[Federal Register Volume 83, Number 150 (Friday, August 3, 2018)]
[Rules and Regulations]
[Pages 38018-38021]
[FR Doc No: 2018-16691]

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DEPARTMENT OF COMMERCE

Bureau of Industry and Security

15 CFR Parts 738, 740, 743, 758 and 772

[Docket No. 180228229-8229-01]
RIN 0694-AH49

U.S.-India Major Defense Partners: Implementation Under the
Export Administration Regulations of India's Membership in the
Wassenaar Arrangement and Addition of India to Country Group A:5

AGENCY: Bureau of Industry and Security, Commerce.

ACTION: Final rule.

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SUMMARY: In this rule, the Bureau of Industry and Security (BIS) amends
the Export Administration Regulations (EAR) to formally recognize and
implement India's membership in the Wassenaar Arrangement (Wassenaar or
WA). Further, BIS removes India from Country Group A:6 and places it in
Country Group A:5. This action befits India's status as a Major Defense
Partner and recognizes the country's membership in three of the four
export control regimes: Missile Technology Control Regime (MTCR), WA
and Australia Group (AG). This rule is another in the series of rules
that implement reforms to which the United States and India mutually
agreed to promote global nonproliferation, expand high technology
cooperation and trade, and ultimately facilitate India's full
membership in the four multilateral export control regimes (Nuclear
Suppliers Group, MTCR, WA, and AG). This rule also makes conforming
amendments.

DATES: This rule is effective August 3, 2018.

FOR FURTHER INFORMATION CONTACT: Chantal Lakatos, Office of
Nonproliferation and Treaty Compliance, Bureau of Industry and
Security, by phone:<PHONE_NUMBER> or by email:
[email protected].

SUPPLEMENTARY INFORMATION:

Background

    The United States and India continue their commitment to work
together to strengthen the global nonproliferation and export control
framework and further transform bilateral export control cooperation to
recognize the full potential of the global strategic partnership
between the two countries. This commitment has been realized in the two
countries' mutually agreed upon

steps to expand cooperation in civil space, defense, and other high-
technology sectors and the complementary steps of the United States to
remove India defense and space-related entities from the Entity List,
realign India in U.S. export control regulations, and support India's
membership in the four multilateral export control regimes (Nuclear
Suppliers Group, Missile Technology Control Regime, Wassenaar
Arrangement and Australia Group).
    To date, with the effective support of the United States, India has
been admitted to three of the four multilateral export control regimes:
Missile Technology Control Regime (MTCR) on June 27, 2016, the
Wassenaar Arrangement (Wassenaar or WA) on December 7, 2017 and the
Australia Group (AG) on January 19, 2018. These memberships, important
to the two countries' global strategic partnership, are enhanced by the
United States' recognition of India as a Major Defense Partner in the
India-U.S. Joint Statement of June 7, 2016, entitled, ``The United
States and India: Enduring Global Partners in the 21st Century.'' This
recognition facilitates and supports India's military modernization
efforts with the United States as a reliable provider of advanced
defense articles.
    Therefore, in this rule, the Bureau of Industry and Security (BIS),
formally recognizes under the Export Administration Regulations (EAR)
India's membership in the WA multilateral export control regimes and
revises the EAR accordingly. Further, in this rule, BIS adds India to
Country Group A:1 in Supplement No. 1 to Part 740 (Country Groups) of
the EAR to implement under the EAR India's status as a member of the
WA. In addition, to export control-related benefits for India as a
result of prior amendments to the EAR in furtherance of the U.S.-India
global strategic partnership, BIS places India in Country Group A:5,
which provides the benefit of greater availability of License Exception
Strategic Trade Authorization (STA) for exports and reexports to, and
transfers within India under the EAR.
    Countries listed in Country Group A:5 are countries included in STA
Sec.  740.20(c)(1), which authorizes exports, reexports and in-country
transfers that are subject to multiple reasons for control. With this
rule, India becomes the 37th country to join Country Group A:5.

Specific EAR Amendments Recognizing and Implementing India's Membership
in Wassenaar and Adding India to Country Group A:5

Part 738
    BIS amends Supplement No. 1 to Part 738, Commerce Country Chart, by
removing the license requirements for National Security Column 2 (NS2)
reasons. Accordingly, this rule removes the ``X'' in NS Column 2 for
India.
Part 740
    BIS amends Supplement No. 1 to Part 740 to add, in alphabetical
order, India to Country Groups A:1 and A:5.
Conforming Amendments
Part 738
    Consistent with India's new multilateral export control regime
status, this rule also removes the first sentence of footnote 7 to the
Commerce Country Chart in Supplement No. 1 to Part 738, related to
India. This amendment removes the requirement that exporters file in
the Automated Export System when items controlled for Crime Control
Columns 1 and 3 reasons, and Regional Stability Column 2 reasons were
destined to India. As a conforming change, this rule removes the word
``Also'' from the second sentence of footnote 7 and capitalizes the
``n'' in ``note'' since it begins the sentence.
    Also, as a conforming change in Part 738, BIS amends paragraph
(b)(3) of Sec.  738.4, related to a sample analysis using the Commerce
Control List and Country Chart to determine when a license is required,
to remove the name ``India'' and replace it with the name ``Chad.'' The
sample analysis used India as an example of a country with NS Column 2
controls. That reason for control no longer applies to India but
currently applies to Chad.
Part 740
    In adding India to Country Group A:5, BIS removes India from
Country Group A:6 to avoid creating conflicting eligibility criteria
for STA provisions.
Part 743
    As a member of Wassenaar, India now is subject to reporting
requirements for items controlled under Wassenaar, as set forth in Part
743, Special Reporting and Notification. Specifically, India is added,
in alphabetical order, to Supplement No. 1 to Part 743, Wassenaar
Arrangement Participating States.
Part 758
    Also, consistent with India's achievements and status as a Major
Defense Partner, BIS removes the requirement that exporters file
certain Electronic Export Information in AES as set forth in Sec.
758.1(b)(9). Specifically, this amendment removes the requirement that
exporters file in AES when items controlled for CC Columns 1 and 3
reasons and RS Column 2 reasons are destined to India. This reporting
requirement had been instituted when the license requirement for such
items was removed (see U.S.-India Bilateral Understanding: Additional
Revisions to the U.S. Export and Reexport Controls Under the Export
Administration Regulations; January 23, 2015; 80 FR 3463). BIS has
determined that this reporting requirement is no longer necessary.
Part 772
    In this rule, BIS also adds India, in alphabetical order, to the
list of countries under the term Australia Group in Sec.  772.1,
Definitions of terms as used in the Export Administration Regulations
(EAR). This updates the definition consistent with formal recognition
of India's membership in the AG in a BIS final rule, entitled
``Implementation of the February 2017 Australia Group (AG)
Intersessional Decisions and June 2017 Plenary Understandings; Addition
of India to the AG'' (83 FR 13849, April 2, 2018).

Export Administration Act

    Although the Export Administration Act of 1979 expired on August
20, 2001, the President, through Executive Order 13222 of August 17,
2001, 3 CFR, 2001 Comp., p. 783 (2002), as amended by Executive Order
13637 of March 8, 2013, 78 FR 16129 (March 13, 2013) and as extended by
the Notice of August 15, 2017, 82 FR 39005 (August 16, 2017), has
continued the Export Administration Regulations in effect under the
International Emergency Economic Powers Act. BIS continues to carry out
the provisions of the Export Administration Act of 1979, as appropriate
and to the extent permitted by law, pursuant to Executive Order 13222,
as amended by Executive Order 13637.

Rulemaking Requirements

    1. Executive Orders 13563 and 12866 direct agencies to assess all
costs and benefits of available regulatory alternatives and, if
regulation is necessary, to select regulatory approaches that maximize
net benefits (including potential economic, environmental, public
health and safety

effects, distributive impacts, and equity). Executive Order 13563
emphasizes the importance of quantifying both costs and benefits, of
reducing costs, of harmonizing rules, and of promoting flexibility.
This rule has been designated a ``significant regulatory action,''
although not economically significant, under section 3(f) of Executive
Order 12866. Accordingly, the rule has been reviewed by the Office of
Management and Budget (OMB). This rule is not subject to the
requirements of E.O. 13771 (82 FR 9339, February 3, 2017) because it is
issued with respect to a national security function of the United
States.
    2. Notwithstanding any other provision of law, no person is
required to respond to, nor shall any person be subject to a penalty
for failure to comply with, a collection of information subject to the
requirements of the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et
seq.) (PRA), unless that collection of information displays a currently
valid OMB control number. This rule involves collections of information
approved under OMB control number 0694-0088- Simplified Network
Application Processing+ System (SNAP+) and the Multipurpose Export
License Application, which carries an annual estimated burden of 31,833
hours; 0694-0137--License Exceptions and Exclusions, which carries an
annual estimated burden of 29,998 hours; and 0694-0122--Miscellaneous
Licensing Responsibilities and Enforcement which carries an annual
estimated burden of 104,288 hours. BIS believes that this rule will
have no significant impact on those burdens. In fact, because India has
been admitted to the MTCR, Wassenaar and AG multilateral regimes and is
a Major Defense Partner, it is listed in favored country groups for
purposes of license requirements, license application review policy and
availability of license exceptions. Membership in favored country
groups generally reduces the number of licenses required and increases
the number of license exceptions available. Therefore, BIS believes
that this rule will reduce the paperwork burden to the public.
    Send comments regarding this burden estimate or any other aspect of
this collection of information, including suggestions for reducing the
burden, to Jasmeet K. Seehra, Office of Management and Budget, by email
at [email protected] or by fax to<PHONE_NUMBER>.
    3. This rule does not contain policies with Federalism implications
as that term is defined under Executive Order 13132.
    4. The provisions of the Administrative Procedure Act (5 U.S.C.
553) requiring notice of proposed rulemaking and the opportunity for
public participation, and a delay in effective date, are inapplicable
because this regulation involves a military or foreign affairs function
of the United States (see 5 U.S.C. 553(a)(1)). This rule implements
decisions of multilateral export control regimes, of which the United
States is a supporting member, and the rule furthers the objectives of
the strategic commitment established between the United States and
India. Delay in implementing this rule to obtain public comment would
undermine the foreign policy objectives that the rule is intended to
implement. Further, no other law requires that a notice of proposed
rulemaking and an opportunity for public comment be given for this
rule. Because a notice of proposed rulemaking and an opportunity for
public comment are not required to be given for this rule under 5
U.S.C. 553, or by any other law, the requirements of the Regulatory
Flexibility Act (5 U.S.C. 601 et seq.) are not applicable.

List of Subjects

15 CFR Part 738 and 772

    Exports.

15 CFR Parts 740, 743 and 758

    Administrative practice and procedure, Exports, Reporting and
recordkeeping requirements.

    For the reasons set forth in the preamble, 15 CFR Chapter VII,
Subchapter C is amended as follows:

PART 738--COMMERCE CONTROL LIST OVERVIEW AND THE COUNTRY CHART

0
1. The authority citation for part 738 continues to read as follows:

    Authority: 50 U.S.C. 4601 et seq.; 50 U.S.C. 1701 et seq.; 10
U.S.C. 7420; 10 U.S.C. 7430(e); 22 U.S.C. 287c; 22 U.S.C. 3201 et
seq.; 22 U.S.C. 6004; 42 U.S.C. 2139a; 15 U.S.C. 1824a; 50 U.S.C.
4305; 22 U.S.C. 7201 et seq.; 22 U.S.C. 7210; E.O. 13026, 61 FR
58767, 3 CFR, 1996 Comp., p. 228; E.O. 13222, 66 FR 44025, 3 CFR,
2001 Comp., p. 783; Notice of August 15, 2017, 82 FR 39005 (August
16, 2017).

0
2. Section 738.4 is amended by revising paragraph (b)(3) to read as
follows:

Sec.  738.4  Determining whether a license is required.

* * * * *
    (b) * * *
    (3) Sample analysis. After consulting the CCL, I determine my item,
valued at $10,000, is classified under ECCN 2A000.a. I read that the
entire entry is controlled for national security, and anti-terrorism
reasons. Because my item is classified under paragraph .a, and not .b,
I understand that though nuclear nonproliferation controls apply to a
portion of the entry, they do not apply to my item. I note that the
appropriate Country Chart column identifiers are NS Column 2 and AT
Column 1. Turning to the Country Chart, I locate my specific
destination, Chad, and see that an ``X'' appears in the NS Column 2
cell for Chad, but not in the AT Column 1 cell. I understand that a
license is required, unless my transaction qualifies for a License
Exception. From the License Exception LVS value listed in the entry, I
know immediately that my proposed transaction exceeds the value
limitation associated with LVS. Noting that License Exception GBS is
``Yes'' for this entry, I turn to part 740 of the EAR to review the
provisions related to use of GBS.

0
3. In Supplement No. 1 to Part 738 revise the entry for India to read
as follows:

                                                  Supplement No. 1 to Part 738--Commerce Country Chart
                                                                  [Reason for control]
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                           Chemical and       Nuclear        National     Missile    Regional     Firearms   Crime control      Anti-
                                            biological   nonproliferation    security      tech      stability   convention ---------------   terrorism
                                             weapons    --------------------------------------------------------------------               -------------
                Countries                ---------------                                                                      CC   CC   CC
                                           CB   CB   CB    NP 1     NP 2    NS 1   NS 2    MT 1     RS 1   RS 2     FC 1      1    2    3    AT 1   AT 2
                                           1    2    3
--------------------------------------------------------------------------------------------------------------------------------------------------------

                                                                      * * * * * * *
India \7\...............................   X   ...  ...     X     .......    X    .....      X       X    .....  ..........  ...  ...  ...  .....  .....

                                                                      * * * * * * *
--------------------------------------------------------------------------------------------------------------------------------------------------------
* * * * *
\7\ Note that a license is still required for items controlled under ECCNs 6A003.b.4.b and 9A515.e for RS column 2 reasons when destined to India.

* * * * *

PART 740--LICENSE EXCEPTIONS

0
4. The authority citation for part 740 continues to read as follows:

    Authority: 50 U.S.C. 4601 et seq.; 50 U.S.C. 1701 et seq.; 22
U.S.C. 7201 et seq.; E.O. 13026, 61 FR 58767, 3 CFR, 1996 Comp., p.
228; E.O. 13222, 66 FR 44025, 3 CFR, 2001 Comp., p. 783; Notice of
August 15, 2017, 82 FR 39005 (August 16, 2017).

0
5. In Supplement No. 1 to part 740, in Country Group A, revise the
entry for ``India'' to read as follows:

                                                      Supplement No. 1 to Part 740--Country Groups
                                                                     Country Group A
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                               [A:1] Wassenaar    [A:2] Missile                       [A:4] Nuclear
                   Country                      participating      technology      [A:3] Australia   suppliers group        [A:5]             [A:6]
                                                 states \1\      control regime         group              \2\
--------------------------------------------------------------------------------------------------------------------------------------------------------

                                                                      * * * * * * *
India.......................................                X                 X                 X   ................                X   ................

                                                                      * * * * * * *
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ Country Group A:1 is a list of the Wassenaar Arrangement Participating States, except for Malta, Russia and Ukraine.
\2\ Country Group A:4 is a list of the Nuclear Suppliers Group countries, except for the People's Republic of China (PRC).

* * * * *

PART 743--SPECIAL REPORTING AND NOTIFICATION

0
6. The authority citation for part 743 continues to read as follows:

    Authority: 50 U.S.C. 4601 et seq.; 50 U.S.C. 1701 et seq.; E.O.
13222, 66 FR 44025, 3 CFR, 2001 Comp., p. 783; E.O. 13637, 78 FR
16129, 3 CFR, 2014 Comp., p. 223; 78 FR 16129; Notice of August 15,
2017, 82 FR 39005 (August 16, 2017).

Supplement No. 1 to Part 743 [Amended]

0
7. Supplement No. 1 to part 743--Wassenaar Arrangement Participating
States is amended by adding ``India'' in alphabetical order after
``Hungary''.

PART 758--EXPORT CLEARANCE REQUIREMENTS

0
8. The authority citation for part 758 continues to read as follows:

    Authority: 50 U.S.C. 4601 et seq.; 50 U.S.C. 1701 et seq.; E.O.
13222, 66 FR 44025, 3 CFR, 2001 Comp., p. 783; Notice of August 15,
2017, 82 FR 39005 (August 16, 2017).

Sec.  758.1   [Amended]

0
9. Section 758.1 is amended by removing paragraph (b)(9).

PART 772--DEFINITIONS OF TERMS

0
10. The authority citation for part 772 continues to read as follows:

    Authority: 50 U.S.C. 4601 et seq.; 50 U.S.C. 1701 et seq.; E.O.
13222, 66 FR 44025, 3 CFR, 2001 Comp., p. 783; Notice of August 15,
2017, 82 FR 39005 (August 16, 2017).

Sec.  772.1  [Amended]

0
11. Amend the definition of Australia Group in Sec.  772.1 by adding
``India'', in alphabetical order, after ``Iceland,''.

    Dated: July 31, 2018.
Richard E. Ashooh,
Assistant Secretary for Export Administration.
[FR Doc. 2018-16691 Filed 8-2-18; 8:45 am]
 BILLING CODE 3510-33-P


[Federal Register: July 18, 2006 (Volume 71, Number 137)]
[Notices]
[Page 40716]
[DOCID:fr18jy06-57]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

[Project Nos. 2692-032, 2603-012, and 2619-012; North Carolina]

Duke Power Company LLC ; Notice of Availability of Environmental
Assessment

July 12, 2006.
    In accordance with the National Environmental Policy Act of 1969,
as amended, and Federal Energy Regulatory Commission (Commission)
regulations (18 CFR part 380), Commission staff reviewed the
applications for licenses for the Nantahala, Franklin, and Mission
projects (Nantahala West Projects) and prepared a combined
environmental assessment (EA). The projects are located on the
Nantahala, Little Tennessee, and Hiwassee rivers, respectively, in
Macon and Clay counties, North Carolina.
    In this EA, Commission staff analyzes the probable environmental
effects of implementing the projects and conclude that approval of the
projects, with appropriate staff-recommended environmental measures,
would not constitute a major federal action significantly affecting the
quality of the human environment.
    Copies of the EA are available for review in Public Reference Room
2-A of the Commission's offices at 888 First Street, NE., Washington,
DC. The EA also may be viewed on the Commission's Internet Web site
(http://www.ferc.gov) using the ``eLibrary'' link. Additional

information about the projects is available from the Commission's
Office of External Affairs at<PHONE_NUMBER>, or on the Commission's
Web site using the ``eLibrary'' link. For assistance, contact
<EMAIL_ADDRESS>or call toll-free<PHONE_NUMBER>; for TTY,

call<PHONE_NUMBER>.
    For further information, please contact Carolyn Holsopple at (202)
502-6407, or at<EMAIL_ADDRESS>
Magalie R. Salas,
Secretary.
 [FR Doc. E6-11354 Filed 7-17-06; 8:45 am]

BILLING CODE 6717-01-P


[Federal Register: August 11, 2010 (Volume 75, Number 154)]
[Rules and Regulations]
[Page 48564-48566]
[DOCID:fr11au10-9]

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DEPARTMENT OF HOMELAND SECURITY

Coast Guard

33 CFR Parts 3 and 165

[Docket No. USCG-2010-0351]
RIN 1625-ZA25

Navigation and Navigable Waters; Technical, Organizational, and
Conforming Amendments, Sector Columbia River, WA

AGENCY: Coast Guard, DHS.

ACTION: Final rule.

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SUMMARY: This rule makes non-substantive changes throughout our
regulations. The purpose of this rule is to make conforming amendments
and technical corrections to reflect the renaming of Sector Seattle to
Sector Puget Sound as part of the Coast Guard reorganization.

DATES: This final rule is effective 12:01 a.m. on August 16, 2010.

ADDRESSES: Comments and material received from the public, as well as
documents mentioned in this preamble as being available in the docket,
are part of docket USCG-2010-0351 and are available for inspection or
copying at the Docket Management Facility (M-30), U.S. Department of
Transportation, West Building Ground Floor, Room W12-140, 1200 New
Jersey Avenue, SE., Washington, DC 20590, between 9 a.m. and 5 p.m.,
Monday through Friday, except Federal holidays. You may also find this
docket on the Internet by going to http://www.regulations.gov,
inserting USCG-2010-0351 in the ``Keyword'' box, and then clicking
``Search.''

FOR FURTHER INFORMATION CONTACT: If you have questions on this rule,
call or e-mail Lt. Matthew Jones, Coast Guard; telephone<PHONE_NUMBER>,
e-mail<EMAIL_ADDRESS>If you have questions on viewing the
docket, call Renee V. Wright, Program Manager, Docket Operations,
telephone<PHONE_NUMBER>.

SUPPLEMENTARY INFORMATION:

Regulatory Information

    We did not publish a notice of proposed rulemaking (NPRM) for this
rule. Under 5 U.S.C. 553(b)(3)(A), the Coast Guard finds this rule is
exempt from notice and comment rulemaking requirements because these
changes involve rules of agency organization, procedure, or practice.
In addition, the Coast Guard finds notice and comment procedure are
unnecessary under 5 U.S.C. 553(b)(3)(B) as this rule consists only of
corrections and editorial, organizational, and conforming amendments
and these changes will have no substantive effect on the public.
    Under 5 U.S.C. 553(d)(3), the Coast Guard finds that, for the same
reasons, good cause exists for making this rule effective upon
publication in the Federal Register.

Basis and Purpose

    This rule makes technical and editorial corrections to Title 33
parts 3 and 165 in the Code of Federal Regulations. This internal
agency reorganization establishes Sector Columbia River and is part of
a process begun in 2004, intended to strengthen unity of command in
Coast Guard port, waterway and coastal areas.

Discussion of Rule

    This rule revises 33 CFR parts 3 and 165 to reflect changes in
Coast Guard internal organizational structure. Sector Portland has been
disestablished and Sector Columbia River has been established in its
place. This rule revises 33 CFR parts 3 and 165 to reflect the Sector
Columbia River and Captain of the Port Zone name change in current
regulations. This rule is a technical revision reflecting changes in
agency procedure and organization, and does not indicate new
authorities nor create any substantive requirements.

Regulatory Analyses

    We developed this rule after considering numerous statutes and
executive orders related to rulemaking. Below we summarize our analyses
based on 13 of these statutes or executive orders.

Regulatory Planning and Review

    This rule is not a significant regulatory action under section 3(f)
of Executive Order 12866, Regulatory Planning and Review, and does not
require an assessment of potential costs and benefits under section
6(a)(3) of that Order. The Office of Management and Budget has not
reviewed it under that Order. Because this rule involves non-
substantive changes and internal agency practices and procedures, it
will not impose any additional costs on the public.

Small Entities

    Under the Regulatory Flexibility Act (5 U.S.C. 601-612), we have
considered whether this rule would have a significant economic impact
on a substantial number of small entities. The term ``small entities''
comprises small businesses, not-for-profit organizations that are
independently owned and operated and are not dominant in their fields,
and governmental jurisdictions with populations of less than 50,000.
    We estimate this rule will not impose any additional costs and
should have little or no impact on small entities because the
provisions of this rule are technical and non-substantive, and will
have no substantive effect on the public and will impose no additional
costs. Therefore, the Coast Guard certifies under 5 U.S.C. 605(b) that
this final rule will not have a significant economic impact on a
substantial number of small entities.

Collection of Information

    This rule calls for no new collection of information under the
Paperwork Reduction Act of 1995 (44 U.S.C. 3501-3520).

Federalism

    A rule has implications for federalism under Executive Order 13132,
Federalism, if it has a substantial direct effect on State or local
governments and would either preempt State law or impose a substantial
direct cost of compliance on them. We have analyzed this rule under
that Order and have determined that it does not have implications for
federalism.

Unfunded Mandates Reform Act

    The Unfunded Mandates Reform Act of 1995 (2 U.S.C. 1531-1538)
requires Federal agencies to assess the effects of their discretionary
regulatory actions. In particular, the Act addresses actions that may
result in the expenditure by a State, local, or Tribal government, in
the aggregate, or by the private sector of $100,000,000 (adjusted for
inflation) or more in any one year. Though this rule will not result in
such an expenditure, we do discuss the effects of this rule elsewhere
in this preamble.

Taking of Private Property

    This rule will not cause a taking of private property or otherwise
have taking implications under Executive Order 12630, Governmental
Actions and Interference with Constitutionally Protected Property
Rights.

Civil Justice Reform

    This rule meets applicable standards in sections 3(a) and 3(b)(2)
of Executive Order 12988, Civil Justice Reform, to minimize litigation,
eliminate ambiguity, and reduce burden.

Protection of Children

    We have analyzed this rule under Executive Order 13045, Protection
of Children from Environmental Health Risks and Safety Risks. This rule
is not an economically significant rule and does not create an
environmental risk to health or risk to safety that may
disproportionately affect children.

Indian Tribal Governments

    This rule does not have Tribal implications under Executive Order
13175, Consultation and Coordination with Indian Tribal Governments,
because it does not have a substantial direct effect on one or more
Indian Tribes, on the relationship between the Federal Government and
Indian Tribes, or on the distribution of power and responsibilities
between the Federal Government and Indian Tribes.

Energy Effects

    We have analyzed this rule under Executive Order 13211, Actions
Concerning Regulations That Significantly Affect Energy Supply,
Distribution, or Use. We have determined that it is not a ``significant
energy action'' under that order because it is not a ``significant
regulatory action'' under Executive Order 12866 and is not likely to
have a significant adverse effect on the supply, distribution, or use
of energy. The Administrator of the Office of Information and
Regulatory Affairs has not designated it as a significant energy
action. Therefore, it does not require a Statement of Energy Effects
under Executive Order 13211.

Technical Standards

    The National Technology Transfer and Advancement Act (NTTAA) (15
U.S.C. 272 note) directs agencies to use voluntary consensus standards
in their regulatory activities unless the agency provides Congress,
through the Office of Management and Budget, with an explanation of why
using these standards would be inconsistent with applicable law or
otherwise impractical. Voluntary consensus standards are technical
standards (e.g., specifications of materials, performance, design, or
operation; test methods; sampling procedures; and related management
systems practices) that are developed or adopted by voluntary consensus
standards bodies.
    This rule does not use technical standards. Therefore, we did not
consider the use of voluntary consensus standards.

Environment

    We have analyzed this rule under Department of Homeland Security
Management Directive 023-01 and Commandant Instruction M16475.lD, which
guide the Coast Guard in complying with the National Environmental
Policy Act of 1969 (NEPA) (42 U.S.C. 4321-4370f), and have concluded
that this action is one of a category of actions that do not
individually or cumulatively have a significant effect on the human
environment. This rule is categorically excluded under section 2.B.2,
figure 2-1, paragraph (34)(a) of the Instruction. This rule involves
regulations which are editorial and/or procedural, such as those
updating addresses or establishing application procedures. An
environmental analysis checklist and a categorical exclusion
determination are available in the docket where indicated under
ADDRESSES.

List of Subjects

33 CFR Part 3

    Organization and functions (government agencies).

33 CFR Part 165

    Harbors, Marine Safety, Navigation (water), Reporting and record
keeping requirements, Security measures, Waterways.

0
For the reasons discussed in the preamble, the Coast Guard amends 33
CFR parts 3 and 165 as follows:

PART 3--COAST GUARD AREAS, DISTRICTS, SECTORS, MARINE INSPECTION
ZONES, AND CAPTAIN OF THE PORT ZONES

0
1. The authority citation for part 3 continues to read as follows:

    Authority: 14 U.S.C. 92, Pub. L. 107-296, 116 Stat. 2135;
Department of Homeland Security Delegation No. 0170.1, para. 2(23).

0
2. Revise Sec.  3.65-15 to read as follows:

Sec.  3.65-15  Sector Columbia River Marine Inspection Zone and Captain
of the Port Zone.

    Sector Columbia River's office is located in Astoria, OR. The
boundaries of Sector Columbia River's Marine Inspection and Captain of
the Port Zones start at the Washington coast at latitude 47[deg]32'00''
N, longitude 124[deg]21'15'' W, proceeding along this latitude east to
latitude 47[deg]32'00'' N, longitude 123[deg]18'00'' W; thence south to
latitude 46[deg]55'00'' N, longitude 123[deg]18'00'' W; thence east
along this latitude to the eastern Idaho state line; thence southeast
along the Idaho state line to the intersection of the Idaho-Wyoming
boundary; thence south along the Idaho-Wyoming boundary to the
intersection of the Idaho-Utah-Wyoming boundaries; thence west along
the southern border of Idaho to Oregon and then west along the southern
border of Oregon to the coast at latitude 41[deg]59'54'' N, longitude
124[deg]12'42'' W; thence west along the southern boundary of the
Thirteenth Coast Guard District, which is described in Sec.  3.65-10,
to the outermost extent of the EEZ at latitude 41[deg]38'35'' N,
128[deg]51'26'' W; thence north along the outermost extent of the EEZ
to latitude 47[deg]32'00'' N; thence east to the point of origin.

PART 165-- REGULATED NAVIGATION AREAS AND LIMITED ACCESS AREAS

0
3. The authority citation for part 165 continues to read as follows:

    Authority: 33 U.S.C. 1226, 1231; 46 U.S.C. Chapter 701; 50
U.S.C. 191, 195; 33 CFR 1.05-1, 6.04-1, 6.04-6, and 160.5; Pub. L.
107-295, 116 Stat. 2064; Department of Homeland Security Delegation
No. 0170.1.

Sec.  165.1308  [Amended]

0
4. In Sec.  165.1308(c), remove the phrase ``Captain of the Port,
Portland, Oregon'' and add, in its place, the phrase ``Captain of the
Port Columbia River''.

Sec.  165.1312  [Amended]

0
5. In Sec.  165.1312(b), remove the phrase ``Coast Guard Captain of the
Port, Portland, Oregon'' and add, in its place, the phrase ``Captain of
the Port Columbia River''.

Sec.  165.1315  [Amended]

0
6. In Sec.  165.1315, in the heading and paragraph (b), remove the
phrase ``Captain of the Port Portland'' and add, in its place, the
phrase ``Captain of the Port Columbia River''.

Sec.  165.1318  [Amended]

0
7. In Sec.  165.1318:
0
a. In the section heading, remove ``Portland, OR Captain of the Port
Zone'' and add, in its place, ``Captain of the Port Columbia River
Zone''.
0
b. In paragraphs (a), (d), (i) and (l) remove the phrase ``Captain of
the Port Portland'' and add, in its place, the phrase ``Captain of the
Port Columbia River''.

Sec.  165.1322  [Amended]

0
8. In Sec.  165.1322, in the section heading remove ``Oregon Captain of
the Port Zone'' and add, in its place

``Captain of the Port Columbia River Zone''.

Sec.  165.1323  [Amended]

0
8. In Sec.  165.1323, in the section heading remove ``Portland, Oregon
Captain of the Port Zone'' and add, in its place ``, Captain of the
Port Columbia River Zone''.

    Dated: August 5, 2010.
Sandra Selman,
Acting Chief, Office of Regulations and Administrative Law, United
States Coast Guard.
[FR Doc. 2010-19754 Filed 8-10-10; 8:45 am]
BILLING CODE 9110-04-P


[Federal Register Volume 83, Number 231 (Friday, November 30, 2018)]
[Notices]
[Pages 61705-61707]
[FR Doc No: 2018-25996]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-84649; File No. SR-NYSEAMER-2018-51]

Self-Regulatory Organizations; NYSE American LLC; Notice of
Filing and Immediate Effectiveness of Proposed Rule Change To Amend
Rule 903, Series of Options Open for Trading

November 26, 2018.
    Pursuant to Section 19(b)(1) \1\ of the Securities Exchange Act of
1934 \2\ and Rule 19b-4 thereunder,\3\ notice is hereby given that on
November 19, 2018, NYSE American LLC (``Exchange'') filed with the
Securities and Exchange Commission (``Commission'') the proposed rule
change as described in Items I and II below, which Items have been
prepared by the self-regulatory organization. The Commission is
publishing this notice to solicit comments on the proposed rule change
from interested persons.
---------------------------------------------------------------------------

    \1\ 15 U.S.C.78s(b)(1).
    \2\ 15 U.S.C. 78a.
    \3\ 17 CFR 240.19b-4.
---------------------------------------------------------------------------

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

    The Exchange proposes to amend Rule 903. The proposed rule change
is available on the Exchange's website at www.nyse.com, at the
principal office of the Exchange, and at the Commission's Public
Reference Room.

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

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

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

1. Purpose
    The purpose of this filing is to amend Rule 903, Series of Options
Open for Trading, to permit the listing and trading of up to ten
expiration months for long term options on the SPDR[supreg] S&P
500[supreg] Exchange-Traded Fund (the ``SPY ETF'').
    Commentary .03(a) of Rule 903 (``Commentary .03'') provides that
the Exchange may list, with respect to any class of stock or Exchange-
Traded Fund Share options series, options having from twelve up to
thirty-nine months from the time they are listed until expiration
(``LEAPS''). Under the current Rule, the Exchange may list up to six
LEAPS expiration months.\4\ The Exchange proposes to amend Commentary
.03 to permit up to ten LEAPS expiration months for options on the SPY
ETF.\5\ This proposal, which is substantially the same as a recent rule
amendment submitted by Nasdaq PHLX LLC (``PHLX'') and driven by
customer demand,\6\ would add liquidity to the SPY ETF options market
by allowing market participants to hedge risks relating to SPY ETF
positions over a potentially longer time period with a known and
limited cost.
---------------------------------------------------------------------------

    \4\ Strike price interval, bid/ask differential and continuity
rules shall not apply to such options series until the time to
expiration is less than nine months. See Commentary .03(a) of Rule
903.
    \5\ See proposed Commentary .03(a) of Rule 903 (providing in
relevant part, that ``[t]here may be up to ten expiration months for
options on the [SPY ETF] and up to six extended far term expiration
months for options on any other index, Exchange-Trade Fund Share, or
equity option class''). The Exchange also proposes a technical
change to remove the errant period that appears after ``(LEAPS)'' in
the title of Commentary .03, which would add clarity and consistency
to Exchange rules. See proposed Commentary .03 of Rule 903.
    \6\ See also Securities Exchange Act Release No. 84449 (October
18, 2018), 83 FR 53699 (October 24, 2018) (SR-Phlx-2018-64) (``PHLX
Rule Change''). The Exchange notes that the PHLX Rule Change does
not apply to LEAPS on index options, as PHLX already provided for up
to ten expirations in LEAPS on index options in PHLX Rule
1101A(b)(iii). Because Commentary .03 includes index options, this
proposal is consistent with both the PHLX Rule Change and PHLX Rule
1101A(b)(iii).
---------------------------------------------------------------------------

    The SPY ETF options market today is characterized by its tremendous
daily and annual liquidity. As a consequence, the Exchange believes
that the listing of additional SPY ETF LEAPS expiration months would be
well received by investors. This proposal to expand the number of
permitted SPY ETF LEAPS would not apply to LEAPS on any other

class of stock or Exchange-Traded Fund Share options.\7\
---------------------------------------------------------------------------

    \7\ Historically, SPY is the largest and most actively traded
ETF in the United States as measured by its assets under management
and the value of shares traded.
---------------------------------------------------------------------------

2. Statutory Basis
    The proposed rule change is consistent with Section 6(b) \8\ of the
Securities Exchange Act of 1934 (the ``Act''), in general, and furthers
the objectives of Section 6(b)(5),\9\ in particular, in that it is
designed to promote just and equitable principles of trade, to remove
impediments to and perfect the mechanism of a free and open market and
a national market system, and, in general to protect investors and the
public interest, by offering market participants additional LEAPS on
SPY options for their investment and risk management purposes. The
proposal is intended simply to provide additional trading opportunities
which have been requested by customers, thereby facilitating
transactions in options and contributing to the protection of investors
and the maintenance of fair and orderly markets. The proposed rule
change responds to the continuing needs of market participants,
particularly portfolio managers and other institutional customers, by
providing protection from long-term market moves and by offering an
alternative to hedging portfolios with futures positions or off-
exchange customized derivative instruments.
---------------------------------------------------------------------------

    \8\ 15 U.S.C. 78f(b).
    \9\ 15 U.S.C. 78f(b)(5).
---------------------------------------------------------------------------

    The Exchange believes that the addition today of four additional
expiration months for SPY ETF LEAPS does not represent a proliferation
of expiration months, but is instead a very modest expansion of LEAPS
options in response to stated customer demand. Significantly, the
proposal would feature new LEAPS expiration months in only a single
class of options--the SPY ETF--that are very liquid and heavily traded,
as discussed above. Additionally, the Exchange notes by way of
precedent that ten expiration months are already permitted for stock
index LEAPS options on other markets.\10\ Further, the Exchange has the
necessary systems capacity to support the new SPY ETF LEAPS expiration
months.
---------------------------------------------------------------------------

    \10\ See NYSE Arca Rule 5.19-O(b)(1) and PHLX Rule
1101A(b)(iii).
---------------------------------------------------------------------------

    The Exchange notes that this proposal is substantially the same as
a recent rule amendment submitted by PHLX.\11\
---------------------------------------------------------------------------

    \11\ See PHLX Rule Change, supra note 6.
---------------------------------------------------------------------------

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

    The Exchange does not believe that the proposed rule change will
impose any burden on competition not necessary or appropriate in
furtherance of the purposes of the Act. The proposal merely provides
investors additional investment and risk management opportunities by
providing flexibility to the Exchange to list additional long term
options expiration series, expanding the number of SPY LEAPS offered on
the Exchange from six expiration months to ten expiration months.

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

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

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

    Because the foregoing proposed rule change does not: (i)
Significantly affect the protection of investors or the public
interest; (ii) impose any significant burden on competition; and (iii)
become operative for 30 days from the date on which it was filed, or
such shorter time as the Commission may designate, it has become
effective pursuant to Section 19(b)(3)(A) of the Act \12\ and Rule 19b-
4(f)(6) thereunder.\13\
---------------------------------------------------------------------------

    \12\ 15 U.S.C. 78s(b)(3)(A).
    \13\ 17 CFR 240.19b-4(f)(6). In addition, Rule 19b-4(f)(6)(iii)
requires a self-regulatory organization to give the Commission
written notice of its intent to file the proposed rule change, along
with a brief description and text of the proposed rule change, at
least five business days prior to the date of filing of the proposed
rule change, or such shorter time as designated by the Commission.
The Exchange has satisfied this requirement.
---------------------------------------------------------------------------

    A proposed rule change filed under Rule 19b-4(f)(6) \14\ normally
does not become operative prior to 30 days after the date of the
filing. However, pursuant to Rule 19b4(f)(6)(iii),\15\ the Commission
may designate a shorter time if such action is consistent with the
protection of investors and the public interest. The Exchange's
proposal would conform the Exchange's rules relating to the permitted
number of SPY ETF LEAPS expiration months to those of PHLX.\16\
Accordingly, the Commission believes that the proposal raises no new or
novel regulatory issues, and waiver of the 30-day operative delay is
consistent with the protection of investors and the public interest.
The Commission therefore waives the 30-day operative delay and
designates the proposal operative upon filing.\17\
---------------------------------------------------------------------------

    \14\ Id.
    \15\ 17 CFR 240.19b-4(f)(6)(iii).
    \16\ See supra, note 6.
    \17\ For purposes only of waiving the 30-day operative delay,
the Commission has also considered the proposed rule's impact on
efficiency, competition, and capital formation. See 15 U.S.C.
78c(f).
---------------------------------------------------------------------------

    At any time within 60 days of the filing of such proposed rule
change, the Commission summarily may temporarily suspend such rule
change if it appears to the Commission that such action is necessary or
appropriate in the public interest, for the protection of investors, or
otherwise in furtherance of the purposes of the Act.

IV. Solicitation of Comments

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

Electronic Comments

     Use the Commission's internet comment form (http://www.sec.gov/rules/sro.shtml); or
     Send an email to [email protected]. Please include
File Number SR-NYSEAMER-2018-51 on the subject line.

Paper Comments

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

All submissions should refer to File Number SR-NYSEAMER-2018-51. This
file number should be included on the subject line if email is used. To
help the Commission process and review your comments more efficiently,
please use only one method. The Commission will post all comments on
the Commission's internet website (http://www.sec.gov/rules/sro.shtml).
Copies of the submission, all subsequent amendments, all written
statements with respect to the proposed rule change that are filed with
the Commission, and all written communications relating to the proposed
rule change between the Commission and any person, other than those
that may be withheld from the public in accordance with the provisions
of 5 U.S.C. 552, will be available for website viewing and printing in
the Commission's Public Reference Room, 100 F Street, NE, Washington,
DC 20549 on official business days between the hours of 10:00 a.m. and
3:00 p.m. Copies of the filing also will be available for inspection
and copying at the principal

office of the Exchange. All comments received will be posted without
change. Persons submitting comments are cautioned that we do not redact
or edit personal identifying information from comment submissions. You
should submit only information that you wish to make available
publicly. All submissions should refer to File Number SR-NYSEAMER-2018-
51 and should be submitted on or before December 21, 2018.
---------------------------------------------------------------------------

    \18\ 17 CFR 200.30-3(a)(12).

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\18\
Eduardo A. Aleman,
Assistant Secretary.
[FR Doc. 2018-25996 Filed 11-29-18; 8:45 am]
 BILLING CODE 8011-01-P


Activities associated with the LT2ESWTR account for a burden of 0.16 million hours per year. The burden estimates include reporting associated with demonstrating compliance with installed treatment. PWS burden estimates also account for some of the burden associated with developing disinfection profiles and benchmarks. The initial and second rounds of monitoring for E. coli and/or Cryptosporidium were completed during a previous ICR period. PWSs conducting monitoring are also expected to complete a sampling plan and bin recalculation.

       Ground Water Rule

Activities associated with the GWR account for a burden of 0.83 million hours per year. For ground water systems providing 4-log treatment of viruses, the burden estimates include compliance monitoring to demonstrate treatment effectiveness and associated reporting, including reports of disinfection failure. In addition, burden estimates for developing corrective action plans are included. For ground water systems that do not provide 4-log treatment of viruses, PWS burden estimates also account for burden associated with conducting triggered source water monitoring if the system tests positive for total coliform in the distribution system under the TCR. PWS burden also includes the burden associated with sanitary surveys.

       Aircraft Drinking Water Rule

Activities associated with the ADWR account for an air carrier burden of 0.038 million hours per year. The assumptions used to calculate the ADWR burden are based largely on assumptions carried forward from the standalone ADWR ICR for the final rule, supplemented with industry consultations. Air carrier burden includes sampling, reporting associated with sampling and O&M activities, self-inspection, and public notice.

      6(a)(ii) Burden to Primacy Agencies

The annual burden for primacy agencies for May 1, 2019, through April 30, 2022, is estimated to be approximately 4.21 million hours. Exhibit 8 shows the annual burden hours on a rule-specific basis. Many other primacy agency activities, such as compliance assurance and data management, cannot be divided among specific rules and are included in the PWSS Program ICR as general primacy activities. The bases for burden estimates included in this ICR are detailed below.

       Surface Water Treatment Rule

Activities associated with the SWTR, IESWTR, and LT1ESWTR are modelled together and collectively account for 1.97 million annual burden hours per year. SWTR burden is associated with review of finished water turbidity monitoring results. Estimates for primacy agency burden for the SWTR are based on assumptions carried forward from the 2015 Microbial Rules ICR.

       Total Coliform Rule/Revised Total Coliform Rule

      Activities associated with the TCR/RTCR account for a burden of 1.09 million hours per year. RTCR burden includes responding to positive sample results; reviewing completed assessment forms required to be filed by PWSs; consulting with PWSs about their assessment form; and reviewing and coordinating with PWSs to determine the appropriate corrective action to be implemented and providing consultation. States must also submit information to SDWIS to assist both the EPA and states in tracking PWS compliance. The assumptions used to calculate RTCR burden are based largely on assumptions carried forward from the standalone RTCR ICR for the final rule. Note that burden related to RTCR PN is accounted for under the PN Rule in the 2019 PWSS Programmatic ICR.

       Interim Enhanced Surface Water Treatment Rule

Activities associated with the SWTR, IESWTR, and LT1ESWTR are modelled together and collectively account for 1.97 million annual burden hours per year. The assumptions used to calculate the IESWTR burden are based largely on assumptions carried forward from the 2015 Microbial Rules ICR. The burden includes estimates for review of turbidity monitoring results and exceptions reports. Additionally, states conduct CPEs as necessary and sanitary surveys for all surface water systems.

       Filter Backwash Recycling Rule

No burden is estimated for states for this rule. The burden associated with the recordkeeping requirements in this rule is assumed to be negligible.

       Long Term 1 Enhanced Surface Water Treatment Rule

Activities associated with the SWTR, IESWTR, and LT1ESWTR are modelled together and collectively account for 1.97 million annual burden hours per year. The assumptions used to calculate the LT1ESWTR burden are based largely on assumptions carried forward from the 2015 Microbial Rules ICR. The burden includes estimates for compliance tracking and recordkeeping of turbidity monitoring for small systems, and review of turbidity monitoring and turbidity exceptions reports. Additionally, states conduct turbidity exceptions reporting, which includes CPEs and annual exception reports for systems serving 10,000 or fewer people.

       Long Term 2 Enhanced Surface Water Treatment Rule

The annual state burden for the LT2ESWTR is expected to be 0.14 million hours. The assumptions used to calculate the LT2ESWTR burden are based largely on assumptions carried forward from the 2015 Microbial Rules ICR. State burden includes reviewing monitoring results and assisting with and reviewing bin classifications. States will also review disinfection profiles and benchmarks for systems that significantly change their disinfection practices.

       Ground Water Rule

The annual state burden for the GWR is expected to be 1.02 million hours. The assumptions used to calculate the GWR burden are based largely on assumptions carried forward from the standalone GWR ICR for the final rule, which was incorporated into the 2015 Microbial Rules ICR. The burden includes those activities associated with performing sanitary surveys, as well as burden to review initial compliance monitoring notification and compliance monitoring reports submitted by PWSs. In addition, states will ensure PWSs are complying with treatment technique requirements and any associated reporting requirements. For ground water systems that do not provide 4-log treatment of viruses, state burden estimates also account for review of triggered source water monitoring results. Lastly, the burden includes annual administrative activities such as recordkeeping, staff training, and technical assistance to PWSs.

       Aircraft Drinking Water Rule

The EPA is the primacy agency for the ADWR and has direct oversight for that rule. This burden is captured in PWSS Program ICR.

6(b)	Respondent Costs

      6(b)(i) Cost to Public Water Systems and Air Carriers

Exhibit 6 shows the annual costs for PWSs over the three-year ICR period. Annual costs are estimated at approximately $752.8 million, which consists of $524.6 million in labor costs,
$194.4 million in O&M costs, and $33.8 million in capital costs.

Exhibit 7 shows the annual costs for air carriers over the three-year ICR period. Annual costs are estimated at approximately $1.6 million, which consists of $0.89 million in labor costs, $0.7 million in O&M costs, and $0.004 million in capital costs.

PWS labor costs are based on the number of burden hours times the average hourly wage rate, including overhead. The average hourly wage rate for PWSs is the rate quoted by the BLS for Standard Occupational Classification (SOC) Code 19-4091, "Environmental Science and Protection Technician, Including Health." The quoted rate was $21.87 in 2018 dollars (see https://www.bls.gov/oes/current/oes_nat.htm#11-0000). In addition, 60 percent overhead was assumed, bringing the loaded rate to $34.99 in 2018 dollars. For air carriers, four labor rates are used and are all loaded by approximately 50 percent. All rates are from the BLS in 2018 dollars. The first labor rate is for code 11-3071, "Transportation Managers" at a loaded rate of $66.68. The second labor rate is for code 53-7061, "Equipment and Vehicle Cleaners" at a loaded rate of $16.85. Labor rates for code 53-6051, "Transportation Inspectors" and code 51-9061, "Inspectors, Testers, Sorters, Samplers, and Weighers" were also used at loaded rates of $52.02 and $43.84, respectively.

In addition to the labor costs, there are O&M costs associated with the SWTR, TCR/RTCR, IESWTR, LT1ESWTR, LT2ESWTR, GWR, and ADWR.

          SWTR O&M costs reflect non-labor costs associated with coliform analyses (unfiltered systems) and turbidity analyses (unfiltered and filtered systems). Coliform analysis O&M costs are based on analysis costs as listed in the GWR Economic Analysis. Turbidity analysis O&M costs are based on vendor quotes regarding calibration materials needed to perform turbidity analyses.
          TCR O&M costs reflect non-labor costs associated with coliform and E. coli analysis.
          RTCR O&M costs reflect net change non-labor costs associated with coliform analysis.
          IESWTR O&M costs reflect non-labor costs associated with turbidity analysis for individual filters. For the IESWTR, turbidity analysis costs are based on O&M cost equations for operating an integrated supervisory control and data acquisition (SCADA) system. These cost equations are carried forward from the IESWTR Regulatory Impact Analysis (RIA).
          LT1ESWTR O&M costs reflect non-labor costs associated with turbidity analysis for individual filters.
          LT2ESWTR O&M costs reflect non-labor costs associated with Cryptosporidium and E. coli laboratory analysis.
          GWR O&M costs reflect non-labor costs associated with compliance (disinfection) monitoring (maintenance costs, monthly reagents, charts and recorder pens) and E. coli analysis materials costs from the GWR Economic Analysis.

Additionally, there are capital costs associated with the SWTR, IESWTR, LT1ESWTR, GWR, and ADWR.

          SWTR, IESWTR and LT1ESWTR include capital costs for turbidity monitoring equipment. For these rules, capital costs are estimated based on vendor estimates and costing equations for in-line and bench-top turbidimeters, or SCADA systems needed to comply with turbidity monitoring requirements. Capital costs are distributed evenly across the replacement period for turbidity analysis equipment (estimated to be 7 years).
          The GWR includes capital costs for chlorine monitoring equipment such as chlorine analyzer, power cord and chart recorder).
          The ADWR includes a capital cost for refrigerators purchased by air carriers, which is distributed evenly across the replacement period for the equipment.

      6(b)(ii) Cost to Primacy Agencies

Exhibit 8 shows that the annual costs to primacy agencies are estimated at approximately $217.7 million. All costs incurred by primacy agencies are labor costs. Labor costs are based on the number of burden hours times the average hourly wage rate, including overhead. Labor rates in 2018 dollars are used and are loaded with a 60 percent overhead factor. A loaded labor rate of $59.71 per hour in 2018 dollars was used for state labor. The labor costs are based on best professional judgement and consultation results at $37.32 per hour.  Loaded, this rate comes to $59.71 per hour.

There are no O&M or capital costs for primacy agencies under this ICR.

                                   Exhibit 6
                          Annual PWS Burden and Cost
                        May 1, 2019  -  April 30, 2022
                                   Activity
                              Annual Burden Hours
                                     Cost

                            Annual Labor Cost ($K)
                           Annual O&M Cost ($K)
                           Annual Capital Cost ($K)
                            Total Annual Cost ($K)
SWTR/IESWTR/LT1
                                                                      6,506,443
                                                                      $323,564
                                                                       $67,525
                                                                       $33,741
                                                                      $424,830
TCR/RTCR
                                                                      6,378,237
                                                                       $165,785
                                                                      $111,403
                                                                            N/A
                                                                      $277,188
LT2ESWTR
                                                                        159,416
                                                                        $8,020
                                                                        $8,898
                                                                            N/A
                                                                       $16,918
GWR
                                                                        826,926
                                                                       $27,240
                                                                        $6,578
                                                                           $86
                                                                       $33,904
TOTAL
                                                                     13,871,021
                                                                       $524,609
                                                                       $194,405
                                                                        $33,826
                                                                       $752,840
Note: Detail may not add exactly to totals due to rounding.

                                   Exhibit 7
                      Annual Air Carrier Burden and Cost
                        May 1, 2019  -  April 30, 2022
                                   Activity
                              Annual Burden Hours
                                     Cost

                            Annual Labor Cost ($K)
                           Annual O&M Cost ($K)
                           Annual Capital Cost ($K)
                            Total Annual Cost ($K)
ADWR
                                                                         38,817
                                                                          $869
                                                                          $737
                                                                            $4
                                                                        $1,610
TOTAL
                                                                         38,817
                                                                           $869
                                                                           $737
                                                                             $4
                                                                         $1,610

                                   Exhibit 8
                     Annual Primacy Agency Burden and Cost
                        May 1, 2019  -  April 30, 2022
                                   Activity
                              Annual Burden Hours
                                     Cost

                            Annual Labor Cost ($K)
                           Annual O&M Cost ($K)
                           Annual Capital Cost ($K)
                            Total Annual Cost ($K)
SWTR/IESWTR/LT1
                                                                      1,972,571
                                                                        $97,138
                                                                            N/A
                                                                            N/A
                                                                       $97,138
TCR/RTCR
                                                                      1,086,858
                                                                        $55,211
                                                                            N/A
                                                                            N/A
                                                                       $55,211
LT2ESWTR
                                                                        141,151
                                                                         $7,405
                                                                            N/A
                                                                            N/A
                                                                        $7,405
GWR
                                                                      1,017,164
                                                                        $57,898
                                                                            N/A
                                                                            N/A
                                                                       $57,898
TOTAL
                                                                      4,217,744
                                                                       $217,652
                                                                            N/A
                                                                            N/A
                                                                      $217,652
Note: Detail may not add exactly to totals due to rounding.

6(c)	Agency Burden and Costs

Burden and costs to the federal government are incurred by the EPA's drinking water program at Headquarters and in the Regions to assist primacy agencies in implementing drinking water regulations. The EPA burden and costs for on-going general activities for all the EPA drinking water regulations are accounted for under the PWSS Program ICR. Burden and costs included in the PWSS Program ICR cover all cross-cutting (non-rule specific) regulatory activities associated with compliance tracking, regulatory enforcement, and rule development activities. There are no rule-specific activities expected for the EPA under any of the rules covered by this ICR, except for the EPA's oversight of air carriers for the ADWR. The EPA's burden is not included in the total burden for the ADWR. As explained above and in section 5(a), the EPA ADWR burden is accounted for in the PWSS Program ICR.

6(d)	Estimating Respondent Universe and Total Burden and Costs

Respondents for this ICR include PWSs, air carriers, and primacy agencies. The number of PWS respondents is 146,715,20 the number of active PWSs. All PWSs are subject to the TCR and RTCR but are not necessarily subject to each of the other information collection requirements contained in this ICR. Each rule associated with this ICR identifies the types of PWSs that are subject to that particular requirement. The number of air carrier respondents is 36. Note that air carriers are respondents for the ADWR only.

In addition to the PWS and air carrier respondents, this ICR assumes 57 primacy agencies (50 states plus the District of Columbia, U.S. territories, and the Navajo Nation).21 Therefore, the total number of respondents is 146,808. The total costs and burden for these respondents are summarized in Exhibits 6, 7, and 8.

6(e)	Bottom Line Burden Hours and Costs

The bottom line burden hours and costs for this ICR are presented in Exhibit 9. The total annual respondent burden associated with this ICR, which includes burden for PWSs, air carriers, and primacy agencies, is estimated to be approximately 18.1 million hours. The corresponding total annual respondent costs are estimated to be $972.1 million. The annual capital and O&M costs are approximately $229.0 million.

20 Source: SDWIS/FED Data from October 2018.
21 For several of these entities, primacy activities are actually implemented by the regional offices. However, as a simplifying assumption, they are included with the states for respondent calculations under this ICR.

                                   Exhibit 9
                      Bottom Line Annual Burden and Cost
                        May 1, 2019  -  April 30, 2022
Annual Number of Respondents
                                                                        146,808
                                      (=)

                                                                        146,715
                                      (+)
Existing PWSs

                                                                             36
                                      (+)
Existing Air Carriers

                                                                             57

Primacy agencies
Total Annual Responses
                                                                     29,249,289
                                      (=)

                                                                     27,073,725
                                      (+)
PWS responses (see Exhibit 6)

                                                                        133,803
                                      (+)
Air Carrier responses (see Exhibit 7)

                                                                      2,041,762

Primacy agency responses (see Exhibit 8)
Number of Responses per Respondent
                                                                          199.2
                                      (=)

                                                                     29,249,289
                                      (/)
Total annual responses from above

                                                                        146,808

Total number of respondents from above
Total Annual Respondent Hours
                                                                     18,127,581
                                      (=)

                                                                     13,871,021
                                      (+)
PWS hours (see Exhibit 6)

                                                                         38,817
                                      (+)
Air Carrier hours (see Exhibit 7)

                                                                      4,217,744

Primacy agency hours (see Exhibit 8)

Hours per Response
                                                                           0.62
                                      (=)

                                                                     18,127,581
                                      (/)

Total annual respondent hours from above

                                                                     29,249,289

Total annual responses from above

Annual O&M and Capital Cost ($K)[1]
                                                                       $228,972
                                      (=)

                                                                       $194,405
                                      (+)
Total PWS O&M costs (see Exhibit 6)

                                                                        $33,826
                                      (+)
Total PWS capital costs (see Exhibit 6)

                                                                           $737
                                      (+)
Total Air Carrier O&M costs (see Exhibit 7)

                                                                             $4

Total Air Carrier capital costs (see Exhibit 7)

Total Annual Respondent Cost ($K)
                                                                       $972,102
                                      (=)

                                                                       $752,840
                                      (+)
For PWSs (see Exhibit 6)

                                                                         $1,610
                                      (+)
For Air Carriers (see Exhibit 7)

                                                                       $217,652

For primacy agencies (see Exhibit 8)

Total Annual Hours (resp. plus Agency)
                                                                     18,127,581

                                      (=)

                                                                     18,127,581
                                      (+)
Total annual respondent hours from above

                                                                              0

Total EPA hours
Total Annual Cost ($K) (resp. plus Agency)
                                                                       $972,102
                                      (=)

                                                                       $972,102
                                      (+)
Total annual respondent cost from above

                                                                             $0

Total EPA cost

Note: Detail may not add exactly to totals due to rounding.

[1] No Primacy Agency capital or O&M costs are incurred, see Exhibit 8.

6(f)	Reasons for Change in Burden

There is an overall increase of 3,443,983 hours in the total estimated respondent burden compared with the ICR currently approved by OMB. This increase is mostly due to an increase of 1,585,657 hours under the RTCR. In exhibit 12, the reasons for this increase are explained in detail.
Section 6(f) presents the change in burden and explains the reasons for the change in burden.
Exhibit 10 summarizes how each of these changes affects the overall burden inventory for the Microbial Rules ICR.

                                  Exhibit 10
                      Summary of Changes in Annual Burden
             (Includes PWS, Air Carrier and Primacy Agency Burden)
                                Type of Change
                                Burden (hours)
                                 Running Total
                                    Comment
Burden Estimated in the 2015 Microbial Rules ICR
                                  14,693,597
                                  14,693,597
This burden serves as the baseline for the 2018 Microbial Rules ICR.
Restructuring Adjustments - see Section 6(f)(i)
                                       0
                                  14,683,598
No restructuring occurred in this ICR.
Other Adjustments to Burden - see Section 6(f)(ii)
                                   3,443,983
                                  18,127,581
Burden for which EPA seeks approval in this ICR.
Notes:
(1) Detail may not add exactly to totals due to rounding.
(2) Burden requested in the 2015 Microbial Rules ICR (14,683,598) hours is used as a starting point for the 2018 Microbial Rules ICR.

6(f)(i) Restructuring Adjustments

No restructuring adjustments are associated with this ICR. These adjustments are discussed below and summarized in Exhibit 11.

                                  Exhibit 11
           Restructuring Adjustments to the Annual Burden Inventory
                          for the Microbial Rules ICR
             (Includes PWS, Air Carrier and Primacy Agency Burden)
                                    Action
                              Annual Burden Hours
                               Brief Explanation
N/A
14,693,597
Inventory for the 2015 Microbial Rules ICR[2] carried forward as the baseline for 2018 Microbial Rules ICR (includes PWS, state, and air carrier burden).
Add
0
No Restructuring occurred in this ICR.
Total
14,693,597
Current opening inventory for the 2018 Microbial Rules ICR (based on current burden inventories.)
Notes:
(1) Detail may not add exactly to totals due to rounding.
(2) Burden requested in the 2015 Microbial Rules ICR (14,638,598) hours is used as a starting point for the 2018 Microbial Rules ICR.

6(f)(ii) Other Burden Adjustments

Changes in calculated burden are a result of updating relevant baseline information for each rule with the most current and accurate PWS inventory information available and updating to 2018 labor rates. Where appropriate, estimated violation, waiver, and other associated rates have also been updated to reflect current information on rule compliance. Burden has also changed as a result of consultation with water industry representatives and due to changes in rule requirements, notably full implementation of the RTCR.

      Exhibits 12-14 summarize reasons for these changes and quantify the changes by rule. Burden adjustments associated with PWS activities resulted in a burden increase of 1,843,781 hours and are detailed in Exhibit 12. Burden adjustments associated with air carrier activities resulted in a burden increase of 4,477 hours and are detailed in Exhibit 13. Burden adjustments for primacy agencies result in an increase of 1,585,727 hours per year, as shown in Exhibit 14.

                                  Exhibit 12
             Adjustments to PWS Burden from Previous ICR Estimates
                                   Activity
                          2015 Annual Burden Estimate
                          2018 Annual Burden Estimate
                               Change in Burden
                          Reason for Change in Burden

SWTR (including IESWTR and LT1ESWTR)
                                                                     6,229,174
                                                                     6,506,443
                                                                        277,269
The increase in burden for the SWTR, which includes the IESWTR and LT1SWTR, can be attributed to the increase in the complexity of performing a sanitary survey at surface water systems that are serving an increased population. SDWIS data shows that large surface water systems are serving 3 million people more than in the last reported ICR cycle. is due to increased burden associated with performing sanitary surveys as the population served by large surface water systems increased by 3 million.
TCR/RTCR
                                                                     4,792,580
                                                                     6,378,237
                                                                     1,585,657
The 3-year period covered by the Microbial Rules ICR includes no burden for TCR activities and full implementation of RTCR activities. The increase burden is primarily due to additional routine and repeat monitoring.
LT2ESWTR
                                                                       144,525
                                                                       159,416
                                                                        14,891
In addition to changes in rule-required activities, the change in burden is attributable to the use of updated system population, as the population served by large surface water systems increased by 3 million.
GWR
                                                                       860,961
                                                                       826,926
                                                                       (34,035)
The decrease in burden is attributable to a decrease in the number of ground water systems by 3,500.
TOTAL
                                                                    12,027,240
                                                                    13,871,022
                                                                     1,843,782
Adjusted PWS Burden.
Notes:
 Detail may not add exactly to total due to independent rounding.
 PWS burden adjustments for all rules in Exhibit 12 take into account burden reductions associated with the anticipated transition from the current SDWIS (the existing compliance database of record) to SDWIS Prime, a cloud-based reporting system.

                                  Exhibit 13
         Adjustments to Air Carrier Burden from Previous ICR Estimates
                                   Activity
                    Previous Annual Burden Estimate (Hours)
                      2018 Annual Burden Estimate (Hours)
                               Change in Burden
                          Reason for Change in Burden

                                     ADWR
                                    34,340
                                    38,817
                                     4,477
The change in burden reflects airline industry consultation results, which increased estimated burden for, compliance audits, inventory changes, sampling and sample analysis.
                                     TOTAL
                                    34,340
                                    38,817
                                     4,477
Adjusted Air Carrier Burden

                                  Exhibit 14
       Adjustments to Primacy Agency Burden from Previous ICR Estimates
                                   Activity
                      2015 Annual Burden Estimate (Hours)
                      2018 Annual Burden Estimate (Hours)
                               Change in Burden
                          Reason for Change in Burden

SWTR (including IESWTR and LT1ESWTR)
                                                                     1,344,997
                                                                     1,972,571
                                                                       627,574
The increase in burden for SWTR (including IESWTR and LT1SWTR) is due to increased burden associated with performing sanitary surveys as the population served by large surface water systems increased by 3 million.
TCR/RTCR
                                                                       448,931
                                                                     1,086,858
                                                                       637,927
The 3-year period covered by the Microbial Rules ICR includes no burden for TCR activities and full implementation of RTCR activities. The increase burden is primarily due to performing Level 1 and Level 2 assessments; and performing review of additional monitoring and corrective actions.
LT2ESWTR
                                                                       110,317
                                                                       141,151
                                                                        30,834
In addition to changes in rule-required activities, the change in burden is attributable to the use of updated system population, as the population served by large surface water systems increased by 3 million.
GWR
                                                                       727,772
                                                                     1,017,164
                                                                       289,392
The increase in burden is due to an increase in burden associated with state recordkeeping, compliance tracking, and significant deficiency and corrective action reporting.
TOTAL
                                                                     2,632,017
                                                                     4,217,744
                                                                     1,585,727
Adjusted Primacy Agency Burden
Notes:
 Detail may not add exactly to total due to independent rounding.
 Primacy agency burden adjustments associated with the anticipated transition from the current SDWIS (the existing compliance database of record) to SDWIS Prime (a cloud-based reporting system) are captured in the PWSS ICR.

Exhibit 15 shows the effects of these adjustments on the bottom line burden. Adding 1,843,782 hours to account for adjustments to PWS burden, 4,477 hours to account for adjustments to air carrier burden, and 1,585,727 hours to account for adjustments to primacy agency burden yields 18,127,583 hours.

                                  Exhibit 15
   Adjustments to Annual Burden Carried Forward from Previous ICR Estimates
             (Includes PWS, Air Carrier and Primacy Agency Burden)
                                    Action
                              Annual Burden Hours
                               Brief Explanation
None
14,693,597
2015 Microbial Rules ICR inventory based on current burden inventories (see Exhibit 11).
Add
1,843,782
Adjustment to the PWS burden carried forward from previous ICRs (see Exhibit 12).
Add
4,477
Adjustment to Air Carrier burden carried forward from previous ICR (see Exhibit 13)
Add
1,585,727
Adjustment to the primacy agency burden carried forward from previous ICRs (see Exhibit 14).
Total
18,127,583
Hours requested in 2018 Microbial Rules ICR (see Exhibit 10).
Note: Detail may not add exactly to totals due to rounding.

6(g)	Burden Statement

The public reporting burden for collections included in this ICR is detailed in Exhibit 15 above. The annual respondent burden is estimated to average approximately 18.13 million hours, of which 13.87 million hours are attributable to PWSs, 0.0388 million hours to air carriers, and 4.22 million hours to primacy agencies (numbers may not add due to rounding). These estimates include time for gathering information as well as developing and maintaining records.

Burden means the total time, effort, or financial resources expended by people to generate, maintain, retain, disclose, or provide information to or for a federal agency. This includes the time needed to review instructions; develop, acquire, install, and utilize technology, and systems for the purposes of collecting, validating, and verifying information; processing and maintaining information and disclosing and providing information; adjust the existing ways to comply with any previously applicable instructions and requirements; train personnel to be able to respond to a collection of information; search data sources; complete and review the collection of information; and transmit or otherwise disclose the information. An agency may not conduct or sponsor, and a person is not required to respond to, a request for information collection unless it displays a currently valid OMB control number. The OMB control numbers for the EPA's regulations are listed in 40 CFR Part 9 and 48 CFR Part 15.

To facilitate comment on the EPA's need for this information, the accuracy of the provided burden estimates, and any suggested methods for minimizing respondent burden, including the use of automated collection techniques, the EPA has established a public docket for this ICR under Docket ID Number EPA-HQ-OW-2011-0442, which is available for online viewing at www.regulations.gov, or in person viewing at the Water Docket in the EPA Docket Center (EPA/DC), WJC West, Room 3334, 1301 Constitution Ave., NW, Washington, DC. The EPA Docket Center Public Reading Room is open from 8:30 a.m. to 4:30 p.m., Monday through Friday, excluding legal holidays. The telephone number for the Reading Room is (202) 566- 1744, and the telephone number for the Water Docket is<PHONE_NUMBER>. An electronic version of the public docket is available at www.regulations.gov. This site can be used to submit or view public comments, to access the index listing of the contents of the public docket, and to access those documents in the public docket that are available electronically. When in the system, select "search," then key in the Docket ID Number identified above. Comments can also be sent to the Office of Information and Regulatory Affairs, Office of Management and Budget, 725 17th Street, NW, Washington, DC 20503, Attention: Desk Officer for EPA. Please include the EPA Docket ID Number (EPA-HQ-OW-2011-0442) and the OMB Control Number 2040-0205 in any correspondence.