred as management members. Labor nominees who are
responsible for federal employee occupational safety and health matters
within their respective labor organizations are preferred as labor
members.
    The information received through the nomination process, along with
other relevant sources of information, will assist the Secretary in
making appointments to FACOSH. In selecting FACOSH members, the
Secretary will consider individuals nominated in response to this
Federal Register notice, as well as other qualified individuals. OSHA
will publish a list of the new FACOSH members in the Federal Register.

Public Participation

    Instructions for submitting nominations. Interested individuals may
submit nominations and supplemental materials using one of the methods
listed in the ADDRESSES section. All nominations, attachments and other
materials must identify the agency/labor organization name and the
docket number for this Federal Register notice (Docket No. OSHA-2013-
0013). You may supplement electronic nominations by uploading document
files electronically. If, instead, you wish to submit additional
materials in reference to an electronic or FAX submission, you must
submit them to the OSHA Docket Office (see ADDRESSES section). The
additional material must clearly identify your electronic or FAX
submission by name and docket number (Docket No. OSHA-2013-0013) so
that the materials can be attached to your submission.
    Because of security-related procedures, the use of regular mail may
cause a significant delay in the receipt of nominations. For
information about security procedures concerning the delivery of
materials by hand, express delivery, messenger or courier service,
please contact the OSHA Docket Office (see ADDRESSES section).
    All submissions in response to this Federal Register notice are
posted without change at http://www.regulations.gov. Therefore, OSHA
cautions interested parties about submitting personal information, such
as Social Security numbers and birthdates. Guidance on submitting
nominations and materials in response to this Federal Register notice
is available at http://www.regulations.gov and from the OSHA Docket
Office.
    Access to docket and other materials. To read or download
nominations and additional materials submitted in response to this
Federal Register notice, go to Docket No. OSHA-2013-0013 at http://www.regulations.gov. All submissions are listed in the index of that
docket. However, some documents (e.g., copyrighted material) are not
publicly available to read or download through that Web page. All
submissions, including copyrighted material, are available for
inspection and copying at the OSHA Docket Office. Contact the OSHA
Docket Office for information about materials not available through
http://www.regulations.gov and for assistance in using the internet to
locate submissions.
    Electronic copies of this Federal Register notice are available at
http://www.regulations.gov. This document, as well as news releases and
other relevant information, also is available at OSHA's Web page at
http://www.osha.gov.

Authority and Signature

    David Michaels, Ph.D., MPH, Assistant Secretary of Labor for
Occupational Safety and Health, directed the preparation of this notice
under the authority granted by section 19 of the Occupational Safety
and Health Act of 1970 (29 U.S.C. 668), 5 U.S.C. 7902, the Federal
Advisory Committee Act (5 U.S.C. App. 2), Executive Order 12196 and
13511, Secretary of Labor's Order 1-2012 (77 FR 3912 (1/25/2012)), 29
CFR Part 1960 (Basic Program Elements of for Federal

Employee Occupational Safety and Health Programs), and 41 CFR Part 102-
3.

    Signed at Washington, DC on August 30, 2013.
David Michaels,
Assistant Secretary of Labor for Occupational Safety and Health.
[FR Doc. 2013-21663 Filed 9-5-13; 8:45 am]
BILLING CODE 4510-26-P


        Supporting Statement for an Information Collection Request (ICR)
                    Under the Paperwork Reduction Act (PRA)

 EXECUTIVE SUMMARY
 Identification of the Information Collection  -  Title and Numbers
      Title: Procedures for Requesting a Chemical Risk Evaluation under TSCA
      ICR Numbers: EPA ICR No.: 2559.03; OMB Control No.: 2070-0202.
	EPA Form Numbers:  n/a, Complete online.
	Docket ID Number: EPA-HQ-OPPT-2016-0654

 Docket Information
The information collection request (ICR) that explains the information collection activities and related burden and cost estimates, as well as other supporting documents related to the ICR, are available in the docket established for the rulemaking. The docket can be viewed online at http://www.regulations.gov or in person at the EPA Docket Center, West William Jefferson Clinton Bldg., Rm. 3334, 1301 Constitution Ave., N.W., Washington, DC. The telephone number for the Docket Center is<PHONE_NUMBER>. For additional information about EPA's public docket, visit http://www.epa.gov/dockets.

 ICR Status
This ICR renewal addresses the information collection activities that are contained in a final rule. Under the Paperwork Reduction Act (PRA), 44 U.S.C. 3501 et seq., an agency may not conduct or sponsor, and a person is not required to respond to, a collection of information, unless it displays a currently valid control number issued by the Office of Management and Budget (OMB). The OMB control numbers are displayed either by publication in the Federal Register or by other appropriate means, such as on the related collection instrument or form, if applicable. The display of OMB control numbers for certain EPA regulations is consolidated in 40 CFR part 9.

Before submitting an ICR to OMB for review and approval under the PRA, an agency must solicit comments pursuant to PRA §3506(c)(2)(A) and 5 CFR 1320.8(d)(1). After considering comments received on the draft ICR, the agency must submit the ICR to OMB for review and approval according to the procedures prescribed in 5 CFR 1320.12. In announcing the submission of the final ICR to OMB for review and approval, the agency must provide another opportunity for public review and comments on the revised ICR pursuant to 5 CFR 1320.12(c).

 Abstract
This ICR is related to a requirement contained in a final rule issued by EPA in June 2017 to implement new provisions outlined in the Frank R. Lautenburg Chemical Safety of the 21[st] Century Act which passed in June 2016. The final rule established the process the Agency adheres to in conducting risk evaluations under the Toxic Substances Control Act (TSCA). Chemicals that will undergo this evaluation include chemicals the Agency has prioritized, as well as chemicals for which EPA has granted requests made by manufacturers to have the chemicals evaluated under EPA's risk evaluation process. The final rule outlined the criteria and information chemical manufacturers must provide for EPA to consider a chemical substance for risk evaluation. The information collection activities covered by this ICR renewal are those carried out by a chemical manufacturer in requesting a specific chemical risk evaluation under TSCA be conducted by EPA. This information is necessary in order for EPA to review information covered by chemical manufacturers and determine if the chemical substance is suitable for risk evaluation.

Legal authority: The Toxic Substances Control Act (TSCA), 15 U.S.C. § 2605(b).

Respondents/affected entities: Entities potentially affected by this ICR include persons that manufacture chemical substances and request a chemical be considered for risk evaluation by EPA.

Respondent's obligation to respond: Respondents are not obligated to respond or report to EPA. Submitting under this ICR is completely voluntary.

Confidentiality of responses: Responses may contain confidential business information but persons submitting a response are subject to EPA confidentiality regulations at 40 CFR part 2, subpart B.

Estimated total number of potential respondents: 5

Frequency of response: On occasion EPA, submission by manufacturer is completely voluntary.

Estimated total annual burden: 419.15 hours. Burden is defined at 5 CFR 1320.3(b).

Estimated total annual costs: $283,570

Changes in the estimates: $709 resulting from an increase in the wage rates since the initial ICR.

 NECESSITY OF THE INFORMATION COLLECTION
 Related Legal and/or Administrative Requirements
TSCA  -  Under section 6(b)(4) of TSCA (15 U.S.C. §2605(b)(4)), EPA is required to establish, by rule, a process to conduct risk evaluations. Specifically, EPA is directed to use this process to "determine whether a chemical substance presents an unreasonable risk of injury to health or the environment, without consideration of costs or other non-risk factors, including an
unreasonable risk to a potentially exposed or susceptible subpopulation identified as relevant
to the risk evaluation by the Administrator under the conditions of use." (15 U.S.C. 85 §2605(b)(4)(A). Sections 6(b)(4)(A) through (H) enumerate the deadlines and minimum requirements, under TSCA, applicable to this process, including provisions that direct which chemical substances must undergo evaluation, the development of criteria for manufacturer requested evaluations, the minimum components of an Agency risk evaluation, and the timelines for public comment and ultimate completion of the risk evaluation. Section 6(b)(4) authorizes EPA to:
      (1) Conduct risk evaluations pursuant to specific requirements in the statute and the promulgated risk evaluation rule on chemicals prioritized by the Agency or chemicals for which EPA has granted requests made by manufacturers to have the chemicals undergo EPA's risk evaluation;
      (2) Develop a process of risk evaluation;
      (3) Establish the form and manner and criteria that govern manufacturer requests that a substance they produce undergo EPA's risk evaluation; and
      (4) Make a final unreasonable risk determination on a chemical substance under the conditions of use

The final rule:
      1) Established a process to conduct risk evaluations to determine whether a chemical substance presents an unreasonable risk of injury to health or the environment, without consideration of costs or other non-risk factors, including an unreasonable risk to a potentially exposed or susceptible subpopulation, under the conditions of use;
      2) Established the form and manner and criteria that govern manufacturer requests that a substance they produce undergo EPA's risk evaluation;
      3) Enumerated the requirements and deadlines that must be adhered to in completing a risk evaluation; and
      4) Provided opportunity for public comment during two stages of a risk evaluation process.

 Necessity of the Information Collection
The information collection activities covered by this ICR are necessary in order for EPA to review information provided by chemical manufacturers and determine if the chemical substance is suitable for risk evaluation. Without collecting the information outlined in the final rule, there would not be a way for EPA to determine if enough data and information meeting the standards in section 21(h) available to perform a risk evaluation of the given chemical substance within the timeframe outlined in the new legislation.

 Uses, Users, and Purpose of the Information Collection
EPA. This information collection provides EPA with information necessary to conduct a risk evaluation on a chemical substance and each submission request must comply with all procedures and criteria outlined in the final rule. A request meets EPA's criteria if it includes or references all the information necessary for the Agency to conduct a risk evaluation addressing all the circumstances constituting condition(s) of use of interest to the manufacturer(s), of the chemical substance within the meaning of TSCA section 33.

EPA uses this information collection to (1) determine if the criteria has been meet for risk evaluation requests and (2) conduct the risk evaluation if the request is granted.

 NON-DUPLICATION, CONSULTATIONS, AND OTHER COLLECTION CRITERIA
 Non-Duplication
 The EPA's collection pursuant to the TSCA section 6(a) regulations do not duplicate any other collection. There is no other Federal program that requires the information collection activities related to the prohibitions under the final rule.

 Public Notice Required Prior to ICR Submission to OMB
Prior to submission to OMB, this ICR renewal will be made available to the public for comment through a Federal Register notice. The public will have 60 days to provide comments. Any comments received will be given consideration when completing the supporting statement submitted for OMB review.

   3(c).	Consultations
Under 5 CFR 1320.8(d)(1) OMB requires agencies to consult with potential ICR respondents and data users about specific aspects of ICRs before submitting an original or renewal ICR to OMB for review and approval. In accordance with this regulation, EPA will pursue consultations with interested parties during the development of the renewal of this collection.

   3(d).	Effects of Less Frequent Collection
 Due to the nature of the triggering events that initiate information collection activities included in this ICR, less frequent collection is not feasible. This ICR only applies to voluntary actions by chemical manufacturers. Submission of information thus is on an as-needed, on-occasion basis, as initiated by respondents. EPA cannot control when or how often respondents elect to submit a chemical substance for risk evaluation consideration. Less frequent collection would mean respondents not being required to submit data at all. However, without such data, EPA would not be able to consider chemical substances for risk evaluation at the request of chemical manufacturers as mandated in TSCA.

   3(e).	Small Entity Flexibility
 EPA believes that the submission requirements do not unduly burden small businesses. EPA concludes that the final information collection request has no significant impacts on small entities subject to this ICR as firms self-select to report and when doing so less than one percent of the small businesses in the estimated universe of those potentially impacted are excepted to have an impact of greater than 3 percent.

   3(f).	General PRA Related Guidelines
 This ICR is consistent with OMB's general guidelines. Companies will only submit information under this ICR on a completely voluntary basis if the company submits a chemical substance for consideration of a risk evaluation. Therefore, this ICR does not exceed the PRA guidelines at 5 CFR 1320.5.

   3(g).	Confidentiality
Large portions of the information required as part of the risk evaluation request submission may be considered by the submitter to be a trade secret, proprietary, or "confidential business information" (CBI).  However, EPA requires the submission of such information because it is essential for providing a basis to determine unreasonable risk.  EPA cannot draw conclusions or make assumptions concerning toxicological effects and potential risks without examining physicochemical structure, methods of production, byproducts, potential uses, exposure data, etc.

The Agency's policies allow public involvement while preserving confidentiality.  TSCA section 14(a) prohibits, except in limited circumstances, the disclosure of trade secret information.  TSCA section 14(d) allows disclosure of health and safety studies, including underlying data, unless these studies disclose confidential process or mixture information.  Under 40 CFR 720.85 and 720.87(See also 40 CFR part 2), when the specific chemical identity or use data are claimed confidential, the Agency requires the submitter to provide generic descriptions for inclusion in Federal Register notices and the public file.  Additionally, the submitter must provide a "sanitized" copy of all health and environmental effects data, with confidential information deleted, for placement in the public docket.  Within the Agency, only personnel with the required clearance may handle CBI.

Based on its experience, EPA expects that most information included in requests for risk evaluations notices will be CBI.  EPA has developed an elaborate system to prevent unauthorized disclosure of CBI.  This system includes procedures for logging material in and out of the Confidential Business Information Center (CBIC) at EPA headquarters and procedures for photocopying and transmitting CBI.  These procedures apply to CBI submitted by manufacturers as well as CBI generated by EPA staff in the course of their review.  Access to CBI is restricted to persons who need the information for their work.  No one is allowed access to CBI without first undergoing instruction on procedures for handling CBI.  Special procedures have been instituted to restrict access to computerized CBI.  These procedures are detailed in the "TSCA CBI Protection Manual," October 2003.  EPA believes these procedures protect confidential information while providing the public with as much information as possible.

Any information being sent via Central Data Exchange (CDX) is transmitted using secure technologies to protect CBI.  The software encrypts company submissions using a Federal Information Processing Standards (FIPS) compliant encryption module. The encryption module employs a public key algorithm which converts readable text into encrypted text. This public key is downloaded from CDX to the submission software, and the corresponding private key is sent to EPA's New Chemical System (NCS).  The encryption remains while the submission is transmitted via CDX to NCS. The file can be decrypted only with the NCS's private key when it has reached its final destination. The NCS is the only party that possesses the private key, which converts the encrypted text back into readable text.

The same thing will occur for all correspondence going back to the submitter.  The NCS and submission software are also provided with a set of public and private keys, so that correspondence containing any potential confidential business information will remain encrypted during transmission via CDX and can be opened only by the submitter within the appropriate software.

   3(h).	Sensitive Questions
 The information collection activities do not include questions of a sensitive nature.

 AGENCY ACTIVITIES, COLLECTION METHODOLOGY, AND INFORMATION MANAGEMENT
 Agency Activities
In connection with administering the TSCA mandated review of chemical substances submitted by chemical manufacturers for risk evaluation consideration, EPA performs the following activities:
       Within 15 business days of receipt of a request EPA will notify the public of the request.
       Within 60 business days of receipt of a request EPA will public the request in the Federal Register and open a docket for no less than a 45 calendar day public commenter period. The notice will include the manufacturer request and any other conditions of use the Agency has determined should be considered in the risk evaluation.
       Within 60 business days of the end of the comment period the Agency will notify the requester of the decision to grant or deny the request.  If the request is granted, the manufacturer has 30 days to withdraw the request, or the request will be granted and the Agency will move to initiate the risk evaluation.

 Estimated Agency Costs
EPA estimates costs of $2,494,096 to carry out the activities associated with the information collection activities covered by this ICR, the costs for the Agency to review and determine completeness of 5 manufacturer requested risk evaluations. In order to determine the total cost for the Agency, an average number of labor hours and contractor costs were calculated. The labor rate was assumed to be a fully loaded GS-13, step 5 employee in the Washington D.C. area of $84.26 per hour. This cost includes an average labor time of 5,920 hours per chemical submitted by a manufacturer.
 Collection Schedule
Does not apply to this information collection. Submission of information under this collection is on an as-needed, on-occasion basis, initiated by the respondents.

 Use of Technology to Facilitate Collection Activities
EPA makes use of existing technology to simplify the submission process. Respondents submit the initial request package and any supplemental information to the Agency via CDX. This is the same system used for section 5 submissions to EPA. Therefore, respondents may already be familiar with the system and the system has the capabilities to receive and send information claimed as CBI.

 The RESPONDENTS AND INFORMATION COLLECTION (IC) ACTIVITIES
For each respondent category, this section of the ICR describes the respondents, the information collection activities and related estimates for burden and costs associated with those activities.

 Methodology for Estimating Respondent Burden and Costs
The collection specifies submissions to EPA when a chemical manufacturer elects to submit a chemical substance for potential risk evaluation by the Agency. The North American Industrial Classification System (NAICS) codes associated with industries most likely affected by the paperwork requirements are described below:

3222
3241
Converted Paper Products Manufacturing
Petroleum and Coal Product Manufacturing
3251
Basic Chemical Manufacturing
3252
Resin, Synthetic Rubber, and Artificial Synthetic Fibers and Filaments Manufacturing
3255
Paint, Coating, and Adhesive Manufacturing
3256
Soap, Cleaning Compound, and Toilet Preparation Manufacturing
3259
Other Chemical Product and Preparation Manufacturing
3261
Plastics Product Manufacturing
3262
Rubber Product Manufacturing
3271
Clay Product and Refractory Manufacturing
3272
Glass and Glass Product Manufacturing
3273
Cement and Concrete Product Manufacturing

The final rule provides the information and criteria chemical manufacturers are required to meet when submitting a chemical substance to EPA for risk evaluation consideration. The submissions outlined in the final rule and covered by this ICR are completely voluntary and no chemical manufacturer is mandated to submit a chemical substance for risk evaluation consideration.

The rule requirements include the following:

      (1) Name, mailing address, and contact information of the entity (or entities) submitting the request. If more than one manufacturer submits the request, all individual manufacturers must provide their contact information.

      (2) The chemical identity of the chemical substance that is the subject of the request. At a minimum, this includes, all known names of the chemical substance, including common or trades names, CAS number, and molecular structure of the chemical substance A request for risk evaluations of a category of chemical substances must include an explanation of why the category is appropriate under 15 U.S.C. 2625(c), and EPA will grant such request only upon determining that the requested category is appropriate for risk evaluation.

  (3) The manufacturer must identify the circumstances on which they are requesting that EPA conduct a risk evaluation and include a rationale for why these circumstances constitute conditions of use.

  (4) The request must also include a list of all the existing information that is relevant to whether the chemical substance, under the circumstances identified by the manufacturer(s), presents an unreasonable risk of injury to health or the environment.  The list must be accompanied by an explanation as to why such information is adequate to permit EPA to complete a risk evaluation addressing the circumstances identified by the manufacturer(s), The request need not include copies of the information; citations are sufficient, if the information is publicly available. The request must include or reference all available information on the health and environmental hazard(s) of the chemical substance, human and environmental exposure(s), and exposed population(s), as relevant to the circumstances identified in the request.  At a minimum, this must include all the following, as relevant to the circumstances identified:
  (A) The chemical substance's hazard and exposure potential;
  (B) The chemical substance's persistence and bioaccumulation;
  (C) Potentially exposed or susceptible subpopulations which the manufacturer(s) believes to be relevant to the EPA risk evaluation;
  (D) Whether there is any storage of the chemical substance near significant sources of drinking water, including the storage facility location and the nearby drinking water source(s);
  (E) The chemical substance's production volume or significant changes in production volume; and
  (F) Any other information relevant to the potential risks of the chemical substance under the circumstances identified in the request.

      (5) The request must include a commitment to provide to EPA any referenced information upon request.

      (6) Scientific information submitted must be consistent with the scientific standards in 15 U.S.C. 2615(h).

      (7) A signed certification that all information contained in the request is accurate and complete, as follows:
      I certify that to the best of my knowledge and belief:
 The company named in this request manufacturers the chemical substance identified for risk evaluation.
 All information provided in the notice is complete and accurate as of the date of the request.
      3.   I have either identified or am submitting all information in my possession, control, and a description of all other data known to or reasonably ascertainable by me as required for this request under this part.  I am aware it is unlawful to knowingly submit incomplete, false and/or misleading information in this request and there are significant criminal penalties for such unlawful conduct, including the possibility of fine and imprisonment.

      (8) Optional Elements. A manufacturer may provide information that will inform EPA's determination as to whether restrictions imposed by one or more States have the potential to have a significant impact on interstate commerce or health or the environment, and that as a consequence the request is entitled to preference pursuant to 15 U.S.C. 2605(b)(4)(E)(iii).

      (9) Confidential Business Information.
      (A) Persons submitting a request under this subpart are subject to EPA confidentiality regulations at 40 CFR part 2, subpart B.
      (B) In submitting a claim of confidentiality, a person must certify the accuracy of the following statements concerning all information claimed as confidential:
      I hereby certify to the best of my knowledge and belief that all information entered on this form is complete and accurate. I further certify that, pursuant to 15 U.S.C. 2613(c), for all claims for confidentiality made with this submission, all information submitted to substantiate such claims is true and correct, and that it is true and correct that
         (i) My company has taken reasonable measures to protect the confidentiality of the information;
         (ii) I have determined that the information is not required to be disclosed or otherwise made available to the public under any other Federal law;
         (iii) I have a reasonable basis to conclude that disclosure of the information is likely to cause substantial harm to the competitive position of my company; and
         (iv) I have a reasonable basis to believe that the information is not readily discoverable through reverse engineering.
      (C) Each claim of confidentiality, other than a claim pertaining to information described in TSCA section 14(c)(2), must be accompanied by a substantiation in accordance with 15 U.S.C. 2613.
      (D) Manufacturers must supply a structurally descriptive generic name where specific chemical identity is claimed as CBI.
      (E) Any knowing and willful misrepresentation, under this section, is subject to criminal penalty pursuant to 18 U.S.C. 1001.

Number of Entities Affected

EPA developed estimates for number of manufacturers who are likely to elect to submit a chemical substance for risk evaluation. Submissions of this nature are still new to the Agency therefore the actual number of expected submittals over time is still relatively unknown. However, EPA assumes 5 chemical manufactures may submit requests to the Agency in any given year. Once sufficient data based on the number of submissions received per year is available, this estimate will be revised as needed. The total number of entities affected by the recordkeeping and reporting requirements of the rule, therefore, is estimated to be 5 chemical manufacturers per year.

Rule Familiarization Burden

EPA assumes that each manufacturer who elects to submit a chemical substance for risk evaluation consideration is assumed to spend one hour becoming familiar with the requirements of the rule and developing an understanding of what actions are necessary to complete the forms and submission package.

CDX Electronic Reporting Burden

Manufacturers requesting a chemical substance be considered by EPA for risk evaluation are required to provide the submission package to the Agency via the CDX electronic system. While several manufacturers may be familiar with the CDX system and are registered users because the same system is used for new chemical submissions to the Agency (e.g., pre-manufacture notice, significant new use notice, low volume exemptions) there is no way to estimate which manufacturers submitting risk evaluation requests are familiar with CDX and which are new to the system. Therefore, EPA assumes submissions under this information collection are performed by new users of CDX which may result in an overestimate of burden.

The CDX electronic reporting burden includes registration to CDX, familiarization with the subscriber agreements, potential use of the help desk, and problem resolution. The burden estimates used in this ICR are based off of estimates in EPA ICR No 2502.02, resulting in a burden of 2.83 hours per respondent.

Submission Package Burden

Chemical manufacturers electing to request EPA consider a chemical substance for risk evaluation must provide a submission package including the following information: contact information of requesting entity(s), full chemical identity information, complete list of reasonably available information consistent with TSCA section 26(h) standards that is relevant to an unreasonable risk determination, addresses all the circumstances that constitute conditions of use, of interest to the manufacturer, within the meaning of TSCA section 3, contain a commitment to provide EPA any referenced information upon request of the Agency, and provide a signed certification that all information in the submission is accurate and complete.

While submissions of this nature have never been required or requested by EPA in the past, the Agency has performed similar tasks internally while conducting previous Risk Evaluations. The average contractor expense and labor time the Agency spends on the types of activities required to prepared the submission package covered by this ICR was used to develop the burden and cost estimates.

EPA estimates the cost of having a contractor conduct an in-depth literature review and screen the literature found for relevance costs an average of $50,000 per chemical. In addition to the contractor cost, the manufacturer is expected to spend an average of 80 hours per chemical reviewing the data found during the literature, refining the searches as needed, and preparing the submission package. Therefore, the estimated burden for developing and submitting a risk evaluation request is 80 hours per respondent with an additional direct cost of $50,000 per submission package.

Costs

EPA assumes a direct cost of $50,000 per submission package for work performed by a contractor to assist the manufacturer in preparation activities such as literature reviews. Any fees to be collected as part of the risk evaluation requests will be covered under the fees rule required by TSCA and accompanying ICR. Labor costs are based on fully loaded wage rates. The estimated wage for managerial professional (in the instance of this ICR a toxicologist) is $80.09 per hour. More detail on the calculation of wage rates is presented in Appendix 1.

 Information Collections
Information Collection Activities

The final rule provides the information and criteria chemical manufacturers are required to meet when submitting a chemical substance to EPA for risk evaluation consideration. The submissions outlined in the final rule and covered by this ICR are completely voluntary and no chemical manufacturer is mandated to submit a chemical substance for risk evaluation consideration.

Chemical manufacturers electing to request EPA consider a chemical substance for risk evaluation must provide a submission package including the following information:
 contact information of requesting entity(s),
 full chemical identity information,
 complete list of reasonably available information consistent with TSCA section 26(h) standards that is relevant to an unreasonable risk determination,
 addresses all the circumstances that constitute condition(s) of use, of interest to the manufacturer, within the meaning of TSCA section 3,
 contain a commitment to provide EPA any referenced information upon request of the Agency,
 and provide a signed certification that all information in the submission is accurate and complete.

A manufacturer may provide evidence to demonstrate that restrictions imposed by one or more States have the potential to have a significant impact on interstate commerce or health or the environment, and that as a consequence the request is entitled to preference pursuant to 15 U.S.C. 2605(b)(4)(E)(iii).

In submitting a claim of confidentiality, 461 a person must certify that all information entered on the form is complete and accurate and further certify that pursuant to 15 U.S.C. 2613(c), and for all claims for confidentiality made with this submission, all information submitted to substantiate such claims is true and correct.

Activities chemical manufacturers may be required to perform as a result of this final rule:
 Rule Familiarization.
          Familiarize themselves with the requirements of the rule and develop an understanding of what actions are necessary to complete the forms and the submission package. This entails reading the rule and understanding the procedures, requirements, criteria, and deadlines,
 Prepare Request.
          Collect all required information. The information must be collected and reviewed internally before submission.
          Complete the request.
          Complete the commitment to provide EPA with any referenced information upon request.
          Complete and sign the certification.
          Complete and sign the claim of confidentiality.
 Submit the request package to EPA.

           IC# 1. Submission of a Chemical Manufacturer's Request
Activity/Respondent
Number of Respondents
Responses per Respondent
Total Responses
Burden per Response (hours)
Direct Cost Per Submission
Total Burden (hours)
Cost
                        CDX Electronic Reporting Burden
Chemical manufacturers submitting request
                                       5
                                       1
                                       5
                                     2.83
                                      n/a
                                     14.15
                                                                        $1,133
                             Rule Familiarization
Chemical manufacturers submitting request
                                       5
                                       1
                                       5
                                       1
                                      n/a
                                       5
                                                                          $400
                   Literature Review and Package Preparation
Chemical manufacturers submitting request
                                       5
                                       1
                                       5
                                      80
                                   $50,000
                                      400
                                                                      $282,036
                       Total Burden for all Activities
Chemical manufacturers submitting request
                                       5
                                       1
                                       5
                                     83.83
                                   $50,000
                                    419.15
                                                                      $283,570
Total
                                       5

                                       5

                                    419.15
                                                                      $283,570

 PRA Burden Statement
Under the PRA, burden is defined at 5 CFR 1320.3(b).

This an ICR renewal and the total burden requested for this ICR is 419.15 hours per year, which is a change of zero burden hours from the initial ICR. The total annual cost burden requested for this ICR is $283,570, which is an increase of $709. This increase results from an increase in industry wage rates since the previous approval of the ICR. Comments can be submitted regarding the accuracy of the provided burden estimates and any suggested methods for minimizing respondent burden, including the use of automated collection techniques. Comments, referencing Docket ID No. EPA-HQ-OPPT-2016-0654 and OMB Control No. 2070-0202 (EPA ICR No. 2559.03), may be submitted to EPA electronically through http://www.regulations.gov and to OMB, addressed to "OMB Desk Officer for EPA" and referencing OMB Control No. 2070-0202 (EPA ICR No. 2559.03), via email to<EMAIL_ADDRESS>
References
U.S. Census Bureau (2012a). 2012 Statistics of U.S. Businesses- Number of Firms, Number of Establishments, Employment, Annual Payroll, and Estimated Receipts by Enterprise Employment Size for the United States, All Industries:  2012.
U.S. Census Bureau (2012b). Geographic Areas Series: U.S. Nonemployer Statistics 2012.
 ATTACHMENTS TO THE SUPPORTING STATEMENT
Attachments to the ICR supporting statement are available in the public docket established for the rulemaking under docket identification number EPA-HQ-OPPT-2016-0654. These attachments are available for online viewing at https://www.regulations.gov or otherwise accessed as described in the following listing.

Attachment 1:
Calculation of Wage Rates.
Attachment 2:
PrePublication Copy of the Final Rule.


[Federal Register Volume 88, Number 44 (Tuesday, March 7, 2023)]
[Notices]
[Pages 14161-14163]
[FR Doc No: 2023-04633]

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ENVIRONMENTAL PROTECTION AGENCY

[FRL-10499-01-OMS]

Privacy Act of 1974; System of Records

AGENCY: Office of Mission Support, Environmental Protection Agency
(EPA).

ACTION: Notice of a modified system of records.

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SUMMARY: The U.S. Environmental Protection Agency (EPA) is giving
notice that it proposes to modify a system of records pursuant to the
provisions of the Privacy Act of 1974. The Mass Alert Notification
System (MANS) is being modified to update the system location, contact
information, and record source categories, and to add one additional
General Routine Use. The purpose of the system is to manage
communications to agency personnel during critical events. EPA uses
MANS for operational response to critical events to keep individuals
safe and ensure continuity of business operations. During public safety
threats such as active shooter situations, terrorist attacks, or severe
weather conditions, as well as critical business events such as IT
outages, cyber-attacks, or other incidents such as product recalls or
supply-chain interruptions, customers rely on MANS to quickly and
reliably aggregate and assess threat data, locate people at risk and
responders able to assist, automate the execution of pre-defined
communications processes, and track progress on executing incident
response plans.

DATES: Persons wishing to comment on this system of records notice must
do so by April 6, 2023. Routine uses for this modified system of
records will be effective April 6, 2023.

ADDRESSES: Submit your comments, identified by Docket ID No. EPA-HQ-
OEI-2016-0235, by one of the following methods:
    Federal eRulemaking Portal: https://www.regulations.gov. Follow the
online instructions for submitting comments.
    Email: [email protected]. Include the Docket ID number in the
subject line of the message.
    Fax:<PHONE_NUMBER>.
    Mail: OMS Docket, Environmental Protection Agency, Mail Code:
2822T, 1200 Pennsylvania Ave. NW, Washington, DC 20460.
    Hand Delivery: OMS Docket, EPA/DC, WJC West Building, Room 3334,
1301 Constitution Ave. NW, Washington, DC 20460. Such deliveries are
only accepted during the Docket's normal hours of operation, and
special arrangements should be made for deliveries of boxed
information.
    Instructions: Direct your comments to Docket ID No. EPA-HQ-OEI-
2016-0235. The EPA's policy is that all comments received will be
included in the public docket without change and may be made available
online at https://www.regulations.gov, including any personal
information provided, unless the comment includes information claimed
to be Controlled Unclassified Information (CUI) or other information
for which disclosure is restricted by

statute. Do not submit information that you consider to be CUI or
otherwise protected through https://www.regulations.gov. The https://www.regulations.gov website is an ``anonymous access'' system for the
EPA, which means the EPA will not know your identity or contact
information. If you submit an electronic comment, the EPA recommends
that you include your name and other contact information in the body of
your comment. If the EPA cannot read your comment due to technical
difficulties and cannot contact you for clarification, the EPA may not
be able to consider your comment. If you send an email comment directly
to the EPA without going through https://www.regulations.gov, your
email address will be automatically captured and included as part of
the comment that is placed in the public docket and made available on
the internet. Electronic files should avoid the use of special
characters, any form of encryption, and be free of any defects or
viruses. For additional information about the EPA public docket, visit
the EPA Docket Center homepage at https://www.epa.gov/dockets.
    Docket: All documents in the docket are listed in the https://www.regulations.gov index. Although listed in the index, some
information is not publicly available, e.g., CUI or other information
for which disclosure is restricted by statute. Certain other material,
such as copyrighted material, will be publicly available only in hard
copy. Publicly available docket materials are available either
electronically in https://www.regulations.gov or in hard copy at the
OMS Docket, EPA/DC, WJC West Building, Room 3334, 1301 Constitution
Ave. NW, Washington, DC 20460. The Public Reading Room is normally open
from 8:30 a.m. to 4:30 p.m., Monday through Friday excluding legal
holidays. The telephone number for the Public Reading Room is (202)
566-1744, and the telephone number for the OMS Docket is (202) 566-
1752. Further information about EPA Docket Center services and current
operating status is available at https://www.epa.gov/dockets.

FOR FURTHER INFORMATION CONTACT: Tiye Houston, Physical Security and
Preparedness Branch, Security Management Division,<PHONE_NUMBER>.

SUPPLEMENTARY INFORMATION: EPA uses MANS to disseminate emergency
alerts and notification information rapidly and effectively to EPA
personnel, contractors, grantees, consultants, volunteers, and other
support staff, and their emergency contacts. The MANS system of records
is being modified to (1) update the system location to reflect the
correct system location (i.e., Amazon Web Services cloud), (2) update
the ``system manager(s)'' section to include the current system manager
of MANS, (3) update the General Routine Uses to add routine use M, and
(4) update the ``record source categories'' section to include the
current records sources.

SYSTEM NAME AND NUMBER:
    Mass Alert and Notification Systems (MANS), EPA-44.

SECURITY CLASSIFICATION:
    Unclassified.

SYSTEM LOCATION:
    The EPA component responsible for the system is the Office of
Mission Support, Environmental Protection Agency, 1301 Constitution
Ave. NW, Washington, DC 20460. Records are cloud hosted at the third-
party service provider Amazon Web Services US East (Northern Virginia)
and US West (Oregon, Northern California) data centers.

SYSTEM MANAGER(S):
    Director, Security Management Division, Office of Administration,
Office of Mission Support, William Jefferson Clinton North Building,
Suite B400, 1200 Pennsylvania Avenue NW, Washington, DC 20460.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    42 U.S.C. 5121 et seq.; Executive Order 12656 (Nov. 18, 1989);
Federal Continuity Directive 1 (2012).

PURPOSE(S) OF THE SYSTEM:
    To contact EPA personnel, contractors, grantees, consultants,
volunteers, and other support staff who have an active EPA
identification badge or are in the process of obtaining an EPA
identification badge, for the purposes of providing emergency alerts
and notifications and conducting accountability activities in support
of affected persons following an emergency, or, as a means to account
for EPA employees, contractors, grantees, consultants, and any other
support staff personnel following an emergency event. Records may also
be used for mass alert and notification system test, drill, and
exercise evolutions. This system will provide EPA with the ability to
disseminate emergency alerts and notification information rapidly and
effectively to EPA personnel and their emergency contacts.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    EPA personnel, contractors, grantees, consultants, volunteers, and
any other support staff personnel.

CATEGORIES OF RECORDS IN THE SYSTEM:
    Personnel information includes first name, last name, middle
initial, office location, scope of the record subject's
responsibilities, work email address, work telephone number and work
mobile telephone number, work short message service (SMS) (texting) and
work telephone typewriter, teletypewriter, or text phone/
Telecommunications Device for the Deaf (TTY/TDD). Records are from
various communications mediums such as telephones, emails, and SMS.
Record subjects have the option to add their own personal contact
information voluntarily and securely, and emergency contact(s),
including home address, personal email address(es), home telephone
number(s) and personal mobile telephone number(s), short message
service (SMS) (texting), telephone typewriter, teletypewriter, or text
phone/Telecommunications Device for the Deaf (TTY/TDD) by establishing
a personal account on the MANS web-portal.

RECORD SOURCE CATEGORIES:
    Records contained in this system of records are obtained from
individuals including: EPA personnel, contractors, grantees,
consultants, volunteers and any other support staff personnel. Records
contained in this system of records are obtained from the following EPA
systems: Human Resources Line of Business (HR LoB), EPA
Telecommunication Detail Records, and Personnel Security System (PSS)
2.0.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND PURPOSES OF SUCH USES:
    The routine uses below are both related to and compatible with the
original purpose for which the information was collected. The following
general routine uses apply to this system (86 FR 62527): A, E, F, G, H,
K, L, and M.

POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
    These records are maintained electronically on computer storage
devices managed by Amazon Web Services, located in US East (Northern
Virginia) and US West (Oregon, Northern California) data centers.

POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
    Information will be retrieved primarily by employee name.

Information may also be retrieved by any collected data element.

POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
    Records stored in this system are subject to EPA's records schedule
1012, Information Technology Management. Records are kept as long as
the record subject is affiliated with EPA.

ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:
    Security controls used to protect personal sensitive data in MANS
are commensurate with those required for an information system rated
MODERATE for confidentiality, integrity, and availability, as
prescribed in National Institute of Standards and Technology (NIST)
Special Publication, 800-53, ``Security and Privacy Controls for
Information Systems and Organizations,'' Revision 5.
    1. Administrative Safeguards: The MANS cloud service provider and
EPA information security and privacy policies require all employees and
contractors to take security awareness training on an annual basis. All
personnel are instructed to lock their computers when they leave their
desks.
    2. Technical Safeguards: MANS is a cloud-based Software-as-a-
Service platform that is designed to be accessed over the internet. All
remote communication must be encrypted, and all users are required to
be authorized. Access control policy does not permit shared account
credentials within the cloud environment. Each user is assigned unique
credentials and can only access the cloud environment using their
assigned unique credentials. Group accounts are explicitly disabled.
MANS customers and personnel are prohibited from sharing accounts. MANS
also implements session timeout period after 15 minutes of user
inactivity. Non-privileged users do not have the capability to perform
privileged functions. Access to the system is restricted to a limited
number of authorized users with the appropriate security clearances and
password permissions. Access to the system is further limited by user
type. System administrators have full access to the tool suite,
including the ability to perform administrative functions. Other users
have limited access particularized to the specific functions and data
they need to perform. This access is controlled by a series of
permissions within dedicated workspaces/databases for each specific
request. Authorized users include federal and contract staff located
throughout the country.
    3. Physical Safeguards: The system is maintained in secure areas
and buildings with physical access controls.

RECORD ACCESS PROCEDURES:
    All requests for access to personal records should cite the Privacy
Act of 1974 and reference the type of request being made (i.e.,
access). Requests must include: (1) the name and signature of the
individual making the request; (2) the name of the Privacy Act system
of records to which the request relates; (3) a statement whether a
personal inspection of the records or a copy of them by mail is
desired; and (4) proof of identity. A full description of EPA's Privacy
Act procedures for requesting access to records is included in EPA's
Privacy Act regulations at 40 CFR part 16.

CONTESTING RECORD PROCEDURES:
    Requests for correction or amendment must include: (1) the name and
signature of the individual making the request; (2) the name of the
Privacy Act system of records to which the request relates; (3) a
description of the information sought to be corrected or amended and
the specific reasons for the correction or amendment; and (4) proof of
identity. A full description of EPA's Privacy Act procedures for the
correction or amendment of a record is included in EPA's Privacy Act
regulations at 40 CFR part 16.

NOTIFICATION PROCEDURES:
    Individuals who wish to be informed whether a Privacy Act system of
records maintained by EPA contains any record pertaining to them,
should make a written request to the EPA, Attn: Agency Privacy Officer,
MC 2831T, 1200 Pennsylvania Ave. NW, Washington, DC 20460, or by email
at: [email protected]. A full description of EPA's Privacy Act procedures
is included in EPA's Privacy Act regulations at 40 CFR part 16.

EXEMPTIONS PROMULGATED FOR THE SYSTEM:
    None.

HISTORY:
    81 FR 76580 (November 3, 2016).

Vaughn Noga,
Senior Agency Official for Privacy.
[FR Doc. 2023-04633 Filed 3-6-23; 8:45 am]
BILLING CODE 6560-50-P