[Federal Register Volume 65, Number 201 (Tuesday, October 17, 2000)]
[Rules and Regulations] [Pages 61743-62273]
[FR Doc No: 00-19099]

[ELECTRIC ARC FURNACES, part 60, subpart AA and AAA starts on page 8.]

Part II
Environmental Protection Agency
40 CFR Part 60, 61, and 63

Amendments for Testing and Monitoring Provisions; Final Rule

Federal Register / Vol. 65, No. 201 / Tuesday, October 17, 2000 /
Rules and Regulations

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ENVIRONMENTAL PROTECTION AGENCY
40 CFR Parts 60, 61, and 63
[FRL-6523-6] RIN 2060-AG21

Amendments for Testing and Monitoring Provisions
AGENCY: Environmental Protection Agency (EPA).
ACTION: Final rule: amendments.

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SUMMARY: In this rule, we, the Environmental Protection Agency (EPA)  are making final minor amendments to our stationary source testing and  monitoring rules. These amendments include miscellaneous editorial  changes and technical corrections that are needed. We are also  promulgating Performance Specification 15, which contains the criteria  for certifying continuous emission monitoring systems (CEMS) that use  fourier transform infrared spectroscopy (FTIR). In addition, we are  changing the outline of the test methods and CEMS performance  specifications already listed in Parts 60, 61, and 63 to fit a new  format recommended by the Environmental Monitoring Management Council  (EMMC). The editorial changes and technical corrections update the  rules and help maintain their original intent. Performance  Specification 15 will provide the needed acceptance criteria for FTIR  CEMS as they emerge as a new technology. We are reformatting the test  methods and performance specifications to make them more uniform in  content and interchangeable with other Agency methods. The amendments  apply to a large number of industries that are already subject to the  current provisions of Parts 60, 61, and 63. Therefore, we have not  listed specific affected industries or their Standard Industrial  Classification codes here.

DATES: Effective Date. This regulation is effective October 17, 2000. The incorporation by reference of certain publications listed in the rule is approved by the Director of the Federal Register as of October 17, 2000.

ADDRESSES: Docket. Docket No. A-97-12, contains information relevant to  this rule. You can read and copy it between 8 a.m. and 5:30 p.m.,  Monday through Friday, (except for Federal holidays), at our Air and  Radiation Docket and Information Center, U.S. Environmental Protection  Agency, 401 M Street, SW., Washington, DC 20460; telephone (202) 260- 7548. Go to Room M-1500, Waterside Mall (ground floor). The docket  office may charge a reasonable fee for copying.

     Summary of Comments and Responses Document. You may obtain the  Summary of Comments and Responses Document over the Internet at http://www.epa.gov/ttn/emc; choose the ``Methods'' menu, then choose the  ``Summary of Comments and Responses'' hypertext under Category A.

  FOR FURTHER INFORMATION CONTACT: Mr. Foston Curtis, Emission  Measurement Center (MD-19), Emissions, Monitoring, and Analysis  Division, U.S. Environmental Protection Agency, Research Triangle Park,  North Carolina 27711; telephone<PHONE_NUMBER>; facsimile number<PHONE_NUMBER>; electronic mail address ``[email protected]''.

  SUPPLEMENTARY INFORMATION: Outline. The information presented in this  preamble is organized as follows:

I. Why were these amendments made?
II. What does the new EMMC Format for methods look like?
III. What were the significant public comments and what resulting
changes were made since proposal?
    A. Updates to the ASTM Methods
    B. Performance requirements for continuous instrumental methods
of Part 60--Methods 3A, 6C, 7E, 10, and 20
    C. Method 18 (Part 60)
    D. Method 25 (Part 60)
    E. Performance Specification 15 (Part 60)
IV. What revisions were made that were not in the proposed rule?
V. What are the administrative requirements for this rule?
    A. Docket
    B. Office of Management and Budget Review
    C. Regulatory Flexibility Act Compliance
    D. Paperwork Reduction Act
    E. Unfunded Mandates Reform Act
    F. E.O. 13132--Federalism
    G. E.O. 13084--Consultation and Coordination with Indian Tribal
Governments
    H. Executive Order 13084--Protection of Children from
Environmental Health Risks and Safety Risks
    I. Submission to Congress and the General Accounting Office
    J. National Technology Transfer and Advancement Act
    K. Plain Language in Government Writing

 Why Were These Amendments Made?

     We have compiled miscellaneous errors and editions that are needed  for the test methods, performance specifications, and associated  regulations in 40 CFR Parts 60, 61, and 63. The corrections and  revisions consist primarily of typographical errors, technical errors  in equations and diagrams, and narrative that is no longer applicable  or is obsolete. Some of the revisions were brought to our attention by  the public. The major changes to the rule proposed on August 27, 1997  that resulted from public comments are discussed in Section III. Please  note that, although numerous technical corrections were made to Parts  60, 61, and 63 rules, none affected a compliance standard or reporting  or recordkeeping requirement. Revisions were only made to sections that  pertain to source testing or monitoring of emissions and operations.

II. What Does the New EMMC Format for Methods Look Like?

    The new EMMC format we have adopted for analytical methods was  developed by consensus and will help integrate make consistent the test  methods written by different EPA programs. The test methods and  performance specifications being restructured in the new format are  shown in Table 1.

  Table 1.--Test Methods and Performance Specifications Restructured in the EMMC Format
------------------------------------------------------------------------
 40 CFR 60 App. A   40 CFR 60 App. B      40 CFR 61         40 CFR 63
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 1, 1A             PS-2               101, 101A         303, 303A
 2, 2A, 2B, 2C,    PS-3               102               304A, 304B
 2D, 2E
 3, 3A, 3B         PS-4, PS-4A        103               305
 4                 PS-5               104               306, 306A, 306B
 5, 5A, 5B, 5D,    PS-6               105
 5E, 5F, 5G, 5H
 6, 6A, 6B, 6C     .................  106
 7, 7A 7B, 7C,     .................  107, 107A
 7D, 7E
 8                 .................  108, 108A, 108B,
                                       108C
 10, 10A, 10B      .................  111
 11
 12

 13A, 13B
 14
 15, 15A
 16, 16A, 16B
 17
 18
 19
 20
 21
 22
 23
 24, 24A
 25, 25A, 25B,
 25C, 25D, 25E
 26, 26A
 27
 28, 28A
 29
------------------------------------------------------------------------

    The methods and specifications listed in Table 1 were restructured  in the format shown in Table 2. Only in a few instances were there  deviations from this recommended format.
                          Table 2.--EMMC Format
------------------------------------------------------------------------
               Section No.                        Section heading
------------------------------------------------------------------------
1.0....................................  Scope and Application.
2.0....................................  Summary of the Method.
3.0....................................  Definitions.
4.0....................................  Interferences.
5.0....................................  Safety.
6.0....................................  Equipment and Supplies.
7.0....................................  Reagents and Standards.
8.0....................................  Sample Collection,
                                          Preservation, Storage and
                                          Transport.
9.0....................................  Quality Control.
10.0...................................  Calibration and
                                          Standardization.
11.0...................................  Analytical Procedure.
12.0...................................  Calculations and Data Analysis.
13.0...................................  Method Performance.
14.0...................................  Pollution Prevention.
15.0...................................  Waste Management.
16.0...................................  References.
17.0...................................  Tables, Diagrams, Flowcharts,
                                          and Validation Data.
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III. What Were the Significant Public Comments and What Resulting Changes Were Made Since Proposal?

    We asked that public comments on the August 27, 1997 proposal (62  FR 45369) be submitted by October 27, 1997. On November 18, 1997, we  reopened (62 FR 61483) the comment period to allow additional time for  review and comment. We received comments from facility owners and  operators, trade associations, State and Local air pollution control  agencies, environmental consultants, and private citizens. Their  comments were considered in developing this final action. A detailed  discussion of all comments are contained in the Summary of Comments and  Responses Document (see ADDRESSES section of this preamble). The major  public comments and the Agency's responses are summarized below.

A. Update to ASTM Methods

    Several commenters supported our updating the references to ASTM  Standards to include the dates of the most recent versions. However,  some were concerned that updated standards not supplant the versions  previously allowed and those promulgated with the original regulation.  The ASTM recommended we follow the tradition of other governmental  agencies and list only the latest version of each standard. This would  present the latest, most improved standard. They felt that previously  approved versions would still be acceptable for future use, and this  could be noted in the preamble to the final rule.

	On January 14, 1998, we published a supplementary Federal Register  notice to solicit public comments on this idea. We received three  comment letters. All commenters objected to the idea of listing only  the latest version of the ASTM standard. The commenters noted problems  that would be encountered with State Implementation Plans (SIP) wherein  only the specific ASTM standards listed in the subparts would be  allowed. They feared that listing only the latest version of the  standard would change the current allowance to use earlier versions.  This could potentially change the intent of the original emission  standard. Most commenters didn't think a preamble explanation was  sufficient assurance for continued allowance of earlier versions since  preambles are not published in the Code of Federal Regulations. There  were additional concerns for laboratories using currently acceptable  versions who would need to upgrade their practice to reflect the latest  version of a standard. The commenters were not amenable to only listing  the latest standard unless [[Page 61746]]language were added to the General Provisions of each part stating that  previously allowed versions of the standards were still allowed at the  discretion of the source. We feel the commenters have valid concerns  and have decided to continue the convention of listing all acceptable  versions of the ASTM standards including the new updates. The intent of  this action is to allow any of the yearly-designated versions of a  specific standard to be used in the applications where cited.

B. Performance Requirements for Continuous Instrumental Methods of Part
60--Methods 3A, 6C, 7E, 10, and 20

    Several commenters thought the preamble language for this proposal  gave inadequate notice of the changes being made. Commenters stated  that, in the proposal, we did not provide an adequate basis and purpose  statement and misled the readers into thinking that the proposal  contained no substantive changes to these test methods. Based on the  number of substantive changes in this proposal, and in light of the  Section 307(d) requirements, the commenters felt that we must address  these issues in a new proposal before the revisions can go final with  the rest of the package. We agree with the commenters that the preamble  to the proposed rule may not have given adequate public notice for some  of the revisions. The revisions to the continuous instrumental methods  (Methods 3A, 6C, 7E, 10, and 20) may be considered substantive, but  were not enumerated in the preamble nor was a supporting rationale  given. Therefore, the revisions to Methods 3A, 6C, 7E, 10, and 20 will  be reproposed as a separate rule. The comments already received on the  proposal of these methods will be held for consideration with any  future comments that result from the reproposal.

C. Method 18 (Part 60, Appendix A)

    One commenter thought Method 18 was difficult to follow. The  commenter suggested that, to simplify organization of the method, we  should divide the method into five categories. Each title would begin  with ``Measurement of Gaseous Organic Compounds by Gas Chromatography''  but have the following subtitles:
18A--Evacuated container sampling procedure.
18B--Bag sampling procedure.
18C--Direct interface procedure.
18D--Dilution interface procedure.
18E--Adsorption tube sampling procedure.

    Another commenter suggested dividing the method into two different  methods, one for the direct extractive technique, and the other for  sample collection into bags, flasks, or adsorbents.

    The method is currently divided according to the various sampling  procedures; for example, Section 8.2.2 is the Direct Interface Sampling  and Analysis Procedures, Section 8.2.3 is Dilution Interface Sampling  and Analysis Procedures, and so on. We do not believe that multiple  sampling procedures warrant dividing Method 18 into separate methods.  We feel a single method allowing different procedures offers the source  greater flexibility than citing specific procedures for particular  situations. One commenter noted that the proposed method requires  triplicate injections for analysis of the calibration standards used  for preparing the pre-test calibration curve, triplicate injections of  the test samples, and triplicate injections for construction of the  post-test calibration curve. The commenter questioned the additional  accuracy expected for the extra hours spent in sample analysis and  calibration while in the field conducting a source test compared to the  current method which requires two consecutive analyses for pre- and  post-test calibration and sample analyses meeting the same criteria for  acceptance. We are increasing the calibration requirement to triple  injections to tighten the method's quality assurance procedures.  Triplicate calibration injections is the normal procedure prevalent in  the analytical community, as well as in other Agency methodologies. It  is difficult to establish precision and accuracy with duplicate  injections. However, triplicate injections provide a reasonable measure  of analytical precision without being overly burdensome. We do not feel  the increase in time and costs associated with the third injection will  significantly affect a typical test, considering the added benefits to  data quality that are gained.

    Several commenters asked us to revise and clarify various aspects of Section 10. We have made these modifications to address their concerns.

    Regarding Section 13.1, one commenter noted that Method 18 is not a method in the general sense, but is more of a guideline on how to develop and document a test method. The commenter therefore felt that  any prospective method should be written up and submitted to us along  with the proper documentation that includes recovery study results. We  disagree with this commenter. Method 18, which has been cited and used  for many years, is a specific gas chromatography method with specific  sampling, analytical, and data quality requirements. The method was  written to accommodate many test sites having many possible target  compounds and gas matrices. The tester has been given numerous  sampling, separation, and analytical system options to make the method  adaptable to the needs of various compliance demonstrations.

     Several commenters asked us to clarify the 5 to 10 percent relative standard deviation (RSD) requirement for calibration standards in Section 13.1.

    We have added clarity to Section 13.1. The 5 to 10 percent RSD is not a precision criterion for calibration standards but a typical precision range for analyzing field samples. Five percent RSD is required for triplicate injections of calibration standards.

D. Method 25 (Part 60, Appendix A)

    One commenter noted that Method 25 has limitations due to  conditions that may exist in stack gas. If such conditions exist, the  commenter recommends interfacing a nonmethane analyzer directly to the  source or use Method 25A or 25B to measure the emissions. The commenter  recommended modifying Method 25 to allow instruments that are able to  determine the methane and nonmethane portions using components  different from those described by Method 25 when the analyzer is  directly interfaced to the source. The commenter feels that Method 25  would be more practical for determining methane/nonmethane emissions at  the field site if the method could be modified to allow these other  analyzers. The commenter feels that it will also be necessary that  fixed performance specifications be defined in the method, such as  those for Method 6C. We believe these comments address method changes  that are beyond those covered in the proposal and are, therefore,  beyond the scope of this action. The commenter is encouraged to pursue  these method changes through other appropriate channels such as  submitting a request to use them as an alternative method.

E. Performance Specification 15 (Part 60, Appendix B)

    One commenter noted that the statement of applicability for the  demonstration is limited to the criteria we gave. The commenter stated  that, with performance based measurement systems, the focus is on data  quality objectives (DQO) where the performance specifications are  coupled with the DQO. We believe the purpose of reference methods and,  in this case  [[Page 61747]]  performance specifications, is to provide standard procedures for  sources to follow in order to provide quality emission data. However,  we do provide latitude to sources by publishing performance-based  methods and PS whenever possible. This performance specification is one  such procedure; as long as an FTIR sampling system meets the  requirements of the performance specifications, it can be used for any  regulated pollutant.

     Based on public comments and upon further deliberation, we have  removed the system calibration requirement from Section 10.3 of PS-15.  Since both a system calibration and the calibration transfer standard  measurement basically test instrument function, having both of these  requirements in the performance specifications is redundant.

    One commenter felt that the number of runs should be given as  ``guidance'' rather than made a requirement. We set the requirement for  nine runs (when comparing the FTIR to a reference method) and 10 runs  (when comparing the FTIR to a reference monitor) because these are standard procedures for performance specifications. We note that this  performance specification also allows analyte spiking as an option;  therefore, a revision on this point is not necessary.

    One commenter noted that Section <IP_ADDRESS>.3 states ``if the RM is a CEM, synchronize the sampling flow rates of the RM and the FTIR CEM.'' The commenter noted that instrumental analyzers are currently used for reference methods. EPA Methods 6C, 7E, 3A, and 10 measure SO2, NOX, O2, CO2, and CO on a continuous basis for a short period of time and are referred to as instrumental analyzers and not CEMs. The commenter felt the statement should read ``if the reference method is an instrumental analyzer, synchronize the sampling flow rates of the RM and the FTIR.'' We agree with the commenter and have made the noted change.

IV. What Revisions Were Made That Were Not in the Proposed Rule?

    A revision was made to Section 6.6 of Method 21 of Part 60 to  clarify the VOC monitoring instrument specifications. The requirement  for the instrument to be intrinsically safe for Classes 1 and 2,  Division 1 conditions has been amended to require them to be  intrinsically safe for Class 1 and/or Class 2, Division 1 conditions,  as appropriate. The performance test provisions of Sec. 60.754(d) for  determining control device efficiency when combusting landfill gas were  amended to allow the use of Method 25 as an alternative to Methods 18  and 25C. The tester has the option of using either Method 18, 25, or  25C in this case. These amendments were not published in the proposed  rule.

Dated: January 10, 2000. Carol M. Browner, Administrator.

    For the reasons stated in the preamble, The Environmental Protection Agency amends title 40, chapter I of the Code of Federal Regulations as follows:
PART 60--STANDARDS OF PERFORMANCE FOR NEW STATIONARY SOURCES [ELECTRIC ARC FURNACES]

    1. The authority citation for part 60 continues to read as follows:

    Authority: 42 U.S.C. 7401, 7411, 7413, 7414, 7416, 7601, and 7602.

Sec. 60.274  [Amended] [ELECTRIC ARC FURNACES, part 60, subpart AA]

    85. Amend Sec. 60.274 as follows:
    a-b. Paragraph (a)(4) is amended by revising the words ``under paragraph (e) of this section'' to read ``under paragraph (f) of this section.''
    c. In Sec. 60.274, paragraph (i), the first sentence is amended by revising the words ``required by Sec. 60.275(c)'' to read ``required by Sec. 60.276(c).''
    d. In Sec. 60.274, by revising paragraph (i)(4) to read as follows:

Sec. 60.274  Monitoring of operations.

* * * * *
    (i) * * *
    (4) Continuous opacity monitor or Method 9 data.
* * * * *

Sec. 60.275  [Amended]

    86. Amend Sec. 60.275 as follows:
    a. Paragraph (e)(2) is amended by revising the words ``more then one control'' to read ``more than one control.''
    b. Paragraph (e)(4) is amended by revising the words ``the test runs shall be conducted concurrently'' to read ``the Method 9 test runs shall be conducted concurrently with the particulate matter test runs.''
    c. In paragraph (i), the fifth sentence is amended by revising the words ``In the case, Reference Method 9'' to read ``In this case, Method 9.''

Sec. 60.276  [Amended]

    87. Amend Sec. 60.276 by:
    a. Paragraphs (a) and (c)(6)(iv) are revised.
    b. In paragraph (b), the second sentence is amended by revising the words ``postmarked 30 days prior'' to read ``postmarked at least 30 days prior.''

    The revisions read as follows:

Sec. 60.276  Recordkeeping and reporting requirements.

    (a) Operation at a furnace static pressure that exceeds the value established under Sec. 60.274(g) and either operation of control system fan motor amperes at values exceeding 15 percent of the value established under Sec. 60.274(c) or operation at flow rates lower than those established under Sec. 60.274(c) may be considered by the  Administrator to be unacceptable operation and maintenance of the affected facility. Operation at such values shall be reported to the Administrator semiannually.
* * * * *
    (c) * * *
    (6) * * *
    (iv) Continuous opacity monitor or Method 9 data.
* * * * *

Sec. 60.274a  [Amended] [ELECTRIC ARC FURNACES, part 60, subpart AAa]

    88. Amend Sec. 60.274a by:
    a. In paragraph (c), the first sentence is revised, and paragraph (h)(4) is revised.
    b. Paragraph (f) is amended by adding the following sentence after the first sentence: ``The pressure shall be recorded as 15-minute integrated averages.''
    c. In paragraph (h), the first sentence is amended by revising the words ``required by Sec. 60.275a(d)'' to read ``required by Sec. 60.276a(f).''
    The revisions read as follows:

Sec. 60.274a  Monitoring of operations.

* * * * *
    (c) When the owner or operator of an EAF is required to demonstrate  compliance with the standards under Sec. 60.272a(a)(3), and at any other time that the Administrator may require (under section 114 of the  Act, as amended), either the control system fan motor amperes and all damper positions or the volumetric flow rate through each separately  ducted hood shall be determined during all periods in which a hood is operated for the purpose of capturing emissions from the affected facility subject to paragraph (b)(1) or (b)(2) of this section.

* * * * * * * *

    (h) * * *
    (4) Continuous opacity monitor or Method 9 data.
* * * * *

Sec. 60.275a  [Amended]

    89. In Sec. 60.275a, paragraph (e)(4) is amended by revising the  words ``the test runs shall be conducted concurrently'' to read ``the  Method 9 test runs shall be conducted concurrently with the particulate  matter test runs.''

Sec. 60.276a  [Amended]

    90. Amend Sec. 60.276a as follows:

 In paragraph (e), the second sentence is amended by revising the words ``postmarked 30 days prior'' to read ``postmarked at least 30  days prior.''

     b. Paragraph (f)(6)(iv) is amended by revising as follows:

Sec. 60.276a  Recordkeeping and reporting requirements.

* * * * *

     (f) * * *

     (iv) Continuous opacity monitor or Method 9 data.

* * * * *


[Federal Register Volume 78, Number 32 (Friday, February 15, 2013)]
[Notices]
[Pages 11271-11272]
[FR Doc No: 2013-03424]

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DEPARTMENT OF TRANSPORTATION

National Highway Traffic Safety Administration

[U.S. DOT Docket Number NHTSA-2013-0018]

Reports, Forms, and Record keeping Requirements

AGENCY: National Highway Traffic Safety Administration (NHTSA),
Department of Transportation.

ACTION: Request for public comment on proposed collection of
information.

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SUMMARY: Before a Federal agency can collect certain information from
the public, it must receive approval from the Office of Management and
Budget (OMB). Under procedures established by the Paperwork Reduction
Act of 1995, before seeking OMB approval, Federal agencies must solicit
public comment on proposed collections of information, including
extensions and reinstatement of previously approved collections.
    This document describes one collection of information for which
NHTSA intends to seek OMB approval.

DATES: Comments must be received on or before April 16, 2013.

ADDRESSES: You may submit comments [identified by DOT Docket No. NHTSA-
2013-0018] by any of the following methods:
     Federal eRulemaking Portal: Go to http://www.regulations.gov. Follow the online instructions for submitting
comments.
     Mail: Docket Management Facility: U.S. Department of
Transportation, 1200 New Jersey Avenue SE., West Building Ground Floor,
Room W12-140, Washington, DC 20590-0001
     Hand Delivery or Courier: West Building Ground Floor, Room
W12-140, 1200 New Jersey Avenue SE., between 9 a.m. and 5 p.m. ET,
Monday through Friday, except Federal holidays. Telephone: 1-800-647-
5527.
     Fax:<PHONE_NUMBER>
    Instructions: All submissions must include the agency name and
docket number for this proposed collection of information. Note that
all comments received will be posted without change to http://www.regulations.gov, including any personal information provided.
Please see the Privacy Act heading below.
    Privacy Act: 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.). You may review DOT's
complete Privacy Act Statement in the Federal Register published on
April 11, 2000 (65 FR 19477-78) or you may visit http://DocketsInfo.dot.gov.
    Docket: For access to the docket to read background documents or
comments received, go to http://www.regulations.gov. or the street
address listed above. Follow the online instructions for accessing the
dockets.

FOR FURTHER INFORMATION CONTACT: Complete copies of each request for
collection of information may be obtained at no charge from Shirlene
Ball, NHTSA 1200 New Jersey Avenue SE., W51-217, NPO 420, Washington,
DC 20590. Mrs. Ball's telephone number is<PHONE_NUMBER>.
    Please identify the relevant collection of information by referring
to its OMB Control Number.

SUPPLEMENTARY INFORMATION: Under the Paperwork Reduction Act of 1995,
before an agency submits a proposed collection of information to OMB
for approval, it must first publish a document in the Federal Register
providing a 60-day comment period and otherwise consult with members of
the public and affected agencies concerning each proposed collection of
information. The OMB has promulgated regulations describing what must
be included in such a document. Under OMB's regulation (at 5CFR
1320.8(d), an agency must ask for public comment on the following:
    (i) Whether the proposed collection of information is necessary for
the proper performanceb of the functions of the agency, including
whether the information will have practical utility;
    (ii) 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;
    (iii) How to enhance the quality, utility, and clarity of the
information to be collected;
    (iv) How 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 or
other forms of information technology, e.g. permitting electronic
submission of responses.
    In compliance with these requirements, NHTSA asks for public
comments on the following proposed collections of information:
    Title: Air Bag Deactivation.
    OMB Control Number: 2127-0588.
    Affected Public: Private individuals, fleet owners and lessees,
motor vehicle dealers, repair business.
    Abstract: If a private individual or lessee wants to install an air
bag on-off switch to turn-off either or both frontal air bags, they
must complete Form OMB 2127-0588 to certify certain statements
regarding use of the switch. The dealer or business must, in turn,
submit the completed forms to NHTSA within seven days. The submission
of the completed forms by the dealers and repair business to NHTSA, as
required, will serve the agency several purposes. They will aid the
agency in monitoring the number of authorization requests submitted and
the pattern in claims of risk group membership. The completed forms
will enable the agency to determine whether the dealers and repair
business are complying with the terms of the exemption, which include a
requirement that the dealers and repair businesses accept only fully
completed forms. Finally, submission of the completed forms to the
agency will promote honesty and accuracy in the filling out of the
forms by vehicle owners. The air bag on-off switches are installed only
in vehicles in which the risk of harm needs to be minimized on a case-
by-case basis.
    Estimated Annual Burden: 375 hours.
    Estimated Number of Respondents: 750.
    Comments are invited on: whether the proposed collection of
information is necessary for the proper performance of the functions of
the Department, including whether the information will have practical
utility; the accuracy of the Department's estimate of the burden of the
proposed information collection; ways to enhance the quality, utility
and clarity of the information to be collected; and ways to minimize
the burden of the collection of information on respondents, including
the use of automated collection techniques or other forms of
information technology.

Kevin Mahoney,
Director, Corporate Customer Services.
[FR Doc. 2013-03424 Filed 2-14-13; 8:45 am]
BILLING CODE 4910-59-P


[Federal Register Volume 79, Number 250 (Wednesday, December 31, 2014)]
[Notices]
[Pages 78850-78855]
[FR Doc No: 2014-30687]

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ENVIRONMENTAL PROTECTION AGENCY

[FRL-9921-10-OSWER]

Twenty-Seventh Update of the Federal Agency Hazardous Waste
Compliance Docket

AGENCY: Environmental Protection Agency.

ACTION: Notice.

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SUMMARY: Since 1988, the Environmental Protection Agency (EPA) has
maintained a Federal Agency Hazardous Waste Compliance Docket
(``Docket'') under Section 120(c) of the Comprehensive Environmental
Response, Compensation, and Liability Act (CERCLA). Section 120(c)
requires EPA to establish a Docket that contains certain information
reported to EPA by Federal facilities that manage hazardous waste or
from which a reportable quantity of hazardous substances has been
released. As explained further below, the Docket is used to identify
Federal facilities that should be evaluated to determine if they pose a
threat to public health or welfare and the environment and to provide a
mechanism to make this information available to the public.
    This notice identifies the Federal facilities not previously listed
on the Docket and reported to EPA since the last update of the Docket
on January 6, 2014. In addition to the list of additions to the Docket,
this notice includes a section with revisions of the previous Docket
list. Thus, the revisions in this update include 29 additions and 19
deletions to the Docket since the previous update. At the time of
publication of this notice, the new total number of Federal facilities
listed on the Docket is 2,392.

DATES: This list is current as of November 25, 2014.

FOR FURTHER INFORMATION CONTACT: Electronic versions of the Docket and
more information on its implementation can be obtained at http://www.epa.gov/fedfac/documents/docket.htm by clicking on the link for
Update #27 to the Federal Agency Hazardous Waste Compliance Docket or
by contacting Ellen Treimel, Federal Agency Hazardous Waste Compliance
Docket Coordinator, Federal Facilities Restoration and Reuse Office
(Mail Code 5106P), U.S. Environmental Protection Agency, 1200
Pennsylvania Avenue NW., Washington, DC 20460.

SUPPLEMENTARY INFORMATION:

Table of Contents

1.0 Introduction

2.0 Regional Docket Coordinators
3.0 Revisions of the Previous Docket
4.0 Process for Compiling the Updated Docket
5.0 Facilities Not Included
6.0 Facility Status Reporting
7.0 Information Contained on Docket Listing

1.0 Introduction

    Section 120(c) of CERCLA, 42 United States Code (U.S.C.) 9620(c),
as amended by the Superfund Amendments and Reauthorization Act of 1986
(SARA), requires EPA to establish the Federal Agency Hazardous Waste
Compliance Docket. The Docket contains information on Federal
facilities that manage hazardous waste and such information is
submitted by Federal agencies to EPA under Sections 3005, 3010, and
3016 of the Resource Conservation and Recovery Act (RCRA), 42 U.S.C.
6925, 6930, and 6937. Additionally, the Docket contains information on
Federal facilities with a reportable quantity of hazardous substances
that has been released and such information is submitted by Federal
agencies to EPA under Section 103 of CERCLA, 42 U.S.C. 9603.
Specifically, RCRA Section 3005 establishes a permitting system for
certain hazardous waste treatment, storage, and disposal (TSD)
facilities; RCRA Section 3010 requires waste generators, transporters
and TSD facilities to notify EPA of their hazardous waste activities;
and RCRA Section 3016 requires Federal agencies to submit biennially to
EPA an inventory of their Federal hazardous waste facilities. CERCLA
Section 103(a) requires the owner or operator of a vessel or onshore or
offshore facility to notify the National Response Center (NRC) of any
spill or other release of a hazardous substance that equals or exceeds
a reportable quantity (RQ), as defined by CERCLA Section 101.
Additionally, CERCLA Section 103(c) requires facilities that have
``stored, treated, or disposed of'' hazardous wastes and where there is
``known, suspected, or likely releases'' of hazardous substances to
report their activities to EPA.
    CERCLA Section 120(d) requires EPA to take steps to assure that a
Preliminary Assessment (PA) be completed for those sites identified in
the Docket and that the evaluation and listing of sites with a PA be
completed within a reasonable time frame. The PA is designed to provide
information for EPA to consider when evaluating the site for potential
response action or inclusion on the National Priorities List (NPL).
    The Docket serves three major purposes: (1) To identify all Federal
facilities that must be evaluated to determine whether they pose a risk
to human health and the environment sufficient to warrant inclusion on
the National Priorities List (NPL); (2) to compile and maintain the
information submitted to EPA on such facilities under the provisions
listed in Section 120(c) of CERCLA; and (3) to provide a mechanism to
make the information available to the public.
    The initial list of Federal facilities to be included on the Docket
was published in the Federal Register on February 12, 1988 (53 FR
4280). Since then, updates to the Docket have been published on
November 16, 1988 (53 FR 46364); December 15, 1989 (54 FR 51472);
August 22, 1990 (55 FR 34492); September 27, 1991 (56 FR 49328);
December 12, 1991 (56 FR 64898); July 17, 1992 (57 FR 31758); February
5, 1993 (58 FR 7298); November 10, 1993 (58 FR 59790); April 11, 1995
(60 FR 18474); June 27, 1997 (62 FR 34779); November 23, 1998 (63 FR
64806); June 12, 2000 (65 FR 36994); December 29, 2000 (65 FR 83222);
October 2, 2001 (66 FR 50185); July 1, 2002 (67 FR 44200); January 2,
2003 (68 FR 107); July 11, 2003 (68 FR 41353); December 15, 2003 (68 FR
69685); July 19, 2004 (69 FR 42989); December 20, 2004 (69 FR 75951);
October 25, 2005 (70 FR 61616); August 17, 2007 (72 FR 46218); November
25, 2008 (73 FR 71644); October 13, 2010 (75 FR 62810); November 6,
2012 (77 FR 66609), March 18, 2013 (78 FR 16668), and January 6, 2014
(79 FR 654). This notice constitutes the twenty-seventh update of the
Docket.
    This notice provides some background information on the Docket.
Additional information on the Docket requirements and implementation
are found in the Docket Reference Manual, Federal Agency Hazardous
Waste Compliance Docket found at http://www.epa.gov/fedfac/documents/docket.htm or obtained by calling the Regional Docket Coordinators
listed below. This notice also provides changes to the list of sites
included on the Docket in three areas: (1) Additions, (2) Deletions,
and (3) Corrections. Specifically, additions are newly identified
Federal facilities that have been reported to EPA since the last update
and now are included on the Docket; the deletions section lists Federal
facilities that EPA is deleting from the Docket; and the corrections
section lists changes in the information about the Federal facilities
already listed on the Docket.\1\ The information submitted to EPA on
each Federal facility is maintained in the Docket repository located in
the EPA Regional office of the Region in which the Federal facility is
located; for a description of the information required under those
provisions, see 53 FR 4280 (February 12, 1988). Each repository
contains the documents submitted to EPA under the reporting provisions
and correspondence relevant to the reporting provisions for each
Federal facility.
---------------------------------------------------------------------------

    \1\ See Section 3.2 for the criteria for being deleted from the
Docket.
---------------------------------------------------------------------------

    In prior updates, information was also provided regarding No
Further Remedial Action Planned (NFRAP) status changes. However,
information on NFRAP and NPL status is no longer being provided
separately in the Docket update as it is now available at: http://www.epa.gov/fedfac/documents/docket.htm or by contacting the EPA HQ
Docket Coordinator at the address provided in the FOR FURTHER
INFORMATION CONTACT section of this notice.

2.0 Regional Docket Coordinators

    Contact the following Docket Coordinators for information on
Regional Docket repositories:
    Martha Bosworth (HBS), US EPA Region 1, 5 Post Office Square, Suite
100, Mail Code: OSRR07-2, Boston, MA 02109-3912,<PHONE_NUMBER>.
    Helen Shannon (ERRD), US EPA Region 2, 290 Broadway, New York, NY
10007-1866, (212) 637- 4260 or Alida Karas (ERRD), US EPA Region 2, 290
Broadway, New York, NY 10007- 1866,<PHONE_NUMBER>.
    Joseph Vitello (3HS12), US EPA Region 3, 1650 Arch Street,
Philadelphia, PA 19107,<PHONE_NUMBER>.
    Dawn Taylor (4SF-SRSEB), US EPA Region 4, 61 Forsyth St. SW.,
Atlanta, GA 30303,<PHONE_NUMBER>.
    Michael Chrystof (SR-6J), US EPA Region 5, 77 W. Jackson Blvd.,
Chicago, IL 60604,<PHONE_NUMBER>.
    Philip Ofosu (6SF-RA), US EPA Region 6, 1445 Ross Avenue, Dallas,
TX 75202-2733,<PHONE_NUMBER>.
    Paul Roemerman (SUPRERSP), US EPA Region 7, 11201 Renner Blvd.,
Lenexa, KS 66219,<PHONE_NUMBER>
    Ryan Dunham (EPR-F), US EPA Region 8, 1595 Wynkoop Street, Denver,
CO 80202,<PHONE_NUMBER>.
    Leslie Ramirez (SFD-6-1), US EPA Region 9, 75 Hawthorne Street, San
Francisco, CA 94105,<PHONE_NUMBER>.
    Monica Lindeman (ECL, ABU), US EPA Region 10, 1200 Sixth Avenue,
Suite 900, ECL-112, Seattle, WA 98101,<PHONE_NUMBER> or Ken Marcy
(ECL, ABU), US EPA Region 10, 1200 Sixth Avenue, Suite 900, ECL-112,
Seattle, WA 98101,<PHONE_NUMBER>.

3.0 Revisions of the Previous Docket

    This section includes a discussion of the additions, deletions, and
corrections to the list of Docket facilities since the previous Docket
update.

3.1 Additions

    In this notice, 29 Federal facilities are being added to the
Docket, primarily because of new information obtained by EPA (for
example, recent reporting of a facility pursuant to RCRA Sections 3005,
3010, or 3016 or CERCLA Section 103). CERCLA Section 120, as amended by
the Defense Authorization Act of 1997, specifies that EPA take steps to
assure that a Preliminary Assessment (PA) be completed within a
reasonable time frame for those Federal facilities that are included on
the Docket. Among other things, the PA is designed to provide
information for EPA to consider when evaluating the site for potential
response action or listing on the NPL.

3.2 Deletions

    In this notice, 19 Federal facilities are being deleted from the
Docket. There are no statutory or regulatory provisions that address
deletion of a facility from the Docket. However, if a facility is
incorrectly included on the Docket, it may be deleted from the Docket.
The criteria EPA uses in deleting sites from the Docket include: A
facility for which there was an incorrect report submitted for
hazardous waste activity under RCRA (e.g., 40 CFR 262.44); a facility
that was not Federally-owned or operated at the time of the listing; a
facility included more than once (i.e., redundant listings); or when
multiple facilities are combined under one listing. (See Docket Codes
(Categories for Deletion of Facilities)) for a more refined list of the
criteria EPA uses for deleting sites from the Docket. Facilities being
deleted no longer will be subject to the requirements of CERCLA Section
120(d).

3.3 Corrections

    Changes necessary to correct the previous Docket are identified by
both EPA and Federal agencies. The corrections section may include
changes in addresses or spelling, and corrections of the recorded name
and ownership of a Federal facility. In addition, changes in the names
of Federal facilities may be made to establish consistency in the
Docket or between the Comprehensive Environmental Response,
Compensation, and Liability Information System (CERCLIS) and the
Docket. For the Federal facility for which a correction is entered, the
original entry (designated by an ``o''), as it appeared in previous
Docket updates, is shown directly below the corrected entry (designated
by a ``c'') for easy comparison. This notice does not include any
corrections.

4.0 Process for Compiling the Updated Docket

    In compiling the newly reported Federal facilities for the update
being published in this notice, EPA extracted the names, addresses, and
identification numbers of facilities from four EPA databases--the
Emergency Response Notification System (ERNS), the Biennial Inventory
of Federal Agency Hazardous Waste Activities, the Resource Conservation
and Recovery Information System (RCRAInfo), and CERCLIS--that contain
information about Federal facilities submitted under the four
provisions listed in CERCLA Section 120(c).
    EPA assures the quality of the information on the Docket by
conducting extensive evaluation of the current Docket list with the
information obtained from the databases identified above to determine
which Federal facilities were, in fact, newly reported and qualified
for inclusion on the update. EPA is also striving to correct errors for
Federal facilities that were previously reported. For example, state-
owned or privately-owned facilities that are not operated by the
Federal government may have been included. Such problems are sometimes
caused by procedures historically used to report and track Federal
facilities data. Representatives of Federal agencies are asked to write
to the EPA HQ Docket Coordinator at the address provided in the FOR
FURTHER INFORMATION CONTACT section of this notice if revisions of this
update information are necessary.

5.0 Facilities Not Included

    Certain categories of facilities may not be included on the Docket,
such as: (1) Federal facilities formerly owned by a Federal agency that
at the time of consideration was not Federally-owned or operated; (2)
Federal facilities that are small quantity generators (SQGs) that have
never generated more than 1,000 kg of hazardous waste in any month; (3)
Federal facilities that are solely hazardous waste transportation
facilities, as reported under RCRA Section 3010; and (4) Federal
facilities that have mixed mine or mill site ownership.
    An EPA policy issued in June 2003 provided guidance for a site-by-
site evaluation as to whether ``mixed ownership'' mine or mill sites,
typically created as a result of activities conducted pursuant to the
General Mining Law of 1872 and never reported under Section 103(a),
should be included on the Docket. For purposes of that policy, mixed
ownership mine or mill sites are those located partially on private
land and partially on public land. This policy is found at http://www.epa.gov/fedfac/pdf/mixownrshpmine.pdf. The policy for not including
these facilities may change; facilities now not included may be added
at some point if EPA determines that they should be included.

6.0 Facility NPL Status Reporting, Including NFRAP Status

    EPA typically tracks the NPL status of Federal facilities listed on
the Docket. An updated list of the NPL status of all Docket facilities,
as well as their NFRAP status, is available at http://www.epa.gov/fedfac/documents/docket.htm or by contacting the EPA HQ Docket
Coordinator at the address provided in the FOR FURTHER INFORMATION
CONTACT section of this notice. In prior updates, information regarding
NFRAP status changes was provided separately.

7.0 Information Contained on Docket Listing

    The updated information is provided in three tables. The first
table is a list of new Federal facilities that are being added to the
Docket; the second table is a list of Federal facilities that are being
deleted from the Docket and the third table contains corrections of
information included on the Docket.
    The Federal facilities listed in each table are organized by state
and then grouped alphabetically within each state by the Federal agency
responsible for the facility. Under each state heading is listed the
name and address of the facility, the Federal agency responsible for
the facility, the statutory provision(s) under which the facility was
reported to EPA, and a code.\2\ The code key precedes the lists.
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    \2\ Each Federal facility listed in the update has been assigned
a code that indicates a specific reason for the addition or
deletion. The code precedes this list.
---------------------------------------------------------------------------

    The statutory provisions under which a Federal facility is reported
are listed in a column titled ``Reporting Mechanism.'' Applicable
mechanisms are listed for each Federal facility: For example, Sections
3005, 3010, 3016, 103(c), or Other. ``Other'' has been added as a
reporting mechanism to indicate those Federal facilities that otherwise
have been identified to have releases or threat of releases of
hazardous substances. The National Contingency Plan 40 CFR 300.405
addresses discovery or notification,

outlines what constitutes discovery of a hazardous substance release,
and states that a release may be discovered in several ways, including:
(1) A report submitted in accordance with Section 103(a) of CERCLA,
i.e., reportable quantities codified at 40 CFR part 302; (2) a report
submitted to EPA in accordance with Section 103(c) of CERCLA; (3)
investigation by government authorities conducted in accordance with
Section 104(e) of CERCLA or other statutory authority; (4) notification
of a release by a Federal or state permit holder when required by its
permit; (5) inventory or survey efforts or random or incidental
observation reported by government agencies or the public; (6)
submission of a citizen petition to EPA or the appropriate Federal
facility requesting a preliminary assessment, in accordance with
Section 105(d) of CERCLA; (7) a report submitted in accordance with
Section 311(b)(5) of the Clean Water Act; and (8) other sources. As a
policy matter, EPA generally believes it is appropriate for Federal
facilities identified through the CERCLA discovery and notification
process to be included on the Docket.
    The complete list of Federal facilities that now make up the Docket
and the NPL and NFRAP status are available to interested parties and
can be obtained at http://www.epa.gov/fedfac/documents/docket.htm by
clicking on the link for Federal Agency Hazardous Waste Compliance
Docket Update #27 or by contacting the EPA HQ Docket Coordinator at the
address provided in the FOR FURTHER INFORMATION CONTACT section of this
notice. As of the date of this notice, the total number of Federal
facilities that appear on the Docket is 2,392.

    Dated: December 10, 2014.
Charlotte Bertrand,
Acting Director, Federal Facilities Restoration and Reuse Office,
Office of Solid Waste and Emergency Response.

Docket Codes

Categories for Deletion of Facilities

    (1) Small-Quantity Generator.
    (2) Never Federally Owned and/or Operated.
    (3) Formerly Federally Owned and/or Operated but not at time of
listing.
    (4) No Hazardous Waste Generated.
    (5) (This code is no longer used.)
    (6) Redundant Listing/Site on Facility.
    (7) Combining Sites Into One Facility/Entries Combined.
    (8) Does Not Fit Facility Definition.

Categories for Addition of Facilities

    (15) Small-Quantity Generator with either a RCRA 3016 or CERCLA 103
Reporting Mechanism.
    (16) One Entry Being Split Into Two (or more)/Federal Agency
Responsibility Being Split.
    (17) New Information Obtained Showing That Facility Should Be
Included.
    (18) Facility Was a Site on a Facility That Was Disbanded; Now a
Separate Facility.
    (19) Sites Were Combined Into One Facility.
    (19A) New Currently Federally Owned and/or Operated Facility Site.

Categories for Corrections of Information About Facilities

    (20) Reporting Provisions Change.
    (20A) Typo Correction/Name Change/Address Change.
    (21) Changing Responsible Federal Agency. (If applicable, new
responsible Federal agency submits proof of previously performed PA,
which is subject to approval by EPA.)
    (22) Changing Responsible Federal Agency and Facility Name. (If
applicable, new responsible Federal Agency submits proof of previously
performed PA, which is subject to approval by EPA.)
    (24) Reporting Mechanism Determined To Be Not Applicable After
Review of Regional Files.

                                         Federal Agency Hazardous Waste Compliance Docket Update #27--Additions
--------------------------------------------------------------------------------------------------------------------------------------------------------
          Facility name                 Address                City            State      Zip code          Agency        Reporting mechanism     Code
--------------------------------------------------------------------------------------------------------------------------------------------------------
USARMY Fort Pierce Biorka Island  15 mi SW of Sitka    Sitka..............  AK                99835  U.S. Army..........  Other..............  19A
                                   on Biorka Island,
                                   approx (Island
                                   Centroid):
                                   +56.851328[deg] N -
                                   135.558078[deg] W,
                                   +56[deg] 51'
                                   4.7808'' N -
                                   135[deg] 33'
                                   29.0802'' W, T58S
                                   R63E, SW of
                                   Baranof Island.
USDHS CG Fort Pierce former       15 mi SW of Sitka    Sitka..............  AK                99835  Dept of Homeland     Other..............  19A
 USNAVY Site Biorka Island.        on Biorka Island,                                                  Security.
                                   approx (Island
                                   Centroid):+56[deg]
                                   51' 4.7808'' N, -
                                   135[deg] 33'
                                   29.0802'' W,
                                   +56.851328 N -
                                   135.558078 W, T58S
                                   R63E, SW of
                                   Baranof Island.
USDHS CGPort Higgins Radio        14700 N Tongass      Ketchikan..........  AK                99901  Dept of Homeland     ...................  19A
 Station.                          Hwy, approx. 13 mi                                                 Security.
                                   N of
                                   Ketchikan,+55[deg]
                                   28' 16.6902'' N, -
                                   131.47' 24.8886''
                                   W; +55.471303, -
                                   131.790247; T74S
                                   R90E Sec 7, Copper
                                   River Meridian.
USDOT FAA Sunset Cove...........  Mouth of Libby       Angoon.............  AK                99820  Dept of              3010...............  19A
                                   Creek, S of Sunset                                                 Transportation.
                                   Cove in Stephens
                                   Passage, approx. 4
                                   mi NNE of Hobart
                                   Bay, approx. 30 mi
                                   E of Angoon,
                                   +57[deg] 28'
                                   58.566'' N, -
                                   133[deg] 31'
                                   28.566'' W; T51S
                                   R74E Sec 3, Copper
                                   River Meridian.
BIA Chinle Boarding School......  HWY 191 15 MI N of   Many Farms.........  AZ                86538  Dept of Interior...  3010...............  17
                                   Chinle.

BR--Redding.....................  Shasta Office CVP..  Redding............  CA                96003  Dept of Interior...  3010...............  17
Onizuka Air Force Station.......  6594 ABS/CC........  Sunnyvale..........  CA                94088  U.S. Air Force.....  3010, 103c.........  17
Southern California Aviation....  18438 Readiness      Victorville........  CA                92394  U.S. Air Force.....  3010...............  19A
                                   Street.
Space Launch Complex 4 East.....  747 Nebraska Ave...  Vandenberg AFB.....  CA                93437  U.S. Air Force.....  3010...............  19A
US Border Patrol San Diego        2301 McCain Road...  San Diego..........  CA                92101  Dept of Homeland     3010...............  19A
 Firing Range.                                                                                Security.
US DOT Maritime Suisun Bay        2595 Lake Herman     Benidia............  CA                94510  Dept of              3010...............  19A
 Reserve Fleet.                    Road.                                                              Transportation.
Herbert C. Hoover Building (AKA:  1401 Constitution    Washington.........  DC                20230  Dept of Commerce...  3010...............  19A
 Main Commerce).                   Ave. NW., Room
                                   7603.
USMC Support Facility--Blount     5880 Channel View    Jacksonville.......  FL                32226  U.S. Navy..........  3010...............  19A
 Island.                           Dr.
US Postal Service Bacon Station.  Stratford Dr.......  Bloomingdale.......  IL           60117-7000  U.S. Postal Service  3010...............  19A
US Postal Service Vehicle         Stratford Dr.......  Bloomingdale.......  IL           60117-7000  U.S. Postal Service  3010...............  19A
 Maintenance Facility.
Soldier Support Center..........  Building #28,        Fort Benjamin        IN                46216  U.S. Army..........  3005, 3010, 3016,    17
                                   Marion County.       Harrison.                                                          103c.
Louisville Veterans Affairs       800 Zorn Avenue....  Louisville.........  KY                40202  Dept of Veterans     3010...............  19A
 Medical Center.                                                                                Affairs.
FLETC--Department of Homeland     9000 Commo Road....  Cheltenham.........  MD                20623  Dept of Homeland     3010...............  19A
 Security.                                                                                Security.
National Park SVC/DE Water Gap..  Pioneer Trail......  Pahaquarry.........  NJ                 7825  Dept of Interior...  3010...............  19A
Catron County Shooting Range....  PO Box 170.........  Reserve............  NM                87830  Dept of Agriculture  3010...............  19A
Southwest Polytechnic Institute.  9169 Coors Rd NW...  Albuquerque........  NM                87196  Dept of Interior...  3010...............  17
Glenmont Job Corps Center.......  822 River Road.....  Glenmont...........  NY           12077-0993  Dept of Labor......  3010, 103c.........  17
USACE--Portugues Dam............  PR Road 10 km 5.5..  Ponce..............  PR                  731  U.S. Army Corps of   3010...............  19A
                                                                                Engineers.
Air Force Plant No. 4...........  PO Box 748.........  Fort Worth.........  TX                76101  U.S. Air Force.....  3010...............  19A
Transportation Security           510 Airline Dr.....  Coppell............  TX                75019  Transportation and   3010...............  19A
 Administration.                                                                                Security
                                                                                Administration.
Utah Test and Training Range....  6.5 Mi SE of         Wendover...........  UT                84056  U.S. Air Force.....  3016...............  17
                                   Wendover.
BR--Benton City Site............  39307 W Kelly Rd...  Benton City........  WA                99320  Dept of Interior...  3010...............  17
BR--Chandler Power & Pumping      Old Inland Empire    Benton City........  WA                99320  Dept of Interior...  103c...............  17
 Plant.                            Hwy.
VA Medical Center...............  1540 Spring Valley   Huntington.........  WV                25704  Dept of Veterans     3010...............  19A
                                   Drive.                                                             Affairs.
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                                         Federal Agency Hazardous Waste Compliance Docket Update #27--Deletions
--------------------------------------------------------------------------------------------------------------------------------------------------------
          Facility name                 Address                City            State      Zip code          Agency        Reporting mechanism     Code
--------------------------------------------------------------------------------------------------------------------------------------------------------
BLM Rangely Landfill............  T1N R101 W Sec 6,    Rangely............  CO                81648  Dept of Interior...  103................  6
                                   6THPM.
Orlando Defense Property          Naval Training       Orlando............  FL                32813  U.S. Navy..........  3010...............  6
 Disposal Office.                  Center.
Rock Island District, Lock and    ...................  Hanover Township...  IL                61041  U.S. Army Corps of   3016...............  8
 Dam 12.                                                                                Engineers.
Naval Communication Unit          Dangerfield & Commo  Clinton............  MD                20735  U.S. Navy..........  103a, 103c, 3010...  6
 Washington.                       Road.
MSNG Army Aviation (AVCRAD).....  Hanger 1, Hewes      Gulfport...........  MS                39507  U.S. Army..........  3010...............  1
                                   Avenue.
River Operations Dry Dock (CELMK- COE Supply Base--    Vicksburg..........  MS                39180  U.S. Army Corps of   3016...............  6
 OD-R).                            Vicksburg Harbor.                                                  Engineers.
Lock Haven Area Maintenance       RT 220 McElhattan..  Lock Haven.........  PA                17745  U.S. Army..........  3010...............  4
 Support Activity--112G.

Reading Army Maintenance Support  547 Philadelphia     Reading............  PA                19607  U.S. Army..........  3010...............  1
 Activity--29.                     Ave.
Beaufort Naval Hospital.........  SC Highway 280.....  Beaufort...........  SC                29902  U.S. Navy..........  3010...............  6
Charleston Naval Weapons Station  1050 Remount Road..  North Charleston...  SC                29408  U.S. Navy..........  103c, 3010.........  6
 South Annex.
Chattanooga Central Laboratories  N Access Rd at TN    Chattanooga........  TN                37401  Tennessee Valley     3010...............  1
                                   HWY 153.                                                           Authority.
Jackson Power Stores............  Airways Blvd.......  Jackson............  TN                38301  Tennessee Valley     3010...............  4
                                                                                Authority.
Knoxville Power Stores..........  4124 Greenway Drive  Knoxville..........  TN                37902  Tennessee Valley     3010...............  4
                                                                                Authority.
Nashville Power Stores..........  1324 Elm Hill Pike.  Nashville..........  TN                37210  Tennessee Valley     3010...............  4
                                                                                Authority.
Phipps Bend Substation..........  US HWY 11 W........  Surgoinsville......  TN                37873  Tennessee Valley     3010...............  4
                                                                                Authority.
Norfolk Postal Service..........  600 Church St......  Norfolk............  VA                23501  U.S. Postal Service  3010...............  1
Richmond Army National Guard....  501 E Franklin St..  Richmond...........  VA                23219  U.S. Army..........  3010...............  4
Strategic Systems Program Office  1931 Jefferson       Arlington..........  VA                22202  ...................  3010...............  8
                                   Davis Highway, CM
                                   #3.
West Virginia Army National       RT 62 N............  Point Pleasant.....  WV                25550  U.S. Army..........  103a...............  2
 Guard.
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[FR Doc. 2014-30687 Filed 12-30-14; 8:45 am]
BILLING CODE 6560-50-P


[Federal Register Volume 85, Number 117 (Wednesday, June 17, 2020)]
[Notices]
[Pages 36623-36626]
[FR Doc No: 2020-13000]

=======================================================================
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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-89052; File No. 4-698]

Joint Industry Plan; Notice of Filing of Amendment to the
National Market System Plan Governing the Consolidated Audit Trail by
BOX Options Exchange LLC, Cboe BYX Exchange, Inc., Cboe BZX Exchange,
Inc., Cboe EDGA Exchange, Inc., Cboe EDGX Exchange, Inc., Cboe C2
Options Exchange, Inc., Cboe Exchange, Inc., Financial Industry
Regulatory Authority, Inc., Investors' Exchange LLC, Long-Term Stock
Exchange LLC, Miami International Securities Exchange, LLC, MIAX
EMERALD, LLC, MIAX PEARL, LLC, Nasdaq BX, Inc., Nasdaq GEMX, LLC,
Nasdaq ISE, LLC, Nasdaq MRX, LLC, Nasdaq PHLX LLC, The Nasdaq Stock
Market LLC, New York Stock Exchange LLC, NYSE Arca, Inc., NYSE
American, LLC, NYSE Chicago, Inc. and NYSE National, Inc.

June 11, 2020.

I. Introduction

    On April 14, 2020, the Operating Committee for Consolidated Audit
Trail, LLC, on behalf of the following parties to the National Market
System Plan Governing the Consolidated Audit Trail (the ``CAT NMS
Plan'' or ``Plan''): \1\ BOX Options Exchange LLC, Cboe BYX Exchange,
Inc., Cboe BZX Exchange, Inc., Cboe EDGA Exchange, Inc., Cboe EDGX
Exchange, Inc., Cboe C2 Options Exchange, Inc., Cboe Exchange, Inc.,
Financial Industry Regulatory Authority, Inc., Long-Term Stock Exchange
LLC, Investors' Exchange, LLC, Miami International Securities Exchange,
LLC, MIAX EMERALD, LLC, MIAX PEARL, LLC, Nasdaq GEMX, LLC, Nasdaq ISE,
LLC, Nasdaq MRX, LLC, Nasdaq BX, Inc., Nasdaq PHLX LLC, The NASDAQ
Stock Market LLC, New York Stock Exchange LLC, NYSE Arca, Inc., NYSE
Chicago, Inc., NYSE American, LLC and NYSE National, Inc.
(collectively, the ``Participants,'' ``self-regulatory organizations,''
or ``SROs'') filed with the Securities and Exchange Commission
(``Commission'' or ``SEC'') pursuant to Section 11A(a)(3) of the
Securities Exchange Act of 1934 (``Exchange Act''),\2\ and Rule 608
thereunder,\3\ a proposed amendment to the CAT NMS Plan to revise data
reporting requirements for Firm Designated ID.\4\ The Commission is
publishing this notice to solicit comments from interested persons on
the amendment.\5\
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    \1\ On February 27, 2015, BOX Options Exchange LLC, Cboe BYX
Exchange, Inc., Cboe BZX Exchange, Inc., Cboe C2 Options Exchange,
Inc., Cboe Exchange Inc., Cboe EDGA Exchange, Inc., Cboe EDGX
Exchange, Inc., Financial Industry Regulatory Authority, Inc., Miami
International Securities Exchange LLC, Nasdaq BX, Inc., Nasdaq ISE
LLC, Nasdaq GEMX, LLC, Nasdaq PHLX LLC, The NASDAQ Stock Market LLC,
New York Stock Exchange LLC, NYSE American, LLC, NYSE Arca, Inc.,
NYSE Chicago, Inc., and NYSE National Inc. filed with the
Commission, pursuant to Section 11A of the Exchange Act and Rule 608
of Regulation NMS thereunder, the CAT NMS Plan. 15 U.S.C. 78k-1; 17
CFR 242.608. The Plan was published for comment in the Federal
Register on May 17, 2016, and approved by the Commission, as
modified, on November 15, 2016. See Securities Exchange Act Release
Nos. 77724 (April 27, 2016), 81 FR 30614 (May 17, 2016); 79318
(November 15, 2016), 81 FR 84696 (November 23, 2016) (``CAT NMS Plan
Approval Order''). On January 30, 2017, the Commission noticed for
immediate effectiveness an amendment to the Plan to add MIAX PEARL,
LLC as a Participant. See Securities Exchange Act Release No. 79898,
82 FR 9250 (February 3, 2017). On March 1, 2019, the Commission
noticed for immediate effectiveness an amendment to the Plan to add
MIAX Emerald, LLC as a Participant. See Securities Exchange Act
Release No. 85230, 84 FR 8356 (March 7, 2019). On November 2, 2019,
the Commission noticed for immediate effectiveness an amendment to
the Plan to add Long-Term Stock Exchange LLC as a Participant. See
Securities Exchange Act Release No. 87595, 84 FR 65447 (November 27,
2019).
    \2\ 15 U.S.C 78k-1(a)(3).
    \3\ 17 CFR 242.608.
    \4\ See Letter from Michael Simon, CAT NMS Plan Operating
Committee Chair, to Brent J. Fields, Secretary, Commission, dated
April 20, 2020.
    \5\ 17 CFR 242.608.
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II. Description of the Plan

    Set forth in this Section II is the statement of the purpose and
summary of the amendment, along with information required by Rule
608(a)(4) and (5) under the Exchange Act,\6\ as prepared and submitted
by the Participants to the Commission.\7\ The proposed revisions to the
CAT NMS Plan, as prepared and submitted by the Participants, are
attached as Appendix A.
---------------------------------------------------------------------------

    \6\ See 17 CFR 242.608(a)(4) and (a)(5).
    \7\ See supra note 4.
---------------------------------------------------------------------------

A. Description of the Amendments to the CAT NMS Plan

    Section 1.1 of the CAT NMS Plan defines the term ``Firm Designated
ID'' to mean ``a unique identifier for each trading account designated
by Industry Members for purposes of providing data to the Central
Repository, where each such identifier is unique among all identifiers
from any given Industry Member for each business date.'' As discussed
in more detail below, the Participants propose to amend the
requirements for Firm Designated IDs in four ways: (1) To prohibit the
use of account numbers as Firm Designated IDs for trading accounts that
are not proprietary accounts; (2) to require that the Firm Designated
ID for a trading account be persistent over time for each Industry
Member so that a single account may be tracked across time within a
single Industry Member; (3) to permit the use of relationship
identifiers as Firm Designated IDs in certain circumstances; and (4) to
permit the use of entity identifiers as Firm Designated IDs in certain
circumstances.
1. Prohibit Use of Account Numbers
    The Participants believe that the use of account numbers as the
Firm Designated ID could give rise to additional security risks related
to CAT Data. By prohibiting the use of account numbers as Firm
Designated IDs, the Participants intend to limit the potential capture
of sensitive data in the CAT that could be used to effect an
unauthorized transaction in an account.
    The Participants propose to prohibit the use of account numbers as
the Firm Designated ID solely for trading accounts that are not
proprietary accounts. After discussions with the industry, the
Participants believe that each Industry Member must make its own risk
determination as to whether it believes it is necessary to mask the
actual account number for any proprietary account of the Industry
Member when reporting the Firm Designated ID to CAT.
    Accordingly, the Participants propose to amend the definition of a
``Firm Designated ID'' in Section 1.1 to provide that Industry Members
may not use account numbers as the Firm Designated ID for trading
accounts that are not proprietary accounts. Specifically, the
Participants propose to add the following to the definition of a Firm
Designated ID: ``provided, however, such identifier may not be the
account number for such trading account if the

trading account is not a proprietary account.'' \8\
---------------------------------------------------------------------------

    \8\ Appendix C of the CAT NMS Plan noted that broker-dealers
would be permitted to use an account number as the Firm Designated
ID. Section A, Appendix C, CAT NMS Plan at C-8. The Participants do
not propose to amend this statement in Section A of Appendix C of
the CAT NMS Plan as it is a one-time report addressing ``the
requirements set forth in SEC Rule 613(a)(1)(i) through (a)(1)(vi)
that the `Participants specify and explain the choices they made to
meet the requirements specified in [SEC Rule 613] for the [CAT].' ''
Appendix C of the CAT NMS Plan at C-1.
---------------------------------------------------------------------------

2. Persistent Firm Designated ID
    The CAT NMS Plan currently requires that the Firm Designated ID
assigned by an Industry Member to a trading account be unique for each
account for each business date. The Participants believe, however, that
the Firm Designated ID assigned by an Industry Member to a trading
account should be persistent over time, not for each business day.\9\
With this change, a single account could be tracked across time within
a single Industry Member using the Firm Designated ID. Without such a
change, such tracking would only be possible using Customer
information. Accordingly, the proposed persistence requirement would
enhance the regulatory utility of the order and transaction data
without accessing Customer information.
---------------------------------------------------------------------------

    \9\ If an Industry Member assigns a new account number or entity
identifier to a client or customer due to a merger, acquisition or
some other corporate action, then the Industry Member should create
a new Firm Designated ID to identify the new account identifier/
relationship identifier/entity identifier in use at the Industry
Member for the entity. In addition, if a previously assigned Firm
Designated ID is no longer in use by an Industry Member (e.g., if
the trading account associated with the Firm Designated ID has been
closed), then an Industry Member may reuse the Firm Designated ID
for another trading account. The Plan Processor will maintain a
history of the use of each Firm Designated ID, including, for
example, the effective dates of the Firm Designated ID with respect
to each associated trading account.
---------------------------------------------------------------------------

    To effect this change, the Participants propose to amend the
definition of ``Firm Designated ID'' in Section 1.1 of the CAT NMS Plan
to add ``and persistent'' after ``unique'' and delete ``for each
business date'' so that the definition of ``Firm Designated ID'' would
read, in relevant part, as follows:

a unique and persistent identifier for each trading account
designated by Industry Members for purposes of providing data to the
Central Repository . . . where each such identifier is unique among
all identifiers from any given Industry Member.

    Together with adding a requirement of persistence to the Firm
Designated ID definition, deleting ``for each business date'' would
make clear that the same, unique Firm Designated ID must be used by an
Industry Member for a trading account over time, which will facilitate
the regulatory use of CAT Data by searching with the Firm Designated
ID.
3. Relationship Identifiers
    The Participants propose to permit an Industry Member to provide a
relationship identifier as the Firm Designated ID, rather [than] an
identifier that represents a trading account, in certain scenarios in
which an Industry Member does not have an account number available to
its order handling and/or execution system at the time of order receipt
(e.g., certain institutional accounts, managed accounts, accounts for
individuals).\10\ In such scenarios, the trading account structure may
not be available when a new order is first received from a client and,
instead, only an identifier representing the client's trading
relationship is available. In these limited instances, the Industry
Member may provide an identifier used by the Industry Member to
represent the client's trading relationship with the Industry Member
instead of an account number.
---------------------------------------------------------------------------

    \10\ The Commission has corrected the grammar of this sentence
by adding the word ``than.''
---------------------------------------------------------------------------

    When a trading relationship is established at a broker-dealer for
clients, the broker-dealer typically creates a parent account, under
which additional subaccounts are created. However, in some cases, the
broker-dealer establishes the parent relationship for a client using a
relationship identifier as opposed to an actual parent account. The
relationship identifier could be any of a variety of identifiers, such
as a short name for a relevant individual or institution. This
relationship identifier is established prior to any trading for the
client. If a relationship identifier has been established rather than a
parent account, and an order is placed on behalf of the client, any
executed trades will be kept in a firm account (e.g., a facilitation or
average price account) until they are allocated to the proper
subaccount(s), i.e., the accounts associated with the parent
relationship identifier connecting them to the client.
    Relationship identifiers are used in circumstances in which the
account structure is not available to the trading system at the time of
order placement. The clients have established accounts prior to the
trade that satisfy relevant regulatory obligations for opening
accounts, such as Know Your Customer and other customer obligations.
However, the order receipt workflows operate using relationship
identifiers, not accounts.
    For Firm Designated ID purposes, as with an identifier for a
trading account, the relationship identifier must be persistent over
time. The relationship identifier also must be unique among all
identifiers from any given Industry Member. With these requirements, a
single relationship could be tracked across time within a single
Industry Member using the Firm Designated ID. In addition, the
relationship identifier must be masked as the relationship identifier
could be a name or otherwise provide an indication as to the identity
of the relationship. The masking requirement would avoid potentially
revealing the identity of the relationship.
    An example of the use of a relationship identifier as a Firm
Designated ID would be as follows: Suppose that Big Fund Manager is
known in Industry Member A's systems as ``BFM1.'' When an order is
placed by Big Fund Manager, the order is tagged to BFM1. Industry
Member A could use a masked version of BFM1 in place of the Firm
Designated ID representing a trading account when reporting a new order
from Big Fund Manager instead of the account numbers to which executed
shares/contracts will be allocated at a later time via a booking or
other system. Similarly, another example of the use of a relationship
identifier as a Firm Designated ID would involve an individual in place
of the Big Fund Manager in the above example.
    To permit the use of relationship identifiers as a Firm Designated
ID as described above, the Participants propose to amend the definition
of a ``Firm Designated ID'' in Section 1.1 to state that a Firm
Designated ID means, in part, ``a unique and persistent relationship
identifier when an Industry Member does not have an account number
available to its order handling and/or execution system at the time of
order receipt, provided, however, such identifier must be masked.''
4. Entity Identifiers
    The Participants propose to permit Industry Members to provide an
entity identifier, rather than an identifier that represents a trading
account, when an employee of the Industry Member is exercising
discretion over multiple client accounts and creates an aggregated
order for which a trading account number of the Industry Member is not
available at the time of order origination. An entity identifier is an
identifier of the Industry Member that represents the firm
discretionary relationship with the client rather than a firm trading
account.

    The scenarios in which a firm uses an entity identifier are
comparable to when a firm uses a relationship identifier (as described
above) except the entity identifier represents the Industry Member
rather than a client. As with relationship identifiers, entity
identifiers are used in circumstances in which the account structure is
not available to the trading system at the time of order placement. In
this workflow, the Industry Member's order handling and execution
system does not have an account number at the time of order
origination. The relevant clients that will receive an allocation of
the execution have established accounts prior to the trade that satisfy
relevant regulatory obligations for opening accounts, such as Know Your
Customer and other customer obligations. However, the order origination
workflows operate using entity identifiers, not accounts.
    For Firm Designated ID purposes, as with the identifier for a
trading account or a relationship, the entity identifier must be
persistent over time. The entity identifier also must be unique among
all identifiers from any given Industry Member. The Participants
believe that each Industry Member must make its own risk determination
as to whether it believes it is necessary to mask the entity identifier
when using an entity identifier to report the Firm Designated ID to
CAT.
    An example of the use of an entity identifier as a Firm Designated
ID would be when Industry Member 1 has an employee that is a registered
representative that has discretion over several client accounts held at
Industry Member 1. The registered representative places an order that
he will later allocate to individual client accounts. At the time the
order is placed, the trading system only knows it involves a
representative of Industry Member 1 and it does not have a specific
trading account that could be used for Firm Designated ID reporting.
Therefore, Industry Member 1 could report IM1, its entity identifier,
as the FDID with the new order.
    To permit the use of an entity identifier as a Firm Designated ID
as described above, the Participants propose to amend the definition of
a ``Firm Designated ID'' in Section 1.1 to state that a Firm Designated
ID means, in part, ``a unique and persistent entity identifier when an
employee of an Industry Member is exercising discretion over multiple
client accounts and creates an aggregated order for which a trading
account number of the Industry Member is not available at the time of
order origination.''

B. Governing or Constituent Documents

    Not applicable.

C. Implementation of Amendment

    The Participants propose to implement the Firm Designated ID with
the commencement of Industry Member CAT reporting.

D. Development and Implementation Phases

    The Participants propose to implement the Firm Designated ID with
the commencement of Industry Member CAT reporting.

E. Analysis of Impact on Competition

    The Participants believe the proposed amendments will have a
positive impact on competition, efficiency and capital formation. The
Participants believe that the use of account numbers as the Firm
Designated ID could give rise to additional security risks related to
CAT Data. By proposing to revise the CAT NMS Plan to prohibit the use
of account numbers as Firm Designated IDs, the Participants intend to
limit the potential capture of sensitive data in the CAT that could be
used to effect an unauthorized transaction in an account. By enhancing
the security of the CAT, this proposed change to the CAT NMS Plan would
further the goals of efficiency and capital formation.
    In addition, the Participants believe that the proposed persistence
requirement would enhance the regulatory utility of the order and
transaction data without accessing Customer information. With this
change, a single account could be tracked across time within a single
Industry Member using the Firm Designated ID. Without such a change,
such tracking would only be possible using Customer information. By
enhancing the regulatory utility of the CAT while reducing the need to
access Customer information, the proposed amendment would enhance the
efficiency and capital formation of our markets.
    Furthermore, the proposed amendments to permit the use of
relationship identifiers and entity identifiers as Firm Designated IDs
will enhance the efficiency of CAT reporting. These changes will permit
Industry Members to continue to maintain existing order workflows,
rather than employing resources to alter those workflows solely for CAT
reporting purposes.
    Finally, the Participants do not believe that the proposed
amendments would impact competition among Industry Members. The
proposed amendments would revise the data reporting requirements for
Firm Designated IDs, and, as such, are applicable to all Industry
Members. In addition, given that the proposed amendments rely on
existing workflows, the proposed amendments would not cause certain
Industry Members to incur additional expenses to alter their existing
workflows.

F. Written Understanding or Agreements Relating to Interpretation of,
or Participation in, Plan

    Not applicable.

G. Approval by Plan Sponsors in Accordance with Plan

    Section 12.3 of the CAT NMS Plan states that, subject to certain
exceptions, the Plan may be amended from time to time only by a written
amendment, authorized by the affirmative vote of not less than two-
thirds of all of the Participants, that has been approved by the SEC
pursuant to Rule 608 or has otherwise become effective under Rule 608.
The Participants, by a vote of the Operating Committee taken on April
14, 2020, have authorized the filing of this proposed amendment with
the SEC in accordance with the Plan.

H. Description of Operation of Facility Contemplated by the Proposed
Amendment

    Not applicable.

I. Terms and Conditions of Access

    Not applicable.

J. Method and Frequency of Processor Evaluation

    Not applicable.

K. Dispute Resolution

    Not applicable.

III. Solicitation of Comments

    Interested persons are invited to submit written data, views and
arguments concerning the foregoing, including whether the amendment is
necessary or appropriate in the public interest, for the protection of
investors and the maintenance of fair and orderly markets, to remove
impediments to, and perfect the mechanisms of, a national market
system, or otherwise in furtherance of the purposes of the Act. In
particular, the Commission seeks comment on the following:
    (1) Do commenters agree that using account numbers as a Firm
Designated ID could give rise to additional security risks for CAT
Data?
    (2) Should each Industry Member make its own determination as to
whether it is necessary to mask the actual account number for any

proprietary account of the Industry Member when reporting the Firm
Designated ID?
    (3) Should each Industry Member make its own determination as to
whether it is it necessary to mask the entity identifier when using an
entity identifier to report a Firm Designated ID?
    (4) Would requiring the Firm Designated ID assigned by a broker-
dealer to be persistent and unique for each account for each business
date be sufficient to allow a single account to be tracked across time
within a single Industry Member's records?
    (5) Does the proposed amendment clearly define when and under what
circumstances relationship identifiers could be used by Industry
Members in lieu of standard Firm Designated IDs? Should the amended
definition of Firm Designated ID, or the Participants' Compliance
Rules,\11\ specify when or how relationship identifiers can be used?
Does the proposed definition of Firm Designated ID make clear what it
means for relationship identifiers to be ``masked''?
---------------------------------------------------------------------------

    \11\ The CAT NMS Plan defines ``Compliance Rule'' as, with
respect to a Participant, the rule(s) promulgated by such
Participant as contemplated by Section 3.11. See CAT NMS Plan, supra
note 1, at Section 1.1. Section 3.11 states that ``[e]ach
Participant shall comply with and enforce compliance, as required by
SEC Rule 608(c), by its Industry Members with the provisions of SEC
Rule 613 and of this Agreement, as applicable, to the Participant
and its Industry Members. The Participants shall endeavor to
promulgate consistent rules (after taking into account circumstances
and considerations that may impact Participants differently)
requiring compliance by their respective Industry Members with the
provisions of SEC Rule 613 and this Agreement.'' See id. at Section
3.11.
---------------------------------------------------------------------------

    (6) Does the proposed amendment clearly define when entity
identifiers could be used by Industry Members in lieu of standard Firm
Designated IDs? Should the amended definition of Firm Designated ID, or
the Participants' Compliance Rules, specify when entity identifiers can
be used?
    (7) Would the proposed amendment providing for usage of
relationship identifiers and entity identifiers have any negative
impact on customer obligations that broker-dealers have with regard to
client accounts, such as know-your-customer obligations?
    (8) Would the proposed amendment cause Industry Members to incur
additional expenses to alter their existing workflows? If so, what is
the scope of these additional expenses?
    (9) Would the proposed amendment impact efficiency, competition or
capital formation?
    (10) Would the proposed amendment impact competition? If so, what
type of competitors would be affected and in what market? Would this
change in competition affect the services and/or prices customers
experience in this market?
    (11) Would any efficiency gains of the proposed amendment impact
capital formation? If so, how? Would there be other impacts on capital
formation?
    (12) Do commenters agree with the Participants that by enhancing
the regulatory utility of the CAT while reducing the need to access
Customer information, the proposed amendment would enhance the
efficiency and capital formation of our markets? How so?
    (13) Will the proposed amendment enhance the efficiency of CAT
reporting by permitting the usage of relationship identifiers and
entity identifiers as Firm Designated IDs? Will the proposed amendment
permit Industry Members to maintain existing order workflows, rather
than employing resources to alter those workflows solely for CAT
reporting purposes?
    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 4-698 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 4-698. This file number
should be included on the subject line if email is used. To help the
Commission process and review your comments more efficiently, please
use only one method. The Commission will post all comments on the
Commission's internet website (http://www.sec.gov/rules/sro.shtml).
Copies of the submission, all subsequent amendments, all written
statements with respect to the proposed plan amendment that are filed
with the Commission, and all written communications relating to the
amendment between the Commission and any person, other than those that
may be withheld from the public in accordance with the provisions of 5
U.S.C. 552, will be available for website viewing and printing in the
Commission's Public Reference Room, 100 F Street NE, Washington, DC
20549, on official business days between the hours of 10:00 a.m. and
3:00 p.m. Copies of such filing also will be available for inspection
and copying at the Participants' offices. All comments received will be
posted without change. Persons submitting comments are cautioned that
we do not redact or edit personal identifying information from comment
submissions. You should submit only information that you wish to make
available publicly. All submissions should refer to File Number 4-698
and should be submitted on or before July 8, 2020.

    By the Commission.
J. Matthew DeLesDernier,
Assistant Secretary.

Appendix A

[additions italicized; deletions bracketed]

LIMITED LIABILITY COMPANY AGREEMENT OF CONSOLIDATED AUDIT TRAIL, LLC

* * * * *

ARTICLE I

    Section 1.1. Definitions. As used throughout this Agreement
(including, for the avoidance of doubt, the Exhibits, Appendices,
Attachments, Recitals and Schedules identified in this Agreement):
* * * * *
    ``Firm Designated ID'' means (1) a unique and persistent
identifier for each trading account designated by Industry Members
for purposes of providing data to the Central Repository provided,
however, such identifier may not be the account number for such
trading account if the trading account is not a proprietary account;
(2) a unique and persistent relationship identifier when an Industry
Member does not have an account number available to its order
handling and/or execution system at the time of order receipt,
provided, however, such identifier must be masked; or (3) a unique
and persistent entity identifier when an employee of an Industry
Member is exercising discretion over multiple client accounts and
creates an aggregated order for which a trading account number of
the Industry Member is not available at the time of order
origination, where each such identifier is unique among all
identifiers from any given Industry Member [for each business date].
* * * * *
[FR Doc. 2020-13000 Filed 6-16-20; 8:45 am]
BILLING CODE 8011-01-P


[Federal Register Volume 88, Number 22 (Thursday, February 2, 2023)]
[Notices]
[Page 7091]
[FR Doc No: 2023-02155]

=======================================================================
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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Food and Drug Administration

[Docket No. FDA-2022-N-2826]

Allergan Sales LLC., et. al.; Withdrawal of Approval of 10
Abbreviated New Drug Applications; Correction

AGENCY: Food and Drug Administration, HHS.

ACTION: Notice; correction.

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

SUMMARY: The Food and Drug Administration (FDA) is correcting a notice
that appeared in the Federal Register on November 21, 2022. The
document announced the withdrawal of approval (as of December 21, 2022)
of 10 abbreviated new drug applications (ANDAs) from multiple
applicants. The document indicated that FDA was withdrawing approval of
the following ANDAs after receiving withdrawal requests from Sunstar
Americas, Inc., 301 East Central Rd., Schaumburg, IL 60195: ANDA
076434, Chlorhexidine Gluconate Solution, 0.12%; Sofgen
Pharmaceuticals, LLC, 21500 Biscayne Blvd., Suite 600, Aventura, FL
33180: ANDA 201832, Nimodipine Capsules, 30 milligrams (mg); and
Indicus Pharma, LLC, 2530 Meridian Parkway, Durham, NC 27713: ANDA
203419, Donepezil HCl Tablets, 23 mg. Before FDA withdrew the approval
of these ANDAs, Sunstar Americas, Inc., Sofgen Pharmaceuticals, LLC,
and Indicus Pharma, LLC informed FDA that they did not want the
approval of the ANDAs withdrawn. Because Sunstar Americas, Inc. timely
requested that approval of ANDA 076434 not be withdrawn, Sofgen
Pharmaceuticals, LLC timely requested that the approval of ANDA 201832
not be withdrawn, and Indicus Pharma, LLC timely requested that the
approval of ANDA 203419 not be withdrawn, the approvals are still in
effect.

FOR FURTHER INFORMATION CONTACT: Martha Nguyen, Center for Drug
Evaluation and Research, Food and Drug Administration, 10903 New
Hampshire Ave., Bldg. 75, Rm. 1676, Silver Spring, MD 20993-0002, 240-
402-6980, [email protected].

SUPPLEMENTARY INFORMATION: In the Federal Register of Monday, November
21, 2022 (87 FR 223), in FR Doc. 2022-25315, the following correction
is made:
    On page 70835, in the table, the entries for ANDAs 076434, 201832,
and 203419 are removed.

    Dated: January 30, 2023.
Lauren K. Roth,
Associate Commissioner for Policy.
[FR Doc. 2023-02155 Filed 2-1-23; 8:45 am]
BILLING CODE 4164-01-P