[Federal Register Volume 84, Number 227 (Monday, November 25, 2019)]
[Rules and Regulations]
[Pages 64765-64772]
[FR Doc No: 2019-25412]

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ENVIRONMENTAL PROTECTION AGENCY

40 CFR Part 82

[EPA-HQ-OAR-2003-0118; FRL-10002-51-OAR]
RIN 2060-AG12

Protection of Stratospheric Ozone: Determination 35 for
Significant New Alternatives Policy Program

AGENCY: Environmental Protection Agency (EPA).

ACTION: Determination of acceptability.

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SUMMARY: This determination of acceptability expands the list of
acceptable substitutes pursuant to the U.S. Environmental Protection
Agency's (EPA) Significant New Alternatives Policy (SNAP) program. This
action lists as acceptable additional substitutes for use in the
refrigeration and air conditioning sector.

DATES: This determination is applicable on November 25, 2019.

ADDRESSES: The EPA established a docket for this action under Docket ID
No. EPA-HQ-OAR-2003-0118 (continuation of Air Docket A-91-42). All
electronic documents in the docket are listed in the index at
www.regulations.gov. Although listed in the index, some information is
not publicly available, i.e., Confidential Business Information (CBI)
or other information whose disclosure is restricted by statute.
Publicly available docket materials are available either electronically
at www.regulations.gov or in hard copy at the EPA Air Docket (Nos. A-
91-42 and EPA-HQ-OAR-2003-0118), EPA Docket Center (EPA/DC), William J.
Clinton West, Room 3334, 1301 Constitution Avenue NW, Washington, DC
20460. The Public Reading Room is open from 8:30 a.m. to 4:30 p.m.,
Monday through Friday, excluding legal holidays. The telephone number
for the Public Reading Room is<PHONE_NUMBER>, and the telephone number
for the Air Docket is<PHONE_NUMBER>.

FOR FURTHER INFORMATION CONTACT:  Gerald Wozniak by telephone at (202)
343-9624, by email at<EMAIL_ADDRESS>or by mail at U.S.
Environmental Protection Agency, Mail Code 6205T, 1200 Pennsylvania
Avenue NW, Washington, DC 20460. Overnight or courier deliveries should
be sent to the office location at 1201 Constitution Avenue NW,
Washington, DC 20004.

SUPPLEMENTARY INFORMATION:

Table of Contents

I. Listing of New Acceptable Substitutes: Refrigeration and Air
Conditioning
    A. R-1224yd(Z)
    B. R-407H
    C. R-448A
    D. R-449A
    E. R-449B
    F. R-453A
II. Clarification of Refrigerated Transport--Refrigerated Trucks and
Trailers End-Use Category

Appendix A: Summary of Decisions for New Acceptable Substitutes

I. Listing of New Acceptable Substitutes: Refrigeration and Air
Conditioning

    This action list as acceptable additional substitutes for use in
several end-uses in the refrigeration and air conditioning sector.
     R-1224yd(Z) in centrifugal and positive displacement
chillers and industrial process refrigeration (new and retrofit);
     R-407H in multiple refrigeration and air conditioning end-
uses;
     R-448A in ice skating rinks (new equipment);
     R-449A in ice skating rinks (new equipment);
     R-449B in ice skating rinks (new equipment); and
     R-453A in refrigerated transport (new and retrofit).
    EPA's review of certain substitutes listed in this document is
pending for other uses. Listing in the end-uses and applications in
this document does not prejudge EPA's listings of these substitutes for
other end-uses. The substitutes being added through this document to
the acceptable lists for specific end-uses have a similar or lower risk
than other substitutes already listed as acceptable in those end-uses.
However, certain substitutes may have a higher overall risk than
certain other substitutes already listed as acceptable or acceptable
subject to restrictions. In such cases, those already-listed
alternatives have not yet prove feasible in those specific end-uses.
    For additional information on SNAP, visit the SNAP portion of EPA's
Ozone Layer Protection website at: www.epa.gov/snap. Copies of the full
lists of acceptable substitutes for ozone-depleting substances (ODS) in
all industrial sectors are available at www.epa.gov/snap/substitutes-sector. For more information on the Agency's process for administering
the SNAP program or criteria for evaluation of substitutes, refer to
the initial SNAP rulemaking published March 18, 1994 (59 FR 13044),
codified at 40 CFR part 82, subpart G. SNAP decisions and the
appropriate Federal Register citations are found at: www.epa.gov/snap/snap-regulations. Substitutes listed as unacceptable; acceptable,
subject to narrowed use limits; or acceptable, subject to use
conditions are also listed in the appendices to 40 CFR part 82, subpart
G.
    The sections below discuss each substitute listing in detail.
Appendix A contains tables summarizing each listing decision in this
action. The statements in the ``Further Information'' column in the
tables provide additional information but these are not legally binding
under section 612 of the Clean Air Act (CAA). Although you are not
required to follow recommendations in the ``Further Information''
column of the table to use a substitute consistent with section 612 of
the CAA, some of these statements may refer to obligations that are
enforceable or binding under federal or state programs other than the
SNAP program. The identification of other enforceable or binding
requirements should not be construed as a comprehensive list of such
obligations. In many instances, the information simply refers to
standard operating practices in existing industry standards and/or
building codes. When using these substitutes in the identified end-use,
EPA strongly encourages you to apply the information in the ``Further
Information'' column. Many of these recommendations, if adopted, would
not require significant changes to existing operating practices.
    You can find submissions to EPA for the substitutes listed in this
document, as well as other materials supporting the decisions in this
action, in Docket EPA-HQ-OAR-2003-0118 at www.regulations.gov.

A. R-1224yd(Z)

    EPA's decision: EPA finds R-1224yd(Z) acceptable as a substitute
for use in:

 Centrifugal chillers (new and retrofit equipment)
 Positive displacement chillers (new and retrofit equipment)
 Industrial process refrigeration (new and retrofit equipment)

    R-1224yd(Z), marketed under the trade name AMOLEATM yd,
is also known as (Z)-1-chloro-2,3,3,3-tetrafluoropropene or HCFO-
1224yd(Z) (Chemical Abstracts Service Registry Number [CAS Reg. No.]
111512-60-8).
    You may find the redacted submission in Docket EPA-HQ-OAR-2003-0118
at www.regulations.gov under the name, ``Supporting Materials for
Notice 35 Listing of R-1224yd(Z) in Refrigeration and Air Conditioning.
SNAP Submission Received May 12, 2017.'' EPA performed assessments to
examine the health and environmental risks of this substitute. These
assessments are available in Docket EPA-HQ-OAR-2003-0118:

 ``Risk Screen on Substitutes in Centrifugal and Positive
Displacement Chillers. Substitute: R-1224yd(Z)''
 ``Risk Screen on Substitutes in Industrial Process
Refrigeration. Substitute: R-1224yd(Z)''

    Environmental information: The submitter indicates that according
to the National Institute of Advanced Industrial Science and Technology
(AIST) of Japan R-1224yd(Z) has an ozone depletion potential (ODP) of
approximately 0.00012 and a 100-year integrated global warming
potential (GWP) \1\ of about 1.\2\ R-1224yd(Z) is a very short-lived
substance with an atmospheric lifetime of approximately 20 days.\3\ The
ODP of R-1224yd(Z) is significantly less than the ODPs for the ODS
subject to the phase out of production and consumption under
regulations issued under sections 601-607 of the CAA and consistent
with Montreal Protocol on Substances that Deplete the Ozone Layer.
Under CAA regulations (see 40 CFR 51.100(s)) defining volatile organic
compounds (VOC) for the purpose of addressing the development of state
implementation plans (SIPs) to attain and maintain the National Ambient
Air Quality Standards (NAAQS), R-1224yd(Z) would be considered a VOC.
That definition provides that ``any compound of carbon'' which
``participates in atmospheric photochemical reactions'' is considered a
VOC unless expressly excluded in that provision based on a
determination of ``negligible photochemical reactivity.'' Knowingly
venting or releasing this refrigerant blend is limited by the venting
prohibition under section 608(c)(2) of the CAA, codified at 40 CFR
82.154(a)(1). This substitute is subject to a Toxic Substance Control
Act (TSCA) section 5(e) Consent Order and any subsequent TSCA section
5(a)(2) Significant New Use Rule (SNUR).
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    \1\ Unless otherwise stated, all GWPs in this document are 100-
year values from: IPCC, 2007: Climate Change 2007: The Physical
Science Basis. Contribution of Working Group I to the Fourth
Assessment Report of the Intergovernmental Panel on Climate Change
[Solomon, S., Qin, D., Manning, M., Chen, Z., Marquis, M., Averyt,
K. B., Tignor M., and Miller, H. L. (eds.)]. Cambridge University
Press, Cambridge, United Kingdom and New York, NY, USA. This
document is accessible at www.ipcc.ch/publications_and_data/ar4/wg1/
en/contents.html.
    \2\ AIST
    \3\ AIST

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    Flammability information: R-1224yd(Z) is not flammable.
    Toxicity and exposure data: Potential health effects of exposure to
this substitute include drowsiness or dizziness. The substitute may
also irritate the skin or eyes or cause frostbite. The substitute could
cause asphyxiation if air is displaced by vapors in a confined space.
These potential health effects are common to many refrigerants.
    The Workplace Environmental Exposure Limit (WEEL) committee of the
Occupational Alliance for Risk Science (OARS) recommends a WEEL for the
workplace of 1,000 ppm on an eight-hour time-weighted average (8-hr
TWA) for R-1224yd(Z). EPA anticipates that users will be able to meet
the WEEL and address potential health risks by following requirements
and recommendations in the manufacturer's safety data sheet (SDS), in
American Society of Heating, Refrigerating, and Air-Conditioning
Engineers (ASHRAE) Standard 15, and other safety precautions common to
the refrigeration and air conditioning industry.
    Comparison to other substitutes in these end-uses: R-1224yd(Z) has
an ODP of 0.00012, comparable to or less than other listed substitutes
in these end-uses, with ODPs ranging from zero to 0.098.\4\
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    \4\ Unless otherwise stated, all ODPs in this document are from
EPA's regulations at appendix A to subpart A of 40 CFR part 82.
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    For centrifugal and positive displacement chillers, R-1224yd(Z)'s
GWP of about 1 is comparable to or lower than that of other acceptable
substitutes such as, for new chillers, ammonia absorption, carbon
dioxide (CO2), and hydrofluoroolefin (HFO)-1336mzz(Z), and
for new and retrofit chillers, R-450A and R-513A, with GWPs ranging
from 0 to 630.
    For industrial process refrigeration, R-1224yd(Z)'s GWP of about 1
is comparable to or lower than that of other acceptable substitutes
such as, for new equipment, ammonia absorption, and for new and
retrofit equipment, CO2, R-450A, R-513A and
hydrofluorocarbon (HFC)-23, with GWPs ranging from 0 to 14,800.
    Flammability and toxicity risks are comparable to or lower than
flammability and toxicity risks of other available substitutes in the
same end-uses. Toxicity risks can be minimized by use consistent with
the OARS WEEL, ASHRAE 15, and other industry standards, recommendations
in the manufacturer's SDS, and other safety precautions common in the
refrigeration and air conditioning industry.
    EPA finds R-1224yd(Z) acceptable in the end-uses listed above
because it does not pose greater overall environmental and human health
risk than other available substitutes in the centrifugal and positive
displacement chillers and industrial process refrigeration end-uses.

B. R-407H

    EPA's decision: EPA finds R-407H acceptable as a substitute for use
in:

 Retail food refrigeration--supermarket systems (new and
retrofit equipment)
 Retail food refrigeration--refrigerated food processing and
dispensing equipment (new and retrofit equipment)
 Refrigerated transport--refrigerated trucks and trailers \5\
(new and retrofit equipment)
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    \5\ See Section II for clarification of this end-use.

    R-407H, marketed under the trade name D407, is a weighted blend of
52.5 percent HFC-134a, which is also known as 1,1,1,2-tetrafluoroethane
(CAS Reg. No. 811-97-2); 32.5 percent HFC-32, which is also known as
difluoromethane (CAS Reg. No. 75-10-5); and 15 percent HFC-125, which
is also known as 1,1,1,2,2-pentafluoroethane (CAS Reg. No. 354-33-6).
    You may find the redacted submission in Docket EPA-HQ-OAR-2003-0118
at www.regulations.gov under the name, ``Supporting Documentation for
Notice 33 Listing of R-407H in Refrigeration and Air Conditioning. SNAP
Submission Received January 26, 2017.'' EPA performed assessments to
examine the health and environmental risks of this substitute. These
assessments are available in Docket EPA-HQ-OAR-2003-0118:

 ``Risk Screen on Substitutes in Retail Food Refrigeration
Substitute: R-407H''
 ``Risk Screen on Substitutes in Refrigerated Transport
Substitute: R-407H''

    EPA previously listed R-407H as an acceptable refrigerant in retail
food refrigeration--remote condensing units (July 21, 2017, 82 FR
33809).
    Environmental information: R-407H has an ODP of zero. Its
components, HFC-134a, HFC-32, and HFC-125, have GWPs of 1,430; 675; and
3,500, respectively. If these values are weighted by mass percentage,
then R-407H has a GWP of about 1,500. The components of R-407H are
excluded from the definition of VOC under CAA regulations (see 40 CFR
51.100(s)) addressing the development of SIPs to attain and maintain
NAAQS. Knowingly venting or releasing this refrigerant blend is limited
by the venting prohibition under section 608(c)(2) of the CAA, codified
at 40 CFR 82.154(a)(1).
    Flammability information: R-407H, as formulated and even
considering the worst-case fractionation for flammability, is not
flammable.
    Toxicity and exposure data: Potential health effects of exposure to
this substitute include drowsiness or dizziness. The substitute may
also irritate the skin or eyes or cause frostbite. At sufficiently high
concentrations, the substitute may cause irregular heartbeat. The
substitute could cause asphyxiation if air is displaced by vapors in a
confined space. These potential health effects are common to many
refrigerants.
    The American Industrial Hygiene Association (AIHA) has established
WEELs of 1,000 ppm as an 8-hr TWA for HFC-134a, HFC-32, and HFC-125,
the components of R-407H. The manufacturer of R-407H recommends an
acceptable exposure limit (AEL) of 1,000 ppm on an 8-hr TWA for the
blend. EPA anticipates that users will be able to meet each of the AIHA
WEELs and the manufacturer's AEL and address potential health risks by
following requirements and recommendations in the manufacturer's SDS,
in ASHRAE 15, and other safety precautions common to the refrigeration
and air conditioning industry.
    Comparison to other substitutes in these end-uses: R-407H has an
ODP of zero, comparable to or lower than the other listed substitutes
in these end-uses, with ODPs ranging from zero to 0.098.
    R-407H's GWP of 1,500 is lower than or comparable to that of
acceptable substitutes for retail food refrigeration--refrigerated food
processing and dispensing equipment (new and retrofit), such as a
number of HFC blends with GWPs in the range of 1,500 to 1,700. The GWP
of R-407H is higher than the GWPs of other acceptable substitutes for
retail food refrigeration--refrigerated food processing and dispensing
equipment (new and retrofit), including CO2, R-450A, and R-
513A with GWPs ranging from one to 630.
    R-407H's GWP of 1,500 is lower than or comparable to that of
acceptable substitutes for retail food refrigeration--supermarket
systems (new and retrofit), such as a number of HFC blends with GWPs in
the range of 1,500 to 2,630. The GWP of R-407H is higher than the GWPs
of other acceptable substitutes for retail food refrigeration--
supermarket systems (new and retrofit), including

CO2, R-450A, and R-513A with GWPs ranging from one to 630.
    R-407H's GWP of 1,500 is lower than or comparable to that of
acceptable substitutes for refrigerated transport--refrigerated trucks
and trailers such as R-404A, R-507A, and a number of HFC refrigerant
blends with GWPs in the range of 1,500 to 3,990. R-407H's GWP is higher
than the GWPs of other acceptable substitutes for refrigerated
transport--refrigerated trucks and trailers, including ammonia
absorption, CO2, R-450A, and R-513A with GWPs ranging from
zero to 630. Flammability and toxicity risks are comparable to or lower
than flammability and toxicity risks of other available substitutes in
the same end-uses. Toxicity risks can be minimized by use consistent
with the AIHA WEELs, ASHRAE 15 and other industry standards,
recommendations in the manufacturer's SDS, and other safety precautions
common in the refrigeration and air conditioning industry.
    EPA finds R-407H acceptable in the end-uses listed above because it
does not pose greater overall environmental and human health risk than
other available substitutes in the same end-uses.

C. R-448A

    EPA's decision: EPA finds R-448A acceptable as a substitute for use
in:

 Ice skating rinks (new equipment)

    R-448A, marketed under the trade name Solstice[supreg] N-40, is a
weighted blend of 26 percent HFC-32, which is also known as
difluoromethane (CAS Reg. No. 75-10-5); 26 percent HFC-125, which is
also known as 1,1,1,2,2-pentafluoroethane (CAS Reg. No. 354-33-6); 21
percent HFC-134a, which is also known as 1,1,1,2-tetrafluoroethane (CAS
Reg. No. 811-97-2); 20 percent HFO-1234yf, which is also known as
2,3,3,3-tetrafluoroprop-1-ene (CAS Reg. No 754-12-1); and seven percent
HFO-1234ze(E), which is also known as trans-1,3,3,3-tetrafluoroprop-1-
ene (CAS Reg. No. 29118-24-9).You may find the redacted submission in
Docket EPA-HQ-OAR-2003-0118 at www.regulations.gov under the name,
``Supporting Documentation for Notice 30 Listing of R-448A (N-40) in
Certain Refrigeration and Air Conditioning End-Uses Submission Received
May 29, 2014.'' EPA performed an assessment to examine the health and
environmental risks of this substitute. This assessment is available in
Docket EPA-HQ-OAR-2003-0118 ``Risk Screen on Substitutes in Ice Skating
Rinks (New Equipment) Substitute: R-448A.''
    EPA previously listed R-448A as an acceptable refrigerant in a
number of other refrigeration and air conditioning end-uses, including
retrofit use in ice skating rinks (e.g., July 16, 2015, 80 FR 42053;
October 11, 2016, 81 FR 70029; July 21, 2017, 82 FR 33809; October 4,
2018, 83 FR 50026).
    Environmental information: R-448A has an ODP of zero. Its
components, HFC-32, HFC-125, HFC-134a, HFO-1234yf, and HFO-1234ze(E)
have GWPs of 675; 3,500; 1,430; one to four; 6 7 and one to
six; \8\ respectively. If these values are weighted by mass percentage,
then R-448A has a GWP of about 1,390. The components of R-448A are
excluded from the definition of VOC under CAA regulations (see 40 CFR
51.100(s)) addressing the development of SIPs to attain and maintain
the NAAQS. Knowingly venting or releasing this refrigerant blend is
limited by the venting prohibition under section 608(c)(2) of the CAA,
codified at 40 CFR 82.154(a)(1).
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    \6\ Hodnebrog [Oslash]., Etminan, M., Fuglestvedt, J.S.,
Marston, G., Myhre, G., Nielsen, C.J., Shine, K.P., Wallington,
T.J.: Global Warming Potentials and Radiative Efficiencies of
Halocarbons and Related Compounds: A Comprehensive Review, Reviews
of Geophysics, 51, 300-378, doi:10.1002/rog.20013, 2013
    \7\ Nielsen, O. J., Javadi, M. S., Sulbaek Andersen, M. P.,
Hurley, M. D., Wallington, T. J., Singh, R. Atmospheric chemistry of
CF3CF=CH2: Kinetics and mechanisms of gas-
phase reactions with Cl atoms, OH radicals, and O3.
Chemical Physics Letters 439, 18-22, 2007.
    \8\ Hodnebrog et al., 2013 and Atmospheric chemistry of trans-
CF3CH=CHF: products and mechanisms of hydroxyl radical and chlorine
atom initiated oxidation'', M.S. Javadi, R. S[oslash]ndergaard, O.J.
Nielsen, M.D., Hurley, and T.J. Wellington, Atmospheric Chemistry
and Physics Discussions 8, 1069-1088, 2008.
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    Flammability information: R-448A, as formulated and even
considering the worst-case fractionation for flammability, is not
flammable.
    Toxicity and exposure data: Potential health effects of exposure to
this substitute include drowsiness or dizziness. The substitute may
also irritate the skin or eyes or cause frostbite. At sufficiently high
concentrations, the substitute may cause irregular heartbeat. The
substitute could cause asphyxiation if air is displaced by vapors in a
confined space. These potential health effects are common to many
refrigerants.
    The AIHA has established WEELs of 1,000 ppm as an 8-hr TWA for HFC-
32, HFC-125, and HFC-134a; 500 ppm for HFO-1234yf; and 800 ppm for HFO-
1234ze(E), the components of R-448A. The manufacturer of R-448A
recommends an AEL of 890 ppm on an 8-hr TWA for the blend. EPA
anticipates that users will be able to meet the AIHA WEELs and
manufacturer's AEL and address potential health risks by following
requirements and recommendations in the manufacturer's SDS, in ASHRAE
15, and other safety precautions common to the refrigeration and air
conditioning industry.
    Comparison to other substitutes in this end-use: R-448A has an ODP
of zero, comparable to or lower than other listed substitutes in this
end-use, with ODPs ranging from zero to 0.098.
    R-448A's GWP of 1,390 is lower than or comparable to that of
acceptable substitutes for ice skating rinks (new), such as HFC-134a,
R-407C, and R-507A, with GWPs ranging from 1,430 to 3,990. R-448A's GWP
is higher than the GWPs of other acceptable substitutes for ice skating
rinks (new), including ammonia absorption, CO2, R-450A, and
R-513A with GWPs ranging from zero to 630.
    Flammability and toxicity risks are comparable to or lower than
flammability and toxicity risks of other available substitutes in the
same end-use. Toxicity risks can be minimized by use consistent with
the AIHA WEELs, ASHRAE 15 and other industry standards, recommendations
in the manufacturer's SDS, and other safety precautions common in the
refrigeration and air conditioning industry.
    EPA finds R-448A acceptable in the ice skating rinks (new) end-use
because it does not pose greater overall environmental and human health
risk than other available substitutes in this end-use.

D. R-449A

    EPA's decision: EPA finds R-449A acceptable as a substitute for use
in:

 Ice skating rinks (new equipment)

    R-449A, marketed under the trade name Opteon[supreg] XP 40, is a
weighted blend of 24.3 percent HFC-32, which is also known as
difluoromethane (CAS Reg. No. 75-10-5); 24.7 percent HFC-125, which is
also known as 1,1,1,2,2-pentafluoroethane (CAS Reg. No. 354-33-6); 25.7
percent HFC-134a, which is also known as 1,1,1,2-tetrafluoroethane (CAS
Reg. No. 811-97-2); and 25.3 percent HFO-1234yf, which is also known as
2,3,3,3-tetrafluoroprop-1-ene (CAS Reg. No. 754-12-1).
    You may find the redacted submission in Docket EPA-HQ-OAR-2003-0118
at www.regulations.gov under the name, ``Supporting Documentation for
Notice 30 Listing of R-449A (XP40) in Certain Refrigeration and Air
Conditioning End-Uses. SNAP Submission Received August 6, 2014.'' EPA
performed an assessment to examine the health and environmental risks
of this substitute. This assessment is available in Docket EPA-HQ-OAR-

2003-0118 ``Risk Screen on Substitutes in Ice Skating Rinks (New
Equipment) Substitute: R-449A.''
    EPA previously listed R-449A as an acceptable refrigerant in a
number of other refrigeration and air conditioning end-uses, including
retrofit use in ice skating rinks (e.g., July 16, 2015, 80 FR 42053;
October 11, 2016, 81 FR 70029; July 21, 2017, 82 FR 33809; October 4,
2018, 83 FR 50026).
    Environmental information: R-449A has an ODP of zero. Its
components, HFC-32, HFC-125, HFC-134a, and HFO-1234yf, have GWPs of
675; 3,500; 1,430; and one to four,\9\ respectively. If these values
are weighted by mass percentage, then R-449A has a GWP of about 1,400.
The components of R-449A are excluded from the definition of VOC under
CAA regulations (see 40 CFR 51.100(s)) addressing the development of
SIPs to attain and maintain the NAAQS. Knowingly venting or releasing
this refrigerant blend is limited by the venting prohibition under
section 608(c)(2) of the CAA, codified at 40 CFR 82.154(a)(1).
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    \9\ Hodnebrog et al., 2013 and Nielsen et al., 2007. Op. cit.
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    Flammability information: R-449A, as formulated and even
considering the worst-case fractionation for flammability, is not
flammable.
    Toxicity and exposure data: Potential health effects of exposure to
this substitute include drowsiness or dizziness. The substitute may
also irritate the skin or eyes or cause frostbite. At sufficiently high
concentrations, the substitute may cause irregular heartbeat. The
substitute could cause asphyxiation if air is displaced by vapors in a
confined space. These potential health effects are common to many
refrigerants.
    The AIHA has established WEELs of 1,000 ppm as an 8-hr TWA for HFC-
32, HFC-125, and HFC-134a and 500 ppm for HFO-1234yf, the components of
R-449A. The manufacturer of R-449A recommends an AEL of 830 ppm on an
8-hr TWA for the blend. EPA anticipates that users will be able to meet
each of the AIHA WEELs and the manufacturer's AEL and address potential
health risks by following requirements and recommendations in the
manufacturer's SDS, in ASHRAE 15, and other safety precautions common
to the refrigeration and air conditioning industry.
    Comparison to other substitutes in this end-use: R-449A has an ODP
of zero, comparable to or lower than the other listed substitutes in
this end-use, with ODPs ranging from zero to 0.098.
    R-449A's GWP of 1,400 is lower than or comparable to that of
acceptable substitutes for ice skating rinks (new), such as HFC-134a,
R-407C, and R-507A with GWPs ranging from 1,430 to 3,990. R-449A's GWP
is higher than the GWPs of other acceptable substitutes for ice skating
rinks (new), including ammonia absorption, CO2, R-450A, and
R-513A with GWPs ranging from zero to 630.
    Flammability and toxicity risks are comparable to or lower than
flammability and toxicity risks of other available substitutes in the
same end-use. Toxicity risks can be minimized by use consistent with
the AIHA WEELs, ASHRAE 15 and other industry standards, recommendations
in the manufacturer's SDS, and other safety precautions common in the
refrigeration and air conditioning industry.
    EPA finds R-449A acceptable in the ice skating rinks (new) end-use
because it does not pose greater overall environmental and human health
risk than other available substitutes in the same end-use.

E. R-449B

    EPA's decision: EPA finds R-449B acceptable as a substitute for use
in:

 Ice skating rinks (new equipment)

    R-449B, marketed under the trade name Forane[supreg] 449B, is a
weighted blend of 25.2 percent HFC-32, which is also known as
difluoromethane (CAS Reg. No. 75-10-5); 24.3 percent HFC-125, which is
also known as 1,1,1,2,2-pentafluoroethane (CAS Reg. No. 354-33-6); 27.3
percent HFC-134a, which is also known as 1,1,1,2-tetrafluoroethane (CAS
Reg. No. 811-97-2); and 23.2 percent HFO-1234yf, which is also known as
2,3,3,3-tetrafluoroprop-1-ene (CAS Reg. No. 754-12-1).
    You may find the redacted submission in Docket EPA-HQ-OAR-2003-0118
at www.regulations.gov under the name, ``Supporting Documentation for
Notice 32 Listing of R-449B in Refrigeration and Air Conditioning. SNAP
Submission Received October 2, 2015.'' EPA performed an assessment to
examine the health and environmental risks of this substitute. This
assessment is available in Docket EPA-HQ-OAR-2003-0118 ``Risk Screen on
Substitutes in Ice Skating Rinks (New Equipment) Substitute: R-449B.''
    EPA previously listed R-449B as an acceptable refrigerant in a
number of other refrigeration and air conditioning end-uses, including
retrofit use in ice skating rinks (e.g., October 11, 2016, 81 FR 70029;
July 21, 2017, 82 FR 33809; October 4, 2018, 83 FR 50026).
    Environmental information: R-449B has an ODP of zero. Its
components, HFC-32, HFC-125, HFC-134a, and HFO-1234yf, have GWPs of
675; 3,500; 1,430; and one to four,\10\ respectively. If these values
are weighted by mass percentage, then R-449B has a GWP of about 1,410.
The components of R-449B are excluded from the definition of VOC under
CAA regulations (see 40 CFR 51.100(s)) addressing the development of
SIPs to attain and maintain the NAAQS. Knowingly venting or releasing
this refrigerant blend is limited by the venting prohibition under
section 608(c)(2) of the CAA, codified at 40 CFR 82.154(a)(1).
---------------------------------------------------------------------------

    \10\ Hodnebrog et al., 2013 and Nielsen et al., 2007. Op. cit.
---------------------------------------------------------------------------

    Flammability information: R-449B, as formulated and even
considering the worst-case fractionation for flammability, is not
flammable.
    Toxicity and exposure data: Potential health effects of exposure to
this substitute include drowsiness or dizziness. The substitute may
also irritate the skin or eyes or cause frostbite. At sufficiently high
concentrations, the substitute may cause irregular heartbeat. The
substitute could cause asphyxiation if air is displaced by vapors in a
confined space. These potential health effects are common to many
refrigerants.
    The AIHA has established WEELs of 1,000 ppm as an 8-hr TWA for HFC-
32, HFC-125, and HFC-134a and 500 ppm for HFO-1234yf, the components of
R-449B. The manufacturer of R-449B recommends an AEL of 865 ppm on an
8-hr TWA for the blend. EPA anticipates that users will be able to meet
each of the AIHA WEELs and the manufacturer's AEL and address potential
health risks by following requirements and recommendations in the
manufacturer's SDS, in ASHRAE 15, and other safety precautions common
to the refrigeration and air conditioning industry.
    Comparison to other substitutes in this end-use: R-449B has an ODP
of zero, comparable to or lower than the other listed substitutes in
this end-use, with ODPs ranging from zero to 0.098.
    R-449B's GWP of 1,410 is lower than or comparable to that of
acceptable substitutes for ice skating rinks (new), such as HFC-134a,
R-407C, and R-507A with GWPs ranging from 1,430 to 3,990. R-449B's GWP
is higher than the GWPs of other acceptable substitutes for ice skating
rinks (new), including ammonia absorption, CO2, R-450A, and
R-513A with GWPs ranging from zero to 630.

    Flammability and toxicity risks are comparable to or lower than
flammability and toxicity risks of other available substitutes in the
same end-use. Toxicity risks can be minimized by use consistent with
the AIHA WEELs, ASHRAE 15 and other industry standards, recommendations
in the manufacturer's SDS, and other safety precautions common in the
refrigeration and air conditioning industry.
    EPA finds R-449B acceptable in the ice skating rinks (new) end-use
because it does not pose greater overall environmental and human health
risk than other available substitutes in this end-use.

F. R-453A

    EPA's decision: EPA finds R-453A acceptable as a substitute for use
in:

 Refrigerated transport--refrigerated trucks and trailers \11\
(new and retrofit equipment)

    \11\ See Section II for clarification of this end-use.

    R-453A, marketed under the trade name RS-70, is a weighted blend of
53.8 percent HFC-134a, which is also known as 1,1,1,2-tetrafluoroethane
(CAS Reg. No. 811-97-2); 20.0 percent HFC-32, which is also known as
difluoromethane (CAS Reg. No. 75-10-5); and 20 percent HFC-125, which
is also known as 1,1,1,2,2-pentafluoroethane (CAS Reg. No. 354-33-6);
five percent HFC-227ea, which is also known as 1,1,1,2,3,3,3-
heptafluoropropane (CAS Reg. No. 75-28-5); 0.6 percent R-600, which is
also known as butane (CAS Reg. No. 75-28-5); and 0.6 percent R-601a,
which is also known as isopentane (CAS Reg. No. 78-78-4).
    You may find the redacted submission in Docket EPA-HQ-OAR-2003-0118
at www.regulations.gov under the name, ``Supporting Documentation for
Notice 33 Listing of R-453A in Refrigeration and Air Conditioning. SNAP
Submission Received March 12, 2015.'' EPA performed an assessment to
examine the health and environmental risks of this substitute. This
assessment is available in Docket EPA-HQ-OAR-2003-0118 ``Risk Screen on
Substitutes in Refrigerated Transport--Substitute: R-453A.''
    EPA previously listed R-453A as an acceptable refrigerant in a
number of other refrigeration and air conditioning end-uses, including
use in retail food refrigeration--remote condensing units, industrial
process refrigeration, and cold storage warehouses (July 21, 2017, 82
FR 33809).
    Environmental information: R-453A has an ODP of zero. Its
components, HFC-134a, HFC-32, HFC-125, HFC-227ea, butane, and
isopentane have GWPs of 1,430; 675; 3,500; 3,220; 4; and 5,
respectively. If these values are weighted by mass percentage, then R-
453A has a GWP of about 1,770. Except for butane and isopentane, which
together make up 1.2 percent of the blend, the components of R-453A are
excluded from the definition of VOC under CAA regulations (see 40 CFR
51.100(s)) addressing the development of SIPs to attain and maintain
the NAAQS.\12\ Knowingly venting or releasing this refrigerant blend is
limited by the venting prohibition under section 608(c)(2) of the CAA,
codified at 40 CFR 82.154(a)(1).
---------------------------------------------------------------------------

    \12\ EPA's analysis of the local air quality impacts of
potential emissions of HCs when used as refrigerant substitutes in
all end-uses in the refrigeration and AC sector estimated that
saturated HCs, such as butane and isopentane, have little impact on
local air quality. 81 FR at 86792; December 1, 2016.
---------------------------------------------------------------------------

    Flammability information: R-453A, as formulated and even
considering the worst-case fractionation for flammability, is not
flammable.
    Toxicity and exposure data: Potential health effects of exposure to
this substitute include drowsiness or dizziness. The substitute may
also irritate the skin or eyes or cause frostbite. At sufficiently high
concentrations, the substitute may cause irregular heartbeat. The
substitute could cause asphyxiation if air is displaced by vapors in a
confined space. These potential health effects are common to many
refrigerants.
    For the components of R-453A, AIHA has established WEELs of 1,000
ppm as an 8-hr TWA for HFC-134a, HFC-32, HFC-125, and HFC-227ea, and
the American Conference of Governmental Industrial Hygienists (ACGIH)
has established a Threshold Limit Value (TLV) of 1,000 ppm for R-600
and a TLV of 600 ppm for R-601a, both as an 8-hr TWA. The manufacturer
of R-453A recommends an AEL of 1,000 ppm on an 8-hr TWA for the blend.
EPA anticipates that users will be able to meet each of the AIHA WEELs,
the ACGIH's TLVs, and the manufacturer's AEL and address potential
health risks by following requirements and recommendations in the
manufacturer's SDS, in ASHRAE 15, and other safety precautions common
to the refrigeration and air conditioning industry.
    Comparison to other substitutes in this end-use: R-453A has an ODP
of zero, comparable to or lower than the other listed substitutes in
this end-use, with ODPs ranging from zero to 0.098.
    R-453A's GWP of 1,770 is lower than or comparable to that of
acceptable substitutes for refrigerated transport--refrigerated trucks
and trailers such as R-404A, R-507A, and a number of HFC refrigerant
blends with GWPs in the range of 1,770 to 3,990. R-453A's GWP is higher
than the GWPs of other acceptable substitutes for refrigerated
transport--refrigerated trucks and trailers, including ammonia
absorption, CO2, R-450A, and R-513A with GWPs ranging from
zero to 630.
    Flammability and toxicity risks are comparable to or lower than
flammability and toxicity risks of other available substitutes in the
same end-uses. Toxicity risks can be minimized by use consistent with
the AIHA WEELs, ASHRAE 15 and other industry standards, recommendations
in the manufacturer's SDS, and other safety precautions common in the
refrigeration and air conditioning industry.
    EPA finds R-453A acceptable in the refrigerated transport--
refrigerated trucks and trailers end-use because it does not pose
greater overall environmental and human health risk than other
available substitutes in this end-use.

II. Clarification of Refrigerated Transport--Refrigerated Trucks and
Trailers End-Use Category

    In this action, EPA is listing multiple refrigerants as acceptable
substitutes in the ``refrigerated transport--refrigerated trucks and
trailers'' end-use category. EPA first introduced this end-use category
in prior listings for the refrigerants R-452A and R-452C (July 21,
2017, 82 FR 33809). In response to a request for clarification, we are
providing a more thorough description of the types of equipment
included in the refrigerated transport--refrigerated trucks and
trailers end-use category. As previously specified, this end-use
category covers a subset of on-road vehicles, i.e., refrigerated trucks
and trailers with a separate autonomous refrigeration unit with the
condenser typically located at the front of a refrigerated trailer.
This end-use category also covers domestic trailer refrigeration units
that contain an integrated motor (i.e., does not require a separate
electrical power system or separate generator set to operate) that are
transported as part of a truck, on truck trailers, and on railway flat
cars. Other types of containers, such as sea-going ones that are
connected to a ship's electrical system or require a separate generator
that is not an integral part of the refrigeration unit to operate, are
not included. This end-use category also does not include (i)
refrigerated vans or other vehicles where a single system also supplies
passenger comfort cooling,

(ii) refrigerated containers that are less than 8 feet 4 inches in
width, (iii) refrigeration units used on containers that require a
separate generator to power the refrigeration unit, or (iv) ship holds.

List of Subjects in 40 CFR Part 82

    Environmental protection, Administrative practice and procedure,
Air pollution control, Reporting and recordkeeping requirements.

    Dated: October 31, 2019.
Christopher Grundler,
Director, Office of Atmospheric Programs.

Appendix A: Summary of Decisions for New Acceptable Substitutes

                                       Refrigeration and Air Conditioning
----------------------------------------------------------------------------------------------------------------
            End-use                   Substitute               Decision              Further information \1\
----------------------------------------------------------------------------------------------------------------
Centrifugal chillers (new and   R-1224yd(Z)...........  Acceptable............  R-1224yd(Z) has an ozone
 retrofit equipment).                                                            depletion potential (ODP) of
                                                                                approximately 0.00012 and a 100-
                                                                                yr global warming potential
                                                                                (GWP) of approximately 1. R-
                                                                                1224yd(Z) is also known as (Z)-
                                                                                1-chloro-2,3,3,3-
                                                                                tetrafluoropropene (CAS Reg.
                                                                                No. 111512-60-8).
                                                                                R-1224yd(Z) is not flammable.
                                                                                The Occupational Alliance for
                                                                                Risk Science (OARS) recommends
                                                                                a Workplace Environmental
                                                                                Exposure Limit (WEEL) of 1,000
                                                                                ppm on an eight-hour time-
                                                                                weighted average (8-hr TWA) for
                                                                                R-1224yd(Z).
Ice skating rinks (new          R-448A................  Acceptable............  R-448A has a 100-yr GWP of
 equipment).                                                                     approximately 1,390. This
                                                                                substitute is a blend of HFC-32
                                                                                which is also known as
                                                                                difluoromethane (CAS Reg. No.
                                                                                75-10-5); HFC-125, which is
                                                                                also known as 1,1,1,2,2-
                                                                                pentafluoroethane (CAS Reg. No.
                                                                                354-33-6); HFC-134a, which is
                                                                                also known as 1,1,1,2-
                                                                                tetrafluoroethane (CAS Reg. No.
                                                                                811-97-2); HFO-1234yf, which is
                                                                                also known as 2,3,3,3-
                                                                                tetrafluoro-prop-l-ene (CAS
                                                                                Reg. No. 754-12-1); and HFO-
                                                                                1234ze(E) which is also known
                                                                                as trans-1,3,3,3-
                                                                                tetrafluoroprop-l-ene (CAS Reg.
                                                                                No. 29118-24-9).
                                                                                The blend is nonflammable.
                                                                                The American Industrial Hygiene
                                                                                Association (AIHA) has
                                                                                established WEELs of 1,000 ppm
                                                                                on an 8-hr TWA basis for HFC-
                                                                                32, HFC-125, and HFC-134a; 500
                                                                                ppm for HFO-1234yf; and 800 ppm
                                                                                for HFO-1234ze(E). The
                                                                                manufacturer recommends an
                                                                                acceptable exposure limit (AEL)
                                                                                for the workplace for R-448A of
                                                                                890 ppm (8-hr TWA).
Ice skating rinks (new          R-449A................  Acceptable............  R-449A has a 100-year GWP of
 equipment).                                                                     approximately 1,400. This
                                                                                substitute is a blend of HFC-32
                                                                                (CAS Reg. No. 75-10-5); HFC-125
                                                                                (CAS Reg. No. 354-33-6); HFC-
                                                                                134a (CAS Reg. No. 811-97-2);
                                                                                and HFO-1234yf (CAS Reg. No.
                                                                                754-12-1).
                                                                                The blend is nonflammable.
                                                                                The AIHA has established WEELs
                                                                                of 1,000 ppm (8-hr TWA) for HFC-
                                                                                32, HFC-125, and HFC-134a; and
                                                                                500 ppm for HFO-1234yf. The
                                                                                manufacturer recommends an AEL
                                                                                for the workplace for R-449A of
                                                                                830 ppm (8-hr TWA).
Ice skating rinks (new          R-449B................  Acceptable............  R-449B has a 100-year GWP of
 equipment).                                                                     approximately 1,410. This
                                                                                substitute is a blend of HFC-32
                                                                                (CAS Reg. No. 75-10-5); HFC-125
                                                                                (CAS Reg. No. 354-33-6); HFC-
                                                                                134a (CAS Reg. No. 811-97-2);
                                                                                and HFO-1234yf (CAS Reg. No.
                                                                                754-12-1).
                                                                                The blend is nonflammable.
                                                                                The AIHA has established WEELs
                                                                                of 1,000 ppm (8-hr TWA) for HFC-
                                                                                32, HFC-125, and HFC-134a; and
                                                                                500 ppm for HFO-1234yf. The
                                                                                manufacturer recommends an AEL
                                                                                for the workplace for R-449B of
                                                                                865 ppm (8-hr TWA).
Industrial process              R-1224yd(Z)...........  Acceptable............  R-1224yd(Z) has an ODP of
 refrigeration (new and                                                          approximately 0.00012 and a GWP
 retrofit equipment).                                                            of approximately 1. R-1224yd(Z)
                                                                                is also known as (Z)-1-chloro-
                                                                                2,3,3,3-tetrafluoropropene (CAS
                                                                                Reg. No. 111512-60-8).
                                                                                R-1224yd(Z) is not flammable.
                                                                                The OARS recommends a WEEL of
                                                                                1,000 ppm (8-hr TWA) for R-
                                                                                1224yd(Z).
Positive Displacement chillers  R-1224yd(Z)...........  Acceptable............  R-1224yd(Z) has an ODP of
 (new and retrofit equipment).                                                   approximately 0.00012 and a GWP
                                                                                of approximately 1. R-1224yd(Z)
                                                                                is also known as (Z)-1-chloro-
                                                                                2,3,3,3-tetrafluoropropene (CAS
                                                                                Reg. No. 111512-60-8).
                                                                                R-1224yd(Z) is not flammable.
                                                                                The OARS recommends a WEEL of
                                                                                1,000 ppm (8-hr TWA) for R-
                                                                                1224yd(Z).
Refrigerated transport--        R-407H................  Acceptable............  R-407H has a 100-year GWP of
 refrigerated trucks and                                                         approximately 1,500. This
 trailers (new and retrofit                                                      substitute is a blend of HFC-
 equipment).                                                                     134a (CAS Reg. No.811-97-2);
                                                                                HFC-32 (CAS Reg. No. 75-10-5);
                                                                                and HFC-125 (CAS Reg. No. 354-
                                                                                33-6).
                                                                                This blend is nonflammable.
                                                                                The AIHA has established WEELs
                                                                                of 1,000 ppm (8-hr TWA) for HFC-
                                                                                134a, HFC-32, and HFC-125. The
                                                                                manufacture recommends an AEL
                                                                                for the workplace for R-407H of
                                                                                1,000 ppm (8-hr TWA).

Refrigerated transport--        R-453A................  Acceptable............  R-453A has a 100-year GWP of
 refrigerated trucks and                                                         approximately 1,770. This
 trailers (new and retrofit                                                      substitute is a blend of HFC-
 equipment).                                                                     32, which is also known as
                                                                                difluoromethane (CAS Reg. No.
                                                                                75-10-5); HFC-125, which is
                                                                                also known as 1,1,1,2,2-
                                                                                pentafluoroethane (CAS Reg. No.
                                                                                354-33-6); HFC-134a, which is
                                                                                also known as 1,1,1,2-
                                                                                tetrafluoroethane (CAS Reg. No.
                                                                                811-97-2); HFC-227ea, which is
                                                                                also known as 1,1,1,2,3,3,3-
                                                                                heptafluoropropane (CAS Reg.
                                                                                No. 439-89-0); R-600, which is
                                                                                also known as butane (CAS Reg.
                                                                                No. 75-28-5); and R-601a, which
                                                                                is also known as isopentane
                                                                                (CAS Reg. No. 78-78-4).
                                                                                The blend is nonflammable.
                                                                                The AIHA has established WEELs
                                                                                of 1,000 ppm (8-hr TWA) for HFC-
                                                                                32, HFC-125, HFC-134a, and HFC-
                                                                                227ea, and the American
                                                                                Conference of Governmental
                                                                                Industrial Hygienists has
                                                                                established a Threshold Limit
                                                                                Value (TLV) of 1,000 ppm for R-
                                                                                600 and a TLV of 600 ppm for R-
                                                                                601a, both as an 8-hr TWA. The
                                                                                manufacturer recommends an AEL
                                                                                for the workplace for R-453A of
                                                                                1,000 ppm (8-hr TWA).
Retail food refrigeration--     R-407H................  Acceptable............  R-407H has a 100-year GWP of
 refrigerated food processing                                                    approximately 1,500. This
 and dispensing equipment (new                                                   substitute is a blend of HFC-
 and retrofit equipment).                                                        134a (CAS Reg. No.811-97-2);
                                                                                HFC-32 (CAS Reg. No. 75-10-5);
                                                                                and HFC-125 (CAS Reg. No. 354-
                                                                                33-6).
                                                                                This blend is nonflammable.
                                                                                The AIHA has established WEELs
                                                                                of 1,000 ppm (8-hr TWA) for HFC-
                                                                                134a, HFC-32, and HFC-125. The
                                                                                manufacture recommends an AEL
                                                                                for the workplace for R-407H of
                                                                                1,000 ppm (8-hr TWA).
Retail food refrigeration--     R-407H................  Acceptable............  R-407H has a 100-year GWP of
 supermarket systems (new and                                                    approximately 1,500. This
 retrofit equipment).                                                            substitute is a blend of HFC-
                                                                                134a (CAS Reg. No.811-97-2);
                                                                                HFC-32 (CAS Reg. No. 75-10-5);
                                                                                and HFC-125 (CAS Reg. No. 354-
                                                                                33-6).
                                                                                This blend is nonflammable.
                                                                                The AIHA has established WEELs
                                                                                of 1,000 ppm (8-hr TWA) for HFC-
                                                                                134a, HFC-32, and HFC-125. The
                                                                                manufacture recommends an AEL
                                                                                for the workplace for R-407H of
                                                                                1,000 ppm (8-hr TWA).
----------------------------------------------------------------------------------------------------------------
\1\ Observe recommendations in the manufacturer's SDS and guidance for all listed refrigerants.

[FR Doc. 2019-25412 Filed 11-22-19; 8:45 am]
 BILLING CODE 6560-50-P


[Federal Register Volume 88, Number 218 (Tuesday, November 14, 2023)]
[Notices]
[Page 78075]
[FR Doc No: 2023-25008]

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

SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-98879; File No. SR-NYSE-2023-09]

Self-Regulatory Organizations; New York Stock Exchange LLC;
Notice of Designation of a Longer Period for Commission Action on
Proposed Rule Change To Amend the NYSE Listed Company Manual To Adopt
Listing Standards for Natural Asset Companies

November 7, 2023.
    On September 27, 2023, New York Stock Exchange LLC (``NYSE'' or
``Exchange'') filed with the Securities and Exchange Commission
(``Commission''), pursuant to Section 19(b)(1) of the Securities
Exchange Act of 1934 (``Act'') \1\ and Rule 19b-4 thereunder,\2\ a
proposed rule change to amend the NYSE Listed Company Manual to adopt a
new listing standard for the listing of Natural Asset Companies. The
proposed rule change was published for comment in the Federal Register
on October 4, 2023.\3\ The Commission has received comments on the
proposed rule change.\4\
---------------------------------------------------------------------------

    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 17 CFR 240.19b-4.
    \3\ See Securities Exchange Act Release No. 98665 (Sep. 29,
2023), 88 FR 68811 (Oct. 4, 2023) (SR-NYSE-2023-09).
    \4\ The public comment file for SR-NYSE-2023-09 is available on
the Commission's website at https://www.sec.gov/comments/sr-nyse-2023-09/srnyse202309.htm.
---------------------------------------------------------------------------

    Section 19(b)(2) of the Act \5\ provides that within 45 days of the
publication of notice of the filing of a proposed rule change, or
within such longer period up to 90 days as the Commission may designate
if it finds such longer period to be appropriate and publishes its
reasons for so finding, or as to which the self-regulatory organization
consents, the Commission will either approve the proposed rule change,
disapprove the proposed rule change, or institute proceedings to
determine whether the proposed rule change should be disapproved. The
45th day after publication of the notice for this proposed rule change
is November 18, 2023. The Commission is extending this 45-day time
period.
---------------------------------------------------------------------------

    \5\ 15 U.S.C. 78s(b)(2).
---------------------------------------------------------------------------

    The Commission finds it appropriate to designate a longer period
within which to issue an order approving or disapproving the proposed
rule change, so that it has sufficient time to consider the proposed
rule change. Accordingly, the Commission, pursuant to Section 19(b)(2)
of the Act,\6\ designates January 2, 2024, as the date by which the
Commission shall either approve or disapprove the proposed rule change
(File No. SR-NYSE-2023-09).
---------------------------------------------------------------------------

    \6\ 15 U.S.C. 78s(b)(2).

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\7\
---------------------------------------------------------------------------

    \7\ 17 CFR 200.30-3(a)(57).
---------------------------------------------------------------------------

Sherry R. Haywood,
Assistant Secretary.
[FR Doc. 2023-25008 Filed 11-13-23; 8:45 am]
BILLING CODE 8011-01-P


[Federal Register Volume 80, Number 207 (Tuesday, October 27, 2015)]
[Proposed Rules]
[Pages 65672-65675]
[FR Doc No: 2015-27153]

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

ENVIRONMENTAL PROTECTION AGENCY

40 CFR Part 52

[EPA-R10-OAR-2015-0334; FRL-9936-17-Region 10]

Approval and Promulgation of Implementation Plans; Washington:
Interstate Transport of Ozone

AGENCY: Environmental Protection Agency (EPA).

ACTION: Proposed rule.

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

SUMMARY: The Clean Air Act (CAA) requires each State Implementation
Plan (SIP) to contain adequate provisions prohibiting emissions that
will have certain adverse air quality effects in other states. On May
11, 2015, the State of Washington made a submittal to the Environmental
Protection Agency (EPA) to address these requirements. The EPA is
proposing to approve the submittal as meeting the requirement that each
SIP contain adequate provisions to prohibit emissions that will
contribute significantly to nonattainment or interfere with maintenance
of the 2008 ozone National Ambient Air Quality Standard (NAAQS) in any
other state.

DATES: Written comments must be received on or before November 27,
2015.

ADDRESSES: Submit your comments, identified by Docket ID No. EPA-R10-
OAR-2015-0334, by any of the following methods:
     http://www.regulations.gov: Follow the on-line
instructions for submitting comments.
     Email: R10-Public_Comments@ epa.gov.
     Mail: Jeff Hunt, EPA Region 10, Office of Air, Waste and
Toxics (AWT-150), 1200 Sixth Avenue, Suite 900, Seattle, WA 98101.
     Hand Delivery/Courier: EPA Region 10 9th Floor Mailroom,
1200 Sixth Avenue, Suite 900, Seattle, WA 98101. Attention: Jeff Hunt,
Office of Air, Waste and Toxics, AWT-150. Such deliveries are only
accepted during normal hours of operation, and special arrangements
should be made for deliveries of boxed information.
    Instructions: Direct your comments to Docket ID No. EPA-R10-OAR-
2015-0334. The EPA's policy is that all comments received will be
included in the public docket without change and may be made available
online at http://www.regulations.gov, including any personal
information provided, unless the comment includes information claimed
to be Confidential Business Information (CBI) or other information
whose disclosure is restricted by statute. Do not submit information
that you consider to be CBI or otherwise protected through http://www.regulations.gov or email. The http://www.regulations.gov Web site
is an ``anonymous access'' system, which means the EPA will not know
your identity or contact information unless you provide it in the body
of your comment. If you send an email comment directly to the EPA
without going through http://www.regulations.gov your email address
will be automatically captured and included as part of the comment that
is placed in the public docket and made available on the Internet. If
you submit an electronic comment, the EPA recommends that you include
your name and other contact information in the body of your comment and
with any disk or CD-ROM you submit. If the EPA cannot read your comment
due to technical difficulties and cannot contact you for clarification,
the EPA may not be able to consider your comment. Electronic files
should avoid the use of special characters, any form of encryption, and
be free of any defects or viruses.
    Docket: All documents in the docket are listed in the http://www.regulations.gov index. Although listed in the index, some
information is not publicly available, e.g., CBI or other information
the disclosure of which is restricted by statute. Certain other
material, such as copyrighted material, is not placed on the Internet
and will be publicly available only in hard copy. Publicly available
docket materials are available either electronically in http://www.regulations.gov or in hard copy during normal business hours at the
Office of Air, Waste and Toxics, EPA

Region 10, 1200 Sixth Avenue, Seattle, WA 98101.

FOR FURTHER INFORMATION CONTACT: Jeff Hunt at<PHONE_NUMBER>,
<EMAIL_ADDRESS>or the above EPA, Region 10 address.

SUPPLEMENTARY INFORMATION: Throughout this document wherever ``we,''
``us,'' or ``our'' is used, it is intended to refer to the EPA.
    Information is organized as follows:

Table of Contents

I. Background
II. State Submittal
III. EPA Evaluation
IV. Proposed Action
V. Statutory and Executive Order Reviews

I. Background

    On March 12, 2008, the EPA revised the levels of the primary and
secondary 8-hour ozone standards from 0.08 parts per million (ppm) to
0.075 ppm (73 FR 16436). The CAA requires states to submit, within
three years after promulgation of a new or revised standard, SIPs
meeting the applicable ``infrastructure'' elements of sections
110(a)(1) and (2). One of these applicable infrastructure elements, CAA
section 110(a)(2)(D)(i), requires SIPs to contain ``good neighbor''
provisions to prohibit certain adverse air quality effects on
neighboring states due to interstate transport of pollution. There are
four sub-elements within CAA section 110(a)(2)(D)(i). This action
addresses the first two sub-elements of the good neighbor provisions,
at CAA section 110(a)(2)(D)(i)(I). These sub-elements require that each
SIP for a new or revised standard contain adequate provisions to
prohibit any source or other type of emissions activity within the
state from emitting air pollutants that will ``contribute significantly
to nonattainment'' or ``interfere with maintenance'' of the applicable
air quality standard in any other state. We note that the EPA has
addressed the interstate transport requirements of CAA section
110(a)(2)(D)(i)(I) for the eastern portion of the United States in
several past regulatory actions.\1\ We most recently promulgated the
Cross-State Air Pollution Rule (CSAPR), which addressed CAA section
110(a)(2)(D)(i)(I) in the eastern portion of the United States.\2\
CSAPR addressed multiple national ambient air quality standards, but
did not address the 2008 8-hour ozone standard.\3\
---------------------------------------------------------------------------

    \1\ NOX SIP Call, 63 FR 57371 (October 27, 1998);
Clean Air Interstate Rule (CAIR), 70 FR 25172 (May 12, 2005); Cross-
State Air Pollution Rule (CSAPR), 76 FR 48208 (August 8, 2011).
    \2\ 76 FR 48208.
    \3\ CSAPR addressed the 1997 8-hour ozone, and the 1997 and 2006
fine particulate matter NAAQS.
---------------------------------------------------------------------------

    In CSAPR, the EPA used detailed air quality analyses to determine
whether an eastern state's contribution to downwind air quality
problems was at or above specific thresholds. If a state's contribution
did not exceed the specified air quality screening threshold, the state
was not considered ``linked'' to identified downwind nonattainment and
maintenance receptors and was therefore not considered to significantly
contribute to or interfere with maintenance of the standard in those
downwind areas. If a state exceeded that threshold, the state's
emissions were further evaluated, taking into account both air quality
and cost considerations, to determine what, if any, emissions
reductions might be necessary. For the reasons stated below, we believe
it is appropriate to use the same approach we used in CSAPR to
establish an air quality screening threshold for the evaluation of
interstate transport requirements for the 2008 ozone standard.
    In CSAPR, the EPA proposed an air quality screening threshold of
one percent of the applicable NAAQS and requested comment on whether
one percent was appropriate.\4\ The EPA evaluated the comments received
and ultimately determined that one percent was an appropriately low
threshold because there were important, even if relatively small,
contributions to identified nonattainment and maintenance receptors
from multiple upwind states. In response to commenters who advocated a
higher or lower threshold than one percent, the EPA compiled the
contribution modeling results for CSAPR to analyze the impact of
different possible thresholds for the eastern United States. The EPA's
analysis showed that the one-percent threshold captures a high
percentage of the total pollution transport affecting downwind states,
while the use of higher thresholds would exclude increasingly larger
percentages of total transport. For example, at a five percent
threshold, the majority of interstate pollution transport affecting
downwind receptors would be excluded.\5\ In addition, the EPA
determined that it was important to use a relatively lower one-percent
threshold because there are adverse health impacts associated with
ambient ozone even at low levels.\6\ The EPA also determined that a
lower threshold such as 0.5 percent would result in modest increases in
the overall percentages of fine particulate matter and ozone pollution
transport captured relative to the amounts captured at the one-percent
level. The EPA determined that a ``0.5 percent threshold could lead to
emission reduction responsibilities in additional states that
individually have a very small impact on those receptors--an indicator
that emission controls in those states are likely to have a smaller air
quality impact at the downwind receptor. We are not convinced that
selecting a threshold below one percent is necessary or desirable.''
\7\
---------------------------------------------------------------------------

    \4\ CSAPR proposal, 75 FR 45210, 45237 (August 2, 2010).
    \5\ See also Air Quality Modeling Final Rule Technical Support
Document, Appendix F; Analysis of Contribution Thresholds.
    \6\ CSAPR, 76 FR 48208, 48236-37 (August 8, 2011).
    \7\ Id.
---------------------------------------------------------------------------

    In the final CSAPR, the EPA determined that one percent was a
reasonable choice considering the combined downwind impact of multiple
upwind states in the eastern United States, the health effects of low
levels of fine particulate matter and ozone pollution, and the EPA's
previous use of a one-percent threshold in CAIR. The EPA used a single
``bright line'' air quality threshold equal to one percent of the 1997
8-hour ozone standard, or 0.08 ppm.\8\ The projected contribution from
each state was averaged over multiple days with projected high modeled
ozone, and then compared to the one-percent threshold. We concluded
that this approach for setting and applying the air quality threshold
for ozone was appropriate because it provided a robust metric, was
consistent with the approach for fine particulate matter used in CSAPR,
and because it took into account, and would be applicable to, any
future ozone standards below 0.08 ppm.\9\
---------------------------------------------------------------------------

    \8\ Id.
    \9\ Id.
---------------------------------------------------------------------------

II. State Submittal

    CAA sections 110(a)(1) and (2) and section 110(l) require that
revisions to a SIP be adopted by the State after reasonable notice and
public hearing. The EPA has promulgated specific procedural
requirements for SIP revisions in 40 CFR part 51, subpart F. These
requirements include publication of notices by prominent advertisement
in the relevant geographic area, a public comment period of at least 30
days, and an opportunity for a public hearing.
    On May 11, 2015, Washington submitted a SIP to address the
interstate transport requirements of CAA section 110(a)(2)(D)(i)(I) for
the 2008 ozone NAAQS. The Washington submittal

included documentation of a public comment period from March 9, 2015
through April 10, 2015, and opportunity for public hearing. We find
that the process followed by Washington in adopting the submittal
complies with the procedural requirements for SIP revisions under CAA
section 110 and the EPA's implementing regulations.
    With respect to the requirements in CAA section 110(a)(2)(D)(i)(I),
the Washington submittal referred to applicable rules in the Washington
SIP, 2011 National Emissions Inventory (NEI) data, and modeling
conducted by the State using the Motor Vehicle Emission Simulator
(MOVES2014, database version 20141021). Washington noted that efforts
by the EPA and states to address ozone transport have historically been
focused on reductions of nitrogen oxides (NOX), a precursor
to ozone formation, and provided 2011 NEI data for the major
NOX emissions categories in the State. Washington found that
on-road mobile sources comprise 57 percent of total NOX
emissions, non-road mobile sources represent 11 percent, and the third
largest group, point sources, comprises 9 percent of all Washington
NOX emissions in 2011. Washington then performed MOVES2014
modeling to look specifically at past and future trends in on-road and
non-road mobile sources, the two largest source categories in
Washington, for the years 2000 through 2020. The MOVES2014 modeling
showed sustained, continuous reductions in NOX emissions
from approximately 800 tons per day in 2000 to approximately 250 tons
per day projected in 2020. Based on this evidence, and the EPA's draft
photochemical air quality modeling data available at the time of
Washington's submission, the State concluded that emissions of ozone
precursors from Washington sources will not significantly contribute to
nonattainment or interfere with maintenance of the 2008 ozone NAAQS in
any other state.\10\
---------------------------------------------------------------------------

    \10\ See Memorandum from Stephen D. Page entitled ``Information
of the Interstate Transport `Good Neighbor' Provision for the 2008
Ozone National Ambient Air Quality Standards (NAAQS) under Clean Air
Act (CAA) Section 110(a)(2)(D)(i)(I),'' January 22, 2015, available
at: http://www3.epa.gov/airtransport/GoodNeighborProvision2008NAAQS.pdf.
---------------------------------------------------------------------------

    The Washington submittal provided further information to support
this conclusion by citing the stationary source permitting regulations
approved into the Washington SIP that require new sources and
modifications to protect the ambient air quality standards, including
the 2008 ozone NAAQS. With respect to new or modified major stationary
sources, the Prevention of Significant Deterioration (PSD) permitting
program in the Washington SIP requires an owner or operator to
demonstrate that the source will not contribute significantly to
nonattainment or interfere with maintenance in another state.

III. EPA Evaluation

    On August 4, 2015, the EPA issued a Notice of Data Availability
(NODA) containing air quality modeling data that applies the CSAPR
approach to contribution projections for the year 2017 for the 2008 8-
hour ozone NAAQS.\11\ The moderate area attainment date for the 2008
ozone standard is July 11, 2018. In order to demonstrate attainment by
this attainment deadline, states will use 2015 through 2017 ambient
ozone data. Therefore, 2017 is an appropriate future year to model for
the purpose of examining interstate transport for the 2008 ozone NAAQS.
The EPA used photochemical air quality modeling to project ozone
concentrations at air quality monitoring sites to 2017 and estimated
state-by-state ozone contributions to those 2017 concentrations. This
modeling used the Comprehensive Air Quality Model with Extensions (CAMx
version 6.11) to model the 2011 base year, and the 2017 future base
case emissions scenarios to identify projected nonattainment and
maintenance sites with respect to the 2008 ozone NAAQS in 2017. The EPA
used nationwide state-level ozone source apportionment modeling (CAMx
Ozone Source Apportionment Technology/Anthropogenic Precursor
Culpability Analysis technique) to quantify the contribution of 2017
base case NOX and VOC emissions from all sources in each
state to the 2017 projected receptors. The air quality model runs were
performed for a modeling domain that covers the 48 contiguous United
States and adjacent portions of Canada and Mexico. The NODA and the
supporting technical documents have been included in the docket for
this action.
---------------------------------------------------------------------------

    \11\ See 80 FR 46271 (August 4, 2015) (Notice of Availability of
the Environmental Protection Agency's Updated Ozone Transport
Modeling Data for the 2008 Ozone National Ambient Air Quality
Standard (NAAQS)).
---------------------------------------------------------------------------

    The modeling data released in the NODA on July 23, 2015, is the
most up-to-date information the EPA has developed to inform our
analysis of upwind state linkages to downwind air quality problems. For
purposes of evaluating Washington's interstate transport SIP submittal
with respect to the 2008 8-hour ozone standard, the EPA is proposing
that states whose contributions are less than one percent to downwind
nonattainment and maintenance receptors are considered non-significant.
The modeling indicates that Washington's largest contribution to any
projected downwind nonattainment site is 0.22 ppb and Washington's
largest contribution to any projected downwind maintenance-only site is
0.09 ppb.\12\ These values are below the one percent screening
threshold of 0.75 ppb, and therefore there are no identified linkages
between Washington and 2017 downwind projected nonattainment and
maintenance sites. Note that the EPA has not done an assessment to
determine the applicability for the use of the one percent screening
threshold for western states that contribute above the one percent
threshold. There may be additional considerations that may impact
regulatory decisions regarding ``potential'' linkages in the west
identified by the modeling.
---------------------------------------------------------------------------

    \12\ 80 FR 46271 at page 46277, Table 3.
---------------------------------------------------------------------------

IV. Proposed Action

    As discussed in Section II, Washington concluded that emissions
from the State do not significantly contribute to nonattainment or
interfere with maintenance of the 2008 ozone standard in any other
state. The EPA's modeling, discussed in Section III, confirms this
finding. Based on the modeling data and the information provided in
Washington's May 11, 2015 submittal, we are proposing to approve the
submittal for purposes of meeting the CAA section 110(a)(2)(D)(i)(I)
requirements for the 2008 ozone standard. The EPA's modeling confirms
the results of the State's analysis: Washington does not significantly
contribute to nonattainment or interfere with maintenance of the 2008
ozone standard in any other state.

V. Statutory and Executive Order Reviews

    Under the CAA, the Administrator is required to approve a SIP
submission that complies with the provisions of the CAA and applicable
Federal regulations. 42 U.S.C. 7410(k); 40 CFR 52.02(a). Thus, in
reviewing SIP submissions, the EPA's role is to approve state choices,
provided that they meet the criteria of the CAA. Accordingly, this
action merely proposes to approve state law as meeting Federal
requirements and does not impose additional requirements beyond those
imposed by state law. For that reason, this action:

     Is not a ``significant regulatory action'' subject to
review by the Office of Management and Budget under Executive Order
12866 (58 FR 51735, October 4, 1993) and 13563 (76 FR 3821, January 21,
2011);
     does not impose an information collection burden under the
provisions of the Paperwork Reduction Act (44 U.S.C. 3501 et seq.);
     is certified as not having a significant economic impact
on a substantial number of small entities under the Regulatory
Flexibility Act (5 U.S.C. 601 et seq.);
     does not contain any unfunded mandate or significantly or
uniquely affect small governments, as described in the Unfunded
Mandates Reform Act of 1995 (Pub. L. 104-4);
     does not have Federalism implications as specified in
Executive Order 13132 (64 FR 43255, August 10, 1999);
     is not an economically significant regulatory action based
on health or safety risks subject to Executive Order 13045 (62 FR
19885, April 23, 1997);
     is not a significant regulatory action subject to
Executive Order 13211 (66 FR 28355, May 22, 2001);
     is not subject to requirements of Section 12(d) of the
National Technology Transfer and Advancement Act of 1995 (15 U.S.C. 272
note) because it does not involve technical standards; and
     does not provide the EPA with the discretionary authority
to address, as appropriate, disproportionate human health or
environmental effects, using practicable and legally permissible
methods, under Executive Order 12898 (59 FR 7629, February 16, 1994).
    In addition, the SIP is not approved to apply on any Indian
reservation land or in any other area where the EPA or an Indian tribe
has demonstrated that a tribe has jurisdiction. In those areas of
Indian country, the rule does not have tribal implications as specified
by Executive Order 13175 (65 FR 67249, November 9, 2000), nor will it
impose substantial direct costs on tribal governments or preempt tribal
law.

List of Subjects in 40 CFR Part 52

    Environmental protection, Air pollution control, Incorporation by
reference, Intergovernmental relations, Ozone, Reporting and
recordkeeping requirements.

    Authority: 42 U.S.C. 7401 et seq.

    Dated: October 15, 2015.
Dennis J. McLerran,
Regional Administrator, Region 10.
[FR Doc. 2015-27153 Filed 10-26-15; 8:45 am]
 BILLING CODE 6560-50-P


July 19, 2004 Mr. J. I. Palmer, Jr. Regional Administrator U. S. EPA, Region IV Sam Nunn Atlanta Federal Center 61 Forsyth Street, S. W. Atlanta, GA 30303 Mr. Richard E. Greene Regional Administrator U. S. EPA, Region VI 1445 Ross Avenue, Suite 1200 Dallas, TX 75202 RE: Supplement to July 14, 2004 Petition for Downward Reclassification for Memphis Ozone Non Attainment Area Dear Mr. Palmer and Mr. Greene:

In our July 14, 2004 reclassification petition for Shelby County, Tennessee and Crittenden County, Arkansas, the State of Tennessee committed to providing a supplement to this petition to detail action taken by the Tennessee Air Board at its meeting July 14 15, 2004. As specified in part III of the petition, the following measures were taken before the Board:

RACT Rule for NOx;

Expanded applicability of Stage I gasoline vapor emission control requirements;

Vehicle Emissions Inspections;

Anti tampering measures;

Reduction of visible emissions of motor vehicles statewide; and Reduction of unnecessary idling of motor vehicles statewide ( Anti Idling).

The RACT rule for NOx that was presented to the Board was significantly different from that which was originally proposed to the public, primarily due to comments received during the public comment period. For this reason, the Board ruled that the revised rule needed to again be made available for public comment before further action was taken. The Board approved the expansion of Stage I gasoline vapor emission control requirements to twenty three additional counties, including Fayette, Haywood, and Tipton Counties in the Memphis area ( Shelby County is already subject to this requirement). This will result in estimated statewide emissions reductions of 5,844 tons of volatile organic compounds per year. A copy of the approved rule is included as Attachment 1. The Board expanded the vehicle emission inspection program to include Hamilton County ( Chattanooga). They also increased the minimum gross vehicle weight rate subject to inspection from 8,500 pounds to 10,500 pounds, and removed the exemption for lightduty diesel powered motor vehicles. The City of Memphis will voluntarily upgrade the existing inspection program OBD II testing. A copy of the approved rule is included as Attachment 2. The Board approved the motor vehicle anti tampering provisions with some modifications to the record keeping requirements from the originally proposed rule. A copy of the approved rule is included as Attachment 3. The Board elected not to take action on the proposed smoking vehicle rule. The Board elected not to take action on the proposed vehicle anti idling rule. Tennessee appreciates your consideration of this petition. If you have any questions about this information, please contact Barry Stephens, our Air Pollution Control Director, at ( 615) 532 0525, or Betsy Child, Commissioner of the Department of Environment and Conservation, at ( 615) 532 0106.

Sincerely,

Betsy L. Child BLC: LJH: lg Attachments cc: Governor Phil Bredesen, State of Tennessee Governor Mike Huckabee Mayor A. C. Wharton, Shelby County Milton Holt, Crittenden County Judge Barry R. Stephens, Director of the Division of Air Pollution Control Marcus Devine, ADEQ Jeff Holmstead, EPA Headquarters


(25) The cumulative number of shares of orders canceled from 30
seconds to less than 60 seconds after the time of order receipt;
    (26) The cumulative number of shares of orders canceled from 60
seconds to less than 5 minutes after the time of order receipt;
    (27) The cumulative number of shares of orders canceled from 5
minutes to 30 minutes;
    (28) The share-weighted average realized spread for executions
of orders;
    (29) Original Percentage Hidden--the received share-weighted
average percentage of shares not displayable as of order receipt;
    (30) Final Percentage Hidden--the received share-weighted
average percentage of shares not displayed prior to final order
execution or cancellation;
    (31) Quoted Size at the National Best Bid and National Best
Offer--the share-weighted average of the consolidated quoted size at
the inside price at the time of order execution;
    (32) Share-weighted average NBBO Spread at the time of order
execution; and
    (33) Share-weighted average BBO Spread of reporting exchange at
the time of order execution.
    b. For market orders and marketable limit orders, except those
noted as excluded: (1) The share-weighted average effective spread
for executions of orders;
    (2) The cumulative number of shares of orders executed with
price improvement; (3) For shares executed with price improvement,
the share-weighted average amount per share that prices were
improved;
    (4) For shares executed with price improvement, the share-
weighted average period from the time of order receipt to the time
of order execution;
    (5) The cumulative number of shares of orders executed at the
quote;
    (6) For shares executed at the quote, the share-weighted average
period from the time of order receipt to the time of order
execution;
    (7) The cumulative number of shares of orders executed outside
the quote;
    (8) For shares executed outside the quote, the share-weighted
average amount per share that prices were outside the quote; and
    (9) For shares executed outside the quote, the share-weighted
average period from the time of order receipt to the time of order
execution.
    II. Market and Marketable Limit Order Data--The following
columns of information with respect to Market Orders and non-booked
portions of Marketable Limit Orders:
    a. Exchange code or trading center identifier;
    b. Ticker Symbol;
    c. Date;
    d. Time of order receipt;
    e. Order Type;
    f. Order Size in Shares;
    g. Order side--``B'', ``S'' (including sell short exempt),
``SS'';
    h. Order price (if marketable limit);
    i. NBBO quoted price;
    j. NBBO quoted depth in lots;
    k. Receiving market offer for buy or bid for sell (as
applicable);
    l. Receiving market depth (offer for buy and bid for sell) (as
applicable);
    m. ISO flag (YIN);
    n. Retail Investor Order flag (YIN);
    o. Routable flag (YIN);
    p. IOC (YIN);

    q. Indicator for quote leader--``1'' if the receiving market is
the first market to post the NBB for a sell or NBO for a buy (as
applicable);
    r. Average execution price-share-weighted average that includes
only executions on the receiving market;
    s. Average execution time-share-weighted average period that
includes only executions on the receiving market;
    t. Executed shares--the number of shares in the order that are
executed;
    u. Canceled shares--the number of shares in the order that are
canceled;
    v. Routed shares--the number of shares in the order that are
routed to another exchange or market;
    w. Routed average execution price-share--weighted average that
includes only shares routed away from the receiving market;
    x. Average routed execution time-share--weighted average period
that includes only executions on the routed markets; and
    y. Indicator for special handling instructions (for example,
slide, discretion, eligible counterparty, minimum quantity)--
identifies orders that contain instructions that could result in
delayed execution or an execution price other than the quote.
    III. Daily Market Maker Registration Statistics--Each
Participant that is a National Securities Exchange will collect
daily Market Maker registration statistics categorized by security,
including the following columns of information:
    a. Ticker Symbol;
    b. SRO;
    c. Number of registered market makers; and
    d. Number of other registered liquidity suppliers.
    IV. Daily Market Maker Participation Statistics--Each
Participant will collect daily Market Maker participation statistics
with respect to each Market Maker engaging in trading activity on
the trading center operated by the Participant. With respect to each
Market Maker, the Participant will collect such statistics
irrespective of whether the Market Maker is registered with the
Participant. The participation statistics will be categorized by
security, including the columns of information listed below, except
that a Participant that is a national securities association will
not be required to collect such statistics unless a Market Maker
registers with its Alternative Display Facility prior to or during
the Pilot Period:
    a. Ticker Symbol;
    b. Share participation--the number of shares purchased or sold
by Market Makers in a principal trade, not including riskless
principal. When aggregating across Market Makers, share
participation will be an executed share-weighted average per Market
Maker;
    c. Trade participation--the number of purchases and sales by
Market Makers in a principal trade, not including riskless
principal. When aggregating across Market Makers, trade
participation will be a trade-weighted average per Market Maker;
    d. Cross-quote share (trade) participation--the number of shares
purchased (the number of purchases) at or above the NBO and the
number of shares sold (the number of sales) at or below the NBB at
the time of the trade;
    e. Inside-the-quote share (trade) participation--the number of
shares purchased (the number of purchases) and the number of shares
sold (the number of sales) between the NBBO at the time of the
trade;
    f. At-the-quote share (trade) participation--the number of
shares purchased (the number of purchases) that are equal to the
National Best Bid price and the number of shares sold (the number of
sales) that are equal to the National Best Offer price at the time
of or immediately before the trade. In the case of a downward moving
National Best Bid or Offer, the National Best Bid or National Best
Offer price immediately before the trade will be used; and
    g. Outside-the-quote share (trade) participation--the number of
shares purchased (the number of purchases) that are less than the
National Best Bid price and the number of shares sold (the number of
sales) that are greater than the National Best Offer price at the
time of or immediately before the trade. In the case of a downward
moving National Best Bid or Offer, the National Best Bid or National
Best Offer price immediately before the trade will be used.

Appendix C--Data Collected by Market Makers

    Each Participant that is the Designated Examining Authority of a
Market Maker will require such Market Maker to collect the data
described in Item I with respect to orders and executions in Pilot
Securities on any trading center and to transmit such data in a pipe
delimited format to the Designated Examining Authority on a monthly
basis, to be provided within 30 calendar days following month end.
Data will only be collected with respect to those orders and
executions occurring during Regular Trading Hours. The data will be
provided for dates starting six months prior to the Pilot Period
through six months after the end of the Pilot Period. Each
Designated Examining Authority will be responsible for aggregating
the data provided by the Market Makers under Item I and providing
the data described in Item II in a pipe delimited format to the SEC.
    I. Market Maker Profitability--Daily Market Maker profitability
statistics categorized by security, including the following columns
of information:
    a. Total number of shares of orders executed by the Market
Maker;
    b. Raw Market Maker realized trading profits--the difference
between the market value of Market Maker sales (shares sold x price)
and the market value of Market Maker purchases (shares purchased x
price). A LIFO-like method will be used for determining which share
prices to use in the calculation;
    c. Market Maker realized trading profits net of fees and
rebates--realized trading profits plus rebates the Market Maker
collects from trading on that day minus access fees the Market Maker
pays for trading on that day (if estimated before allocation of
rebates and fees, use expected rebates and fees); and
    d. Raw Market Maker unrealized trading profits--the difference
between the purchase or sale price of the end-of-day inventory
position of the Market Maker and the Closing Price. In case of a
short position, the Closing Price from the sale will be subtracted.
In the case of a long position, the purchase price will be
subtracted from the Closing Price.
    II. Aggregated Market Maker Profitability--Total Daily Market
Maker profitability statistics categorized by security, including
the following columns of information:
    a. Total Raw Market Maker realized trading profits--the
difference between the market value of Market Maker sales (shares
sold x price) and the market value of Market Maker purchases (shares
purchased x price). A LIFO-like method will be used for determining
which share prices to use in the calculation;
    b. Volume-weighted average of Raw Market Maker realized trading
profits;
    c. Total Market Maker realized trading profits net of fees and
rebates--realized trading profits plus rebates the Market Maker
collects from trading on that day minus access fees the Market Maker
pays for trading on that day (if estimated before allocation of
rebates and fees, use expected rebates and fees);
    d. Volume-weighted average of Market Maker realized trading
profits net of fees and rebates;
    e. Total Raw Market Maker unrealized trading profits--the
difference between the purchase or sale price of the end-of-day
inventory position of the Market Maker and the Closing Price. In
case of a short position, the Closing Price from the sale will be
subtracted. In the case of a long position, the purchase price will
be subtracted from the Closing Price; and
    f. Volume-weighted average of Market Maker unrealized trading
profits.

[FR Doc. 2014-26463 Filed 11-6-14; 8:45 am]
BILLING CODE 8011-01-P