[Federal Register Volume 84, Number 26 (Thursday, February 7, 2019)]
[Notices]
[Pages 2608-2610]
[FR Doc No: 2019-01384]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-85029; File No. SR-NYSEARCA-2018-99]

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing
and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE
Arca Options Fee Schedule

February 1, 2019.
    Pursuant to Section 19(b)(1) \1\ of the Securities Exchange Act of
1934 (the ``Act'') \2\ and Rule 19b-4 thereunder,\3\ notice is hereby
given that, on December 26, 2018, NYSE Arca, Inc. (the ``Exchange'' or
``NYSE Arca'') filed with the Securities and Exchange Commission (the
``Commission'') the proposed rule change as described in Items I, II,
and III below, which Items have been prepared by the self-regulatory
organization. The Commission is publishing this notice to solicit
comments on the proposed rule change from interested persons.
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    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 15 U.S.C. 78a.
    \3\ 17 CFR 240.19b-4.
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I. Self-Regulatory Organization's Statement of the Terms of the
Substance of the Proposed Rule Change

    The Exchange proposes to amend the NYSE Arca Options Fee Schedule
(``Fee Schedule''). The Exchange proposes to implement the fee change
effective January 1, 2019. The proposed rule change is available on the
Exchange's website at www.nyse.com, at the principal office of the
Exchange, and at the Commission's Public Reference Room.

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

    In its filing with the Commission, the self-regulatory organization
included statements concerning the purpose of, and basis for, the
proposed rule change and discussed any comments it received on the
proposed rule change. The text of those statements may be examined at
the places specified in Item IV below. The Exchange has prepared
summaries,

set forth in sections A, B, and C below, of the most significant parts
of such statements.

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

1. Purpose
    The purpose of this filing is to modify the Fee Schedule, effective
January 1, 2019, to provide an incentive for Market Makers to provide
more competitive prices and deeper liquidity in the NYSE FANG+ Index
(``NYSE FANG+''), which trades under the symbol FAANG. The Exchange
also proposes to eliminate the FAANG Rebate that it currently offers
Floor Brokers as it failed to achieve its intended goal of encouraging
Floor Brokers to bring FAANG business to the Trading Floor.
    The Exchange introduced fees and rebates for transactions in FAANG
in June 2018.\4\ Currently, the Exchange charges $0.35 per contract,
per side for non-Customer and Professional Customer FAANG transactions,
whether executed manually or electronically.\5\ However, the Exchange
does not charge a fee for any FAANG transactions (i) on behalf of
Customers or (ii) by Market Makers with an appointment in NYSE
FANG+.\6\ Thus, Market Makers that do not have an appointment in NYSE
FANG+ are currently subject to the same fee of $0.35 per contract, per
side for non-Customer and Professional Customer FAANG transactions. The
Exchange proposes to remove the requirement that a Market Maker have an
appointment in FAANG to be able to transact in FAANG for free. The
Exchange believes that removing this limitation would encourage Market
Makers to trade in FAANG.
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    \4\ See Securities Exchange Act Release No. 83554 (June 28,
2018), 83 FR 31436 (July 5, 2018) (SR-NYSEArca-2018-49).
    \5\ See Fee Schedule, NYSE FANG+ Index (FAANG) Transaction Fees,
available here: https://www.nyse.com/publicdocs/nyse/markets/arca-options/NYSE_Arca_Options_Fee_Schedule.pdf. [sic]
    \6\ See id. The term Market Maker, as used herein, includes NYSE
Arca Options Market Makers and Lead Market Makers (or LMMs).
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    Concurrent with this change, the Exchange proposes to introduce
credits for Market Maker organizations--specifically, NYSE Arca Options
Market Makers or LMMs--that execute at least 500 total monthly contract
sides that open a position on the Exchange (the ``MM FAANG Credit'' or
``Credit).\7\ Only those FAANG transactions marked as ``open'' would be
eligible to be counted towards the MM FAANG Credit. As proposed, firms
that meet the minimum volume threshold would receive a MM FAANG Credit
of $5,000; provided, however, that if more than ten firms qualify for a
MM FAANG Credit in a calendar month, the Credit for each qualifying
firm would be a pro rata share of $50,000. The Exchange believes the
proposed MM FAANG Credit would further the Exchange's goal of
encouraging trading in this new index product. In particular, the
Exchange seeks to spur Market Makers to provide increased liquidity in
tighter markets, which would create greater trading opportunities for
all market participants.
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    \7\ See proposed Fee Schedule, NYSE FANG+ Index (FAANG)
Transaction Fees.
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    Finally, the Exchange proposes to eliminate the FAANG Rebate that
it currently offers Floor Brokers as it failed to achieve its intended
goal of encouraging Floor Brokers to bring FAANG business to the
Trading Floor.\8\
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    \8\ See Securities Exchange Act Release No. 83616 (July 10,
2018), 83 FR 32929, 32929 (July 16, 2018) (SR-NYSEArca-2018-51)
(adopting the FAANG Rebate for Floor Brokers to ``encourage[e] Floor
Brokers to bring business to the Trading Floor, which would in turn,
benefit all market participants through increased liquidity and more
opportunities to trade'').
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2. Statutory Basis
    The Exchange believes that the proposed rule change is consistent
with Section 6(b) of the Act, in general, and furthers the objectives
of Sections 6(b)(4) and (5) of the Act, in particular, because it
provides for the equitable allocation of reasonable dues, fees, and
other charges among its members, issuers and other persons using its
facilities and does not unfairly discriminate between customers,
issuers, brokers or dealers.
    The Exchange believes the proposal to remove the restriction that
Market Makers must have an appointment in FAANG to avoid transactions
fees in this product is reasonable, equitable and not unfairly
discriminatory because this proposal would encourage Market Makers to
provide liquidity in FAANG, a product that was only introduced in June
2018. In addition, the proposed FAANG transaction fee change would
apply equally to all Marker Maker organizations that transact in FAANG.
    The Exchange believes the proposal to introduce a MM FAANG Credit
for executing a certain number of options contract sides on FAANG is
reasonable, equitable and not unfairly discriminatory for the following
reasons. First, the proposed Credit would apply equally to all Marker
Maker organizations that transact in FAANG. Second, the proposed Credit
would encourage Market Maker organizations to increase trading activity
in FAANG. The Exchange anticipates that Market Makers seeking to reach
the proposed 500 contract threshold will provide additional liquidity
and trading opportunities for all market participants. The Exchange
believes the proposed MM FAANG Credit is reasonable, equitable and not
unfairly discriminatory because it is designed to further the
Exchange's goal of encouraging transactions in FAANG, a new index
product.
    Finally, the Exchange believes the proposal to eliminate the FAANG
Rebate that is currently offered to Floor Brokers is reasonable,
equitable and not unfairly discriminatory because it would apply
equally to all Floor Brokers. Further, the proposal would encourage the
fair and efficient use of Exchange resources given that this incentive
program failed to meet its stated goal of encouraging Floor Brokers to
bring FAANG business to the Trading Floor.

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

    In accordance with Section 6(b)(8) of the Act, the Exchange does
not believe that the proposed rule change would impose any burden on
competition that is not necessary or appropriate in furtherance of the
purposes of the Act. The Exchange believes the proposed MM FAANG Credit
for Market Maker organizations would not place an unfair burden on
competition as it would apply to all similarly situated Market Makers.
The Exchange also believes the proposed Credit is procompetitive as it
would further the Exchange's goal of introducing new products to the
marketplace and encouraging Market Makers to provide liquidity in these
products, which would in turn, benefit all market participants. Market
participants that do not wish to trade in FAANG are not obliged to do
so.
    To the extent that there is an additional competitive burden on
market participants that are not eligible for the MM FAANG Credit
(i.e., non-Market Maker organizations), the Exchange believes that this
is appropriate because the proposal would incent Market Makers to
provide increased liquidity in tighter markets, which would create
greater trading opportunities for all market participants. To the
extent that this purpose is achieved, all of the Exchange's market
participants should benefit from the improved market liquidity.
Enhanced market quality and increased transaction volume that results
from the anticipated increase in

order flow directed to the Exchange will benefit all market
participants and improve competition on the Exchange.
    The proposed elimination of the FAANG Rebate currently available to
Floor Brokers likewise does not impose an unfair burden on competition
as it failed to achieve its intended goal of encouraging Floor Brokers
to bring FAANG business to the Trading Floor and applies equally to all
similarly situated Floor Brokers.
    The Exchange does not believe that the proposed change will impair
the ability of any market participants or competing order execution
venues to maintain their competitive standing in the financial markets.
Further, the proposed Rebate would be applied to all similarly situated
participants (i.e., Market Maker organizations), and, as such, the
proposed change would not impose a disparate burden on competition
either among or between classes of market participants.

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

    No written comments were solicited or received with respect to the
proposed rule change.

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

    The foregoing rule change is effective upon filing pursuant to
Section 19(b)(3)(A) \9\ of the Act and subparagraph (f)(2) of Rule 19b-
4 \10\ thereunder, because it establishes a due, fee, or other charge
imposed by the Exchange.
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    \9\ 15 U.S.C. 78s(b)(3)(A).
    \10\ 17 CFR 240.19b-4(f)(2).
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    At any time within 60 days of the filing of such proposed rule
change, the Commission summarily may temporarily suspend such rule
change if it appears to the Commission that such action is necessary or
appropriate in the public interest, for the protection of investors, or
otherwise in furtherance of the purposes of the Act. If the Commission
takes such action, the Commission shall institute proceedings under
Section 19(b)(2)(B) \11\ of the Act to determine whether the proposed
rule change should be approved or disapproved.
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    \11\ 15 U.S.C. 78s(b)(2)(B).
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IV. Solicitation of Comments

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

Electronic Comments

     Use the Commission's internet comment form (http://www.sec.gov/rules/sro.shtml); or
     Send an email to<EMAIL_ADDRESS>Please include
File Number SR-NYSEARCA-2018-99 on the subject line.

Paper Comments

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

All submissions should refer to File Number SR-NYSEARCA-2018-99. This
file number should be included on the subject line if email is used. To
help the Commission process and review your comments more efficiently,
please use only one method. The Commission will post all comments on
the Commission's internet website (http://www.sec.gov/rules/sro.shtml).
Copies of the submission, all subsequent amendments, all written
statements with respect to the proposed rule change that are filed with
the Commission, and all written communications relating to the proposed
rule change between the Commission and any person, other than those
that may be withheld from the public in accordance with the provisions
of 5 U.S.C. 552, will be available for website viewing and printing in
the Commission's Public Reference Room, 100 F Street NE, Washington, DC
20549 on official business days between the hours of 10:00 a.m. and
3:00 p.m. Copies of such filing also will be available for inspection
and copying at the principal office of the Exchange. All comments
received will be posted without change. Persons submitting comments are
cautioned that we do not redact or edit personal identifying
information from comment submissions. You should submit only
information that you wish to make available publicly. All submissions
should refer to File Number SR-NYSEARCA-2018-99, and should be
submitted on or before February 22, 2019.
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    \12\ 17 CFR 200.30-3(a)(12).

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\12\
Eduardo A. Aleman,
Deputy Secretary.
[FR Doc. 2019-01384 Filed 2-6-19; 8:45 am]
 BILLING CODE 8011-01-P


[Federal Register Volume 81, Number 172 (Tuesday, September 6, 2016)]
[Notices]
[Pages 61288-61290]
[FR Doc No: 2016-21253]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-78729; File No. SR-FINRA-2016-033]

Self-Regulatory Organizations; Financial Industry Regulatory
Authority, Inc.; Notice of Filing of a Proposed Rule Change Amending
Rule 12400 of the Code of Arbitration Procedure for Customer Disputes
and Rule 13400 of the Code of Arbitration Procedure for Industry
Disputes Relating to Broadening Chairperson Eligibility in Arbitration

August 30, 2016.
    Pursuant to section 19(b)(1) of the Securities Exchange Act of 1934
(``Act'') \1\ and Rule 19b-4 thereunder,\2\ notice is hereby given that
on August 18, 2016, Financial Industry Regulatory Authority, Inc.
(``FINRA'') filed with the Securities and Exchange Commission
(``Commission'') the proposed rule change as described in Items I, II,
and III below, which Items have been prepared by FINRA. The Commission
is publishing this notice to solicit comments on the proposed rule
change from interested persons.
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    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 17 CFR 240.19b-4.
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I. Self-Regulatory Organization's Statement of the Terms of Substance
of the Proposed Rule Change

    FINRA is proposing to amend FINRA Rule 12400 of the Code of
Arbitration Procedure for Customer Disputes (``Customer Code'') and
FINRA Rule 13400 of the Code of Arbitration Procedure for Industry
Disputes (``Industry Code,'' and together with the Customer Code, the
``Codes'') to provide that an attorney arbitrator would be eligible for
the chairperson roster if he or she completes chairperson training and
serves as an arbitrator through award on at least one arbitration,
instead of two arbitrations, administered by a self-regulatory
organization (``SRO'') in which hearings were held.
    The text of the proposed rule change is available on FINRA's Web
site at http://www.finra.org, at the principal office of FINRA and at
the Commission's Public Reference Room.

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

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

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

1. Purpose
Background
    FINRA rules require chairpersons, who play a vital role in the
administration of arbitration cases, to have arbitrator experience and
training to ensure the quality and efficiency of arbitrations. FINRA
Rules 12400 and 13400 address the Neutral List Selection System
(``NLSS'') \3\ and arbitrator rosters and provide, among other matters,
that an arbitrator is eligible for the chairperson roster if he or she
has completed chairperson training provided by FINRA and:
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    \3\ The NLSS is a computer system that generates, on a random
basis, lists of arbitrators from FINRA's rosters of arbitrators for
the selected hearing location for each proceeding. FINRA maintains a
roster of non-public arbitrators (as defined in FINRA Rules 12100(p)
and 13100(p)), a roster of public arbitrators (as defined in FINRA
Rules 12100(u) and 13100(u)), and a roster of arbitrators who are
eligible to serve as chairperson of a panel.
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     Has a law degree and is a member of a bar of at least one
jurisdiction and has served as an arbitrator through award on at least
two arbitrations administered by an SRO in which hearings were held (an
``attorney arbitrator''); or
     Has served as an arbitrator through award on at least
three arbitrations administered by an SRO in which hearings were held.
    FINRA's Office of Dispute Resolution (``ODR'') offers 71 hearing
locations, including at least one in each state of the United States,
one in San Juan, Puerto Rico, and one in London, UK. ODR maintains a
diverse roster of approximately 6,750 arbitrators, of which
approximately 3,060 are currently classified as public. Approximately
1,000 of the 3,060 are chair-qualified. Despite the size of the public
chairperson roster, forum users have raised concerns of a diminished
public chairperson roster resulting from amendments to the ``public
arbitrator'' definition that became effective on June 26, 2015.\4\ As a
result of the amended public arbitrator definition, FINRA reclassified
approximately 13.8 percent (487 out of 3,512) of its public arbitrator
roster as non-public and approximately 2.6 percent (93 out of 3,512) of
its public arbitrator roster were temporarily disqualified and made
ineligible for service.\5\ Many of the arbitrators who were
reclassified or disqualified were chair-qualified.
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    \4\ See Securities Exchange Act Release No. 74383 (February 26,
2015), 80 FR 11695 (Order Approving Filing No. SR-FINRA-2014-028)
(in part narrowing the public arbitrator definition by adding
disqualifications relating to, among other things, affiliations with
the securities industry concerning an arbitrator's family member or
place of employment).
    \5\ There were an estimated 2,932 public arbitrators after the
amended public arbitrator definition became effective. Arbitrator
recruitment since July 2015 added approximately 128 to the public
arbitrator roster, thereby reaching approximately 3,060 public
arbitrators as of this rule filing.
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    Currently, the public chairperson roster in each hearing location
ranges from fewer than 40 to over 200. Forum users recognize the risk
that when the caseload increases, the ratio of cases to qualified
public chairpersons is higher and FINRA may not have a sufficient
number of public chairpersons on its roster.
    To expand the roster of public chairpersons in locations where the
ratio of cases to qualified public chairpersons is higher, FINRA asks
many public chairpersons to serve in multiple hearing locations. FINRA
reimburses these chairpersons for their travel, lodging, and meals.
However, party representatives have told FINRA staff that it is
inconvenient to schedule hearings with out-of-town arbitrators.
Moreover, during inclement weather, arbitrators may not be able to
travel to the hearing location, which would then require parties to
reschedule and incur additional costs. In addition, some forum users
suggest that these arbitrators may also need instruction on the state
laws, procedures, and customs for the hearing venue.
    FINRA has had limited success in enrolling new public chairpersons.
One reason is that for the last few years, FINRA's arbitration caseload
has remained low, and public arbitrators were not serving on a
sufficient number of cases through award to meet the case experience
requirements for attorney arbitrators outlined above. In 2015, only 24%
of cases closed by award. However, thus far in 2016, there has been an
increase in case filings (up 20% compared to the same period in 2015).
If this trend persists, the need for more public chairpersons could
outpace the qualification pipeline under the current eligibility
criteria.
Proposed Amendments to Rules 12400(c) and 13400(c)
    FINRA is proposing to amend Rules 12400(c) and 13400(c) to provide
that an

attorney arbitrator would be eligible for the chairperson roster if he
or she completes chairperson training and serves as an arbitrator
through award on at least one arbitration, instead of two arbitrations,
administered by an SRO in which hearings were held. Reducing the case
experience requirement from two arbitrations to one arbitration could
add more than 270 attorney arbitrators across 59 of the 71 hearing
locations, resulting in a nearly 30 percent increase in the number of
arbitrators who might be eligible to serve as public chairpersons once
they take chairperson training.
    FINRA is also proposing to replace the bullets in Rules 12400 and
13400 with numbers for ease of citation.
2. Statutory Basis
    FINRA believes that the proposed rule change is consistent with the
provisions of section 15A(b)(6) of the Act,\6\ which requires, among
other things, that FINRA rules must be designed to prevent fraudulent
and manipulative acts and practices, to promote just and equitable
principles of trade, and, in general, to protect investors and the
public interest. FINRA believes that the proposed rule change would
protect investors and the public interest by potentially increasing the
number of eligible public chairpersons in all hearing locations,
without negatively impacting the quality of the chairperson rosters.
The proposal would address concerns raised by forum users of FINRA's
diminished public chairperson roster resulting from the amended public
arbitrator definition and the inconvenience of scheduling hearings with
out-of-town arbitrators.
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    \6\ 15 U.S.C. 78o-3(b)(6).
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B. Self-Regulatory Organization's Statement on Burden on Competition

    FINRA does not believe that the proposed rule change will result in
any burden on competition that is not necessary or appropriate in
furtherance of the purposes of the Act. Attorney arbitrators have the
skillset to efficiently manage hearings and the experience to decide
motions, among other matters. Their service as an arbitrator through
award on one arbitration provides them with valuable experience
regarding the arbitration forum. FINRA rules also require chairperson
training before an attorney arbitrator becomes eligible to serve on a
case as chairperson. The path to becoming chair-qualified is not
mandatory however. ODR prompts candidates to register for chairperson
training when they meet the other minimum qualifications. Any
arbitrator who would like additional experience prior to serving as
chairperson can defer the training until he or she gains that
experience. In addition, ODR recently implemented a chairperson
mentorship program to offer new chairpersons an additional resource for
refining their chairperson skills. FINRA believes that by potentially
increasing local chairpersons in hearing locations, FINRA would address
forum users' concerns about scheduling out-of-town public chairpersons.
Local arbitrators may also need less instruction on state laws,
procedures, and customs. In addition, if the caseload increases, FINRA
may not need to expand the use of public chairpersons from outside
hearing locations, thereby avoiding additional forum user concerns.
    The proposed rule change is expected to provide a greater selection
of local chairpersons for forum users, thereby potentially lowering
instances in which chairpersons must travel. In addition, during the
arbitrator selection process, FINRA supplies all parties with
Arbitrator Disclosure Reports \7\ that include the arbitration case
history for each potential arbitrator. Parties can strike arbitrators
from the list for any reason. FINRA believes that the transparency of
the Arbitrator Disclosure Report will continue to ensure that parties
can make informed decisions regarding their chairperson selection and
that the proposed rule change will increase the parties' choices.
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    \7\ The Arbitrator Disclosure Report contains background
information about the potential arbitrator, such as the arbitrator's
name, classification, skills, employment, education, training,
conflict information, and any publicly available awards the
arbitrator issued.
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C. Self-Regulatory Organization's Statement on Comments on the Proposed
Rule Change Received From Members, Participants, or Others

    Written comments were neither solicited nor received.

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

    Within 45 days of the date of publication of this notice in the
Federal Register or within such longer period (i) as the Commission may
designate up to 90 days of such date if it finds such longer period to
be appropriate and publishes its reasons for so finding or (ii) as to
which the self-regulatory organization consents, the Commission will:
    (A) by order approve or disapprove such proposed rule change, or
    (B) institute proceedings to determine whether the proposed rule
change should be disapproved.

IV. Solicitation of Comments

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

Electronic Comments

     Use the Commission's Internet comment form (http://www.sec.gov/rules/sro.shtml); or
     Send an email to<EMAIL_ADDRESS>Please include
File Number SR-FINRA-2016-033 on the subject line.

Paper Comments

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

All submissions should refer to File Number SR-FINRA-2016-033. This
file number should be included on the subject line if email is used. To
help the Commission process and review your comments more efficiently,
please use only one method. The Commission will post all comments on
the Commission's Internet Web site (http://www.sec.gov/rules/sro.shtml). Copies of the submission, all subsequent amendments, all
written statements with respect to the proposed rule change that are
filed with the Commission, and all written communications relating to
the proposed rule change between the Commission and any person, other
than those that may be withheld from the public in accordance with the
provisions of 5 U.S.C. 552, will be available for Web site viewing and
printing in the Commission's Public Reference Room, 100 F Street NE.,
Washington, DC 20549-1090, on official business days between the hours
of 10 a.m. and 3 p.m. Copies of such filing also will be available for
inspection and copying at the principal office of FINRA. All comments
received will be posted without change; the Commission does not edit
personal identifying information from submissions. You should submit
only information that you wish to make available publicly. All
submissions should refer to File Number SR-FINRA-2016-033 and should be
submitted on or before September 27, 2016.

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\8\
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    \8\ 17 CFR 200.30-3(a)(12).
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Robert W. Errett,
Deputy Secretary.
[FR Doc. 2016-21253 Filed 9-2-16; 8:45 am]
 BILLING CODE 8011-01-P


[Federal Register Volume 85, Number 184 (Tuesday, September 22, 2020)]
[Notices]
[Pages 59555-59557]
[FR Doc No: 2020-20877]

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DEPARTMENT OF LABOR

Occupational Safety and Health Administration

[Docket No. OSHA-2019-0009]

DEKRA Certification Inc.: Grant of Recognition and Modification
to the NRTL Program's List of Appropriate Test Standards

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

ACTION: Notice.

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SUMMARY: In this notice, OSHA announces the final decision to grant
recognition to DEKRA Certification, Inc., as a Nationally Recognized
Testing Laboratory (NRTL). Additionally, OSHA announces the final
decision to add two additional test standards to the NRTL Program's
List of Appropriate Test Standards.

DATES: Recognition as a NRTL becomes effective on September 22, 2020.

FOR FURTHER INFORMATION CONTACT: Information regarding this notice is
available from the following sources:
    Press inquiries: Contact Mr. Frank Meilinger, Director, OSHA Office
of Communications, U.S. Department of Labor, telephone:<PHONE_NUMBER>;
email<EMAIL_ADDRESS>    General and technical information: Contact Mr. Kevin Robinson,
Director, Office of Technical Programs and Coordination Activities,
Directorate of Technical Support and Emergency Management, Occupational
Safety and Health Administration, U.S. Department of Labor, phone:
(202) 693-2110; email<EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION:

I. Background

    Many of OSHA's workplace standards require that a NRTL test and
certify certain types of equipment as safe for use in the workplace.
NRTLs are independent laboratories that meet OSHA's requirements for
performing safety testing and certification of products used in the
workplace. To obtain and retain OSHA recognition, the NRTLs must meet
the requirements in the NRTL Program regulations at 29 CFR 1910.7. More
specifically, to be recognized by OSHA, an organization must: (1) Have
the appropriate capability to test, evaluate, and approve products to
assure their safe use in the workplace; (2) be completely independent
of employers subject to the tested equipment requirements, and
manufacturers and vendors of products for which OSHA requires
certification; (3) have internal programs that ensure proper control of
the testing and certification process; and (4) have effective reporting
and complaint handling procedures. Recognition is an acknowledgement by
OSHA that the NRTL has the capabilities to perform independent safety
testing and certification of the specific products covered within the
NRTL's scope of recognition and is not a delegation or grant of
government authority. Recognition of a NRTL by OSHA also allows
employers to use products certified by that NRTL to meet those OSHA
standards that require product testing and certification.
    The agency processes applications for initial recognition following
requirements in Appendix A of 29 CFR 1910.7. This appendix requires
OSHA to publish two notices in the Federal Register in processing an
application. In the first notice, OSHA announces the application,
provides the preliminary finding, and solicits comments on the
preliminary findings. In the second notice, the agency provides the
final decision on the application. These notices set forth the NRTL's
scope of recognition.

II. Notice of Final Decision

    OSHA hereby gives notice of the agency's decision to grant
recognition to DEKRA Certification, Inc., (DEKRA) as a NRTL. According
to the public information (see https://www.dekra-product-safety.com/en/about-dekra), DEKRA states that it is an internationally accredited
testing laboratory. In the application, DEKRA lists the current address
of the headquarters as: DEKRA Certification, Inc., 405 Glenn Drive,
Suite 12, Sterling, Virginia 20164.
    Each NRTL's scope of recognition has two elements: (1) The type of
products the NRTL may test, with each type specified by the applicable
test standard; and (2) the recognized site(s)

that have the technical capability to perform the product-testing and
product-certification activities for the applicable test standards
within the NRTL's scope of recognition. DEKRA applied on December 8,
2016, for one recognized site (OSHA-2019-0009-0002). This application
was amended on October 4, 2018, to add a new site as the company
headquarters and requesting five supplemental programs within the scope
of recognition (OSHA-2019-0009-0003). This application was amended
again on October 8, 2019, to request thirty-four test standards be
included within the scope of recognition. On October 1, 2019, OSHA
published an update to the NRTL Program Policies, Procedures and
Guidelines Directive, CPL-01-004, which eliminates supplemental
programs from the NRTL Program. With this update, OSHA will no longer
recognize NRTL applicants for supplemental programs. OSHA published the
preliminary notice announcing DEKRA's application for recognition in
the Federal Register on March 24, 2020 (85 FR 16673). The agency
requested comments by April 23, 2020, but it received no comments in
response to this notice. OSHA now is proceeding with this final notice
to grant recognition to DEKRA as a NRTL.
    To obtain or review copies of all public documents pertaining to
DEKRA's application, go to www.regulations.gov or contact the Docket
Office, Occupational Safety and Health Administration, U.S. Department
of Labor, 200 Constitution Avenue NW, Room N-3647, Washington, DC
20210. Docket No. OSHA-2019-0009 contains all materials in the record
concerning DEKRA's recognition.

III. Final Decision and Order

    OSHA staff performed a detailed analysis of DEKRA's application
packet and reviewed other pertinent information. OSHA staff also
performed comprehensive on-site assessments of DEKRA's testing
facilities, at DEKRA Arnhem, Netherlands on July 11-13, 2018, and DEKRA
Sterling, Virginia on October 30, 2018. Based on the review of this
evidence, OSHA finds that DEKRA meets the requirements of 29 CFR 1910.7
for recognition as a NRTL, subject to the limitations and conditions
listed below. OSHA, therefore is proceeding with this final notice to
grant recognition to DEKRA as a NRTL. The following sections set forth
the scope of recognition included in DEKRA's grant of recognition.

A. Standards Requested for Recognition

    OSHA limits DEKRA's scope of recognition to testing and
certification of products for demonstration of conformance to the test
standards listed in Table 1.

 Table 1--Appropriate Test Standards for Inclusion in DEKRA's NRTL Scope
                             of Recognition
------------------------------------------------------------------------
        Test standard                     Test standard title
------------------------------------------------------------------------
AAMI 60601-1.................  Medical Electrical Equipment--Part 1:
                                General Requirements for Basic Safety
                                and Essential Performance.
UL 1012......................  Standard for Power Units Other Than Class
                                2.
UL 1059......................  Standard for Terminal Blocks.
UL 1203......................  Standard for Explosion-Proof and Dust-
                                Ignition-Proof Electrical Equipment for
                                Use in Hazardous (Classified) Locations.
UL 121201....................  Nonincendive Electrical Equipment for Use
                                in Class I and II, Division 2 and Class
                                III, Divisions 1 and 2 Hazardous
                                (Classified) Locations.
UL 1310......................  Standard for Class 2 Power Units.
UL 153.......................  Standard for Portable Electric
                                Luminaires.
UL 1598......................  Luminaires.
UL 1778......................  Uninterruptible Power Systems.
UL 2157......................  Electric Clothes Washing Machines and
                                Extractors.
UL 50........................  Enclosures for Electrical Equipment, Non-
                                Environmental Considerations.
UL 508A......................  Standard for Industrial Control Panels.
UL 60065.....................  Standard for Audio, Video and Similar
                                Electronic Apparatus--Safety
                                Requirements.
UL 60079-0...................  Standard for Explosive Atmospheres--Part
                                0: Equipment--General Requirements.
UL 60079-1...................  Standard for Explosive Atmospheres--Part
                                1: Equipment Protection by Flameproof
                                Enclosures ``d''.
UL 60079-2...................  Standard for Explosive Atmospheres--Part
                                2: Equipment Protection by Pressurized
                                Enclosure `p'.
UL 60079-7...................  Standard for Explosive Atmospheres--Part
                                7: Equipment Protection by Increased
                                Safety `e'.
UL 60079-11..................  Explosive Atmospheres--Part 11: Equipment
                                Protection by Intrinsic Safety ``i''.
UL 60079-15..................  Explosive Atmospheres--Part 15: Equipment
                                Protection by Type of Protection `n'.
UL 60079-18..................  Standard for Explosive Atmospheres--Part
                                18: Equipment Protection by
                                Encapsulation `m'.
UL 60079-26..................  Standard for Explosive Atmospheres--Part
                                26: Equipment with Equipment Protection
                                Level (EPL) Gas.
UL 60079-30-1................  Standard for Explosive Atmospheres--Part
                                30-1: Electrical Resistance Trace
                                Heating--General and Testing
                                Requirements.
UL 60079-31..................  Explosive Atmospheres--Part 31: Equipment
                                Dust Ignition Protection by Enclosure
                                `t'.
UL 60730-1...................  Automatic Electrical Controls--Part 1:
                                General Requirements.
UL 60730-2-9.................  Standard for Automatic Electrical
                                Controls--Part 2-9: Particular
                                Requirements for Temperature Sensing
                                Controls.
UL 60950-1...................  Information Technology Equipment--Safety--
                                Part 1: General Requirements.
UL 60950-22..................  Information Technology Equipment--Safety--
                                Part 22: Equipment to be Installed
                                Outdoors.
UL 61010-1...................  Safety Requirements for Electrical
                                Equipment for Measurement, Control and
                                Laboratory Use--Part 1: General
                                Requirements.
UL 61058-1...................  Switches for Appliances--Part 1: General
                                Requirement.
UL 62368-1...................  Audio/video, Information and
                                Communication Technology Equipment--Part
                                1: Safety Requirements.
UL 858.......................  Standard for Household Electric Ranges.
UL 858A......................  Safety-Related Solid-State Controls For
                                Electric Ranges.
UL 8750......................  Standard for Light Emitting Diode (LED)
                                Equipment for Use in Lighting Products.
UL 913.......................  Standard for Intrinsically Safe Apparatus
                                and Associated Apparatus for Use in
                                Class I, II, III, Division 1, Hazardous
                                (Classified) Locations.
------------------------------------------------------------------------

B. Sites Requested for Recognition

    OSHA limits DEKRA's scope of recognition to include the two sites
listed below:
    1. DEKRA Certification, Inc., 405 Glenn Drive, Suite 12, Sterling,
Virginia 20164; and
    2. DEKRA Certification B.V. Arnhem Meander 1051, 6825 MJ Arnhem,
Gelderland, Netherlands.
    OSHA's recognition of these sites limits DEKRA to performing
product testing and certifications only to the test standards for which
the site has the proper capability and programs, and for the test
standards in DEKRA's scope of recognition. This limitation is
consistent with the recognition that OSHA grants to other NRTLs that
operate multiple sites.

C. Conditions

    In addition to those conditions already required by 29 CFR 1910.7,
DEKRA also must abide by the following conditions of the recognition:
    1. DEKRA must inform OSHA as soon as possible, in writing, of any
change of ownership, facilities, or key personnel, and of any major
change in the operations as a NRTL, and provide details of the
change(s);
    2. DEKRA must meet all the terms of the recognition and comply with
all OSHA policies pertaining to this recognition; and
    3. DEKRA must continue to meet the requirements for recognition,
including all previously published conditions on DEKRA's scope of
recognition, in all areas for which it has recognition.

IV. Final Decision To Add New Test Standards to the NRTL Program's List
of Appropriate Test Standards

    In this notice, OSHA also announces the addition of two new test
standards to the NRTL Program's List of Appropriate Test Standards.
Table 2, below, lists the test standards that are new to the NRTL
Program. OSHA has determined that these test standards are appropriate
test standards and will include them in the NRTL Program's List of
Appropriate Test Standards.

 Table 2--Test Standards OSHA Is Proposing To Add to the NRTL Program's
                   List of Appropriate Test Standards
------------------------------------------------------------------------
        Test standard                     Test standard title
------------------------------------------------------------------------
UL 60079-30-1................  Standard for Explosive Atmospheres--Part
                                30-1: Electrical Resistance Trace
                                Heating--General and Testing
                                Requirements.
UL 60730-1...................  Automatic Electrical Controls--Part 1:
                                General Requirements.
------------------------------------------------------------------------

    Pursuant to the authority in 29 CFR 1910.7, OSHA hereby grants
recognition to DEKRA as a NRTL, subject to these limitations and
conditions specified above.

V. Authority and Signature

    Loren Sweatt, Principal Deputy Assistant Secretary of Labor for
Occupational Safety and Health, authorized the preparation of this
notice. Accordingly, the agency is issuing this notice pursuant to 29
U.S.C. 657(g)(2), Secretary of Labor's Order No. 1-2012 (77 FR 3912,
Jan. 25, 2012), and 29 CFR 1910.7.

    Signed at Washington, DC, on September 16, 2020.
Loren Sweatt,
Principal Deputy Assistant Secretary of Labor for Occupational Safety
and Health.
[FR Doc. 2020-20877 Filed 9-21-20; 8:45 am]
BILLING CODE 4510-26-P