[Federal Register: December 9, 2009 (Volume 74, Number 235)]
[Notices]
[Page 65121-65122]
[DOCID:fr09de09-51]

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ENVIRONMENTAL PROTECTION AGENCY

[EPA-HQ-OPP-2009-0889; FRL-8803-2]

Policy Paper on Revised Risk Assessment Methods for Workers,
Children of Workers in Agricultural Fields, and Pesticides with No Food
Uses; Notice of Availability

AGENCY: Environmental Protection Agency (EPA).

ACTION: Notice of Availability.

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SUMMARY: EPA is making available for comment a policy paper entitled
``Revised Risk Assessment Methods for Workers, Children of Workers in
Agricultural Fields, and Pesticides with No Food Uses,'' that describes
how the Agency will assess pesticide risks not governed by the Federal
Food, Drug and Cosmetic Act. To provide comprehensive and consistent
evaluation of potential risks of food use pesticides, non-food use
pesticides, and related occupational exposures, EPA intends to apply
risk assessment techniques developed in implementing the Food Quality
Protection Act of 1996 to any pesticide risk assessment, whether it
falls under FQPA or not, as long as applying the risk assessment
technique is consistent with good scientific practice and is not
otherwise prohibited by law. Specifically, this will include using an
additional safety/uncertainty factor to protect children, considering
aggregate exposures to pesticides from multiple sources, and
considering cumulative effects which may occur from exposure to
multiple pesticides with a common mechanism of toxicity. Moreover,
risks will be explicitly reported for individuals who had not been
explicitly considered, specifically workers age 12-17 and children
taken into agricultural fields. Taking this step at this time has
important environmental justice ramifications. EPA anticipates that
implementing this policy will increase protections, especially for
agricultural workers and children of workers in agricultural fields.

DATES: Comments must be received on or before February 8, 2010.

ADDRESSES: Submit your comments, identified by docket identification
(ID) number EPA-HQ-OPP-2009-0889, by one of the following methods:
     Federal eRulemaking Portal: http://www.regulations.gov.
Follow the on-line instructions for submitting comments.
     Mail: Office of Pesticide Programs (OPP) Regulatory Public
Docket (7502P), Environmental Protection Agency, 1200 Pennsylvania
Ave., NW., Washington, DC 20460-0001.
     Delivery: OPP Regulatory Public Docket (7502P),
Environmental Protection Agency, Rm. S-4400, One Potomac Yard (South
Bldg.), 2777 S. Crystal Dr., Arlington, VA. Deliveries are only
accepted during the Docket Facility's normal hours of operation (8:30
a.m. to 4 p.m., Monday through Friday, excluding legal holidays).
Special arrangements should be made for deliveries of boxed
information. The Docket Facility telephone number is<PHONE_NUMBER>.
    Instructions: Direct your comments to docket ID number EPA-HQ-OPP-
2009-0889. EPA's policy is that all comments received will be included
in the 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'' system,
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 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 docket index
available at http://www.regulations.gov. 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, is not placed on the Internet
and will be publicly available only in hard copy form. Publicly
available docket materials are available either in the electronic
docket at http://www.regulations.gov, or, if only available in hard
copy, at the OPP Regulatory Public Docket in Rm. S-4400, One Potomac
Yard (South Bldg.), 2777 S. Crystal Dr., Arlington, VA. The hours of
operation of this Docket Facility are from 8:30 a.m. to 4 p.m., Monday
through Friday, excluding legal holidays. The Docket Facility telephone
number is<PHONE_NUMBER>.

FOR FURTHER INFORMATION CONTACT: Deborah Smegal, Health Effects
Division, Office of Pesticide Programs, Environmental Protection
Agency, 1200 Pennsylvania Ave., NW., Washington, DC 20460-0001;
telephone number:<PHONE_NUMBER>; fax 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
interest to a wide range of stakeholders including environmental, human
health, farm worker, and agricultural advocates; the

chemical industry; pesticide users; and members of the public
interested in the sale, distribution, or use of pesticides. Since
others also may 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 chemical review manager 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 as 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. 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 your estimate in sufficient detail to allow for it to be
reproduced.
    vi. Provide specific examples to illustrate your concerns and
suggest 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. What Action is the Agency Taking?

    EPA is releasing and inviting comment on a policy paper that
describes how the Agency plans to use revised methods in conducting
risk assessments for pesticide uses and exposures not governed by the
Federal Food, Drug and Cosmetic Act (FFDCA). Implementing this policy
will increase protections, especially for workers and children of
workers in agricultural fields.
    EPA licenses or registers pesticides for sale and distribution
under the Federal Insecticide, Fungicide, and Rodenticide Act (FIFRA).
The Agency establishes tolerances, limits for pesticide residues in or
on food, under section 408 of FFDCA. In contrast to the risk/benefit
standard for registration under FIFRA, FFDCA applies a risk-only
standard for tolerances and explicitly sets certain approaches for
assessing risks. These risk assessment approaches include incorporating
an additional safety factor to protect children, aggregating all non-
occupational (food, water and residential) exposures to a pesticide,
and considering the cumulative effects of pesticides with a common
mechanism of action. The risk-only standard and the mandated risk
assessment approaches were added to FFDCA by the Food Quality
Protection Act of 1996 (FQPA). FIFRA does not require EPA to use these
risk assessment approaches in assessing worker risks or non-food use
pesticides. Also, historically, EPA has not considered children in
assessing worker risks.
    To provide more comprehensive and consistent evaluation of
potential risks of food use pesticides, non-food use pesticides, and
related occupational exposures, EPA intends to apply risk assessment
techniques developed in implementing FQPA to any pesticide risk
assessment, whether it falls under FQPA or not, so long as application
of the risk assessment technique is consistent with good scientific
practice and is not otherwise prohibited by law. Specifically, this
will include using an additional safety/uncertainty factor to protect
children, considering aggregate exposures to pesticides from multiple
sources, and considering cumulative effects which may occur from
exposure to multiple pesticides with a common mechanism of toxicity.
Moreover, risks will be explicitly reported for individuals who had not
been explicitly considered, specifically workers age 12 to 17 and
children taken into agricultural fields.
    Taking this step at this time has important environmental justice
ramifications. EPA's commitment to environmental justice compels the
Agency to act expeditiously, where consistent with statutory authority,
to incorporate the risk assessment techniques developed in the
implementation of FQPA in assessing pesticide risks under FIFRA.

List of Subjects

    Environmental protection, Pesticides and pests.

    Dated: December 1, 2009.
Debra Edwards,
Director, Office of Pesticide Programs.

[FR Doc. E9-29209 Filed 12-08-09; 8:45 am]

BILLING CODE 6560-50-S


[Federal Register Volume 84, Number 227 (Monday, November 25, 2019)]
[Notices]
[Page 64883]
[FR Doc No: 2019-25526]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

[Docket No. ER20-384-000]

Maverick Wind Project Holdings LLC; Supplemental Notice That
Initial Market-Based Rate Filing Includes Request for Blanket Section
204 Authorization

    This is a supplemental notice in the above-referenced Maverick Wind
Project Holdings, LLC's application for market-based rate authority,
with an accompanying rate tariff, noting that such application includes
a request for blanket authorization, under 18 CFR part 34, of future
issuances of securities and assumptions of liability.
    Any person desiring to intervene or to protest should file with the
Federal Energy Regulatory Commission, 888 First Street NE, Washington,
DC 20426, in accordance with Rules 211 and 214 of the Commission's
Rules of Practice and Procedure (18 CFR 385.211 and 385.214). Anyone
filing a motion to intervene or protest must serve a copy of that
document on the Applicant.
    Notice is hereby given that the deadline for filing protests with
regard to the applicant's request for blanket authorization, under 18
CFR part 34, of future issuances of securities and assumptions of
liability, is December 9, 2019.
    The Commission encourages electronic submission of protests and
interventions in lieu of paper, using the FERC Online links at http://www.ferc.gov. To facilitate electronic service, persons with internet
access who will eFile a document and/or be listed as a contact for an
intervenor must create and validate an eRegistration account using the
eRegistration link. Select the eFiling link to log on and submit the
intervention or protests.
    Persons unable to file electronically should submit an original and
5 copies of the intervention or protest to the Federal Energy
Regulatory Commission, 888 First Street NE, Washington, DC 20426.
    The filings in the above-referenced proceeding are accessible in
the Commission's eLibrary system by clicking on the appropriate link in
the above list. They are also available for electronic review in the
Commission's Public Reference Room in Washington, DC. There is an
eSubscription link on the website that enables subscribers to receive
email notification when a document is added to a subscribed docket(s).
For assistance with any FERC Online service, please email
<EMAIL_ADDRESS>or call<PHONE_NUMBER> (toll free). For
TTY, call<PHONE_NUMBER>.

    Dated: November 19, 2019.
Nathaniel J. Davis, Sr.,
Deputy Secretary.
[FR Doc. 2019-25526 Filed 11-22-19; 8:45 am]
 BILLING CODE 6717-01-P


[Federal Register Volume 83, Number 190 (Monday, October 1, 2018)]
[Rules and Regulations]
[Pages 49297-49298]
[FR Doc No: 2018-21150]

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ENVIRONMENTAL PROTECTION AGENCY

40 CFR Part 52

[EPA-R01-OAR-2016-0166; FRL-9984-17--Region 1]

Air Plan Approval; Connecticut; Plan Submittals for the 2008
Ozone National Ambient Air Quality Standard

AGENCY: Environmental Protection Agency (EPA).

ACTION: Final rule.

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SUMMARY: The Environmental Protection Agency (EPA) is approving State
Implementation Plan (SIP) revisions submitted by the State of
Connecticut. The SIP revisions are for the Greater Connecticut and the
Connecticut portion of the New York-Northern New Jersey-Long Island,
NY-NJ-CT moderate ozone nonattainment areas. EPA is approving
submittals which include 2011 base year emissions inventories, an
emissions statement certification, reasonable further progress (RFP)
demonstrations, reasonably available control measures (RACM) analyses,
motor vehicle emissions budgets, and contingency measures. This action
is being taken in accordance with the Clean Air Act (CAA).

DATES: This rule is effective on October 31, 2018.

ADDRESSES: EPA has established a docket for this action under Docket
Identification No. EPA-R01-OAR-2016-0168. All documents in the docket
are listed on the https://www.regulations.gov website. Although listed
in the index, some information is not publicly available, i.e., CBI or
other information whose disclosure is restricted by statute. Certain
other material, such as copyrighted material, is not placed on the
internet and will be publicly available only in hard copy form.
Publicly available docket materials are available at https://www.regulations.gov or at the U.S. Environmental Protection Agency, EPA
Region 1 Regional Office, Office of Ecosystem Protection, Air Quality
Planning Unit, 5 Post Office Square-Suite 100, Boston, MA. EPA requests
that if at all possible, you contact the contact listed in the FOR
FURTHER INFORMATION CONTACT section to schedule your inspection. The
Regional Office's official hours of business are Monday through Friday,
8:30 a.m. to 4:30 p.m., excluding legal holidays.

FOR FURTHER INFORMATION CONTACT: Bob McConnell, Environmental Engineer,
Air Quality Planning Unit, Air Programs Branch (Mail Code OEP05-02),
U.S. Environmental Protection Agency, Region 1, 5 Post Office Square,
Suite 100, Boston, Massachusetts, 02109-3912;<PHONE_NUMBER>;
[email protected].

SUPPLEMENTARY INFORMATION: Throughout this document whenever ``we,''
``us,'' or ``our'' is used, we mean EPA.

Table of Contents

I. Background and Purpose
II. Response to Comments
III. Final Action
IV. Statutory and Executive Order Reviews

I. Background and Purpose

    On August 3, 2018 (83 FR 38104), EPA published a Notice of Proposed
Rulemaking (NPRM) for the State of Connecticut. The NPRM proposed
approval of 2011 base year emissions inventories, an emissions
statement certification, reasonable further progress (RFP)
demonstrations, reasonably available control measures (RACM) analyses,
motor vehicle emissions budgets, and contingency measures for the
Greater Connecticut and the Connecticut portion of the New York-
Northern New Jersey-Long Island, NY-NJ-CT moderate ozone nonattainment
areas. These submittals were made to meet, in part, requirements for
moderate areas for the 2008 ozone national ambient air quality standard
(NAAQS). Other specific requirements of Connecticut's SIP revisions for
the 2008 ozone NAAQS and the rationale for EPA's proposed action are
explained in the NPRM and will not be restated here.

II. Response to Comments

    We received a number of anonymous comments that address subjects
outside the scope of our proposed action, do not explain (or provide a
legal basis for) how the proposed action should differ in any way, and
make no specific mention of the substantive aspects of the proposed
action. Consequently, these comments are not germane to this rulemaking
and require no further response.

III. Final Action

    EPA is approving revisions to the Connecticut SIP for the Greater
Connecticut and the Connecticut portion of the New York-Northern New
Jersey-Long Island, NY-NJ-CT moderate ozone nonattainment areas. EPA is
approving submittals which include 2011 base year emissions
inventories, an emissions statement certification, reasonable further
progress (RFP) demonstrations, reasonably available control measures
(RACM) analyses, motor vehicle emissions budgets, and contingency
measures.

IV. Statutory and Executive Order Reviews

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

Management and Budget under Executive Orders 12866 (58 FR 51735,
October 4, 1993) and 13563 (76 FR 3821, January 21, 2011);
     This action is not an Executive Order 13771 regulatory
action because this action is not significant under Executive Order
12866;
     Does not impose an information collection burden under the
provisions of the Paperwork Reduction Act (44 U.S.C. 3501 et seq.);
     Is certified as not having a significant economic impact
on a substantial number of small entities under the Regulatory
Flexibility Act (5 U.S.C. 601 et seq.);
     Does not contain any unfunded mandate or significantly or
uniquely affect small governments, as described in the Unfunded
Mandates Reform Act of 1995 (Pub. L. 104-4);
     Does not have Federalism implications as specified in
Executive Order 13132 (64 FR 43255, August 10, 1999);
     Is not an economically significant regulatory action based
on health or safety risks subject to Executive Order 13045 (62 FR
19885, April 23, 1997);
     Is not a significant regulatory action subject to
Executive Order 13211 (66 FR 28355, May 22, 2001);
     Is not subject to requirements of Section 12(d) of the
National Technology Transfer and Advancement Act of 1995 (15 U.S.C. 272
note) because application of those requirements would be inconsistent
with the Clean Air Act; and
     Does not provide EPA with the discretionary authority to
address, as appropriate, disproportionate human health or environmental
effects, using practicable and legally permissible methods, under
Executive Order 12898 (59 FR 7629, February 16, 1994).
    In addition, the SIP is not approved to apply on any Indian
reservation land or in any other area where EPA or an Indian tribe has
demonstrated that a tribe has jurisdiction. In those areas of Indian
country, the rule does not have tribal implications and will not impose
substantial direct costs on tribal governments or preempt tribal law as
specified by Executive Order 13175 (65 FR 67249, November 9, 2000).
    The Congressional Review Act, 5 U.S.C. 801 et seq., as added by the
Small Business Regulatory Enforcement Fairness Act of 1996, generally
provides that before a rule may take effect, the agency promulgating
the rule must submit a rule report, which includes a copy of the rule,
to each House of the Congress and to the Comptroller General of the
United States. EPA will submit a report containing this action and
other required information to the U.S. Senate, the U.S. House of
Representatives, and the Comptroller General of the United States prior
to publication of the rule in the Federal Register. A major rule cannot
take effect until 60 days after it is published in the Federal
Register. This action is not a ``major rule'' as defined by 5 U.S.C.
804(2).
    Under section 307(b)(1) of the Clean Air Act, petitions for
judicial review of this action must be filed in the United States Court
of Appeals for the appropriate circuit by November 30, 2018. Filing a
petition for reconsideration by the Administrator of this final rule
does not affect the finality of this action for the purposes of
judicial review nor does it extend the time within which a petition for
judicial review may be filed, and shall not postpone the effectiveness
of such rule or action. This action may not be challenged later in
proceedings to enforce its requirements. (See section 307(b)(2).)

List of Subjects in 40 CFR Part 52

    Environmental protection, Air pollution control, Incorporation by
reference, Nitrogen dioxide, Ozone, Reporting and recordkeeping
requirements, Volatile organic compounds.

    Dated: September 24, 2018.
Alexandra Dunn,
Regional Administrator, EPA Region 1.

    Part 52 of chapter I, title 40 of the Code of Federal Regulations
is amended as follows:

PART 52--APPROVAL AND PROMULGATION OF IMPLEMENTATION PLANS

0
1. The authority citation for part 52 continues to read as follows:

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

Subpart H--Connecticut

0
2. Section 52.377 is amended by adding paragraph (t) to read as
follows:

Sec.  52.377   Control strategy: Ozone.

* * * * *
    (t) Approval. Revisions to the State Implementation Plan submitted
by the Connecticut Department of Energy and Environmental Protection on
January 17, 2017, September 5, 2017, and August 8, 2017, to meet, in
part, requirements of the 2008 ozone NAAQS. These revisions satisfy the
rate of progress requirement of section 182(b) through 2017, the
contingency measure requirements of section 182(c)(9), the emission
statement requirements of section 182(a)(3)(B), and the reasonably
available control measure requirement of section 172(c)(1) for the
Connecticut portion of the New York-Northern New Jersey-Long Island,
NY-NJ-CT area, and the Greater Connecticut moderate ozone nonattainment
areas. The January 17, 2017 revision establishes motor vehicle
emissions budgets for 2017 of 15.9 tons per day of VOC and 22.2 tons
per day of NOX to be used in transportation conformity in
the Greater Connecticut moderate ozone nonattainment area. The August
8, 2017 revision establishes motor vehicle emissions budgets for 2017
of 17.6 tons per day of VOC and 24.6 tons per day of NOX to
be used in transportation conformity in the Connecticut portion of the
New York-Northern New Jersey-Long Island, NY-NJ-CT moderate ozone
nonattainment area.

0
3. Section 52.384 is amended by adding paragraph (e) to read as
follows:

Sec.  52.384   Emission inventories.

* * * * *
    (e) The State of Connecticut submitted base year emission
inventories representing emissions for calendar year 2011 from the
Connecticut portion of the NY-NJ-CT moderate 8-hour ozone nonattainment
area and the Greater Connecticut moderate 8-hour ozone nonattainment
area on March 9, 2016, as revisions to the State's SIP. The 2011 base
year emission inventory requirement of section 182(a)(1) of the Clean
Air Act, as amended in 1990, has been satisfied for these areas. The
inventories consist of emission estimates of volatile organic compounds
and nitrogen oxides, and cover point, area, non-road mobile, on-road
mobile and biogenic sources. The inventories were submitted as
revisions to the SIP in partial fulfillment of obligations for
nonattainment areas under EPA's 2008 8-hour ozone standard.

[FR Doc. 2018-21150 Filed 9-28-18; 8:45 am]
 BILLING CODE 6560-50-P


[Federal Register Volume 79, Number 99 (Thursday, May 22, 2014)]
[Notices]
[Pages 29479-29480]
[FR Doc No: 2014-11828]

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DEPARTMENT OF TRANSPORTATION

Federal Aviation Administration

[Summary Notice No. PE-2014-30 ]

Petition for Exemption; Summary of Petition Received

AGENCY: Federal Aviation Administration (FAA), DOT.

ACTION: Notice of petition for exemption received.

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SUMMARY: This notice contains a summary of a petition seeking relief
from specified requirements of Title 14, Code of Federal Regulations
(14 CFR). The purpose of this notice is to improve the public's
awareness of, and participation in, this aspect of the FAA's regulatory
activities. Neither publication of this notice nor the inclusion or
omission of information in the summary is intended to affect the legal
status of the petition or its final disposition.

DATES: Comments on this petition must identify the petition docket
number involved and must be received on or before June 11, 2014.

ADDRESSES: You may send comments identified by docket number FAA-

2013-1052 using any of the following methods:
     Government-wide rulemaking Web site: Go to http://www.regulations.gov and follow the instructions for sending your
comments digitally.
     Mail: Send comments to the Docket Management Facility;
U.S. Department of Transportation, 1200 New Jersey Avenue SE., West
Building Ground Floor, Room W12-140, Washington, DC 20590.
     Fax: Fax comments to the Docket Management Facility at
202-493-2251.
     Hand Delivery: Bring comments to the Docket Management
Facility in Room W12-140 of the West Building Ground Floor at 1200 New
Jersey Avenue SE., Washington, DC, between 9 a.m. and 5 p.m., Monday
through Friday, except Federal holidays.
    Privacy: We will post all comments we receive, without change, to
http://www.regulations.gov, including any personal information you
provide. Using the search function of our docket Web site, anyone can
find and read the comments received into any of our dockets, including
the name of the individual sending the comment (or signing the comment
for an association, business, labor union, etc.). You may review the
DOT's complete Privacy Act Statement in the Federal Register published
on April 11, 2000 (65 FR 19477-78).
    Docket: To read background documents or comments received, go to
http://www.regulations.gov at any time or to the Docket Management
Facility in Room W12-140 of the West Building Ground Floor at 1200 New
Jersey Avenue SE., Washington, DC, between 9 a.m. and 5 p.m., Monday
through Friday, except Federal holidays.

FOR FURTHER INFORMATION CONTACT: Mark Forseth, ANM-113,<PHONE_NUMBER>,
Federal Aviation Administration, 1601 Lind Avenue SW., Renton, WA
98057-3356, or Sandra Long, ARM-201, Office of Rulemaking, Federal
Aviation Administration, 800 Independence Avenue SW; Washington, DC
20591; email<EMAIL_ADDRESS>(202) 267-4714.
    This notice is published pursuant to 14 CFR 11.85.

    Issued in Washington, DC, on May 16, 2014.
Lirio Liu,
Director, Office of Rulemaking.

Petition for Exemption

    Docket No.: FAA-2013-1052.
    Petitioner: Embraer.
    Section of 14 CFR Affected: Sec.  25.813(e).
    Description of Relief Sought: The petitioner seeks relief to allow
the installation of an electrically activated lavatory pocket door
between passenger compartments and an emergency exit on Embraer Model
EMB-545/550 airplanes.

[FR Doc. 2014-11828 Filed 5-21-14; 8:45 am]
BILLING CODE 4910-13-P


[Federal Register Volume 88, Number 57 (Friday, March 24, 2023)]
[Rules and Regulations]
[Pages 17682-17685]
[FR Doc No: 2023-05705]

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DEPARTMENT OF TRANSPORTATION

Federal Aviation Administration

14 CFR Part 39

[Docket No. FAA-2022-0679; Project Identifier MCAI-2021-01213-T;
Amendment 39-22392; AD 2023-06-06]
RIN 2120-AA64

Airworthiness Directives; MHI RJ Aviation ULC (Type Certificate
Previously Held by Bombardier, Inc.) Airplanes

AGENCY: Federal Aviation Administration (FAA), DOT.

ACTION: Final rule.

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SUMMARY: The FAA is adopting a new airworthiness directive (AD) for all
MHI RJ Aviation ULC Model CL-600-2C10 (Regional Jet Series 700, 701 &
702) airplanes, Model CL-600-2C11 (Regional Jet Series 550) airplanes,
Model CL-600-2D15 (Regional Jet Series 705) airplanes, Model CL-600-
2D24 (Regional Jet Series 900) airplanes, and Model CL-600-2E25
(Regional Jet Series 1000) airplanes. This AD was prompted by a
determination that new and more restrictive airworthiness limitations
are necessary. This AD requires revising the existing maintenance or
inspection program, as applicable, to incorporate two aircraft
maintenance manual (AMM) tasks. The FAA is issuing this AD to address
the unsafe condition on these products.

DATES: This AD is effective April 28, 2023.

ADDRESSES: AD Docket: You may examine the AD docket at regulations.gov
under Docket No. FAA-2022-0679; or in person at Docket Operations
between 9 a.m. and 5 p.m., Monday through Friday, except Federal
holidays. The AD docket contains this final rule, the mandatory
continuing airworthiness information (MCAI), any comments received, and
other information. The address for Docket Operations is U.S. Department
of Transportation, Docket Operations, M-30, West Building, Ground
Floor, Room W12-140, 1200 New Jersey Avenue SE, Washington, DC 20590.

FOR FURTHER INFORMATION CONTACT: Chirayu A. Gupta, Aerospace Engineer,
Airframe and Propulsion Section, FAA, New York ACO Branch, 1600 Stewart
Avenue, Suite 410, Westbury, NY 11590; telephone<PHONE_NUMBER>; email [email protected].

SUPPLEMENTARY INFORMATION:

Background

    The FAA issued a notice of proposed rulemaking (NPRM) to amend 14
CFR part 39 by adding an AD that would apply to all MHI RJ Aviation ULC
Model CL-600-2C10 (Regional Jet Series 700, 701 & 702) airplanes, Model
CL-600-2C11 (Regional Jet Series 550) airplanes, Model CL-600-2D15
(Regional Jet Series 705) airplanes, Model CL-600-2D24 (Regional Jet
Series 900) airplanes, and Model CL-600-2E25 (Regional Jet Series 1000)
airplanes. The NPRM published in the Federal Register on June 16, 2022
(87 FR 36269). The NPRM was prompted by AD CF-2021-38, dated November
5, 2021 (TCCA AD CF-2021-38), issued by Transport Canada, which is the
aviation authority for Canada. TCCA AD CF-2021-38 states that a report
was received of the emergency ram air valve part number GG670-95019-1
stuck in closed or partially open positions. An investigation revealed
that the emergency ram air valve is failing due to corrosion of
multiple sub-components, which causes an increase in the breakaway
torque that cannot be overcome by the valve actuator.
    In the NPRM, the FAA proposed to require revising the existing
maintenance or inspection program, as applicable, to incorporate new or
more restrictive airworthiness limitations.
    The FAA issued a supplemental notice of proposed rulemaking (SNPRM)
to amend 14 CFR part 39 by adding an AD that would apply to all MHI RJ
Aviation ULC Model CL-600-2C10 (Regional Jet Series 700, 701 & 702)
airplanes, Model CL-600-2C11 (Regional Jet Series 550) airplanes, Model
CL-600-2D15 (Regional Jet Series 705) airplanes, Model CL-600-2D24
(Regional Jet Series 900) airplanes, and Model CL-600-2E25 (Regional
Jet Series 1000) airplanes. The SNPRM published in the Federal Register
on January 13, 2023 (88 FR 2279). The SNPRM was prompted by a
determination that the existing maintenance or inspection program, as
applicable, must be revised to incorporate two AMM tasks. In addition,
Transport Canada revised AD CF-2021-38, dated November 5, 2021, and
issued Transport Canada AD CF-2021-38R1, dated May 25, 2022 (TCCA AD
CF-2021-38R1). In the SNPRM, the FAA proposed to require revising the
existing maintenance or inspection program, as applicable, to
incorporate two AMM tasks. The FAA is issuing this AD to address in-
service reports of emergency ram air valve part number (P/N) GG670-
95019-1 stuck in closed or partially open positions, which, if not

corrected could result in a complete loss of outside air supply,
leading to an increase in flight deck and cabin temperatures and a
possible increased level of contaminated air (carbon monoxide, carbon
dioxide, or ozone).
    You may examine TCCA AD CF-2021-38 and TCCA AD CF-2021-38R1 in the
AD docket at regulations.gov under Docket No. FAA-2022-0679.

Discussion of Final Airworthiness Directive

Comments

    The FAA received no comments on the SNPRM or on the determination
of the cost to the public.

Conclusion

    This product has been approved by the aviation authority of another
country and is approved for operation in the United States. Pursuant to
the FAA's bilateral agreement with this State of Design Authority, it
has notified the FAA of the unsafe condition described in the TCCA AD
referenced above. The FAA reviewed the relevant data and determined
that air safety requires adopting this AD as proposed. Accordingly, the
FAA is issuing this AD to address the unsafe condition on this product.
Except for minor editorial changes, this AD is adopted as proposed in
the SNPRM. None of the changes will increase the economic burden on any
operator.

Costs of Compliance

    The FAA estimates that this AD affects 1,158 airplanes of U.S.
registry. The FAA estimates the following costs to comply with this AD:
    The FAA has determined that revising the maintenance or inspection
program takes an average of 90 work-hours per operator, although the
agency recognizes that this number may vary from operator to operator.
Since operators incorporate maintenance or inspection program changes
for their affected fleet(s), the FAA has determined that a per-operator
estimate is more accurate than a per-airplane estimate. Therefore, the
agency estimates the average total cost per operator to be $7,650 (90
work-hours x $85 per work-hour).

Authority for This Rulemaking

    Title 49 of the United States Code specifies the FAA's authority to
issue rules on aviation safety. Subtitle I, section 106, describes the
authority of the FAA Administrator. Subtitle VII: Aviation Programs,
describes in more detail the scope of the Agency's authority.
    The FAA is issuing this rulemaking under the authority described in
Subtitle VII, Part A, Subpart III, Section 44701: General requirements.
Under that section, Congress charges the FAA with promoting safe flight
of civil aircraft in air commerce by prescribing regulations for
practices, methods, and procedures the Administrator finds necessary
for safety in air commerce. This regulation is within the scope of that
authority because it addresses an unsafe condition that is likely to
exist or develop on products identified in this rulemaking action.

Regulatory Findings

    This AD will not have federalism implications under Executive Order
13132. This AD will not have a substantial direct effect on the States,
on the relationship between the national government and the States, or
on the distribution of power and responsibilities among the various
levels of government.
    For the reasons discussed above, I certify that this AD:
    (1) Is not a ``significant regulatory action'' under Executive
Order 12866,
    (2) Will not affect intrastate aviation in Alaska, and
    (3) Will not have a significant economic impact, positive or
negative, on a substantial number of small entities under the criteria
of the Regulatory Flexibility Act.

List of Subjects in 14 CFR Part 39

    Air transportation, Aircraft, Aviation safety, Incorporation by
reference, Safety.

The Amendment

    Accordingly, under the authority delegated to me by the
Administrator, the FAA amends 14 CFR part 39 as follows:

PART 39--AIRWORTHINESS DIRECTIVES

0
1. The authority citation for part 39 continues to read as follows:

    Authority:  49 U.S.C. 106(g), 40113, 44701.

Sec.  39.13  [Amended]

0
2. The FAA amends Sec.  39.13 by adding the following new airworthiness
directive:

2023-06-06 MHI RJ Aviation ULC (Type Certificate Previously Held by
Bombardier, Inc.): Amendment 39-22392; Docket No. FAA-2022-0679;
Project Identifier MCAI-2021-01213-T.

(a) Effective Date

    This airworthiness directive (AD) is effective April 28, 2023.

(b) Affected ADs

    None.

(c) Applicability

    This AD applies to MHI RJ Aviation ULC airplanes, certificated
in any category, identified in paragraphs (c)(1) through (5) of this
AD.
    (1) Model CL-600-2C10 (Regional Jet Series 700, 701 & 702)
airplanes.
    (2) Model CL-600-2C11 (Regional Jet Series 550) airplanes.
    (3) Model CL-600-2D15 (Regional Jet Series 705) airplanes.
    (4) Model CL-600-2D24 (Regional Jet Series 900) airplanes.
    (5) Model CL-600-2E25 (Regional Jet Series 1000) airplanes.

(d) Subject

    Air Transport Association (ATA) of America Code: 21, Air
conditioning.

(e) Reason

    This AD was prompted by a determination that the existing
maintenance or inspection program, as applicable, must be revised to
incorporate two aircraft maintenance manual (AMM) tasks. The FAA is
issuing this AD to address in-service reports of emergency ram air
valve part number (P/N) GG670-95019-1 stuck in closed or partially
open positions, which, if not corrected could result in a complete
loss of outside air supply, leading to an increase in flight deck
and cabin temperatures and a possible increased level of
contaminated air (carbon monoxide, carbon dioxide, or ozone).

(f) Compliance

    Comply with this AD within the compliance times specified,
unless already done.

(g) Maintenance or Inspection Program Revision

    (1) Within 90 days after the effective date of this AD, revise
the existing maintenance or inspection program, as applicable, to
incorporate the information specified in figure 1 to the
introductory text of paragraph (g)(1) of this AD. The initial
compliance time for doing the task is at the applicable time
specified in paragraph (g)(1)(i) or (ii) of this AD.

Figure 1 to the introductory text of paragraph (g)(1)--AMM Task for
the Ram-Air Valve

[GRAPHIC] [TIFF OMITTED] TR24MR23.000

    (i) For airplanes that have accumulated less than 1,800 flight
hours since the last operational check of the ram air shutoff valve
was performed as specified in AMM Task 21-52-04-710-801-A01, and for
airplanes that have accumulated less than 1,800 flight hours from
the date of issuance of the original airworthiness certificate or
original export certificate of airworthiness: Within 90 days after
the effective date of this AD, or before accumulating 1,800 total
flight hours, whichever occurs later.
    (ii) For airplanes that have accumulated 1,800 flight hours or
more since the last operational check of the ram air shutoff valve
was performed as specified in AMM Task 21-52-04-710-801-A01, and for
airplanes that have accumulated 1,800 flight hours or more since the
date of issuance of the original airworthiness certificate or
original export certificate of airworthiness and for which no
operational check of the valve has been performed: Within 90 days
after the effective date of this AD or before accumulating 3,000
total flight hours, whichever occurs later.
    (2) Within 90 days after the effective date of this AD, revise
the existing maintenance or inspection program, as applicable, to
incorporate the information specified in figure 2 to the
introductory text of paragraph (g)(2) of this AD. The initial
compliance time for doing the task is at the applicable time
specified in paragraph (g)(2)(i) or (ii) of this AD.

Figure 2 to the introductory text of paragraph (g)(2)--AMM Task for
the Pack Discharge and Ram-Air Supply Ducts
[GRAPHIC] [TIFF OMITTED] TR24MR23.001

    (i) For airplanes that have accumulated less than 17,600 flight
hours since the last detailed inspection of the pack discharge and
ram air supply ducts was performed as specified in AMM Task 21-51-
00-220-801-A01, and for airplanes that have accumulated less than
17,600 flight hours since the date of issuance of the original
airworthiness certificate or original export certificate of
airworthiness: Within 90 days after the effective date of this AD,
or before accumulating 17,600 total flight hours, whichever occurs
later.
    (ii) For airplanes that have accumulated 17,600 flight hours or
more since the last detailed inspection of the pack discharge and
ram air supply ducts as specified in AMM Task 21-51-00-220-801-A01,
and for airplanes that have accumulated 17,600 flight hours or more
since the date of issuance of the original airworthiness certificate
or original export certificate of airworthiness, and for which no
detailed inspection of the pack discharge and ram air supply ducts
has been performed: Within 90 days after the effective date of this
AD.

(h) No Alternative Actions or Intervals

    After the existing maintenance or inspection program has been
revised as required by paragraph (g) of this AD, no alternative
actions (e.g., inspections) or intervals, may be used unless the
actions and intervals are approved as an alternative method of
compliance (AMOC) in accordance with the procedures specified in
paragraph (i)(1) of this AD.

(i) Other FAA AD Provisions

    The following provisions also apply to this AD:
    (1) Alternative Methods of Compliance (AMOCs): The Manager, New
York ACO Branch, FAA, has the authority to approve AMOCs for this
AD, if requested using the

procedures found in 14 CFR 39.19. In accordance with 14 CFR 39.19,
send your request to your principal inspector or responsible Flight
Standards Office, as appropriate. If sending information directly to
the manager of the certification office, send it to ATTN: Program
Manager, Continuing Operational Safety, FAA, New York ACO Branch,
1600 Stewart Avenue, Suite 410, Westbury, NY 11590; telephone 516-
228-7300. Before using any approved AMOC, notify your appropriate
principal inspector, or lacking a principal inspector, the manager
of the responsible Flight Standards Office.
    (2) Contacting the Manufacturer: For any requirement in this AD
to obtain instructions from a manufacturer, the instructions must be
accomplished using a method approved by the Manager, New York ACO
Branch, FAA; or Transport Canada Civil Aviation (TCCA); or MHI RJ
Aviation ULC's TCCA Design Approval Organization (DAO). If approved
by the DAO, the approval must include the DAO-authorized signature.

(j) Additional Information

    (1) Refer to Transport Canada AD CF-2021-38R1, dated May 25,
2022, for related information. This Transport Canada AD may be found
in the AD docket at regulations.gov under Docket No. FAA-2022-0679.
    (2) For more information about this AD, contact Chirayu A.
Gupta, Aerospace Engineer, Airframe and Propulsion Section, FAA, New
York ACO Branch, 1600 Stewart Avenue, Suite 410, Westbury, NY 11590;
telephone<PHONE_NUMBER>; email [email protected].

(k) Material Incorporated by Reference

    None.

    Issued on March 15, 2023.
Christina Underwood,
Acting Director, Compliance & Airworthiness Division, Aircraft
Certification Service.
[FR Doc. 2023-05705 Filed 3-23-23; 8:45 am]
BILLING CODE 4910-13-P


[Federal Register: May 3, 2010 (Volume 75, Number 84)]
[Notices]
[Page 23319-23325]
[DOCID:fr03my10-102]

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

DEPARTMENT OF TRANSPORTATION

Office of the Secretary of Transportation

Notice of Funding Availability for the Small Business
Transportation Resource Center Program

AGENCY: Office of the Secretary of Transportation (OST), Office of
Small and Disadvantaged Business Utilization (OSDBU), Department of
Transportation (DOT).

ACTION: Notice of Funding Availability.

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

SUMMARY: The Department of Transportation (DOT), Office of the
Secretary (OST), Office of Small and Disadvantaged Business Utilization
(OSDBU) announces the opportunity for; (1) Business centered community-
based organizations; (2) transportation-related trade associations; (3)
colleges and universities; (4) community colleges or; (5) chambers of
commerce, registered with the Internal Revenue Service as 501 C(6) or
501 C(3) tax-exempt organizations, to compete for participation in
OSDBU's Small Business Transportation Resource Center (SBTRC) program
in the Central Region, the Southeast Region, and the West Central
Region. The Southwest, South Atlantic, and Mid-South Atlantic Regions
have previously been competed in Fiscal Year 2010. The Great Lakes,
Gulf, Mid Atlantic, Northeast, and Northwest Regions will be competed
at a later date as their cooperative agreements expire.
    OSDBU will enter into Cooperative Agreements with these
organizations to outreach to the small business community in their
designated region and provide financial and technical assistance,
business training programs, such as, business assessment, management
training, counseling, technical assistance, marketing and outreach, and
the dissemination of information, to encourage and assist small
businesses to become better prepared to compete for, obtain, and manage
DOT funded transportation-related contracts and subcontracts at the
Federal, State and local levels.

Throughout this notice, the term ``small business'' will refer to:
8(a), Disadvantaged business enterprises (DBE), women owned small
business (WOB), HubZone, service disabled veteran owned business
(SDVOB), and veteran owned small business (VOSB). Throughout this
notice, ``transportation-related'' is defined as the maintenance,
rehabilitation, restructuring, improvement, or revitalization of any of
the nation's modes of transportation.
    Funding Opportunity Number: USDOT-OST-OSDBU-SBTRC2010-3.
    Catalog of Federal Domestic Assistance (CFDA) Number: 20.910
Assistance to small and disadvantaged businesses.
    Type of Award: Cooperative Agreement Grant.
    Award Ceiling: $150,000.
    Award Floor: $110,000.

    Program Authority: DOT is authorized under 49 U.S.C. 332 (b)
(4), (5) &(7) to design and carry out programs to assist small
disadvantaged businesses in getting transportation-related contracts
and subcontracts develop support mechanisms, including management
and technical services, that will enable small disadvantaged
businesses to take advantage of those business opportunities; and to
make arrangements to carry out the above purposes.

DATES: Complete Proposals must be electronically submitted to OSDBU via
e-mail on or before June 2, 2010, 5 p.m. Eastern Standard Time.
Proposals received after the deadline will be considered non-responsive
and will not be reviewed. The applicant is advised to turn on request
delivery receipt notification for e-mail submissions. DOT plans to give
notice of awards for the competed regions on or before June 30, 2010.

ADDRESSES: Applications must be electronically submitted to OSDBU via
e-mail at<EMAIL_ADDRESS>
FOR FURTHER INFORMATION CONTACT: For further information concerning
this notice, contact Mr. Arthur D. Jackson, U.S. Department of
Transportation, Office of Small and Disadvantaged Business Utilization,
1200 New Jersey Avenue, SE. W56-462, Washington, DC 20590. Telephone:
1-800-532-1169. E-mail<EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION:

Table of Contents

1. Introduction
    1.1 Background
    1.2 Program Description and Goals
    1.3 Description of Competition
    1.4 Duration of Agreements
    1.5 Authority
    1.6 Eligibility Requirements
2. Program Requirements
    2.1 Recipient Responsibilities
    2.2 Office of Small and Disadvantaged Business
    Utilization Responsibilities
3. Submission of Proposals
    3.1 Format for Proposals
    3.2 Address, Number of Copies, Deadline for Submission
4. Selection Criteria
    4.1 General Criteria
    4.2 Scoring of Applications
    4.3 Conflicts of Interest
Format for Proposals--Appendix A

Full Text of Announcement

1. Introduction

1.1 Background

    The United States Department of Transportation (DOT) established
the Office of Small and Disadvantaged Business Utilization (OSDBU) in
accordance with Public Law 95-507, an amendment to the Small Business
Act and the Small Business Investment Act of 1958.
    The mission of OSDBU at DOT is to ensure that the small and
disadvantaged business policies and goals of the Secretary of
Transportation are developed and implemented in a fair, efficient and
effective manner to serve small and disadvantaged businesses throughout
the country. The OSDBU also administers the provisions of Title 49,
Section 332, the Minority Resource Center (MRC) which includes the
duties of advocacy, outreach and financial services on behalf of small
and disadvantaged business and those certified under CFR 49 parts 23
and or 26 as Disadvantaged Business Enterprises (DBE) and the
development of programs to encourage, stimulate, promote and assist
small businesses to become better prepared to compete for, obtain and
manage transportation-related contracts, and subcontracts.
    The Regional Partnerships Division of OSDBU, through the SBTRC
program allows OSDBU to partner with local organizations to offer a
comprehensive delivery system of business training, technical
assistance and dissemination of information, targeted towards small
business transportation enterprises in their regions.

1.2 Program Description and Goals

    The national SBTRC program utilizes Cooperative Agreements with
chambers of commerce, trade associations, educational institutions and
business-centered community based organizations to establish SBTRCs to
provide business training, technical assistance and information to DOT
grantees and recipients, prime contractors and subcontractors. In order
to be effective and serve their target audience, the SBTRCs must be
active in the local transportation community in order to identify and
communicate opportunities and provide the required technical
assistance. SBTRCs must already have, or demonstrate the ability to
establish working relationships with the State and local transportation
agencies and technical assistance agencies (i.e., The U.S. Department
of Commerce's Minority Business Development Centers (MBDCs), Small
Business Development Centers (SBDCs), Procurement Technical Assistance
Centers (PTACs), SCORE and State DOT highway supportive services
contractors in their region. Utilizing these relationships and their
own expertise, the SBTRCs are involved in activities such as
information dissemination, small business counseling, and technical
assistance with small businesses currently doing business with public
and private entities in the transportation industry.
    Effective outreach is critical to the success of the SBTRC program.
In order for their outreach efforts to be effective, SBTRCs must be
familiar with DOT's Operating Administrations, its funding sources, and
how funding is awarded to DOT grantees, recipients, contractors,
subcontractors, and its financial assistance programs. SBTRCs must
outreach to the regional small business transportation community to
disseminate information and distribute DOT-published marketing
materials, such as STLP Program Information, Bonding Assistance
information, SBTRC brochures and literature, Procurement Forecasts;
Contracting with DOT booklets, and any other materials or resources
that DOT or OSDBU may develop for this purpose. To maximize outreach,
the SBTRC may be called upon to participate in regional and national
conferences and seminars. Quantities of DOT publications for on-hand
inventory and dissemination at conferences and seminars will be
available upon request from the OSDBU office.

1.3 Description of Competition

    The purpose of this RFP is to solicit proposals from
transportation-related trade associations, chambers of commerce,
community based entities, colleges and universities, community
colleges, and any other qualifying transportation-related non-profit
organizations with the desire and ability to partner with OSDBU to
establish and maintain an SBTRC.
    It is OSDBU's intent to award Cooperative Agreement to one
organization in each of the designated geographical area(s), from
herein

referred to as ``region(s)'', competed in this solicitation. However,
if warranted, OSDBU reserves the option to make multiple awards to
selected partners. Proposals submitted for a region must contain a plan
to service the entire region, not just the SBTRC State or local
geographical area. The region's SBTRC headquarters must be established
in the designated State set forth below. Submitted proposals must also
contain justification for the establishment of the SBTRC headquarters
in a particular city within the designated State.

              SBTRC Region(s) Competed in This Solicitation
------------------------------------------------------------------------

---------------------------------------------------------------------------
Central Region:
  Missouri, Headquarters.
  Arkansas.
  Iowa.
  Kansas.
  Minnesota.
Southeast Region:
  Florida, Headquarters.
  Alabama.
  Mississippi.
  Puerto Rico.
  Virgin Islands.
West Central Region:
  Colorado, Headquarters.
  Nebraska.
  North Dakota.
  South Dakota.
  Utah.
  Wyoming.
------------------------------------------------------------------------

    Program requirements and selection criteria, set forth in Sections
2 and 4 respectively, indicate, the OSDBU intends for the SBTRC to be
multidimensional; that is, the selected organizations must have the
capacity to effectively access and provide supportive services to the
broad range of small businesses within the respective geographical
region. To this end, the SBTRC must be able to demonstrate that they
currently have established relationships within the geographic region
with whom they may coordinate and establish effective networks with DOT
grant recipients and local/regional technical assistance agencies to
maximize resources.
    Cooperative agreement awards will be distributed to the region(s)
as follows:

Central Region................................  Up to $150,000 per year.
Southeast Region..............................  Up to $123,000 per year.
West Central Region...........................  Up to $110,000 per year.

    Cooperative agreement awards by region are based upon an analysis
of DBEs, Certified Small Businesses, and U.S. DOT transportation
dollars in each region.
    It is OSDBU's intent to maximize the benefits received by the small
business transportation community through the SBTRC. Funding may be
utilized to reimburse an on-site Project Director up to 100% of salary
plus fringe benefits, an on-site Executive Director up to 50% of salary
plus fringe benefits, the cost of designated SBTRC space, other direct
costs, and all other general and administrative expenses. Selected
SBTRC partners will be expected to provide in-kind administrative
support. Submitted proposals must contain an alternative funding source
with which the SBTRC will fund administrative support costs. Preference
will be given to proposals containing in-kind contributions for the
Project Director, the Executive Director, cost of designated SBTRC
space, other direct costs, and all other general and administrative
expenses.

1.4 Duration of Agreements

    Cooperative agreements will be awarded for a period of 12 months
(one year) with options for two (2) additional one year periods. OSDBU
will notify the SBTRC of our intention to exercise an option year or
not to exercise an option year 30 days in advance of expiration of the
current year.

1.5 Authority

    DOT is authorized under 49 U.S.C. 332(b)(4), (5) & (7) to design
and carry out programs to assist small disadvantaged businesses in
getting transportation-related contracts and subcontracts; develop
support mechanisms, including management and technical services, that
will enable small disadvantaged businesses to take advantage of those
business opportunities; and to make arrangements to carry out the above
purposes.

1.6 Eligibility Requirements

    To be eligible, an organization must be an established, nonprofit,
community-based organization, transportation-related trade association,
chamber of commerce, college or university, community college, and any
other qualifying transportation-related non-profit organization which
has the documented experience and capacity necessary to successfully
operate and administer a coordinated delivery system that provides
access for small businesses to prepare and compete for transportation-
related contracts.
    In addition, to be eligible, the applicant organization must:
    (A) Be an established 501C(3) or 501C(6) tax-exempt organization
and provide documentation as verification. No application will be
accepted without proof of tax-exempt status;
    (B) Have at least one year of documented and continuous experience
prior to the date of application in providing advocacy, outreach, and
technical assistance to small businesses within the region in which
proposed services will be provided. Prior performance providing
services to the transportation community is preferable, but not
required; and
    (C) Have an office physically located within the proposed city in
the designated headquarters State in the region for which they are
submitting the proposal that is readily accessible to the public.

2. Program Requirements

2.1 Recipient Responsibilities

(A) Assessments, Business Analyses
    1. Conduct an assessment of small businesses in the SBTRC region to
determine their training and technical assistance needs, and use
information that is available at no cost to structure programs and
services that will enable small business enterprises to become better
prepared to compete for and receive transportation-related contract
awards.
    2. Contact other Federal, State and local governmental agencies,
such as the U.S. Small Business Administration, (SBA), State and local
highway departments, State and local airport authorities, and transit
authorities to identify relevant and current information that may
support the assessment of the regional small business transportation
community needs.
(B) General Management & Technical Training and Assistance
    1. Utilize OSDBU's Intake Form to document each small business
assisted by the SBTRC and type of service(s) provided. The completed
form must be transmitted electronically to the SBTRC Program Manager on
a monthly basis, accompanied by a narrative report on the activities
and performance results

for that period. The data gathered must be supportive by the narrative
and must relate to the numerical data on the monthly reports.
    2. Ensure that an array of information is made available for
distribution to the small business transportation community that is
designed to inform and educate the community on DOT/OSDBU services and
opportunities.
    3. Coordinate efforts with OSDBU's National Information
Clearinghouse in order to maintain an on-hand inventory of DOT/OSDBU
informational materials for general dissemination and for distribution
at transportation-related conferences and other events.
(C) Business Counseling
    1. Collaborate with agencies, such as the SBA, U.S. Department of
Commerce's Minority Business Development Centers (MBDCs), Service Corps
of Retired Executives (SCORE), Procurement Technical Assistance Centers
(PTACs), and Small Business Development Centers (SBDCs), to offer a
broad range of counseling services to transportation-related small
business enterprises.
    2. Create a technical assistance plan that will provide each
counseled participant with the knowledge and skills necessary to
improve the management of their own small business to expand their
transportation-related contracts and subcontracts portfolio.
    3. Provide a minimum of 20 hours of individual or group counseling
sessions to small businesses per month.
(D) Planning Committee
    1. Establish a Regional Planning Committee consisting of at least 7
members that includes representatives from the regional community and
Federal, State, and local agencies. The highway, airport, and transit
authorities for the SBTRC's headquarters State must have representation
on the planning committee. This committee shall be established no later
than 60 days after the execution of the Cooperative agreement between
the OSDBU and the selected SBRTC.
    2. Provide a forum for the Federal, State, and local agencies to
disseminate information about upcoming procurements.
    3. Hold either monthly or quarterly meetings at a time and place
agreed upon by SBTRC and planning committee members.
    4. Use the initial session (teleconference call) by the SBTRC to
explain the mission of the committee and identify roles of the staff
and the members of the group.
    5. Responsibility for the agenda and direction of the Planning
Committee should be handled by the SBTRC Executive Director or his/her
designee.
(E) Outreach Services/Conference Participation
    1. Utilize the services of the Central Contractor Registration
(CCR) and other sources to construct a database of regional small
businesses that currently or may participate in DOT direct and DOT
funded transportation related contracts, and make this database
available to OSDBU, upon request.
    2. Utilize the database of regional transportation-related small
businesses to match opportunities identified through the planning
committee forum, FedBiz Opps, a Web-based system for posting
solicitations and other Federal procurement-related documents on the
Internet, and other sources to eligible small businesses and contact
the eligible small businesses about those opportunities.
    3. Develop a ``targeted'' database of firms (100-150) that have the
capacity and capabilities, and are ready, willing and able to
participate in DOT contracts and subcontracts immediately. This control
group will receive ample resources from the SBTRC, i.e., access to
working capital, bonding assistance, business counseling, management
assistance and direct referrals to DOT agencies at the State and local
levels, and to prime contractors as effective subcontractor firms.
    4. Identify regional, State and local conferences where a
significant number of small businesses, with transportation related
capabilities, are expected to be in attendance. Maintain and submit a
list of those events to the SBTRC Program Manager for review and for
posting on the OSDBU Web site on a monthly basis. Include
recommendations for OSDBU and/or SBTRC participation with the list.
    5. Conduct outreach and disseminate information to small businesses
at regional transportation-related conferences, seminars, and
workshops. In the event that the SBTRC is requested to participate in
an event, prior approval must be granted by the OSDBU prior to
participation. Upon OSDBU approval, the SBTRC will send DOT materials,
the OSDBU banner and other information that is deemed necessary for the
event.
    6. Submit a conference summary report to OSDBU no later than 5
business days after participation in the event or conference. The
conference summary report must summarize activities, contacts, outreach
results, and recommendations for continued or discontinued
participation in future similar events sponsored by that organization.
    7. Upon approval by OSDBU, coordinate efforts with DOT's grantees
and recipients at the State and/or local levels to sponsor or cosponsor
an OSDBU transportation related conference in the region.
(F) Loan and Bond Assistance
    1. Work with STLP participating banks and if not available, other
lending institutions, to deliver a minimum of five (5) seminars/
workshops per year on the STLP financial assistance program to the
transportation-related small business community. The seminar/workshop
must cover the entire STLP process, from completion of STLP loan
applications and preparation of the loan package to graduation from the
STLP.
    2. Provide direct support, technical support, and advocacy services
to potential STLP applicants to increase the probability of STLP loan
approval and generate a minimum of 5 approved STLP applications per
year.
    3. Work with local bond producers/agents in your region to deliver
a minimum of five (5) seminars/workshops to DBEs on the DOT ARRA BAP
and how the Reimbursable Fee Program works. A minimum of 10 DBE firms
per workshop should participate.
    4. Provide direct support, technical support, and advocacy services
to potential Disadvantaged Business Enterprise American Reinvestment
and Recovery Act of 2009 Bonding Assistance Reimbursable Fee Program
(DBE ARRA BAP) applicants to increase the probability of reimbursement
approval and generate a minimum of 5 approved DBE ARRA BAP applications
until September 8, 2010 or until notice of cessation in the event the
program is extended.
    5. Provide direct support, technical support, and advocacy services
to potential Bonding Assistance Program (BAP) applicants to increase
the probability of guaranteed bond approval and generate a minimum of 5
approved BAP applications per year from inception of the BAP program.
    (G) Furnish all labor, facilities and equipment to perform the
services described in this announcement.

2.2 Office of Small and Disadvantaged Business Utilization (OSDBU)
Responsibilities

    (A) Provide consultation and technical assistance in planning,
implementing and evaluating activities under this announcement.
    (B) Provide orientation and training to the applicant organization.

    (C) Monitor SBTRC activities, cooperative agreement compliance, and
overall SBTRC performance.
    (D) Assist SBTRC to develop or strengthen its relationships with
Federal, State, and local transportation authorities, other technical
assistance organizations, and DOT grantees.
    (E) Facilitate the exchange and transfer of successful program
activities and information among all SBTRC regions.
    (F) Provide the SBTRC with DOT/OSDBU materials and other relevant
transportation-related information for dissemination.
    (G) Maintain effective communication with the SBTRC and inform them
of transportation news and contracting opportunities to share with
small businesses in their region.
    (H) Provide all required forms to be used by the SBTRC for
reporting purposes under the program.
    (I) Perform an annual performance evaluation of the SBTRC.
Satisfactory performance is a condition of continued participation of
the organization as an SBTRC and execution of all option years.

3. Submission of Proposals

3.1 Format for Proposals

    Each proposal must be submitted to DOT's OSDBU in the format set
forth in the application form attached as Appendix A to this
announcement.

3.2 Address; Number of Copies; Deadlines for Submission

    Any eligible organization, as defined in Section 1.6 of this
announcement, will submit only one proposal per region for
consideration by OSDBU. Eligible organizations may submit proposals for
multiple regions.
    Applications must be double spaced, and printed in a font size not
smaller than 12 points. Applications will not exceed 35 single-sided
pages, not including any requested attachments.
    All pages should be numbered at the top of each page. All
documentation, attachments, or other information pertinent to the
application must be included in a single submission.
    Grant application packages must be submitted electronically to
OSDBU at<EMAIL_ADDRESS>The applicant is advised to turn on request
delivery receipt notification for e-mail submissions.
    Proposals must be received by DOT/OSDBU no later than June 2, 2010
5 p.m., EST.

4. Selection Criteria

4.1 General Criteria

    OSDBU will award the cooperative agreement on a best value basis,
using the following criteria to rate and rank applications:
    Applications will be evaluated using a point system (maximum number
of points = 100);
     Approach and strategy (25 points).
     Linkages (25 points).
     Organizational Capability (25 points).
     Staff Capabilities and Experience (15 points).
     Cost Proposal (10 points).
(A) Approach and Strategy (25 Points)
    The applicant must describe their strategy to achieve the overall
mission of the SBTRC as described in this solicitation and service the
small business community in their entire geographic regional area. The
applicant must also describe how the specific activities outlined in
Section 2.1 will be implemented and executed in the organization's
regional area. OSDBU will consider the extent to which the proposed
objectives are specific, measurable, time-specific, and consistent with
OSDBU goals and the applicant organization's overall mission. OSDBU
will give priority consideration to applicants that demonstrate
innovation and creativity in their approach to assist small businesses
to become successful transportation contractors and increase their
ability to access DOT contracting opportunities and financial
assistance programs. Applicants must also submit the estimated direct
costs, other than labor, to execute their proposed strategy. OSDBU will
consider the quality of the applicant's plan for conducting program
activities and the likelihood that the proposed methods will be
successful in achieving proposed objectives at the proposed cost.
(B) Linkages (25 Points)
    The applicant must describe their established relationships within
their geographic region and demonstrate their ability to coordinate and
establish effective networks with DOT grant recipients and local/
regional technical assistance agencies to maximize resources. OSDBU
will consider innovative aspects of the applicant's approach and
strategy to build upon their existing relationships and established
networks with existing resources in their geographical area. The
applicant should describe their strategy to obtain support and
collaboration on SBTRC activities from DOT grantees and recipients,
transportation prime contractors and subcontractors, the SBA, U.S.
Department of Commerce's Minority Business Development Centers (MBDCs),
Service Corps of Retired Executives (SCORE), Procurement Technical
Assistance Centers (PTACs), Small Business Development Centers (SBDCs),
State DOTs, and State highway supportive services contractors. In
rating this factor, OSDBU will consider the extent to which the
applicant demonstrates ability to be multidimensional. The applicant
must demonstrate that they have the ability to access a broad range of
supportive services to effectively serve a broad range of
transportation-related small businesses within their respective
geographical region. Emphasis will also be placed on the extent to
which the applicant identifies a clear outreach strategy related to
identified needs that can be successfully carried out within the period
of this agreement and a plan for involving the Planning Committee in
the execution of that strategy.
(C) Organizational Capability (25 Points)
    The applicant must demonstrate that they have the organizational
capability to meet the program requirements set forth in Section 2. The
applicant organization must have sufficient resources and past
performance experience to successfully outreach to the small business
transportation resources in their geographical area and carry out the
mission of the SBTRC. In rating this factor, OSDBU will consider the
extent to which the applicant's organization has recent, relevant and
successful experience in advocating for and addressing the needs of
small businesses. Applicants will be given points for demonstrated past
transportation-related performance. The applicant must also describe
technical and administrative resources it plans to use in achieving
proposed objectives. In their description, the applicant must describe
their facilities, computer and technical facilities, ability to tap
into volunteer staff time, and a plan for sufficient matching
alternative financial resources to fund the general and administrative
costs of the SBTRC. The applicant must also describe their
administrative and financial management staff. OSDBU will place an
emphasis on capabilities of the applicant's financial management staff.
(D) Staff Capability and Experience (15 Points)
    The applicant organization must provide a list of proposed
personnel for the project, with salaries, fringe benefit burden
factors, educational levels and

previous experience clearly delineated. The applicant's project team
must be well-qualified, knowledgeable, and able to effectively serve
the diverse and broad range of small businesses in their geographical
region. The Executive Director and the Project Director shall be deemed
key personnel. Detailed resumes must be submitted for all proposed key
personnel and outside consultants and subcontractors. Proposed key
personnel must have detailed demonstrated experience providing services
similar in scope and nature to the proposed effort. The proposed
Project Director will serve as the responsible individual for the
program. 100% of the Project Director's time must be dedicated to the
SBTRC. Both the Executive Director and the Project Director must be
located on-site. In this element, OSDBU will consider the extent to
which the applicant's proposed Staffing Plan; (a) clearly meets the
education and experience requirements to accomplish the objectives of
the cooperative agreement; (b) delineates staff responsibilities and
accountability for all work required and; (c) presents a clear and
feasible ability to execute the applicant's proposed approach and
strategy.
(E) Cost Proposal (10 Points)
    Applicants must submit the total proposed cost of establishing and
administering the SBTRC in the applicant's geographical region for a 12
month period, inclusive of costs funded through alternative matching
resources. The applicant's budget must be adequate to support the
proposed strategy and costs must be reasonable in relation to project
objectives. The portion of the submitted budget funded by OSDBU can not
exceed the ceiling outlined in Section 1.3 Description of Competition
per fiscal year. Applicants are encouraged to provide in-kind costs and
other innovative cost approaches.

4.2 Scoring of Applications

    A review panel will score each application based upon the
evaluation criteria listed above. Points will be given for each
evaluation criteria category, not to exceed the maximum number of
points allowed for each category. Proposals which are deemed non-
responsive, do not meet the established criteria, or incomplete at the
time of submission will be disqualified.
    OSDBU will perform a responsibility determination of the
prospective winning recipient in each region, which may include a site
visit, before awarding the cooperative agreement.

4.3 Conflicts of Interest

    Applicants must submit signed statements by key personnel and all
organization principals indicating that they, or members of their
immediate families, do not have a personal, business or financial
interest in any DOT-funded transportation projects, nor any
relationships with local or State transportation agencies that may have
the appearance of a conflict of interest.

Appendix A

Format for Proposals for the Department of Transportation Office of
Small and Disadvantaged Business Utilization's Small Business
Transportation Resource Center (SBTRC) Program

    Submitted proposals for the DOT, Office of Small and
Disadvantaged Business Utilization's Small Business Transportation
Resource Center Program must contain the following 12 sections and
be organized in the following order:

1. Table of Contents

    Identify all parts, sections and attachments of the application.

2. Application Summary

    Provide a summary overview of the following:
     The applicant's proposed SBTRC region and city and key
elements of the plan of action/strategy to achieve the SBTRC
objectives.
     The applicant's relevant organizational experience and
capabilities.

3. Understanding of the Work

    Provide a narrative which contains specific project information
as follows:
     The applicant will describe its understanding of the
OSDBU's SBTRC program mission and the role of the applicant's
proposed SBTRC in advancing the program goals.
     The applicant will describe specific outreach needs of
transportation-related small businesses in the applicant's region
and how the SBTRC will address the identified needs.

4. Approach and Strategy

     Describe the applicant's plan of action/strategy for
conducting the program in terms of the tasks to be performed.
     Describe the specific services or activities to be
performed and how these services/activities will be implemented.
     Describe innovative and creative approaches to assist
small businesses to become successful transportation contractors and
increase their ability to access DOT contracting opportunities and
financial assistance programs.
     Estimated direct costs, other than labor, to execute
the proposed strategy.

5. Linkages

     Describe established relationships within the
geographic region and demonstrate the ability to coordinate and
establish effective networks with DOT grant recipients and local/
regional technical assistance agencies.
     Describe the strategy to obtain support and
collaboration on SBTRC activities from DOT grantees and recipients,
transportation prime contractors and subcontractors, the SBA, U.S.
Department of Commerce's Minority Business Development Centers
(MBDCs), Service Corps of Retired Executives (SCORE), Procurement
Technical Assistance Centers (PTACs), Small Business Development
Centers (SBDCs), State DOTs, and State highway supportive services
contractors.
     Describe the outreach strategy related to the
identified needs that can be successfully carried out within the
period of this agreement and a plan for involving the Planning
Committee in the execution of that strategy.

6. Organizational Capability

     Describe recent and relevant past successful
performance in addressing the needs of small businesses,
particularly with respect to transportation-related small
businesses.
     Describe internal technical, financial management, and
administrative resources.
     Propose a plan for sufficient matching alternative
financial resources to fund the general and administrative costs of
the SBTRC.

7. Staff Capability and Experience

     List proposed key personnel, their salaries and
proposed fringe benefit factors.
     Describe the education, qualifications and relevant
experience of key personnel. Attach detailed resumes.
     Proposed staffing plan. Describe how personnel are to
be organized for the program and how they will be used to accomplish
program objectives. Outline staff responsibilities, accountability
and a schedule for conducting program tasks.

8. Cost Proposal

     Outline the total proposed cost of establishing and
administering the SBTRC in the applicant's geographical region for a
12 month period, inclusive of costs funded through alternative
matching resources. Clearly identify the portion of the costs funded
by OSDBU.
     Provide a brief narrative linking the cost proposal to
the proposed strategy.

9. Proof of Tax Exempt Status

10. Assurances Signature Form

    Complete Standard Form 424B ASSURANCES-NON-CONSTRUCTION PROGRAMS
identified as Attachment 1. SF424B may be downloaded from http://
www.grants.gov/techlib/SF424B-V1.1.pdf.

11. Certification Signature Forms

    Complete form DOTF2307-1 DRUG-FREE WORKPLACE ACT CERTIFICATION
FOR A GRANTEE OTHER THAN AN INDIVIDUAL and Form DOTF2308-1
CERTIFICATION REGARDING LOBBYING FOR CONTRACTS, GRANTS, LOANS, AND
COOPERATIVE AGREEMENTS identified as Attachment 2. The forms may be
downloaded from http://www.osdbu.dot.gov/financial/docs/Cert Drug-
Free DOT F 2307-1.pdf and http://www.osdbu.dot.gov/financial/docs/
Cert Lobbying DOT F 2308-1.pdf.

12. Signed Conflict of Interest Statements

    The statements must say that they, or members of their immediate
families, do not have a personal, business or financial interest in
any DOT-funded transportation projects, nor any relationships with
local or State transportation agencies that may have the appearance
of a conflict of interest.

13. Standard Form 424

    Complete Standard Form 424 Application for Federal Assistance
identified as Attachment 3. SF424 can be downloaded from http://
www.grants.gov/techlib/SF424-V2.0.pdf.
    Please be sure that all forms have been signed by an authorized
official who can legally represent the organization.

    Issued in Washington, DC on April 27, 2010.
Brandon Neal,
Director, Office of Small and Disadvantaged Business Utilization,
Office of the Secretary, U.S. Department of Transportation.
[FR Doc. 2010-10239 Filed 4-30-10; 8:45 am]
BILLING CODE 4910-9X-P


[Federal Register Volume 78, Number 23 (Monday, February 4, 2013)]
[Notices]
[Pages 7842-7843]
[FR Doc No: 2013-02289]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-68746; File No. SR-NYSEMKT-2013-07]

Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of
Proposed Rule Change Amending the Attestation Requirement of Rule
107C--Equities To Allow a Retail Member Organization To Attest That
``Substantially All'' Orders Submitted to the Retail Liquidity Program
Will Qualify as ``Retail Orders''

January 28, 2013.
    Pursuant to Section 19(b)(1) \1\ of the Securities Exchange Act of
1934 (the ``Act'') \2\ and Rule 19b-4 thereunder,\3\ notice is hereby
given that on January 17, 2012, NYSE MKT LLC (``NYSE MKT'' or
``Exchange'') filed with the Securities and Exchange Commission
(``Commission'') the proposed rule change as described in Items I, II,
and III below, which Items have been prepared by the self-regulatory
organization. The Commission is publishing this notice to solicit
comments on the proposed rule change from interested persons.
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    \1\ 15 U.S.C.78s(b)(1).
    \2\ 15 U.S.C. 78a.
    \3\ 17 CFR 240.19b-4.
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I. Self-Regulatory Organization's Statement of the Terms of Substance
of the Proposed Rule Change

    The Exchange proposes to amend the attestation requirement of Rule
107C--Equities to allow a Retail Member Organization (``RMO'') to
attest that ``substantially all'' orders submitted to the Retail
Liquidity Program (the ``Program'') will qualify as ``Retail Orders.''
Rule 107C(b)(2)(C)--Equities currently requires RMOs to attest that
``any order'' will so qualify, effectively preventing certain
significant retail brokers from participating in the Program due to
operational constraints. The text of the proposed rule change is
available on the Exchange's Web site at www.nyse.com, at the principal
office of the Exchange, and at the Commission's Public Reference Room.

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

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

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

1. Purpose
    The Exchange is proposing an amendment to Rule 107C--Equities to
provide that an RMO may attest that ``substantially all'' of the orders
it submits to the Program are Retail Orders, as defined in Rule 107C--
Equities, replacing the requirement that the RMO must attest that all
submitted orders qualify as Retail Orders.
    Under current Rule 107C(b)(2)--Equities, a member organization
wishing to become an RMO must submit: (A) An application form; (B)
supporting documentation; and (C) an attestation that ``any order''
submitted as a Retail Order will qualify as such under Rule 107C--
Equities.\4\
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    \4\ A Retail Order is defined in Rule 107C(a)(3)--Equities as
``an agency order that originates from a natural person and is
submitted to the Exchange by a Retail Member Organization, provided
that no change is made to the terms of the order with respect to
price or side of market and the order does not originate from a
trading algorithm or any other computerized methodology.''
---------------------------------------------------------------------------

    The Exchange believes that the categorical nature of the current
attestation language is preventing certain member organizations with
retail customers from participating in the Program. In particular, the
Exchange understands that some member organizations wishing to
participate in the Program represent both ``Retail Orders,'' as defined
in Rule 107C(a)(3)--Equities, as well as other agency flow that may not
meet the strict definition of ``Retail Order.'' The Exchange further
understands that limitations in order management systems and routing
networks used by such member organizations may make it infeasible for
them to isolate 100% of Retail Orders from other agency, non-Retail
Order flow that they would direct to the Program. Unable to make the
categorical attestation required by the current language of Rule 107C--
Equities, some member organizations have chosen not to participate,
notwithstanding that substantially all order flow from such member
organizations would be Retail Orders. This limitation has the effect of
preventing their retail customers from benefiting from the enhanced
price competition and transparency of the Program.
    Accordingly, the Exchange is proposing a de minimis relaxation of
the RMO attestation requirement in order to accommodate these system
limitations and expand the access of retail customers to the benefits
of the Program.
    Specifically, as proposed an RMO would be permitted to send de
minimis quantities of agency orders to the Exchange as Retail Orders
that cannot be explicitly attested to under existing definitions of the
Program.
    The Exchange will issue a Trader Notice to make clear that the
``substantially all'' language is meant to permit the presence of only
isolated and de minimis quantities of agency order that do not qualify
as Retail Orders that

cannot be segregated from Retail Orders due to systems limitations. In
this regard, an RMO would need to retain, in its books and records,
adequate substantiation that substantially all orders sent to the
Exchange as Retail Orders met the strict definition and that those
orders not meeting the strict definition are agency orders that cannot
be segregated from Retail Orders due to system limitations, and are de
minimis in terms of the overall number of Retail Orders sent to the
Exchange.\5\
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    \5\ The Financial Industry Regulatory Authority, Inc.
(``FINRA''), on behalf of the Exchange, will review a member
organization's compliance with these requirements.
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2. Statutory Basis
    The proposed rule change is consistent with Section 6(b) of the
Securities Exchange Act of 1934 (the ``Act''),\6\ in general, and
furthers the objectives of Section 6(b)(5),\7\ in particular, in that
it is designed to prevent fraudulent and manipulative acts and
practices, to promote just and equitable principles of trade, and to
remove impediments to and perfect the mechanism of a free and open
market and a national market system.
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    \6\ 15 U.S.C. 78f(b).
    \7\ 15 U.S.C. 78f(b)(5).
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    The Exchange believes that the proposed rule change is designed to
prevent fraudulent and manipulative acts and practices because, while
the proposed rule change represents a relaxation of the attestation
requirements, the change is a de minimis relaxation that still requires
the RMO applicant to attest that ``substantially all'' of its orders
will qualify as Retail Orders. The slight relaxation will allow enough
flexibility to accommodate system limitations while still ensuring that
only a fractional amount of orders submitted to the Program would not
qualify as Retail Orders.
    The Exchange believes that the proposed rule change promotes just
and equitable principles of trade because it will ensure that similarly
situated member organizations who have only slight differences in the
capability of their systems will be able to equally benefit from the
Program.
    The Exchange believes that the proposed rule change will remove
impediments to and perfect the mechanism of a free and open market and
a national market system because it will allow member organizations,
who are concerned about its system limitations not allowing 100%
certification that submitted orders are Retail Orders, to still
participate in the Program. By removing impediments to participation in
the Program, the proposed change would permit expanded access of retail
customers to the price improvement and transparency offered by the
Program and thereby potentially stimulate further price competition for
retail orders.

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 that is not necessary or appropriate
in furtherance of the purposes of the Act. The Exchange believes that
the amendment, by increasing the level of participation in the program,
will increase the level of competition around retail executions such
that retail investors would receive better prices than they currently
do on the Exchange and potentially through bilateral internalization
arrangements. The Exchange believes that the transparency and
competitiveness of operating a program such as the Retail Liquidity
Program on an exchange market would result in better prices for retail
investors, and benefits retail investors by expanding the capabilities
of Exchanges to encompass practices currently allowed on non-Exchange
venues.

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

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

IV. Solicitation of Comments

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

Electronic Comments

     Use the Commission's Internet comment form (http://www.sec.gov/rules/sro.shtml); or
     Send an email to<EMAIL_ADDRESS>Please include
File Number SR-NYSEMKT-2013-07 on the subject line.

Paper Comments

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

All submissions should refer to File Number SR-NYSEMKT-2013-07. This
file number should be included on the subject line if email is used. To
help the Commission process and review your comments more efficiently,
please use only one method. The Commission will post all comments on
the Commission's Internet Web site (http://www.sec.gov/rules/sro.shtml). Copies of the submission, all subsequent amendments, all
written statements with respect to the proposed rule change that are
filed with the Commission, and all written communications relating to
the proposed rule change between the Commission and any person, other
than those that may be withheld from the public in accordance with the
provisions of 5 U.S.C. 552, will be available for Web site viewing and
printing in the Commission's Public Reference Room, 100 F Street NE.,
Washington, DC 20549, on official business days between the hours of
10:00 a.m. and 3:00 p.m. Copies of the filing will also be available
for inspection and copying at the principal office of the Exchange. All
comments received will be posted without change; the Commission does
not edit personal identifying information from submissions. You should
submit only information that you wish to make publicly available. All
submissions should refer to File Number SR-NYSEMKT-2013-07 and should
be submitted on or before February 25, 2013.

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\8\
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    \8\ 17 CFR 200.30-3(a)(12).
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Kevin M. O'Neill,
Deputy Secretary.
[FR Doc. 2013-02289 Filed 2-1-13; 8:45 am]
BILLING CODE 8011-01-P