[Federal Register Volume 86, Number 55 (Wednesday, March 24, 2021)]
[Notices]
[Pages 15734-15738]
[FR Doc No: 2021-06000]

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

SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-91359; File No. SR-NYSE-2020-96]

Self-Regulatory Organizations; New York Stock Exchange LLC; Order
Instituting Proceedings To Determine Whether To Approve or Disapprove a
Proposed Rule Change To Amend Its Rules Establishing Maximum Fee Rates
To Be Charged by Member Organizations for Forwarding Proxy and Other
Materials to Beneficial Owners

March 18, 2021.

I. Introduction

    On December 2, 2020, New York Stock Exchange LLC (``NYSE'' or

``Exchange'') filed with the Securities and Exchange Commission
(``SEC'' or ``Commission''), pursuant to Section 19(b)(1) of the
Securities Exchange Act of 1934 (``Act'') \1\ and Rule 19b-4
thereunder,\2\ a proposed rule change to delete the maximum fee rates
for forwarding proxy and other materials to beneficial owners set forth
in NYSE Rules 451 and 465 and Section 402.10 of the NYSE Listed Company
Manual (``Manual''), and establish in their place a requirement for
member organizations to comply with any schedule of approved charges
set forth in the rules of any other national securities exchange or
association of which such member organization is a member. The proposed
rule change was published for comment in the Federal Register on
December 21, 2020.\3\ On February 1, 2021, pursuant to Section 19(b)(2)
of the Act,\4\ the Commission designated a longer period within which
to either approve the proposed rule change, disapprove the proposed
rule change, or institute proceedings to determine whether to
disapprove the proposed rule change.\5\ This order institutes
proceedings under Section 19(b)(2)(B) of the Act \6\ to determine
whether to approve or disapprove the proposed rule change.
---------------------------------------------------------------------------

    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 17 CFR 240.19b-4.
    \3\ See Securities Exchange Act Release No. 90677 (December 15,
2020), 85 FR 83119 (``Notice''). Comments received on the proposed
rule change are available at: https://www.sec.gov/comments/sr-nyse-2020-96/srnyse202096.htm.
    \4\ 15 U.S.C. 78s(b)(2).
    \5\ See Securities Exchange Act Release No. 91025, 86 FR 8246
(February 4, 2021). The Commission designated March 21, 2021, as the
date by which it should approve, disapprove, or institute
proceedings to determine whether to disapprove the proposed rule
change.
    \6\ 15 U.S.C. 78s(b)(2)(B).
---------------------------------------------------------------------------

II. Description of the Proposal

    NYSE Rules 451 and 465, and the related provisions in Section
402.10 of the Manual, require NYSE member organizations that hold
securities for beneficial owners in street name to solicit proxies
from, and deliver proxy and issuer communication materials to,
beneficial owners on behalf of issuers.\7\ For this service, issuers
reimburse NYSE member organizations for out-of-pocket, reasonable
clerical, postage and other expenses incurred for a particular
distribution.\8\ This reimbursement structure stems from SEC Rules 14b-
1 and 14b-2 under the Act,\9\ which impose obligations on companies and
nominees to ensure that beneficial owners receive proxy materials.
These rules require companies to send their proxy materials to broker-
dealers or banks, as nominees that hold securities in street name, for
forwarding to beneficial owners, and to pay nominees for reasonable
expenses, both direct and indirect, incurred in providing proxy
information to beneficial owners.\10\ The Commission's rules do not
specify the fees that nominees can charge issuers for proxy
distribution; rather, they state that issuers must reimburse the
nominees for ``reasonable expenses'' incurred.\11\
---------------------------------------------------------------------------

    \7\ See NYSE Rules 451 and 465, and Section 402.10 of the
Manual; Notice, supra note 3, 85 FR at 83119. The ownership of
shares in street name means that a shareholder, or ``beneficial
owner,'' has purchased shares through a broker-dealer or bank, also
known as a ``nominee.'' See Securities Exchange Act Release No.
70720 (October 18, 2013), 78 FR 63530, 63531 n.14 (October 24, 2013)
(SR-NYSE-2013-07) (Order Granting Approval to Proposed Rule Change
Amending NYSE Rules 451 and 465, and the Related Provisions of
Section 402.10 of the NYSE Listed Company Manual) (``2013 Approval
Order''). In contrast to direct ownership, where shares are directly
registered in the name of the shareholder, shares held in street
name are registered in the name of the nominee, or in the nominee
name of a depository, such as the Depository Trust Company. Id.
    \8\ See NYSE Rules 451 and 465, and Section 402.10 of the
Manual; 2013 Approval Order, supra note 7, 78 FR at 63531.
    \9\ 17 CFR 240.14b-1; 17 CFR 240.14b-2.
    \10\ See 17 CFR 240.14b-1 and 14b-2; see also 2013 Approval
Order, supra note 7, 78 FR at 63531.
    \11\ See 17 CFR 240.14b-1 and 14b-2; see also 2013 Approval
Order, supra note 7, 78 FR at 63531.
---------------------------------------------------------------------------

    Currently, the Supplementary Material to NYSE Rule 451, which is
cross-referenced by the Supplementary Material to Rule 465 and Section
402.10 of the Manual, establish the maximum rates at which an NYSE
member organization may be reimbursed for expenses incurred in
connection with distributing proxy and other issuer communication
materials to beneficial holders. FINRA Rule 2251 also sets forth a
schedule of maximum rates that is substantively identical to the rate
schedule specified in NYSE Rule 451.\12\ The rules of other self-
regulatory organizations (``SROs'') generally provide that member
organizations must forward proxy and other issuer communication
materials if they receive ``reasonable'' reimbursement, but they do not
specify any schedule of maximum permitted charges.\13\
---------------------------------------------------------------------------

    \12\ See Notice, supra note 3, 85 FR at 83120. The Exchange
states that FINRA Rule 2251 differs from NYSE Rule 451 in one
respect. See id., 85 FR at 83119, n.8. Specifically, FINRA has not
adopted the Notice and Access fees for investment company
shareholder report distributions set forth in Section 5 (Notice and
Access Fees) of Supplementary Material .90 to NYSE Rule 451 as part
of FINRA Rule 2251. Id.
    \13\ See Notice, supra note 3, 85 FR at 83119. But see NYSE
American LLC Rule 576.80 (setting forth a schedule of approved
charges by member organizations in connection with proxy
solicitations).
---------------------------------------------------------------------------

    The Exchange proposes to amend Supplementary Materials .90-.96 to
NYSE Rule 451 by deleting the provisions setting maximum reimbursement
rates and replacing them with rule text stating that member
organizations must comply with any schedule of approved charges set
forth in the rules of any other national securities exchange or
association of which such member organization is a member.\14\ The
Exchange also proposes to delete the cross-references to NYSE Rule
451.90-96 in Supplementary Material .20 to NYSE Rule 465 and replace it
with rule text that is identical to the proposed new language in
Supplementary Material .90 to NYSE Rule 451.\15\ The Exchange states
that the proposed rule change is not intended to take a position on the
appropriateness of the fee schedules for proxy and other distributions
currently set forth in NYSE Rules 451 and 465 or in the rules of any
other SRO.\16\
---------------------------------------------------------------------------

    \14\ See proposed Supplementary Material .90 to NYSE Rule 451.
The Exchange also proposes to delete Section 402.10 of the Manual,
which replicates the fee schedule set forth in Supplementary
Material .90-.96 to NYSE Rule 451.
    \15\ See proposed Supplementary Material .20 to NYSE Rule 465.
    \16\ See Notice, supra note 3, 85 FR at 83120. As noted above,
FINRA and NYSE American LLC presently are the only SROs besides NYSE
with rules that set forth a fee schedule.
---------------------------------------------------------------------------

    According to the Exchange, since all NYSE member organizations that
are subject to the fee schedule set forth in NYSE Rule 451 (and cross
referenced by NYSE Rule 465) are also FINRA member firms, the proposal
would effectively require member organizations to comply with the fee
schedule set forth in FINRA Rule 2251.\17\ The Exchange acknowledges
that it has historically taken the lead in establishing the maximum
proxy distribution reimbursement rates, but states that it no longer
believes the Exchange is best positioned to retain this role going
forward.\18\ The Exchange states that all of the brokers who hold
shares on behalf of customers in street name are FINRA members, while
only a subset of them are members of the NYSE.\19\ The Exchange also
notes that a large and increasing number of the affected issuers are
listed on Nasdaq, CBOE or other non-NYSE Group exchanges or are traded
solely over the counter.\20\ The Exchange further states that the
development of the mutual fund industry has led to the existence of a

huge number of issuers who are not listed on any exchange.\21\
---------------------------------------------------------------------------

    \17\ See id.
    \18\ See id., 85 FR at 83119.
    \19\ See id., 85 FR at 83120.
    \20\ See id., 85 FR at 83120.
    \21\ See id., 85 FR at 8319-20.
---------------------------------------------------------------------------

III. Summary of Comment Letters Received

    Several commenters support the proposal.\22\ One commenter believes
the Commission should approve the proposed rule change ``[g]iven the
technical nature of the change and NYSE's lack of interest in
reforming, or even examining, the current fee system.'' \23\ This
commenter, however, believes it is imperative for the Commission to
take this opportunity to reform the current system relating to
processing fees for shareholder materials, including by facilitating
competition in the distribution of shareholder materials through
greater issuer participation in the selection process or, barring that,
by reforming the processing fee schedule.\24\ A number of commenters
from the fund industry agree with the views expressed by this
commenter.\25\
---------------------------------------------------------------------------

    \22\ See letters from Dorothy M. Donohue, Deputy General
Counsel, Securities Regulation, and Joanne Kane, Senior Director,
Operations and Transfer Agency, Investment Company Institute, dated
January 8, 2021, at 2 (``ICI Letter''); Timothy W. McHale, Senior
Vice President & Senior Counsel, Capital Research and Management
Company, and Anthony M. Seiffert, Chief Compliance Officer, American
Funds Service Company, Capital Group, dated January 11, 2021;
Catherine L. Newell, General Counsel and Executive Vice President,
Dimensional Fund Advisors LP, dated January 11, 2021; Peter J.
Germain, Chief Legal Officer, Federated Hermes, Inc., dated January
11, 2021; Basil K. Fox, Jr., President, Franklin Templeton Investor
Services, LLC, dated January 11, 2021; Heidi Hardin, Executive Vice
President and General Counsel, MFS Investment Management, dated
January 11, 2021; Thomas E. Faust Jr., Chairman and Chief Executive
Officer, Eaton Vance Corp., dated January 14, 2021; and Noah Hamman,
Chief Executive Officer, AdvisorShares Investments, LLC, dated
January 14, 2021.
    \23\ See ICI Letter at 2.
    \24\ Id. at 2-4. This commenter also urged the Commission to
emphasize that the existing fee schedules represent the maximum
rates for ``reasonable'' processing fees, rather than an obligation
to pay those exact fees. Several commenters from the fund industry
agreed with the views expressed in the ICI Letter.
    \25\ See supra note 22.
---------------------------------------------------------------------------

    Several other commenters oppose the proposal. One commenter
expressed the view that ``the most appropriate approach is to retain
NYSE in the role and accelerate discussions about fundamental reform of
the proxy communication process, abolishing the need for reimbursement
fees and facilitating issuer-directed communications.'' \26\ This
commenter explained that ``NYSE has played a longstanding, central role
in the industry dialogue on proxy reform and the fee-setting process,
given its representation of both issuers and brokers,'' and so the
commenter ``continue[s] to believe that its leadership will be critical
to any transition to new arrangements for proxy communications and
associated fees.'' \27\ Another commenter stated that ``[i]nstead of
approving a rule proposal that transfers regulatory oversight of proxy
fees from one Self-Regulatory Organization to another,'' the Commission
should reform the proxy processing system by ``replacing the current
regulatory framework with one in which market forces determine fees for
proxy distribution and other services.'' \28\ This commenter added
that, ``[u]nlike the stock exchanges, FINRA has no regulatory
relationship with public companies, or other issuers of securities, and
certainly cannot represent their interests or provide a mechanism for a
balanced oversight process.'' \29\ Similarly, a third commenter
endorsed the ``market-driven solution'' advocated by other commenters,
and ``does not support the proposal to transfer responsibility for the
maximum fee-setting process to FINRA, whose membership represents the
broker side of the industry but not the issuer side.'' \30\
---------------------------------------------------------------------------

    \26\ See letter from Paul Conn, President, Global Capital
Markets, Computershare, dated January 11, 2021, at 4.
    \27\ See id.
    \28\ See letter from Niels Holch, Executive Director,
Shareholder Communications Coalition, dated January 20, 2021, at 4.
    \29\ See id. at 5.
    \30\ See letter from Todd J. May, President, Securities Transfer
Association, Inc., dated March 1, 2021, at 2.
---------------------------------------------------------------------------

    Finally, FINRA opposes the proposal on the grounds that it ``is
premature and incorrectly predicated on FINRA assuming primary
responsibility for a regulatory regime that it has never led, and which
FINRA is not best equipped to lead.'' \31\ FINRA notes that
``historically the NYSE has taken the lead on proxy distribution fee
schedules,'' and that FINRA has ``amend[ed] its proxy distribution rule
fee schedule to conform with [NYSE's] in the interest of ensuring
regulatory clarity and harmonization.'' \32\ FINRA adds that ``[i]n
light of the NYSE's historical experience with these rules derived in
part from its listing relationship with many issuers, which FINRA
lacks,'' FINRA would ``give strong consideration to rescinding its fee
schedule'' if the Commission were to approve NYSE's proposal.\33\ FINRA
suggests that, ``prior to approving or disapproving the NYSE proposal,
the Commission organize a public dialogue on the appropriate regulation
of reimbursement of broker-dealer expenses for forwarding issuer
documents.'' \34\
---------------------------------------------------------------------------

    \31\ See letter from Marcia Asquith, Executive Vice President,
Board & External Relations, FINRA, dated January 11, 2021, at 6.
    \32\ See id. at 4.
    \33\ See id. at 5-6.
    \34\ See id. at 6. FINRA also formally petitions the Commission
to consider amending Rule 14b-1 to prescribe the fees charged for
these expenses if the Commission determines that prescription of
specific broker-dealer reimbursement fees is appropriate. See id.
---------------------------------------------------------------------------

IV. Proceedings To Determine Whether To Approve or Disapprove SR-NYSE-
2020-96 and Grounds for Disapproval Under Consideration

    The Commission is instituting proceedings pursuant to Section
19(b)(2)(B) of the Act to determine whether the proposal should be
approved or disapproved.\35\ Institution of such proceedings is
appropriate at this time in view of the legal and policy issues raised
by the proposed rule change, as discussed below. Institution of
disapproval proceedings does not indicate that the Commission has
reached any conclusions with respect to any of the issues involved.
---------------------------------------------------------------------------

    \35\ 15 U.S.C. 78s(b)(2)(B).
---------------------------------------------------------------------------

    Pursuant to Section 19(b)(2)(B) of the Act, the Commission is
providing notice of the grounds for disapproval under consideration.
The Commission is instituting proceedings to allow for additional
analysis and input concerning the proposed rule change's consistency
with the Act and, in particular, with Section 6(b)(5) of the Act,\36\
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; and are not designed to permit
unfair discrimination between customers, issuers, brokers, or
dealers.\37\
---------------------------------------------------------------------------

    \36\ 15 U.S.C. 78f(b)(5).
    \37\ Id.
---------------------------------------------------------------------------

    As acknowledged by both the Exchange and commenters, the NYSE
historically has taken the lead in establishing and updating the
maximum rates of reimbursement for ``reasonable expenses'' that broker-
dealers may seek from issuers in connection with the distribution of
proxy and other materials to beneficial owners.\38\ The

NYSE has periodically engaged in a formal process to review and update
these maximum reimbursement rates, with the goal of ensuring that they
are related to the reasonable proxy expenses of member firms,\39\ and
accordingly has gained considerable expertise in this area.\40\
Further, because NYSE is a primary listing market, it has relationships
with issuers as well as broker-dealers, and thus is well-positioned to
take into account the views of both major stakeholder groups.\41\
---------------------------------------------------------------------------

    \38\ Since 1937, NYSE has required issuers, as a matter of
policy, to reimburse its members for out of pocket costs for
forwarding materials. See Concept Release on the U.S. Proxy System,
Securities Exchange Act Release No. 62495 (July 14, 2010), 75 FR
42982, 42995 (July 22, 2010) (``Proxy Concept Release''). NYSE's
reimbursement rates were formally established by rule in 1952, and
have been revised periodically since then. See id.
    \39\ Today's maximum rates set forth in NYSE Rules 451 and 465
are the product of several multi-year efforts lead by NYSE. The
current fee structure was first established by NYSE as part of a
pilot program in 1997 that was permanently approved by the
Commission in 2002 and this basic fee structure, with some updates,
remains in place today on the NYSE. The most recent NYSE review of
the fees involved the establishment of NYSE's Proxy Fee Advisory
Committee (``PFAC'') in 2010, which provided a report and
recommendations to NYSE. NYSE proposed to adopt the PFAC fee
recommendations and the Commission approved these changes in 2013.
See 2013 Approval Order, supra note 7.
    \40\ See 2013 Approval Order, supra note 7. The rules of
national securities exchanges and FINRA follow the NYSE fee schedule
as reasonable rates of reimbursement for distribution of proxy and
other material to beneficial owners. See Securities Exchange Act
Release No. 71272 (January 9, 2014), 79 FR 2741 (January 15, 2014)
(SR-FINRA-2013-056) (Notice of Filing and Immediate Effectiveness of
a Proposed Rule Change to Amend FINRA Rule 2251).
    \41\ See Proxy Concept Release, supra note 38, 75 FR at 42995.
---------------------------------------------------------------------------

    NYSE is proposing to remove the provisions setting maximum
reimbursement rates from its rules, and replace them with a requirement
that an NYSE member firm comply with any schedule of approved charges
set forth in the rules of any other SRO of which it is a member. This
effectively would make the maximum reimbursement rates set forth in
FINRA rules the industry reference, and establish FINRA as the lead SRO
in this area.
    In its proposal, NYSE expresses the view that FINRA is in a better
position to take the lead in setting maximum reimbursement rates for
the distribution of proxy and other issuer materials to beneficial
owners because (1) all broker-dealers that hold shares in street name
for customers are FINRA members, while only a subset of them are NYSE
members, and (2) a large number of affected issuers are not listed on
the NYSE. Unlike NYSE, however, FINRA does not have a relationship with
issuers, who ultimately pay the reimbursement rates set forth in these
rules. NYSE does not explain why, in the absence of a relationship with
this important constituency, FINRA is in a better position than NYSE to
assume the leadership role in this area. Further, NYSE has not
explained the significance of the fact that only a subset of impacted
broker-dealers are NYSE members, given that NYSE would appear well-
positioned to consider the views of this constituency, or why the fact
that all such broker-dealers are FINRA members puts FINRA in a
materially better position to assume the leadership role in this area.
Similarly, NYSE has not explained the significance of the fact that
only a subset of impacted issuers are listed on NYSE, given that NYSE
would appear well-positioned to consider the views of this constituency
and, as discussed above, FINRA would not. As a result, the Commission
believes there are questions as to whether NYSE's proposal is
consistent with Section 6(b)(5) of the Act and, in particular, its
requirements that the rules of the Exchange be designed to promote just
and equitable principles of trade and, in general, to protect investors
and the public interest, and not be designed to permit unfair
discrimination between customers, issuers, brokers, or dealers.
    The Commission notes that, under the Commission's Rules of
Practice, the ``burden to demonstrate that a proposed rule change is
consistent with the Exchange Act and the rules and regulations issued
thereunder . . . is on the self-regulatory organization [`SRO'] that
proposed the rule change.'' \42\ The description of a proposed rule
change, its purpose and operation, its effect, and a legal analysis of
its consistency with applicable requirements must all be sufficiently
detailed and specific to support an affirmative Commission finding,\43\
and any failure of an SRO to provide this information may result in the
Commission not having a sufficient basis to make an affirmative finding
that a proposed rule change is consistent with the Act and the
applicable rules and regulations.\44\
---------------------------------------------------------------------------

    \42\ Rule 700(b)(3), Commission Rules of Practice, 17 CFR
201.700(b)(3).
    \43\ See id.
    \44\ See id.
---------------------------------------------------------------------------

    For these reasons, the Commission believes it is appropriate to
institute proceedings pursuant to Section 19(b)(2)(B) of the Act \45\
to determine whether the proposal should be approved or disapproved.
---------------------------------------------------------------------------

    \45\ 15 U.S.C. 78s(b)(2)(B).
---------------------------------------------------------------------------

V. Commission's Solicitation of Comments

    The Commission requests that interested persons provide written
submissions of their views, data, and arguments with respect to the
issues identified above, as well as any other concerns they may have
with the proposal. In particular, the Commission invites the written
view of interested persons concerning whether the proposal is
consistent with Section 6(b)(5) or any other provision of the Act, or
the rules and regulations thereunder. Although there do not appear to
be any issues relevant to approval or disapproval that would be
facilitated by an oral presentation of views, data, and arguments, the
Commission will consider, pursuant to Rule 19b-4, any request for an
opportunity to make an oral presentation.\46\
---------------------------------------------------------------------------

    \46\ Section 19(b)(2) of the Act, as amended by the Securities
Act Amendments of 1975, Public Law 94-29 (June 4, 1975), grants the
Commission flexibility to determine what type of proceeding--either
oral or notice and opportunity for written comments--is appropriate
for consideration of a particular proposal by a self-regulatory
organization. See Securities Act Amendments of 1975, Senate Comm. on
Banking, Housing & Urban Affairs, S. Rep. No. 75, 94th Cong., 1st
Sess. 30 (1975).
---------------------------------------------------------------------------

    Interested persons are invited to submit written data, views, and
arguments regarding whether the proposal should be approved or
disapproved by April 14, 2021. Any person who wishes to file a rebuttal
to any other person's submission must file that rebuttal by April 28,
2021.
    Comments may be submitted by any of the following methods:

Electronic Comments

     Use the Commission's internet comment form (http://www.sec.gov/rules/sro.shtml); or
     Send an email to<EMAIL_ADDRESS>Please include
File Number SR-NYSE-2020-96 on the subject line.

Paper Comments

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

All submissions should refer to File Number SR-NYSE-2020-96. This file
number should be included on the subject line if email is used. To help
the Commission process and review your comments more efficiently,
please use only one method. The Commission will post all comments on
the Commission's internet website (http://www.sec.gov/rules/sro.shtml).
Copies of the submission, all subsequent amendments, all written
statements with respect to the proposed rule change that are filed with
the Commission, and all written communications relating to the proposed
rule change between the

Commission and any person, other than those that may be withheld from
the public in accordance with the provisions of 5 U.S.C. 552, will be
available for website viewing and printing in the Commission's Public
Reference Room, 100 F Street NE, Washington, DC 20549, on official
business days between the hours of 10:00 a.m. and 3:00 p.m. Copies of
such filing also will be available for inspection and copying at the
principal office of the Exchange. All comments received will be posted
without change. Persons submitting comments are cautioned that we do
not redact or edit personal identifying information from comment
submissions. You should submit only information that you wish to make
available publicly. All submissions should refer to File Number SR-
NYSE-2020-96 and should be submitted on or before April 14, 2021.
Rebuttal comments should be submitted by April 28, 2021.

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\47\
---------------------------------------------------------------------------

    \47\ 17 CFR 200.30-3(a)(57).
---------------------------------------------------------------------------

Eduardo A. Aleman,
Deputy Secretary.
[FR Doc. 2021-06000 Filed 3-23-21; 8:45 am]
BILLING CODE 8011-01-P


[Federal Register Volume 79, Number 198 (Tuesday, October 14, 2014)]
[Notices]
[Page 61638]
[FR Doc No: 2014-24318]

=======================================================================
-----------------------------------------------------------------------

ENVIRONMENTAL PROTECTION AGENCY

[FRL-9917-54-OEI]

Agency Information Collection Activities OMB Responses

AGENCY:  Environmental Protection Agency (EPA).

ACTION:

-----------------------------------------------------------------------
Notice.

SUMMARY:  This document announces the Office of Management and Budget
(OMB) responses to Agency Clearance requests, in compliance with the
Paperwork Reduction Act (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 OMB
control number. The OMB control numbers for EPA regulations are listed
in 40 CFR part 9 and 48 CFR chapter 15.

FOR FURTHER INFORMATION CONTACT:  Courtney Kerwin<PHONE_NUMBER>, or
email at<EMAIL_ADDRESS>and please refer to the appropriate
EPA Information Collection Request (ICR) Number.

SUPPLEMENTARY INFORMATION:

OMB Responses to Agency Clearance Requests

OMB Approvals

    EPA ICR Number 1086.10; NSPS for Onshore Natural Gas Processing
Plants (40 CFR part 60, subparts KKK and LLL) (Renewal); 40 CFR part
60, subparts A, KKK, and LLL; was approved on 08/05/2014; OMB Number
2060-0120; expires on 08/31/2017; Approved with change.
    EPA ICR Number 1367.11; Regulation of Fuels and Fuel Additives:
Gasoline Volatility (40 CFR 80.27); 40 CFR 80.27; was approved on 08/
06/2014; OMB Number 2060-0178; expires on 08/31/2017; Approved without
change.
    EPA ICR Number 2193.03; Energy Star Program in the Residential
Sector (Renewal); was approved on 08/06/2014; OMB Number 2060-0586;
expires on 08/31/2017; Approved with change.
    EPA ICR Number 2472.01; Pesticide Spray Drift Reduction
Technologies; 40 CFR part 152; was approved on 08/12/2014; OMB Number
2070-0191; expires on 08/31/2017; Approved with change.
    EPA ICR Number 2060.06; Cooling Water Intake Structures Phase II
Existing Facility (Renewal); 40 CFR parts 122 and 125; was approved on
08/13/2014; OMB Number 2040-0257; expires on 08/31/2017; Approved
without change.
    EPA ICR Number 0282.16; Engine Emission Defect Information Reports
and Voluntary Emission Recall Reports (Renewal); 40 CFR 85, 89, 90, 91,
92, 94, 1035, 1039, 1042, 1045, 1048, 1051, 1054, 1068; was approved on
08/21/2014; OMB Number 2060-0048; expires on 08/31/2017; Approved
without change.
    EPA ICR Number 1246.12; Reporting and Recordkeeping for Asbestos
Abatement Worker Protection; 40 CFR part 763 subpart G; was approved on
08/21/2014; OMB Number 2070-0072; expires on 08/31/2017; Approved
without change.

Courtney Kerwin,
Acting Director, Collections Strategies Division.
[FR Doc. 2014-24318 Filed 10-10-14; 8:45 am]
BILLING CODE 6560-50-P


[Federal Register: January 28, 2010 (Volume 75, Number 18)]
[Notices]
[Page 4579]
[DOCID:fr28ja10-79]

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

DEPARTMENT OF HOMELAND SECURITY

Coast Guard

[Docket No. USCG-2009-0504]

Certificate of Alternative Compliance for the Offshore Supply
Vessel C-AGGRESSOR

AGENCY: Coast Guard, DHS.

ACTION: Notice.

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

SUMMARY: The Coast Guard announces that a Certificate of Alternative
Compliance was issued for the offshore supply vessel C-AGGRESSOR, as
required by 33 U.S.C. 1605(c) and 33 CFR 81.18.

DATES: The Certificate of Alternative Compliance was issued on December
8, 2009.

ADDRESSES: The docket for this notice is available for inspection or
copying at the Docket Management Facility (M-30), U.S. Department of
Transportation, West Building Ground Floor, Room W12-140, 1200 New
Jersey Avenue, SE., Washington, DC 20590, between 9 a.m. and 5 p.m.,
Monday through Friday, except Federal holidays. You may also find this
docket on the Internet by going to http://www.regulations.gov,
inserting USCG-2009-0504 in the ``Keyword'' box, and then clicking
``Search.''

FOR FURTHER INFORMATION CONTACT: If you have questions on this notice,
call CWO2 David Mauldin, District Eight, Prevention Branch, U.S. Coast
Guard, telephone<PHONE_NUMBER>. If you have questions on viewing or
submitting material to the docket, call Renee V. Wright, Program
Manager, Docket Operations, telephone<PHONE_NUMBER>.

SUPPLEMENTARY INFORMATION:

Background and Purpose

    The offshore supply vessel C-AGGRESSOR will be used for offshore
supply operations. The horizontal distance between the forward and aft
masthead lights may be 22'-2\3/8\''. Placing the aft masthead light at
the horizontal distance from the forward masthead light, as required by
Annex I, paragraph 3(a) of the 72 COLREGS and Annex I, Section 84.05(a)
of the Inland Rules Act, would result in an aft masthead light location
directly over the cargo deck where it would interfere with loading and
unloading operations.
    The Certificate of Alternative Compliance allows for the horizontal
separation of the forward and aft masthead lights to deviate from the
requirements of Annex I, paragraph 3(a) of 72 COLREGS and Annex I,
Section 84.05(a) of the Inland Rules Act.
    This notice is issued under authority of 33 U.S.C. 1605(c), and 33
CFR 81.18.

    Dated: January 4, 2010.
J.W. Johnson,
Commander, U.S. Coast Guard, Chief, Inspections and Investigations
Branch, By Direction of the Commander, Eighth Coast Guard District.
[FR Doc. 2010-1710 Filed 1-27-10; 8:45 am]
BILLING CODE 9110-04-P


[Federal Register: March 24, 2008 (Volume 73, Number 57)]
[Notices]
[Page 15511]
[DOCID:fr24mr08-54]

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

DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

[Docket No. CP95-35-001]

EcoEl[eacute]ctrica, L.P.; Notice of Application

March 18, 2008.
    Take notice that on March 5, 2008 EcoEl[eacute]ctrica, L.P.
(EcoEl[eacute]ctrica) filed an application in Docket No. CP95-35-001,
pursuant to section 3 of the Natural Gas Act (NGA), for modification of
a prior Section 3 Order (dated May 15, 1996) to construct, install,
own, operate and maintain certain facilities at the EcoEl[eacute]ctrica
LNG import terminal at Penuelas, Puerto Rico. The details of this
proposal are more fully set forth in the application that is on file
with the Commission and open to public inspection.
    The filing may also be viewed on the Web at http://www.ferc.gov
using the ``eLibrary'' link. Enter the docket number excluding the last
three digits in the docket number field to access the document. For
assistance, please contact FERC Online Support at
<EMAIL_ADDRESS>or toll free at<PHONE_NUMBER>, or TTY(202)
502-8659. Any initial questions regarding this application should be
directed to Lynn R. Coleman, Skadden, Arps, Slate, Meagher & Flom LLP,
1440 New York Avenue, NW., Washington, DC 20005, or by phone at (202)
371-7600.
    EcoEl[eacute]ctrica seeks Commission approval to make two
modifications to the original Section 3 Order. First, the Section 3
Order of May 15, 1996 authorized the construction of a stub natural gas
pipeline that extends to the facility fenceline and which was
originally intended for use in providing natural gas to the Puerto Rico
Electric Power Authority's (PREPA) Costa Sur Power Plant. The stub
pipeline has been constructed but is not used to supply natural gas to
the Costa Sur Power Plant because that plant was never converted to
natural gas firing. In lieu of this, EcoEl[eacute]ctrica seeks
Commission approval to use the stub line to deliver gas to PREPA's
proposed Gasoducto del Sur pipeline for use at PREPA's Aguirre Combined
Cycle Power Plant upon its conversion from fuel oil to natural gas as
power plant fuel.
    Second, the Section 3 Order authorized EcoEl[eacute]ctrica to
construct an LNG vaporization system. In the Section 3 Order,
EcoEl[eacute]ctrica was authorized to install two LNG storage tanks,
each with one million barrels storage capacity, and up to six
vaporizers, consisting of two vertical shell and tube heat exchanger
vaporizers and four open rack type vaporizers. Only one of the LNG
storage tanks has been installed. Therefore, only the two vertical
shell and tube heat exchanger vaporizers were installed when the LNG
terminal was constructed. As part of the project to supply natural gas
to the Aguirre plant, EcoEl[eacute]ctrica proposes to install two
additional vertical shell and tube heat exchanger vaporizers. All of
the additional equipment, including the two vaporizers, will be
installed within the existing 36-acre facility site. The single LNG
storage tank that is part of the current facility has sufficient volume
capacity to supply the natural gas demand for the Aguirre Combined
Cycle Power Plant. This proposed EcoEl[eacute]ctrica modification
package does not include the construction of the second LNG storage
tank.
    The proposed modifications will allow EcoEl[eacute]ctrica to
increase throughput but EcoEl[eacute]ctrica says that it will remain
well within the annual import volume authorized for the
EcoEl[eacute]ctrica LNG Terminal by the Department of Energy (DOE)
Order Granting Long-Term Authorization to Import LNG, April 19, 1995,
DOE/FE Order No. 1042, FE Docket No. 94-91-LNG.
    The application includes an Environmental Assessment Report which
demonstrates that the potential environmental impacts of the proposed
modifications are either negligible or were adequately assessed in the
environmental review for the original Section 3 Order for
EcoEl[eacute]ctrica.
    EcoEl[eacute]ctrica requests that the Commission grant the
requested authorization at the earliest practicable date, in order to
ensure an in-service date of September 2008.
    There are two ways to become involved in the Commission's review of
this project. First, any person wishing to obtain legal status by
becoming a party to the proceedings for this project should, on or
before the comment date, file with the Federal Energy Regulatory
Commission, 888 First Street, NE., Washington, DC 20426, a motion to
intervene in accordance with the requirements of the Commission's Rules
of Practice and Procedure (18 CFR 385.214 or 385.211) and the
Regulations under the NGA (18 CFR 157.10). A person obtaining party
status will be placed on the service list maintained by the Secretary
of the Commission and will receive copies of all documents filed by the
applicant and by all other parties. A party must submit 14 copies of
filings made with the Commission and must mail a copy to the applicant
and to every other party in the proceeding. Only parties to the
proceeding can ask for court review of Commission orders in the
proceeding.
    Persons who wish to comment only on the environmental review of
this project, or in support of or in opposition to this project, should
submit an original and two copies of their comments to the Secretary of
the Commission. Environmental commentors will be placed on the
Commission's environmental mailing list, will receive copies of the
environmental documents, and will be notified of meetings associated
with the Commission's environmental review process. Environmental
commentors will not be required to serve copies of filed documents on
other parties or issued by the Commission (except for the mailing of
environmental documents issued by the Commission) and will not have the
right to seek court review of the Commission's final order.
    The Commission strongly encourages electronic filings of comments,
protests, and interventions via the internet in lieu of paper. See 18
CFR 385.2001(a)(1)(iii) and the instructions on the Commission's Web
site (http://www.ferc.gov) under the ``e-Filing'' link.
    Comment Date: 5 p.m. Eastern Time on April 8, 2008.

Kimberly D. Bose,
Secretary.
 [FR Doc. E8-5849 Filed 3-21-08; 8:45 am]

BILLING CODE 6717-01-P


[Federal Register Volume 86, Number 236 (Monday, December 13, 2021)]
[Rules and Regulations]
[Page 70749]
[FR Doc No: 2021-26909]

=======================================================================
-----------------------------------------------------------------------

DEPARTMENT OF HOMELAND SECURITY

Coast Guard

33 CFR Part 165

[Docket No. USCG-2021-0889]

Safety Zones; Alderbrook Resort New Year's Fireworks Display,
Hood Canal, Washington

AGENCY: Coast Guard, DHS.

ACTION: Notice of enforcement of regulation.

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

SUMMARY: The Coast Guard will enforce a safety zone surrounding the
Alderbrook Resort dock involved in a fireworks display in Hood Canal,
WA, from December 31, 2021, through January 1, 2022. This action is
necessary to ensure the safety of the maritime public and vessels
associated with the fireworks display. During the enforcement period,
entry into the safety zone is prohibited, unless authorized by the
Captain of the Port Sector Puget Sound or their Designated
Representative.

DATES: The regulations in 33 CFR 165.1332 will be enforced for the
safety zone identified in the SUPPLEMENTARY INFORMATION section below
from 5 p.m. on December 31, 2021, through 1 a.m. on January 1, 2022.

FOR FURTHER INFORMATION CONTACT: If you have questions about this
notice of enforcement, call or email Mr. Rob Nakama, Sector Puget Sound
Waterways Management Division, U.S. Coast Guard; telephone 206-217-
6051, email [email protected].

SUPPLEMENTARY INFORMATION: The Coast Guard will enforce regulations in
33 CFR 165.1332 for the safety zone established for Annual Fireworks
Displays in Hood Canal set forth in 33 CFR 165.1332, from 5 p.m. on
December 31, 2021, through 1 a.m. on January 1, 2022, at the following
location:

----------------------------------------------------------------------------------------------------------------
                Event name                            Location                 Latitude            Longitude
----------------------------------------------------------------------------------------------------------------
Alderbrook Resort & Spa Fireworks.........  Hood Canal..................   47[deg]21.033' N     123[deg]04.1' W
----------------------------------------------------------------------------------------------------------------

    Under the provisions of 33 CFR 165.1332 entry into, transit
through, mooring, or anchoring within the specific race area is
prohibited unless authorized by the Captain of the Port Sector Columbia
River or their designated representatives. All persons or vessels who
desire to enter the race area while it is enforced must obtain
permission from the on-scene patrol craft on VHF-FM channel 13 or 16.
In addition to this notice of enforcement in the Federal Register, the
Coast Guard plans to provide notification of this enforcement period
via a Broadcast Notice to Mariners and the Local Notice to Mariners.

    Dated: December 7, 2021.
P.M. Hilbert,
Captain, U.S. Coast Guard, Captain of the Port Sector Puget Sound.
[FR Doc. 2021-26909 Filed 12-10-21; 8:45 am]
BILLING CODE 9110-04-P


[Federal Register Volume 79, Number 13 (Tuesday, January 21, 2014)]
[Rules and Regulations]
[Pages 3326-3327]
[FR Doc No: 2014-01052]

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

DEPARTMENT OF TRANSPORTATION

Federal Aviation Administration

14 CFR Part 73

[Docket No. FAA-2013-1021; Airspace Docket No. 13-ASO-23]
RIN 2120-AA66

Amendment of Restricted Areas; Camp Lejeune and Cherry Point, NC

AGENCY: Federal Aviation Administration (FAA), DOT.

ACTION: Final rule; technical amendment.

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

SUMMARY: This action changes the name of the using agency for
Restricted Areas R-5303A, B and C; R-5304A, B and C, Camp Lejeune, NC;
and R-5306D and E, Cherry Point, NC. This is an administrative change
to reflect organizational restructuring within the United States Marine
Corps. It does not affect the boundaries, designated altitudes, time of
designation or activities conducted within the affected restricted
areas.

DATES: Effective date: 0901 UTC, April 3, 2014.

FOR FURTHER INFORMATION CONTACT: Paul Gallant, Airspace Policy and
Regulations Group, Office of Airspace Services, Federal Aviation
Administration, 800 Independence Avenue SW., Washington, DC 20591;
telephone:<PHONE_NUMBER>.

SUPPLEMENTARY INFORMATION:

The Rule

    This action amends Title 14 Code of Federal Regulations (14 CFR)
part 73 by updating the using agency name for Restricted Areas R-5303A,
B and C, Camp Lejeune, NC; R-5304 A, B and C, Camp Lejeune, NC; and R-
5306D and E, Cherry Point, NC. Organizational restructuring within the
U.S. Marine Corps has made this action necessary. This is an
administrative change and does not affect the boundaries, designated
altitudes, or activities conducted within the restricted area,
therefore, notice and public procedures under 5 U.S.C. 553(b) are
unnecessary.
    The FAA has determined that this action only involves an
established body of technical regulations for which frequent and
routine amendments are necessary to keep them operationally current.
Therefore, this regulation: (1) Is not a ``significant regulatory
action'' under Executive Order 12866; (2) is not a ``significant rule''
under DOT Regulatory Policies and Procedures (44 FR 11034; February 26,
1979); and (3) does not warrant preparation of a regulatory evaluation
as the anticipated impact is so minimal. Since this is a routine matter
that only affects air traffic procedures and air navigation, it is
certified that this rule, when promulgated, does not have a significant
economic impact on a substantial number of small entities under the
criteria of the Regulatory Flexibility Act.
    The FAA's authority to issue rules regarding aviation safety is
found in Title 49 of the United States Code. Subtitle I, Section 106
describes the authority of the FAA Administrator. Subtitle VII,
Aviation Programs, describes in more detail the scope of the agency's
authority.
    This rulemaking is promulgated under the authority described in
Subtitle VII, Part A, Subpart I, Section 40103. Under that section, the
FAA is charged with prescribing regulations to assign the use of the
airspace necessary to ensure the safety of aircraft and the efficient
use of airspace. This regulation is within the scope of that authority
as it makes an administrative change to the descriptions of Restricted
Areas R-5303A, B and C; and R-5304A, B and C, Camp Lejeune, NC; and R-
5306D and E, Cherry Point, NC to reflect organizational realignments
within the U.S. Marine Corps.

Environmental Review

    The FAA has determined that this action qualifies for categorical
exclusion under the National Environmental Policy Act in accordance
with FAA Order 1050.1E, Environmental Impacts: Policies and Procedures,
paragraph 311d. This airspace action is an administrative change to the
descriptions of the affected restricted area to update the using agency
name. It does not alter the dimensions, altitudes, or times of
designation of the airspace; therefore, it is not expected to cause any
potentially significant environmental impacts, and no extraordinary
circumstances exist that warrant preparation of an environmental
assessment.

List of Subjects in 14 CFR Part 73

    Airspace, Prohibited areas, Restricted areas.

Adoption of the Amendment

    In consideration of the foregoing, the Federal Aviation
Administration amends 14 CFR part 73, as follows:

PART 73--SPECIAL USE AIRSPACE

0
1. The authority citation for part 73 continues to read as follows:

    Authority:  49 U.S.C. 106(g), 40103, 40113, 40120; E.O. 10854,
24 FR 9565, 3 CFR, 1959-1963 Comp., p. 389.

Sec.  73.53  [Amended]

0
2. Section 73.53 is amended as follows:

1. R-5303A Camp Lejeune, NC [Amended]

    By removing the words ``Using agency. USMC, Commanding Officer,
U.S. Marine Corps Base Camp Lejeune, NC, '' and add in their place
``Using agency. USMC, Commanding General, Marine Corps Installations
East-Marine Corps Base Camp Lejeune, NC''

2. R-5303B Camp Lejeune, NC [Amended]

    By removing the words ``Using agency. USMC, Commanding Officer,
U.S. Marine Corps Base Camp Lejeune, NC, '' and add in their place
``Using agency. USMC, Commanding General, Marine Corps Installations
East-Marine Corps Base Camp Lejeune, NC''

3. R-5303C Camp Lejeune, NC [Amended]

    By removing the words ``Using agency. USMC, Commanding Officer,
U.S. Marine Corps Base Camp Lejeune, NC, '' and add in their place
``Using agency. USMC, Commanding General, Marine Corps Installations
East-Marine Corps Base Camp Lejeune, NC''

4. R-5304A Camp Lejeune, NC [Amended]

    By removing the words ``Using agency. USMC, Commanding Officer,
U.S. Marine Corps Base Camp Lejeune, NC, '' and add in their place
``Using agency. USMC, Commanding General, Marine Corps Installations
East-Marine Corps Base Camp Lejeune, NC''

5. R-5304B Camp Lejeune, NC [Amended]

    By removing the words ``Using agency. USMC, Commanding Officer,
U.S. Marine Corps Base Camp Lejeune, NC, '' and add in their place
``Using agency. USMC, Commanding General, Marine Corps Installations
East-Marine Corps Base Camp Lejeune, NC''

6. R-5306D Cherry Point, NC [Amended]

    By removing the words ``Using agency. USMC, Commanding Officer,
U.S. Marine Corps Base Camp Lejeune, NC, '' and add in their place
``Using agency. USMC, Commanding General,

Marine Corps Installations East-Marine Corps Base Camp Lejeune, NC''

7. R-5306E Cherry Point, NC [Amended]

    By removing the words ``Using agency. USMC, Commanding Officer,
U.S. Marine Corps Base Camp Lejeune, NC, '' and add in their place
``Using agency. USMC, Commanding General, Marine Corps Installations
East-Marine Corps Base Camp Lejeune, NC''

    Issued in Washington, DC on January 14, 2014.
Ellen Crum,
Acting Manager, Airspace Policy and Regulations Group.
[FR Doc. 2014-01052 Filed 1-17-14; 8:45 am]
BILLING CODE 4910-13-P


to, at a maximum:
    (1) Board placement time;
    (2) Relieved location, date, and time;
    (3) Final release location, date, and time;
    (4) Contact information for the employee during the statutory off-
duty period;
    (5) Request for rest in addition to the statutory minimum, if
provided by collective bargaining agreement or local practice;
    (6) The employee may be provided an option to enter basic payroll
information, related only to the duty tour being tied up; and
    (7) Employee certification of the tie-up information provided.
    Railroad means a person providing railroad transportation.
    Railroad transportation means any form of non-highway ground
transportation that runs on rails or electromagnetic guideways,
including commuter or other short-haul rail passenger service in a
metropolitan or suburban area, and high speed ground transportation
systems that connect metropolitan areas, without regard to whether they
use new technologies not associated with traditional railroads. Such
term does not include rapid transit operations within an urban area
that are not connected to the general railroad system of
transportation.
    Regular reporting point means the permanent on-duty location of a
train employee's regular assignment that is established through a job
bulletin assignment (either a job award or a forced assignment) or
through an employee's exercise of seniority to be placed in an
assignment. The assigned regular reporting point is a single fixed
location identified by the railroad, even for extra board and pool crew
employees.
    Release means--
    (1) For a train employee,
    (i) The time within the duty tour that the employee begins an
interim release;
    (ii) The time that an employee completes a covered service
assignment and begins another covered service assignment on a different
train or job, or
    (iii) The time that an employee completes a covered service
assignment to begin another activity that counts as time on duty
(including waiting for deadhead transportation to another duty location
at which the employee will perform covered service, deadheading to
duty, or any other commingled service).
    (2) For a signal employee, the time within a duty tour that the
employee--
    (i) Completes his or her regular assigned hours and begins an off-
duty period of at least one hour but less than a statutory off-duty
period; or
    (ii) Completes his or her return travel from a trouble call or
other unscheduled duty and begins an off-duty period of at least one
hour, but less than a statutory off-duty period.
    (3) For a dispatching service employee, when he or she stops
performing covered service and commingled service within any 24-hour
period and begins an off-duty period of at least one hour.
    Relieved time means--
    (1) The actual time that a train employee stops performing a
covered service assignment or commingled service.
    (2) The actual time that a signal employee:
    (i) Completes his or her assigned duty hours, or stops performing
covered service or commingled service, whichever is later; or
    (ii) Stops performing covered service associated with a trouble
call or other unscheduled duty outside of normally assigned duty hours.
    Reports for duty means that an employee--
    (i) Presents himself or herself at the location established by the
railroad at the time the railroad established for the employee to be
present; and
    (ii) Is ready to perform covered service.
    Report-for-duty time means--
    (1) For a train employee, the actual time that the employee is
required to be present at a reporting point and prepared to start a
covered service assignment.
    (2) For a signal employee, the assigned starting time of an
employee's scheduled shift, or the time that he or she receives a
trouble call or a call for any other unscheduled duty during an off-
duty period.
    (3) For a dispatching service employee, when the employee begins
the turn-over process at or before the beginning of his or her assigned
shift, or begins any other activity at the behest of the railroad
during any 24-hour period in which covered service is performed.
    Reporting point means any location where an employee is required to
begin or restart a duty tour.
    Seniority move means a repositioning at the behest of the employee,
usually a repositioning from a regular assignment or extra board to a
different regularly assigned position or extra board, as the result of
the employee's selection of a bulletin assignment or the employee's
exercise of seniority over a junior employee.
    Signal employee means an individual who is engaged in installing,
repairing, or maintaining signal systems.
    Station, office or tower means the precise location where a
dispatching service employee is expected to perform service for the
railroad as defined in 49 U.S.C. 21105(b) and (c).
    Statutory off-duty period means the period of 8 or 10 consecutive
hours or more time, that is the minimum off-duty period required under
the hours of service laws for a train employee or a signal employee to
begin a new 24-hour period for the purposes of calculating his or her
total time on duty.
    Total off-duty period means the actual amount of time that a train
employee or a signal employee is off duty between duty tours after the
previous final release and before the beginning of the next duty tour.
This time may differ from the expected prior time off that will be
generated by the recordkeeping system, if the employee performed
service at the behest of the railroad between the duty tours.
    Total time on duty (TTOD) means the total accumulation of time
spent in periods of covered service and commingled service between
qualifying statutory off-duty periods of 8 or 10

hours or more. Mandatory activities that do not constitute covered
service, such as rules classes, when they may not attach to covered
service, are counted as limbo time, rather than commingled service,
which limbo time is not counted toward the calculation of total time on
duty.
    Train employee means an individual engaged in or connected with the
movement of a train, including a hostler.
    Travel time means--
    (1) For a signal employee, the time spent in transportation between
the employee's headquarters and an outlying duty point or between the
employee's residence and an outlying duty point, or, between duty
locations, including both on-track and on-highway vehicular travel.
    (2) For a dispatching service employee, the time spent in travel
between stations, offices, or towers during the employee's time on
duty.

0
5. Section 228.9 is amended by revising the section heading and
paragraph (a) and adding paragraph (b), to read as follows:

Sec.  228.9  Records; general.

    (a) Each manual record maintained under this part shall be--
    (1) Signed by the employee whose time on duty is being recorded or,
in the case of a train and engine crew or a signal employee gang,
signed by the ranking crewmember;
    (2) Retained for two years at locations identified by the carrier;
and
    (3) Available upon request at the identified location for
inspection and copying by the Administrator during regular business
hours.
    (b) Each electronic record maintained under this part shall be--
    (1) Certified by the employee whose time on duty is being recorded
or, in the case of a train and engine crew or a signal employee gang,
certified by the reporting employee who is a member of the train crew
or signal gang whose time is being recorded;
    (2) Electronically stamped with the certifying employee's name and
the date and time of certification;
    (3) Retained for 2 years in a secured file that prevents alteration
after certification;
    (4) Accessible by the Administrator through a computer terminal of
the railroad, using a railroad-provided identification code and a
unique password.
    (5) Reproducible using the printing capability at the location
where records are accessed.

0
6. Section 228.11 is amended by revising paragraph (a) and adding
paragraphs (b), (c), and (d) to read as follows:

Sec.  228.11  Hours of duty records.

    (a) In general. Each railroad, or a contractor or a subcontractor
of a railroad, shall keep a record, either manually or electronically,
concerning the hours of duty of each employee. Each contractor or
subcontractor of a railroad shall also record the name of the railroad
for whom its employee performed covered service during the duty tour
covered by the record. Employees who perform covered service
assignments in a single duty tour that are subject to the recordkeeping
requirements of more than one paragraph of this section, must complete
the record applicable to the covered service position for which they
were called, and record other covered service as an activity
constituting other service at the behest of the railroad.
    (b) For train employees. Except as provided by paragraph (c) of
this section, each hours of duty record for a train employee shall
include the following information about the employee:
    (1) Identification of the employee (initials and last name; or if
last name is not the employee's surname, provide the employee's
initials and surname).
    (2) Each covered service position in a duty tour.
    (3) Amount of time off duty before beginning a new covered service
assignment or resuming a duty tour.
    (4) Train ID for each assignment required to be reported by this
part, except for the following employees, who may instead report the
unique job or train ID identifying their assignment:
    (i) Utility employees assigned to perform covered service, who are
identified as such by a unique job or train ID;
    (ii) Employees assigned to yard jobs, except that employees
assigned to perform yard jobs on all or parts of consecutive shifts
must at least report the yard assignment for each shift;
    (iii) Assignments, either regular or extra, that are specifically
established to shuttle trains into and out of a terminal during a
single duty tour that are identified by a unique job or train symbol as
such an assignment.
    (5) Location, date, and beginning time of the first assignment in a
duty tour, and, if the duty tour exceeds 12 hours and includes a
qualifying period of interim release as provided by 49 U.S.C. 21103(b),
the location, date, and beginning time of the assignment immediately
following the interim release.
    (6) Location, date, and time relieved for the last assignment in a
duty tour, and, if the duty tour exceeds 12 hours and includes a
qualifying period of interim release as provided by 49 U.S.C. 21103(b),
the location, date, and time relieved for the assignment immediately
preceding the interim release.
    (7) Location, date, and time released from the last assignment in a
duty tour, and, if the duty tour exceeds 12 hours and includes a
qualifying period of interim release as provided by 49 U.S.C. 21103(b),
the location, date, and time released from the assignment immediately
preceding the interim release.
    (8) Beginning and ending location, date, and time for periods spent
in transportation, other than personal commuting, if any, to the first
assignment in a duty tour, from an assignment to the location of a
period of interim release, from a period of interim release to the next
assignment, or from the last assignment in a duty tour to the point of
final release, including the mode of transportation (train, track car,
railroad-provided motor vehicle, personal automobile, etc.).
    (9) Beginning and ending location, date, and time of any other
service performed at the behest of the railroad.
    (10) Identification (code) of service type for any other service
performed at the behest of the railroad.
    (11) Total time on duty for the duty tour.
    (12) Reason for any service that exceeds 12 hours total time on
duty for the duty tour.
    (13) The total amount of time by which the sum of total time on
duty and time spent awaiting or in deadhead transportation to the point
of final release exceeds 12 hours.
    (14) The cumulative total for the calendar month of--
    (i) Time spent in covered service;
    (ii) Time spent awaiting or in deadhead transportation from a duty
assignment to the place of final release; and
    (iii) Time spent in any other service at the behest of the
railroad.
    (15) The cumulative total for the calendar month of time spent
awaiting or in deadhead transportation from a duty assignment to the
place of final release following a period of 12 consecutive hours on
duty.
    (16) Number of consecutive days in which a period of time on duty
was initiated.
    (c) Exceptions to requirements for train employees. Paragraphs
(b)(13) through (b)(16) of this section do not apply to the hours of
duty records of train employees providing commuter

rail passenger transportation or intercity rail passenger
transportation.
    (d) For dispatching service employees. Each hours of duty record
for a dispatching service employee shall include the following
information about the employee:
    (1) Identification of the employee (initials and last name; or if
last name is not the employee's surname, provide the employee's
initials and surname).
    (2) Each covered service position in a duty tour.
    (3) Amount of time off duty before going on duty or returning to
duty in a duty tour.
    (4) Location, date, and beginning time of each assignment in a duty
tour.
    (5) Location, date, and time released from each assignment in a
duty tour.
    (6) Beginning and ending location, date, and time of any other
service performed at the behest of the railroad.
    (7) Total time on duty for the duty tour.
    (e) For signal employees. Each hours of duty record for a signal
employee shall include the following information about the employee:
    (1) Identification of the employee (initials and last name; or if
last name is not the employee's surname, provide the employee's
initials and surname).
    (2) Each covered service position in a duty tour.
    (3) Headquarters location for the employee.
    (4) Amount of time off duty before going on duty or resuming a duty
tour.
    (5) Location, date, and beginning time of each covered service
assignment in a duty tour.
    (6) Location, date, and time relieved for each covered service
assignment in a duty tour.
    (7) Location, date, and time released from each covered service
assignment in a duty tour.
    (8) Beginning and ending location, date, and time for periods spent
in transportation, other than personal commuting, to or from a duty
assignment, and mode of transportation (train, track car, railroad-
provided motor vehicle, personal automobile, etc.).
    (9) Beginning and ending location, date, and time of any other
service performed at the behest of the railroad.
    (10) Total time on duty for the duty tour.
    (11) Reason for any service that exceeds 12 hours total time on
duty for the duty tour.

0
7. Add Sec.  228.13 to read as follows:

Sec.  228.13  Preemptive effect.

    Under 49 U.S.C. 20106, issuance of the regulations in this part
preempts any State law, regulation, or order covering the same subject
matter, except for a provision necessary to eliminate or reduce an
essentially local safety hazard if that provision is not incompatible
with a law, regulation, or order of the United States government and
does not unreasonably burden interstate commerce. Nothing in this
paragraph shall be construed to preempt an action under State law
seeking damages for personal injury, death, or property damage alleging
that a party has failed to comply with the Federal standard of care
established by this part, has failed to comply with its own plan, rule,
or standard that it created pursuant to this part, or has failed to
comply with a State law, regulation, or order that is not incompatible
with the first sentence of this paragraph.

0
8. Section 228.19 is revised to read as follows:

Sec.  228.19  Monthly reports of excess service.

    (a) In general. Except as provided in paragraph (h) of this
section, each railroad, or a contractor or a subcontractor of a
railroad, shall report to the Associate Administrator for Railroad
Safety/Chief Safety Officer, Federal Railroad Administration,
Washington, DC 20590, each instance of excess service listed in
paragraphs (b) through (e) of this section, in the manner provided by
paragraph (f) of this section, within 30 days after the calendar month
in which the instance occurs.
    (b) For train employees. Except as provided in paragraph (c) of
this section, the following instances of excess service by train
employees must be reported to FRA as required by this section:
    (1) A train employee is on duty for more than 12 consecutive hours.
    (2) A train employee continues on duty without at least 10
consecutive hours off duty during the preceding 24 hours. Instances
involving duty tours that are broken by less than 10 consecutive hours
off duty which duty tours constitute more than a total of 12 hours time
on duty must be reported.\1\
    (3) A train employee returns to duty without at least 10
consecutive hours off duty during the preceding 24 hours. Instances
involving duty tours that are broken by less than 10 consecutive hours
off duty which duty tours constitute more than a total of 12 hours time
on duty must be reported.\1\
---------------------------------------------------------------------------

    \1\ Instances involving duty tours that are broken by four or
more consecutive hours of off duty time at a designated terminal
which duty tours do not constitute more than a total of 12 hours
time on duty are not required to be reported, provided such duty
tours are immediately preceded by 10 or more consecutive hours of
off-duty time.
---------------------------------------------------------------------------

    (4) A train employee returns to duty without additional time off
duty, equal to the total amount of time by which the employee's sum of
total time on duty and time spent awaiting or in deadhead
transportation to the point of final release exceeds 12 hours.
    (5) A train employee exceeds a cumulative total of 276 hours in the
following activities in a calendar month:
    (i) Time spent in covered service;
    (ii) Time spent awaiting or in deadhead transportation from a duty
assignment to the place of final release; and
    (iii) Time spent in any other service at the behest of the
railroad.
    (6) A train employee initiates an on-duty period on more than 6
consecutive days, when the on-duty period on the sixth consecutive day
ended at the employee's home terminal, and the seventh consecutive day
is not allowed pursuant to a collective bargaining agreement or pilot
project.
    (7) A train employee returns to duty after initiating an on-duty
period on 6 consecutive days, without 48 consecutive hours off duty at
the employee's home terminal.
    (8) A train employee initiates an on-duty period on more than 7
consecutive days.
    (9) A train employee returns to duty after initiating an on-duty
period on 7 consecutive days, without 72 consecutive hours off duty at
the employee's home terminal.
    (10) A train employee exceeds the following limitations on time
spent awaiting or in deadhead transportation from a duty assignment to
the place of final release following a period of 12 consecutive hours
on duty:
    (i) 40 hours in any calendar month completed prior to October 1,
2009;
    (ii) 20 hours in the transition period from October 1, 2009-October
15, 2009;
    (iii) 15 hours in the transition period from October 16, 2009-
October 31, 2009; and
    (iv) 30 hours in any calendar month completed after October 31,
2009.
    (c) Exception to requirements for train employees. For train
employees who provide commuter rail passenger transportation or
intercity rail passenger transportation during a duty tour, the
following instances of excess service must be reported to FRA as
required by this section:
    (1) A train employee is on duty for more than 12 consecutive hours.
    (2) A train employee returns to duty after 12 consecutive hours of
service without at least 10 consecutive hours off duty.

    (3) A train employee continues on duty without at least 8
consecutive hours off duty during the preceding 24 hours. Instances
involving duty tours that are broken by less than 8 consecutive hours
off duty which duty tours constitute more than a total of 12 hours time
on duty must be reported.\2\
    (4) A train employee returns to duty without at least 8 consecutive
hours off duty during the preceding 24 hours. Instances involving duty
tours that are broken by less than 8 consecutive hours off duty which
duty tours constitute more than a total of 12 hours time on duty must
be reported.\2\
---------------------------------------------------------------------------

    \2\ Instances involving duty tours that are broken by four or
more consecutive hours of off-duty time at a designated terminal
which duty tours do not constitute more than a total of 12 hours
time on duty are not required to be reported, provided such duty
tours are immediately preceded by 8 or more consecutive hours of
off-duty time.
---------------------------------------------------------------------------

    (d) For dispatching service employees. The following instances of
excess service by dispatching service employees must be reported to FRA
as required by this section:
    (1) A dispatching service employee is on duty for more than 9 hours
in any 24-hour period at an office where two or more shifts are
employed.
    (2) A dispatching service employee is on duty for more than 12
hours in any 24-hour period at any office where one shift is employed.
    (e) For signal employees. The following instances of excess service
by signal employees must be reported to FRA as required by this
section:
    (1) A signal employee is on duty for more than 12 consecutive
hours.
    (2) A signal employee continues on duty without at least 10
consecutive hours off duty during the preceding 24 hours.
    (3) A signal employee returns to duty without at least 10
consecutive hours off duty during the preceding 24 hours.
    (f) Except as provided in paragraph (h) of this section, reports
required by paragraphs (b) through (e) of this section shall be filed
in writing on FRA Form F-6180-3 \3\ with the Office of Railroad Safety,
Federal Railroad Administration, Washington, DC 20590. A separate form
shall be used for each instance reported.
---------------------------------------------------------------------------

    \3\ Form may be obtained from the Office of Railroad Safety,
Federal Railroad Administration, Washington, DC 20590. Reproduction
is authorized.
---------------------------------------------------------------------------

    (g) Use of electronic signature. For the purpose of complying with
paragraph (f) of this section, the signature required on Form FRA F-
6180-3 may be provided to FRA by means of an electronic signature
provided that:
    (1) The record contains the printed name of the signer and the date
and actual time that the signature was executed, and the meaning (such
as authorship, review, or approval), associated with the signature;
    (2) Each electronic signature shall be unique to one individual and
shall not be used by, or assigned to, anyone else;
    (3) Before a railroad, or a contractor or subcontractor to a
railroad, establishes, assigns, certifies, or otherwise sanctions an
individual's electronic signature, or any element of such electronic
signature, the organization shall verify the identity of the
individual;
    (4) Persons using electronic signatures shall, prior to or at the
time of such use, certify to the agency that the electronic signatures
in their system, used on or after the effective date of this
regulation, are the legally binding equivalent of traditional
handwritten signatures;
    (5) The certification shall be submitted, in paper form and signed
with a traditional handwritten signature, to the Associate
Administrator for Railroad Safety/Chief Safety Officer; and
    (6) Persons using electronic signatures shall, upon agency request,
provide additional certification or testimony that a specific
electronic signature is the legally binding equivalent of the signer's
handwritten signature.
    (h) Exception. A railroad, or a contractor or subcontractor to a
railroad, is excused from the requirements of paragraphs (a) and (f) of
this section as to any employees for which--
    (1) The railroad, or a contractor or subcontractor to a railroad,
maintains hours of service records using an electronic recordkeeping
system that complies with the requirements of subpart D of this part;
and
    (2) The electronic recordkeeping system referred to in paragraph
(h)(1) of this section requires--
    (i) The employee to enter an explanation for any excess service
certified by the employee; and
    (ii) The railroad, or a contractor or subcontractor of a railroad,
to analyze each instance of excess service certified by one of its
employees, make a determination as to whether each instance of excess
service would be reportable under the provisions of paragraphs (b)
through (e) of this section, and allows the railroad, or a contractor
or subcontractor to a railroad, to append its analysis to its
employee's electronic record; and
    (iii) Allows FRA inspectors and State inspectors participating
under 49 CFR Part 212 access to employee reports of excess service and
any explanations provided.

0
9. Section 228.23 is revised to read as follows:

Sec.  228.23  Criminal penalty.

    Any person who knowingly and willfully falsifies a report or record
required to be kept under this part or otherwise knowingly and
willfully violates any requirement of this part may be liable for
criminal penalties of a fine up to $5,000, imprisonment for up to two
years, or both, in accordance with 49 U.S.C. 21311(a).
0
10. Add subpart D to read as follows:
Subpart D--Electronic Recordkeeping
Sec.
228.201 Electronic recordkeeping; general.
228.203 Program components.
228.205 Access to electronic records.
228.207 Training.

Subpart D--Electronic Recordkeeping

Sec.  228.201  Electronic recordkeeping; general.

    For purposes of compliance with the recordkeeping requirements of
subpart B, a railroad, or a contractor or a subcontractor to a railroad
may create and maintain any of the records required by subpart B
through electronic transmission, storage, and retrieval provided that
all of the following conditions are met:
    (1) The system used to generate the electronic record meets all
requirements of this subpart;
    (2) The electronically generated record contains the information
required by Sec.  228.11;
    (3) The railroad, or contractor or subcontractor to the railroad,
monitors its electronic database of employee hours of duty records
through sufficient number of monitoring indicators to ensure a high
degree of accuracy of these records; and
    (4) The railroad, or contractor or subcontractor to the railroad,
trains its employees on the proper use of the electronic recordkeeping
system to enter the information necessary to create their hours of
service record, as required by Sec.  228.207.
    (5) The railroad, or contractor or subcontractor to the railroad,
maintains an information technology security program adequate to ensure
the integrity of the system, including the prevention of unauthorized
access to the program logic or individual records.
    (6) FRA's Associate Administrator for Railroad Safety/Chief Safety
Officer may prohibit or revoke the authority to use an electronic
system if FRA finds the system is not properly secure, is inaccessible
to FRA, or fails to record and store the information adequately and
accurately. FRA will record such a determination in writing, including
the basis for such action, and will provide a copy of its determination
to the

affected railroad, or contractor or subcontractor to a railroad.

Sec.  228.203  Program components.

    (a) System security. The integrity of the program and database must
be protected by a security system that utilizes an employee
identification number and password, or a comparable method, to
establish appropriate levels of program access meeting all of the
following standards:
    (1) Data input is restricted to the employee or train crew or
signal gang whose time is being recorded, with the following
exceptions:
    (i) A railroad, or a contractor or subcontractor to a railroad, may
allow its recordkeeping system to pre-populate fields of the hours of
service record provided that--
    (A) The recordkeeping system pre-populates fields of the hours of
service record with information known to the railroad, or contractor or
subcontractor to the railroad, to be factually accurate for a specific
employee.
    (B) The recordkeeping system may also provide the ability for
employees to copy data from one field of a record into another field,
where applicable.
    (C) Estimated, historical, or arbitrary data are not used to pre-
populate any field of an hours of service record.
    (D) A railroad, or a contractor or a subcontractor to a railroad,
is not in violation of this paragraph if it makes a good faith judgment
as to the factual accuracy of the data for a specific employee but
nevertheless errs in pre-populating a data field.
    (E) The employee may make any necessary changes to the data by
typing into the field, without having to access another screen or
obtain clearance from the railroad, or a contractor or subcontractor to
a railroad.
    (ii) A railroad, or a contractor or a subcontractor to a railroad,
shall allow employees to complete a verbal quick tie-up, or to transmit
by facsimile or other electronic means the information necessary for a
quick tie-up, if--
    (A) The employee is released from duty at a location at which there
is no terminal available;
    (B) Computer systems are unavailable as a result of technical
issues; or
    (C) Access to computer terminals is delayed and the employee has
exceeded his or her maximum allowed time on duty.
    (2) No two individuals have the same electronic identity.
    (3) A record cannot be deleted or altered by any individual after
the record is certified by the employee who created the record.
    (4) Any amendment to a record is either--
    (i) Electronically stored apart from the record that it amends, or
    (ii) Electronically attached to the record as information without
changing the original record.
    (5) Each amendment to a record uniquely identifies the individual
making the amendment.
    (6) The electronic system provides for the maintenance of
inspection records as originally submitted without corruption or loss
of data.
    (7) Supervisors and crew management officials can access, but
cannot delete or alter the records of any employee after the report-
for-duty time of the employee or after the record has been certified by
the reporting employee.
    (b) Identification of the individual entering data. The program
must be capable of identifying each individual who entered data for a
given record. If a given record contains data entered by more than one
individual, the program must be capable of identifying each individual
who entered specific information within the record.
    (c) Capabilities of program logic. The program logic must have the
ability to--
    (1) Calculate the total time on duty for each employee, using data
entered by the employee and treating each identified period as defined
in Sec.  228.5;
    (2) Identify input errors through the use of program edits;
    (3) Require records, including outstanding records, the completion
of which was delayed, to be completed in chronological order;
    (4) Require reconciliation when the known (system-generated) prior
time off differs from the prior time off reported by an employee;
    (5) Require explanation if the total time on duty reflected in the
certified record exceeds the statutory maximum for the employee;
    (6) Require the use of a quick tie-up process when the employee has
exceeded or is within three minutes of his or her statutory maximum
time on duty;
    (7) Require that the employee's certified final release be not more
than three minutes in the future, and that the employee may not certify
a final release time for a current duty tour that is in the past,
compared to the clock time of the computer system at the time that the
record is certified, allowing for changes in time zones;
    (8) Require automatic modification to prevent miscalculation of an
employee's total time on duty for a duty tour that spans changes from
and to daylight savings time;
    (9) For train employees, require completion of a full record at the
end of a duty tour when the employee initiates a tie-up with less than
the statutory maximum time on duty and a quick tie-up is not mandated;
    (10) For train employees, disallow use of a quick tie-up when the
employee has time remaining to complete a full record, except as
provided in paragraph (a)(1)(ii) of this section.
    (11) Disallow any manipulation of the tie-up process that precludes
compliance with any of the requirements specified by paragraphs (c)(1)
through (c)(10) of this section.
    (d) Search capabilities. The program must contain sufficient search
criteria to allow any record to be retrieved through a search of any
one or more of the following data fields, by specific date or by a date
range not exceeding 30 days for the data fields specified by paragraphs
(d)(1) and (d)(2) of this section, and not exceeding one day for the
data fields specified by paragraphs (d)(3) through (d)(7) of this
section:
    (1) Employee, by name or identification number;
    (2) Train or job symbol;
    (3) Origin location, either yard or station;
    (4) Released location, either yard or station;
    (5) Operating territory (i.e., division or service unit,
subdivision, or railroad-identified line segment);
    (6) Certified records containing one or more instances of excess
service; and
    (7) Certified records containing duty tours in excess of 12 hours.
    (e) The program must display individually each train or job
assignment within a duty tour that is required to be reported by this
part.

Sec.  228.205  Access to electronic records.

    (a) FRA inspectors and State inspectors participating under 49 CFR
Part 212 must have access to hours of service records created and
maintained electronically that is obtained as required by Sec.
228.9(b)(4).
    (b) Railroads must establish and comply with procedures for
providing an FRA inspector or participating State inspector with an
identification number and temporary password for access to the system
upon request, which access will be valid for a period not to exceed
seven days. Access to the system must be provided as soon as possible
and no later than 24 hours after a request for access.
    (c) The inspection screen provided to FRA inspectors and
participating State inspectors for searching employee hours of duty
records must be formatted so that--
    (1) Each data field entered by an employee on the input screen is
visible to the FRA inspector or participating State inspector; and

    (2) The data fields are searchable as described in Sec.  228.203(d)
and yield access to all records matching criteria specified in a
search.
    (3) Records are displayed in a manner that is both crew-based and
duty tour oriented, so that the data pertaining to all employees who
worked together as part of a crew or signal gang will be displayed
together, and the record will include all of the assignments and
activities of a given duty tour that are required to be recorded by
this part.

Sec.  228.207  Training.

    (a) In general. A railroad, or a contractor or subcontractor to a
railroad, shall provide its train employees, signal employees, and
dispatching service employees and its supervisors of these employees
with initial training and refresher training as provided in this
section.
    (b) Initial training. (1) Initial training shall include the
following:
    (i) Instructional components presented in a classroom setting or by
electronic means; and
    (ii) Experiential (``hands-on'') components; and
    (iii) Training on--
    (A) The aspects of the hours of service laws relevant to the
employee's position that are necessary to understanding the proper
completion of the hours of service record required by this part, and
    (B) The entry of hours of service data, into the electronic system
or on the appropriate paper records used by the railroad or contractor
or subcontractor to a railroad for whom the employee performs covered
service; and
    (iv) Testing to ensure that the objectives of training are met.
    (2) Initial training shall be provided--
    (i) To each current employee and supervisor of an employee as soon
after May 27, 2009 as practicable; and
    (ii) To new employees and supervisors prior to the time that they
will be required to complete an hours of service record or supervise an
employee required to complete an hours of service record.
    (c) Refresher training. (1) The content and level of formality of
refresher training should be tailored to the needs of the location and
employees involved, except that the training shall--
    (i) Emphasize any relevant changes to the hours of service laws,
the reporting requirements in this part, or the carrier's electronic or
other recordkeeping system since the employee last received training;
and
    (ii) Cover any areas in which supervisors or other railroad
managers are finding recurrent errors in the employees' records through
the monitoring indicators.
    (2) Refresher training shall be provided to each employee any time
that recurrent errors in records prepared by the employee, discovered
through the monitoring indicators, suggest, for example, the employee's
lack of understanding of how to complete hours of service records.

    Issued in Washington, DC, on May 19, 2009.
Karen J. Rae,
Deputy Administrator.
[FR Doc. E9-12059 Filed 5-21-09; 4:15 pm]

BILLING CODE 4910-06-P