Rulemaking Procedures-Federal Motor Carrier Safety Regulations; Treatment of Confidential Business Information, 32861-32865 [2015-14181]
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Federal Register / Vol. 80, No. 111 / Wednesday, June 10, 2015 / Rules and Regulations
§ 1652.215–70 Rate Reduction for
Defective Pricing or Defective Cost or
Pricing Data.
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(a) If any rate established in
connection with this contract was
increased because:
(1) The Carrier submitted, or kept in
its files in support of the FEHBP rate,
cost or pricing data that were not
complete, accurate, or current as
certified in one of the Certificates of
Accurate Cost or Pricing Data (FEHBAR
1615.406–2);
(2) The Carrier submitted, or kept in
its files in support of the FEHBP rate,
cost or pricing data that were not
accurate as represented in the rate
reconciliation documents or MLR
Calculation;
(3) The Carrier developed FEHBP
rates for traditional community rated
plans with a rating methodology and
structure inconsistent with that used to
develop rates for a similarly sized
subscriber group (see FEHBAR
1602.170–13) as certified in the
Certificate of Accurate Cost or Pricing
Data for Community Rated Carriers;
(4) The Carrier, who is not mandated
by the State to use traditional
community rating, developed FEHBP
rates with a rating methodology and
structure inconsistent with its Statefiled rating methodology (or if not
required to file with the State, their
standard written and established rating
methodology) or inconsistent with the
FEHB specific medical loss ratio (MLR)
requirements (see FEHBAR 1602.170–
13); or
(5) The Carrier submitted or, kept in
its files in support of the FEHBP rate,
data or information of any description
that were not complete, accurate, and
current—then, the rate shall be reduced
in the amount by which the price was
increased because of the defective data
or information.
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(c) When the Contracting Officer
determines that the rates shall be
reduced and the Government is thereby
entitled to a refund or that the
Government is entitled to a MLR
penalty, the Carrier shall be liable to
and shall pay the FEHB Fund at the
time the overpayment is repaid or at the
time the MLR penalty is paid—
(1) Simple interest on the amount of
the overpayment from the date the
overpayment was paid from the FEHB
Fund to the Carrier until the date the
overcharge is liquidated. In calculating
the amount of interest due, the quarterly
rate determinations by the Secretary of
the Treasury under the authority of 26
U.S.C. 6621(a)(2) applicable to the
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periods the overcharge was retained by
the Carrier shall be used;
(2) A penalty equal to the amount of
overpayment, if the Carrier knowingly
submitted cost or pricing data which
was incomplete, inaccurate, or
noncurrent; and,
(3) Simple interest on the MLR
penalty from the date on which the
penalty should have been paid to the
FEHB Fund to the date on which the
penalty was or will be actually paid to
the FEHB fund. The interest rate shall
be calculated as specified in paragraph
(c)(1) of this section.
■ 9. In § 1652.216–70, revise paragraphs
(b)(2), (3), (7), and (8) to read as follows:
§ 1652.216–70
adjustment.
Accounting and price
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(b) * * *
(2). Effective January 1, 2013 all
community rated plans must develop
the FEHBP’s rates using their State-filed
rating methodology or, if not required to
file with the State, their standard
written and established rating
methodology. A carrier who mandated
by the State to use traditional
community rating will be subject to
paragraph (b)(2)(ii) of this clause. All
other carriers will be subject to
paragraph (b)(2)(i) of this clause.
(i) The subscription rates agreed to in
this contract shall meet the FEHBspecific MLR threshold as defined in
FEHBAR 1602.170–14. The ratio of a
plan’s incurred claims, including the
carrier’s expenditures for activities that
improve health care quality, to total
premium revenue shall not be lower
than the FEHB-specific MLR threshold
published annually by OPM in its rate
instructions.
(ii) The subscription rates agreed to in
this contract shall be equivalent to the
subscription rates given to the carrier’s
similarly sized subscriber group (SSSG)
as defined in FEHBAR 1602.170–13.
The subscription rates shall be
determined according to the carrier’s
established policy, which must be
applied consistently to the FEHBP and
to the carrier’s SSSG. If the SSSG
receives a rate lower than that
determined according to the carrier’s
established policy, it is considered a
discount. The FEHBP must receive a
discount equal to or greater than the
carrier’s SSSG discount.
(3) If subject to paragraph (b)(2)(ii) of
this clause, then:
(i) If, at the time of the rate
reconciliation, the subscription rates are
found to be lower than the equivalent
rates for the SSSG, the carrier may
include an adjustment to the Federal
group’s rates for the next contract
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period, except as noted in paragraph
(b)(3)(iii) of this clause.
(ii) If, at the time of the rate
reconciliation, the subscription rates are
found to be higher than the equivalent
rates for the SSSG, the carrier shall
reimburse the Fund, for example, by
reducing the FEHB rates for the next
contract term to reflect the difference
between the estimated rates and the
rates which are derived using the
methodology of the SSSG, except as
noted in paragraph (b)(3)(iii) of this
clause.
(iii) Carriers may provide additional
guaranteed discounts to the FEHBP that
are not given to the SSSG. Any such
guaranteed discounts must be clearly
identified as guaranteed discounts. After
the beginning of the contract year for
which the rates are set, these guaranteed
FEHBP discounts may not be adjusted.
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(7) Carriers may provide additional
guaranteed discounts to the FEHBP.
Any such guaranteed discounts must be
clearly identified as guaranteed
discounts. After the beginning of the
contract year for which the rates are set,
these guaranteed FEHBP discounts may
not be adjusted.
(8) Carriers may not impose
surcharges (loadings not defined based
on an established rating method) on the
FEHBP subscription rates or use
surcharges in the rate reconciliation
process. If the carrier is subject to the
SSSG rules and imposes a surcharge on
the SSSG, the carrier cannot impose the
surcharge on FEHB.
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[FR Doc. 2015–14219 Filed 6–9–15; 8:45 am]
BILLING CODE 6325–63–P
DEPARTMENT OF TRANSPORTATION
Federal Motor Carrier Safety
Administration
49 CFR Part 389
[Docket No. FMCSA–2015–0168]
RIN 2126–AB79
Rulemaking Procedures—Federal
Motor Carrier Safety Regulations;
Treatment of Confidential Business
Information
Federal Motor Carrier Safety
Administration (FMCSA), DOT.
ACTION: Final rule.
AGENCY:
FMCSA amends its
Rulemaking Procedures by adding a
new section establishing the standards
and procedures that the Agency will use
regarding the submission of certain
SUMMARY:
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confidential commercial or financial
information that is referred to in this
rule as ‘‘confidential business
information’’ (CBI). This rule also sets
forth the procedures for asserting a
claim of confidentiality by parties who
voluntarily submit CBI to the Agency in
connection with a notice-and-comment
rulemaking and in a manner consistent
with the standards adopted in today’s
rule.
DATES: This final rule is effective June
10, 2015.
FOR FURTHER INFORMATION CONTACT: Kim
McCarthy, Office of Chief Counsel,
Regulatory Affairs Division (MC–CCR),
Federal Motor Carrier Safety
Administration, 1200 New Jersey Ave.
SE., Washington, DC 20590; by
telephone at 202–366–0834. If you have
questions on viewing or submitting
material to the public docket, contact
Docket Services, telephone (202) 366–
9826.
SUPPLEMENTARY INFORMATION:
Legal Basis for Rulemaking
Section 552(b)(4) of the Freedom of
Information Act (FOIA) exempts from
public disclosure ‘‘trade secrets and
commercial or financial information
obtained from a person and privileged
or confidential’’. 5 U.S.C. 552(b)(4).
There is a substantial body of Federal
case law interpreting and upholding this
exemption, commonly referred to as
‘‘FOIA Exemption 4.’’ An underlying
theme of the FOIA Exemption 4 cases is
that the exemption is ‘‘intended to
protect the government as well as the
individual,’’ including advancing the
efficiency of government operations.
National Parks & Conservation Ass’n v.
Morton, 498 F.2d 765, 767 (D.C. Cir.
1974).
Like other Federal agencies, FMSCA
has adopted procedural rules
implementing the FOIA. 49 CFR 389.7.
Agencies’ procedures for exempting CBI
from disclosure under FOIA vary. In
today’s rule, FMCSA establishes
procedures that the Agency will use for
the submission of certain CBI that is
presumptively exempt from public
disclosure under FOIA Exemption 4.
These procedures apply to information
voluntarily submitted to the Agency in
response to a notice-and-comment
rulemaking and that falls within the
designated classes of information
established in accordance with the rule.
Today’s rule incorporates the
confidentiality standard for CBI adopted
by the U.S. Court of Appeals for the D.C.
Circuit in Critical Mass Energy Project v.
NRC, 975 F.2d 871 (D.C. Cir. 1992) (en
banc), in which the court distinguished
between information the government
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compels and that which is voluntarily
submitted to help further government
functions, such as rulemakings. The
court held that information voluntarily
submitted to the government should be
treated as confidential under FOIA
Exemption 4 as long as the submitter
can show that it is not customarily
released to the general public. Id. at 880.
This regulation is published as a final
rule and effective on June 10, 2015.
Under the Administrative Procedure Act
(APA), agencies may promulgate final
rules only after providing notice and an
opportunity for public comment. 5
U.S.C. 553(b) and (c). This requirement
does not apply, however, to
‘‘interpretative rules, general statements
of policy, or rules of agency
organization, procedure or practice.’’ 5
U.S.C. 553(b)(A) (emphasis added).
Today’s final rule establishes
procedures for submitting CBI, and
FMCSA therefore determines that notice
and comment is unnecessary. In
addition, this rule makes no substantive
changes to the motor carrier safety
regulations and is therefore not a
substantive rule subject to the APA’s
requirement that publication be made at
least 30 days before its effective date. 5
U.S.C. 553(d).
Before prescribing any regulations,
FMCSA must also consider their
benefits and costs. 49 U.S.C.
31136(c)(2)(A) and 31502(d). Those
factors are discussed in this final rule.
Background Information
FMCSA has a recurring occasional
need to receive CBI in order to improve
the Agency’s ability to promulgate
regulations that: (1) Are evidence-based;
(2) take into account the operational and
financial realities of regulated parties;
and (3) result in improved safety for
motor carriers, drivers, and the general
public. Historically, FMCSA has
received limited amounts of usable data
submitted as part of the rulemaking
comment process, even in response to
specific requests for data on particular
topics. FMCSA believes that the
procedures and confidentiality
protections set forth in today’s rule will
optimize the Agency’s ability to receive
necessary CBI in response to notice-andcomment rulemakings.
The Agency recognizes the need to
add confidentiality assurances to
commenters who provide CBI. Today’s
rule balances the interests of FMCSA,
persons who choose to submit CBI to
the Agency, and the public. First, this
rule responds to FMCSA’s need for
pertinent data by facilitating its ability
to obtain information necessary for the
development of particular rulemakings.
Today’s rule authorizes the FMCSA
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Administrator to define classes of
information, which are presumptively
confidential, based on the
confidentiality standard for voluntarily
submitted information adopted by the
D.C. Circuit in Critical Mass, as noted
above. Under the procedures adopted,
the specific items of information
included within a class will be
determined on an as needed basis,
depending on the informational
requirements of each particular
rulemaking. Because the Agency will
invite the submission of CBI that is
specifically calibrated to inform the
rulemaking, FMCSA believes this
procedure will significantly enhance the
efficacy of responsive comments and,
ultimately, the final rule.
Second, by making confidential class
determinations, this rule will alleviate
the burden on commenters to submit
individual claims for confidential
treatment, as well as the Agency’s
burden to evaluate requests for
confidential treatment submitted on an
individual basis.
Third, this rule responds to the
interests of commenters who wish to
protect their submitted information
from disclosure in the public domain
because it is confidential within the
meaning of the FOIA. It establishes the
standards and procedures by which
submitters of CBI must substantiate
their request for confidential treatment.
Today’s rule also states that, if those
qualifying requirements are met and
maintained, the Agency will not
disclose the CBI in the public docket or
in response to a FOIA request.
Fourth, this rule responds to the
public’s interest in transparency and
disclosure in the rulemaking process. It
requires FMCSA to describe through
summarization, aggregation, or some
other de-identified means, any CBI
submitted in accordance with these
procedures and on which the Agency
relies in developing a final rule. FMCSA
must also explain how such CBI assisted
in formulating that final rule.
Finally, this rule permits the public
disclosure of information initially
designated as confidential by the
submitter if the Agency finds that the
submitter fails to meet or maintain the
confidentiality criteria established in
this rule. In addition, to the extent that
commenters who choose to submit CBI
in accordance with the adopted
procedures also wish to provide nonconfidential information, their
comments must be segregated and filed
in the rulemaking’s public docket.
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Regulatory Analyses
Executive Order 12866 (Regulatory
Planning and Review), Executive Order
13563 (Improving Regulation and
Regulatory Review), and DOT
Regulatory Policies and Procedures
FMCSA considered the impact of this
procedural rule under Executive Orders
12866 and 13563 and DOT’s regulatory
policies and procedures (44 FR 11034;
February 26, 1979). The Agency has
determined this rule does not constitute
a significant regulatory action within
the meaning of Executive Order 12866,
as supplemented by Executive Order
13563, or DOT’s regulatory policies and
procedures.
FMCSA expects that the economic
impact of this rule will be minimal, as
it merely codifies the procedures by
which CBI may be voluntarily submitted
to FMCSA in connection with noticeand-comment rulemakings. This rule
does not alter the confidentiality
threshold established by FOIA
Exemption 4, as currently reflected in
the FOIA procedures of both FMCSA
(49 CFR 389.5(b)) and the DOT (49 CFR
part 7). It is adopted to address the
concerns of potential submitters of CBI
as well as the Agency’s need to receive
certain commercial and financial
information that is eligible for
confidential treatment under FOIA
Exemption 4.
Today’s rule imposes a minimal
additional burden on parties who elect
to submit CBI to FMCSA since they will
now be required to complete a
standardized affidavit certifying that the
submitted information meets the
confidentiality threshold established by
FOIA Exemption 4. FMCSA expects that
the amount of time and resources that
CBI submitters will devote to
completing the standardized CBI
affidavit will be minimal. This rule does
not change the current burden imposed
on submitters to ensure that the
information they designate as
confidential meets the established FOIA
criteria.
The Agency may realize additional
costs associated with its use of resources
to review submitted CBI, subjected to
request for public disclosure under the
FOIA, in order to confirm that the
information is withheld from the public
in accordance with FOIA Exemption 4.
We expect the increase in the use of
Agency resources devoted to FOIA
review will be minimal. Although this
rule does not change the Agency’s
current role in reviewing confidential
information subject to request for
disclosure under the FOIA, we
anticipate that the volume of FOIA
requests may increase due to the fact
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that FMCSA will specifically solicit CBI
for submission under informational
categories established in accordance
with today’s final rule. Today’s rule is
intended to increase the amount of CBI
submitted to the Agency. FMCSA
expects any additional FOIA review
costs will be minimal, however, since
CBI will be submitted under
informational categories already
determined by the Agency to be
presumptively confidential.
FMCSA believes the potential
marginal increase in costs associated
with the adoption of this rule is more
than outweighed by the benefits for both
submitters of CBI and for the Agency. In
addition, this rule enhances FMCSA’s
ability to promulgate rules that are datadriven and evidence-based; therefore,
regulated entities and the public will
also benefit.
Regulatory Flexibility Act
Pursuant to the Regulatory Flexibility
Act (RFA) of 1980 (5 U.S.C. 601 et seq.),
as amended by the Small Business
Regulatory Enforcement Fairness Act of
1996 (Pub. L. 104–121, 110 Stat. 857),
FMCSA is not required to prepare a
final regulatory flexibility analysis
under 5 U.S.C. 604(a) for this final rule
because the agency has not issued a
notice of proposed rulemaking prior to
this action. FMCSA has therefore
determined that it has good cause to
adopt the rule without notice-andcomment.
Assistance to Small Entities
In accordance with section 213(a) of
the Small Business Regulatory
Enforcement Fairness Act of 1996,
FMCSA wants to assist small entities in
understanding this final rule so that
they can better evaluate its effects on
themselves and participate in the
rulemaking initiative. If the final rule
would affect your small business,
organization, or governmental
jurisdiction and you have questions
concerning its provisions or options for
compliance, please consult the FMCSA
point of contact, Ms. Kim McCarthy,
listed in the FOR FURTHER INFORMATION
CONTACT section of this final rule.
Unfunded Mandates Reform Act
The Unfunded Mandates Reform Act
of 1995 (2 U.S.C. 1531–1538) requires
Federal agencies to assess the effects of
their discretionary regulatory actions. In
particular, the Act addresses actions
that may result in the expenditure by a
State, local, or tribal government, in the
aggregate, or by the private sector of
$151 million (which is the value
equivalent of $100 million in 1995,
adjusted for inflation to 2012 levels) or
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more in any one year. Though this rule
will not result in such an expenditure,
we do discuss the effects of this rule
elsewhere in this preamble.
Paperwork Reduction Act
This final rule will call for no new
collection of information under the
Paperwork Reduction Act of 1995 (44
U.S.C. 3501–3520).
Executive Order 13132 (Federalism)
A rule has implications for
Federalism under Section 1(a) of
Executive Order 13132 if it has
‘‘substantial direct effects 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.’’ FMCSA has
determined that this final rule will not
have substantial direct costs on or for
States, nor would it limit the
policymaking discretion of States.
Nothing in this document preempts any
State law or regulation. Therefore, this
rule does not have sufficient Federalism
implications to warrant the preparation
of a Federalism Assessment.
Executive Order 12988 (Civil Justice
Reform)
This final rule meets applicable
standards in sections 3(a) and 3(b) (2) of
Executive Order 12988, Civil Justice
Reform, to minimize litigation,
eliminate ambiguity, and reduce
burden.
Executive Order 13045 (Protection of
Children)
E.O. 13045, Protection of Children
from Environmental Health Risks and
Safety Risks (62 FR 19885, Apr. 23,
1997), requires agencies issuing
‘‘economically significant’’ rules, if the
regulation also concerns an
environmental health or safety risk that
an agency has reason to believe may
disproportionately affect children, to
include an evaluation of the regulation’s
environmental health and safety effects
on children. The Agency determined
this final rule is not economically
significant. Therefore, no analysis of the
impacts on children is required. In any
event, the Agency does not anticipate
that this regulatory action could in any
respect present an environmental or
safety risk that could disproportionately
affect children.
Executive Order 12630 (Taking of
Private Property)
FMCSA reviewed this final rule in
accordance with E.O. 12630,
Governmental Actions and Interference
with Constitutionally Protected Property
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responsibilities between the Federal
Government and Indian tribes.
Rights, and has determined it will not
effect a taking of private property or
otherwise have taking implications.
Privacy
The Consolidated Appropriations Act,
2005, (Pub. L. 108–447, 118 Stat. 2809,
3268, 5 U.S.C. 552a note) requires the
Agency to conduct a privacy impact
assessment (PIA) of a regulation that
will affect the privacy of individuals.
This rule does not involve the collection
of personally identifiable information
(PII).
The Privacy Act (5 U.S.C. 552a)
applies only to Federal agencies and any
non-Federal agency which receives
records contained in a system of records
from a Federal agency for use in a
matching program.
The E-Government Act of 2002,
Public Law 107–347, § 208, 116 Stat.
2899, 2921 (Dec. 17, 2002), requires
Federal agencies to conduct a privacy
impact assessment for new or
substantially changed technology that
collects, maintains, or disseminates
information in an identifiable form. No
new or substantially changed
technology would collect, maintain, or
disseminate information as a result of
this rule. Accordingly, FMCSA has not
conducted a privacy impact assessment.
Executive Order 12372
(Intergovernmental Review of Federal
Programs)
The regulations implementing
Executive Order 12372 regarding
intergovernmental consultation on
Federal programs do not apply to this
program.
Executive Order 13211 (Energy Supply,
Distribution or Use)
FMCSA has analyzed this final rule
under E.O. 13211, Actions Concerning
Regulations That Significantly Affect
Energy Supply, Distribution, or Use.
The Agency has determined that it is
not a ‘‘significant energy action’’ under
that order because it is not a ‘‘significant
regulatory action’’ likely to have a
significant adverse effect on the supply,
distribution, or use of energy. Therefore,
it does not require a Statement of Energy
Effects under E.O. 13211.
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Indian Tribal Governments (E.O. 13175)
This rule does not have tribal
implications under E.O. 13175,
Consultation and Coordination with
Indian Tribal Governments, because it
does not have a substantial direct effect
on one or more Indian tribes, on the
relationship between the Federal
Government and Indian tribes, or on the
distribution of power and
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National Technology Transfer and
Advancement Act (Technical Standards)
The National Technology Transfer
and Advancement Act (NTTAA) (15
U.S.C. 272 note) directs agencies to use
voluntary consensus standards in their
regulatory activities unless the agency
provides Congress, through OMB, with
an explanation of why using these
standards would be inconsistent with
applicable law or otherwise impractical.
Voluntary consensus standards (e.g.,
specifications of materials, performance,
design, or operation; test methods;
sampling procedures; and related
management systems practices) are
standards that are developed or adopted
by voluntary consensus standards
bodies. This rule does not use technical
standards. Therefore, we did not
consider the use of voluntary consensus
standards.
Environment (NEPA, CAA,
Environmental Justice)
FMCSA analyzed this final rule for
the purpose of the National
Environmental Policy Act of 1969 (42
U.S.C. 4321 et seq.) and determined that
this action is categorically excluded
from further analysis and
documentation in an environmental
assessment or environmental impact
statement under FMCSA Order 5610.1
(69 FR 9680, March 1, 2004), Appendix
2, paragraph (6b) that covers editorial
and procedural regulations. The CE is
available for inspection or copying in
the Regulations.gov Web site listed
under ADDRESSES.
FMCSA also analyzed this action
under the Clean Air Act, as amended
(CAA), section 176(c) (42 U.S.C. 7401 et
seq.), and implementing regulations
promulgated by the Environmental
Protection Agency. Approval of this
action is exempt from the CAA’s general
conformity requirement since it does
not affect direct or indirect emissions of
criteria pollutants.
Under E.O. 12898, each Federal
agency must identify and address, as
appropriate, ‘‘disproportionately high
and adverse human health or
environmental effects of its programs,
policies, and activities on minority
populations and low-income
populations’’ in the United States, its
possessions, and territories. FMCSA
evaluated the environmental justice
effects of this rule in accordance with
the E.O. and has determined that no
environmental justice issue is associated
with this rule, nor is there any collective
environmental impact that would result
from its promulgation.
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List of Subjects in 49 CFR Part 389
Administrative practice and
procedure, Highway safety, Motor
carriers, Motor vehicle safety.
In consideration of the foregoing,
FMCSA amends 49 CFR part 389 to read
as follows:
PART 389—RULEMAKING
PROCEDURES—FEDERAL MOTOR
CARRIER SAFETY ADMINISTRATION
1. The authority citation for part 389
continues to read as follows:
■
Authority: 49 U.S.C. 113, 501 et seq.,
subchapters I and III of chapter 311, chapter
313, and 31502; 42 U.S.C. 4917; and 49 CFR
1.87.
2. Add a definition of ‘‘Confidential
business information’’ to § 389.3 in
alphabetical order to read as follows:
■
§ 389.3
Definitions.
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*
*
Confidential business information
means trade secrets or commercial or
financial information that is privileged
or confidential, as described in 5 U.S.C.
552(b)(4). Commercial or financial
information is considered confidential if
it was voluntarily submitted and is the
type of information that is customarily
not released to the general public by the
person or entity from whom it was
obtained.
■ 3. Add § 389.9 to subpart A to read as
follows:
§ 389.9 Treatment of confidential business
information.
(a) Purpose. This section establishes
the standards and procedures by which
the Agency will solicit and receive
certain confidential commercial or
financial information, as that term is
used in the Freedom of Information Act
(5 U.S.C. 552(b)(4)), categorically
referred to below as ‘‘confidential
business information,’’ and the manner
in which the Agency will protect such
information from public disclosure in
accordance with 5 U.S.C. 552(b)(4).
(b) Confidential class determinations.
The Administrator may make and issue
a class determination, which shall
pertain to a specified rulemaking and
shall clearly identify categories of
information included within the class.
Information submitted under the class
determination and conforming to the
characteristics of the class will be
treated as presumptively confidential
and accorded the non-disclosure
protections described in paragraph (h)
of this section. The Administrator may
establish a class upon finding that:
(1) FMCSA seeks to obtain related
items of commercial or financial
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Federal Register / Vol. 80, No. 111 / Wednesday, June 10, 2015 / Rules and Regulations
information as described in 5 U.S.C.
552(b)(4);
(2) The class determination would
facilitate the voluntary submission of
information necessary to inform the
rulemaking; and
(3) One or more characteristics
common to each item of information in
the class will necessarily result in
identical treatment, and that it is
therefore appropriate to treat all such
items as a class under this section.
(c) Frequency and content of class
determinations. Class determinations
may be defined by the Administrator on
an as needed basis and shall include
substantive criteria established in
accordance with the informational
needs of the particular rulemaking.
(d) Modification or amendment. The
Administrator may amend or modify
any class determination established
under this section.
(e) Publication. Once the
Administrator has made a class
determination, the Agency shall publish
the class determination in the Federal
Register. If the Administrator amends or
modifies any class determination
established and published in
accordance with this section, such
changes will be published in the
Federal Register.
(f) Submission of confidential
business information. Persons wishing
to submit information in accordance
with a class determination established
under authority of this section must
complete and sign, under penalties of
perjury, an Affidavit in Support of
Request for Confidentiality (Affidavit),
as set forth in Appendix A to this part.
In the event that information is
submitted under more than one
designated class, each submission must
include an executed Affidavit, asserting,
among other factors, that:
(1) The information is submitted to
the Agency voluntarily;
(2) The information is of a type
customarily not disclosed to the public
by the submitter;
(3) The information, to the best of the
submitter’s knowledge and belief, has
not been disclosed to the public; and
(4) The information satisfies the
substantive criteria for the class as
established by the Administrator under
authority of paragraph (b) of this
section.
(g) Submission of comments not
containing confidential business
information. If a submitter elects to
provide commentary in addition to the
confidential business information
submitted under one or more classes
designated under this section, any
portion of a submitter’s additional
commentary that does not contain
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confidential business information shall
be filed in the public docket in the form
and manner set forth in the rulemaking.
(h) Non-disclosure of confidential
business information. In accordance
with the provisions of 5 U.S.C.
552(b)(4), information submitted under
this section shall not be available for
inspection in the public docket, nor
shall such information be provided by
the Agency in response to any request
for the information submitted to the
Agency under 5 U.S.C. 552, except as
provided for in paragraph (j) of this
section.
(1) If a requester brings suit to compel
the disclosure of information submitted
under this section, the Agency shall
promptly notify the submitter.
(2) The submitter may be joined as a
necessary party in any suit brought
against the Department of
Transportation or FMCSA for nondisclosure.
(i) Use of confidential business
information. To the extent that the
Agency relies upon confidential
business information submitted under
paragraph (f) of this section in
formulating a particular rule, the
Agency shall, in the preamble of the
final rule, disclose its receipt of such
information under a designated class
and shall describe the information in a
de-identified form, including by
summary, aggregation or other means, as
necessary, to sufficiently explain the
Agency’s reasoning while maintaining
the confidentiality of the information.
(j) Disclosure of confidential business
information. (1) If the Administrator
finds that information submitted to the
Agency under paragraph (f) of this
section fails to satisfy the requirements
set forth in paragraphs (f)(2), (3) or (4),
or that the Affidavit accompanying the
information submitted under paragraph
(f) is false or misleading in any material
respect, the Agency shall disclose the
non-conforming information by placing
it in the public docket for the particular
rulemaking, within 20 days following
written notice to the submitter of its
decision to do so, except that:
(i) Submitters may, within 10 days of
receipt of such notice, provide the
Agency with a written statement
explaining why the submitted
information conforms to the
requirements of paragraph (f) of this
section and thus, should not be
disclosed. The Agency shall continue to
withhold the information from the
public docket until completing its
review of the submitter’s statement. The
Agency may, following timely review of
the submitter’s statement, determine
that disclosure is not required under
this paragraph. In any event, the Agency
PO 00000
Frm 00011
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32865
shall advise the submitter in writing of
its decision concerning whether the
information shall be disclosed in the
public docket.
(ii) [Reserved]
(2) Notice of the Agency’s intention to
disclose the submitted information is
not required if the Administrator
determines that the entity submitting
such information has authorized its
disclosure to the public.
(3) If, at the time the Administrator
determines that the submitted
information fails to comply with the
requirements set forth in paragraph (f),
such information is the subject of a
FOIA request, the requirements of 49
CFR 7.29 shall apply.
4. Add Appendix A to Part 389 to read
as follows:
■
APPENDIX A TO PART 389
AFFIDAVIT IN SUPPORT OF REQUEST
FOR CONFIDENTIALITY
I, _______, pursuant to the provisions of 49
CFR part 389, section 389.9, state as follows:
(1) I am [insert official’s name, title] and I
am authorized by [insert name of entity] to
execute this Affidavit on its behalf;
(2) I certify that the information contained
in the document(s) attached to this Affidavit
is submitted voluntarily, with the claim that
the information is entitled to confidential
treatment under 5 U.S.C. 552(b)(4);
(3) I certify that the information contained
in the documents attached to this Affidavit
is of a type not customarily disclosed to the
general public by [insert name of entity];
(4) I certify that, to the best of my
knowledge, information and belief, the
information contained in the documents
attached to this Affidavit, for which
confidential treatment is claimed, has never
been released to the general public or been
made available to any unauthorized person
outside [insert name of entity];
(5) I certify that this information satisfies
the substantive criteria set forth in the notice
published in the Federal Register on lll
[insert date of rule-specific publication in
month/day/year format] under FMCSA
Docket Number [insert docket number].
(6) I make no representations beyond those
made in this Affidavit, and, in particular, I
make no representations as to whether this
information may become available outside
[insert name of entity] due to unauthorized
or inadvertent disclosure; and
(7) I certify under penalties of perjury that
the foregoing statements are true and correct.
Executed on this llday of ll, ll.
lllllllll(signature of official)
Issued under the authority of delegation in
49 CFR 1.87. May 27, 2015.
T.F. Scott Darling III,
Chief Counsel.
[FR Doc. 2015–14181 Filed 6–9–15; 8:45 am]
BILLING CODE 4910–EX–P
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Agencies
[Federal Register Volume 80, Number 111 (Wednesday, June 10, 2015)]
[Rules and Regulations]
[Pages 32861-32865]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2015-14181]
=======================================================================
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DEPARTMENT OF TRANSPORTATION
Federal Motor Carrier Safety Administration
49 CFR Part 389
[Docket No. FMCSA-2015-0168]
RIN 2126-AB79
Rulemaking Procedures--Federal Motor Carrier Safety Regulations;
Treatment of Confidential Business Information
AGENCY: Federal Motor Carrier Safety Administration (FMCSA), DOT.
ACTION: Final rule.
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SUMMARY: FMCSA amends its Rulemaking Procedures by adding a new section
establishing the standards and procedures that the Agency will use
regarding the submission of certain
[[Page 32862]]
confidential commercial or financial information that is referred to in
this rule as ``confidential business information'' (CBI). This rule
also sets forth the procedures for asserting a claim of confidentiality
by parties who voluntarily submit CBI to the Agency in connection with
a notice-and-comment rulemaking and in a manner consistent with the
standards adopted in today's rule.
DATES: This final rule is effective June 10, 2015.
FOR FURTHER INFORMATION CONTACT: Kim McCarthy, Office of Chief Counsel,
Regulatory Affairs Division (MC-CCR), Federal Motor Carrier Safety
Administration, 1200 New Jersey Ave. SE., Washington, DC 20590; by
telephone at 202-366-0834. If you have questions on viewing or
submitting material to the public docket, contact Docket Services,
telephone (202) 366-9826.
SUPPLEMENTARY INFORMATION:
Legal Basis for Rulemaking
Section 552(b)(4) of the Freedom of Information Act (FOIA) exempts
from public disclosure ``trade secrets and commercial or financial
information obtained from a person and privileged or confidential''. 5
U.S.C. 552(b)(4). There is a substantial body of Federal case law
interpreting and upholding this exemption, commonly referred to as
``FOIA Exemption 4.'' An underlying theme of the FOIA Exemption 4 cases
is that the exemption is ``intended to protect the government as well
as the individual,'' including advancing the efficiency of government
operations. National Parks & Conservation Ass'n v. Morton, 498 F.2d
765, 767 (D.C. Cir. 1974).
Like other Federal agencies, FMSCA has adopted procedural rules
implementing the FOIA. 49 CFR 389.7. Agencies' procedures for exempting
CBI from disclosure under FOIA vary. In today's rule, FMCSA establishes
procedures that the Agency will use for the submission of certain CBI
that is presumptively exempt from public disclosure under FOIA
Exemption 4. These procedures apply to information voluntarily
submitted to the Agency in response to a notice-and-comment rulemaking
and that falls within the designated classes of information established
in accordance with the rule.
Today's rule incorporates the confidentiality standard for CBI
adopted by the U.S. Court of Appeals for the D.C. Circuit in Critical
Mass Energy Project v. NRC, 975 F.2d 871 (D.C. Cir. 1992) (en banc), in
which the court distinguished between information the government
compels and that which is voluntarily submitted to help further
government functions, such as rulemakings. The court held that
information voluntarily submitted to the government should be treated
as confidential under FOIA Exemption 4 as long as the submitter can
show that it is not customarily released to the general public. Id. at
880.
This regulation is published as a final rule and effective on June
10, 2015. Under the Administrative Procedure Act (APA), agencies may
promulgate final rules only after providing notice and an opportunity
for public comment. 5 U.S.C. 553(b) and (c). This requirement does not
apply, however, to ``interpretative rules, general statements of
policy, or rules of agency organization, procedure or practice.'' 5
U.S.C. 553(b)(A) (emphasis added). Today's final rule establishes
procedures for submitting CBI, and FMCSA therefore determines that
notice and comment is unnecessary. In addition, this rule makes no
substantive changes to the motor carrier safety regulations and is
therefore not a substantive rule subject to the APA's requirement that
publication be made at least 30 days before its effective date. 5
U.S.C. 553(d).
Before prescribing any regulations, FMCSA must also consider their
benefits and costs. 49 U.S.C. 31136(c)(2)(A) and 31502(d). Those
factors are discussed in this final rule.
Background Information
FMCSA has a recurring occasional need to receive CBI in order to
improve the Agency's ability to promulgate regulations that: (1) Are
evidence-based; (2) take into account the operational and financial
realities of regulated parties; and (3) result in improved safety for
motor carriers, drivers, and the general public. Historically, FMCSA
has received limited amounts of usable data submitted as part of the
rulemaking comment process, even in response to specific requests for
data on particular topics. FMCSA believes that the procedures and
confidentiality protections set forth in today's rule will optimize the
Agency's ability to receive necessary CBI in response to notice-and-
comment rulemakings.
The Agency recognizes the need to add confidentiality assurances to
commenters who provide CBI. Today's rule balances the interests of
FMCSA, persons who choose to submit CBI to the Agency, and the public.
First, this rule responds to FMCSA's need for pertinent data by
facilitating its ability to obtain information necessary for the
development of particular rulemakings. Today's rule authorizes the
FMCSA Administrator to define classes of information, which are
presumptively confidential, based on the confidentiality standard for
voluntarily submitted information adopted by the D.C. Circuit in
Critical Mass, as noted above. Under the procedures adopted, the
specific items of information included within a class will be
determined on an as needed basis, depending on the informational
requirements of each particular rulemaking. Because the Agency will
invite the submission of CBI that is specifically calibrated to inform
the rulemaking, FMCSA believes this procedure will significantly
enhance the efficacy of responsive comments and, ultimately, the final
rule.
Second, by making confidential class determinations, this rule will
alleviate the burden on commenters to submit individual claims for
confidential treatment, as well as the Agency's burden to evaluate
requests for confidential treatment submitted on an individual basis.
Third, this rule responds to the interests of commenters who wish
to protect their submitted information from disclosure in the public
domain because it is confidential within the meaning of the FOIA. It
establishes the standards and procedures by which submitters of CBI
must substantiate their request for confidential treatment. Today's
rule also states that, if those qualifying requirements are met and
maintained, the Agency will not disclose the CBI in the public docket
or in response to a FOIA request.
Fourth, this rule responds to the public's interest in transparency
and disclosure in the rulemaking process. It requires FMCSA to describe
through summarization, aggregation, or some other de-identified means,
any CBI submitted in accordance with these procedures and on which the
Agency relies in developing a final rule. FMCSA must also explain how
such CBI assisted in formulating that final rule.
Finally, this rule permits the public disclosure of information
initially designated as confidential by the submitter if the Agency
finds that the submitter fails to meet or maintain the confidentiality
criteria established in this rule. In addition, to the extent that
commenters who choose to submit CBI in accordance with the adopted
procedures also wish to provide non-confidential information, their
comments must be segregated and filed in the rulemaking's public
docket.
[[Page 32863]]
Regulatory Analyses
Executive Order 12866 (Regulatory Planning and Review), Executive Order
13563 (Improving Regulation and Regulatory Review), and DOT Regulatory
Policies and Procedures
FMCSA considered the impact of this procedural rule under Executive
Orders 12866 and 13563 and DOT's regulatory policies and procedures (44
FR 11034; February 26, 1979). The Agency has determined this rule does
not constitute a significant regulatory action within the meaning of
Executive Order 12866, as supplemented by Executive Order 13563, or
DOT's regulatory policies and procedures.
FMCSA expects that the economic impact of this rule will be
minimal, as it merely codifies the procedures by which CBI may be
voluntarily submitted to FMCSA in connection with notice-and-comment
rulemakings. This rule does not alter the confidentiality threshold
established by FOIA Exemption 4, as currently reflected in the FOIA
procedures of both FMCSA (49 CFR 389.5(b)) and the DOT (49 CFR part 7).
It is adopted to address the concerns of potential submitters of CBI as
well as the Agency's need to receive certain commercial and financial
information that is eligible for confidential treatment under FOIA
Exemption 4.
Today's rule imposes a minimal additional burden on parties who
elect to submit CBI to FMCSA since they will now be required to
complete a standardized affidavit certifying that the submitted
information meets the confidentiality threshold established by FOIA
Exemption 4. FMCSA expects that the amount of time and resources that
CBI submitters will devote to completing the standardized CBI affidavit
will be minimal. This rule does not change the current burden imposed
on submitters to ensure that the information they designate as
confidential meets the established FOIA criteria.
The Agency may realize additional costs associated with its use of
resources to review submitted CBI, subjected to request for public
disclosure under the FOIA, in order to confirm that the information is
withheld from the public in accordance with FOIA Exemption 4. We expect
the increase in the use of Agency resources devoted to FOIA review will
be minimal. Although this rule does not change the Agency's current
role in reviewing confidential information subject to request for
disclosure under the FOIA, we anticipate that the volume of FOIA
requests may increase due to the fact that FMCSA will specifically
solicit CBI for submission under informational categories established
in accordance with today's final rule. Today's rule is intended to
increase the amount of CBI submitted to the Agency. FMCSA expects any
additional FOIA review costs will be minimal, however, since CBI will
be submitted under informational categories already determined by the
Agency to be presumptively confidential.
FMCSA believes the potential marginal increase in costs associated
with the adoption of this rule is more than outweighed by the benefits
for both submitters of CBI and for the Agency. In addition, this rule
enhances FMCSA's ability to promulgate rules that are data-driven and
evidence-based; therefore, regulated entities and the public will also
benefit.
Regulatory Flexibility Act
Pursuant to the Regulatory Flexibility Act (RFA) of 1980 (5 U.S.C.
601 et seq.), as amended by the Small Business Regulatory Enforcement
Fairness Act of 1996 (Pub. L. 104-121, 110 Stat. 857), FMCSA is not
required to prepare a final regulatory flexibility analysis under 5
U.S.C. 604(a) for this final rule because the agency has not issued a
notice of proposed rulemaking prior to this action. FMCSA has therefore
determined that it has good cause to adopt the rule without notice-and-
comment.
Assistance to Small Entities
In accordance with section 213(a) of the Small Business Regulatory
Enforcement Fairness Act of 1996, FMCSA wants to assist small entities
in understanding this final rule so that they can better evaluate its
effects on themselves and participate in the rulemaking initiative. If
the final rule would affect your small business, organization, or
governmental jurisdiction and you have questions concerning its
provisions or options for compliance, please consult the FMCSA point of
contact, Ms. Kim McCarthy, listed in the FOR FURTHER INFORMATION
CONTACT section of this final rule.
Unfunded Mandates Reform Act
The Unfunded Mandates Reform Act of 1995 (2 U.S.C. 1531-1538)
requires Federal agencies to assess the effects of their discretionary
regulatory actions. In particular, the Act addresses actions that may
result in the expenditure by a State, local, or tribal government, in
the aggregate, or by the private sector of $151 million (which is the
value equivalent of $100 million in 1995, adjusted for inflation to
2012 levels) or more in any one year. Though this rule will not result
in such an expenditure, we do discuss the effects of this rule
elsewhere in this preamble.
Paperwork Reduction Act
This final rule will call for no new collection of information
under the Paperwork Reduction Act of 1995 (44 U.S.C. 3501-3520).
Executive Order 13132 (Federalism)
A rule has implications for Federalism under Section 1(a) of
Executive Order 13132 if it has ``substantial direct effects 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.'' FMCSA has determined that this final
rule will not have substantial direct costs on or for States, nor would
it limit the policymaking discretion of States. Nothing in this
document preempts any State law or regulation. Therefore, this rule
does not have sufficient Federalism implications to warrant the
preparation of a Federalism Assessment.
Executive Order 12988 (Civil Justice Reform)
This final rule meets applicable standards in sections 3(a) and
3(b) (2) of Executive Order 12988, Civil Justice Reform, to minimize
litigation, eliminate ambiguity, and reduce burden.
Executive Order 13045 (Protection of Children)
E.O. 13045, Protection of Children from Environmental Health Risks
and Safety Risks (62 FR 19885, Apr. 23, 1997), requires agencies
issuing ``economically significant'' rules, if the regulation also
concerns an environmental health or safety risk that an agency has
reason to believe may disproportionately affect children, to include an
evaluation of the regulation's environmental health and safety effects
on children. The Agency determined this final rule is not economically
significant. Therefore, no analysis of the impacts on children is
required. In any event, the Agency does not anticipate that this
regulatory action could in any respect present an environmental or
safety risk that could disproportionately affect children.
Executive Order 12630 (Taking of Private Property)
FMCSA reviewed this final rule in accordance with E.O. 12630,
Governmental Actions and Interference with Constitutionally Protected
Property
[[Page 32864]]
Rights, and has determined it will not effect a taking of private
property or otherwise have taking implications.
Privacy
The Consolidated Appropriations Act, 2005, (Pub. L. 108-447, 118
Stat. 2809, 3268, 5 U.S.C. 552a note) requires the Agency to conduct a
privacy impact assessment (PIA) of a regulation that will affect the
privacy of individuals. This rule does not involve the collection of
personally identifiable information (PII).
The Privacy Act (5 U.S.C. 552a) applies only to Federal agencies
and any non-Federal agency which receives records contained in a system
of records from a Federal agency for use in a matching program.
The E-Government Act of 2002, Public Law 107-347, Sec. 208, 116
Stat. 2899, 2921 (Dec. 17, 2002), requires Federal agencies to conduct
a privacy impact assessment for new or substantially changed technology
that collects, maintains, or disseminates information in an
identifiable form. No new or substantially changed technology would
collect, maintain, or disseminate information as a result of this rule.
Accordingly, FMCSA has not conducted a privacy impact assessment.
Executive Order 12372 (Intergovernmental Review of Federal Programs)
The regulations implementing Executive Order 12372 regarding
intergovernmental consultation on Federal programs do not apply to this
program.
Executive Order 13211 (Energy Supply, Distribution or Use)
FMCSA has analyzed this final rule under E.O. 13211, Actions
Concerning Regulations That Significantly Affect Energy Supply,
Distribution, or Use. The Agency has determined that it is not a
``significant energy action'' under that order because it is not a
``significant regulatory action'' likely to have a significant adverse
effect on the supply, distribution, or use of energy. Therefore, it
does not require a Statement of Energy Effects under E.O. 13211.
Indian Tribal Governments (E.O. 13175)
This rule does not have tribal implications under E.O. 13175,
Consultation and Coordination with Indian Tribal Governments, because
it does not have a substantial direct effect on one or more Indian
tribes, on the relationship between the Federal Government and Indian
tribes, or on the distribution of power and responsibilities between
the Federal Government and Indian tribes.
National Technology Transfer and Advancement Act (Technical Standards)
The National Technology Transfer and Advancement Act (NTTAA) (15
U.S.C. 272 note) directs agencies to use voluntary consensus standards
in their regulatory activities unless the agency provides Congress,
through OMB, with an explanation of why using these standards would be
inconsistent with applicable law or otherwise impractical. Voluntary
consensus standards (e.g., specifications of materials, performance,
design, or operation; test methods; sampling procedures; and related
management systems practices) are standards that are developed or
adopted by voluntary consensus standards bodies. This rule does not use
technical standards. Therefore, we did not consider the use of
voluntary consensus standards.
Environment (NEPA, CAA, Environmental Justice)
FMCSA analyzed this final rule for the purpose of the National
Environmental Policy Act of 1969 (42 U.S.C. 4321 et seq.) and
determined that this action is categorically excluded from further
analysis and documentation in an environmental assessment or
environmental impact statement under FMCSA Order 5610.1 (69 FR 9680,
March 1, 2004), Appendix 2, paragraph (6b) that covers editorial and
procedural regulations. The CE is available for inspection or copying
in the Regulations.gov Web site listed under ADDRESSES.
FMCSA also analyzed this action under the Clean Air Act, as amended
(CAA), section 176(c) (42 U.S.C. 7401 et seq.), and implementing
regulations promulgated by the Environmental Protection Agency.
Approval of this action is exempt from the CAA's general conformity
requirement since it does not affect direct or indirect emissions of
criteria pollutants.
Under E.O. 12898, each Federal agency must identify and address, as
appropriate, ``disproportionately high and adverse human health or
environmental effects of its programs, policies, and activities on
minority populations and low-income populations'' in the United States,
its possessions, and territories. FMCSA evaluated the environmental
justice effects of this rule in accordance with the E.O. and has
determined that no environmental justice issue is associated with this
rule, nor is there any collective environmental impact that would
result from its promulgation.
List of Subjects in 49 CFR Part 389
Administrative practice and procedure, Highway safety, Motor
carriers, Motor vehicle safety.
In consideration of the foregoing, FMCSA amends 49 CFR part 389 to
read as follows:
PART 389--RULEMAKING PROCEDURES--FEDERAL MOTOR CARRIER SAFETY
ADMINISTRATION
0
1. The authority citation for part 389 continues to read as follows:
Authority: 49 U.S.C. 113, 501 et seq., subchapters I and III of
chapter 311, chapter 313, and 31502; 42 U.S.C. 4917; and 49 CFR
1.87.
0
2. Add a definition of ``Confidential business information'' to Sec.
389.3 in alphabetical order to read as follows:
Sec. 389.3 Definitions.
* * * * *
Confidential business information means trade secrets or commercial
or financial information that is privileged or confidential, as
described in 5 U.S.C. 552(b)(4). Commercial or financial information is
considered confidential if it was voluntarily submitted and is the type
of information that is customarily not released to the general public
by the person or entity from whom it was obtained.
0
3. Add Sec. 389.9 to subpart A to read as follows:
Sec. 389.9 Treatment of confidential business information.
(a) Purpose. This section establishes the standards and procedures
by which the Agency will solicit and receive certain confidential
commercial or financial information, as that term is used in the
Freedom of Information Act (5 U.S.C. 552(b)(4)), categorically referred
to below as ``confidential business information,'' and the manner in
which the Agency will protect such information from public disclosure
in accordance with 5 U.S.C. 552(b)(4).
(b) Confidential class determinations. The Administrator may make
and issue a class determination, which shall pertain to a specified
rulemaking and shall clearly identify categories of information
included within the class. Information submitted under the class
determination and conforming to the characteristics of the class will
be treated as presumptively confidential and accorded the non-
disclosure protections described in paragraph (h) of this section. The
Administrator may establish a class upon finding that:
(1) FMCSA seeks to obtain related items of commercial or financial
[[Page 32865]]
information as described in 5 U.S.C. 552(b)(4);
(2) The class determination would facilitate the voluntary
submission of information necessary to inform the rulemaking; and
(3) One or more characteristics common to each item of information
in the class will necessarily result in identical treatment, and that
it is therefore appropriate to treat all such items as a class under
this section.
(c) Frequency and content of class determinations. Class
determinations may be defined by the Administrator on an as needed
basis and shall include substantive criteria established in accordance
with the informational needs of the particular rulemaking.
(d) Modification or amendment. The Administrator may amend or
modify any class determination established under this section.
(e) Publication. Once the Administrator has made a class
determination, the Agency shall publish the class determination in the
Federal Register. If the Administrator amends or modifies any class
determination established and published in accordance with this
section, such changes will be published in the Federal Register.
(f) Submission of confidential business information. Persons
wishing to submit information in accordance with a class determination
established under authority of this section must complete and sign,
under penalties of perjury, an Affidavit in Support of Request for
Confidentiality (Affidavit), as set forth in Appendix A to this part.
In the event that information is submitted under more than one
designated class, each submission must include an executed Affidavit,
asserting, among other factors, that:
(1) The information is submitted to the Agency voluntarily;
(2) The information is of a type customarily not disclosed to the
public by the submitter;
(3) The information, to the best of the submitter's knowledge and
belief, has not been disclosed to the public; and
(4) The information satisfies the substantive criteria for the
class as established by the Administrator under authority of paragraph
(b) of this section.
(g) Submission of comments not containing confidential business
information. If a submitter elects to provide commentary in addition to
the confidential business information submitted under one or more
classes designated under this section, any portion of a submitter's
additional commentary that does not contain confidential business
information shall be filed in the public docket in the form and manner
set forth in the rulemaking.
(h) Non-disclosure of confidential business information. In
accordance with the provisions of 5 U.S.C. 552(b)(4), information
submitted under this section shall not be available for inspection in
the public docket, nor shall such information be provided by the Agency
in response to any request for the information submitted to the Agency
under 5 U.S.C. 552, except as provided for in paragraph (j) of this
section.
(1) If a requester brings suit to compel the disclosure of
information submitted under this section, the Agency shall promptly
notify the submitter.
(2) The submitter may be joined as a necessary party in any suit
brought against the Department of Transportation or FMCSA for non-
disclosure.
(i) Use of confidential business information. To the extent that
the Agency relies upon confidential business information submitted
under paragraph (f) of this section in formulating a particular rule,
the Agency shall, in the preamble of the final rule, disclose its
receipt of such information under a designated class and shall describe
the information in a de-identified form, including by summary,
aggregation or other means, as necessary, to sufficiently explain the
Agency's reasoning while maintaining the confidentiality of the
information.
(j) Disclosure of confidential business information. (1) If the
Administrator finds that information submitted to the Agency under
paragraph (f) of this section fails to satisfy the requirements set
forth in paragraphs (f)(2), (3) or (4), or that the Affidavit
accompanying the information submitted under paragraph (f) is false or
misleading in any material respect, the Agency shall disclose the non-
conforming information by placing it in the public docket for the
particular rulemaking, within 20 days following written notice to the
submitter of its decision to do so, except that:
(i) Submitters may, within 10 days of receipt of such notice,
provide the Agency with a written statement explaining why the
submitted information conforms to the requirements of paragraph (f) of
this section and thus, should not be disclosed. The Agency shall
continue to withhold the information from the public docket until
completing its review of the submitter's statement. The Agency may,
following timely review of the submitter's statement, determine that
disclosure is not required under this paragraph. In any event, the
Agency shall advise the submitter in writing of its decision concerning
whether the information shall be disclosed in the public docket.
(ii) [Reserved]
(2) Notice of the Agency's intention to disclose the submitted
information is not required if the Administrator determines that the
entity submitting such information has authorized its disclosure to the
public.
(3) If, at the time the Administrator determines that the submitted
information fails to comply with the requirements set forth in
paragraph (f), such information is the subject of a FOIA request, the
requirements of 49 CFR 7.29 shall apply.
0
4. Add Appendix A to Part 389 to read as follows:
APPENDIX A TO PART 389
AFFIDAVIT IN SUPPORT OF REQUEST FOR CONFIDENTIALITY
I, _______, pursuant to the provisions of 49 CFR part 389,
section 389.9, state as follows:
(1) I am [insert official's name, title] and I am authorized by
[insert name of entity] to execute this Affidavit on its behalf;
(2) I certify that the information contained in the document(s)
attached to this Affidavit is submitted voluntarily, with the claim
that the information is entitled to confidential treatment under 5
U.S.C. 552(b)(4);
(3) I certify that the information contained in the documents
attached to this Affidavit is of a type not customarily disclosed to
the general public by [insert name of entity];
(4) I certify that, to the best of my knowledge, information and
belief, the information contained in the documents attached to this
Affidavit, for which confidential treatment is claimed, has never
been released to the general public or been made available to any
unauthorized person outside [insert name of entity];
(5) I certify that this information satisfies the substantive
criteria set forth in the notice published in the Federal Register
on ___[insert date of rule-specific publication in month/day/year
format] under FMCSA Docket Number [insert docket number].
(6) I make no representations beyond those made in this
Affidavit, and, in particular, I make no representations as to
whether this information may become available outside [insert name
of entity] due to unauthorized or inadvertent disclosure; and
(7) I certify under penalties of perjury that the foregoing
statements are true and correct.
Executed on this __day of __, __.
_________(signature of official)
Issued under the authority of delegation in 49 CFR 1.87. May 27,
2015.
T.F. Scott Darling III,
Chief Counsel.
[FR Doc. 2015-14181 Filed 6-9-15; 8:45 am]
BILLING CODE 4910-EX-P