[Federal Register Volume 86, Number 118 (Wednesday, June 23, 2021)]
[Notices]
[Pages 32994-32997]
[FR Doc No: 2021-13102]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-92197; File No. SR-ICC-2021-013]

Self-Regulatory Organizations; ICE Clear Credit LLC; Order
Approving Proposed Rule Change Relating to the ICC End-of-Day Price
Discovery Policies and Procedures

June 16, 2021.

I. Introduction

    On April 23, 2021, ICE Clear Credit LLC (``ICC'') filed with the
Securities and Exchange Commission (``Commission''), pursuant to
Section 19(b)(1) of the Securities Exchange Act of 1934 (the
``Act''),\1\ and Rule 19b-4 thereunder,\2\ a proposed rule change to
revise and update ICC's End-of-Day Price Discovery Policies and
Procedures (the ``Pricing Policy''). The Pricing Policy formalizes
ICC's end-of-day (``EOD'') price discovery process that provides prices
for cleared credit default

swap (``CDS'') contracts based on submissions from ICC's Clearing
Participants.\3\ The proposed rule change was published for comment in
the Federal Register on May 6, 2021.\4\ The Commission did not receive
comments regarding the proposed rule change. For the reasons discussed
below, the Commission is approving the proposed rule change.
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    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 17 CFR 240.19b-4.
    \3\ Capitalized terms used but not defined herein have the
meanings specified in the Pricing Policy.
    \4\ Self-Regulatory Organizations; ICE Clear Credit LLC; Notice
of Filing of Proposed Rule Change Relating to the ICC End-of-Day
Price Discovery Policies and Procedures, Exchange Act Release No.
91733 (April 30, 2021); 86 FR 24425 (May 6, 2021) (SR-ICC-2021-013)
(``Notice'').
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II. Description of the Proposed Rule Change

    ICC proposes updates related to firm trade obligations and certain
clarifications under the Pricing Policy.\5\ As part of ICC's current
EOD price discovery process, ICC Clearing Participants (``CPs'') are
required to submit daily EOD prices for cleared CDS instruments related
to their open positions at ICC in accordance with the Pricing Policy.
To encourage CPs to provide the best possible EOD submissions, ICC
selects a subset of the potential trades generated and designates them
as firm trades, which ICC then enters CPs into as cleared transactions.
ICC selects specific dates on which it can require CPs to execute firm
trades (``firm trade days''). For each firm trade day, ICC specifies
the instruments that may become firm-trade eligible, subject to certain
specified criteria. As described in more detail below, ICC proposes
additional criteria in the Pricing Policy for EOD firm trades with the
express purpose of maintaining the robustness of the established price
discovery process and ensuring that on-market firm trades (i.e., firm
trades resulting from price submissions close to EOD levels that
reflect market expectations and thus do not provide any value-additive
market information) do not incentivize CPs to correct their outlying
submissions (i.e., off-market price submissions outside the proposed
EOD range).\6\ By subjecting potential trades to its proposed new
criteria for designating firm trades, ICC would avoid creating a high
number of firm trades around its EOD levels that may unnecessarily
introduce operational risks and inefficiencies into ICC's EOD price
discovery process.
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    \5\ The description herein is substantially excerpted from the
Notice.
    \6\ Notice, 86 FR at 24426.
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    Specifically, ICC proposes to amend Section 2.4.1 of the Pricing
Policy (Selecting Firm-Trade Days and Firm-Trade Eligible Instruments)
by adding a new subsection (d) (Trade Price Deviation Constraint) to
Section 2.4.1. As proposed, new Section 2.4.1.d of the Pricing Policy
would incorporate additional criteria that must be met for ICC to
generate firm trades, which ICC refers to as the trade price deviation
constraint (the ``constraint''). In addition to new subsection (d), the
proposed rule change would add references to the constraint throughout
the existing subsections of Section 2.4.1, specifically in subsection
(a) with respect to firm trade days for index instruments, subsection
(b) with respect to firm trade days for single name instruments, and
subsection (c) with respect to firm trade days for index option
instruments. The proposed rule change would describe the constraint in
subsection (d) of Section 2.4.1 as follows. Under the proposed
constraint, ICC would avoid creating a high number of trades around its
EOD levels by not designating potential trades as firm trades if the
magnitude of the hypothetical profit/loss is smaller in magnitude than
the absolute value of the difference between the EOD level and either
the bid price or offer price. To achieve the stated purpose of the
constraint, ICC would only designate a potential trade as a firm trade
if the trade level fell outside the EOD level plus/minus one half the
EOD bid-offer width (``BOW'') for the given instrument. Such constraint
would not apply when the potential firm trade is formed by crossing two
outlying submission trades.
    With respect to credit default index swaptions (``Index Options''),
ICC proposes additional language in amended subsection 2.4.1.c (Index
Option Firm Trade Days) concerning the designation of a potential trade
as a firm trade by subjecting strips of puts and/or calls to the CP
open interest and ICC open interest requirements. The Pricing Policy
currently incorporates similar open interest requirements for indices
and single names. Under the proposed CP open interest requirement in
amended subsection 2.4.1.c, for ICC to designate a potential trade as a
firm trade, both parties must have a cleared open interest, as of the
designated times, in one or more Index Option instrument sharing the
same underlying index instrument, expiration date, strike convention,
exercise style and transaction type. Under the proposed ICC open
interest requirement, ICC would only designate a potential trade in a
given Index Option instrument as a firm trade if ICC has a cleared open
interest in that instrument.
    In addition, ICC proposes several clarifications to the Pricing
Policy. In Section 2.2.2 (Non-Submission Assessments), ICC proposes to
abbreviate the term ``ICC Board of Managers'' to ``Board.'' In Section
2.6 (CP's Use of Third-Party Providers), ICC proposes revisions to
clarify the circumstances under which a CP may participate in the EOD
price discovery process on behalf of another CP. Section 2.6 currently
provides that, subject to the prior consent of ICC, a CP may designate
another CP to participate in the EOD price discovery process on its
behalf. Amended Section 2.6 would remove ICC's prior consent and
specify that a CP ``may allow an affiliated CP (CP B) to participate in
the EOD price discovery process on its behalf.'' In Section 3
(Governance), ICC proposes to memorialize its existing practice by
adding a new sentence stating that the Pricing Policy document is
subject to review by the Risk Committee and review and approval by the
Board at least annually.

III. Discussion and Commission Findings

    Section 19(b)(2)(C) of the Act directs the Commission to approve a
proposed rule change of a self-regulatory organization if it finds that
such proposed rule change is consistent with the requirements of the
Act and the rules and regulations thereunder applicable to such
organization.\7\ For the reasons given below, the Commission finds that
the proposed rule change is consistent with Section 17A(b)(3)(F) of the
Act and Rules 17Ad-22(e)(2)(i) and (v) \8\ and 17Ad-22(e)(6)(iv)
thereunder.\9\
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    \7\ 15 U.S.C. 78s(b)(2)(C).
    \8\ 17 CFR 240.17Ad-22(e)(2)(i) and (v).
    \9\ 17 CFR 240.17Ad-22(e)(6)(iv).
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A. Consistency With Section 17A(b)(3)(F) of the Act

    Section 17A(b)(3)(F) of the Act requires, among other things, that
the rules of ICC be designed to promote the prompt and accurate
clearance and settlement of securities transactions and, to the extent
applicable, derivative agreements, contracts, and transactions, as well
as to assure the safeguarding of securities and funds which are in the
custody or control of ICC or for which it is responsible.\10\
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    \10\ 15 U.S.C. 78q-1(b)(3)(F).
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    As noted above, the proposed rule change would amend Section 2.4.1
of the Pricing Policy by adding new subsection (d) to incorporate a new
trade price deviation constraint as additional criteria that must be
met for the generation of firm trades for each type of cleared CDS
instrument at ICC and to amend the existing subsections of

Section 2.4.1 to include references to the constraint where
appropriate; namely, index instruments or indices in subsection (a),
single name instruments in subsection (b), and Index Options in
subsection (c). The Commission believes that by amending its Pricing
Policy to include the proposed constraint in subsection (d) as
described above, ICC would enhance its ability to maintain the
accuracy, integrity, and effectiveness of the EOD price discovery
process by not designating potential trades as firm trades if the
magnitude of the hypothetical profit/loss is smaller in magnitude than
the absolute value of the difference between the EOD level and either
the bid price or offer price. This in turn could incentivize CPs to
make EOD price submissions that help ICC maintain the robustness of its
price discovery process and help ensure that on-market firm trades do
not incentivize CPs to correct their outlying submissions. By
subjecting potential trades to the proposed constraint, ICC would
promote the prompt and accurate clearance and settlement of CDS
contracts by avoiding the creation of an unnecessarily high number of
firm trades around its EOD levels that could increase operational risks
and inefficiencies in ICC's EOD price discovery process.
    The Commission also believes that the proposed amendments to
subsection 2.4.1.c (Index Option Firm Trade Days), as described above,
would ensure that the firm trade obligations for Index Options are
subject to similar CP open interest and ICC open interest requirements
as those that currently apply to indices and single names. These
aspects of the proposed rule change should further enhance the
consistency and integrity of ICC's EOD price discovery process across
all three types of CDS instruments that ICC clears. Consequently, the
Commission believes that all of the proposed changes to Section 2.4.1
should promote the prompt and accurate clearance and settlement of CDS
transactions by ICC.
    As noted above, ICC proposes other revisions to clarify that a CP
may allow an affiliated CP to participate in the EOD price discovery
process on its behalf without ICC's prior consent, to memorialize that
the Pricing Policy is subject to review by the Risk Committee and
review and approval by the Board at least annually, and to include the
shorthand reference to the ``Board'' instead of the longer reference to
the ICC Board of Managers in the Pricing Policy document. The
Commission finds that these proposed drafting clarifications and
improvements would enhance the clarity, transparency, and readability
of the Pricing Policy for ICC management, employees, and CPs that, in
turn, should help them understand their respective authorities, rights,
and obligations regarding ICC's EOD price discovery process and its
role in the clearance and settlement of CDS transactions.
    The Commission believes that the proposed changes, taken as a
whole, should enhance ICC's ability to manage the overall EOD price
discovery process and the risks of clearing CDS instruments, including
the calculation and collection of margin requirements that will account
for each type of specific instrument as part of its overall risk-based
margin system and risk management processes which rely, in part, on the
EOD prices submitted by ICC's CPs.\11\ Moreover, the Commission
believes these risks, if mismanaged, could threaten ICC's ability to
operate and therefore its ability to clear and settle transactions and
safeguard funds. As a result, the Commission believes that these
proposed changes should promote ICC's ability to assure the
safeguarding of securities and funds which are in the custody or
control of ICC or for which it is responsible.
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    \11\ See SEC Release No. 34-82960 (Mar. 28, 2018), 83 FR 14300,
14302 (Apr. 3, 2018) (SR-ICC-2018-002) (finding improvements to
ICC's end-of-day pricing process would improve ``ICC's risk
management processes related to the end-of-day pricing process,
including the calculation and collection of certain margin
requirements'' and would ``promote the prompt and accurate clearance
and settlement of the products cleared by ICC, and . . . enhance
ICC's ability to assure the safeguarding of securities and funds
which are in the custody or control of ICC or for which it is
responsible'').
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    Therefore, the Commission believes that the proposed rule change is
consistent with Section 17A(b)(3)(F) of the Act.\12\
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    \12\ 15 U.S.C. 78q-1(b)(3)(F).
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B. Consistency With Rule 17Ad-22(e)(2)(i) and (v) Under the Act

    Rules 17Ad-22(e)(2)(i) and (v) \13\ require each covered clearing
agency to establish, implement, maintain and enforce written policies
and procedures reasonably designed to, among other things, provide for
governance arrangements that are clear and transparent and specify
clear and direct lines of responsibility, respectively. As noted above,
the proposed amendments to Section 3 (Governance) would memorialize
that the Pricing Policy is subject to review by the Risk Committee and
review and approval by ICC's Board of Managers at least annually. The
Commission believes this aspect of the proposed rule change would
improve the clarity and transparency of the Pricing Policy document and
its governance processes by specifying relevant roles and lines of
responsibility within ICC. The Commission believes that the proposed
rule change is therefore consistent with Rules 17Ad-22(e)(2)(i) and
(v).\14\
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    \13\ 17 CFR 240.17Ad-22(e)(2)(i) and (v).
    \14\ 17 CFR 240.17Ad-22(e)(2)(i) and (v).
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C. Consistency With Rule 17Ad-22(e)(6)(iv) Under the Act

    Rule 17Ad-22(e)(6)(iv) \15\ requires each covered clearing agency
to establish, implement, maintain, and enforce written policies and
procedures reasonably designed to cover its credit exposures to its
participants by establishing a risk-based margin system that, at a
minimum, uses reliable sources of timely price data and uses procedures
and sound valuation models for addressing circumstances in which
pricing data are not readily available or reliable. The Commission
believes the proposed changes to Section 2.4.1 to incorporate the
proposed constraint in the firm trade provisions governing each type of
cleared CDS instrument should help ICC manage the quality and quantity
of EOD price submissions from CPs by only designating a potential trade
as a firm trade if the trade level falls outside the proposed EOD range
for the given CDS instrument. This, in turn, should help ICC establish
and maintain accurate margin requirements that will account for the
risks posed by each type of CDS instrument as part of its overall risk-
based margin system and risk management processes.
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    \15\ 17 CFR 240.17Ad-22(e)(6)(iv).
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    Further, the proposed changes to subsection 2.4.1.c that would
designate a potential trade as a firm trade by subjecting strips of
puts and/or calls to both the CP open interest and ICC open interest
requirements would help ensure that the firm trade obligations for
Index Options are subject to similar open interest requirements as
those that currently apply to indices and single names. The Commission
believes these proposed changes should help ICC maintain the integrity
and effectiveness of its EOD price discovery process for the provision
of reliable prices for Index Options, which could, in turn, be used to
further enhance ICC's ability to establish and maintain risk-based
margin requirements for such instruments which rely, in part, on the
EOD prices provided by CPs. The Commission believes that the proposed
rule change is therefore consistent with Rule 17Ad-22(e)(6)(iv).\16\
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    \16\ 17 CFR 240.17Ad-22(e)(6)(iv).

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IV. Conclusion

    On the basis of the foregoing, the Commission finds that the
proposed rule change is consistent with the requirements of the Act,
and in particular, with the requirements of Section 17A(b)(3)(F) of the
Act and Rules 17Ad-22(e)(2)(i) and (v) and 17Ad-22(e)(6)(iv)
thereunder.\17\
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    \17\ 17 CFR 240.17Ad-22(e)(6)(iv).
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    It is therefore ordered pursuant to Section 19(b)(2) of the Act
\18\ that the proposed rule change (SR-ICC-2021-013), be, and hereby
is, approved.\19\
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    \18\ 15 U.S.C. 78s(b)(2).
    \19\ In approving the proposed rule change, the Commission
considered the proposal's impact on efficiency, competition, and
capital formation. 15 U.S.C. 78c(f).

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\20\
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    \20\ 17 CFR 200.30-3(a)(12).
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J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2021-13102 Filed 6-22-21; 8:45 am]
BILLING CODE 8011-01-P


[Federal Register Volume 80, Number 64 (Friday, April 3, 2015)]
[Notices]
[Pages 18245-18246]
[FR Doc No: 2015-07654]

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DEPARTMENT OF HOMELAND SECURITY

Coast Guard

[Docket No. USCG-2015-0156]

Great Lakes Pilotage Advisory Committee; Vacancies

AGENCY: Coast Guard, Department of Homeland Security.

ACTION: Request for applications.

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SUMMARY: The Coast Guard seeks applications for membership on the Great
Lakes Pilotage Advisory Committee. The Great Lakes Pilotage Advisory
Committee provides advice and makes recommendations to the Secretary of
Homeland Security through the Coast Guard Commandant on matters
relating to Great Lakes pilotage, including review of proposed Great
Lakes pilotage regulations and policies.

DATES: Completed applications should reach the Coast Guard on or before
June 2, 2015.

ADDRESSES: Applicants should send a cover letter expressing interest in
an appointment to the Great Lakes Pilotage Advisory Committee that also
identifies which membership category the applicant is applying under,
along with a resume detailing the applicant's experience via one of the
following methods:
     By Email<EMAIL_ADDRESS>     By Fax:<PHONE_NUMBER> ATTN: Ms. Michelle Birchfield,
Great Lakes Pilotage Advisory Committee Alternate Designated Federal
Officer.
     By Mail: Commandant (CG-WWM-2), U.S. Coast Guard,
Attention: Ms. Michelle Birchfield, Great Lakes Pilotage Advisory
Committee Alternate Designated Federal Officer, 2703 Martin Luther King
Jr Ave SE., Stop 7509, Washington, DC 20593-7509.

FOR FURTHER INFORMATION CONTACT: Commandant (CG-WWM-2), U.S. Coast
Guard, ATTN: Ms. Michelle Birchfield, Great Lakes Pilotage Advisory
Committee Alternate Designated Federal Officer, 2703 Martin Luther King
Jr Ave SE., Stop 7509, Washington, DC 20593-7509; telephone 202-372-
1537, fax<PHONE_NUMBER>, or email at<EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION: The Great Lakes Pilotage Advisory Committee
is a federal advisory committee established in accordance with the
provisions of the Federal Advisory Committee Act (5 U.S.C., Appendix).
The Great Lakes Pilotage Advisory Committee operates under the
authority of 46 U.S.C. 9307, and makes recommendations to the Secretary
and the Coast Guard on matters relating to the Great Lakes.
    Meetings of the Great Lakes Pilotage Advisory Committee will be
held with the approval of the Designated Federal Officer. The Committee
is required to meet at least once per year. Additional meetings may be
held at the request of the majority of the Committee or at the
discretion of the Designated Federal Officer. Further information about
the Great Lakes Pilotage Advisory Committee is available by going to
the Web site: https://www.facadatabase.gov. Click on the search tab and
type ``Great Lakes'' into the search form. Then select ``Great Lakes
Pilotage Advisory Committee'' from the list.
    We will consider applicants for two positions that expire or become
vacant on September 30, 2015.
     One member representing the interests of Great Lakes
vessel operators that contract for Great Lakes Pilotage services;
     One member with a background in finance or accounting,
who--
    a. Must have been recommended to the Secretary by a unanimous vote
of the other members of the Committee, and
    b. May be appointed without regard to the requirement that each
member have five years of practical experience in maritime operations.
    To be eligible, applicants should have particular expertise,
knowledge, and experience regarding the regulations and policies on the
pilotage of vessels on the Great Lakes, and at least five

years of practical experience in maritime operations.
    The category for a member with a background in finance and
accounting would be someone appointed in their individual capacity and
would be designated as a Special Government Employee as defined in
202(a) of Title 18, U.S.C. As a candidate for appointment as a Special
Government Employee, applicants are required to complete Confidential
Financial Disclosure Reports (OGE Form 450). Coast Guard may not
release the reports or the information in them to the public except
under an order issued by a Federal court or as otherwise provided under
the Privacy Act (5 U.S.C. 552a). Applicants can obtain this form by
going to the Web site of the Office of Government Ethics (www.oge.gov),
or by contacting the individual listed above in FOR FURTHER INFORMATION
CONTACT. Applications which are not accompanied by a completed OGE Form
450 will not be considered.
    Individuals shall serve terms of office of three years and may be
reappointed to one additional term, serving not more than six
consecutive years. All members serve at their own expense but may
receive reimbursement for travel and per diem from the Federal
Government.
    Registered lobbyists are not eligible to serve on federal advisory
committees in an individual capacity. See ``Revised Guidance on
Appointment of Lobbyist to Federal Advisory Committees, Boards and
Commissions'' (79 FR 47482, August 13, 2014). Registered lobbyists are
lobbyists required to comply with provisions contained in the Lobbying
Disclosure Act of 1995 (Pub. L. 104-65; as amended by Title II of Pub.
L. 110-81).
    The Department of Homeland Security does not discriminate in
selection of Committee members on the basis of race, color, religion,
sex, national origin, political affiliation, sexual orientation, gender
identity, marital status, disability and genetic information, age,
membership in an employee organization, or other non-merit factor. The
Department of Homeland Security strives to achieve a widely diverse
candidate pool for all of its recruitment actions.
    If you are interested in applying to become a member of the
Committee, send your cover letter and resume to, Ms. Michelle
Birchfield, Alternate Designated Federal Officer of the Great Lakes
Pilotage Advisory Committee by email or mail according to instructions
in the ADDRESSES section by the deadline in the DATES section of this
notice.
    Note, that during the vetting process, applicants may be asked by
the White House Liaison Office through the Coast Guard to provide their
date of birth and social security number. All email submittals will
receive email receipt confirmation.
    To visit our online docket, go to  http://www.regulations.gov,
enter the docket number for this notice (USCG-2015-0156) in the Search
box, and click ``Search''. Please do not post your resume on this site.

    Dated: March 31, 2015.
Gary C. Rasicot,
Director, Marine Transportation Systems, U.S. Coast Guard.
[FR Doc. 2015-07654 Filed 4-2-15; 8:45 am]
 BILLING CODE 9110-04-P


[Federal Register Volume 82, Number 118 (Wednesday, June 21, 2017)]
[Notices]
[Page 28373]
[FR Doc No: 2017-12854]

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

Federal Aviation Administration

Fiftieth RTCA SC-224 Standards for Airport Security Access
Control Systems Plenary

AGENCY: Federal Aviation Administration (FAA), U.S. Department of
Transportation (DOT).

ACTION: Fiftieth RTCA SC-224 Standards for Airport Security Access
Control Systems Plenary.

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SUMMARY: The FAA is issuing this notice to advise the public of a
meeting of Fiftieth RTCA SC-224 Standards for Airport Security Access
Control Systems Plenary.

DATES: The meeting will be held August 03, 2017 10:00 a.m.-1:00 p.m.

ADDRESSES: The meeting will be held at: RTCA Headquarters, 1150 18th
Street NW., Suite 910, Washington, DC 20036.

FOR FURTHER INFORMATION CONTACT: Karan Hofmann at<EMAIL_ADDRESS>or
202-330-0680, or The RTCA Secretariat, 1150 18th Street NW., Suite 910,
Washington, DC 20036, or by telephone at<PHONE_NUMBER>, fax at (202)
833-9434, or Web site at http://www.rtca.org.

SUPPLEMENTARY INFORMATION: Pursuant to section 10(a)(2) of the Federal
Advisory Committee Act (Pub. L. 92-463, 5 U.S.C., App.), notice is
hereby given for a meeting of the Fiftieth RTCA SC-224 Standards for
Airport Security Access Control Systems Plenary. The agenda will
include the following:

Thursday, August 3, 2017, 10:00 a.m.-1:00 p.m.

1. Welcome/Introductions/Administrative Remarks
2. Review/Approve Previous Meeting Summary
3. Report on TSA participation
4. Report on Document Distribution Mechanisms
5. Report on the New Guidelines and other Safe Skies Reports
6. Review of DO-230H Sections
7. Commencement of FRAC process
8. Action Items for Next Meeting
9. Time and Place of Next Meeting
10. Any Other Business
11. Adjourn

    Attendance is open to the interested public but limited to space
availability. With the approval of the chairman, members of the public
may present oral statements at the meeting. Persons wishing to present
statements or obtain information should contact the person listed in
the FOR FURTHER INFORMATION CONTACT section. Members of the public may
present a written statement to the committee at any time.

    Issued in Washington, DC, on June 15, 2017.
Mohannad Dawoud,
Management & Program Analyst, Partnership Contracts Branch, ANG-A17,
NextGen, Procurement Services Division, Federal Aviation
Administration.
[FR Doc. 2017-12854 Filed 6-20-17; 8:45 am]
 BILLING CODE 4910-13-P


[Federal Register Volume 78, Number 134 (Friday, July 12, 2013)]
[Rules and Regulations]
[Pages 41853-41856]
[FR Doc No: 2013-16672]

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DEPARTMENT OF TRANSPORTATION

Pipeline and Hazardous Materials Safety Administration

49 CFR Chapter I

[Notice No. 13-6]

Safety Advisory Guidance: Heating Rail Tank Cars To Prepare
Hazardous Material for Unloading or Transloading

AGENCY: Pipeline and Hazardous Materials Safety Administration (PHMSA),
DOT.

ACTION: Safety advisory guidance.

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SUMMARY: This guidance provides safety precautions and recommended
guidance for persons responsible for unloading or transloading \1\
hazardous materials from rail tank cars, specifically those persons
heating a rail tank car to prepare its hazardous material contents for
unloading or transloading. Further, this guidance reminds such persons
of current regulatory requirements addressing this type of operation.
PHMSA is issuing this guidance in coordination with the Occupational
Safety and Health Administration (OSHA) and the Environmental
Protection Agency (EPA), and in consultation with the Federal Railroad
Administration (FRA).
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    \1\ As defined in Sec.  171.8, Transloading means the transfer
of a hazardous material by any person from one bulk packaging to
another bulk packaging, from a bulk packaging to a non-bulk
packaging, or from a non-bulk packaging to a bulk packaging for the
purpose of continuing the movement of the hazardous material in
commerce.

FOR FURTHER INFORMATION CONTACT: Cheryl West Freeman, Division of
Engineering and Research, Pipeline and Hazardous Materials Safety
Administration,<PHONE_NUMBER>. For further information regarding OSHA
regulations, contact OSHA, Office of Communications at<PHONE_NUMBER> and
for further information regarding EPA's Risk Management Plan, go to:
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www.epa.gov/emergencies/rmp.

SUPPLEMENTARY INFORMATION:

I. Background
II. PHMSA's Coordinated Response With OSHA and EPA
III. Federal Regulations
    A. Applicable PHMSA Regulations
    B. Applicable OSHA Regulations or Standards
    C. Applicable EPA Regulations
IV. Guidance for Heating of Rail Tank Cars for Unloading or
Transloading

I. Background

    PHMSA's mission is to protect people and the environment from the
risks of hazardous materials transportation, including those loading
and unloading operations covered under PHMSA regulations. Our efforts
to enhance the safety of hazardous materials loading and unloading
operations include development of standards for bulk loading and
unloading of hazardous materials as part of our current strategic plan.
Towards this end, on May 24, 1999, the Research and Special Programs
Administration (PHMSA's predecessor agency) published a final rule
[Docket No. RSPA-97-2718 (HM-225A), Hazardous Materials: Revision to
Regulations Governing Transportation and Unloading of Liquefied
Compressed Gases] that revised regulations applicable to the
transportation and unloading of liquefied compressed gases. The
revisions included new inspection, maintenance, and testing
requirements for cargo tank discharge systems, including delivery hose
assemblies, and revised attendance requirements applicable to liquefied
petroleum gas and anhydrous ammonia. Also, more recently, on March 11,
2011, PHMSA published a Notice of Proposed Rulemaking [Docket Number
PHMSA-2007-28119 (HM-247), Hazardous Materials: Cargo Tank Motor
Vehicle Loading and Unloading] that proposes to amend our regulations
to require each person (i.e., carrier or facility) who engages in cargo
tank loading or unloading operations to perform a risk assessment of
the loading and unloading operation and develop and implement safe
operating procedures based upon the results of the risk assessment. We
received comments on the proposals in this NPRM and are currently
evaluating the best course of action to address them.
    As part of our continuing efforts to enhance the safety of
hazardous materials loading and unloading operations, our combined
effort with other Federal agencies to protect the public, and in
response to the findings from an NTSB investigation, PHMSA is issuing
this safety advisory guidance to all entities responsible for unloading
or transloading of heated hazardous material from a rail tank car. In
1999 and again in 2002, accidents occurred as a result of the process
of heating rail tank cars for unloading hazardous materials. On
February 18, 1999, a rail tank car, which was on the unloading rack at
the Essroc Cement Corporation

(Essroc) Logansport cement plant near Clymers, Indiana, sustained a
sudden and catastrophic rupture that propelled the tank of the rail
tank car an estimated 750 feet and over multistory storage tanks. The
20,000-gallon rail tank car initially contained about 161,700 pounds
(14,185 gallons) of a toxic and flammable hazardous waste that was used
as a fuel for the plant's kilns. There were no injuries or fatalities.
Total damages, including property damage and costs from lost
production, were estimated at nearly $8.2 million. The National
Transportation Safety Board (NTSB) determined that the probable cause
of the accident was the failure of Essroc to develop and implement safe
procedures for heating rail tank cars for unloading hazardous waste
(i.e., toluene diisocyanate matter wastes). This lack of procedures
resulted in the over-pressurization of the rail tank car due to
chemical self-reaction and expansion of the toluene diisocyanate matter
wastes.
    On September 13, 2002, a 24,000-gallon-capacity rail tank car
containing about 6,500 gallons of hazardous waste catastrophically
ruptured at a transfer station at the BASF Corporation chemical
facility in Freeport, Texas. The rail tank car had been steam-heated to
permit the transfer of the waste to a cargo tank motor vehicle for
subsequent disposal. The waste was a combination of cyclohexanone
oxime, cyclohexanone, and water. As a result of the accident, 28 people
received minor injuries. Residents living within one mile of the
accident site had to shelter in place for five and one-half hours. The
rail tank car, cargo tank, and transfer station were destroyed. The
force of the explosion propelled a 300-pound rail tank car dome housing
about \1/3\ mile away from the rail tank car. Two storage tanks near
the transfer station were damaged; that resulted in the released about
660 gallons of the hazardous material oleum.\2\
---------------------------------------------------------------------------

    \2\ The Federal Railroad Administration has identified three
other incidents involving heating of rail tank cars that did not
result in death or injury.
---------------------------------------------------------------------------

    The NTSB investigated the Freeport, Texas accident and determined
that the probable cause of the rupture of the rail tank car was over-
pressurization resulting from a runaway exothermic decomposition
reaction initiated by excessive heating of the hazardous waste
material. The NTSB determined that BASF's failure to monitor the
temperature and pressure inside the rail tank car while the hazardous
waste was heated in preparation for unloading contributed to the
accident. As a result of its investigation of the Freeport, Texas
accident, the NTSB recommended that PHMSA, in cooperation with the OSHA
and the EPA, develop regulations that require safe operating procedures
to be established before hazardous materials are heated in a rail tank
car for unloading; at a minimum, the NTSB recommended that the
procedures should include the monitoring of internal tank pressure and
cargo temperature (NTSB Recommendation R-04-10; December 15, 2004).\3\
---------------------------------------------------------------------------

    \3\ See http://www.ntsb.gov/doclib/recletters/2004/R04_10.pdf.
---------------------------------------------------------------------------

II. PHMSA's Coordinated Response With OSHA and EPA

    PHMSA believes the current regulations provide important
requirements for the safe unloading of heated hazardous material from a
rail tank car. However, we believe it is always beneficial to remind
regulated entities of their duties in affecting safe transportation and
to offer guidance in furtherance of performing these duties, and
therefore, PHMSA, in coordination with OSHA and EPA, and in
consultation with FRA, is issuing this safety advisory guidance. This
safety advisory guidance is supplemental to the regulations and is
provided as information for all entities responsible for unloading or
transloading heated hazardous materials from a rail tank car, including
employees responsible for overseeing the operation, inspecting and
maintaining equipment, establishing emergency shutdown procedures, and
developing safe operating procedures.
    Specifically, this safety advisory guidance provides additional
guidance on the recommended safety precautions affected entities should
use when heating a rail tank car to prepare its hazardous material
contents for unloading or transloading. Employing the recommended
guidance summarized in this guidance will enhance safety and diminish
the occurrence of incidents resulting from the over-pressurization and
runaway exothermic decomposition reactions initiated by heating of
hazardous material. We note, however, that there is no binding
regulatory impact of the guidance offered in this guidance.

III. Federal Regulations

A. Applicable PHMSA Regulations

    PHMSA's Hazardous Materials Regulations (HMR; 49 CFR Parts 171-180)
specify requirements for the safe transportation of hazardous materials
in commerce by rail car, aircraft, vessel, and motor vehicle.
Requirements in the HMR apply to each person who offers a hazardous
material for transportation in commerce, causes a hazardous material to
be transported in commerce, or transports a hazardous material in
commerce (see 49 CFR 171.1(b) and (c)). Transportation includes the
movement of property and loading, unloading, or storage incidental to
that movement (see 49 CFR 171.8).
    In 49 CFR 172.700, PHMSA sets forth training requirements to ensure
a hazmat employee has familiarity with the general provisions of the
HMR, is able to recognize and identify hazardous materials, has
knowledge of specific requirements of the HMR applicable to functions
performed by the employee, and has knowledge of emergency response
information, self-protection measures and accident prevention methods
and procedures. Any hazmat employee (as defined in 49 CFR 171.8),
including the designated employee, must be trained at least once every
three years in accordance with the existing ``function specific''
training requirements in 49 CFR 172.704.
    Unloading incidental to movement includes rail tank car
transloading operations, such as the one that resulted in the Freeport,
Texas accident described above (see 49 CFR 171.8). Rail tank car
unloading operations conducted by consignee personnel after the rail
tank car has been delivered to the consignee facility generally are not
regulated under the HMR (see 49 CFR 171.1(d)(2)).
    The HMR requirements applicable to rail tank car transloading
operations are in 49 CFR 174.67. The operator of a facility at which
transloading operations are performed must maintain written safety
procedures governing transloading operations and must make the safety
procedures immediately available to the employee responsible for rail
tank car unloading. In addition, persons conducting transloading
operations must take measures to prevent movement of the rail tank car
and secure access to the track where the transloading operation takes
place. During the transloading operation, the rail tank car must be
attended or monitored at all times.

B. Applicable OSHA Regulations or Standards

    OSHA's Process Safety Management (PSM) standard (see 29 CFR
1910.119) contains requirements for processes that use, store,
manufacture, handle, or transport highly hazardous chemicals

on-site.\4\ Bulk \5\ loading and unloading operations involving PSM-
covered chemicals or other processes with PSM-covered chemicals are
subject to the requirements of the PSM standard.\6\ The PSM standard
requires employers to compile process safety information (PSI) to
enable employers and employees to identify and understand the hazards
of the process. The PSI must include: (1) Physical and reactivity data
of the highly hazardous chemicals in the process; (2) safe upper and
lower limits of the process such as temperatures, pressures, flows and
compositions; and (3) an evaluation of the consequences of deviation.
Using the PSI, employers must perform a process hazard analysis to
systematically identify, evaluate, and control the hazards of the
process. After an employer completes a process hazard analysis, the
employer must develop and implement written operating procedures
providing clear, written instructions for safe operations of a process,
such as loading and unloading operations to or from bulk containers
(see 29 CFR 1910.119(f)). After the procedures are developed, each
employee, including a contract employee, who is involved in loading and
unloading operations must be trained in the required processes and the
procedures, in accordance with 29 CFR 1910.119(g).
---------------------------------------------------------------------------

    \4\ 29 CFR 1910.119(b), defines a highly hazardous chemical as a
substance possessing toxic, reactive, flammable, or explosive
properties and specified by paragraph (a)(1) of Sec.  1910.119.
    \5\ The use of this term with respect to the PSM standard is not
the same as defined in the PHMSA HMR.
    \6\ Both of these processes may be covered by OSHA's PSM
depending on the flash point of the waste material and the other
chemicals present in the process. For operations with hazardous
materials, OSHA recommends implementation of management systems such
as those required by the PSM standard, regardless of coverage.
---------------------------------------------------------------------------

    The OSHA standards also include requirements for the handling and
storage of specific hazardous materials, including hazardous waste.
Specifically, 29 CFR 1910.106(f) contains provisions for loading and
unloading facilities. Additionally, the OSHA standard at 29 CFR
1910.120, pertaining to hazardous waste operations and emergency
response, establishes requirements for emergency response operations.
When there is a release of hazardous materials, or a substantial threat
of a release, then emergency response operations must comply with 29
CFR 1910.120(q).
    In situations where an operation or a material is not covered by
the PSM standard or the other OSHA standards, employers are obligated
under Section 5(a)(1)--``the General Duty Clause''--of the OSH Act of
1970 to protect employees from serious ``recognized'' hazards.
    Under OSHA's Hazardous Waste Operations and Emergency Response
(HAZWOPER) standards in 29 CFR 1910.120, an employer must train workers
exposed to hazardous substances, health hazards, or safety hazards
before performing hazardous waste operations and emergency response.
Specifically, 29 CFR 1910.120(e)(3) and (e)(4) detail the level of
training required of workers, who perform cleanup operations or on-site
management and supervisors of workers, and 29 CFR 1910.120(q)(6)
details the level of training required of workers who perform emergency
response.
    Section 29 CFR 1910.120(e)(3)(i) specifies the training
requirements for general site workers engaged in activities which
expose or potentially expose those workers to hazardous substances and
health hazards. These workers are required to receive a minimum of 40
hours of instruction off the site, and a minimum of three days actual
field experience under the direct supervision of a trained, experienced
supervisor.
    Section 29 CFR 1910.120(e)(3)(ii) specifies the training
requirements for workers on site only occasionally for a specific
limited task, who are unlikely to be exposed to hazardous substances
and health hazards over defined permissible limits. These workers are
required to receive a minimum of 24 hours of instruction off the site,
and a minimum of one day actual field experience under the direct
supervision of a trained, experienced supervisor.
    Section 29 CFR 1910.120(e)(3)(iii) specifies training requirements
for workers who are regularly onsite in areas that have been monitored
and fully characterized indicating that exposures are under permissible
exposure limits and published exposure limits where respirators are not
necessary, and the characterization indicates that there are no health
hazards or the possibility of an emergency developing. These workers
are required to receive a minimum of 24 hours of instruction off the
site, and a minimum of one day actual field experience under the direct
supervision of a trained, experienced supervisor. In accordance with 29
CFR 1910.120(e)(3), on-site management and supervisors directly
responsible for, or who supervise employees engaged in the activities
described above must receive 40 hours initial training, and three days
of supervised field experience and at least eight additional hours of
specialized training at the time of job assignment.
    For all the levels of workers and their on-site management and
supervisors, the OSHA training requirements described in 29 CFR
1910.120(e) and (q) would need to include training in all aspects of
the heating process if that employee is responsible for performing any
such functions, including refresher training every three years.

C. Applicable EPA Regulations

    EPA regulations establish a general duty for facility owners or
operators of facilities that produce, handle, process, distribute, or
store certain chemicals to identify hazards associated with the
accidental releases of extremely hazardous substances, design and
maintain a safe facility as needed to prevent such releases, and
minimize the consequences of releases. In addition, stationary sources
with more than a threshold quantity of a regulated substance in a
process are subject to EPA's accident prevention regulations, including
the requirement to develop a Risk Management Plan (RMP) and submit the
RMP to EPA (see 40 CFR Part 68). EPA's RMP requirements contain
accident prevention measures that are virtually identical to those
within the OSHA PSM standard.
    In addition to the accident prevention requirements common to PSM,
under 40 CFR Part 68, regulated facilities must perform a hazard
assessment consisting of worst case and alternative release scenarios
and a five-year accident history, implement an emergency response
program, implement a management system, and develop and submit an RMP
to EPA. Further, 40 CFR Part 112 establishes performance-based training
requirements that would apply to any facility and covered operation,
including facility transfers that handle certain chemicals in the
specific quantities listed in 40 CFR 68.130.

IV. Guidance for Heating of Rail Tank Cars for Unloading or
Transloading

    Several Federal agencies share responsibility for the safety
regulations of rail tank car unloading or transloading operations
involving hazardous material--DOT (PHMSA and FRA), OSHA, and EPA.
PHMSA, in coordination with OSHA and EPA, and in consultation with FRA,
is issuing this safety advisory guidance to offer guidance on heating
of a rail tank car to prepare solidified or viscous hazardous material
products contained in the rail tank car for unloading or transloading.
Based on existing regulatory requirements, we have assembled and
coordinated the following guidance to

raise awareness of those requirements and the risks associated with
heating rail tank cars. This guidance does not include all of the
aspects applicable to the safe heating of rail tanks cars; rather, it
focuses on the issues raised in the NTSB recommendations as a result of
its investigations into the two incidents cited above.
    Procedures. The shipper or facility operator, if not the same,
should develop written safe operating procedures to be used when
hazardous materials are heated in a rail tank car for unloading or
transloading. The procedures should, at a minimum, establish hazard
controls necessary to protect workers, the public, and the environment
from adverse consequences, and include:
     Detailed information regarding the chemical
characteristics of the material such as, melting temperature, flash
point, the degree to which the hazardous material expands as a result
of heating, and additional risk if the hazardous material reacts with
air or water.;
     The pressure created by heating the rail tank car at which
the material may safely be unloaded or transloaded from the rail tank
car;
     Active monitoring and recordkeeping requirements of the
internal tank pressure and material temperature during the heating
process. The heating process should be monitored with time intervals
(such as hourly) that are dependent upon the nature and history of
materials being heated;
     Potential consequences of deviations from standard
operating procedures and how to identify, control and respond to those
consequences; and
     Training of all entities involved in the unloading or
transloading process.
    These procedures should be maintained in a location where they are
immediately available to employees responsible for the heating,
unloading or transloading operation. These procedures should clearly
define employees' roles and responsibilities for the heating of a rail
tank car, as well as the roles and responsibilities of contractor
personnel that are employed at a facility to conduct the operations for
heating of a rail tank car.
    Monitoring. The facility operator should be knowledgeable of the
chemical properties of all of the materials involved in the heating
process, including the reactivity of those materials, and ensure that
the heating process (i.e., pressure, temperature, and heating rate)
applied to the rail tank car, and the pressure and temperature inside
the rail tank car should be monitored to ensure that it does not result
in over-pressurization of the rail tank car.
    Monitoring should be conducted at the necessary frequency as
heating continues until the material reaches its recommended parameters
(e.g., viscosity and temperature) for safe unloading or transloading.
Certain chemicals, such as a material that can undergo rapid exothermic
decomposition, may require more frequent or even continuous monitoring
during heating. Monitoring of the tank pressure and the temperature of
the hazardous material includes measures to ensure that the heating
rate does not result in over pressurization of the rail tank car.
    As an additional aspect of monitoring, the facility operator may,
when practical and safe, and the physical state of the material allows,
sample the material that is in the rail tank car to verify the material
and its chemical and physical properties. The rail tank car contents
should be monitored at multiple times as heating continues until the
material is determined to be at its recommended parameters (e.g.,
viscosity and temperature) for safe unloading or transloading.
    Designated Employee. The facility operator should designate an
employee responsible for monitoring the heating process. Prior to the
onset of operation, the designated employee should be made thoroughly
knowledgeable of the nature and properties of the material contained in
the rail tank car and procedures to be followed in the event of an
emergency. In the event of an emergency, the designated employee should
have the ability and authority to take responsive action.
    Training. Hazardous materials employees involved in heating rail
tank cars for unloading or transloading operations should be trained in
all aspects of the heating process that each employee is responsible
for performing. Further, the level of training for each employee should
correlate with that employee's level of exposure to hazardous materials
at the facility where rail tank cars are heated for unloading or
transloading. Please refer to the Section III for a discussion of
specific training obligations under applicable Federal regulations.

    Issued in Washington, DC, on July 8, 2013, under authority
delegated in 49 CFR Part 106.
Magdy El-Sibaie,
Associate Administrator for Hazardous Materials Safety.
[FR Doc. 2013-16672 Filed 7-11-13; 8:45 am]
BILLING CODE 4910-60-P


From:
Jones, DonnaLee<EMAIL_ADDRESS>Sent:
Wednesday, June 7, 2023 3:29 PM
To:
BATTEN, KATIE M<EMAIL_ADDRESS>Cc:
STARKWEATHER, DIANA M<EMAIL_ADDRESS>Raymond, Gabrielle<EMAIL_ADDRESS>Subject:
RE: MACT RTR - Initial Comments

Thanks for the explanation. Yes, its too late at this point. The proposed rule had already gone through agency review when I got your email. We cant change anything after that and its now in OMB review. Sorry.

Regards,
Donna Lee Jones, Ph.D.
Senior Technical Advisor, Metals Sector
U. S. Environmental Protection Agency
Office of Air Quality Planning and Standards
Sector Policies and Programs Division / Metals & Inorganic Chemicals Group (D243-02)
Research Triangle Park, NC  27711  Tele:<PHONE_NUMBER>  Fax<PHONE_NUMBER>
~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~
"Reasonableness never fails to be appreciated."  - anon.

Pronouns - She/Her/Hers
Salutation - Dr./Ms.

From: BATTEN, KATIE M<EMAIL_ADDRESS>Sent: Wednesday, June 7, 2023 2:43 PM
To: Jones, DonnaLee<EMAIL_ADDRESS>Cc: STARKWEATHER, DIANA M<EMAIL_ADDRESS>GABRIELLE RAYMOND<EMAIL_ADDRESS>Subject: RE: MACT RTR - Initial Comments

Hi Donna Lee,

Although this has not caused any significant problems for us, the current terminology has definitely resulted in confusion by state agencies whether we were in compliance with applicable requirements.  Typically, they would understand our position upon providing a detailed explanation that common tunnel pressure monitoring satisfies this requirement, and was the underlying intent behind the "except as otherwise provided" language.  But ultimately this language is a source of confusion that could be avoided if it just spelled out where those exceptions are located, as we propose.  We are not aware of any other regulations potentially covered by that "otherwise provided" language.

You mentioned that we should also submit these comments during the official comment period.  We were just wondering if that means it is too late for these comments to really be considered at the proposed rule stage?

Thanks,

Katie Batten
Director of Health, Safety and Environmental

SunCoke Energy, Inc.
<EMAIL_ADDRESS>cell:<PHONE_NUMBER>

From: Jones, DonnaLee<EMAIL_ADDRESS>Sent: Thursday, May 25, 2023 7:00 PM
To: BATTEN, KATIE M<EMAIL_ADDRESS>Cc: STARKWEATHER, DIANA M<EMAIL_ADDRESS>GABRIELLE RAYMOND<EMAIL_ADDRESS>Subject: RE: MACT RTR - Initial Comments

Hi. I have a couple of simple questions about #1. Has this caused any problems for SunCoke in the past? What else could "otherwise provided" mean?

Regards,
Donna Lee Jones, Ph.D.
Senior Technical Advisor, Metals Sector
U. S. Environmental Protection Agency
Office of Air Quality Planning and Standards
Sector Policies and Programs Division / Metals & Inorganic Chemicals Group (D243-02)
Research Triangle Park, NC  27711  Tele:<PHONE_NUMBER>  Fax<PHONE_NUMBER>
~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~
"Reasonableness never fails to be appreciated."  - anon.

Pronouns - She/Her/Hers
Salutation - Dr./Ms.

From: Jones, DonnaLee<EMAIL_ADDRESS>Sent: Tuesday, May 23, 2023 11:28 AM
To<EMAIL_ADDRESS>Cc: STARKWEATHER, DIANA M<EMAIL_ADDRESS>GABRIELLE RAYMOND<EMAIL_ADDRESS>Subject: FW: MACT RTR - Initial Comments

Thank you for this information. I am always looing for ways to make our rules better. You probably should also submit this document during the upcoming proposal comment period (sometime this summer).

Regards,
Donna Lee Jones, Ph.D.
Senior Technical Advisor, Metals Sector
U. S. Environmental Protection Agency
Office of Air Quality Planning and Standards
Sector Policies and Programs Division / Metals & Inorganic Chemicals Group (D243-02)
Research Triangle Park, NC  27711  Tele:<PHONE_NUMBER>  Fax<PHONE_NUMBER>
~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~
"Reasonableness never fails to be appreciated."  - anon.

Pronouns - She/Her/Hers
Salutation - Dr./Ms.

From: BATTEN, KATIE M<EMAIL_ADDRESS>Sent: Tuesday, May 23, 2023 8:44 AM
To: Jones, DonnaLee<EMAIL_ADDRESS>Cc: STARKWEATHER, DIANA M<EMAIL_ADDRESS>Subject: MACT RTR - Initial Comments

Hi Donna Lee,

While EPA is reviewing the data submitted by SunCoke and other companies to develop a proposed rule for the Coke Oven MACT Residual Risk & Technology Review (40 CFR Part 63, Subparts L and CCCCC), SunCoke has been working diligently to identify minor changes to the rules that we believe should be incorporated into EPA's upcoming proposed rule for technical accuracy and other non-controversial reasons (e.g., resulting in an environmental benefit in certain cases).  Please see the attached document for our proposed changes for EPA's consideration.  Feel free to reach out to me with any questions.

Thanks,

Katie Batten
Director of Health, Safety and Environmental

SunCoke Energy, Inc.
1011 Warrenville Rd, 6[th] Floor
Lisle, IL 60532

<EMAIL_ADDRESS>cell:<PHONE_NUMBER>

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