[Federal Register: December 20, 2006 (Volume 71, Number 244)]
[Notices]
[Page 76325-76330]
[DOCID:fr20de06-89]

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ENVIRONMENTAL PROTECTION AGENCY

 [EPA-HQ-OPPT-2006-0794; FRL-8109-1]

Review of Chemical Proposals for Addition under the Stockholm
Convention on Persistent Organic Pollutants; Solicitation of
Information for the Development of Risk Management Evaluations and Risk
Profiles

AGENCY: Environmental Protection Agency (EPA).

ACTION: Notice.

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SUMMARY: This notice solicits information relevant to the development
of risk management evaluations pursuant to the Stockholm Convention on
Persistent Organic Pollutants (POPs) for the following chemicals which
are being reviewed for possible addition to the Stockholm Convention's
(hereafter Convention) Annexes A, B, and/or C as POPs:
Hexabromobiphenyl (HBB) (CAS No. 36355-01-8); pentabromodiphenyl ether
(PeBDE) (CAS No. 32534-81-9); chlordecone (CAS No. 143-50-0); lindane
(CAS No. 58-89-9); and perfluorooctane sulfonate (PFOS). Additionally,
this notice solicits information relevant to the development of risk
profiles pursuant to the Convention for the following chemicals which
are also being reviewed for possible addition to the Convention's
Annexes A, B, and/or C as POPs: Commercial octabromodiphenyl ether
(octaBDE) (CAS No. 32536-52-0); pentachlorobenzene (PeCB) (CAS No. 608-
93-5); short-chained chlorinated paraffins (SCCP) (CAS No. 85535-84-8);
alpha-hexachlorocylcohexane (alpha-HCH) (CAS No. 319-84-6); and beta-
hexachlorocyclohexane (beta-HCH) (CAS No. 319-85-7). EPA is issuing
this notice to alert interested and potentially affected persons of
these proposals and the status of their review under the Convention,
and to encourage such persons to provide information relevant to the
development of risk profiles and risk management evaluations under the
Convention.

DATES: Comments must be received on or before January 4, 2007.

ADDRESSES: Submit your comments, identified by docket identification
(ID) number EPA-HQ-OPPT-2006-0794, by one of the following methods.
      Federal eRulemaking Portal: http://www.regulations.gov.

Follow the on-line instructions for submitting comments.
     Mail: Document Control Office (7407M), Office of Pollution
Prevention and Toxics (OPPT), Environmental Protection Agency, 1200
Pennsylvania Ave., NW., Washington, DC 20460-0001.
     Hand Delivery: OPPT Document Control Office (DCO), EPA
East Bldg., Rm. 6428, 1201 Constitution Ave., NW., Washington, DC.
Attention: Docket ID Number EPA-HQ-OPPT-2006-0794. The DCO is open from
8 a.m. to 4 p.m., Monday through Friday, excluding legal holidays. The
telephone number for the DCO is<PHONE_NUMBER>. Such deliveries are
only accepted during the Docket's normal hours of operation, and
special arrangements should be made for deliveries of boxed
information.
    Instructions: Direct your comments to docket ID number EPA-HQ-OPPT-
2006-0794. EPA's policy is that all comments received will be included
in the public docket without change and may be made available on-line
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 regulations.gov or e-
mail. The regulations.gov website is an ``anonymous access'' systems,
which

means EPA will not know your identity or contact information unless you
provide it in the body of your comment. If you send an e-mail comment
directly to EPA without going through regulations.gov, your e-mail
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, 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 EPA cannot read your
comment due to technical difficulties and cannot contact you for
clarification, 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
regulations.gov index. Although listed in the index, some information
is not publicly available, e.g., CBI or other information whose
disclosure is restricted by statute. Certain other material, such as
copyrighted material, will be publicly available only in hard copy.
Publicly available docket materials are available electronically at
http://www.regulations.gov, or, if only available in hard copy, at the

OPPT Docket, EPA Docket Center (EPA/DC). The EPA/DC suffered structural
damage due to flooding in June 2006. Although the EPA/DC is continuing
operations, there will be temporary changes to the EPA/DC during the
clean-up. The EPA/DC Public Reading Room, which was temporarily closed
due to flooding, has been relocated in the EPA Headquarters Library,
Infoterra Room (Rm. 3334), EPA West Bldg., 1301 Constitution Ave., NW.,
Washington, DC. The EPA/DC Public Reading Room is open from 8:30 a.m.
to 4:30 p.m., Monday through Friday, excluding legal holidays. The
telephone number of the EPA/DC Public Reading Room is<PHONE_NUMBER>,
and the telephone number for the OPPT Docket is<PHONE_NUMBER>. EPA
visitors are required to show photographic identification and sign the
EPA visitor log. Visitors to the EPA/DC Public Reading Room will be
provided with an EPA/DC badge that must be visible at all times while
in the EPA Building and returned to the guard upon departure. In
addition, security personnel will escort visitors to and from the new
EPA/DC Public Reading Room location. Up-to-date information about the
EPA/DC is on the EPA website at http://www.epa.gov/epahome/dockets.htm.

FOR FURTHER INFORMATION CONTACT: For general information contact: Colby
Linter, Regulatory Coordinator, Environmental Assistance Division
(7408M), Office of Pollution Prevention and Toxics, Environmental
Protection Agency, 1200 Pennsylvania Ave., NW., Washington, DC 20460-
0001; telephone number:<PHONE_NUMBER>; e-mail address:
<EMAIL_ADDRESS>
    For technical information contact: Ellie Clark, Chemical Control
Division (7405M), Office Pollution Prevention and Toxics, Environmental
Protection Agency, 1200 Pennsylvania Ave., NW., Washington, DC 20460-
0001; telephone number:<PHONE_NUMBER>; e-mail address:
<EMAIL_ADDRESS>

SUPPLEMENTARY INFORMATION:

I. General Information

A. Does this Action Apply to Me?

    This action is directed to the public in general, and may be of
particular interest to chemical substance and pesticide manufacturers,
importers, and processors. Since other entities may also be interested,
the Agency has not attempted to describe all the specific entities that
may be affected by this action. If you have any questions regarding the
applicability of this action to a particular entity, consult the
technical person listed under FOR FURTHER INFORMATION CONTACT.

B. What Should I Consider as I Prepare My Comments for EPA?

    1. Submitting CBI. Do not submit this information to EPA through
regulations.gov or e-mail. Clearly mark the part or all of the
information that you claim to be CBI. For CBI information in a disk or
CD ROM that you mail to EPA, mark the outside of the disk or CD ROM as
CBI and then identify electronically within the disk or CD ROM the
specific information that is claimed CBI. In addition to one complete
version of the comment that includes information claimed as CBI, a copy
of the comment that does not contain the information claimed as CBI
must be submitted for inclusion in the public docket. Information so
marked will not be disclosed except in accordance with procedures set
forth in 40 CFR part 2.
    2. Procedures for preparing confidential information related to
pesticides and industrial chemicals are in Unit I.B.1. Send
confidential information about industrial chemicals using the
submission procedures under ADDRESSES. Send confidential information
about pesticides to: Janice K. Jensen, Office of Pesticide Programs
(7506P), Environmental Protection, 1200 Pennsylvania Ave., NW.,
Washington, DC 20460-0001 or hand delivered to: Janice K. Jensen,
Government and International Services Branch, Office of Pesticide
Programs, Potomac Yard South, 2777 S. Crystal Dr., Rm. S11315,
Arlington, VA 22202.
    3. Commenters should note that none of the CBI information received
by EPA will be forwarded to the Convention Secretariat. Information
from submissions containing CBI may be considered by EPA in the
development of the U.S. response. If commenters wish EPA to consider
incorporating information in documents with CBI as part of the U.S.
response, commenters should provide a sanitized copy of the documents.
Sanitized copies must be complete except that all information claimed
as CBI is deleted. EPA will place sanitized copies in the public
docket.
    4. Tips for preparing your comments. When submitting comments,
remember to:
    i. Identify the document by docket ID number and other identifying
information (subject heading, Federal Register date and page number).
     ii. Follow directions. The Agency may ask you to respond to
specific questions or organize comments by referencing a Code of
Federal Regulations (CFR) part or section number.
    iii. Explain why you agree or disagree; suggest alternatives and
substitute language for your requested changes.
     iv. Describe any assumptions and provide any technical information
and/or data that you used.
    v. If you estimate potential costs or burdens, explain how you
arrived at the estimate.
    vi. Provide specific examples to illustrate your concerns, and
suggested alternatives.
    vii. Explain your views as clearly as possible, avoiding the use of
profanity or personal threats.
     viii. Make sure to submit your comments by the comment period
deadline identified.

 II. Background

A. What Action is the Agency Taking?

     The Agency is issuing this notice to increase awareness of the
proposals concerning the chemicals subject to this notice, and to
provide interested persons with an opportunity to provide relevant
information to EPA for its consideration in the development of the
United States' submissions relevant to Convention Annexes E and F for
the chemical substances under review at this time for possible addition
to Annexes A, B, and /or C of the

Convention. On November 27, 2006, and December 8, 2006, the Convention
Secretariat (hereafter Secretariat) invited Parties and observers to
submit to the POPs Review Committee (POPRC) (via the Secretariat)
information specified in Annex F and Annex E (at http://www.pops.int/documents/meetings/poprc/poprc.htm
) of the Convention, and other

relevant information. The United States is an observer. EPA is
requesting that any information be submitted to EPA on or before
January 4, 2007. The United States intends to make a submission by
February 2, 2007, to meet the Secretariat's deadline. In addition, EPA
will consider the information during its review of the draft risk
management evaluations and risk profiles developed by ad hoc working
groups established under the POPRC in the coming months. The chemical
listing process is discussed in more detail in Unit II.B. Individuals
or organizations that wish to submit information directly to the POPRC
via the Secretariat should work through their respective observer
organizations, if any.

B. What is the Convention's Chemical Listing Process?

    The Convention is a multilateral environmental agreement designed
to protect human health and the environment from POPs. The United
States signed the Convention in May of 2001 but has not yet ratified it
(and thus is not a Party to the Convention). The United States
currently participates as an observer in Convention activities. The
Convention, which went into force in May of 2004, requires the Parties
to reduce or eliminate the production and use of a number of
intentionally produced POPs used as pesticides or industrial chemicals.
The Convention also calls upon Parties to take certain specified
measures to reduce releases of certain unintentionally produced POPs
with the goal of their continuing minimization and, where feasible,
ultimate elimination. The Convention also imposes controls on the
handling of POPs wastes and on trade in POPs chemicals.
    In addition, there are specific science-based procedures that
Parties to the Convention must use when considering the addition of new
chemicals to the Convention's Annexes. Article 8 of the Convention
provides the process that must be followed for listing new chemicals in
Annexes A, B, and/or C, and is described in summary below with certain
associated implementation procedures being followed by POPRC:
    1. A Party to the Convention may submit a proposal to the
Secretariat for listing a chemical in Annexes A, B, and/or C. The
proposal shall contain the information specified in Annex D of the
Convention (``Information Requirements and Screening Criteria'').
    2. The Secretariat verifies that the proposal contains the
information specified in Annex D, and if the Secretariat is satisfied,
the proposal is forwarded to POPRC.
    3. POPRC examines the proposal, applies the Annex D screening
criteria, and determines whether the screening criteria have been
fulfilled.
     4. If POPRC is satisfied that the criteria have been fulfilled,
POPRC, through the Secretariat, will make the proposal and POPRC's
evaluation available to all Parties and observers and invite them to
submit the information specified in Annex E (``Information Requirements
for the Risk Profiles'').
     5. Draft risk profiles are prepared by ad hoc working groups under
POPRC in accordance with Annex E for consideration by POPRC and made
available to all Parties and observers to collect technical comments.
     6. POPRC reviews the draft risk profile and technical comments,
completes the risk profile, and determines whether the chemical is
likely, as a result of its long-range environmental transport, to lead
to significant adverse human health and/or environmental effects, such
that global action is warranted.
     7. If POPRC determines that action is warranted, then POPRC,
through the Secretariat, will ask Parties and observers to provide
information specified in Annex F (``Information on Socio-Economic
Considerations'') to aid in the development of risk management
evaluations (that include an analysis of possible control measures).
     8. Draft risk management evaluations are prepared by ad hoc
working groups under POPRC in accordance with Annex F for consideration
by POPRC and made available to Parties and observers to collect
technical comments.
     9. POPRC reviews the draft risk management evaluation prepared by
the ad hoc working group and completes it.
     10. On the basis of the risk profile and the risk management
evaluation for each chemical, POPRC recommends whether the chemical
should be considered by the Conference of the Parties (COP) for listing
in Annexes A, B, and/or C. (The type(s) of control measure(s) that
might be introduced for a specific chemical would dictate whether the
chemical would be listed in Annex A (elimination), Annex B
(restriction), and/or Annex C (unintentional production) of the
Convention.).
    11. COP makes the final decision on listing the chemical in Annexes
A, B, and/or C.
     EPA anticipates issuing Federal Register notices soliciting
information, when appropriate, during the listing process.

C. What Information is Being Requested for Risk Management Evaluations?

    For the chemicals currently at the risk management stage (see Unit
II.G.), EPA is seeking information that is supplementary to the
information provided during previous stages in the review process
(i.e., information relevant to Annexes D and E; the proposals,
evaluations and risk profiles, as well as the Secretariat's letter
soliciting information, are available at the Convention website (http://www.pops.int/documents/meetings/poprc/poprc.htm
)). In addition, POPRC

identified specific areas where information and data relevant to the
chemicals under consideration would be particularly useful for the
future process. This information is discussed in Unit II.G.
    When providing information, keep in mind that the possible control
measures under the Convention include, among others, the prohibition or
severe restriction of production and use. Therefore, the provision of
accurate, high quality information, as described in this notice and in
the Secretariat letter soliciting information, is a priority for
POPRC's evaluation.
     Commenters are invited to provide information they deem relevant
to POPRC's development of the risk management evaluation, such as that
specified in Annex F of the Convention and other related information,
as described below and in Unit II.G. Provide summary information and
relevant references for:
    1. Efficacy and efficiency of possible control measures in meeting
risk reduction goals:
     i. Describe possible control measures.
     ii. Technical feasibility.
     iii. Costs, including environmental and health costs.
     2. Alternatives (products and processes):
     i. Describe alternatives.
     ii. Technical feasibility.
    iii. Costs, including environmental and health costs.
     iv. Efficacy.
     v. Risk.
     vi. Availability.
     vii. Accessibility.
     3. Positive and/or negative impacts on society of implementing
possible control measures:
     i. Health, including public, environmental, and occupational
health.

     ii. Agriculture, including aquaculture and forestry.
     iii. Biota (biodiversity).
     iv. Economic aspects.
     v. Movement towards sustainable development.
    vi. Social costs.
     4. Waste and disposal implications (in particular, obsolete stocks
of pesticides and clean-up of contaminated sites):
     i. Technical feasibility.
     ii. Cost.
     5. Access to information and public education.
     6. Status of control and monitoring capacity.
     7. Any national or regional control actions taken, including
information on alternatives, and other relevant risk management
information.
     8. Other relevant information for the risk management evaluation.
     9. Other information requested by POPRC.
    POPRC would also like to collect more Annex E information and has
requested additional or updated information for the following:
     Production data, including quantity and location.
     Uses.
     Releases, such as discharges, losses, and emissions.

 D. What information is Being Requested for Risk Profiles?

    For chemicals at the risk profile stage (see Unit II.H.), EPA is
seeking information that is supplementary to the information in the
proposals on the chemicals and POPRC's evaluation of the proposals
against the Annex D screening criteria. The proposals and the
evaluations, as well as the Secretariat's letter inviting Parties and
observers to provide information, are available at the Convention
website: http://www.pops.int/documents/meetings/poprc/poprc.htm. In

addition, POPRC has identified some additional types of information on
SCCP that would be useful in the development of the risk profiles. That
information is discussed in Unit II.H. and can also be found in the
Secretariat's Letter of Invitation.
    EPA has previously solicited information through the Lindane
Reregistration Eligibility Document (RED), lindane and other HCH
isomers risk assessments, and through its participation in the draft
North American Regional Action Plan (NARAP) on Lindane and other
hexachlorocyclohexane isomers. Consequently, EPA is only interested in
any new information on alpha- and beta-hexachlorocyclohexane that may
have been developed since those activities.
    Commenters are invited to provide information they deem relevant to
POPRC's development of risk profiles, such as that specified in Annex E
of the Convention and other related information, as described below and
in Unit II.H.:
    1. Sources, including as appropriate:
     i. Production data, including quantity and location.
     ii. Uses.
    iii. Releases, such as discharges, losses, and emissions.
    2. Hazard assessment for the endpoint or endpoints of concern (as
identified in the proposals and/or POPRC's evaluation of the proposals
against the screening criteria of Annex D), including a consideration
of toxicological interactions involving multiple chemicals.
     3. Environmental fate, including data and information on the
chemical and physical properties of a chemical as well as its
persistence and how they are linked to its environmental transport,
transfer within and between environmental compartments, degradation,
and transformation to other chemicals.
    4. Monitoring data.
     5. Exposure in local areas and, in particular, as a result of
long-range environmental transport, and including information regarding
bio-availability.

 E. How Should the Information be Provided?

    1. EPA requests that commenters, where possible, use the
questionnaire developed by POPRC to provide their information. The
questionnaire with explanatory notes can be found on the Convention
website at: http://www.pops.int/documents/meetings/poprc/poprc.htm.

Information does not need to be provided for each item in the
questionnaire. The explanatory notes under each item have been
developed by POPRC and are meant to guide and assist the providers of
information. Commenters are requested to include clear and precise
references for all sources. Without the exact source of the
information, POPRC will not be able to use the information. If the
information is not readily available in the public literature,
commenters may consider attaching the original source of the
information to their submission. Commenters should indicate clearly on
the questionnaire which chemical the information concerns and use one
questionnaire per chemical. If for some reason the questionnaire does
not provide an adequate mechanism for a type of comment or information,
EPA requests that such comment or information be submitted using a
similar format.
    2. Although POPRC has developed provisional arrangements for the
treatment of confidential information, as mentioned in Unit I.B.3. No
CBI will be forwarded to the Secretariat. EPA will, however, consider
such information in development of the U.S. response to the
Secretariat. Instructions on where and how to submit comments and
confidential information can be found in Unit I.B.2. and 3. and
ADDRESSES.
    3. Anyone wishing to have an opportunity to communicate with EPA
orally on this issue should consult the technical person listed under
FOR FURTHER INFORMATION CONTACT.

F. What is the Agency's Authority for Taking this Action?

    EPA is requesting comment and information under the authority of
section 102(2)(F) of the National Environmental Policy Act, 42 U.S.C.
4321 et seq., which directs all agencies of the U.S. Federal Government
to ``[r]ecognize the worldwide and long-range character of
environmental problems and, where consistent with the foreign policy of
the United States, lend appropriate support to initiatives, resolutions
and programs designed to maximize cooperation in anticipating and
preventing a decline in the quality of mankind's world environment.''
Section 17(d) of the Federal Insecticide, Fungicide and Rodenticide Act
(FIFRA) also provides additional support in that it directs the
Administrator of EPA ``in cooperation with the Department of State and
any other appropriate Federal agency, [to] participate and cooperate in
any international efforts to develop improved pesticide research and
regulations.''

G. What is the Status of Chemicals at the Risk Management Stage?

    The first meeting of POPRC, took place November 7-11, 2005, in
Geneva, Switzerland. Information about the Convention and the November
POPRC meeting is available at the Convention website (http://www.pops.int and http://www.pops.int/documents/meetings/poprc/

poprc.htm), respectively. POPRC had before it five proposals which were
submitted for its consideration by Parties to the Convention, for
addition to Annexes A, B, and/or C of the Convention. Three of the five
proposals were for industrial chemicals:
     Pentabromodiphenyl ether.
     Hexabromobiphenyl.
     Perfluorooctane sulfonate.
    Two of the five proposals were for pesticides:

     Lindane.
     Chlordecone.
    In accordance with the procedure laid down in Article 8 of the
Convention and discussed in Unit II.B., during the November meeting,
POPRC examined the proposals and applied the screening criteria in
Annex D of the Convention. With regard to all five chemicals, POPRC
decided that it was satisfied that the screening criteria had been
fulfilled and that further work should therefore be undertaken to
develop risk profiles. Therefore, POPRC, through the Secretariat,
requested that Parties and observers provide information relevant to
POPRC's development of risk profiles for the five chemicals listed in
this unit. In the Federal Register notice of January 30, 2006 (71 FR
4913) (FRL-7758-9), EPA invited commenters to provide EPA with
information for the risk profiles.
    The second meeting of POPRC took place November 6-10, 2006 in
Geneva, Switzerland. EPA provided notice of this meeting and the
POPRC's intention to consider risk profiles for the five chemicals in
the Federal Register notice of October 6, 2006 (71 FR 59108) (FRL-8099-
2). Information about the November POPRC meeting is available at the
Convention website http://www.pops.int/documents/meetings/poprc/poprc.htm
.

    In accordance with the procedure laid down in Article 8 of the
Convention and discussed in Unit II.B., during the November 2006
meeting POPRC examined the risk profiles with respect to the
requirements in Annex E of the Convention. With regard to all five
chemicals, POPRC decided that, based on the risk profiles, these
chemicals were likely, as a result of their long-range environmental
transport, to lead to significant adverse human health and
environmental effects such that global action is warranted.
Additionally, in accordance with paragraph 7(a) of Article 8 of the
Convention, POPRC invited Parties and observers to submit to the
Secretariat the information specified in Annex F to the Convention by
February 2, 2007.
    The next step in the process is for POPRC to prepare a risk
management evaluation that includes an analysis of possible control
measures, which as noted in Annex F (``Information on Socio-Economic
Considerations'') should encompass ``the full range of options,
including management and elimination.'' The risk management evaluation
shall further evaluate and elaborate on the information referred to in
Annexes D and E. Relevant information should include socio-economic
considerations associated with possible control measures (see Unit
II.C.) and should reflect due regard for the differing capabilities and
conditions among the Parties. A draft outline of the risk management
evaluation has been developed by POPRC, available in Annex IV of UNEP/
POPS/POPRC.2/6, which can be found at http://www.pops.int/documents/meetings/poprc/poprc.htm.
 The risk management evaluation will take into

account information to be submitted by Parties and observers as
requested by POPRC through the Secretariat (a current step). Draft risk
management evaluations developed by ad hoc working groups established
under POPRC will be considered by the full POPRC and proceed as
discussed in Unit II.B.
    In addition to the Annex F information discussed in Unit II.C.,
POPRC identified the following specific areas where information and
data relevant to the chemicals under consideration would be
particularly useful for the future process.
    1. Perfluorooctane sulfonate. POPRC is seeking data related to all
potential PFOS precursors under the headings listed in Annex F. For
purposes of this request, PFOS-related substances/potential PFOS
precursors can be considered as all molecules having the following
molecular formula: C8F17SO2Y, where Y
= OH, metal or other salt, halide, amide and other derivatives
including polymers. A listing of potential precursors is provided on
the POPRC website. This list was originally offered as additional
information by Sweden in its 2005 proposal for listing PFOS. In
addition to Annex F information, information is requested on the
following:
    i. Releases of PFOS and PFOS precursors from specific sources
(including, but not limited to, consumer products, waste disposal,
production, manufacturing and formulation).
     ii. Production and uses of PFOS precursors.
    iii. Toxicity and toxico-kinetics of PFOS precursors.
    iv. Degradation and transformation rates of PFOS precursors into
PFOS, notably under environmentally relevant conditions.
    v. Bioavailability and accumulation of PFOS precursors.
     vi. Solubility of PFOS precursors in water (including dissociation
constants where appropriate).
    2. Chlordecone. When evaluating chlordecone against the criteria
contained in Annex D and during the preparation of the risk profile as
described in Annex E, there was a lack of data on long-range
environmental transport. Therefore, in addition to seeking information
under the headings listed in Annex F, POPRC is seeking:
    i. Monitoring data for chlordecone in remote areas and areas far
from sources.
     ii. Model results demonstrating long-range environmental
transport.
     3. Hexabromobiphenyl. When evaluating HBB against the criteria
contained in Annex D and during the preparation of the risk profile as
described in Annex E, it was considered that the risk profile would
benefit from further data. Therefore, in addition to seeking
information under the headings listed in Annex F, POPRC is seeking:
    i. Data related to the ecotoxicity of HBB in aquatic systems and
under environmentally relevant conditions, including exposures via food
in aquatic species.
     ii. Laboratory or field food-chain studies.
     iii. Additional mammalian toxicity data.
     iv. Critical body burdens.
     v. Toxicokinetic information.
     4. Lindane. When evaluating lindane (gamma-hexachlorocyclohexane
(HCH)) against the criteria in Annex D, as well as during discussions
on the risk profile according to Annex E, it became clear that the
other two major isomers (alpha- and beta-HCH) should also be
considered. For both alpha- and beta-HCH, POPRC satisfied itself at the
November 2006 meeting that the screening criteria have been fulfilled.
The draft risk profiles for alpha- and beta-HCH are currently being
compiled by POPRC, and the request for Annex E information on them is
discussed in Unit II.H. To facilitate an effective assessment for
lindane under Annex F, the Secretariat's request stated that it would
be very useful to receive and evaluate Annex F information on alpha-
and beta-HCH at the same time. Having Annex F information on all three
isomers will enable POPRC to treat them consistently as it prepares the
risk management statement for lindane and alpha- and beta-HCH. In
addition to the information listed in Annex F, information is requested
on the following:
    i. Whether production of lindane takes place (and quantities, if
possible).
     ii. Whether processes are used whereby the formation of unwanted
isomers are reduced (and if possible to what extent).
     iii. Whether alpha- and beta-HCH are used as raw materials in the
production of other chemicals.
     iv. The amounts of alpha- and beta-HCH generated as waste during
the production of lindane.
    v. Management of alpha- and beta-HCH wastes.

     vi. Releases to the environment of alpha- and beta-HCH from
stockpiles, obsolete stocks, and production wastes.
    5. Commercial pentabromodiphenyl ether (C-pentaBDE). Evaluation of
the risk profile for C-pentaBDE indicated the need for additional
specificity on production, uses, and releases for this chemical
mixture. Therefore, in addition to seeking information under the
headings listed in Annex F, POPRC is seeking quantitative and
qualitative data related to the production, uses, and releases of C-
pentaBDE and its components.

H. What is the Status of Chemicals at the Risk Profile Stage?

    The second meeting of POPRC took place on November 6-10, 2006, in
Geneva, Switzerland. EPA provided notice of this meeting and POPRC's
intention to consider proposals for the five chemicals listed below in
the Federal Register notice of October 6, 2006. Information about the
November POPRC meeting is available at the Convention website (http://www.pops.int/documents/meetings/poprc/poprc.htm
), respectively. POPRC

had before it five proposals which were submitted for its consideration
by Parties to the Convention for addition to Annexes A, B, and/or C of
the Convention.
    1. Two of the five proposals were for industrial chemicals:
     Octabromodiphenyl ether.
     Short-chained chlorinated paraffins.
    2. One of the five proposals was for a chemical with both
industrial and pesticidal uses:
     Pentachlorobenzene.
    3. Two of the five proposals were for pesticides:
     Alpha-hexachlorocyclohexane.
     Beta-hexachlorocyclohexane.
    In accordance with the procedure laid down in Article 8 of the
Convention and discussed in Unit II.B., during the November meeting,
POPRC examined the proposals and applied the screening criteria in
Annex D of the Convention. With regard to all five chemicals, POPRC
decided that it was satisfied that the screening criteria had been
fulfilled and, in accordance with paragraph 4(a) of Article 8 of the
Convention, POPRC invited Parties and observers to submit to the
Secretariat the information specified in Annex E to the Convention by
February 2, 2007.
    The next step in the process is for POPRC to prepare a risk profile
for each of the chemicals to, as noted in Annex E, ``evaluate whether
the chemical is likely, as a result of its long-range environmental
transport, to lead to significant adverse human health and/or
environmental effects, such that global action is warranted.'' The risk
profile must further evaluate and elaborate on the information referred
to in Annex D of the Convention and include, as far as possible, the
information listed in Annex E. A draft outline of the risk profile has
been developed by POPRC, available at http://www.pops.int/documents/meetings/poprc/poprc.htm.
 The risk profile will take into account

information to be submitted by Parties and observers, as requested by
POPRC through the Secretariat (a current step). The draft risk profiles
developed by ad hoc working groups established under POPRC will be
considered by the full POPRC and proceed as discussed in Unit II.B.
    In addition to the Annex E information discussed in Unit II.D.,
POPRC determined, and the Secretariat requested in their December 8,
2006 letter, that additional information on the environmental fate of
short-chained chlorinated paraffins or information relating to their
properties which would enable a fuller evaluation of environmental fate
as being particularly useful for the future process.

List of Subjects

    Environmental protection, Chemicals, Hazardous substances.

    Dated: December 14, 2006.
Wendy Cleland-Hamnett,
Acting Director, Office of Pollution Prevention and Toxics.
[FR Doc. E6-21727 Filed 12-19-06; 8:45 am]

BILLING CODE 6560-50-S


[Federal Register Volume 82, Number 114 (Thursday, June 15, 2017)]
[Notices]
[Page 27539]
[FR Doc No: 2017-12431]

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SECURITIES AND EXCHANGE COMMISSION

Submission for OMB Review; Comment Request

Upon Written Request, Copies Available From: Securities and Exchange
Commission, Office of FOIA Services, 100 F Street NE., Washington, DC
20549-2736.

Extension:
    Rule 17a-2, SEC File No. 270-189, OMB Control No. 3235-0201.

    Notice is hereby given that pursuant to the Paperwork Reduction Act
of 1995 (``PRA'') (44 U.S.C. 3501 et seq.), the Securities and Exchange
Commission (``Commission'') has submitted to the Office of Management
and Budget (``OMB'') a request for approval of extension of the
previously approved collection of information provided for in Rule 17a-
2 (17 CFR 240.17a-2), under the Securities Exchange Act of 1934 (15
U.S.C. 78a et seq.).
    Rule 17a-2 requires underwriters to maintain information regarding
stabilizing activities conducted in accordance with Rule 104 of
Regulation M. The collections of information under Regulation M and
Rule 17a-2 are necessary for covered persons to obtain certain benefits
or to comply with certain requirements. The collections of information
are necessary to provide the Commission with information regarding
syndicate covering transactions and penalty bids. The Commission may
review this information during periodic examinations or with respect to
investigations. Except for the information required to be kept under
Rule 104(i) (17 CFR 242.104(i)) and Rule 17a-2(c), none of the
information required to be collected or disclosed for PRA purposes will
be kept confidential. The recordkeeping requirement of Rule 17a-2
requires the information be maintained in a separate file, or in a
separately retrievable format, for a period of three years, the first
two years in an easily accessible place, consistent with the
requirements of Exchange Act Rule 17a-4(f) (17 CFR 240.17a-4(f)).
    There are approximately 716 respondents per year that require an
aggregate total of 3,580 hours to comply with this rule. Each
respondent makes an estimated 1 annual response. Each response takes
approximately 5 hours to complete. Thus, the total compliance burden
per year is 3,580 burden hours. The total internal compliance cost for
the respondents is approximately $232,700, resulting in an internal
cost of compliance for each respondent per response of approximately
$325.00 (i.e., $232,700.00/716 responses).
    An agency may not conduct or sponsor, and a person is not required
to respond to, a collection of information under the PRA unless it
displays a currently valid OMB control number.
    The public may view background documentation for this information
collection at the following Web site: http://www.reginfo.gov. Comments
should be directed to (i) Desk Officer for the Securities and Exchange
Commission, Office of Information and Regulatory Affairs, Office of
Management and Budget, Room 10102, New Executive Office Building,
Washington, DC 20503 or by sending an email to:
<EMAIL_ADDRESS>; and (ii) Pamela Dyson, Director/Chief
Information Officer, Securities and Exchange Commission, c/o Remi
Pavlik-Simon, 100 F Street NE., Washington, DC 20549 or by sending an
email to<EMAIL_ADDRESS>Comments must be submitted to OMB within
30 days of this notice.

     Dated: June 9, 2017.
Eduardo A. Aleman,
Assistant Secretary.
[FR Doc. 2017-12431 Filed 6-14-17; 8:45 am]
 BILLING CODE 8011-01-P


[Federal Register Volume 81, Number 49 (Monday, March 14, 2016)]
[Notices]
[Page 13444]
[FR Doc No: 2016-05530]

=======================================================================
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DEPARTMENT OF TRANSPORTATION

Federal Aviation Administration

[Policy Statement No. PS-ANM111-2001-99-01]

Improving Flightcrew Awareness During Autopilot Operation

AGENCY: Federal Aviation Administration (FAA), DOT.

ACTION: Notice of cancellation of policy statement.

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

SUMMARY: The Federal Aviation Administration (FAA) announces the
cancellation of Policy Statement Number PS-ANM111-2001-99-01 (ANM-99-
01). The policy statement is cancelled because it was superseded by an
advisory circular (AC) and is no longer necessary.

DATES: This policy statement is cancelled on March 14, 2016.

FOR FURTHER INFORMATION CONTACT: Marie Hogestad, Federal Aviation
Administration, Transport Airplane Directorate, Transport Standards
Staff, Airplane and Flight Crew Interface Branch, 1601 Lind Avenue SW.,
Renton, WA 98057-3356; telephone<PHONE_NUMBER>; fax<PHONE_NUMBER>;
email<EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION:

Background

    On February 22, 2001, the Manager, Transport Airplane Directorate,
Aircraft Certification Service, issued Policy Statement Number ANM-99-
01, Improving Flightcrew Awareness During Autopilot Operations. The
policy statement advised the public that the FAA would be evaluating
various items for improving the flightcrew's awareness during autopilot
operations when certifying automatic pilot installations. The FAA
intended that the policy statement would serve as interim guidance
until the issuance of AC 25.1329-1B.
    The FAA issued AC 25.1329-1B, Approval of Flight Guidance Systems,
on July 17, 2006, and more recently issued the updated AC 25.1329-1C on
October 27, 2014. The AC incorporates the same guidance as the older
policy statement. The FAA intended to cancel the policy when AC
25.1329-1B was released but overlooked it.

Cancellation of Policy Statement

    As a result of the issuance of AC 25.1329-1B (now 25.1329-1C),
Policy Statement Number ANM-99-01 is no longer in effect and is
herewith cancelled.

    Issued in Renton, Washington, on March 1, 2016.
Michael Kaszycki,
Acting Manager, Transport Airplane Directorate, Aircraft Certification
Service.
[FR Doc. 2016-05530 Filed 3-11-16; 8:45 am]
 BILLING CODE 4910-13-P


[Federal Register Volume 80, Number 135 (Wednesday, July 15, 2015)]
[Rules and Regulations]
[Pages 41426-41432]
[FR Doc No: 2015-17388]

=======================================================================
-----------------------------------------------------------------------

DEPARTMENT OF COMMERCE

Bureau of Industry and Security

15 CFR Part 702

[Docket No. 140501396-5463-02]
RIN 0694-AG17

U.S. Industrial Base Surveys Pursuant to the Defense Production
Act of 1950

AGENCY: Bureau of Industry and Security, Commerce.

ACTION: Final rule.

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

SUMMARY: This rule sets forth the policies and procedures of the Bureau
of Industry and Security (BIS) for conducting surveys to obtain
information in order to perform industry studies assessing the U.S.
industrial base to support the national defense pursuant to the Defense
Production Act of 1950, as amended. Specifically, this rule provides a
description of BIS's authority to issue surveys; the purpose for the
surveys and the manner in which such surveys are developed; the
confidential treatment of submitted information; and the penalties for
non-compliance with surveys. This rule is intended to facilitate
compliance with surveys, thereby resulting in stronger and more
complete assessments of the U.S. industrial base.

DATES: This rule is effective August 14, 2015.

FOR FURTHER INFORMATION CONTACT: Jason Bolton, Trade and Industry
Analyst, Office of Technology Evaluation, phone:<PHONE_NUMBER> email:
<EMAIL_ADDRESS>or Brad Botwin, Director, Industrial Base
Studies, Office of Technology Evaluation, phone:<PHONE_NUMBER> email:
<EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION:

Background

    Pursuant to authorities under section 705 of the Defense Production
Act of 1950 as amended (DPA) (50 U.S.C. app. 2155) and Sec.  104 of
Executive Order 13603 of March 16, 2012 (National Defense Resources
Preparedness, 77 FR 16651, 3 CFR, 2012 Comp., p. 225), the Bureau of
Industry and Security (BIS) conducts studies that assess the
capabilities of the U.S. industrial base to support the national
defense. To produce these studies, BIS may issue surveys to collect
detailed information related to the health and competitiveness of the
U.S. industrial base from government sources and private individuals or
organizations.
    BIS published a proposed rule addressing its authority to conduct
the studies, the authority to issue surveys to gather data in support
of the studies, the purpose of the surveys and the manner in which such
surveys are developed, the confidential treatment of submitted
information, and the penalties for non-compliance with surveys (see 80
FR 11350, March 3, 2015). BIS received two comments on the proposed
rule and is not making any changes to the final rule text in response
to those comments. This final rule makes no substantive change to the
proposed rule.

Public Comments and BIS's Response

    BIS received two comments on the proposed rule. They are reproduced
in their entireties along with BIS's responses below.

    Comment 1.

    ``The Defense Production Act of 1950 was enacted so that [the]
[P]resident could (1) require business[es] to sign contracts deemed
necessary for defense, (2) allow the [P]resident to create
mechanisms that would allow the allocation of goods and services to
support defense and (3) allow the [P]resident to control civilian
economy so that scare resource are available for defense. This Act
was used during for the Cold War, and could be labeled as outdated
and unnecessary. Under this act, the [P]resident and his staff is
given a lot of power over the economy. I disagree with the BIS that
there should be some sort of supervision over this act. From what I
have researched I have found one use of the Act in 2011, where the
Government seized equipment from telecommunications companies for
criminal charges. One incident should not raise alarm of possible
fraud or misuse. Although I wish that all sections of the government
could be monitored more, I know that the money spent on the
oversight of this Act could be spent more effectively elsewhere.''

    Response: Section 705 of the Defense Production Act of 1950 (50
U.S.C. app. 2155), authorizes the President to, among other things,
``require such reports and the keeping of such records by, make such
inspection of the books, records, and other writings, premises or
property of, and take the sworn testimony of, and administer oaths and
affirmations to, any person as may be necessary or appropriate, in his
discretion, to the enforcement or the administration of this Act and
the regulations or orders issued thereunder.'' In 2003, an amendment to
that Act made clear that such ``authority . . . includes the authority
to obtain information in order to perform industry studies assessing
the capabilities of the United States industrial base to support the
national defense.'' This rule is designed to set forth policies and
procedures to facilitate the accurate and timely completion of surveys
issued by BIS to collect data for these studies. Whether or not the Act
is outdated and unnecessary is a decision for Congress, and is not
something to be addressed in this regulation. This regulation is solely
intended to clearly implement the provisions of Section 705 of the DPA.
    Additionally, BIS does not engage in ``supervision over this act.''
The studies that BIS conducts under the DPA are for the purpose of
assessing the capabilities of the United States industrial base to
support the national defense. BIS does not seize property under the DPA
in connection with criminal charges and the proposed rule makes no
mention of seizure authority.
    Accordingly, BIS is making no changes to the proposed rule in
response to this comment.

    Comment 2.

    ``The corporation does not posses [sic] the rights of
citizenship within U.S. borders, privileges or immunity clause
ensures this within The Constitution of the United States of
America. Societal roles force us to consider the implications
surrounding predictive analytics based in Logic while the National
Identity is a consensus being manufactured through a rational theory
exercise in speculative risk. Insurers effectively are prohibited
from utilizing coercion due to the McCarran Ferguson Act, however
significant concerns exist with regard to the applicability of
industry influence with-out the force of Anti-trust regulations to
secure American values toward equality. A proposal to reduce the
unnecessary burdens establishing this future of regulation, suggests
the McCarran Ferguson Act may be applied to the Gramm Leech Bliley
Act as a measured and proportionate Logic introduced to the
irrational manufacture of consent.

    Response: The proposed rule and this final rule are entirely
unrelated to the rights of citizenship as they may or may not apply to
corporations, the privileges and immunities clause of the Constitution
of the United States, the regulation of insurers, anti-trust law, the
Gramm Leech Bliley Act, or the McCarran Ferguson Act. The proposed rule
and this final rule address surveys issued by BIS to collect data for
studies assessing the capabilities of the United States industrial base
to support the national defense, consistent with the authorities set
forth in section 705 of the Defense Production Act of 1950.
    As this comment is unrelated to the BIS activities this rule
addresses, BIS is making no changes to the final rule in response to
this comment.

General Description of the Rule

    This rule sets forth procedures intended to facilitate the accurate
and timely completion of surveys issued by BIS to collect data for
these studies. This rule sets forth in a single part of the Code of
Federal Regulations the information about BIS's authority to conduct
the studies, the authority to issue surveys to gather data in support
of the studies, the purpose of the surveys and the manner in which such
surveys are developed, the confidential treatment of submitted
information, and the penalties for non-compliance with surveys.
    Additionally, this rule explains BIS's procedures for verifying
that the scope and purpose of the surveys are well defined, and assures
that the surveys do not solicit data that duplicates adequate and
authoritative data that is available to BIS from any federal or other
responsible agency. A survey may require the submission of information
similar or identical to information possessed by another federal agency
but that is not available to BIS.
    Based on requests it receives from U.S. Government agencies, BIS
produces studies to develop findings and policy recommendations for the
purpose of improving the competitiveness of specific domestic
industries and technologies critical to meeting national defense and
essential civilian requirements. These studies may require surveys to
collect relevant data and assessments of that data and other
information available to BIS.
    BIS, in cooperation with the requesting agency, selects the persons
to be surveyed based on the likelihood that they will have information
relevant to a

study. That likelihood is related to the person's association with the
industry sector, material, product, service or technology that is the
subject of the study. That association may be based on factors such as
the person's role in directly or indirectly providing, producing,
distributing, utilizing, procuring, researching, developing, consulting
or advising on, the industry sector, material, product, service or
technology that is the subject of the study.
    Whether a person's association with the industry sector, material,
product, service or technology being assessed is proximate or remote
does not determine whether that person's association is sufficient for
inclusion in the survey. For example, information about a supplier of
raw materials or components that is several transactions removed from
the production of the product that is the subject of a study may be
relevant to assessing the capabilities of the U.S. industrial base to
supply the product to support the national defense. In such a
situation, the supplier would be included in the survey. The nature of
the person from whom the information is sought also does not determine
whether that person's association with the industry sector, material,
product, service or technology at issue is sufficient for inclusion in
the survey. Surveys may require information from businesses organized
for profit, non-profit organizations, academic institutions and
government agencies.
    To be useful, a study must be comprehensive, accurate and focused
on the relevant industry sector, material, product, service or
technology. Therefore, surveys may require information about
employment, research and development, sources of supply, manufacturing
processes, customers, business strategy, finances and other factors
affecting the industry's health and competitiveness. To properly focus
the survey on the industry sector, material, product, service or
technology being assessed, BIS may request information about a
corporation as a whole or information about one or more specified units
or individual activities of that corporation. The DPA provides both a
civil remedy and criminal penalties that may be used when recipients of
surveys do not supply the information sought.
    BIS deems the information supplied in response to survey requests
to be confidential and is prohibited by law from publishing or
disclosing such information unless the Under Secretary for Industry and
Security determines that withholding the information is contrary to the
interest of the national defense. The authority to make this
determination, which section 705(d) of the DPA gives to the President,
has been delegated to relevant agencies, including the Secretary of
Commerce, by Sec.  802 of Executive Order 13603. The Secretary of
Commerce re -delegated this authority to the Under Secretary for
Industry and Security. The DPA provides criminal penalties for any
person who willfully violates its prohibition on publication or
disclosure.

Section by Section Description of the Rule

    This rule creates a new part in Title 15, Chapter VII, Subchapter A
of the Code of Federal Regulations to be designated as 15 CFR part 702.
This new part is devoted exclusively to BIS's collection of information
under section 705 of the DPA (50 U.S.C. app. 2155). Placing the new
part in Subchapter A promotes an orderly and logical regulatory
structure because all other regulations implementing BIS authorities
related to the DPA are contained in that subchapter.

Section 702.1

    Section 702.1 sets forth a general description of BIS's authority
to collect information needed to complete the surveys. The survey
responses assist BIS in determining the capabilities of the industrial
base to support the national defense and to develop policy
recommendations to improve both the international competitiveness of
specific domestic industries and their ability to meet national defense
needs.

Section 702.2

    Section 702.2 implements the requirement found in section 705 of
the DPA (50 U.S.C. app. 2155(a)) to publish regulations by requiring
BIS personnel of appropriate competence and authority to ensure that
before a survey is sent to any person for completion; 1) the scope and
purpose of a survey have been established, 2) the scope and purpose are
consistent with BIS's authorities under the DPA, and 3) the data
requested by the survey does not duplicate adequate and authoritative
data available to BIS from a federal or other authoritative source. A
survey may require information that is similar or identical to
information possessed by other federal agencies but not available to
BIS. The section does not limit the factors that may be considered in
deciding whether to conduct a survey nor does it modify or replace the
requirements of the Paperwork Reduction Act. In addition, all surveys
are reviewed by BIS and by the Office of Management and Budget (OMB)
pursuant to the Paperwork Reduction Act before they are distributed.
The OMB review process provides additional assurance that surveys are
designed to collect only information deemed necessary to meet the scope
and purpose of a study.

Section 702.3

    Section 702.3 addresses the confidentiality requirements imposed by
section 705(d) of the DPA (50 U.S.C. app. 2155(d)) and, in accordance
with that section, provides two procedures by which the restrictions on
disclosure in section 705(d) would be invoked. First, consistent with
its current practice, BIS would deem all information submitted in
response to a survey to be confidential. Second, a person submitting a
response to a survey may request confidential treatment of the
information submitted. Although the second procedure is likely to be
redundant of the first, the statute prohibits disclosure if either the
government deems the information to be confidential or if the person
furnishing the information requests confidential treatment. BIS
concludes that both procedures should be included in the regulations to
be consistent with the statute. Additionally, Sec.  702.3 notes that
confidential information shall not be published or disclosed unless the
Under Secretary for Industry and Security determines that withholding
the information is contrary to the interest of the national defense.
The statutory authority of the President to make this determination has
been delegated to the Under Secretary for Industry and Security. This
section also repeats the penalties that the statute authorizes for
persons convicted of willfully violating the prohibition on disclosure.

Section 702.4

    Section 702.4 requires timely, complete and adequate responses to
surveys. Specifically, the section requires that survey responses be
returned to BIS within the time frame stated on the initial
distribution letter or other request for information. The section
treats a response as ``inadequate'' if it provides information that is
not responsive to the questions asked or if it provides aggregated
information when specific information was requested.
    Section 702.4 sets forth the criteria by which BIS may grant either
an exemption from complying with the survey requirement or an extension
of time to comply. The grounds for granting an exemption or an
extension are limited and generally result when

BIS concludes that the survey recipient lacks information deemed
relevant to the survey or when compliance with the requirement would be
unduly burdensome.
    Section 702.4 makes clear that the deadline for complying with a
survey is not suspended by submitting a request for an exemption or
extension of time to comply.
    Finally, Sec.  702.4 provides that BIS may return responses that
are incomplete or inadequate and specify a due date for a complete and
adequate response.

Section 702.5

    Section 702.5 sets forth the consequences of failure to comply with
a survey or other request for information. These consequences are
established by section 705(a) and (c) of the DPA (50 U.S.C. app.
2155(a) and (c)). If a person does not comply with a survey, BIS may
serve a subpoena upon that person to compel compliance. If the person
still does not comply, the government may apply to the U.S. district
court in any district in which the person is found, resides or
transacts business for an order requiring such person to comply. The
district court has authority to punish any failure to comply with the
order as contempt of court. Persons who are convicted of willfully
failing to comply with a survey or other request for information may be
fined not more than $10,000 or imprisoned for not more than one year,
or both.

Section 702.6

    Section 702.6 defines certain terms used in part 702.
    The word ``confidential'' is defined in terms of section 705(d) of
the DPA, thereby distinguishing its use in this rule from its use in
connection with the classification of information for national security
purposes as set forth in Executive Order 13526 of December 29, 2009,
Classified National Security Information (75 FR 707; 3 CFR, 2010 Comp.,
p. 298).
    The definition of the term ``person'' is based on the definition of
``person'' in section 702 of the DPA (50 U.S.C. app. 2152) with some
additions. The DPA definition reads: ``The term `person' includes an
individual, corporation, partnership, association, or any other
organized group of persons, or legal successor or representative
thereof, or any State or local government or agency thereof.'' Use of
the word ``includes'' in the statutory definition implies that the list
following that word is not exhaustive. BIS concludes that the use of
``includes'' indicates that Congress recognized that the agency
implementing the DPA would need discretion to identify the types of
entities that would likely possess information relevant to the subject
of each industrial base assessment to ensure a comprehensive collection
of information.
    This rule adds ``The Government of the United States, of the
District of Columbia, of any commonwealth, territory or possession of
the United States, or any department, agency or commission thereof.''
BIS has concluded that inclusion of the additional entities is within
its authority under the DPA because the DPA definition prefaces the
list of entities with the word ``includes,'' and because inclusion of
the additional entities is necessary to achieve the purpose of the
statute.
    Based on prior studies, BIS has observed that the U.S. Government
makes a significant contribution to the industrial base, whether in
research, technology development, testing, manufacturing, repair and
overhaul, or trade development. As a result, the U.S. Government is a
significant source of information regarding the industrial base.
Similarly, it is plausible that the District of Columbia, commonwealths
of the United States and other territories and agencies can be survey
respondents, and therefore have been included to ensure the
completeness of a survey sample and corresponding assessment.
    The regulatory definition also makes clear that the term
``corporation, partnership, association, or any other organized group
of persons'' is not limited to commercial, for-profit enterprises or
publicly traded corporations.
    The definitions of the terms ``initial distribution letter'' and
``survey'' each describe a document used in the data collection
process. The definitions describe those documents based on the way they
are used in current BIS practice.

Supplement No. 1 to Part 702

    Supplement No. 1 to part 702 provides information that BIS believes
would be helpful to persons who receive a survey. This information
includes both a description of the survey and a glossary of terms.

Differences Between This Final Rule and the Proposed Rule

    The definition of ``initial distribution letter'' in Sec.  702.6 in
the proposed rule contained a sentence that read ``[t]he letter also
provides BIS contact information.'' In this final rule, the word
``provides'' has been replaced with the word ``includes'' for
precision. This final rule also corrects a typographical error that
appeared in Supplement No.1 to Part 702, introductory text, second
sentence in the proposed rule. The phrase that read: ``. . . is purely
in example . . .'' has been corrected to read ``. . . is purely an
example . . . .'' There are no other differences in regulatory text
between this final rule and the proposed rule.

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, and other advantages; 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 final rule has been determined not to be
a ``significant regulatory action,'' significant, as that term is
defined in Executive Order 12866.
    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
Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et. seq.) unless that
collection of information displays a currently valid OMB control
number. This rule does not contain a collection of information that is
subject to the Paperwork Reduction Act. This rule sets forth procedures
related to BIS's administration of surveys pursuant to Sec.  705 of the
DPA (50 U.S.C. app. 2155). Individual surveys that are subject to the
Paperwork Reduction Act will display a currently valid OMB control
number.
    3. This rule does not contain policies with Federalism implications
as that term is defined in Executive Order 13132.
    4. The Regulatory Flexibility Act (RFA), as amended by the Small
Business Regulatory Enforcement Fairness Act of 1996 (SBREFA), 5 U.S.C.
601 et seq., generally requires an agency to prepare a regulatory
flexibility analysis of any rule subject to the notice and comment
rulemaking requirements under the Administrative Procedure Act (5
U.S.C. 553) or any other statute. However, under Sec.  605(b) of the
RFA, if the head of an agency certifies that a rule will not have a
significant impact on a substantial number of small entities, the RFA
does not require the agency to prepare a regulatory flexibility

analysis. Pursuant to Sec.  605(b), the Chief Counsel for Regulation,
Department of Commerce, submitted a memorandum to the Chief Counsel for
Advocacy, Small Business Administration, certifying that the proposed
rule, if promulgated, will not have a significant impact on a
substantial number of small entities. The proposed rule set forth the
rationale for that certification. BIS received no comments on that
rationale and is making no substantive changes to it. The rationale for
that certification is as follows.

Impact

    This rule sets forth, in a single part of the Code of Federal
Regulations, the Department of Commerce's authority under Sec.  705 of
the DPA ``to obtain information in order to perform industry studies
assessing the capabilities of the United States industrial base to
support the national defense.'' Since the mid-1980s, BIS and its
predecessor organizations within the Department of Commerce have
conducted such studies and required survey responses based on the
statute. Section 705 of the DPA authorizes the collection of the
information. The statute also authorizes the issuance of subpoenas for
the information and authorizes the United States district courts to
issue orders compelling compliance with such subpoenas. It also
provides criminal penalties for failure to comply with the government's
requests for information. This final rule will not require any person
to supply information that the person would not be required to provide
pursuant to the statute.
    This final rule requires that surveys issued by BIS pursuant to
Sec.  705 be responded to by the deadline set forth in the survey. The
rule incorporates BIS's existing internal policies and standards for
the granting of both an extension of time to comply with the
requirement and exemptions from compliance. To the extent that
publication of these policies and standards in the Code of Federal
Regulations could be construed as a change in the burden on small
entities or any other entities, the publication would have to be deemed
as a reduction in burden because it facilitates access to the standards
by all parties.
    This final rule also sets forth the statutory standards for
treating information submitted in response to a survey as confidential.
It reiterates the statutory penalties for failure to comply with a
survey and for unauthorized release of information that Sec.  705
requires to be treated as confidential.
    This rule adopts the statutory definition of ``person'' but also
adds ``[t]he Government of the United States, of the District of
Columbia, of any commonwealth, territory or possession of the United
States, or any department, agency or commission thereof'' to the
definition. The term ``person'' is used in the statute and in this
final rule to represent those to whom the requirements of the statute
and this final rule apply. BIS has historically interpreted the statute
to apply to units of the U.S. Government (including the District of
Columbia Government and the governments of the territories and
possessions) and does not view this as a substantive change. For
purposes of this certification, the addition is immaterial because the
government bodies that will be added to the statutory definition by
this final rule are not small entities under the definition provided in
the Small Business Regulatory Enforcement Fairness Act of 1996.

Number of Small Entities

    Surveys are one-time exercises used to assess the state and/or
capabilities of a particular industry sector or technology. Entities
are selected for participation based on their role in, or relationship
to, the industry sector or technology being assessed. Information
obtained during the course of any one assessment may be relevant to
determining whether the current entity supplying that information is a
small entity. However, the composition of survey respondents varies
dramatically between industry studies due to the complexity of each
industry sector or technology being assessed. Consequently, BIS is
unable to draw from existing data to estimate the number of small
businesses participating in future collections. Accordingly, BIS is
unable to determine the number of small entities that may be affected
by this final rule.

Conclusion

    Although BIS cannot predict the exact number of small entities that
will be participating in any one survey, this rule will not impose a
significant burden on any such small entities because it will not
require any impacted entity to perform any action that it is not
already required to perform pursuant to section 705 of the DPA.

List of Subjects in Part 702

    Business and industry, Confidential business information,
Employment, Penalties, National defense, Research, Science and
technology.
    Accordingly, the National Security Industrial Base Regulations (15
CFR Chapter VII, Subchapter A) are amended by adding Part 702 to read
as follows:

Subchapter A--National Security Industrial Base Regulations

PART 702--INDUSTRIAL BASE SURVEYS--DATA COLLECTIONS

Sec.
702.1 Introduction.
702.2 Scope and purpose of surveys--avoiding duplicative requests
for information.
702.3 Confidential information.
702.4 Requirement to comply with surveys or other requests for
information.
702.5 Consequences of failure to comply.
702.6 Definitions.

Supplement No. 1 to Part 702--General Survey Information

    Authority: 50 U.S.C. app. 2061 et seq.; E.O. 13603, 77 FR 16651,
3 CFR, 2012 Comp., p. 225.

Sec.  702.1  Introduction.

    In accordance with 50 U.S.C. app. 2155, the Bureau of Industry and
Security (BIS) may obtain such information from, require such reports
and the keeping of such records by, make an inspection of the books,
records, and other writings, premises or property of, take the sworn
testimony of and administer oaths and affirmations to, any person as
may be necessary or appropriate, in its discretion, to the enforcement
or the administration of its authorities and responsibilities under the
Defense Production Act of 1950 as amended (DPA) and any regulations or
orders issued thereunder. BIS's authorities under the DPA (50 U.S.C.
app. 2061 et seq.) include authority to collect data via surveys to
perform industry studies assessing the capabilities of the United
States industrial base to support the national defense and develop
policy recommendations to improve both the international
competitiveness of specific domestic industries and their ability to
meet national defense program needs.

Sec.  702.2  Scope and purpose of surveys--avoiding duplicative
requests for information.

    (a) BIS will not send any survey to any person for completion
unless the scope and purpose of the survey have been established, that
scope and purpose are consistent with BIS's authorities under the DPA,
and the data requested by the survey does not duplicate adequate and
authoritative data already available to BIS from a Federal or other
authoritative source.
    (b) BIS personnel of appropriate competence and authority will
ensure that the requirements of paragraph (a) of this section are met.

    (c) This section shall not be construed as limiting the criteria
that BIS may consider in determining whether to proceed with a survey.
This paragraph shall not be construed as replacing or in any way
modifying the requirements of the Paperwork Reduction Act (44 U.S.C.
3501 et seq.).

Sec.  702.3  Confidential information.

    This section implements section 705(d) of the DPA.
    (a) BIS deems all information submitted in response to a survey
issued pursuant to this part to be confidential.
    (b) Any person submitting information in response to a survey
issued pursuant to this part may request confidential treatment of that
information.
    (c) The President's authority under the DPA to protect confidential
information has been delegated to the Under Secretary for Industry and
Security. The information described in paragraphs (a) and (b) of this
section shall not be published or disclosed unless the Under Secretary
for Industry and Security determines that the withholding thereof is
contrary to the interest of the national defense.
    (d) Any person convicted of willfully violating the prohibition in
paragraph (c) of this section may be fined not more than $10,000 or
imprisoned for not more than one year, or both.

Sec.  702.4  Requirement to comply with surveys or other requests for
information.

    (a) Requirement to comply. Every person who receives a survey or
other request for information issued pursuant to this part must submit
a complete and adequate response to BIS within the time frame stated on
the initial distribution letter or other request for information.
Survey response information that does not adhere to the survey question
criteria or that contains only aggregate information in place of
specified information will be treated as inadequate and therefore
noncompliant. BIS may exempt persons from this requirement for the
reasons in paragraph (b) of this section, or grant extensions of time
to comply as set forth in paragraph (c) of this section. Submitting a
request to BIS for an exemption or an extension of time for completion
does not suspend the initial deadline required by BIS (or any extended
deadline subsequently granted by BIS). Thus, persons who request an
exemption or extension of time are advised to proceed as if the
response is required by the deadline until advised otherwise by BIS.
    (b) Grounds for exemption. (1) An exemption from the requirements
of this section may be granted if the person receiving the survey or
other request for information:
    (i) Has no physical presence in the United States of any kind;
    (ii) Does not provide, produce, distribute, utilize, procure,
research, develop, consult or advise on, or have any other direct or
indirect association with the materials, products, services or
technology that are within the scope of the survey;
    (iii) Has ceased business operations more than 12 months prior to
receipt of the survey;
    (iv) Has been in business for less than one year; or
    (v) BIS determines that extenuating circumstances exist that make
responding impractical.
    (2) BIS may also grant an exemption if, based on the totality of
the circumstances, it concludes that compliance would be impractical
and/or that requiring compliance would be unduly time intensive.
    (3) Existence of a pre-existing private non-disclosure agreement or
information sharing agreement between a person and another party (e.g.,
customers, suppliers, etc.), does not exempt a person from the
obligation to comply with and complete a survey. The authority to
conduct the survey and comply with the survey is derived from the DPA,
and that statutory obligation to comply supersedes any private
agreement.
    (c) Extensions of time to complete. A person who receives a survey
or other request for information may request an extension of time to
submit the complete response to BIS. BIS may grant such an extension of
time, if, in its judgment, circumstances are such that additional time
reasonably is needed, the extension would not jeopardize timely
completion of BIS's overall analysis, and the person is making
reasonable progress towards completing the survey or response to the
other request for information. Generally, extensions will be for no
more than two weeks. A person who receives a survey or other request
for information may request successive extensions if the person
believes that it continues to have a legitimate need for additional
time to complete the survey. BIS will not grant extensions that would
jeopardize the performance and timely completion of its industrial base
assessments.
    (d) Procedure for requesting exemptions or extensions of time.
Requests for exemptions or extensions of time must be made to BIS at
the telephone number, email address or BIS physical address provided in
the initial distribution letter for a survey or in the other request
for information. A request for an exemption must provide factual
information and documentation that are adequate for BIS to determine
that one or more of the criteria stated in paragraph (b) or (c) of this
section are met.
    (e) Responses that are incomplete or inadequate. BIS may return
responses that are incomplete or inadequate to the person for prompt
completion. BIS will specify the required period of time permitted for
completion and submission of the revised survey.

Sec.  702.5  Consequences of failure to comply.

    (a) Civil. If any person fails to comply with the requirements of
Sec.  702.4, BIS may issue a subpoena requiring that person to submit
the information called for in the survey. In the case of contumacy or
refusal to obey such a subpoena, the U.S. Government may apply for an
order by the United States district court in a district where that
person resides or transacts business that would compel the person to
submit the completed survey.
    (b) Criminal. In accordance with 50 U.S.C. app. 2155, any person
who willfully fails to comply with Sec.  702.4, may, upon conviction,
be fined not more than $10,000 or imprisoned not more than one year, or
both.

Sec.  702.6  Definitions.

    The definitions in this section apply throughout this part.
    Confidential. A description of information that is subject to the
disclosure prohibitions of the DPA (50 U.S.C. app. 2155(d)).
    Initial distribution letter. A letter that BIS sends to a person
that has been identified by the U.S. Government as a supplier or
customer of materials, products or services used for activities of the
industry that is the focus of a survey. The letter describes the
survey's primary objectives, how survey results will assist the U.S.
Government, and the confidential treatment of the information
submitted. The letter also includes BIS contact information.
    Person. The term ``person'' includes:
    (1) An individual, corporation, partnership, association, or any
other organized group of persons, or legal successor or representative
thereof;
    (2) Any State or local government or agency thereof;
    (3) The Government of the United States, of the District of
Columbia, of any commonwealth, territory or possession of the United
States, or any department, agency or commission thereof.
    Note to the definition of ``person.'' Paragraph (1) of this
definition is not

limited to commercial or for-profit organizations. For example, the
term ``any other organized group of persons'' may encompass labor
unions, academic institutions, charitable organizations or any group of
persons who are organized in some manner. The term corporation is not
limited to publicly traded corporations or corporations that exist for
the purpose of making a profit.
    Survey. A questionnaire or other request for information that
collects detailed information and data to support both the assessment
of a particular industrial sector or technology and the development of
a corresponding study.

Supplement No. 1 to Part 702--General Survey Information

    This supplement provides general information about surveys and the
content of the typical survey. The content of this supplement is purely
an example of a typical survey, and in no way limits the content that
may appear in a specific Bureau of Industry and Security (BIS)-issued
survey. Procedures and content vary from survey to survey, and as such,
there is no set template to follow. Nonetheless, BIS is offering this
information as a basic guide to some elements of a survey.

Survey Structure

    Most surveys include the following sections: Cover Page; Table of
Contents; General Instructions; Glossary of Terms; Organizational
Information, and sector-specific sections.
    --The cover page typically includes the title of the survey, its
scope, an explanation of the legal requirement to comply, the burden
estimate for compliance with the survey, the Office of Management and
Budget (OMB) control number, and the survey date of expiration.
    --The General Instructions section normally includes process steps
necessary for a person's survey submittal. These include but are not
limited to instructions for survey completion, survey support staff
point-of-contact information, the name and address of the presiding BIS
official, and instructions for both survey certification and submittal.
    --The Glossary of Terms section explains terms contained in the
survey. Terms contained in the survey may be unique to the subject
matter of the industry assessment, and therefore may change in meaning
from survey to survey. Therefore, it is important to follow the
specific instructions and defined terms contained in the specific
survey you receive, regardless of any previous survey you might have
completed.
    --The Organization Information section requests information related
to the person in receipt of the survey, including address information,
the source level of response (e.g., facility, business unit, division,
corporate consolidated, etc.), point of contact details, and other
pertinent contact information.
    The survey is generally organized in a question and answer format
and is presented on an electronic survey system. Each survey is
specially tailored to collect the specific information requested.
Therefore, specific detailed information is what should be submitted in
response to a survey requesting such information.
    --For example, if we ask for a listing of your customers that order
widget A, your response should not be a listing of your entire customer
base. Only the information pertaining to customers' ordering widget A
is responsive to that kind of question.
    Also note that your reply to a survey request is compulsory, unless
you meet the criteria for exemption set forth in the body of the
regulation. Therefore, any non-disclosure agreements or similar
agreements you may have with your customers or clients are not
applicable to a survey's request for information. Compliance with the
survey is required by the DPA. Accordingly, compliance with that
statutory requirement is paramount to any private agreement you have
with your customers or other parties.
    In addition to the aforementioned sections, each survey contains
sections tailored to the specific scope of the study, including but not
limited to Facility Locations, Products and Services, Inventories,
Suppliers and Customers, Challenges and Organizational Outlook,
Employment, Operations, Financial Statements, Sales, Research and
Development, and Capital Expenditures.
    Examples of survey terms.
    Certification: A section of the survey in which a person (an
authorizing official) certifies that the information supplied in
response to the survey is complete and correct, to the best of the
person's knowledge.
    Facility: A building or the minimum complex of buildings or parts
of buildings in which a person operates to serve a particular function,
producing revenue and incurring costs for the person. A facility may
produce an item of tangible or intangible property or may perform a
service. It may encompass a floor or group of floors within a building,
a single building, or a group of buildings or structures. Often, a
facility is a group of related locations at which employees work,
together constituting a profit-and-loss center for the person, and it
may be identified by a unique Dun and Bradstreet number.
    Sole source: An organization that is the only source for the supply
of parts, components, materials, or services. No alternative U.S. or
non-U.S. based supplier exists other than the current supplier.
    Survey template: The data collection instrument supplied by BIS to
persons by which survey information is recorded and submitted to BIS.
The survey is generally organized in a question and answer format and
is presented on an electronic survey system.
    Supplier: An entity from which your organization obtains inputs. A
supplier may be another firm with which you have a contractual
relationship, or it may be another facility owned by the same parent
organization. The inputs may be materials, products or services.

    Dated: July 10, 2015.
Kevin J. Wolf,
Assistant Secretary for Export Administration.
[FR Doc. 2015-17388 Filed 7-14-15; 8:45 am]
 BILLING CODE 3510-33-P