EPA's PUBLIC INVOLVEMENT POLICY ( Final May 2003)

Introduction EPA's mission is to protect human health and the environment. To achieve that mission, EPA needs to continue to integrate, in a meaningful way, the knowledge and opinions of others into its decision making processes. Effective public involvement can both improve the content of the Agency's decisions and enhance the deliberative process. Public involvement also promotes democracy and civic engagement, and builds public trust in government.

EPA has long been committed to public involvement. The fundamental premise of this Policy is that EPA should continue to provide for meaningful public involvement in all its programs, and consistently look for new ways to enhance public input. EPA staff and managers should seek input reflecting all points of view and should carefully consider this input when making decisions. They also should work to ensure that decision making processes are open and accessible to all interested groups, including those with limited financial and technical resources, English proficiency, and/ or past experience participating in environmental decision making. Such openness to the public increases EPA's credibility, improves the Agency's decision making processes, and informs its final decisions. At the same time, EPA should not accept any recommendation or proposal without careful, critical examination.

This Policy supplements, but does not amend, existing EPA regulations that prescribe specific public participation requirements applicable to EPA's activities under specific statutes, such as those found at 40 CFR Part 25 " Public Participation in Programs Under the Resource Conservation and Recovery Act, the Safe Drinking Water Act, and the Clean Water Act." ( See 40 CFR Part 25, which can be found at http:// www. epa. gov/ publicinvolvement/ pdf/ part25. pdf.) The public participation requirements contained in such regulations specify the minimum required level of public participation. ( A partial listing of existing public participation regulatory requirements is contained in Appendix 3.) Whenever feasible, Agency officials should strive to provide increased opportunities for public involvement above and beyond the minimum regulatory requirements.

What is Public Involvement?

The term " public involvement" is used in this Policy to encompass the full range of actions and processes that EPA uses to engage the public in the Agency's work, and means that the Agency considers public concerns, values, and preferences when making decisions. The term " the public" is used in the Policy in the broadest sense to include anyone, including both individuals and organizations, who may have an interest in an Agency decision. ( See Appendix 2 for a detailed definition of " public" and other important terms.)

What Are the Purposes, Goals and Objectives of This Policy?

The purposes of this Policy are to: ° Improve the acceptability, efficiency, feasibility and durability of the Agency's decisions ° Reaffirm EPA's commitment to early and meaningful public involvement ° Ensure that EPA makes its decisions considering the interests and concerns of affected people and entities ° Promote the use of a wide variety of techniques to create early and, when appropriate, continuing opportunities for public involvement in Agency decisions ° Establish clear and effective guidance for conducting public involvement activities Effective public involvement will make it easier for the public to contribute to the Agency's decisions, build public trust, and make it more likely that those who are most concerned with and affected by Agency decisions will accept and implement them. This policy supports EPA in meeting statutory and regulatory requirements regarding public participation, particularly in environmental permitting programs and enforcement activities.

EPA goals for public involvement processes are to: ° Foster a spirit of mutual trust, confidence, and openness between the Agency and the public ° Ensure that the public has timely, accessible and accurate information about EPA programs in a variety of formats so that people can better understand the implications of potential alternative courses of action ° Consult with interested or affected segments of the public and take public viewpoints into consideration when making decisions ° Learn from individuals and organizations representing various public sectors and the information they are uniquely able to provide ( community values, concerns, practices, local norms, and relevant history, such as locations of past contaminant sources, potential impacts on small businesses or other sectors, industry conducted study results, etc.) ° Solicit assistance from the public in understanding potential consequences of technical issues, identifying alternatives for study, and selecting among the alternatives considered ° Keep the public informed about significant issues and changes in proposed programs or projects ° Foster, to the extent possible, equal and open access to the regulatory process for all interested and affected parties ° Understand the goals and concerns of the public, and respond to them ° Anticipate conflict and encourage early discussions of differences among affected parties ° Promote the public's involvement in the Agency's mission of protecting human health and the environment ° Explain to the public how its input affected the Agency's decision To achieve these purposes and goals, while recognizing resource constraints, Agency officials should strive to provide for, encourage, and assist public involvement in the following ways: ° Involve the public early the public early and often throughout the decision making process ° Identify, communicate with and listen to affected sectors of the public ( Agency officials should plan and conduct public involvement activities that provide equal opportunity for individuals and groups to be heard. Where appropriate, Agency officials should give extra encouragement and consider providing assistance to sectors, such as minority and low income populations, small businesses, and local governments, to ensure they have full opportunity to be heard and, where possible, access to technical or financial resources to support their participation.) ° Involve members of the public in developing options and alternatives when possible and, before making decisions, seek the public's opinion on options or alternatives ° Use public input to develop options that facilitate resolution of differing points of view ° Make every effort to tailor public involvement programs to the complexity and potential for controversy of the issue, the segments of the public affected, the time frame for decision making and the desired outcome ° Develop and work in partnerships with state, local and tribal governments, community groups, associations, and other organizations to enhance and promote public involvement When Does This Policy Apply?

This Policy applies to all EPA programs and activities. In programs or activities where the public is already meaningfully involved, EPA can use this Policy to enhance that public involvement. Where the existing level of public involvement needs to improve, this Policy provides suggestions for how to move forward. Finally, this Policy can serve as a model for building public involvement into new programs as they are developed.

The activities where conducting meaningful public involvement should particularly be considered include: ° EPA rulemaking, when the regulations are expected to be classified as Significant Actions ( under the terms of Executive Order 12866) ° EPA issuance or significant modification of permits, licenses or renewals ° Selection of plans for cleanup, remediation or restoration of hazardous waste sites or Brownfields properties ° EPA's decision on whether to authorize, delegate or approve states or local governments to administer EPA programs consistent with the relevant regulatory requirements for each program ( Note: Tribes seeking approval to administer environmental programs under EPA statutes generally also seek " treatment in a similar manner as a state ( TAS)" status from EPA. Appropriate opportunities for public participation are contained in the relevant statutory and regulatory provisions establishing a TAS process. Consult with the Office of Regional Counsel or the Office of General Counsel, and/ or the American Indian Environmental Office for assistance.) ° All other policy decisions that the Administrator, Deputy Administrator or appropriate Assistant, Regional or Associate Administrator determine warrant public participation in view of EPA's commitment to involve the public in important decisions ° The development of significant information products ( as the Office of Environmental Information has defined them in Appendix 2: Definitions) ° For activities not listed here, EPA staff may use this Policy in whole or in part to strengthen decision making In planning and conducting public involvement activities, Agency officials should rely on the sound use of discretion. The Policy is not a rule, is not legally enforceable, and does not confer legal rights or impose legal obligations upon any member of the public, EPA or any other agency. Resource constraints, the need for timely action and other considerations may affect the appropriate nature and extent of public involvement. For example, a compelling need for immediate action may make it appropriate to limit public involvement. In particular, the desire to reach agreement among all parties, while valuable, should not prevent the Agency from carrying out its responsibility to make decisions or take actions to preserve and protect the environment and public health.

Nevertheless, the Agency should approach all decision making with a bias in favor of significant and meaningful public involvement. Experience throughout government has shown that a lack of adequate participation or of effective means for participation can result in decisions that do not appropriately consider the interests or needs of those that will be most affected by them. Furthermore, early involvement can ultimately reduce delay, by avoiding time consuming review, public debate or litigation. Finally, decisions based on meaningful public involvement are likely to be better in substance and stand the test of time, avoiding the need to reopen controversial issues.

Does This Policy Affect Authorized, Approved or Delegated Programs?

EPA developed this Policy for EPA staff use, but it also may be useful to States, Tribes and local governments that implement federally delegated, authorized or approved programs. EPA encourages these entities to adopt similar public involvement policies if they have not already done so. EPA intends to discuss the effectiveness of their public involvement activities during periodic meetings with States, Tribes and local governments, and will obtain their input about ways to improve EPA's activities. EPA will not use whether a State, Tribe or local government has adopted EPA's Public Involvement Policy as a criterion for the authorization, approval or delegation of programs or the award of grants. In general, recipients may use grants for continuing environmental programs and Performance Partnership Grants to fund public involvement activities to the extent that costs are allowable under OMB Circular A 87 and applicable EPA regulations. ( Note: Some statutory or regulatory provisions require compliance with certain public participation requirements before EPA may approve a grant. See 40 CFR 25.11 and 25.12.) The grant applicant may comply with such requirements without adopting EPA's Policy.

What are the Roles of States, Tribes and Local Governments?

State agencies, Tribes and some local governments have unique roles regarding EPA's programs and decisions: 1. State agencies, Tribes and some local governments may be co regulators with EPA. In some cases, they implement authorized, approved or delegated Federal programs. In other cases, they run independent, but closely related programs. In both cases they work closely with EPA as regulatory partners, and EPA will consult them as appropriate when implementing this Policy. In addition, they may have expertise that can be valuable to EPA in designing public involvement activities. 2. State agencies, Tribes and local governments also may be regulated parties when they undertake activities that are subject to Federal laws and regulations. As regulated parties, they are also members of the community of regulated stakeholders, and would benefit from the application of the Policy like other regulated parties. 3. Whether they are partners helping EPA implement a program or members of the regulated community affected by EPA regulations, state agencies, Tribes, and regional and local governments often play an active role in making recommendations on policies, rules, plans and recommendations under development, and providing input on EPA's decisions.

The role of Tribes is unique in another way. Each federally recognized Tribal government is a sovereign entity that has an individual government to government relationship with the federal government. EPA should coordinate and consult meaningfully with Tribes to the greatest extent practicable for agency actions that may affect the tribes. This Policy complements EPA's efforts to consult with Tribes. See Executive Order 13175, Consultation and Coordination With Indian Tribal Governments November 6, 2000.

Consultation should be a meaningful and timely two way exchange with Tribal officials that provides for the open sharing of information, the full expression of Tribal and EPA views, a commitment to consider Tribal views in decision making, and respect of Tribal self government and sovereignty. The Agency should allow comment from Tribes early in the planning process and prior to making a decision. However, consultation does not imply that the Tribes or any other non EPA entities that are consulted can stop an Agency action by withholding consent.

How Does the Policy Relate to Environmental Justice?

This Policy complements and is consistent with EPA's environmental justice efforts. " Environmental Justice" is the fair treatment of people of all races, cultures, and incomes, including minority and/ or low income communities and Tribes, with respect to the development, implementation, and enforcement of environmental laws and policies, and their meaningful involvement in the decision making processes of the government. Environmental justice is achieved when everyone, regardless of race, culture or income, enjoys the same degree of protection from environmental and health hazards and equal access to the decision making process to have a healthy environment in which to live, learn and work. This includes ensuring greater public participation in the Agency's development and implementation of its regulations and policies. ( Memorandum from EPA Administrator Christine Todd Whitman, dated August 9, 2001, " EPA's Commitment to Environmental Justice.") ( See also, Executive Order 12898, " Federal Actions to Address Environmental Justice in Minority Populations and Low Income Populations, dated February 11, 1994.) Thus, ensuring meaningful public involvement advances the goals of environmental justice.

EPA's Seven Basic Steps for Effective Public Involvement The EPA should ensure that it conducts meaningful public involvement activities and implements all public involvement provisions required by statute.

There are seven basic steps to consider when planning for public involvement. Agency officials should exercise judgment and carefully consider the particular circumstances of each situation in determining how to carry out those steps. Agency staff and managers should strive to provide the most meaningful public involvement opportunities appropriate to each situation. Agency officials should consider the issues, locations, potential environmental and human health consequences of the activities, potential for controversy, specific needs of the public and the Agency, and other circumstances when designing public involvement processes. For instance, enhanced opportunities for public involvement should be created for those situations in which there is the potential for greater environmental or human health consequences or controversy. It is important to note that the Agency needs to set priorities for its use of resources, and that budgetary constraints may affect the implementation of any of these elements.

The seven basic steps for effective public involvement in any decision or activity are: 1. Plan and budget for public involvement activities 2. Identify the interested and affected public 3. Consider providing technical or financial assistance to the public to facilitate involvement 4. Provide information and outreach to the public 5. Conduct public consultation and involvement activities 6. Review and use input and provide feedback to the public 7. Evaluate public involvement activities The recommended goals, actions and methods for each of these steps are described in Appendix 1, Guidance for Implementing Public Involvement at EPA, at http:// www. epa. gov/ publicinvolvement/ policy2003/ guidance. pdf.

Who is Responsible for Managing the Application of this Policy?

Under the overall direction of the Administrator, and consistent with this policy, Assistant, Regional and Associate Administrators are responsible for ensuring that their managers and staff encourage and facilitate public involvement in programs and activities. Public involvement should be an integral part of any Agency program. Moreover, the Agency should strive to achieve public involvement that is commensurate with the potential impact of the activity. The Assistant, Regional or Associate Administrators should make certain that concerns about the adequacy of public involvement are heard and, where necessary, acted upon as resources allow. Managers should encourage and facilitate the proper training, support and counseling of staff, and, recognizing overall budgetary constraints, should plan for and provide adequate funding for training or other needs in their specific budgets. ( See more detailed responsibilities section in Appendix 1 at http:// www. epa. gov/ publicinvolvement/ policy2003/ guidance. pdf.)


[Federal Register Volume 81, Number 233 (Monday, December 5, 2016)]
[Notices]
[Pages 87639-87641]
[FR Doc No: 2016-29041]

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

SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-79420; File No. SR-BX-2016-062]

Self-Regulatory Organizations; NASDAQ BX, Inc.; Notice of Filing
and Immediate Effectiveness of Proposed Rule Change To Amend Chapter
VI, Section 5 To Extend the Penny Pilot Program

November 29, 2016.
    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 November 16, 2016, NASDAQ BX, Inc. (``BX'' or ``Exchange'') filed
with the Securities and Exchange Commission (``SEC'' or ``Commission'')
the proposed rule change as described in Items I, II, and III below,
which Items have been prepared by the Exchange. The Commission is
publishing this notice to solicit comments on the proposed rule change
from interested persons.
---------------------------------------------------------------------------

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

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

    The Exchange proposes to amend Chapter VI, Section 5 (Minimum
Increments),\3\ to extend through June 30, 2017 or the date of
permanent approval, if earlier, the Penny Pilot Program in options
classes in certain issues (``Penny Pilot'' or ``Pilot''), and to change
the date when delisted classes may be replaced in the Penny Pilot.
---------------------------------------------------------------------------

    \3\ References herein to Chapter and Series refer to rules of
the BX Options Market (``BX Options''), unless otherwise noted.
---------------------------------------------------------------------------

    The text of the proposed rule change is set forth below.
    Proposed new language is italicized and deleted text is in
brackets.

NASDAQ BX Rules

Options Rules

* * * * *

Chapter VI Trading Systems

* * * * *

Sec. 5 Minimum Increments

    (a) The Board may establish minimum quoting increments for options
contracts traded on BX Options. Such minimum increments established by
the Board will be designated as a stated policy, practice, or
interpretation with respect to the administration of this Section
within the meaning of Section 19 of the Exchange Act and will be filed
with the SEC as a rule change for effectiveness upon filing. Until such
time as the Board makes a change in the increments, the following
principles shall apply:
    (1)-(2) No Change.
    (3) For a pilot period scheduled to expire on [December 31, 2016]
June 30, 2017 or the date of permanent approval, if earlier, if the
options series is trading pursuant to the Penny Pilot program one (1)
cent if the options series is trading at less than $3.00, five (5)
cents if the options series is trading at $3.00 or higher, unless for
QQQQs, SPY and IWM where the minimum quoting increment will be one cent
for all series regardless of price. A list of such options shall be
communicated to membership via an Options Trader Alert (``OTA'') posted
on the Exchange's Web site.
    The Exchange may replace any pilot issues that have been delisted
with the next most actively traded multiply listed options classes that
are not yet included in the pilot, based on trading activity in the
previous six months. The replacement issues may be added to the pilot
on the second trading day following [July 1, 2016] January 1, 2017.
    (4) No Change.
    (b) No Change.
* * * * *
    The text of the proposed rule change is also available on the
Exchange's Web site at http://nasdaqomxbx.cchwallstreet.com, at the
principal office of the Exchange, and at the Commission's Public
Reference Room.

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

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

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

1. Purpose
    The purpose of this filing is to amend Chapter VI, Section 5, to
extend the Penny Pilot through June 30, 2017 or the date of permanent
approval, if earlier,\4\ and to change the date when delisted classes
may be replaced in the Penny Pilot. The Exchange believes that
extending the Penny Pilot will allow for further analysis of the Penny
Pilot and a determination of how the program should be structured in
the future.
---------------------------------------------------------------------------

    \4\ The options exchanges in the U.S. that have pilot programs
similar to the Penny Pilot (together ``pilot programs'') are
currently working on a proposal for permanent approval of the
respective pilot programs.
---------------------------------------------------------------------------

    Under the Penny Pilot, the minimum price variation for all
participating options classes, except for the Nasdaq-100 Index Tracking
Stock (``QQQQ''), the SPDR S&P 500 Exchange Traded Fund (``SPY'') and
the iShares Russell 2000 Index Fund (``IWM''), is $0.01 for all
quotations in options series that are quoted at less than $3 per
contract and $0.05 for all quotations in options series that are quoted
at $3 per contract or greater. QQQQ, SPY and IWM are quoted in $0.01
increments for all options series. The Penny Pilot is currently
scheduled to expire on December 31, 2016.
    The Exchange proposes to extend the time period of the Penny Pilot
through June 30, 2017 or the date of permanent approval, if earlier,
and to provide a revised date for adding replacement issues to the
Penny Pilot. The Exchange proposes that any Penny Pilot Program issues
that have been delisted may be

replaced on the second trading day following January 1, 2017. The
replacement issues will be selected based on trading activity in the
previous six months.\5\
---------------------------------------------------------------------------

    \5\ The replacement issues will be announced to the Exchange's
membership via an Options Trader Alert (OTA) posted on the
Exchange's Web site. Penny Pilot replacement issues will be selected
based on trading activity in the previous six months, as is the case
today. The replacement issues would be identified based on The
Options Clearing Corporation's trading volume data. For example, for
the January replacement, trading volume from May 30, 2016 through
November 30, 2016 would be analyzed. The month immediately preceding
the replacement issues' addition to the Pilot Program (i.e.,
December) would not be used for purposes of the six-month analysis.
---------------------------------------------------------------------------

    This filing does not propose any substantive changes to the Penny
Pilot Program; all classes currently participating in the Penny Pilot
will remain the same and all minimum increments will remain unchanged.
The Exchange believes the benefits to public customers and other market
participants who will be able to express their true prices to buy and
sell options have been demonstrated to outweigh the potential increase
in quote traffic.
2. Statutory Basis
    The Exchange believes that its proposal is consistent with Section
6(b) of the Act,\6\ in general, and furthers the objectives of Section
6(b)(5) of the Act,\7\ in particular, in that it is designed to prevent
fraudulent and manipulative acts and practices, to promote just and
equitable principles of trade, to foster cooperation and coordination
with persons engaged in facilitating transactions in securities, and 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.
---------------------------------------------------------------------------

    \6\ 15 U.S.C. 78f(b).
    \7\ 15 U.S.C. 78f(b)(5).
---------------------------------------------------------------------------

    In particular, the proposed rule change, which extends the Penny
Pilot for an additional six months through June 30, 2017 or the date of
permanent approval, if earlier, and changes the date for replacing
Penny Pilot issues that were delisted to the second trading day
following January 1, 2017, will enable public customers and other
market participants to express their true prices to buy and sell
options for the benefit of all market participants. This is consistent
with the Act.

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

    The Exchange does not believe that the proposed rule change will
impose any burden on competition not necessary or appropriate in
furtherance of the purposes of the Act. To the contrary, this proposal
is pro-competitive because it allows Penny Pilot issues to continue
trading on the Exchange.
    Moreover, the Exchange believes that the proposed rule change will
allow for further analysis of the Pilot and a determination of how the
Pilot should be structured in the future; and will serve to promote
regulatory clarity and consistency, thereby reducing burdens on the
marketplace and facilitating investor protection.
    The Pilot is an industry-wide initiative supported by all other
option exchanges. The Exchange believes that extending the Pilot will
allow for continued competition between market participants on the
Exchange trading similar products as their counterparts on other
exchanges, while at the same time allowing the Exchange to continue to
compete for order flow with other exchanges in option issues trading as
part of the Pilot.

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

    No written comments were either solicited or received.

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

    Because the foregoing proposed rule change does not: (i)
Significantly affect the protection of investors or the public
interest; (ii) impose any significant burden on competition; and (iii)
become operative for 30 days from the date on which it was filed, or
such shorter time as the Commission may designate, it has become
effective pursuant to Section 19(b)(3)(A)(iii) of the Act \8\ and
subparagraph (f)(6) of Rule 19b-4 thereunder.\9\
---------------------------------------------------------------------------

    \8\ 15 U.S.C. 78s(b)(3)(A)(iii).
    \9\ 17 CFR 240.19b-4(f)(6). In addition, Rule 19b-4(f)(6)
requires a self-regulatory organization to give the Commission
written notice of its intent to file the proposed rule change at
least five business days prior to the date of filing of the proposed
rule change, or such shorter time as designated by the Commission.
The Exchange has satisfied this requirement.
---------------------------------------------------------------------------

    At any time within 60 days of the filing of the proposed rule
change, the Commission summarily may temporarily suspend such rule
change if it appears to the Commission that such action is: (i)
Necessary or appropriate in the public interest; (ii) for the
protection of investors; or (iii) otherwise in furtherance of the
purposes of the Act. If the Commission takes such action, the
Commission shall institute proceedings to determine whether the
proposed rule should be approved or disapproved.

IV. Solicitation of Comments

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

Electronic Comments

     Use the Commission's Internet comment form (http://www.sec.gov/rules/sro.shtml); or
     Send an email to<EMAIL_ADDRESS>Please include
File Number SR-BX-2016-062 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-BX-2016-062. 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 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 Web site viewing and printing in
the Commission's Public Reference Room, 100 F Street, NE., Washington,
DC 20549, on official business days between the hours of 10:00 a.m. and
3:00 p.m. Copies of the filing also will be available for inspection
and copying at the principal office of the Exchange. All comments
received will be posted without change; 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-BX-2016-062 and
should be submitted on or before December 27, 2016.

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\10\
---------------------------------------------------------------------------

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

Robert W. Errett,
Deputy Secretary.
[FR Doc. 2016-29041 Filed 12-2-16; 8:45 am]
 BILLING CODE 8011-01-P


[Federal Register Volume 83, Number 188 (Thursday, September 27, 2018)]
[Rules and Regulations]
[Pages 48706-48708]
[FR Doc No: 2018-20630]

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

DEPARTMENT OF TRANSPORTATION

Federal Aviation Administration

14 CFR Part 39

[Docket No. FAA-2018-0496; Product Identifier 2018-NM-031-AD; Amendment
39-19414; AD 2018-19-14]
RIN 2120-AA64

Airworthiness Directives; Dassault Aviation Airplanes

AGENCY: Federal Aviation Administration (FAA), DOT.

ACTION: Final rule.

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

SUMMARY: We are adopting a new airworthiness directive (AD) for certain
Dassault Aviation Model FALCON 2000 and FALCON 2000EX airplanes. This
AD was prompted by reports of metallic debris found in the wing slat
piccolo tubes; investigation revealed that the debris originated from
the flow guide of the ball joint of the wing anti-ice valve. This AD
requires repetitive inspections for metallic debris and damage of the
flow guide of the ball joint of the wing anti-ice valve, and related
investigative and corrective actions if necessary. We are issuing this
AD to address the unsafe condition on these products.

DATES: This AD is effective November 1, 2018.
    The Director of the Federal Register approved the incorporation by
reference of certain publications listed in this AD as of November 1,
2018.

ADDRESSES: For service information identified in this final rule,
contact Dassault Falcon Jet Corporation, Teterboro Airport, P.O. Box
2000, South Hackensack, NJ 07606; telephone<PHONE_NUMBER>; internet
http://www.dassaultfalcon.com. You may view this service information at
the FAA, Transport Standards Branch, 2200 South 216th St., Des Moines,
WA. For information on the availability of this material at the FAA,
call<PHONE_NUMBER>. It is also available on the internet at http://www.regulations.gov by searching for and locating Docket No. FAA-2018-
0496.

Examining the AD Docket

    You may examine the AD docket on the internet at http://www.regulations.gov by searching for and locating Docket No. FAA-2018-
0496; or in person at Docket Operations between 9 a.m. and 5 p.m.,
Monday through Friday, except Federal holidays. The AD docket contains
this final rule, the regulatory evaluation, any comments received, and
other information. The address for Docket Operations (phone: 800-647-
5527) is U.S. Department of Transportation, Docket Operations, M-30,
West Building Ground Floor, Room W12-140, 1200 New Jersey Avenue SE,
Washington, DC 20590.

FOR FURTHER INFORMATION CONTACT: Tom Rodriguez, Aerospace Engineer,
International Section, Transport Standards Branch, FAA, 2200 South
216th Street, Des Moines, WA 98198; telephone and fax<PHONE_NUMBER>.

SUPPLEMENTARY INFORMATION:

Discussion

    We issued a notice of proposed rulemaking (NPRM) to amend 14 CFR
part 39 by adding an AD that would apply to certain Dassault Aviation
Model FALCON 2000 and FALCON 2000EX airplanes. The NPRM published in
the Federal Register on June 1, 2018 (83 FR 25417). The NPRM was
prompted by reports of metallic debris found in the wing slat piccolo
tubes; investigation revealed that the debris originated from the flow
guide of the ball joint of the wing anti-ice valve. The NPRM proposed
to require repetitive inspections for metallic debris and damage of the
flow guide of the ball joint of the wing anti-ice valve, and related
investigative and corrective actions if necessary.
    We are issuing this AD to address restricted airflow of the piccolo
tubes, leading to insufficient wing anti-ice capability and significant
undetected ice accretion on the wing, which could result in loss of
control of the airplane.
    The European Aviation Safety Agency (EASA), which is the Technical
Agent for the Member States of the European Union, has issued EASA
Airworthiness Directive 2018-0022, dated January 29, 2018 (referred to
after this as the Mandatory Continuing Airworthiness Information, or
``the MCAI''), to correct an unsafe condition for certain Dassault
Aviation Model FALCON 2000 and FALCON 2000EX airplanes. The MCAI
states:

    Occurrences were reported on Falcon 2000 and Falcon 2000EX
aeroplanes, where metallic debris was found in slat piccolo tubes.
The technical investigation revealed that debris originated from the
flow guide of the ball joint located downstream of the wing anti-ice
valve. It was also determined that small debris gathers at the end
of the piccolo tube, but larger pieces of debris may stop before, in
the distribution piping, restricting the airflow and potentially
leading to undetected insufficient wing anti-ice capability.
    This condition, if not detected and corrected, could lead to
undetected significant ice accretion on the wing, possibly resulting
in loss of control of the aeroplane.

    To address this potential unsafe condition, Dassault Aviation
issued Service Bulletin (SB) F2000EX-413 for Falcon 2000EX and SB
F2000-441 for Falcon 2000, providing applicable instructions.
    For the reasons described above, this [EASA] AD requires
repetitive [detailed] inspections [for discrepancies including
cracks and loss of material] of the affected ball joint and,
depending on findings, accomplishment of applicable [related
investigative and] corrective actions * * *.

    You may examine the MCAI in the AD docket on the internet at http://www.regulations.gov by searching for and locating Docket No. FAA-2018-
0496.

Comments

    We gave the public the opportunity to participate in developing
this final rule. We received no comments on the NPRM or on the
determination of the cost to the public.

Conclusion

    We reviewed the relevant data and determined that air safety and
the public interest require adopting this final rule as proposed,
except for minor editorial changes. We have determined that these minor
changes:
     Are consistent with the intent that was proposed in the
NPRM for addressing the unsafe condition; and
     Do not add any additional burden upon the public than was
already proposed in the NPRM.

Related Service Information Under 1 CFR Part 51

    Dassault Aviation has issued Service Bulletins F2000-441, dated
June 20, 2017; and F2000EX-413, dated July 10, 2017. This service
information describes procedures for repetitive inspections for
metallic debris and damage of the flow guide of the ball joint located
downstream of the wing anti-ice valve. This service information also
describes procedures for replacing the ball joint and pipe, and
performing borescope inspections of damaged wing anti-ice pipes and
removal of any debris from the flow guide. These documents are distinct
since they apply to different airplane models. This service information
is reasonably available because the interested parties have access to
it through their normal course of business or by the means identified
in the ADDRESSES section.

Costs of Compliance

    We estimate that this AD affects 348 airplanes of U.S. registry. We
estimate the following costs to comply with this AD:

                                      Estimated Costs for Required Actions
----------------------------------------------------------------------------------------------------------------
                                                                                Cost per       Cost on U.S.
                          Labor cost                              Parts cost        product         operators
----------------------------------------------------------------------------------------------------------------
6 work-hours x $85 per hour = $510...........................              $0             $510         $177,480
----------------------------------------------------------------------------------------------------------------

    We have received no definitive data that enables us to provide cost
estimates for the on-condition actions specified in this AD.

Authority for This Rulemaking

    Title 49 of the United States Code specifies the FAA's authority to
issue rules on aviation safety. Subtitle I, section 106, describes the
authority of the FAA Administrator. Subtitle VII: Aviation Programs,
describes in more detail the scope of the Agency's authority.
    We are issuing this rulemaking under the authority described in
Subtitle VII, Part A, Subpart III, Section 44701: ``General
requirements.'' Under that section, Congress charges the FAA with
promoting safe flight of civil aircraft in air commerce by prescribing
regulations for practices, methods, and procedures the Administrator
finds necessary for safety in air commerce. This regulation is within
the scope of that authority because it addresses an unsafe condition
that is likely to exist or develop on products identified in this
rulemaking action.
    This AD is issued in accordance with authority delegated by the
Executive Director, Aircraft Certification Service, as authorized by
FAA Order 8000.51C. In accordance with that order, issuance of ADs is
normally a function of the Compliance and Airworthiness Division, but
during this transition period, the Executive Director has delegated the
authority to issue ADs applicable to transport category airplanes and
associated appliances to the Director of the System Oversight Division.

Regulatory Findings

    This AD will not have federalism implications under Executive Order
13132. This AD will not have a substantial direct effect on the States,
on the relationship between the national government and the States, or
on the distribution of power and responsibilities among the various
levels of government.
    For the reasons discussed above, I certify that this AD:
    (1) Is not a ``significant regulatory action'' under Executive
Order 12866,
    (2) Is not a ``significant rule'' under the DOT Regulatory Policies
and Procedures (44 FR 11034, February 26, 1979),
    (3) Will not affect intrastate aviation in Alaska, and
    (4) Will not have a significant economic impact, positive or
negative, on a substantial number of small entities under the criteria
of the Regulatory Flexibility Act.

List of Subjects in 14 CFR Part 39

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

Adoption of the Amendment

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

PART 39--AIRWORTHINESS DIRECTIVES

0
1. The authority citation for part 39 continues to read as follows:

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

Sec.  39.13  [Amended]

0
2. The FAA amends Sec.  39.13 by adding the following new airworthiness
directive (AD):

2018-19-14 Dassault Aviation: Amendment 39-19414; Docket No. FAA-
2018-0496; Product Identifier 2018-NM-031-AD.

(a) Effective Date

    This AD is effective November 1, 2018.

(b) Affected ADs

    None.

(c) Applicability

    This AD applies to Dassault Aviation Model FALCON 2000 and
FALCON 2000EX airplanes, certificated in any category, all serial
numbers equipped with any anti-ice pipe having part number (P/N)
F2MA724561A1 or P/N F2MA724561A2, except airplanes on which Dassault
Modification (mod) M5000 or Dassault mod M5001 has been embodied in
production.

(d) Subject

    Air Transport Association (ATA) of America Code 30, Ice and Rain
Protection.

(e) Reason

    This AD was prompted by reports of metallic debris found in the
wing slat piccolo tubes; investigation revealed that the debris
originated from the flow guide of the ball joint located downstream
of the wing anti-ice valve. We are issuing this AD to address
restricted airflow of the piccolo tubes, leading to insufficient
wing anti-ice capability and significant undetected ice accretion on
the wing, which could result in loss of control of the airplane.

(f) Compliance

    Comply with this AD within the compliance times specified,
unless already done.

(g) Repetitive Inspections and Corrective Actions

    Within 25 months after the effective date of this AD: Perform a
detailed inspection for discrepancies of the flow guide of the ball
joint located downstream of the wing anti-ice valve, and do all
applicable related investigative and corrective actions, in
accordance with the Accomplishment Instructions of Dassault Aviation
Service Bulletin F2000-441, dated June 20, 2017; or Dassault
Aviation Service Bulletin F2000EX-413, dated July 10, 2017; as
applicable. Repeat the detailed inspection thereafter at intervals
not to exceed 25 months. Do all applicable corrective actions before
further flight.

(h) No Reporting Requirement

    Although the service information identified in paragraph (g) of
this AD specifies to submit certain information to the manufacturer,
this AD does not include that requirement.

(i) Other FAA AD Provisions

    The following provisions also apply to this AD:
    (1) Alternative Methods of Compliance (AMOCs): The Manager,
International Section, Transport Standards Branch, FAA, has the
authority to approve AMOCs for this AD, if requested using the
procedures found in 14 CFR 39.19. In accordance with 14 CFR 39.19,
send your request to your principal inspector or local Flight
Standards District Office, as appropriate. If sending information
directly to the International Section, send it to the attention of
the person identified in paragraph (j)(2) of this AD. Information
may be emailed to: [email protected]. Before using any
approved AMOC, notify your appropriate principal inspector, or
lacking a principal inspector, the manager of the local flight
standards district office/certificate holding district office.
    (2) Contacting the Manufacturer: For any requirement in this AD
to obtain corrective actions from a manufacturer, the action must be
accomplished using a method approved by the Manager, International
Section, Transport Standards Branch, FAA; or the European Aviation
Safety Agency (EASA); or Dassault Aviation's EASA Design
Organization Approval (DOA). If approved by the DOA, the approval
must include the DOA-authorized signature.

(j) Related Information

    (1) Refer to Mandatory Continuing Airworthiness Information
(MCAI) EASA AD 2018-0022, dated January 29, 2018, for related
information. This MCAI may be found in the AD docket on the internet
at http://www.regulations.gov by searching for and locating Docket
No. FAA-2018-0496.
    (2) For more information about this AD, contact Tom Rodriguez,
Aerospace Engineer, International Section, Transport Standards
Branch, FAA, 2200 South 216th Street, Des Moines, WA 98198;
telephone and fax<PHONE_NUMBER>.

(k) Material Incorporated by Reference

    (1) The Director of the Federal Register approved the
incorporation by reference (IBR) of the service information listed
in this paragraph under 5 U.S.C. 552(a) and 1 CFR part 51.
    (2) You must use this service information as applicable to do
the actions required by this AD, unless this AD specifies otherwise.
    (i) Dassault Aviation Service Bulletin F2000-441, dated June 20,
2017.
    (ii) Dassault Aviation Service Bulletin F2000EX-413, dated July
10, 2017.
    (3) For service information identified in this AD, contact
Dassault Falcon Jet Corporation, Teterboro Airport, P.O. Box 2000,
South Hackensack, NJ 07606; telephone<PHONE_NUMBER>; internet http://www.dassaultfalcon.com.
    (4) You may view this service information at the FAA, Transport
Standards Branch, 2200 South 216th St., Des Moines, WA. For
information on the availability of this material at the FAA, call
206-231-3195.
    (5) You may view this service information that is incorporated
by reference at the National Archives and Records Administration
(NARA). For information on the availability of this material at
NARA, call<PHONE_NUMBER>, or go to: http://www.archives.gov/federal-register/cfr/ibr-locations.html.

    Issued in Des Moines, Washington, on September 7, 2018.
Michael Kaszycki,
Acting Director, System Oversight Division, Aircraft Certification
Service.
[FR Doc. 2018-20630 Filed 9-26-18; 8:45 am]
 BILLING CODE 4910-13-P


[Federal Register Volume 80, Number 70 (Monday, April 13, 2015)]
[Notices]
[Pages 19663-19665]
[FR Doc No: 2015-08385]

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

FEDERAL TRADE COMMISSION

[File No. 152 3015]

TES Franchising, LLC; Analysis of Proposed Consent Order To Aid
Public Comment

AGENCY: Federal Trade Commission.

ACTION: Proposed Consent Agreement.

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

SUMMARY: The consent agreement in this matter settles alleged
violations of federal law prohibiting unfair or deceptive acts or
practices. The attached Analysis to Aid Public Comment describes both
the allegations in the draft complaint and the terms of the consent
order--embodied in the consent agreement--that would settle these
allegations.

DATES: Comments must be received on or before May 7, 2015.

ADDRESSES: Interested parties may file a comment at https://ftcpublic.commentworks.com/ftc/tesfranchisingconsent online or on
paper, by following the instructions in the Request for Comment part of
the SUPPLEMENTARY INFORMATION section below. Write ``TES Franchising,
LLC, Consent Agreement; File No. 1523015'' on your comment and file
your comment online at https://ftcpublic.commentworks.com/ftc/tesfranchisingconsent by following the instructions on the web-based
form. If you prefer to file your comment on paper, write ``TES
Franchising, LLC, Consent Agreement; File No. 1523015'' on your comment
and on the envelope, and mail your comment to the following address:
Federal Trade Commission, Office of the Secretary, 600 Pennsylvania
Avenue NW., Suite CC-5610 (Annex D), Washington, DC 20580, or deliver
your comment to the following address: Federal Trade Commission, Office
of the Secretary, Constitution Center, 400 7th Street SW., 5th Floor,
Suite 5610 (Annex D), Washington, DC 20024.

FOR FURTHER INFORMATION CONTACT: Jessica Lyon, Bureau of Consumer
Protection,<PHONE_NUMBER>, 600 Pennsylvania Avenue NW., Washington, DC
20580.

SUPPLEMENTARY INFORMATION: Pursuant to Section 6(f) of the Federal
Trade Commission Act, 15 U.S.C. 46(f), and FTC Rule 2.34, 16 CFR 2.34,
notice is hereby given that the above-captioned consent agreement
containing consent order to cease and desist, having been filed with
and accepted, subject to final approval, by the Commission, has been
placed on the public record for a period of thirty (30) days. The
following Analysis to Aid Public Comment describes the terms of the
consent agreement, and the allegations in the complaint. An electronic
copy of the full text of the consent agreement package can be obtained
from the FTC Home Page (for April 7, 2015), on the World Wide Web at:
http://www.ftc.gov/os/actions.shtm.
    You can file a comment online or on paper. For the Commission to
consider your comment, we must receive it on or before May 7, 2015.
Write ``TES Franchising, LLC, Consent Agreement; File No. 1523015'' on
your comment. Your comment--including your name and your state--will be
placed on the public record of this proceeding, including, to the
extent practicable, on the public Commission Web site, at http://www.ftc.gov/os/publiccomments.shtm. As a matter of discretion, the
Commission tries to remove individuals' home contact information from
comments before placing them on the Commission Web site.
    Because your comment will be made public, you are solely
responsible for making sure that your comment does not include any
sensitive personal information, like anyone's Social Security number,
date of birth, driver's license number or other state identification
number or foreign country equivalent, passport number, financial
account number, or credit or debit card number. You are also solely
responsible for making sure that your comment does not include any
sensitive health information, like medical records or other
individually identifiable health information. In addition, do not
include any ``[t]rade secret or any commercial or financial information
which . . . is privileged or confidential,'' as discussed in Section
6(f) of the FTC Act, 15 U.S.C. 46(f), and FTC Rule 4.10(a)(2), 16 CFR
4.10(a)(2). In particular, do not include competitively sensitive
information such as costs, sales statistics, inventories, formulas,
patterns, devices, manufacturing processes, or customer names.
    If you want the Commission to give your comment confidential
treatment, you must file it in paper form, with a request for
confidential treatment, and you have to follow the procedure explained
in FTC Rule 4.9(c), 16 CFR

4.9(c).\1\ Your comment will be kept confidential only if the FTC
General Counsel, in his or her sole discretion, grants your request in
accordance with the law and the public interest.
---------------------------------------------------------------------------

    \1\ In particular, the written request for confidential
treatment that accompanies the comment must include the factual and
legal basis for the request, and must identify the specific portions
of the comment to be withheld from the public record. See FTC Rule
4.9(c), 16 CFR 4.9(c).
---------------------------------------------------------------------------

    Postal mail addressed to the Commission is subject to delay due to
heightened security screening. As a result, we encourage you to submit
your comments online. To make sure that the Commission considers your
online comment, you must file it at https://ftcpublic.commentworks.com/ftc/tesfranchisingconsent by following the instructions on the web-
based form. If this Notice appears at http://www.regulations.gov/#!home, you also may file a comment through that Web site.
    If you file your comment on paper, write ``TES Franchising, LLC,
Consent Agreement; File No. 1523015'' on your comment and on the
envelope, and mail your comment to the following address: Federal Trade
Commission, Office of the Secretary, 600 Pennsylvania Avenue NW., Suite
CC-5610 (Annex D), Washington, DC 20580, or deliver your comment to the
following address: Federal Trade Commission, Office of the Secretary,
Constitution Center, 400 7th Street SW., 5th Floor, Suite 5610 (Annex
D), Washington, DC 20024. If possible, submit your paper comment to the
Commission by courier or overnight service.
    Visit the Commission Web site at http://www.ftc.gov to read this
Notice and the news release describing it. The FTC Act and other laws
that the Commission administers permit the collection of public
comments to consider and use in this proceeding as appropriate. The
Commission will consider all timely and responsive public comments that
it receives on or before May 7, 2015. You can find more information,
including routine uses permitted by the Privacy Act, in the
Commission's privacy policy, at http://www.ftc.gov/ftc/privacy.htm.

Analysis of Proposed Consent Order To Aid Public Comment

    The Federal Trade Commission (``FTC'' or ``Commission'') has
accepted, subject to final approval, a consent agreement applicable to
TES Franchising, LLC (``TES'').
    The proposed consent order has been placed on the public record for
thirty (30) days for receipt of comments by interested persons.
Comments received during this period will become part of the public
record. After thirty (30) days, the Commission will again review the
agreement and the comments received, and will decide whether it should
withdraw from the agreement and take appropriate action or make final
the agreement's proposed order.
    This matter concerns alleged false or misleading representations
that TES made to consumers concerning its participation in the Safe
Harbor privacy frameworks agreed upon by the U.S. and the European
Union and the U.S. and Switzerland (collectively, ``Safe Harbor
Frameworks'') and concerning the handling of consumer disputes relating
to the Safe Harbor Frameworks. The proposed complaint also alleges that
TES made false or misleading representations to the effect that it was
a current licensee of the TRUSTe self-regulatory program.
    The Safe Harbor Frameworks allow U.S. companies to transfer data
outside the EU and Switzerland consistent with European law. To join
the Safe Harbor Frameworks, a company must self-certify to the U.S.
Department of Commerce (``Commerce'') that it complies with a set of
principles and related requirements that have been deemed by the
European Commission and Switzerland as providing ``adequate'' privacy
protection. These principles include notice, choice, onward transfer,
security, data integrity, access, and enforcement. Among other things,
the enforcement principle requires companies to provide a readily
available and affordable independent recourse mechanism to investigate
and resolve an individual's complaints and disputes. Commerce maintains
a public Web site, www.export.gov/safeharbor, where it posts the names
of companies that have self-certified to the Safe Harbor Frameworks.
The listing of companies indicates whether their self-certification is
``current'' or ``not current.'' Companies are required to re-certify
every year in order to retain their status as ``current'' members of
the Safe Harbor Frameworks.
    TES provides business coaching services to franchisees. According
to the Commission's complaint, TES has set forth on its Web site,
www.entrepreneursource.com, privacy policies and statements about its
practices, including (1) statements related to its participation in the
Safe Harbor Frameworks and (2) statements indicating that it is a
licensee of the TRUSTe Privacy Program.
    The Commission's complaint alleges that from March 2013 until
February 2015 TES falsely represented that it was a ``current''
participant in the Safe Harbor Frameworks when, in fact, the company's
self-certifications had lapsed. The Commission's complaint also alleges
that during this same time period TES represented that all Safe Harbor-
related disputes would be settled by an ``arbitration administered
agency'' such as the American Arbitration Association, that hearings
would take place in Connecticut, and that the costs of arbitration
would be shared equally by the parties. In fact, the independent
recourse mechanism authorized under TES's Safe Harbor certification was
the European data protection authorities, which resolve Safe Harbor-
related disputes at no cost to consumers and do not require in-person
hearings. The Commission's complaint alleges that these false
representations are likely to deter EU and Swiss citizens from
attempting to take advantage of the dispute resolution services offered
by the company.
    The Commission's complaint further alleges that until February
2015, TES represented through statements in its online privacy policy
that it was a current licensee of the TRUSTe Privacy Program, when, in
fact, it was not a current licensee.
    Part I of the proposed order prohibits TES from making
misrepresentations about its membership in any privacy or security
program sponsored by the government or any other self-regulatory or
standard-setting organization, including, but not limited to, the U.S.-
EU Safe Harbor Framework, the U.S.-Swiss Safe Harbor Framework, and the
TRUSTe privacy programs. Part II of the proposed order also prohibits
TES from misrepresenting in any manner, its participation in, or the
rules, processes, policies, or costs of, any alternative dispute
resolution process or service, including but not limited to,
arbitration, mediation, or other independent recourse mechanism.
    Parts III through VII of the proposed order are reporting and
compliance provisions. Part III requires TES to retain documents
relating to its compliance with the order for a five-year period. Part
IV requires dissemination of the order now and in the future to persons
with responsibilities relating to the subject matter of the order. Part
V ensures notification to the FTC of changes in corporate status. Part
VI mandates that TES submit an initial compliance report to the FTC,
and make available to the FTC subsequent reports. Part VII is a
provision ``sunsetting'' the order after twenty (20) years, with
certain exceptions.
    The purpose of this analysis is to facilitate public comment on the

proposed order. It is not intended to constitute an official
interpretation of the proposed complaint or order or to modify the
order's terms in any way.

    By direction of the Commission.
Donald S. Clark,
Secretary.
[FR Doc. 2015-08385 Filed 4-10-15; 8:45 am]
 BILLING CODE 4910-13-P