[Federal Register Volume 86, Number 49 (Tuesday, March 16, 2021)]
[Notices]
[Page 14516]
[FR Doc No: 2021-05431]

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DEPARTMENT OF TRANSPORTATION

Federal Aviation Administration

[Summary Notice No. 2021-2062]

Petition for Exemption; Summary of Petition Received; Airlines
for America

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

ACTION: Notice.

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SUMMARY: This notice contains a summary of a petition seeking relief
from specified requirements of Federal Aviation Regulations. The
purpose of this notice is to improve the public's awareness of, and
participation in, the FAA's exemption process. Neither publication of
this notice nor the inclusion or omission of information in the summary
is intended to affect the legal status of the petition or its final
disposition.

DATES: Comments on this petition must identify the petition docket
number and must be received on or before March 22, 2021.

ADDRESSES: Send comments identified by docket number FAA-2020-0307
using any of the following methods:
     Federal eRulemaking Portal: Go to http://www.regulations.gov and follow the online instructions for sending your
comments electronically.
     Mail: Send comments to Docket Operations, M-30; U.S.
Department of Transportation, 1200 New Jersey Avenue SE, Room W12-140,
West Building Ground Floor, Washington, DC 20590-0001.
     Hand Delivery or Courier: Take comments to Docket
Operations in Room W12-140 of the West Building Ground Floor at 1200
New Jersey Avenue SE, Washington, DC 20590-0001, between 9 a.m. and 5
p.m., Monday through Friday, except Federal holidays.
     Fax: Fax comments to Docket Operations at<PHONE_NUMBER>.
    Privacy: In accordance with 5 U.S.C. 553(c), DOT solicits comments
from the public to better inform its rulemaking process. DOT posts
these comments, without edit, including any personal information the
commenter provides, to http://www.regulations.gov, as described in the
system of records notice (DOT/ALL-14 FDMS), which can be reviewed at
http://www.dot.gov/privacy.
    Docket: Background documents or comments received may be read at
http://www.regulations.gov at any time. Follow the online instructions
for accessing the docket or go to the Docket Operations in Room W12-140
of the West Building Ground Floor at 1200 New Jersey Avenue SE,
Washington, DC 20590-0001, between 9 a.m. and 5 p.m., Monday through
Friday, except Federal holidays.

FOR FURTHER INFORMATION CONTACT: Nia Daniels,<PHONE_NUMBER>, Office of
Rulemaking, Federal Aviation Administration, 800 Independence Avenue
SW, Washington, DC 20591.
    This notice is published pursuant to 14 CFR 11.85.

    Issued in Washington, DC.
Timothy R. Adams,
Deputy Executive Director, Office of Rulemaking.

Petition for Exemption

    Docket No.: FAA-2020-0307.
    Petitioner: Airlines for America.
    Section(s) of 14 CFR Affected: 121.407(c)(2), 121.409(b)(2)(i),
121.417(c)(2)(i)(C)-(D) and (E)(4), 121.424(a)(1), 121.427(b)(2)(i)-
(iii), (e)(1)(ii) and (e)(2), 121.441(b)(1), and 121.805(b)(5)(iii)
    Description of Relief Sought: The petitioner requests an extension
and amendment of Exemption No. 18512C to allow certificate holders to
use alternative methods to conduct certain required crewmember
emergency procedures during recurrent, conversion, and upgrade
training, checking, and evaluation until September 30, 2021. The
petitioner seeks an amendment to the Conditions and Limitations of
Exemption No. 18512C, which require a crewmember using alternative
methods to complete the drills using the normal procedures during the
person's next regularly scheduled recurrent ground training or within
12 calendar months (plus grace month) of the training using the
alternative methods, whichever is earlier. The petitioner seeks an
amendment to allow up to 24 calendar months after use of the
alternative methods for crewmembers to complete the emergency drills or
performance drills using the normal procedures.

[FR Doc. 2021-05431 Filed 3-15-21; 8:45 am]
BILLING CODE 4910-13-P


[Federal Register: March 13, 2009 (Volume 74, Number 48)]
[Notices]
[Page 10973-10980]
[DOCID:fr13mr09-113]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-59534; File No. SR-FINRA-2008-024]

Self-Regulatory Organizations; Financial Industry Regulatory
Authority, Inc.; Notice of Filing of Proposed Rule Change and Amendment
No. 1 Thereto Relating to Amendments to the Discovery Guide To Update
the Document Production Lists

March 6, 2009.
    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 June 11, 2008, Financial Industry Regulatory Authority, Inc.
(``FINRA'') (f/k/a National Association of Securities Dealers, Inc.
(``NASD'')) filed with the Securities and Exchange Commission (``SEC''
or ``Commission'') and amended by Amendment No. 1 on January 21,
2009,\3\ the proposed rule change as described in Items I, II, and III
below, which Items substantially have been prepared by FINRA. The
Commission is publishing this notice to solicit comments on the
proposed rule change from interested persons.
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    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 17 CFR 240.19b-4.
    \3\ Amendment No. 1 to SR-FINRA-2008-024 replaced and superseded
the original rule filing.
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I. Self-Regulatory Organization's Statement of the Terms of Substance
of the Proposed Rule Change

    FINRA proposes to amend the Discovery Guide to update the Document
Production Lists. The text of the proposed rule change is available at
FINRA, at its Web site (http://www.finra.org), 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, FINRA 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. FINRA 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 proposed rule change adds clarifying and conforming language to
the introduction in the Discovery Guide and updates the Document
Production Lists. The text of the proposed rule change is contained in
Exhibit 5 and is available on the FINRA Web site at www.finra.org.
Background
    In January 1996, the Arbitration Policy Task Force chaired by
former SEC chairman David Ruder issued a document entitled,
``Securities Arbitration Reform: Report of the Arbitration Policy Task
Force to the Board of Governors of NASD'' (the ``Report''). The Report
made a number of broad recommendations to the Board of Governors to
improve the securities arbitration process. One of the recommendations
states that: ``Automatic production of essential documents should be
required for all parties, and arbitrators should play a much greater
role in directing discovery and resolving discovery disputes.'' After
the work of the Task Force was completed, several groups were formed to
work on discovery issues in response to this recommendation. Each group
was composed of persons offering diverse perspectives, including
counsel for investors and industry parties, and all made a substantial
contribution to the process. The outcome of this process was the
Discovery Guide, which the SEC approved after a public comment
period,\4\ and was made available for use in arbitration proceedings
involving customer disputes upon the publication of NASD Notice to
Members (``NTM'') 99-90 (November 1999).
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    \4\ See Exchange Act Release No. 41833 (Sept. 2, 1999), 64 FR
49256 (Sept. 10, 1999).
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    In March 2004, after more than four years of use, FINRA \5\
determined to review the Discovery Guide and consider whether it should
be updated. This review was undertaken by FINRA's National Arbitration
and Mediation Committee (``NAMC''), a majority public committee of the
FINRA Board made up of attorneys who represent investors, attorneys who
represent brokerage firms, arbitrators, and mediators. In addition,
FINRA staff met with frequent users of the arbitration forum
representing both the public and the industry to listen to concerns
regarding the Discovery Guide's document production lists, proposals
for changes, and reactions to other constituents' proposals. Many of
the provisions of the Discovery Guide were incorporated into a major
revision of the portion of the Code of Arbitration Procedure for
Customer Disputes (``Customer Code''), which was submitted to the SEC
in 2003 and approved by the SEC in 2007.\6\ The remaining provisions in
the Discovery Guide consist primarily of lists of documents that are
presumptively discoverable (``Document Production Lists'').\7\
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    \5\ On July 26, 2007, the Commission approved a proposed rule
change filed by NASD to amend NASD's Certificate of Incorporation to
reflect its name change to FINRA in connection with the
consolidation of the member firm regulatory functions of NASD and
NYSE Regulation, Inc. See Securities Exchange Act Release No. 56146
(July 26, 2007).
    \6\ Exchange Act Release No. 55158 (Jan. 24, 2007), 72 FR 4574
(Jan. 31, 2007) (File No. SR-NASD-2003-158).
    \7\ See Rule 12506.
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Summary of Significant Changes
    The proposed rule change adds clarifying and conforming language to
the introduction in the Discovery Guide and updates the Document
Production Lists.
    In the introductory language, FINRA proposes to add, ``Where
additional

information is relevant in a particular case, it can be sought in
accordance with the time frames provided in the 12500 series of
rules.'' This is intended to clarify that the Document Production Lists
are not exhaustive, and that other documents may be requested. FINRA is
also proposing to replace the reference to ``churning'' with the term
``excessive trading'' to conform the introduction to the language used
in the Document Production Lists. FINRA also proposes to add a
reference in the introduction to new List 12 relating to documents
involving particular products or securities. Although FINRA is not
proposing any changes to the paragraph on confidentiality, FINRA
intends to call attention to an article in FINRA's newsletter for
arbitrators and mediators, the Neutral Corner, that provides additional
background on the subject.\8\
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    \8\ The article would be discussed in the Regulatory Notice
announcing approval of the amendments to the Discovery Guide. The
article, Arbitrators and Orders of Confidentiality, The Neutral
Corner, April 2004, is available at: http://www.finra.org/
ArbitrationMediation/Neutrals/Education/NeutralCorner/P010040.
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    Non-substantive, stylistic changes are proposed in some Document
Production Lists; for example, the term ``Associated Person'' would be
changed to lower case to conform to usage in the Customer Code.
    Document Production Lists 1 and 2 apply to all types of disputes.
The remainder of the Document Production Lists are categorized by the
type of dispute, and within each type, they list first what the
industry party must produce, and then what the customer must produce.
The discussion below addresses each list by its current number. It
should be noted, however, that some lists would be renumbered and/or
renamed as part of the proposed rule change.
List 1--Documents To Be Produced in All Customer Cases by Firm/
Associated Person(s)
    List 1 includes documents to be produced in all customer cases by
firm/associated person(s).
    FINRA proposes to delete the footnote in the heading for List 1.
This information is covered in the Customer Code's subpoena and
discovery rules (Rules 12505 through 12514).
    List 1, Item 1 requires firms and associated persons to produce all
agreements with the customer, including account opening documents,
cash, margin, and option agreements, trading authorizations, powers of
attorney, or discretionary authorization agreements, and new account
forms. FINRA proposes to amend Item 1 to require production of the
account record information for the customer. The account record
contains important information about the customer, such as the
customer's annual income, net worth, and account objectives, and it
indicates whether the record has been signed by the associated person
responsible for the account and approved or accepted by a principal of
the firm.
    FINRA proposes to delete List 1, Items 2 and 3 in their entirety.
In many instances, the customer has retained account statements and/or
confirmations, and requiring production of these documents in every
case adds unnecessary delay and cost to the discovery process. If
necessary, the customer may request these documents separately under
proposed List 1, Item 2.
    FINRA proposes to move current List 1, Item 5 into proposed new
List 1, Item 2. Item 5 requires production of all correspondence
between the customer and firm/associated person(s) relating to the
transaction(s) at issue. Proposed Item 2 clarifies that the required
documents are those that were sent to the customer or received by the
firm and relate to the accounts or transactions at issue. A new
sentence explains that monthly statements and confirmation slips need
not be produced unless separately requested.
    FINRA proposes to adopt new List 1, Item 3 to require the
production of documents pertaining to the customer's employment status,
financial status, annual income, net worth, investment objectives, and
risk tolerance. These documents would show what the firm/associated
person(s) recorded about the customer's financial status and investment
objectives/risk tolerance.
    List 1, Item 4 requires the production of all ``holding (posting)
pages'' for the customer's account(s) at issue or, if not available,
any electronic equivalent. Holding pages are handwritten records of
transactions made and kept by associated persons. FINRA proposes to
delete Item 4 in its entirety, because holding pages generally are no
longer in use, and transaction information in an electronic form would
be available to the customer on account statements and/or
confirmations.
    FINRA proposes to adopt new Item 4 to require the production of
documents evidencing any investment or trading strategies utilized or
recommended in a customer's account, including options programs, and
any supervisory review of such strategies. New Item 4 would ensure that
a customer has access to evidence of trading strategies utilized or
recommended by the firm/associated person(s) that may not have been
publicly disseminated by the firm/associated person(s). The proposal
would also provide the customer with documentation of any management
supervision over the account.
    As noted above, FINRA has proposed to move List 1, Item 5 into Item
2.
    List 1, Item 6 requires the production of all notes by the firm/
associated person(s) or on his/her behalf, including entries in any
diary or calendar, relating to the customer's account. FINRA proposes
to modify the Item to clarify that notes of telephone calls or
conversations must be produced and that required production is not
limited to the items specified in the Item. The proposed amendment also
provides that required production relates to the customer, in addition
to those relating to his or her account(s) or transactions at issue.
Because Item 6 requires production of all notes by the firm/associated
person(s), the phrase ``or on his/her behalf'' would be deleted as
unnecessary. This Item would be renumbered as Item 5.
    Current List 1, Item 7 requires the production of all recordings
and notes of telephone calls or conversations about the customer's
account(s) at issue that occurred between the associated person(s) and
the customer, and/or between the firm and the associated person(s).
FINRA proposes to delete Item 7 in its entirety. Notes of telephone
calls or conversations would continue to be discoverable under proposed
new Item 5, discussed above. FINRA proposes to eliminate mandatory
production of recordings in every case because producing recordings is
labor intensive, expensive, and unnecessary in cases where there is no
dispute relating to conversations between the parties. Recordings would
continue to be subject to discovery on a case by case basis, as the
arbitrators deem to be appropriate under Rule 12507 of the Customer
Code (Other Discovery Requests).
    Current List 1, Item 8 requires production of all Forms RE-3, U4
and U5 including all amendments, all customer complaints identified in
such forms, and all customer complaints of a similar nature against the
associated person(s) handling the account(s) at issue. FINRA proposes
to amend this item to clarify that Disclosure Reporting Pages must be
produced. These pages, which are part of Forms U4 and U5, provide
customer claimants with valuable, detailed information about prior
customer complaints. With regard to customer complaints alleging
conduct of a similar nature to that alleged in the Statement of Claim,
the amendments

would allow the firm/associated person(s) to redact portions of these
documents to prevent disclosure of nonpublic personal information about
other customers. Item 8 would be renumbered as Item 6.
    Current List 1, Item 9 requires production of all sections of the
firm's Compliance Manual(s) related to the claims alleged in the
Statement of Claim, including any separate or supplemental manuals
governing the duties and responsibilities of the associated person(s)
and supervisors, any bulletins (or similar notices) issued by the
compliance department, and the table of contents and index to each
Manual. FINRA proposes to amend this Item to replace ``Compliance
Manual(s)'' with ``manuals and any updates thereto'' and ``compliance
department'' with ``firm.'' The proposal would clarify that manuals
must be produced regardless of whether the firm characterizes them as
``Compliance Manuals,'' and bulletins must be produced from any
department issuing them. FINRA is also proposing to require the
production of updates to the firm's manuals for the time period related
to the claims at issue. Updates are material to establishing the firm's
procedures in place during a specified time frame. Item 9 would be
renumbered as Item 7.
    Current List 1, Item 10 requires the production of all analyses and
reconciliations of the customer's account(s) during the time period
and/or relating to the transaction(s) at issue. FINRA proposes to amend
this Item to clarify that production is limited to analyses and
reconciliations prepared during the time period at issue, and includes
analyses and reconciliations prepared as part of a review of the
customer's account(s) or transaction(s) at issue. These documents are
valuable because they contain firm findings concerning reviews of
customer accounts. Item 10 would be renumbered as Item 8.
    Current List 1, Item 11 requires the production of all records of
the firm/associated person(s) relating to the customer's account(s) at
issue, such as internal reviews and exception and activity reports,
which reference the customer's account(s) at issue. FINRA proposes to
amend Item 11 to provide guidance concerning the types of documents
that may have been created by a firm in the course of its usual
surveillance and compliance activities. The proposed Item would require
the production of all exception reports, supervisory activity reviews,
activity concentration reports, active account runs and similar
documents produced to review for activity in customer accounts in which
customer's account or the transaction(s) at issue are referenced or
listed. Item 11 would be renumbered as Item 9.
    Current List 1, Item 12 requires the production of records of
disciplinary action taken against the associated person(s) by any
regulator or employer for all sales practices or conduct similar to the
conduct alleged to be at issue. Item 12 would be renumbered as Item 10.
    FINRA proposes to adopt new List 1, Item 11 to require production
of all documents related to the case at issue that are received by the
Respondent by subpoena or document request directed to third parties.
The subpoena rule, Rule 12512(e) of the Customer Code, requires
production of subpoenaed documents. FINRA proposes to cross-reference
that rule in the Discovery Guide. Documents received by request would
be added to List 1 to ensure that all parties have access to evidence
obtained from non-parties.
List 2--Documents and Information To Be Produced in All Customer Cases
by Customer
    List 2 includes documents and information to be produced by the
customer in all customer cases.
    Current List 2, Item 1 requires the production of all customer and
customer-owned business (including partnership or corporate) federal
income tax returns, limited to pages 1 and 2 of Form 1040, Schedules B,
D, and E, or the equivalent for any other type of return, for the three
years prior to the first transaction at issue in the Statement of Claim
through the date the Statement of Claim was filed. FINRA proposes to
require the production of complete copies of tax returns for the five
years prior to the first transaction at issue in the arbitration,
through the year in which the statement of claim is filed. The expanded
production would provide parties with a broader understanding of a
customer's financial status during the relevant period. The amendments
would provide that the income tax returns being provided must be
identical to those that were filed with the Internal Revenue Service.
    Current List 2, Item 2 requires the production of financial
statements or similar statements of the customer's assets, liabilities,
and/or net worth for the period(s) covering the three years prior to
the first transaction at issue in the Statement of Claim through the
date the Statement of Claim was filed. To provide parties with a
broader understanding of a customer's financial status during the
relevant period, FINRA proposes to amend this Item to expand the
covered period to five years.
    Current List 2, Item 3 requires the production of copies of all
documents the customer received from the firm/associated person(s) and
from any entities in which the customer invested through the firm/
associated person(s), including monthly statements, opening account
forms, confirmations, prospectuses, annual and periodic reports, and
correspondence. FINRA proposes to amend Item 3 to eliminate mandatory
production of account statements and confirmations if the customer
stipulates to having received them. The amendments would require the
customer to produce any statements or confirmations with handwritten
notations on them or which are in any way non-identical to those sent
by the firm. The amendments would decrease a customer's discovery costs
while preserving the requirement to produce documents that may have
probative value. FINRA also proposes to add research reports to Item 3.
Research reports may provide evidence concerning the basis for a
customer's investment decisions.
    Current List 2, Item 4 requires the production of account
statements and confirmations for accounts maintained at securities
firms other than the respondent firm for the three years prior to the
first transaction at issue in the Statement of Claim through the date
the Statement of Claim was filed. FINRA proposes to amend Item 4 to
require the customer to identify each securities firm where the
customer has maintained an account and to produce account statements
for the five year period prior to the first transaction at issue in the
arbitration, through the completion of discovery. The proposal would
permit the customer to provide written authorization allowing the
respondent firm/associated person to obtain account statements directly
from the securities firms in lieu of providing copies of the
statements. The proposal would ensure that other parties to the matter
have a more complete understanding of the customer's investing history.
FINRA proposes to eliminate confirmations from Item 4 because most of
the information detailed in confirmations is also contained in account
statements.
    Current List 2, Item 5 requires the production of all agreements,
forms, information, or documents relating to the account(s) at issue
signed by or provided by the customer to the firm/associated person(s).
FINRA proposes to expand the scope of this Item by requiring production
of documents relating to accounts or transactions at the firm
regardless of whether the

documents were signed by the customer.
    Current List 2, Item 6 requires the production of all account
analyses and reconciliations prepared by or for the customer relating
to the account(s) at issue. FINRA proposes to clarify this Item by
changing ``the account(s) at issue'' to ``the accounts at the
respondent firm or transactions with the respondent firm during the
time period at issue.''
    Current List 2, Item 7 requires the production of all notes,
including entries in diaries or calendars, relating to the account(s)
at issue. FINRA proposes to amend Item 7 to provide clarity by changing
``the account(s) at issue'' to ``the accounts at the respondent firm or
transactions at issue with the respondent firm.''
    Current List 2, Item 8 requires the production of all recordings
and notes of telephone calls or conversations about the customer's
account(s) at issue that occurred between the associated person(s) and
the customer (and any person purporting to act on behalf of the
customer). FINRA proposes to clarify Item 8 by specifying that the
required recordings and notes relate to the customer's accounts or
transactions.
    Current List 2, Item 9 requires the production of all
correspondence between the customer (and any person acting on behalf of
the customer) and the firm/associated person(s) relating to the
account(s) at issue. FINRA proposes to amend this Item to broaden the
scope of the production by deleting the reference to firm/associated
person(s). The customer may have corresponded with persons/entities
unrelated to the firm concerning the transactions at issue. The
amendment would also clarify that the required correspondence relates
to the accounts or transactions.
    Current List 2, Item 10 requires the production of previously
prepared written statements by persons with knowledge of the facts and
circumstances related to the account(s) at issue, including those by
accountants, tax advisors, financial planners, other associated
person(s), and any other third party. FINRA proposes to amend this Item
to clarify that the required written statements relate to the accounts
or transactions at issue.
    Current List 2, Item 11 requires the production of all prior
complaints by or on behalf of the customer involving securities matters
and the firm's/associated person's response(s). FINRA proposes to
delete this item as unnecessary because the respondent firm/associated
person would be in possession of any responsive documents and
production by the customer would be duplicative.
    Current List 2, Item 12 requires the production of Complaints/
Statements of Claim and Answers filed in all civil actions involving
securities matters and securities arbitration proceedings in which the
customer has been a party, and all final decisions and Awards entered
in these matters. FINRA proposes to amend Item 12 to: (1) Add
``Identify and'' before ``produce;'' (2) include any non-confidential
settlements entered in these matters; and (3) extend the time period
through the completion of discovery. The proposed change would add
that, although an agreement is not presumptively discoverable, a party
to a confidential settlement agreement, that by its terms does not
preclude identification of the existence of the settlement agreement,
must identify the underlying documents of the confidential settlement
agreement. The proposed change also would state that such a settlement
agreement could be obtained with an order from the panel. By adding the
requirement to identify the stated documents, the proposal would ensure
that parties are aware of other securities actions even if a customer
is not in possession of documents relating to the actions. The
amendments would require the customer to produce non-confidential
settlements, because the subject matter may be relevant to the pending
case. Item 12 would be renumbered as Item 11.
    Current List 2, Item 13 requires the production of all documents
showing action taken by the customer to limit losses in the
transaction(s) at issue. FINRA proposes to delete this item from the
Discovery Guide because the firm/associated person is in possession of
any documents that would be responsive to this item and production by
the customer would be duplicative.
    FINRA proposes to adopt new Item 12 to require the customer to
identify loans that he or she applied for or guaranteed for the five
years prior to the first transaction at issue in the arbitration
through the date the Statement of Claim was filed. The customer also
would be required to produce copies of related loan applications, or
provide a written authorization allowing the respondent firm/associated
person to obtain loan applications directly from each lender. This
information may provide evidence relating to the customer's financial
status, including, for example, information on net worth, assets, and
liabilities.
    FINRA proposes to move the content of Lists 8 (Misrepresentations/
Omissions), 10 (Negligence/Breath of Fiduciary Duty) and 14
(Unsuitability) to List 2 because the Items contained in these lists
would provide valuable information to parties in all customer cases.
Proposed List 2, Items 13 through 16, would require the production of:
     Documents showing the customer's ownership in or control
over any business entity, including general and limited partnerships
and closely held corporations.
     Written documents relied upon by the customer in making
the investment decision(s) at issue.
     Copy of the customer's resume.
     Documents showing the customer's complete educational and
employment background or, in the alternative, a description of the
customer's educational and employment background if not set forth in a
resume produced under item 15.
    In addition, FINRA proposes to add to Item 13 the requirement that
a claimant Trustee would be required to identify accounts over which he
or she has trading authority. A Trustee's trading activity for other
accounts may provide relevant evidence of his or her sophistication as
an investor.
    FINRA proposes to adopt new List 2, Item 17 to require the
production of all documents related to the case at issue that are
received by the customer by subpoena or document request directed to
third parties at any time during the case. Rule 12512(e) of the
Customer Code requires production of subpoenaed documents. FINRA
proposes to cross-reference the rule in the Discovery Guide. Documents
received by request would be added to ensure that all parties have
access to evidence obtained from non-parties.
List 3--Churning (Firm/Associated Person)
    Current List 3 applies to documents required to be produced by
firms/associated persons in cases involving claims based on churning.
As part of its plain English initiative, FINRA proposes to change the
title of List 3 from Churning, which is defined as excessive activity
in a customer's account, to Claims of Excessive Trading.
    Current List 3, Item 1 requires the production of all commission
runs relating to the customer's account(s) at issue or, in the
alternative, a consolidated commission report relating to the
account(s). Current List 3, Item 2 requires the production of all
documents reflecting compensation of any kind, including commissions,
from all sources generated by the associated person(s) assigned to the
customer's account(s) for the two months

preceding, through the two months following, the transaction(s) at
issue, or up to 12 months, whichever is longer. The firm is permitted
to redact all information identifying customers who are not parties to
the action except for the last four digits of the non-party customer
account number for each transaction. Proposed new Item 1 combines Items
1 and 2. New Item 1 would expand the scope of discovery concerning the
associated person's(s') compensation and provides specificity about the
documents that must be produced. New Item 1 would require production of
the record of all compensation (monetary and non-monetary), including a
listing of the securities traded, dates traded, solicited or
unsolicited nature, and the gross and net commission from each trade,
for all years in which the conduct alleged in the Statement of Claim
occurred. The firm would be permitted to redact nonpublic personal
information concerning customers who are not parties to the claim, but
could not redact or delete any other information. The expanded time
frame would ensure that the associated person's compensation is
produced for the entire period that he or she serviced the account. If
the firm asserts that the client controlled the trading in the account,
the firm would have to produce sufficient information to distinguish
the associated person's(s') accounts, and would be required to identify
whether the associated person had related accounts that traded at the
firm during the period in question. Activity in the associated
person's(s') account is relevant because it may provide a basis for
transactions that took place in a customer's account.
    FINRA proposes to adopt new List 3, Item 2 to require production of
a memorandum of each order or instruction given for all transactions at
issue in the Statement of Claim. Order memoranda may contain valuable
notations made at the time an order was received. Proposed Item 2 would
also require documentation showing the associated person's(s')
compensation for each transaction. If a wrap fee or similar arrangement
applied to the account, the firm would be required to produce a record
showing compensation earned by period. Documentation of compensation on
an order by order basis provides parties with a clear understanding of
how much the associated person was paid for the trading at issue.
    Current List 3, Item 3 requires production of documents describing
the basis upon which the associated person(s) was compensated during
the years in which the transaction(s) or occurrence(s) in question
occurred, including any bonus or incentive program, and compensation
and commission schedules. The proposed amendments would clarify the
Item by requiring production of a record of all agreements pertaining
to the relationship between the associated person and the firm,
summarizing the associated person's compensation arrangement or plan
with the firm, including commission and concession schedules, bonus or
incentive plans, and schedules showing compensation. If compensation
was based on factors other than remuneration per trade, the amendments
would require a record of the method by which compensation was
determined.
List 4--Churning (Customer)
    FINRA proposes to delete current List 4 (Churning--Customer) which
does not identify any documents or information that the customer must
produce.
List 5--Failure To Supervise (Firm/Associated Person(s))
    Current List 5, requires firms/associated persons to produce
documents in cases involving claims of failure to supervise.
    Current List 5, Item 1 requires the production of all commission
runs and other reports showing compensation of any kind relating to the
customer's account(s) at issue. The proposed amendments would clarify
the Item by requiring production of commission runs and other reports
showing compensation of any kind relating to the customer's account(s)
or transactions at issue. The Item would be renumbered as List 4, Item
1.
    Current List 5, Item 2 requires the production of all exception
reports and supervisory activity reviews relating to the associated
person(s) and/or the customer's account(s) generated not earlier than
one year before or not later than one year after the transaction(s) at
issue, and all other documents reflecting supervision of the associated
person(s) and the customer's account(s). FINRA proposes to amend Item 2
to clarify that activity concentration reports and active account runs
must be produced. List 5, Item 2 would be renumbered as List 4, Item 2.
    Current List 5, Item 3 requires production of the portions of
internal audit reports at the branch in which the customer maintained
his/her account(s) that focused on the associated person(s) or the
transaction(s) at issue, and were generated not earlier than one year
before or not later than one year after the transaction(s) at issue and
discussed alleged improper behavior in the branch against other
individuals similar to the improper conduct alleged in the Statement of
Claim. FINRA is not proposing any substantive changes to this Item. The
proposed amendments would simplify the language and sentence structure
in accordance with FINRA's plain English initiative. List 5, Item 3
would be renumbered as List 4, Item 3.
    Current List 5, Item 4 requires production of the portions of
examination reports or similar reports following an examination or an
inspection conducted by a state or federal agency or a self-regulatory
organization that focused on the associated person(s) or the customer's
account(s) or transaction(s) at issue or that discussed alleged
improper behavior in the branch against other individuals similar to
the improper conduct alleged in the Statement of Claim. The Item would
be moved to proposed new Item 6 and the word ``improper'' would be
deleted, as redundant, from the phrase ``improper conduct alleged in
the Statement of Claim.''
    FINRA proposes to adopt new List 4, Item 4 to require the
production of any writings reflecting conversations between the
associated person assigned to the customer's account during the time
period at issue and members of the firm's compliance department. FINRA
believes that such writings may provide evidence concerning firm
supervisory activities relating to the associated person.
    FINRA proposes to adopt new List 4, Item 5 to require the
production of copies of any inquiries, charges or findings by any
regulator (state, federal or self-regulatory organization) and the
responses thereto by the firm/associated person for alleged improper
behavior by the associated person similar to that alleged in the
Statement of Claim. This Item is intended to complement proposed Item 6
by expanding the scope of documents produced that relate to supervision
of the associated person.
    Proposed new List 4, Item 6 is discussed under current List 5, Item
4, above.
    FINRA proposes to adopt new List 4, Item 7 to require the
production of any notes or memoranda evidencing supervisory or
managerial review of the customer's account or trades for the period at
issue. These documents would provide important evidence in a case
alleging failure to supervise.
    FINRA proposes to adopt new List 4, Item 8 to require the
production of all correspondence between the customer and firm/
associated person relating to the customer's account(s) or
transaction(s) at issue bearing

indications of managerial or supervisory review of such correspondence.
This Item is intended to complement proposed List 1, Items 2
(correspondence between the customer and firm/associated person
relating to the transactions) and 5 (notes by the firm/associated
person relating to the customer's account) by requiring production of
documents indicating supervisory review of customer correspondence with
the firm.
List 6--Failure To Supervise (Customer)
    FINRA proposes to delete List 6 (Failure To Supervise--Customer)
which does not identify any documents or information that the customer
must produce.
List 7--Misrepresentations/Omissions (Firm/Associated Person(s))
    Current List 7 requires firms/associated person(s) to produce
documents in cases involving claims of misrepresentations or omissions.
List 7 requires the production of all materials prepared or used by the
firm/associated person(s) relating to the transactions or products at
issue, including research reports, prospectuses, and other offering
documents, including documents intended or identified as being ``for
internal use only,'' and worksheets or notes indicating the associated
person(s) reviewed or read such documents. As an alternative, the firm/
associated person(s) is permitted to produce a list of such documents
that contains sufficient detail for the claimant to identify each
document listed. Upon request by a party, the firm/associated person(s)
is required to provide any documents identified on the list. FINRA
proposes to clarify this List by specifying that in addition to
materials prepared or used by the firm/associated person(s), materials
provided to the customer must be produced. The amendments would also
require production of sales literature and performance or risk data. In
addition, FINRA proposes to delete the alternative procedure provided
in this Item. Because this two-step production causes delays in the
discovery process. Disputes about the details contained on the lists
often arise, resulting in parties requesting production of every item
on the list. Current List 7 would be renumbered as proposed List 5.
List 8--Misrepresentations/Omissions (Customer)
    Current List 8 requires customers to produce documents in cases
involving allegations of misrepresentations or omissions. FINRA
proposes to move Items 1 through 3 of current List 8 to proposed List
2. This would expand required production of these documents to all
customer cases.
    FINRA proposes adopt new List 6 to require the customer to produce
copies of all materials received or obtained from any source relating
to the transactions or products at issue, and other prospective
investments, including research reports, sales literature, performance
or risk data, prospectuses, and other offering documents, including
documents intended or identified as being ``for internal use only,''
and worksheets or notes. Production of these documents may provide
evidence concerning representations made to the customer by the firm/
associated person. Current List 8 would be renumbered as List 6.
List 9--Negligence/Breach of Fiduciary Duty (Firm/Associated Person)
    Current List 9 requires production of copies of all materials
prepared or used by the firm/associated person relating to the
transactions or products at issue, including research reports,
prospectuses, and other offering documents, including documents
intended or identified as being ``for internal use only,'' and
worksheets or notes indicating that the associated person reviewed or
read such documents. As an alternative, the firm/associated person is
permitted to produce a list of such documents that contains sufficient
detail for the claimant to identify each document listed. Upon further
request by a party, the firm/associated person is required to provide
any documents identified on the list. In addition, FINRA proposes to
clarify this List by specifying that in addition to materials prepared
or used by the firm/associated person, materials provided to the
customer must be produced. The amendments would also specify that sales
literature and performance or risk data must be produced. FINRA
proposes to delete the alternative procedure provided in this Item
because this two-step production causes delays in the discovery
process. Disputes about the details contained on the lists often arise,
resulting in parties requesting production of every item on the list.
Current List 9 would be renumbered as List 7.
List 10--Negligence/Breach of Fiduciary Duty (Customer)
    The contents of current List 10 (Negligence/Breach of Fiduciary
Duty (Customer)) are being moved to proposed List 2, as described
above. FINRA proposes to revise List 10 to require the customer to
produce copies of all materials received or obtained from any source
relating to the transactions or products at issue, and other
prospective investments, including research reports, sales literature,
performance or risk data, prospectuses, and other offering documents,
including documents intended or identified as being ``for internal use
only,'' and worksheets or notes. Current List 10 would be renumbered as
List 8.
List 11--Unauthorized Trading (Firm/Associated Person)
    Current List 11, Item 1 requires the production of order tickets
for the customer's transaction(s) at issue. FINRA proposes to amend
this Item to specify that for all allegedly unauthorized transactions
at issue in the Statement of Claim, the firm/associated person is
required to produce a memorandum of each order or instruction given as
well as documentation showing the compensation, gross and net, to the
associated person for each such transaction. The term ``order ticket''
would be replaced with the term ``memorandum of each order'' to reflect
the current use of various order management systems by FINRA member
firms. FINRA would require documentation of compensation for each
transaction because such information may provide evidence of the
Associated person's motivation for executing a particular trade.
    FINRA does not propose to change current List 11, Items 2 and 3.
    FINRA proposes to adopt new List 11, Item 4 to require the
production of commission runs or other documents showing all trading by
the associated person in the security at issue from ten trading days
before until ten trading days after each transaction the customer
alleges was unauthorized. The firm/associated person would be permitted
to redact customer names but would be required to disclose the security
traded, dates traded, whether trades were solicited or unsolicited and
gross and net commission from each trade. These documents may reflect a
pattern of trading behavior by the association persons. List 11 would
be renumbered as List 9.
List 12--Unauthorized Trading (Customer)
    FINRA does not propose to current change List 12, Items 1 and 2.
List 12 would be renumbered as List 10.
List 13--Unsuitability (Firm/Associated Person)
    Current List 13, Item 1 requires production of all materials
prepared,

used, or reviewed by the firm/associated person related to the
transactions or products at issue, including but not limited to
research reports, prospectuses, other offering documents, including
documents intended or identified as being ``for internal use only,''
and worksheets or notes indicating the associated person reviewed or
read such documents. As an alternative, the firm/associated person is
permitted to produce a list of such documents. Upon further request by
a party, the firm/associated person is required to provide any
documents identified on the list. FINRA proposes to clarify this List
by specifying that in addition to materials prepared or used by the
firm/associated person, materials provided to the customer must also be
produced. In addition, the proposal also specifies that sales
literature and performance or risk data must be produced. FINRA
proposes to delete the alternative procedure provided in this Item
because this two-step production causes delays in the discovery
process. Disputes about the details contained on the lists often arise,
resulting in parties requesting production of every item on the list.
    Current List 13, Item 2 requires the production of documents
sufficient to describe the basis upon which the associated person was
compensated during the years in which the transaction(s) or
occurrence(s) in question occurred, including any bonus or incentive
program and all compensation and commission schedules showing
compensation received or to be received. FINRA proposes to amend Item 2
to specify that documents reflecting agreements between the firm and
associated person relating to compensation (including those concerning
fee-based accounts) must be produced for the relevant time period. The
proposal would eliminate required production of schedules showing
compensation received or to be received.
    FINRA proposes to adopt new List 13, Item 3 to require the
production of all documents between the firm/associated person and the
customer relating to asset allocation, diversification, trading
strategies and market conditions related to the customer's account(s).
These documents may provide valuable insight into the reasons for
particular trading decisions and are germane to an allegation of
unsuitability. List 13 would be renumbered as List 11.
List 14--Unsuitability (Customer)
    FINRA proposes to move current List 14 (Unsuitability-Customer),
Items 1 through 4, to List 2, as discussed above. This would expand
required production of these documents to all customer cases.
    FINRA proposes to adopt new List 12, Claims Involving Particular
Products or Securities. The Items on this list are designed to provide
the parties with information about transactions in the customer
accounts of an associated person and the commission earned on those
transactions. FINRA proposes to limit discovery to five securities/
products selected by the customer to minimize delays in the discovery
process.
    New List 12, Item 1 would require the firm/associated person to
produce a record concerning trading activity in the customer's
account(s) for a maximum of five securities and/or products selected by
the customer claimant. The following would be required for each of the
securities selected:
     Last four digits of the non-party customer account number;
     Trade activity (i.e., buy, sell);
     Number of shares, unit price, and dollar value of
transaction;
     Date traded;
     Solicited or unsolicited; and
     Gross and net commission.
    New List 12, Item 2 would provide that, in giving a response to
Item 1, the firm may redact the names of persons other than the
customer, but should provide sufficient information to identify the
customer's account, the associated person's own accounts, and the type
of account. The proposal would require the information to be provided
for a period of time beginning six months before and ending six months
after the transactions at issue in the customer's account. If the
customer seeks production of information related to more than five
products or securities, a separate request would have to be made;
however, the information would not be deemed presumptively
discoverable. In addition, the firm would be required to identify
related accounts of the associated person that traded in these
securities or products at the firm during the relevant time period.
    New List 12, Item 3 would provide that, if an insurance product
that provides a death benefit is included in the Statement of Claim,
the firm/associated person must produce all information concerning the
customer's insurance holdings and any recommendations made to the
customer regarding insurance products.
    If the Statement of Claim includes an insurance product that
provides a death benefit, New List 12, Item 4 would require the
customer to produce all insurance information received from an
insurance sales agent or broker.
    New List 12, Item 5 would require the firm/associated person to
produce a record of all agreements pertaining to the relationship
between the associated person and the firm, summarizing the associated
person's compensation arrangement or plan with the firm, including
commission and concession schedules, bonus or incentive plans,
schedules showing compensation received or to be received based upon
volume, type of product, nature of trade, (agency v. principal) etc.
and, to the extent that compensation is based on factors other than
remuneration per trade, the method by which the compensation was
determined.
2. Statutory Basis
    FINRA believes that the proposed rule change is consistent with the
provisions of Section 15A(b)(6) of the Act,\9\ which requires, among
other things, that FINRA rules must be designed to prevent fraudulent
and manipulative acts and practices, to promote just and equitable
principles of trade, and, in general, to protect investors and the
public interest. FINRA believes that these updates to the Discovery
Guide will reduce the number and limit the scope of disputes involving
document productions and other matters, thereby improving the
arbitration process for the benefit of the public investors, broker-
dealer firms, and associated persons who use the forum.
---------------------------------------------------------------------------

    \9\ 15 U.S.C. 78o-3(b)(6).
---------------------------------------------------------------------------

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

    FINRA does not believe that the proposed rule change will result in
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

    Written comments were neither solicited nor received.

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

    Within 35 days of the date of publication of this notice in the
Federal Register or within such longer period (i) as the Commission may
designate up to 90 days of such date if it finds such longer period to
be appropriate and publishes its reasons for so finding or (ii) as to
which the self-regulatory organization consents, the Commission will:

    (A) by order approve such proposed rule change, or
    (B) institute proceedings to determine whether the proposed rule
change should be disapproved.

IV. Solicitation of Comments

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

Electronic Comments

     Use the Commission's Internet comment form (http://
www.sec.gov/rules/sro.shtml); or
     Send an e-mail to<EMAIL_ADDRESS>Please include
File Number SR-FINRA-2008-024 on the subject line.

Paper Comments

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

All submissions should refer to File Number SR-FINRA-2008-024. 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, 100 F Street,
NE., Washington, DC 20549, on official business days between the hours
of 10 a.m. and 3 p.m. Copies of such filing also will be available for
inspection and copying at the principal office of FINRA. 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-FINRA-2008-024 and should be
submitted on or before April 3, 2009.
---------------------------------------------------------------------------

    \10\ 17 CFR 200.30-3(a)(12).

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\10\
Florence E. Harmon,
Deputy Secretary.
 [FR Doc. E9-5389 Filed 3-12-09; 8:45 am]

BILLING CODE 8011-01-P


[Federal Register Volume 76, Number 133 (Tuesday, July 12, 2011)]
[Notices]
[Pages 40935-40937]
[FR Doc No: 2011-17417]

=======================================================================
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DEPARTMENT OF LABOR

Occupational Safety and Health Administration

[Docket No. OSHA-2011-0066]

Vertical Tandem Lifts in Marine Terminals; Extension of the
Office of Management and Budget's (OMB) Approval of Information
Collection (Paperwork) Requirements

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

ACTION: Request for public comments.

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

SUMMARY: OSHA solicits public comments concerning its proposal to
extend OMB approval of the information collection requirements
contained in the Standard on Vertical Tandem Lifts (VTLs) in Marine
Terminals (29 CFR part 1917). The collection of information (paperwork)
provisions of the Standard specify the

development and implementation of a written plan for transporting
vertically coupled containers in a terminal.

DATES: Comments must be submitted (postmarked, sent, or received) by
September 12, 2011.

ADDRESSES:
    Electronically: You may submit comments and attachments
electronically at http://www.regulations.gov, which is the Federal
eRulemaking Portal. Follow the instructions online for submitting
comments.
    Facsimile: If your comments, including attachments, are not longer
than 10 pages, you may fax them to the OSHA Docket Office at (202) 693-
1648.
    Mail, hand delivery, express mail, messenger, or courier service:
When using this method, you must submit a copy of your comments and
attachments to the OSHA Docket Office, Docket No. OSHA-2011-0066, U.S.
Department of Labor, Occupational Safety and Health Administration,
Room N-2625, 200 Constitution Avenue, NW., Washington, DC 20210.
Deliveries (hand, express mail, messenger, and courier service) are
accepted during the Department of Labor's and Docket Office's normal
business hours, 8:15 a.m. to 4:45 p.m., E.T.
    Instructions: All submissions must include the Agency name and OSHA
docket number (OSHA-2011-0066) for the Information Collection Request
(ICR). All comments, including any personal information you provide,
are placed in the public docket without change, and may be made
available online at http://www.regulations.gov. For further information
on submitting comments see the ``Public Participation'' heading in the
section of this notice titled SUPPLEMENTARY INFORMATION.
    Docket: To read or download comments or other material in the
docket, go to http://www.regulations.gov or the OSHA Docket Office at
the address above. All documents in the docket (including this Federal
Register notice) are listed in the http://www.regulations.gov index;
however, some information (e.g., copyrighted material) is not publicly
available to read or download through the Web site. All submissions,
including copyrighted material, are available for inspection and
copying at the OSHA Docket Office. You may also contact Theda Kenney at
the address below to obtain a copy of the ICR.

FOR FURTHER INFORMATION CONTACT: Theda Kenney or Todd Owen, Directorate
of Standards and Guidance, OSHA, U.S. Department of Labor, Room N-3609,
200 Constitution Avenue, NW., Washington, DC 20210; telephone (202)
693-2222.

SUPPLEMENTARY INFORMATION:

I. Background

    The Department of Labor, as part of its continuing effort to reduce
paperwork and respondent (i.e., employer) burden, conducts a
preclearance consultation program to provide the public with an
opportunity to comment on proposed and continuing information
collection requirements in accordance with the Paperwork Reduction Act
of 1995 (44 U.S.C. 3506(c)(2)(A)). This program ensures that
information is in the desired format, reporting burden (time and costs)
is minimal, collection instruments are clearly understood, and OSHA's
estimate of the information collection burden is accurate. The
Occupational Safety and Health Act of 1970 (the OSH Act) (29 U.S.C. 651
et seq.) authorizes information collection by employers as necessary or
appropriate for enforcement of the OSH Act or for developing
information regarding the causes and prevention of occupational
injuries, illnesses, and accidents (29 U.S.C. 657). The OSH Act also
requires that OSHA obtain such information with minimum burden upon
employers, especially those operating small businesses, and to reduce
to the maximum extent feasible unnecessary duplication of efforts in
obtaining information (29 U.S.C. 657).
    The VTL Standard for Marine Terminals (29 CFR part 1917) specifies
two collection of information (paperwork) requirements. The purpose of
each of these requirements is to provide the workers with safe work
practices when using VTLs.
    Paragraph (j)(2) of 1917.71 requires the employer to develop,
implement, and maintain a written plan for transporting vertically
connected containers in the terminal. The transport plan helps ensure
the safety of terminal employees and enhances productivity. Paragraph
(k)(2) of 1917.71 requires that the written transport plan include the
safe work zone and procedures to ensure that employees are not in the
zone when a VTL is in motion.
    Written plans give employers, workers, and OSHA compliance officers
assurance that VTLs are safe to use and provide the compliance officers
with an efficient means to assess employer compliance with the
Standard.

II. Special Issues for Comment

    OSHA has a particular interest in comments on the following issues:
     Whether the proposed information collection requirements
are necessary for the proper performance of the Agency's functions,
including whether the information is useful;
     The accuracy of OSHA's estimate of the burden (time and
costs) of the information collection requirements, including the
validity of the methodology and assumptions used;
     The quality, utility, and clarity of the information
collected; and
     Ways to minimize the burden on employers who must comply;
for example, by using automated or other technological information
collection and transmission techniques.

III. Proposed Actions

    OSHA is requesting that OMB extend its approval of the information
collection requirements contained in the Standard on Vertical Tandem
Lifts for Marine Terminals (29 CFR part 1917). OSHA is proposing to
increase the existing burden hour estimate for the collection of
information requirements specified by the Standard from 80 to 2,040
hours, a total increase of 1,960 hours. The increase in the burden
hours is the result of the Agency estimating that more establishments
are using VTLs. The Agency will summarize the comments submitted in
response to this notice and will include this summary in the request to
OMB.
    Type of Review: Extension of a currently approved collection.
    Title: Vertical Tandem Lifts (VTLs) in Marine Terminals (29 CFR
Part 1917).
    OMB Number: 1218-0260.
    Affected Public: Business or other for-profits; Not-for-profit
organizations; Federal Government; State, Local, or Tribal Government.
    Number of Respondents: 1,020.
    Frequency of Response: On occasion.
    Average Time per Response: The average time is 4 hours for
employers to generate, develop, and maintain a written plan for
transporting vertically coupled containers in a terminal.
    Estimated Total Burden Hours: 2,040.
    Estimated Cost (Operation and Maintenance): $0.

IV. Public Participation--Submission of Comments on This Notice and
Internet Access to Comments and Submissions

    You may submit comments in response to this document as follows:
(1) Electronically at http://www.regulations.gov, which is the Federal
eRulemaking Portal; (2) by facsimile (fax); or (3) by hard copy. All
comments, attachments, and other material must identify the Agency name
and the OSHA docket number for the ICR (Docket No. OSHA-2011-0066). You
may supplement electronic submissions by uploading document

files electronically. If you wish to mail additional materials in
reference to an electronic or facsimile submission, you must submit
them to the OSHA Docket Office (see the section of this notice titled
ADDRESSES). The additional materials must clearly identify your
electronic comments by your name, date, and the docket number so the
Agency can attach them to your comments.
    Because of security procedures, the use of regular mail may cause a
significant delay in the receipt of comments. For information about
security procedures concerning the delivery of materials by hand,
express delivery, messenger, or courier service, please contact the
OSHA Docket Office at<PHONE_NUMBER>, (TTY<PHONE_NUMBER>).
    Comments and submissions are posted without change at http://www.regulations.gov. Therefore, OSHA cautions commenters about
submitting personal information such as Social Security numbers and
dates of birth. Although all submissions are listed in the http://www.regulations.gov index, some information (e.g., copyrighted
material) is not publicly available to read or download through this
Web site. All submissions, including copyrighted material, are
available for inspection and copying at the OSHA Docket Office.
Information on using the http://www.regulations.gov Web site to submit
comments and access the docket is available at the Web site's ``User
Tips'' link. Contact the OSHA Docket Office for information about
materials not available through the Web site and for assistance in
using the Internet to locate docket submissions.

V. Authority and Signature

    David Michaels, PhD, M.P.H., Assistant Secretary of Labor for
Occupational Safety and Health, directed the preparation of this
notice. The authority for this notice is the Paperwork Reduction Act of
1995 (44 U.S.C. 3506 et seq.) and Secretary of Labor's Order No. 5-2010
(72 FR 55355).

    Signed at Washington, DC, on July 6, 2011.
David Michaels,
Assistant Secretary of Labor for Occupational Safety and Health.
[FR Doc. 2011-17417 Filed 7-11-11; 8:45 am]
BILLING CODE 4510-26-P


76939 Federal Register / Vol. 69, No. 246 / Thursday, December 23, 2004 / Notices Reporting and Recordkeeping Requirements; in 40 CFR part 91; OMB Number 2060   0323; on 12/ 06/ 2004 OMB extended the expiration date to 03/ 31/ 2005. EPA ICR No. 0107.07; Source Compliance and State Action Reporting; OMB Number 2060   0096; on 12/ 07/ 2004 OMB extended the expiration date to 02/ 28/ 2005. EPA ICR No. 1922.02; Storage, Treatment, Transportation, and Disposal of Mixed Waste ( Final Rule); OMB Number 2060   0181; on 11/ 16/ 2004; OMB extended the expiration date to 02/ 28/ 2005.

Comment Filed EPA ICR No. 2144.01; Standards and Practices for All Appropriate Inquires ( Proposed Rule); on 11/ 15/ 2004 OMB filed a comment.

Withdrawn EPA ICR No. 2053.01; Best Workplaces for Commuter Program ( Survey); on 12/ 02/ 2004 was withdrawn from OMB. EPA ICR No. 2151.01; Obtaining Feedback on Pubic Involvement Activities and Processes; on 12/ 03/ 2004 was withdrawn from OMB.

Dated: December 14, 2004. Oscar Morales, Director, Collection Strategies Division. [ FR Doc. 04   28091 Filed 12   22   04; 8: 45 am]

BILLING CODE 6560   50   P ENVIRONMENTAL PROTECTION AGENCY [ OPPT   2004   0082; FRL   7854   5]

Agency Information Collection Activities; Submission to OMB for Review and Approval; Comment Request; Lead Based Paint Pre Renovation Information Dissemination   TSCA Section 406( b); EPA ICR No. 1669.04, OMB No. 2070   0158 AGENCY: Environmental Protection Agency ( EPA). ACTION: Notice.

SUMMARY: In compliance with the Paperwork Reduction Act ( 44 U. S. C. 3501 et seq.), this document announces that the following Information Collection Request ( ICR) has been forwarded to the Office of Management and Budget ( OMB) for review and approval. This is a request to renew an existing approved collection. This ICR is scheduled to expire on December 31, 2004. Under OMB regulations, the Agency may continue to conduct or sponsor the collection of information while this submission is pending at OMB. This ICR describes the nature of the information collection and its estimated cost. DATES: Additional comments may be submitted on or before January 24, 2005. ADDRESSES: Submit your comments, referencing docket ID Number OPPT   2004   0082, to ( 1) EPA online using EDOCKET ( our preferred method), by email to oppt. ncic@ epa. gov or by mail to: Document Control Office ( DCO), Office of Pollution Prevention and Toxics ( OPPT), Environmental Protection Agency, Mailcode: 7407T, 1200 Pennsylvania Ave., NW., Washington, DC 20460, and ( 2) OMB at: Office of Information and Regulatory Affairs, Office of Management and Budget ( OMB), Attention: Desk Officer for EPA, 725 17th Street, NW., Washington, DC 20503.

FOR FURTHER INFORMATION CONTACT: Barbara Cunningham, Acting Director, Environmental Assistance Division, Office of Pollution Prevention and Toxics, Environmental Protection Agency, Mailcode: 7408, 1200 Pennsylvania Ave., NW., Washington, DC 20460; telephone number: 202   554   1404; e mail address: TSCAHotline epa. gov.

SUPPLEMENTARY INFORMATION: EPA has submitted the following ICR to OMB for review and approval according to the procedures prescribed in 5 CFR 1320.12. On April 19, 2004, EPA sought comments on this renewal ICR ( 69 FR 20871). EPA sought comments on this ICR pursuant to 5 CFR 1320.8( d). EPA received three comments during the comment period, which are addressed in the Supporting Statement of the ICR. EPA has established a public docket for this ICR under Docket ID No. OPPT   2004   0082, which is available for public viewing at the OPPT Docket in the EPA Docket Center ( EPA/ DC), EPA West, Room B102, 1301 Constitution Ave., NW., Washington, DC. The EPA Docket Center Public Reading Room is open from 8 a. m. to 4: 30 p. m., Monday through Friday, excluding legal holidays. The telephone number for the Reading Room is 202   566   1744, and the telephone number for the Pollution Prevention and Toxics Docket is 202   566   0280. An electronic version of the public docket is available through EPA Dockets ( EDOCKET) at http:// www. epa. gov/ edocket. Use EDOCKET to submit or view public comments, access the index listing of the contents of the public docket, and to access those documents in the public docket that are available electronically. Once in the system, select `` search,'' then key in the docket ID number identified above. Any comments related to this ICR should be submitted to EPA and OMB within 30 days of this notice. EPA's policy is that public comments, whether submitted electronically or in paper, will be made available for public viewing in EDOCKET as EPA receives them and without change, unless the comment contains copyrighted material, CBI, or other information whose public disclosure is restricted by statute. When EPA identifies a comment containing copyrighted material, EPA will provide a reference to that material in the version of the comment that is placed in EDOCKET. The entire printed comment, including the copyrighted material, will be available in the public docket. Although identified as an item in the official docket, information claimed as CBI, or whose disclosure is otherwise restricted by statute, is not included in the official public docket, and will not be available for public viewing in EDOCKET. For further information about the electronic docket, see EPA's Federal Register notice describing the electronic docket at 67 FR 38102 ( May 31, 2002), or go to http:// www. epa. gov/ edocket. Title: Lead Based Paint Pre Renovation Information Dissemination   TSCA Sec. 406( b). Abstract: This information collection involves third party notification to owners and occupants of housing that will allow these individuals to avoid exposure to lead contaminated dust and lead based paint debris that are sometimes generated during renovations of housing where lead based paint is present, thereby protecting public health. Since young children are especially susceptible to the hazards of lead, owners and occupants with children can take action to protect their children from lead poisonings. Section 406( b) of the Toxic Substances Control Act ( TSCA) requires EPA to promulgate regulations requiring certain persons who perform renovations of target housing for compensation to provide a lead hazard information pamphlet ( developed under TSCA section 406( a)) to the owner and occupants of such housing prior to beginning the renovation. Those who fail to provide the pamphlet as required may be subject to both civil and criminal sanctions. Responses to the collection of information are mandatory ( see 40 CFR part 745, subpart E). Respondents may claim all or part of a notice as CBI. EPA will disclose information that is covered by a CBI claim only to the extent permitted by, and in accordance with, the procedures in 40 CFR part 2.

VerDate jul< 14> 2003 16: 12 Dec 22, 2004 Jkt 205001 PO 00000 Frm 00040 Fmt 4703 Sfmt 4703 E:\ FR\ FM\ 23DEN1. SGM 23DEN1 76940 Federal Register / Vol. 69, No. 246 / Thursday, December 23, 2004 / Notices An agency may not conduct or sponsor, and a person is not required to respond to, a collection of information unless it displays a currently valid OMB control number. The OMB control numbers for EPA's regulations in title 40 of the CFR, after appearing in the Federal Register, are listed in 40 CFR part 9 and included on the related collection instrument or form, if applicable. Burden Statement: The annual public reporting and recordkeeping burden for this collection of information is estimated to average about one and a half hours per response. Burden means the total time, effort or financial resources expended by persons to generate, maintain, retain or disclose or provide information to or for a Federal agency. This includes the time needed to review instructions; develop, acquire, install and utilize technology and systems for the purposes of collecting, validating and verifying information, processing and maintaining information, and disclosing and providing information; adjust the existing ways to comply with any previously applicable instructions and requirements; train personnel to be able to respond to a collection of information; search data sources; complete and review the collection of information; and transmit or otherwise disclose the information. Respondents/ Affected Entities: Persons who perform renovations of certain types of housing, constructed prior to 1978, for compensation. Frequency of Collection: On occasion. Estimated No. of Respondents: 2,482,000. Estimated Total Annual Burden on Respondents: 3,461,542 hours. Estimated Total Annual Costs: $ 111,929,595. Changes in Burden Estimates: This request reflects an increase of 522,996 hours ( from 2,938,546 hours to 3,461,542 hours) in the total estimated respondent burden from that currently in the OMB inventory. This increase is due to an increase in the estimated number of annual renovation events, as detailed in the Supporting Statement for this ICR. The increased number of renovation events is the result of increased spending on renovations and reflects a general economic trend. The change in burden represents an adjustment.

Dated: December 14, 2004. Oscar Morales, Director, Collection Strategies Division. [ FR Doc. 04   28092 Filed 12   22   04; 8: 45 am]

BILLING CODE 6560   50   P ENVIRONMENTAL PROTECTION AGENCY [ OECA   2004   0004; FRL   7854   6]

Agency Information Collection Activities; Submission for OMB Review and Approval; Comment Request; NESHAP for Ferroalloys Production: Ferromanganese and Silicomanganese ( Renewal), ICR Number 1831.03, OMB Number 2060   0391 AGENCY: Environmental Protection Agency ( EPA). ACTION: Notice.

SUMMARY: In compliance with the Paperwork Reduction Act, this document announces that an Information Collection Request ( ICR) has been forwarded to the Office of Management and Budget ( OMB) for review and approval. This is a request to renew an existing approved collection. This ICR is scheduled to expire on December 30, 2004. Under OMB regulations, the Agency may continue to conduct or sponsor the collection of information while this submission is pending at OMB. This ICR describes the nature of the information collection and its estimated burden and cost. DATES: Additional comments may be submitted on or before January 24, 2005. ADDRESSES: Submit your comments, referencing docket ID number OECA   2004   0004, to ( 1) EPA online using EDOCKET ( our preferred method), by email to docket. oeca@ epa. gov, or by mail to: Environmental Protection Agency, EPA Docket Center ( EPA/ DC), Enforcement and Compliance Docket and Information Center, EPA West, Mail Code 2201T, 1200 Pennsylvania Avenue, NW., Washington, DC 20460, and ( 2) OMB at: Office of Information and Regulatory Affairs, Office of Management and Budget ( OMB), Attention: Desk Officer for EPA, 725 17th Street, NW., Washington, DC 20503.

FOR FURTHER INFORMATION CONTACT: Mari ´ a Malave ´ , Compliance Assessment and Media Programs Division, Mail Code 2223A, Office of Compliance, Environmental Protection Agency, 1200 Pennsylvania Avenue, NW., Washington, DC 20460; telephone number: ( 202) 564   7027; fax number: ( 202) 564   0050; e mail address: malave. maria@ epa. gov.

SUPPLEMENTARY INFORMATION: EPA has submitted the following ICR to OMB for review and approval according to the procedures prescribed in 5 CFR 1320.12. On May 25, 2004 ( 69 FR 29718), EPA sought comments on this ICR pursuant to 5 CFR 1320.8( d). EPA received no comments. EPA has established a public docket for this ICR under Docket ID No. OECA   2004   0004, which is available for public viewing at the Enforcement and Compliance Docket and Information Center in the EPA Docket Center ( EPA/ DC), EPA West, Room B102, 1301 Constitution Avenue, NW., Washington, DC. The EPA Docket Center Public Reading Room is open from 8: 30 a. m. to 4: 30 p. m., Monday through Friday, excluding legal holidays. The telephone number for the Reading Room is ( 202) 566   1744, and the telephone number for the Enforcement and Compliance Docket and Information Center Docket is: ( 202) 566   1752. An electronic version of the public docket is available through EPA Dockets ( EDOCKET) at http:// www. epa. gov/ edocket. Use EDOCKET to submit or view public comments, access the index listing of the contents of the public docket, and to access those documents in the public docket that are available electronically. When in the system, select `` search,'' then key in the docket ID number identified above. Any comments related to this ICR should be submitted to EPA and OMB within 30 days of this notice. EPA's policy is that public comments, whether submitted electronically or in paper, will be made available for public viewing in EDOCKET as EPA receives them and without change, unless the comment contains copyrighted material, confidential business information ( CBI), or other information whose public disclosure is restricted by statute. When EPA identifies a comment containing copyrighted material, EPA will provide a reference to that material in the version of the comment that is placed in EDOCKET. The entire printed comment, including the copyrighted material, will be available in the public docket. Although identified as an item in the official docket, information claimed as CBI, or whose disclosure is otherwise restricted by statute, is not included in the official public docket, and will not be available for public viewing in EDOCKET. For further information about the electronic docket, see EPA's Federal Register notice describing the electronic docket at 67 FR 38102 ( May 31, 2002), or go to www. epa. gov/ edocket. Title: NESHAP for Ferroalloys Production: Ferromanganese and Silicomanganese ( 40 CFR part 63, subpart XXX) ( Renewal). Abstract: The national emission standards for hazardous air pollutants ( NESHAP) using maximum achievable VerDate jul< 14> 2003 16: 12 Dec 22, 2004 Jkt 205001 PO 00000 Frm 00041 Fmt 4703 Sfmt 4703 E:\ FR\ FM\ 23DEN1. SGM 23DEN1