[Federal Register: October 14, 2009 (Volume 74, Number 197)]
[Notices]
[Page 52832-52834]
[DOCID:fr14oc09-101]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-60793; File No. SR-BX-2009-059]

Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of
Filing and Immediate Effectiveness of Proposed Rule Change To Modify
Potential Payment Amounts Available Under Rule 4626

October 6, 2009.
    Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934
(``Act''),\1\ and Rule 19b-4 thereunder,\2\ notice is hereby given that
on September 25, 2009, NASDAQ OMX BX, Inc. (the ``Exchange'' or ``BX'')
filed with the Securities and Exchange Commission (``Commission'') the
proposed rule change as described in Items I, II, and III below, which
Items have been prepared by the Exchange. The Exchange has designated
the proposed rule change as constituting a non-controversial rule
change under Rule 19b-4(f)(6) under the Act,\3\ which renders the
proposal effective upon filing with the Commission. The Commission is
publishing this notice to solicit comments on the proposed rule change
from interested persons.
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    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 17 CFR 240.19b-4.
    \3\ 17 CFR 240.19b-4(f)(6).
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I. Self-Regulatory Organization's Statement of the Terms of the
Substance of the Proposed Rule Change

    The Exchange is filing with the Commission a proposed rule change
to modify potential payment amounts available under Rule 4626. BX will
implement the proposed rule change effective November 1, 2009. The text
of the proposed rule change is below. Proposed new language is
italicized and proposed deletions are in brackets.
* * * * *
4626. Limitation of Liability
    (a) No Change.
    (b) The Exchange, subject to the express limits set forth below,
may compensate users of the NASDAQ OMX BX Equities Market for losses
directly resulting from the System's actual failure to correctly
process an order, Quote/Order, message, or other data, provided the
NASDAQ OMX BX Equities Market has acknowledged receipt of the order,
Quote/Order, message, or data.
    [(1) For one or more claims made by a single market participant
related to the use of the NASDAQ OMX BX Equities Market on a single
trading day, the Exchange's liability shall not exceed the larger of
$100,000, or the amount of any recovery obtained by the Exchange under
any applicable insurance policy.]
    [(2) For the aggregate of all claims made by all market
participants related to the use of the NASDAQ OMX BX Equities Market on
a single trading day, the Exchange's liability shall not exceed the
larger of $250,000, or the amount of the recovery obtained by the
Exchange under any applicable insurance policy.]
    [(3)] (1) For the aggregate of all claims made by all market
participants related to the use of the NASDAQ OMX BX Equities Market
during a single calendar month, the Exchange's liability shall not
exceed the larger of $500,000, or the amount of the recovery obtained
by the Exchange under any applicable insurance policy.
    [(4)] (2) In the event all of the claims arising out of the use of
the NASDAQ OMX BX Equities Market cannot be fully satisfied because in
the aggregate they exceed the maximum amount of liability provided for
in this Rule, then the maximum amount will be proportionally allocated
among all such claims arising [on a single trading day, or] during a
single calendar month [, as applicable].

    (5) All claims for compensation pursuant to this Rule shall be in
writing and must be submitted no later than [the opening of trading]
12:00 p.m. ET on the next business day following the day on which the
use of the NASDAQ OMX BX Equities Market gave rise to such claims.
Nothing in this rule shall obligate the Exchange to seek recovery under
any applicable insurance policy.
* * * * *

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
    Currently, BX provides a limited exception to its general
limitation of liability rules that allows for the payment of claims to
users for order processing failures in the NASDAQ OMX BX Equities
Market. BX proposes to modify its process for allocating such payments
and extend the time period for users to submit such claims. Under the
proposal, BX will eliminate the $100,000 and $250,000 daily caps on
liability and consider all such claims on a monthly basis subject to
the already existing $500,000 monthly liability cap. If the total
amount of all claims from all users in calendar month exceeds the
$500,000 monthly liability cap, the $500,000 maximum monthly dollar
amount will be proportionally allocated among all such claims as set
forth in the current rule.
    BX is also proposing to extend, until 12 noon ET on the next
business day following the day on which the use of the Nasdaq OMX BX
Equities Market gives rise to a claim, the time period during which
claims seeking compensation must be submitted.
    As BX analyzes total eligible liability claims on a per-month look-
back basis, the proposal, in effect, would allow BX an increased
capability to compensate a market participant(s) up to the monthly cap
of $500,000 even though the losses occurred on a single day or were
across multiple days for a single participant. The expansion of time to
make such compensation claims likewise increases the ability of market
participants to submit claims in a timely manner. Finally, BX notes
that other market centers have rules in place to provide limited
compensation for system malfunctions.\4\
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    \4\ See NYSE Arca Equities Rule 13.2. and ISE Rule 705.
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2. Statutory Basis
    BX believes that the proposed rule change is consistent with the
provisions of Section 6 of the Act,\5\ in general, and with Sections
6(b)(5) of the Act,\6\ in particular, in that the proposal 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 regulating, clearing, settling,
processing information with respect to, and facilitating transactions
in securities, to remove impediments to and perfect the mechanism of a
free and open market and a national market system, and, in general, to
protect investors and the public interest. As BX analyzes total
eligible liability claims on a per-month look-back basis, the proposal,
in effect, would allow BX an increased capability to compensate a
market participant(s) up to the monthly cap of $500,000 even though the
losses occurred on a single day or were across multiple days for a
single participant. The expansion of time to make such compensation
claims likewise increases the ability of market participants to submit
claims in a timely manner.
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    \5\ 15 U.S.C. 78f.
    \6\ 15 U.S.C. 78f(b)(5).
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B. Self-Regulatory Organization's Statement on Burden on Competition

    The Exchange does not believe that the proposed rule change will
result in any burden on competition that is not necessary or
appropriate in furtherance of the purposes of the Act, as amended.

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

    Written comments were neither solicited nor received.

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

    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) of the Act \7\ and Rule 19b-
4(f)(6) \8\ thereunder.
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    \7\ 15 U.S.C. 78s(b)(3)(A).
    \8\ 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.
BX has satisfied this requirement.
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    At any time within 60 days of the filing of the proposed rule
change, the Commission may summarily abrogate such rule change if it
appears to the Commission that such action is necessary or appropriate
in the public interest, for the protection of investors, or otherwise
in furtherance of the purposes of the Act.

IV. Solicitation of Comments

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

Electronic Comments

     Use the Commission's Internet comment form (http://
www.sec.gov/rules/sro.shtml); or
 Send an e-mail to<EMAIL_ADDRESS>Please include File
Number SR-BX-2009-059 on the subject line.

Paper Comments

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

All submissions should refer to File Number SR-BX-2009-059. This file
number should be included on the subject line if e-mail is used. To
help the Commission process and review your comments more efficiently,
please use only one method. The Commission will post all comments on
the Commission's Internet Web site (http://www.sec.gov/rules/
sro.shtml). Copies of the submission, all subsequent amendments, all
written statements with respect to the proposed rule change that are
filed with the Commission, and all written communications relating to
the proposed rule change between the Commission and any person, other
than those that may be withheld from the public in accordance with the

provisions of 5 U.S.C. 552, will be available for inspection and
copying in the Commission's Public Reference Room, 100 F Street, NE.,
Washington, DC 20549, on official business days between the hours of 10
a.m. and 3 p.m. Copies of such filing also will be available for
inspection and copying at the principal office of 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 publicly available. All
submissions should refer to File Number SR-BX-2009-059 and should be
submitted on or before November 4, 2009.

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\9\
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    \9\ 17 CFR 200.30-3(a)(12).
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Florence E. Harmon,
Deputy Secretary.
[FR Doc. E9-24615 Filed 10-13-09; 8:45 am]

BILLING CODE 8011-01-P


[Federal Register Volume 77, Number 227 (Monday, November 26, 2012)]
[Notices]
[Pages 70495-70496]
[FR Doc No: 2012-28526]

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SECURITIES AND EXCHANGE COMMISSION

Proposed Collection; Comment Request

Upon Written Request Copies Available From: Securities and Exchange
Commission, Office of Investor Education and Advocacy, Washington, DC
20549-0213.
Extension:
    Form 18-K, OMB Control No. 3235-0120, SEC File No. 270-108.

    Notice is hereby given that, pursuant to the Paperwork Reduction
Act of 1995 (44 U.S.C. 3501 et seq.), the Securities and Exchange
Commission (``Commission'') is soliciting comments on the collection of
information summarized below. The Commission plans to submit this
existing collection of information to the Office of Management and
Budget for extension and approval.
    Form 18-K (17 CFR 249.318) is an annual report form used by foreign
governments or political subdivisions of foreign governments that have
securities listed on an U.S. securities exchange. The information to be
collected is intended to ensure the adequacy of information available
to investors in the registration of securities and assures public
availability. We estimate that Form 18-K takes approximately 8 hours to
prepare and is filed by approximately 143 respondents for a total
annual reporting burden of 1,144 hours. We estimate that 100% of the
total burden is prepared by the issuer.
    Written comments are invited on: (a) Whether this proposed
collection of information is necessary for the performance of the
functions of the agency, including whether the information will have
practical utility; (b) the accuracy of the agency's estimate of the
burden imposed by the collection of information; (c) ways to enhance
the quality, utility, and clarity of the information collected; and (d)
ways to minimize the burden of the collection of information on
respondents, including through the use of automated collection
techniques or other forms of information technology. Consideration will
be given to comments and suggestions submitted in writing within 60
days of this publication.
    Please direct your written comments to Thomas Bayer, Director/Chief

Information Officer, Securities and Exchange Commission, c/o Remi
Pavlik-Simon, 6432 General Green Way, Alexandria, Virginia 22312; or
send an email to<EMAIL_ADDRESS>
    Dated: November 19, 2012.
Kevin M. O'Neill,
Deputy Secretary.
[FR Doc. 2012-28526 Filed 11-23-12; 8:45 am]
BILLING CODE 8011-01-P


" Gault, Roger" < rgault@ emamail. org> Transmission Date: 03/ 30/ 2005 01: 35: 42 PM To: Alan Stout/ AA/ USEPA/ US@ EPA cc: " Kokrda, Kevin" < kkokrda@ emamail. org> Subject: RE: call attendance OK, understood.

Roger Gault Engine Manufacturers Association Two North LaSalle Street, Suite 2200 Chicago, Illinois 60602 Tel: ( 312) 827 8742 Fax: ( 312) 827 8737 rgault@ emamail. org www. enginemanufacturers. org  Original Message From: Stout. Alan@ epamail. epa. gov [ mailto: Stout. Alan@ epamail. epa. gov] Sent: Wednesday, March 30, 2005 12: 33 PM To: Gault, Roger Cc: Kokrda, Kevin Subject: RE: call attendance Roger, That looks right to me. The only clarification is that we are adding the definition for maximum engine power, but it will just point to gross power ( as shown below). This is necessary for dealing with the relationship of Large SI engines and Rec vehicles to part 90. This should have no affect on part 90 engines.

Alan _____________________

Maximum engine power means the maximum value of gross power at rated speed.

" Gault, Roger" < rgault@ emamail. org To: Alan Stout/ AA/ USEPA/ US@ EPA cc: " Kokrda, Kevin" < kkokrda@ emamail. org> Subject: RE: call attendance Transmission Date: 03/ 29/ 2005 05: 49: 09 PM Alan:

I wanted to close the loop on the Part 90 Technical Amendments based on our conference call and subsequent discussions.

My understanding is that the draft supplied previously will be modified as follows: Section 90.1 ( a) the reference to maximum engine power will revert back to the current language of gross power Section 90.3 the new definition of Maximum engine power will be removed Section 90.127 the new section will be removed Section 90.417 ( b) will remain as drafted in the proposal, EMA withdraws its request for a change Section 90.421 ( B)( 4)( ii)( C) reference to 40 CFR part 1065.750 will revert back to 90.312 ( no change from current)

Section 90.421 ( B)( 4)( ii)( D) reference to 40 CFR part 1065, subparts C & D will revert back to 90.312 ( no change from current)

Section 90.421 ( B)( 4)( iii) reference to 40 CFR part 1065, subpart D will revert back to 90.312 ( no change from current)

I believe that this cleans this one up and we can plan to start focusing on the Phase 3 test procedure issues when your group is ready.

Roger Gault Engine Manufacturers Association Two North LaSalle Street, Suite 2200 Chicago, Illinois 60602 Tel: ( 312) 827 8742 Fax: ( 312) 827 8737 rgault@ emamail. org www. enginemanufacturers. org  Original Message From: Stout. Alan@ epamail. epa. gov [ mailto: Stout. Alan@ epamail. epa. gov] Sent: Wednesday, March 16, 2005 3: 52 PM To: Gault, Roger Subject: call attendance Roger, I realized I should include our call today in a memo I'm pulling together to docket our interactions for the tech amendments. Could you send me a list of those who participated? I didn't get everyone's full name.

Also, just to let you know, I checked into the changed references in 90.421 and concluded that we should change the 86 reference in 421( b)( 4)( ii), but not in any of the subparagraphs ( A) through ( D) or in ( iii). I will be taking those out of this rulemaking, so those paragraphs will remain unchanged.

Alan


[Federal Register Volume 77, Number 247 (Wednesday, December 26, 2012)]
[Notices]
[Pages 76119-76120]
[FR Doc No: 2012-31019]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-68480; File No. SR-CBOE-2012-118]

Self-Regulatory Organizations; Chicago Board Options Exchange,
Incorporated; Notice of Filing and Immediate Effectiveness of a
Proposed Rule Change Relating to the Options Regulatory Fee

December 19, 2012.
    Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934
(the ``Act''),\1\ and Rule 19b-4 thereunder,\2\ notice is hereby given
that on December 7, 2012, the Chicago Board Options Exchange,
Incorporated (the ``Exchange'' or ``CBOE'') filed with the Securities
and Exchange Commission (the ``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 the
Substance of the Proposed Rule Change

    Chicago Board Options Exchange, Incorporated (the ``Exchange'' or
``CBOE'') proposes to amend its Options Regulatory Fee. The text of the
proposed rule change is available on the Exchange's Web site (http://www.cboe.com/AboutCBOE/CBOELegalRegulatoryHome.aspx), at the Exchange's
Office of the Secretary, and at the Commission.

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

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

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

1. Purpose
    The Exchange has reevaluated the current amount of the Options
Regulatory Fee (``ORF'') in connection with its annual budget review.
In light of increased regulatory costs and expected volume levels for
2013, the Exchange proposes to increase the ORF from $.0065 per
contract to $.0085 per contract. The Exchange is amending the ORF due
to substantial increases in resources devoted to regulatory services,
including the recent hiring of many new employees, increased office
space and regulatory systems enhancements. These increased regulatory
costs coincide with a decrease in industry transaction volume. The
proposed fee would be operative on January 2, 2013.
    The ORF is assessed by the Exchange to each Trading Permit Holder
for all options transactions executed or cleared by the Trading Permit
Holder that are cleared by The Options Clearing Corporation (``OCC'')
in the customer range, i.e., transactions that clear in a customer
account at OCC, regardless of the marketplace of execution. In other
words, the Exchange imposes the ORF on all customer-range transactions
executed by a Trading Permit Holder, even if the transactions do not
take place on the Exchange.\3\ The ORF also is charged for transactions
that are not executed by a Trading Permit Holder but are ultimately
cleared by a Trading Permit Holder. In the case where a Trading Permit
Holder executes a transaction and a different Trading Permit Holder
clears the transaction, the ORF is assessed to the Trading Permit
Holder who executed the transaction. In the case where a non-Trading
Permit Holder executes a transaction and a Trading Permit Holder clears
the transaction, the ORF is assessed to the Trading Permit Holder who
clears the transaction. The ORF is collected indirectly from Trading
Permit Holders through their clearing firms by OCC on behalf of the
Exchange.
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    \3\ Exchange rules require each Trading Permit Holder to record
the appropriate account origin code on all orders at the time of
entry in order to allow the Exchange to properly prioritize and
route orders and assess transaction fees pursuant to the rules of
the Exchange and report resulting transactions to the OCC. CBOE
order origin codes are defined in CBOE Regulatory Circular RG12-057.
The Exchange represents that it has surveillances in place to verify
that Trading Permit Holders mark orders with the correct account
origin code.
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    The ORF is designed to recover a material portion of the costs to
the Exchange of the supervision and regulation of Trading Permit Holder
customer options business, including performing routine surveillances,
investigations, as well as policy, rulemaking, interpretive and
enforcement activities. The Exchange believes that revenue generated
from the ORF, when combined with all of the Exchange's other regulatory
fees and fines, will cover a material portion, but not all, of the
Exchange's regulatory costs. The Exchange notes that its regulatory
responsibilities with respect to Trading Permit Holder compliance with
options sales practice rules have been allocated to FINRA under a 17d-2
agreement. The ORF is not designed to cover the cost of options sales
practice regulation.
    The Exchange will continue to monitor the amount of revenue
collected from the ORF to ensure that it, in combination with its other
regulatory fees and fines, does not exceed the Exchange's total
regulatory costs. If the Exchange determines regulatory revenues exceed
regulatory costs, the Exchange will adjust the ORF by submitting a fee
change filing to the Commission. The Exchange notifies Trading Permit
Holders of adjustments to the ORF via regulatory circular.

2. Statutory Basis
    The Exchange believes the proposed rule change is consistent with
the Securities Exchange Act of 1934 (the ``Act'') and the rules and
regulations thereunder applicable to the Exchange and, in particular,
the requirements of Section 6(b) of the Act.\4\ Specifically, the
Exchange believes the proposed rule change is consistent with Section
6(b)(4) of the Act,\5\ which provides that Exchange rules may provide
for the equitable allocation of reasonable dues, fees, and other
charges among its Trading Permit Holders and other persons using its
facilities. The Exchange believes the proposed fee change is reasonable
because industry transaction volume has declined while the Exchange's
regulatory expenses have increased. The Exchange is amending the ORF
due to substantial increases in resources devoted to regulatory
services, including the recent hiring of many new employees, increased
office space and regulatory systems enhancements. The proposed ORF
increase would help to offset these increased regulatory expenses but
does not result in total regulatory revenue exceeding total regulatory
costs.
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    \4\ 15 U.S.C. 78f(b).
    \5\ 15 U.S.C. 78f(b)(4).
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    The Exchange believes the ORF is equitable and not unfairly
discriminatory because it is objectively allocated to Trading Permit
Holders in that it is charged to all Trading Permit Holders on all
their transactions that clear as customer at the OCC. Moreover, the
Exchange believes the ORF ensures fairness by assessing higher fees to
those Trading Permit Holders that require more Exchange regulatory
services based on the amount of customer options business they conduct.
Regulating customer trading activity is much more labor intensive and
requires greater expenditure of human and technical resources than
regulating non-customer trading activity, which tends to be more
automated and less labor-intensive. As a result, the costs associated
with administering the customer component of the Exchange's overall
regulatory program are materially higher than the costs associated with
administering the non-customer component (e.g., Trading Permit Holder
proprietary transactions) of its regulatory program.\6\
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    \6\ If the Exchange changes its method of funding regulation or
if circumstances otherwise change in the future, the Exchange may
decide to modify the ORF or assess a separate regulatory fee on
Trading Permit Holder proprietary transactions if the Exchange deems
it advisable. See email from Jaime Galvan, Senior Attorney, CBOE, to
Johnna Dumler, Special Counsel, Commission, dated December 18, 2012.
---------------------------------------------------------------------------

    The ORF is designed to recover a material portion of the costs of
supervising and regulating Trading Permit Holder customer options
business including performing routine surveillances, investigations,
examinations, financial monitoring, and policy, rulemaking,
interpretive, and enforcement activities. The Exchange will continue to
monitor the amount of revenue collected from the ORF to ensure that it,
in combination with its other regulatory fees and fines, does not
exceed the Exchange's total regulatory costs. If the Exchange
determines regulatory revenues exceed regulatory costs, the Exchange
will adjust the ORF by submitting a fee change filing to the
Commission. The Exchange notifies Trading Permit Holders of adjustments
to the ORF via regulatory circular.

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

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

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

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

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

    The foregoing rule change has become effective pursuant to Section
19(b)(3)(A) \7\ of the Act and paragraph (f) of Rule 19b-4 \8\
thereunder. At any time within 60 days of the filing of the proposed
rule change, the Commission summarily may temporarily suspend such rule
change if it appears to the Commission that such action is necessary or
appropriate in the public interest, for the protection of investors, or
otherwise in furtherance of the purposes of the Act.
---------------------------------------------------------------------------

    \7\ 15 U.S.C. 78s(b)(3)(A).
    \8\ 17 C.F.R. 240.19b-4(f).
---------------------------------------------------------------------------

IV. Solicitation of Comments

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

Electronic Comments

     Use the Commission's Internet comment form (http://www.sec.gov/rules/sro.shtml); or
     Send an email to<EMAIL_ADDRESS>Please include
File Number SR-CBOE-2012-118 on the subject line.

Paper Comments

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

All submissions should refer to File Number SR-CBOE-2012-118. 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 such filing also will be available
for inspection and copying at the principal offices 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-CBOE-2012-118,
and should be submitted on or before January 16, 2013.

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\9\
---------------------------------------------------------------------------

    \9\ 17 CFR 200.30-3(a)(12).
---------------------------------------------------------------------------

Kevin M. O'Neill,
Deputy Secretary.
[FR Doc. 2012-31019 Filed 12-21-12; 4:15 pm]
BILLING CODE 8011-01-P


[Federal Register Volume 80, Number 192 (Monday, October 5, 2015)]
[Notices]
[Pages 60242-60243]
[FR Doc No: 2015-25224]

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DEPARTMENT OF TRANSPORTATION

Pipeline and Hazardous Materials Safety Administration

[Docket No. PHMSA-2015-0179]

Pipeline Safety: Information Collection Activities

AGENCY: Pipeline and Hazardous Materials Safety Administration (PHMSA),
DOT.

ACTION: Notice and request for comments.

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SUMMARY: In accordance with the Paperwork Reduction Act of 1995, PHMSA
invites comments on certain information collections that will be
expiring March 31, 2016. PHMSA will request an extension with no change
for the information collections identified by the Office of Management
and Budget (OMB) control numbers 2137-0610, 2137-0624, and 2137-0625.
In addition, PHMSA will request a non-substantive change to the
information collection identified under OMB control number 2137-0589 to
revise the number of respondents PHMSA expects to comply with this
information collection.

DATES: Interested persons are invited to submit comments on or before
December 4, 2015.

ADDRESSES: Comments may be submitted in the following ways:
    E-Gov Web site: http://www.regulations.gov. This site allows the
public to enter comments on any Federal Register notice issued by any
agency.
    Fax: 1-202-493-2251.
    Mail: Docket Management Facility; U.S. Department of Transportation
(DOT), 1200 New Jersey Avenue SE., West Building, Room W12-140,
Washington, DC 20590-0001.
    Hand Delivery: Room W12-140 on the ground level of DOT, West
Building, 1200 New Jersey Avenue SE., Washington, DC, between 9:00 a.m.
and 5:00 p.m., Monday through Friday, except Federal holidays.
    Instructions: Identify the docket number, PHMSA-2014-0005, at the
beginning of your comments. Note that all comments received will be
posted without change to http://www.regulations.gov, including any
personal information provided. You should know that anyone is able to
search the electronic form of all comments received into any of our
dockets by the name of the individual submitting the comment (or
signing the comment, if submitted on behalf of an association,
business, labor union, etc.). Therefore, you may want to review DOT's
complete Privacy Act Statement in the Federal Register published on
April 11, 2000 (65 FR 19476) or visit http://www.regulations.gov before
submitting any such comments.
    Docket: For access to the docket or to read background documents or
comments, go to http://www.regulations.gov at any time or to Room W12-
140 on the ground level of DOT, West Building, 1200 New Jersey Avenue
SE., Washington, DC, between 9:00 a.m. and 5:00 p.m., Monday through
Friday, except Federal holidays. If you wish to receive confirmation of
receipt of your written comments, please include a self-addressed,
stamped postcard with the following statement: ``Comments on PHMSA-
2014-0005.'' The Docket Clerk will date stamp the postcard prior to
returning it to you via the U.S. mail. Please note that due to delays
in the delivery of U.S. mail to Federal offices in Washington, DC, we
recommend that persons consider an alternative method (internet, fax,
or professional delivery service) of submitting comments to the docket
and ensuring their timely receipt at DOT.

FOR FURTHER INFORMATION CONTACT: Angela Dow by telephone at 202-366-
1246, by fax at<PHONE_NUMBER>, or by mail at DOT, PHMSA, 1200 New Jersey
Avenue SE., PHP-30, Washington, DC 20590-0001.

SUPPLEMENTARY INFORMATION: Section 1320.8(d), Title 5, Code of Federal
Regulations, requires PHMSA to provide interested members of the public
and affected agencies an opportunity to comment on information
collection and recordkeeping requests. This notice identifies several
information collection requests that PHMSA will submit to OMB for
renewal. The following information is provided for each information
collection: (1) Title of the information collection; (2) OMB control
number; (3) Current expiration date; (4) Type of request; (5) Abstract
of the information collection activity; (6) Description of affected
public; (7) Estimate of total annual reporting and recordkeeping
burden; and (8) Frequency of collection. PHMSA will request a three-
year term of approval for each information collection activity. PHMSA
requests comments on the following information collections:
    1. Title: Pipeline Integrity Management in High Consequence areas
Gas Transmission Pipeline Operators.
    OMB Control Number: 2137-0610.
    Current Expiration Date: 3/31/2016.
    Type of Request: Extension without change of a currently approved
collection.
    Abstract: The Federal Pipeline Safety Regulations in 49 CFR part
192, subpart O require operators of gas pipelines to develop and
implement integrity management programs. The purpose of these programs
is to enhance safety by identifying and reducing pipeline integrity
risks. The regulations also require that operators maintain records
demonstrating compliance with these requirements.
    Affected Public: Gas transmission operators.
    Annual Reporting and Recordkeeping Burden:
    Estimated number of responses: 733.
    Estimated annual burden hours: 1,018,807.
    Frequency of collection: On occasion.
    2. Title: Control Room Management/Human Factors.
    OMB Control Number: 2137-0624.
    Current Expiration Date: 3/31/2016.
    Type of Request: Extension without change of a currently approved
collection.
    Abstract: The Federal Pipeline Safety Regulations in 49 CFR parts
192 and 195 require operators of hazardous liquid pipelines and gas
pipelines to develop and implement a human factors management plan
designed to reduce risk associated with human factors in each pipeline
control room and to maintain records demonstrating compliance with
these requirements.
    Affected Public: Private sector; Operators of both natural gas and
hazardous liquid pipeline systems.

    Annual Reporting and Recordkeeping Burden:
    Estimated number of responses: 2,702.
    Estimated annual burden hours: 127,328.
    Frequency of Collection: On occasion.
    3. Title: Pipeline Safety: Integrity Management Program for Gas
Distribution Pipelines.
    OMB Control Number: 2137-0625.
    Current Expiration Date: 3/31/2016.
    Type of Request: Extension without change of a currently approved
collection.
    Abstract: The Federal Pipeline Safety Regulations require operators
of gas distribution pipelines to develop and implement integrity
management programs. The purpose of these programs is to enhance safety
by identifying and reducing pipeline integrity risks. The regulations
require that operators maintain records demonstrating compliance with
these requirements.
    Affected Public: Operators of gas distribution pipeline systems.
    Annual Reporting and Recordkeeping Burden:
    Estimated number of responses: 9,343.
    Estimated annual burden hours: 865,178.
    Frequency of collection: On occasion.
    4. Title: Response Plans for Onshore Oil Pipelines.
    OMB Control Number: 2137-0589.
    Current Expiration Date: 3/31/2016.
    Type of Request: Revision of a currently approved information
collection.
    Abstract: The Oil Pipeline Response Plan regulations in 49 CFR part
194 require an operator of an onshore oil pipeline facility to prepare
and submit an oil spill response plan to PHMSA for review and approval.
This revision only updates the number of respondents to accurately
reflect the current usage of this collection.
    Affected Public: Operators of onshore oil pipeline facilities
    Estimated number of responses: 434.
    Estimated annual burden hours: 59,458.
    Frequency of collection: On occasion.
    Comments are invited on:
    (a) The need for the renewal and revision of these collections of
information for the proper performance of the functions of the agency,
including whether the information will have practical utility;
    (b) The accuracy of the agency's estimate of the burden of the
proposed collection of information, including the validity of the
methodology and assumptions used;
    (c) Ways to enhance the quality, utility, and clarity of the
information to be collected; and
    (d) Ways to minimize the burden of the collection of information on
those who are to respond, including the use of appropriate automated,
electronic, mechanical, or other technological collection techniques.

    Authority: The Paperwork Reduction Act of 1995; 44 U.S.C.
Chapter 35, as amended; and 49 CFR 1.48.

    Issued in Washington, DC, on September 30, 2015, under authority
delegated in 49 CFR 1.97.
Linda Daugherty,
Deputy Associate Administrator for Field Operations.
[FR Doc. 2015-25224 Filed 10-2-15; 8:45 am]
 BILLING CODE 4910-60-P


[Federal Register: March 31, 2010 (Volume 75, Number 61)]
[Notices]
[Page 16094]
[DOCID:fr31mr10-56]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

[Project No. 10856-079]

Upper Peninsula Power Company; North American Hydro Holdings,
LLC; Notice of Application for Transfer of License, and Soliciting
Comments and Motions To Intervene

March 24, 2010.
    On March 17, 2010, Upper Peninsula Power Company (transferor) and
North American Hydro Holdings, LLC (transferee) filed an application
for transfer of license of the AuTrain Project, located on the Upper
AuTrain River in Alger County, Michigan.
    Applicants seek Commission approval to transfer the license for the
AuTrain Project from the transferor to the transferee.
    Applicant Contact: For transferor Mr. Terry P. Jensky, Upper
Peninsula Power Company, 700 N Adams Street, Green Bay, WI 54307, phone
(920) 433-2900. For the transferee Mr. Charles F. Alberg, North
American Hydro Holdings, LLC, 116 State Street, Neshkoro, WI 54960,
phone<PHONE_NUMBER>
    FERC Contact: Robert Bell,<PHONE_NUMBER>.
    Deadline for filing comments and motions to intervene: 30 days from
the issuance of this notice. Comments and motions to intervene may be
filed electronically via the Internet. See 18 CFR
385.2001(a)(1)(iii)(2008) and the instructions on the Commission's
website under the ``e-Filing'' link. If unable to be filed
electronically, documents may be paper-filed. To paper-file, an
original and eight copies should be mailed to: Kimberly D. Bose,
Secretary, Federal Energy Regulatory Commission, 888 First Street, NE.,
Washington, DC 20426. For more information on how to submit these types
of filings please go to the Commission's Web site located at http://
www.ferc.gov/filing-comments.asp. More information about this project
can be viewed or printed on the eLibrary link of Commission's Web site
at http://www.ferc.gov/docs-filing/elibrary.asp. Enter the docket
number (P-10856-079) in the docket number field to access the document.
For assistance, call toll-free 1-866-208-3372.

Kimberly D. Bose,
Secretary.
[FR Doc. 2010-7141 Filed 3-30-10; 8:45 am]
BILLING CODE 6717-01-P


[Federal Register Volume 74, Number 84 (Monday, May 4, 2009)]
[Notices]
[Page 20523]
[FR Doc No: E9-10325]

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DEPARTMENT OF TRANSPORTATION

Federal Motor Carrier Safety Administration

Sunshine Act Meetings; Unified Carrier Registration Plan Board of
Directors

AGENCY: Federal Motor Carrier Safety Administration (FMCSA). DOT.

Time and Date: May 14, 2009, from 12 noon until 3 p.m. Eastern Daylight
Time.

Place: This meeting will take place telephonically. Any interested
person may call Mr. Avelino Gutierrez at<PHONE_NUMBER> to receive the
toll free number and pass code needed to participate in this meeting by
telephone.

Status:  Open to the public.

Matters to be Considered: The Unified Carrier Registration Plan Board
of Directors (the Board) will continue its work in developing and
implementing the Unified Carrier Registration Plan and Agreement and to
that end, may consider matters properly before the Board.

FOR FURTHER INFORMATION CONTACT: Mr. Avelino Gutierrez, Chair, Unified
Carrier Registration Plan Board of Directors at<PHONE_NUMBER>.

    Dated: April 29, 2009.
Larry W. Minor,
Associate Administrator for Policy and Program Development.
[FR Doc. E9-10325 Filed 4-30-09; 4:15 pm]
BILLING CODE 4910-EX-P


[Federal Register Volume 78, Number 172 (Thursday, September 5, 2013)]
[Rules and Regulations]
[Pages 54587-54588]
[FR Doc No: 2013-21523]

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DEPARTMENT OF HOMELAND SECURITY

Coast Guard

33 CFR Part 165

[Docket No. USCG-2010-0063]

 Safety Zones; Annual Firework Displays Within the Captain of the
Port, Puget Sound Zone

AGENCY: Coast Guard, DHS.

ACTION: Notice of enforcement of regulation.

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

SUMMARY: The Coast Guard will enforce the safety zones for annual
firework displays in the Captain of the Port, Puget Sound Zone during
the dates and times noted below. This action is necessary to prevent
injury and to protect life and property of the maritime public from the
hazards associated with the firework displays. During the enforcement
periods, entry into, transit through, mooring, or anchoring within
these zones is prohibited unless authorized by the Captain of the Port,
Puget Sound or Designated Representative.

DATES: The regulations in 33 CFR 165.1332 will be enforced from 5:00
p.m. on September 7, 2013 through 1:00 a.m. on September 8, 2013.

FOR FURTHER INFORMATION CONTACT: If you have questions on this notice,
call or email LTJG Johnny Zeng, Sector Puget Sound Waterways
Management, Coast Guard; telephone<PHONE_NUMBER>,
<EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION: The Coast Guard will enforce the safety
zones established for Annual Fireworks Displays within the Captain of
the Port, Puget Sound Area of Responsibility in 33 CFR 165.1332 during
the dates and times noted below.
    The following safety zone will be enforced from 5:00 p.m. on
September 7, 2013 through 1:00 a.m. on September 8, 2013: Mukilteo
Lighthouse Festival, Possession Sound, 47[deg]56.9' N, 122[deg]18.6' W.
    The special requirements listed in 33 CFR 165.1332, which can be
found in the Federal Register (75 FR 33700) published on June 15, 2010,
apply to the activation and enforcement of these safety zones.
    All vessel operators who desire to enter the safety zone must
obtain permission from the Captain of the Port or Designated
Representative by contacting the Coast Guard Sector Puget Sound Joint
Harbor Operations Center (JHOC) on VHF Ch 13 or Ch 16 or via telephone
at<PHONE_NUMBER>.

    The Coast Guard may be assisted by other Federal, State, or local
law enforcement agencies in enforcing this regulation.
    This notice is issued under authority of 33 CFR 165.1332 and 5
U.S.C. 552(a). In addition to this notice, the Coast Guard will provide
the maritime community with extensive advanced notification of the
safety zones via the Local Notice to Mariners and marine information
broadcasts on the day of the events.

    Dated: August 28, 2013.
S.J. Ferguson,
Captain, U.S. Coast Guard, Captain of the Port, Puget Sound.
[FR Doc. 2013-21523 Filed 9-4-13; 8:45 am]
BILLING CODE 9110-04-P


[Federal Register Volume 77, Number 51 (Thursday, March 15, 2012)]
[Notices]
[Page 15432]
[FR Doc No: 2012-6238]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-66560; File No. SR-OCC-2012-01]

 Self-Regulatory Organizations; The Options Clearing Corporation;
Order Approving Proposed Rule Change Relating to Public Directors

March 9, 2012.

I. Introduction

    On January 20, 2012, The Options Clearing Corporation (``OCC'')
filed with the Securities and Exchange Commission (``Commission'')
proposed rule change SR-OCC-2012-01 pursuant to Section 19(b)(1) of the
Securities Exchange Act of 1934 (``Act'') \1\ and Rule 19b-4
thereunder.\2\ The proposed rule change was published for comment in
the Federal Register on February 2, 2012.\3\ The Commission received no
comment letters regarding the proposal. For the reasons discussed
below, the Commission is granting approval of the proposed rule change.
---------------------------------------------------------------------------

    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 17 CFR 240.19b-4.
    \3\ Securities Exchange Act Release No. 34-66266 (January 27,
2012), 77 FR 5284 (February, 2012). In its filing with the
Commission, OCC included statements concerning the purpose of and
basis for the proposed rule change. The text of these statements is
incorporated into the discussion of the proposed rule change in
Section II below.
---------------------------------------------------------------------------

II. Description

    The proposed rule change would modify the corporate governance
structure of OCC by: (i) Increasing the number of public directors on
OCC's Board of Directors from one to three, (ii) creating a staggered
term system for the public directors, and (iii) adding a public
director to the Nominating Committee.

III. Discussion

    Section 19(b)(2)(B) of the Act directs the Commission to approve a
proposed rule change of a self-regulatory organization if it finds that
such proposed rule change is consistent with the requirements of the
Act and the rules and regulations thereunder applicable to such
organization.\4\ In particular, Section 17A(b)(3)(C)\5\ of the Act
requires that the rules of a clearing agency assure a fair
representation of its shareholders and participants in the selection of
its directors and administration of its affairs.
---------------------------------------------------------------------------

    \4\ 15 U.S.C. 78s(b)(2)(B).
    \5\ 15 U.S.C. 78q-1(b)(3)(C).
---------------------------------------------------------------------------

    The proposed change would allow OCC to increase the number of
public directors from one to three, to create a staggered term system
for the public directors, and to add a public director to the
Nominating Committee. In proposing these changes to the composition of
its Board of Directors, OCC stated that the changes would enhance the
corporate governance structure at OCC. As such, the Commission finds
that the proposed rule change is consistent with OCC's obligation under
Section 17A(b)(3)(F) \6\ of the Act's requirement that the rules of OCC
be designed to remove impediments and perfect the mechanism of a
national system for the clearance and settlement of securities
transactions.
---------------------------------------------------------------------------

    \6\ 15 U.S.C. 78q-1(b)(3)(F).
---------------------------------------------------------------------------

IV. Conclusion

    On the basis of the foregoing, the Commission finds that the
proposal is consistent with the requirements of the Act and in
particular with the requirements of Section 17A of the Act and the
rules and regulations thereunder.
    It is therefore ordered, pursuant to Section 19(b)(2) \7\ of the
Act, that the proposed rule change (File No. SR-OCC-2012-01) be, and
hereby is, approved.\8\
---------------------------------------------------------------------------

    \7\ 15 U.S.C. 78s(b)(2).
    \8\ In approving the proposed rule change, the Commission
considered the proposal's impact on efficiency, competition and
capital formation. 15 U.S.C. 78c(f).

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\9\
---------------------------------------------------------------------------

    \9\ 17 CFR 200.30-3(a)(12).
---------------------------------------------------------------------------

Kevin M. O'Neill,
Deputy Secretary.
[FR Doc. 2012-6238 Filed 3-14-12; 8:45 am]
BILLING CODE 8011-01-P


B. Why Them Out of the pool of privately owned vehicles you and other owners were randomly selected to represent the vehicles in the < sample area>. The success of the survey is very much due to our success in getting those we call to participate.

C. Guarantees to Participants Your participation is entirely voluntary, and your name will not be connected with your answers in any way. Your name, address, and phone number will be used only to contact you for this survey and will not be sold or shared with other governmental agencies or private companies.

The data from this survey will be for research purposes only. There is no liability to you or to anyone who participates. 65 III. Survey Enter Time Now __ __ : __ __ timebegin A. Confirmation of Owner's Name and Address 1. I just want to verify that your name is < Name, AS ABOVE>, and that your address is < Address, AS ABOVE).

IF NAME OR ADDRESS DIFFERS FROM THAT LISTED ABOVE, UPDATE AND ENTER BELOW:

Name:_________________________________________________________________. No. & Street __________________________________. City, town or village __________________________________. State __________ ZIP: __________________.

2. If you choose to participate in the full survey would you prefer that we communicate with you that way?

Yes                                      .  ... 1 No                                         . 0 IF YES TAKE DOWN EMAIL ADDRESS:

Email address:_____________________

B. Questions Concerning Ownership/ Knowledge of Vehicle 3. We randomly selected < Model of Vehicle for Registration List> to be the subject of our survey. Do you own a < Model of Vehicle for Registration List>?

Yes                                      .  ... 1 No                                         . 0 4. IF NO ASK: Did you own one at one time?

Yes                                      .  ... 1 No                                         . 0 5. IF YES ASK: Can you help us contact the present owner?

Yes                                      .  ... 1 No                                         . 0 IF NO GO TO SECTION G. QUESTIONS CONCERNING OTHER VEHICLES. 66 IF YES TAKE DOWN THE CONTACT INFORMATION AND PROCEED TO SECTION G. QUESTIONS CONCERNING OTHER VEHICLES New Owner Information Name:_____________________________ Address:____________________________ City, State, ZIP:____________________________ Phone:______________________________

6. Are you the person that knows the most about the vehicle?

Yes                                      .  ... 1 No                                         . 0 IF YES PROCEED IF NO, ATTEMPT TO GET A HOLD OF THE KNOWLEDGEABLE PERSON.

C. Questions Concerning Vehicle Use 7. Is the vehicle still being used?

Yes                                      .  ... 1 No                                         . 0 8. IF YES ASK: Has it been driven in the last month?

Yes                                      .  ... 1 No                                         . 0 9. Can it be driven now?

Yes                                      .  ... 1 No                                         . 0 10. Is the vehicle primarily used for personal transportation?

Yes                                      .  ... 1 No                                         . 0 D. Introduction to PEMS/ PAMS installation Our program needs to collect emission and use data during the normal operation of your vehicle. That means we will have to instrument your vehicle to obtain the data. The instrumentation comes in different sizes and configurations so we need to check if you have enough room in your vehicle for it if you choose to participate. 67 If the installation takes longer than what meets your schedule we will loan you a new vehicle to use at not cost so you don't have to wait around. . The install takes about 30 minutes.

E. Questions Concerning the Suitability of Installing PEMS 11. Does the vehicle have dual exhaust?

Yes                                      .  ... 1 No                                         . 0 12. Is the exhaust non standard in anyway?

Yes                                      .  ... 1 No                                         . 0 IF YES: WRITE A SHORT DESCRIPTION ________________________________________________________________________

13. Is there enough room in the vehicle's trunk or interior for us to install a device the size of four carryon pieces of luggage?

Yes                                      .  ... 1 No                                         . 0 F. Offer of participation 14. Are you interested in participating in our sampling program?

Yes                                      .  ... 1 No                                         . 0 IF NO SAY: As we have said before the data collected from this research program will be held in strict confidence and will be used for research purposes only. It will not be traceable to you or to the person driving vehicle when the sample is taken.

We are entirely liable for the instrumentation. It will not hurt you vehicle in any manner and will not inhibit the use of your vehicle in anyway except taking up some space. If for some unlikely reason the instrument damages your vehicle we are liable for those damages.

We will do the installation and removal of our equipment in the most convenient time and place for you.

We will reimburse you for any mileage placed on your vehicle due to installation, removal, or repair of the instrument beyond those miles that are associated with your normal driving. 68 15. IF THEY STILL REFUSE ASK: Can we give you some more time to reconsider and contact you at a later time?

Yes                                      .  ... 1 No                                         . 0 G. Questions Concerning Other Vehicles 16. Do you own other vehicles?

Yes                                      .  ... 1 No                                         . 0 IF NO PROCEED TO SECTION H. FURTHER INSTRUCTIONS 17. IF YES ASK: What is the make, model, fuel type and model year of those vehicles?

LIST VEHICLES IN TABLE Make Model Fuel Type Diesel/ G asoline/ CNG/ LPG Model Year 18. Can we contact you in the near future about including the vehicles in our study?

Yes                                      .  ... 1 No                                         . 0 IV. Further instructions To All:

Your incentive will arrive in the mail with in five business days. If you did not receive it by then please call 666 666 6666.

To Participants:

You will be contacted by our instrument installation staff to arrange a convenient time to 69 install the sampling equipment, provide you with a short demonstration on what is going to happen when the equipment is operating, and provide you with some contact information in case something unexplained happens to the equipment while you have it on your vehicle.

V. Exit 19. Do you have any questions about this phone survey or the program in general?

ANSWER ANY QUESTION AND PROMISE TO CALL THEM BACK WITH ANSWERS TO QUESTIONS THAT YOU CURRENTLY DO NOT HAVE ANSWERS FOR. Thank you. Those are all the questions I have. We appreciate your taking time to help us with our research project.

ENTER TIME NOW: __ __ : __ __ timeend 70 Appendix B 2 In Use Vehicle Usage and Emissions OMB Clearance # 2060 0078 Expires: ??/??/????

Vehicle Owners Questionnaire Respondent Group 2: Heavy Duty Vehicle Owners from Registration Lists Respondent Identification Number _______________________. Interviewer Identification Number ________________________.

The public reporting and recordkeeping burden for this collection of information is estimated to average 25 minutes per response Burden means the total time, effort, or financial resources expended by persons to generate, maintain, retain, or disclose or provide information to or for a Federal agency. This includes the time needed to review instructions; develop, acquire, install, and utilize technology and systems for the purposes of collecting, validating, and verifying information, processing and maintaining information, and disclosing and providing information; adjust the existing ways to comply with any previously applicable instructions and requirements; train personnel to be able to respond to a collection of information; search data sources; complete and review the collection of information; and transmit or otherwise disclose the information. 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. To comment on the Agency's need for this information, the accuracy of the provided burden estimates, and any suggested methods for minimizing respondent burden, including the use of automated collection techniques, EPA has established a public docket for this ICR under Docket ID No. OAR 2003 0006, which is available for public viewing at the Air and Radiation Docket in the EPA Docket Center ( EPA/ DC), EPA West, Room B102, 1301 Constitution Ave., NW, Washington, DC. The EPA Docket Center Public Reading Room is open from 8: 30 a. m. to 4: 30 p. m., Monday through Friday, excluding legal holidays. The telephone number for the Reading Room is ( 202) 566 1744, and the telephone number for the Air and Radiation Docket is ( 202) 566 1742. An electronic version of the public docket is available through EPA Dockets ( EDOCKET) at http:// www. epa. gov/ edocket. Use EDOCKET to submit or view public comments, access the index listing of the contents of the public docket, and to access those documents in the public docket that are available electronically. Once in the system, select A search,@ then key in the docket ID number identified above. Also, you can send comments to the Office of Information and Regulatory Affairs, Office of Management and Budget, 725 17th Street, NW, Washington, DC 20503, Attention: Desk Office for EPA. Please include the EPA Docket ID No. ( OAR 2003 0006) and OMB control number ( 2060 0078) in any correspondence. 71 C ONTACT LOG AND DISPOSITION Date ( mm/ dd/ yyyy) Day of week Time Comments Contact Result Code Interview Result Code Interviewer ID No.

M T W T F S S am/ pm M T W T F S S am/ pm M T W T F S S am/ pm M T W T F S S am/ pm M T W T F S S am/ pm M T W T F S S am/ pm M T W T F S S am/ pm M T W T F S S am/ pm M T W T F S S am/ pm M T W T F S S am/ pm M T W T F S S am/ pm M T W T F S S am/ pm M T W T F S S am/ pm TOTAL CONTACTS: __________.

Pending Codes 01 = No Answer 02 = Number out of Service 03 = Wrong number 04 = Reached Answering Machine 05 = Intended Respondent not at listed Number. 06 = Unable to Reach Knowledgeable Respondent 07 = Respondent requested callback at later time ( indicate in Comments). 08 = Language Barrier 09 = Other ( specify in comments section). Final Codes 10 = No answer after repeated contacts 11 = No contact with live person after repeated contacts 12 = Valid number unavailable for intended respondent 13 = Knowledgeable respondent unavailable after repeated contacts 14 = Language barrier 15 = Refusal 16 = Made contact with knowledgeable respondent 17 = Other ( specify in comments section)

INTERVIEW RESULT CODES Pending Codes 30 = Knowledgeable respondent unavailable, call back 31 = Break off ( no interview) 32 = Break off ( partial interview) 33 = Language barrier 34 = Refusal 35 = Other ( specify in comments) Final Codes 40 = Interview complete 41 = Refusal 42 = Break off ( partial interview) 43 = Knowledgeable respondent unavailable after repeated calls 44 = Intended respondent not at listed address, phone 45 = Language barrier 72 46 = Other ( specify in comments)

Heavy Duty Vehicle Usage and Emissions Vehicle Owners Questionnaire Interview ID:_______________________. Date Completed:____/____/_______.

Enter R= s Information Name:___________________________________________________. Enter R's Establishment Name:_________________________________________________. Enter R= s Address: No. & Street __________________________________. City, town or village __________________________________. State __________ ZIP: __________________. Enter R= s Phone: __ __ __  __ __ __  __ __ __ __.

I. Introduction A. Name of Recruitment Contractor and Sponsor of Survey Hello. This is ( NAME), calling from < name of survey contractor>. May I speak with owner of the fleet manager?

ONCE THE OWNER OR THE FLEET MANAGER IS LOCATED PROCEED.

C. Introductory letter Did you get a letter telling you about the survey? ( IF YES, CONTINUE, IF NO, OR DON= T KNOW, (` Let me tell you about it') ( IF R WOULD LIKE ANOTHER LETTER SENT (` We will send another copy')

II. Saliency of Survey A. Purpose of Survey The purpose of the survey is to get heavy duty diesel vehicle use and emissions data to determine what needs to be done to clean the nation's air and improve its transportation system.

B. Why Them Out of the pool of heavy duty vehicles you and other owner/ operators were randomly selected to represent heavy duty diesel vehicles in the < sample area>. The success of this survey is very much due to our success in getting those we call to participate.

C. Guarantees to Participants Your participation is entirely voluntary. Your name and your company's will not be connected with your 73 answers in any way. Your name, address, and phone number will be used only to contact you for this survey and will not be sold or shared with other governmental agencies or private companies.

The data from this survey will be for research purposes only. There is no liability to you, your company, or to anyone who participates.

III. Survey Enter Time Now ___:___

A. Confirmation of Owner's Name and Address 1. I just want to verify that your organization is < Establishment Name, AS ABOVE>, and that your address is < Establishment Address, AS ABOVE).

IF NAME OR ADDRESS DIFFERS FROM THAT LISTED ABOVE, UPDATE AND ENTER BELOW:

Name:_________________________________________________________________. Establishment Name:_____________________________________________________. No. & Street __________________________________. City, town or village __________________________________. State __________ ZIP: __________________.

2. If you choose to participate in the full survey would you prefer that we communicate with you that way?

Yes                                      .  ... 1 No                                         . 0 IF YES TAKE DOWN EMAIL ADDRESS:

Email address:_____________________

B. Questions Concerning Ownership/ Knowledge of Vehicle 3. We randomly selected < Model of Vehicle for Registration List> to be the subject of our survey. Do you own a < Model of Vehicle for Registration List>?

Yes                                      .  ... 1 No                                         . 0 4. IF NO ASK: Did you own one at one time?

Yes                                      .  ... 1 No                                         . 0 5. IF YES ASK: Can you help us contact the present owner? 74 Yes                                      .  ... 1 No                                         . 0 IF NO GO TO SECTION G. QUESTIONS CONCERNING OTHER VEHICLES.

IF YES TAKE DOWN THE CONTACT INFORMATION AND PROCEED TO SECTION G. QUESTIONS CONCERNING OTHER VEHICLES New Owner Information Name:_____________________________ Address:____________________________ City, State, ZIP:____________________________ Phone:______________________________

6. Are you the person that knows the most about the vehicle?

Yes                                      .  ... 1 No                                         . 0 IF YES PROCEED IF NO, ATTEMPT TO GET A HOLD OF THE KNOWLEDGEABLE PERSON.

C. Questions Concerning Vehicle Use 7. Is the vehicle still being used?

Yes                                      .  ... 1 No                                         . 0 8. IF YES ASK: Has it been driven in the last month?

Yes                                      .  ... 1 No                                         . 0 9. Can it be driven now?

Yes                                      .  ... 1 No                                         . 0 10. What best characterizes the vehicles use?

Short Haul                                      . 1 Long Haul                                      . 0 D. Introduction to PEMS/ PAMS installation Our program needs to collect emission and use data during the normal operation of your vehicle. That means 75 we will have to instrument your vehicle to obtain the data. The instrumentation comes in different sizes and configurations so we need to check if you have enough room in your vehicle for it if you choose to participate. The install will done at your convenience and at a suitable location. The install takes about 30 minutes.

E. Questions Concerning the Suitability of Installing PEMS 11. Does the vehicle have dual exhaust?

Yes                                      .  ... 1 No                                         . 0 12. Is the exhaust non standard in anyway?

Yes                                      .  ... 1 No                                         . 0 If Yes: Write a short description ________________________________________________________________________ ________________________________________________________________________ ________________________________________________________________________

13. Is there enough room in the vehicle interior for us to install a device the size of four carry on pieces of luggage?

Yes                                      .  ... 1 No                                         . 0 14. Do you have any objections to have an weather and tamperproof instrument package installed externally on the truck?

Yes                                      .  ... 1 No                                         . 0 F. Offer of participation 15. Are you interested in participating in our sampling program?

Yes                                      .  ... 1 No                                         . 0 IF NO SAY: As we have said before the data collected from this research program will be held in strict confidence and will be used for research purposes only. It will not be traceable to you or to the person driving vehicle when the sample is taken. I We are entirely liable for the instrumentation. It will not hurt you vehicle in any manner and will not inhibit the 76 use of your vehicle in anyway except taking up some space. If for some unlikely reason the instrument damages your vehicle we are liable for those damages.

We will do the installation and removal of our equipment in the most convenient time and place for you.

We will reimburse you for any mileage placed on your vehicle due to installation, removal, or repair of the instrument beyond those miles that are associated with your normal driving.

16. IF THEY STILL REFUSE ASK: Can we give you some more time to reconsider and contact you at a later time?

Yes                                      .  ... 1 No                                         . 0 G. Questions Concerning Other Vehicles 17. Do you own other vehicles?

Yes                                      .  ... 1 No                                         . 0 IF NO PROCEED TO SECTION IV. FURTHER INSTRUCTIONS 18. IF YES ASK: What is the make, model, fuel type and model year of those vehicles?

List Vehicles Ma ke Mo del Fuel Type Diesel/ Gasoline/ CNG/ LPG Mo del Year Lo ng Haul or Short Haul 19. Can we contact you in the near future about including the vehicles in our study?

Yes                                      .  ... 1 No                                         . 0 IV. Further instructions To All:

Your incentive will arrive in the mail with in five business days. If you did not receive it by then please call 666 666 6666. 77 To Participants:

You will be contacted by our instrument installation staff to arrange a convenient time to install the sampling equipment, provide you with a short demonstration on what is going to happen when the equipment is operating, and provide you with some contact information in case something unexplained happens to the equipment while you have it on your vehicle.

V. Exit 20. Do you have any questions about this phone survey or the program in general?

ANSWER ANY QUESTION AND PROMISE TO CALL THEM BACK WITH ANSWERS TO QUESTIONS THAT YOU CURRENTLY DO NOT HAVE ANSWERS FOR.

Thank you. Those are all the questions I have. We appreciate your taking time to help us with our research project.

ENTER TIME NOW: __ __ : __ __ timeend 78 Appendix B 3 OMB Clearance # 2060 0078 Expires: ??/??/????

In Use Vehicle Usage and Emissions Vehicle Owners Questionnaire Respondent Group 3: Light Duty Vehicle Owners Selected from an Inspection and Maintenance Lane Respondent Identification Number _______________________. Interviewer Identification Number ________________________.

T he public reporting and recordkeeping burden for this collection of information is estimated to average 25 minutes per response Burden means the total time, effort, or financial resources expended by persons to generate, maintain, retain, or disclose or provide information to or for a Federal agency. This includes the time needed to review instructions; develop, acquire, install, and utilize technology and systems for the purposes of collecting, validating, and verifying information, processing and maintaining information, and disclosing and providing information; adjust the existing ways to comply with any previously applicable instructions and requirements; train personnel to be able to respond to a collection of information; search data sources; complete and review the collection of information; and transmit or otherwise disclose the information. 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. To comment on the Agency's need for this information, the accuracy of the provided burden estimates, and any suggested methods for minimizing respondent burden, including the use of automated collection techniques, EPA has established a public docket for this ICR under Docket ID No. OAR 2003 0006, which is available for public viewing at the Air and Radiation Docket in the EPA Docket Center ( EPA/ DC), EPA West, Room B102, 1301 Constitution Ave., NW, Washington, DC. The EPA Docket Center Public Reading Room is open from 8: 30 a. m. to 4: 30 p. m., Monday through Friday, excluding legal holidays. The telephone number for the Reading Room is ( 202) 566 1744, and the telephone number for the Air and Radiation Docket is ( 202) 566 1742. An electronic version of the public docket is available through EPA Dockets ( EDOCKET) at http:// www. epa. gov/ edocket. Use EDOCKET to submit or view public comments, access the index listing of the contents of the public docket, and to access those documents in the public docket that are available electronically. Once in the system, select A search,@ then key in the docket ID number identified above. Also, you can send comments to the Office of Information and Regulatory Affairs, Office of Management and Budget, 725 17th Street, NW, Washington, DC 20503, Attention: Desk Office for EPA. Please include the EPA Docket ID No. ( OAR 2003 0006) and OMB control number ( 2060 0078) in any correspondence. 79 C ONTACT LOG AND DISPOSITION Date ( mm/ dd/ yyyy) Day of week Time Comments Contact Result Code Interview Result Code Interviewer ID No.

M T W T F S S am/ pm M T W T F S S am/ pm M T W T F S S am/ pm M T W T F S S am/ pm M T W T F S S am/ pm M T W T F S S am/ pm M T W T F S S am/ pm M T W T F S S am/ pm M T W T F S S am/ pm M T W T F S S am/ pm M T W T F S S am/ pm M T W T F S S am/ pm M T W T F S S am/ pm TOTAL CONTACTS: __________.

Pending Codes 01 = No Answer 02 = Number out of Service 03 = Wrong number 04 = Reached Answering Machine 05 = Intended Respondent not at listed Number. 06 = Unable to Reach Knowledgeable Respondent 07 = Respondent requested callback at later time ( indicate in Comments). 08 = Language Barrier 09 = Other ( specify in comments section). Final Codes 10 = No answer after repeated contacts 11 = No contact with live person after repeated contacts 12 = Valid number unavailable for intended respondent 13 = Knowledgeable respondent unavailable after repeated contacts 14 = Language barrier 15 = Refusal 16 = Made contact with knowledgeable respondent 17 = Other ( specify in comments section)

INTERVIEW RESULT CODES Pending Codes 30 = Knowledgeable respondent unavailable, call back 31 = Break off ( no interview) 32 = Break off ( partial interview) 33 = Language barrier 34 = Refusal 35 = Other ( specify in comments) Final Codes 40 = Interview complete 41 = Refusal 42 = Break off ( partial interview) 43 = Knowledgeable respondent unavailable after repeated calls 44 = Intended respondent not at listed address, phone 45 = Language barrier 80 46 = Other ( specify in comments) 81 Light Duty Vehicle Usage and Emissions Vehicle Owners Questionnaire Interview ID:_______________________. Date Completed:____/____/_______.

I. Introduction Hello. This is ( NAME), calling from < name of survey contractor>. May I speak with R?

II. Saliency of Survey A. Purpose of Survey The purpose of our survey is to get vehicle use and emissions data to determine what needs to be done to clean the nation's air and improve its transportation system.

B. Why Them You have been selected from the I/ M lane for our survey because your vehicle has properties we are interested in. Your vehicle shall represent those properties in our survey for vehicles like in the < sample area>. The success of the survey is very much due to our success in getting those we talk to participate.

C. Guarantees to Participants Your participation is entirely voluntary, and your name will not be connected with your answers in any way. Your name, address, and phone number will be used only to contact you for this survey and will not be sold or shared with other governmental agencies or private companies.

The data from this survey will be for research purposes only. There is no liability to you or to anyone who participates.

III. Survey Enter Time Now __ __ : __ __ timebegin A. Confirmation of Owner's Name and Address 1. I would first like to get your name is < Name, AS ABOVE>, and that your address is < Address, AS ABOVE).

IF NAME OR ADDRESS DIFFERS FROM THAT LISTED ABOVE, UPDATE AND ENTER BELOW:

Name:_________________________________________________________________. No. & Street __________________________________. City, town or village __________________________________. 82 State __________ ZIP: __________________.

2. Do you have an e mail address and would you prefer that we communicate with you that way?

IF YES TAKE DOWN EMAIL ADDRESS:

Email address:_____________________

B. Questions Concerning Ownership/ Knowledge of Vehicle 3. Are you the owner of the vehicle?

Yes                                      .  ... 1 No                                         . 0 4. IF NO ASK: Can you speak for the owner concerning possible participation in our survey?

Yes                                      .  ... 1 No                                         . 0 5. IF NO ASK: If we loaned you our cell phone can you get in touch with the owner immediately?

Yes                                      .  ... 1 No                                         . 0 6. Is the vehicle primarily used for personal transportation?

Yes                                      .  ... 1 No                                         . 0 .

IF NO GO TO SECTION G. QUESTIONS CONCERNING OTHER VEHICLES.

C. Introduction to PEMS/ PAMS installation Our program needs to collect emission and use data during the normal operation of your vehicle. That means we will have to instrument your vehicle to obtain the data. The instrumentation comes in different sizes and configurations so we need to check if you have enough room in your vehicle for it if you choose to participate. If the installation takes longer than what meets your schedule we will loan you a new vehicle to use at not cost so you don't have to wait around. The install takes about 30 minutes.

E. Offer of participation 83 7. Are you interested in participating in our sampling program?

Yes                                      .  ... 1 No                                         . 0 IF NO SAY: As we have said before the data collected from this research program will be held in strict confidence and will be used for research purposes only. It will not be traceable to you or to the person driving vehicle when the sample is taken.

We are entirely liable for the instrumentation. It will not hurt you vehicle in any manner and will not inhibit the use of your vehicle in anyway except taking up some space. If for some unlikely reason the instrument damages your vehicle we are liable for those damages.

We will do the installation and removal of our equipment in the most convenient time and place for you.

We will reimburse you for any mileage placed on your vehicle due to installation, removal, or repair of the instrument beyond those miles that are associated with your normal driving.

8. IF THEY STILL REFUSE ASK: Can we give you some more time to reconsider and contact you later ?

Yes                                      .  ... 1 No                                         . 0 G. Questions Concerning Other Vehicles 9. Do you own other vehicles?

Yes                                      .  ... 1 No                                         . 0 IF NO PROCEED TO SECTION H. FURTHER INSTRUCTIONS 10. IF YES ASK: What is the make, model, fuel type and model year of those vehicles?

LIST VEHICLES IN TABLE Make Model Fuel Type Diesel/ G asoline/ CNG/ LPG Model Year 84 11. Can we contact you in the near future about including the vehicles in our study?

Yes                                      .  ... 1 No                                         . 0 IV. Further instructions To All:

Your incentive will arrive in the mail with in five business days. If you did not receive it by then please call 666 666 6666.

To Participants:

You will be contacted by our instrument installation staff to arrange a convenient time to install the sampling equipment, provide you with a short demonstration on what is going to happen when the equipment is operating, and provide you with some contact information in case something unexplained happens to the equipment while you have it on your vehicle.

V. Exit 12. Do you have any questions about this phone survey or the program in general?

ANSWER ANY QUESTION AND PROMISE TO CALL THEM BACK WITH ANSWERS TO QUESTIONS THAT YOU CURRENTLY DO NOT HAVE ANSWERS FOR.

Thank you. Those are all the questions I have. We appreciate your taking time to help us with our research project.

ENTER TIME NOW: __ __ : __ __ timeend