Proposed Collection; Comment Request, 47183-47184 [2016-17249]
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Federal Register / Vol. 81, No. 139 / Wednesday, July 20, 2016 / Notices
July 13, 2016; Filing Authority: 39 CFR
3015.5 et seq.; Public Representative:
Curtis E. Kidd; Comments Due: July 21,
2016.
3. Docket No(s).: CP2016–245; Filing
Title: Notice of the United States Postal
Service of Filing a Functionally
Equivalent Global Plus 1D Negotiated
Service Agreement and Application for
Non-Public Treatment of Materials Filed
Under Seal; Filing Acceptance Date:
July 13, 2016; Filing Authority: 39 CFR
3015.5 et seq.; Public Representative:
Kenneth R. Moeller; Comments Due:
July 21, 2016.
4. Docket No(s).: MC2016–168 and
R2016–6; Filing Title: Request of United
States Postal Service to Add Inbound
Market Dominant Registered Service
Agreement to the Market Dominant
Product List, Notice of Type 2 Rate
Adjustment, and Application for NonPublic Treatment; Filing Acceptance
Date: July 13, 2016; Filing Authority: 39
U.S.C. 3622, 39 U.S.C. 3642, 39 CFR
3010.40 et seq., and 39 CFR 3020.30 et
seq.; Public Representative: Jennaca D.
Upperman; Comments Due: July 25,
2016.
This Notice will be published in the
Federal Register.
Ruth Ann Abrams,
Acting Secretary.
[FR Doc. 2016–17085 Filed 7–19–16; 8:45 am]
BILLING CODE 7710–FW–P
RAILROAD RETIREMENT BOARD
mstockstill on DSK3G9T082PROD with NOTICES
Proposed Collection; Comment
Request
Summary: In accordance with the
requirement of Section 3506 (c)(2)(A) of
the Paperwork Reduction Act of 1995
which provides opportunity for public
comment on new or revised data
collections, the Railroad Retirement
Board (RRB) will publish periodic
summaries of proposed data collections.
Comments are invited on: (a) Whether
the proposed information collection is
necessary for the proper performance of
the functions of the agency, including
whether the information has practical
utility; (b) the accuracy of the RRB’s
estimate of the burden of the collection
of the information; (c) ways to enhance
the quality, utility, and clarity of the
information to be collected; and (d)
ways to minimize the burden related to
the collection of information on
respondents, including the use of
automated collection techniques or
other forms of information technology.
Title and purpose of information
collection: Application for Employee
VerDate Sep<11>2014
18:24 Jul 19, 2016
Jkt 238001
Annuity Under the Railroad Retirement
Ac; OMB 3220–0002.
Section 2a of the Railroad Retirement
Act (RRA) provides for payments of age
and service, disability, and
supplemental annuities to qualified
employees. An annuity cannot be paid
until the employee stops working for a
railroad employer. In addition, the age
and service employee must relinquish
any rights held to such jobs. A disabled
employee does not need to relinquish
employee rights until attaining Full
Retirement Age, or if earlier, when their
spouse is awarded a spouse annuity.
Benefits become payable after the
employee meets certain other
requirements, which depend on the type
of annuity payable. The requirements
for obtaining the annuities are
prescribed in 20 CFR 216 and 220.
To collect the information needed to
help determine an applicant’s
entitlement to, and the amount of, an
employee retirement annuity the RRB
uses Forms AA–1, Application for
Employee Annuity; AA–1d, Application
for Determination of Employee
Disability; G–204, Verification of
Workers Compensation/Public Disability
Benefit Information, and electronic
Forms AA–1cert, Application Summary
and Certification, and AA–1sum,
Application Summary.
The AA–1 application process obtains
information from an applicant about
their marital history, work history,
military service, benefits from other
governmental agencies, railroad
pensions and Medicare entitlement for
either an age and service or disability
annuity. An RRB representative
interviews the applicant either at a field
office, an itinerant point, or by
telephone. During the interview, the
RRB representative enters the
information obtained into an on-line
information system. Upon completion of
the interview, the on-line information
system generates Form AA–1cert,
Application Summary and Certification,
or Form AA–1sum, Application
Summary, a summary of the information
that was provided for the applicant to
review and approve. Form AA–1cert
documents approval using the
traditional pen and ink ‘‘wet’’ signature,
and Form AA–1sum documents
approval using the alternative signature
method called Attestation. When the
RRB representative is unable to contact
the applicant in person or by telephone,
for example, the applicant lives in
another country, a manual version of
Form AA–1 is used.
Form AA–1d, Application for
Determination of Employee’s Disability,
is completed by an employee who is
PO 00000
Frm 00029
Fmt 4703
Sfmt 4703
47183
filing for a disability annuity under the
RRA, or a disability freeze under the
Social Security Act, for early Medicare
based on a disability. Form G–204,
Verification of Worker’s Compensation/
Public Disability Benefit Information, is
used to obtain and verify information
concerning a worker’s compensation or
a public disability benefit that is or will
be paid by a public agency to a disabled
railroad employee.
The RRB recently received short-term
approval of a Request for Emergency
Clearance from the Office of
Management and Budget for this
information collection. In response to
that request the RRB received comments
from 3 railroad labor organizations
commenting on the RRB’s action. The
comments centered on the collection of
information associated with the
following issues:
• The relinquishment of seniority
rights;
• The reporting of volunteer and
social/recreational activities as part of
the adjudication of an application for
disability;
• Whether an applicant had filed or
expected to file a lawsuit or claim
against a person or company for a
personal injury that resulted in the
payment of sickness benefits by the
RRB; and
• The use of facilitators who assist
disability applicants in the completion
of their applications.
RRB staff thoroughly evaluated the
comments received and responded to
the railroad labor organizations. In
response to those comments, the RRB
proposes the following changes to
Forms AA–1 and AA–1d:
• deletion of Item 35a–d from Form
AA–1, regarding the relinquishment of
seniority rights;
• the relocation of current Items 52–
53 from Form AA–1d to proposed Items
48a–b on Form AA–1, regarding
whether an applicant had filed or
expected to file a lawsuit or claim
against a person or company for a
personal injury that resulted in the
payment of sickness benefits by the
RRB, as the potential for uncollected
sickness benefits can apply to both a
disability applicant as well as an
applicant qualified for an age and
service annuity.
Comparable revisions to electronic
equivalent forms (AA–1cert and AA–
1sum) are also being proposed. The RRB
proposes no changes to Form G–204.
One response is requested of each
respondent. Completion of the forms is
required to obtain/retain a benefit.
E:\FR\FM\20JYN1.SGM
20JYN1
47184
Federal Register / Vol. 81, No. 139 / Wednesday, July 20, 2016 / Notices
ESTIMATE OF ANNUAL RESPONDENT BURDEN
Annual
responses
Form No.
Time
(minutes)
Burden
(hours)
AA–1 (without assistance) ...........................................................................................................
AA–1cert (with assistance) ..........................................................................................................
AA–1sum (with assistance) .........................................................................................................
AA–1d (with assistance) ..............................................................................................................
AA–1d (without assistance) .........................................................................................................
G–204 ..........................................................................................................................................
100
4,620
8,000
2,600
5
20
62
30
29
60
85
15
103
2,310
3,867
2,600
7
5
Total ......................................................................................................................................
15,345
........................
8,892
Additional Information or Comments:
To request more information or to
obtain a copy of the information
collection justification, forms, and/or
supporting material, contact Dana
Hickman at (312) 751–4981 or
Dana.Hickman@RRB.GOV. Comments
regarding the information collection
should be addressed to Charles
Mierzwa, Railroad Retirement Board,
844 North Rush Street, Chicago, Illinois
60611–2092 or emailed to
Charles.Mierzwa@RRB.GOV. Written
comments should be received within 60
days of this notice.
Charles Mierzwa,
Chief of Information Resources Management.
[FR Doc. 2016–17249 Filed 7–19–16; 8:45 am]
BILLING CODE 7905–01–P
SECURITIES AND EXCHANGE
COMMISSION
[Release No. 34–78326; File No. SR–NYSE–
2016–37]
Self-Regulatory Organizations; New
York Stock Exchange LLC; Order
Approving Proposed Rule Change
Removing From Its Rules Certain
Internal Procedures Regarding the Use
of Fine Income
July 14, 2016.
mstockstill on DSK3G9T082PROD with NOTICES
I. Introduction
On May 13, 2016, New York Stock
Exchange LLC (‘‘NYSE’’ or ‘‘Exchange’’)
filed with the Securities and Exchange
Commission (‘‘Commission’’), pursuant
to Section 19(b)(1) 1 of the Securities
Exchange Act of 1934 (‘‘Act’’),2 and
Rule 19b–4 thereunder,3 a proposed rule
change to remove internal procedures
regarding the use of fine income, as
described below. The proposed rule
change was published for comment in
the Federal Register on May 31, 2016.4
1 15
U.S.C. 78s(b)(1).
U.S.C. 78a.
3 17 CFR 240.19b–4.
4 See Securities Exchange Act Release No. 77899
(May 24, 2016), 81 FR 34393 (‘‘Notice’’).
2 15
VerDate Sep<11>2014
18:24 Jul 19, 2016
Jkt 238001
The Commission received one comment
letter on the proposed rule change 5 and
a response to the comment letter from
the Exchange.6 This order approves the
proposed rule change.
II. Description of the Proposal
NYSE proposes to remove as
Exchange rules internal procedures
regarding the use of fine income, which
were approved by the Commission in
2007 (‘‘Fine Income Procedures’’ or
‘‘Procedures’’) 7 in connection with the
2006 merger between New York Stock
Exchange, Inc. and Archipelago
Holdings, Inc. (‘‘Archipelago Merger’’).8
The Exchange explains that, at that
time, it had delegated certain of its
regulatory functions to its then
subsidiary, NYSE Regulation, Inc.
(‘‘NYSE Regulation’’) 9 pursuant to a
delegation agreement (‘‘Delegation
Agreement’’).10 As a result, as originally
5 See letter from Michael Walsh, Attorney,
received by the Commission on June 7, 2016
(‘‘Walsh Letter’’).
6 See letter from Martha Redding, Associate
General Counsel and Assistant Secretary, NYSE, to
Brent J. Fields, Secretary, Commission, dated June
16, 2016 (‘‘NYSE Response Letter’’).
7 See Securities Exchange Act Release No. 55216
(January 31, 2007), 72 FR 5779 (February 7, 2007)
(‘‘Order Approving the Fine Income Procedures’’).
8 The Exchange states that the Archipelago
Merger had the effect of ‘‘demutualizing’’ New York
Stock Exchange, Inc. by separating equity
ownership from trading privileges, and converting
it to a for-profit entity. See Notice, supra note 4, at
34394 n.5 (citing Securities Exchange Act Release
No. 53382 (February 27, 2006), 71 FR 11251, 11254
(March 6, 2006) (‘‘Merger Approval Order’’)).
9 See Notice, supra note 4, at 34394. The
Exchange states that, as approved, the Fine Income
Procedures provide that fines would play no role
in the annual NYSE Regulation budget process and
that the use of fine income by NYSE Regulation
would be subject to specific review and approval
by the NYSE Regulation Board. See id.; see also
Securities Exchange Act Release No. 55003
(December 22, 2006), 71 FR 78497, 78498
(December 29, 2006) (‘‘Fine Income Procedures
Proposing Release’’). The Exchange notes that, in
approving the Fine Income Procedures, the
Commission expressed that the Fine Income
Procedures would ‘‘guard against the possibility
that fines may be assessed to respond to budgetary
needs rather than to serve a disciplinary purpose.’’
See Order Approving the Fine Income Procedures,
supra note 7, at 5780.
10 The Delegation Agreement terminated as of
February 16, 2016. See Notice, supra note 4, at
PO 00000
Frm 00030
Fmt 4703
Sfmt 4703
approved, the Fine Income Procedures
referred to actions to be taken by NYSE
Regulation and NYSE Regulation’s
board of directors (‘‘NYSE Regulation
Board’’). However, following
termination of the Delegation
Agreement, the Regulatory Oversight
Committee (‘‘ROC’’) of the Exchange’s
board of directors (‘‘Board’’) assumed
responsibility for providing
independent oversight of the regulatory
function of the Exchange.11 The
Exchange explains that, in addition to
the restrictions in the Fine Income
Procedures, Section 4.05 of the
Exchange’s Operating Agreement
(‘‘Section 4.05’’) contains limitations on
the use of regulatory assets and income,
including fine income.12 Specifically,
Section 4.05 prohibits the Exchange
from: (i) Using any regulatory assets or
any regulatory fees, fines or penalties
collected by its regulatory staff for
commercial purposes; or (ii) distributing
such assets, fees, fines or penalties to
NYSE Group, Inc. (‘‘NYSE Group’’), i.e.,
the member of New York Stock
Exchange LLC, or any other entity.13
The Exchange proposes to delete the
Fine Income Procedures, noting that the
Exchange would continue to remain
subject to the restrictions of Section
4.05, which, coupled with the Operating
Agreement provisions governing the
ROC,14 the Exchange believes are
sufficient to address concerns about its
power to fine member organizations and
the proper use of such funds.15 The
34394; see also Securities Exchange Act Release No.
75991 (September 28, 2015), 80 FR 59837, 59839
(October 2, 2015) (‘‘NYSE Approval Order’’).
11 See Notice, supra note 4, at 34394.
12 See id.; see also Ninth Amended and Restated
Operating Agreement of New York Stock Exchange
LLC (‘‘Operating Agreement’’), Art. IV, Sec. 4.05;
NYSE Approval Order, supra note 10, at 59839.
13 See Operating Agreement, Art. IV, Sec. 4.05;
see also NYSE Approval Order, supra note 10, at
59839.
14 The Exchange explains that ‘‘the ROC is
specifically charged with reviewing the regulatory
budget of the Exchange and inquiring into the
adequacy of resources available in the budget for
regulatory activities.’’ See Notice, supra note 4, at
34395 (citing Operating Agreement, Art. II, Sec.
2.03(h)(ii)).
15 See Notice, supra note 4, at 34395.
E:\FR\FM\20JYN1.SGM
20JYN1
]]>Agencies
[Federal Register Volume 81, Number 139 (Wednesday, July 20, 2016)]
[Notices]
[Pages 47183-47184]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2016-17249]
=======================================================================
-----------------------------------------------------------------------
RAILROAD RETIREMENT BOARD
Proposed Collection; Comment Request
Summary: In accordance with the requirement of Section 3506
(c)(2)(A) of the Paperwork Reduction Act of 1995 which provides
opportunity for public comment on new or revised data collections, the
Railroad Retirement Board (RRB) will publish periodic summaries of
proposed data collections.
Comments are invited on: (a) Whether the proposed information
collection is necessary for the proper performance of the functions of
the agency, including whether the information has practical utility;
(b) the accuracy of the RRB's estimate of the burden of the collection
of the information; (c) ways to enhance the quality, utility, and
clarity of the information to be collected; and (d) ways to minimize
the burden related to the collection of information on respondents,
including the use of automated collection techniques or other forms of
information technology.
Title and purpose of information collection: Application for
Employee Annuity Under the Railroad Retirement Ac; OMB 3220-0002.
Section 2a of the Railroad Retirement Act (RRA) provides for
payments of age and service, disability, and supplemental annuities to
qualified employees. An annuity cannot be paid until the employee stops
working for a railroad employer. In addition, the age and service
employee must relinquish any rights held to such jobs. A disabled
employee does not need to relinquish employee rights until attaining
Full Retirement Age, or if earlier, when their spouse is awarded a
spouse annuity. Benefits become payable after the employee meets
certain other requirements, which depend on the type of annuity
payable. The requirements for obtaining the annuities are prescribed in
20 CFR 216 and 220.
To collect the information needed to help determine an applicant's
entitlement to, and the amount of, an employee retirement annuity the
RRB uses Forms AA-1, Application for Employee Annuity; AA-1d,
Application for Determination of Employee Disability; G-204,
Verification of Workers Compensation/Public Disability Benefit
Information, and electronic Forms AA-1cert, Application Summary and
Certification, and AA-1sum, Application Summary.
The AA-1 application process obtains information from an applicant
about their marital history, work history, military service, benefits
from other governmental agencies, railroad pensions and Medicare
entitlement for either an age and service or disability annuity. An RRB
representative interviews the applicant either at a field office, an
itinerant point, or by telephone. During the interview, the RRB
representative enters the information obtained into an on-line
information system. Upon completion of the interview, the on-line
information system generates Form AA-1cert, Application Summary and
Certification, or Form AA-1sum, Application Summary, a summary of the
information that was provided for the applicant to review and approve.
Form AA-1cert documents approval using the traditional pen and ink
``wet'' signature, and Form AA-1sum documents approval using the
alternative signature method called Attestation. When the RRB
representative is unable to contact the applicant in person or by
telephone, for example, the applicant lives in another country, a
manual version of Form AA-1 is used.
Form AA-1d, Application for Determination of Employee's Disability,
is completed by an employee who is filing for a disability annuity
under the RRA, or a disability freeze under the Social Security Act,
for early Medicare based on a disability. Form G-204, Verification of
Worker's Compensation/Public Disability Benefit Information, is used to
obtain and verify information concerning a worker's compensation or a
public disability benefit that is or will be paid by a public agency to
a disabled railroad employee.
The RRB recently received short-term approval of a Request for
Emergency Clearance from the Office of Management and Budget for this
information collection. In response to that request the RRB received
comments from 3 railroad labor organizations commenting on the RRB's
action. The comments centered on the collection of information
associated with the following issues:
The relinquishment of seniority rights;
The reporting of volunteer and social/recreational
activities as part of the adjudication of an application for
disability;
Whether an applicant had filed or expected to file a
lawsuit or claim against a person or company for a personal injury that
resulted in the payment of sickness benefits by the RRB; and
The use of facilitators who assist disability applicants
in the completion of their applications.
RRB staff thoroughly evaluated the comments received and responded
to the railroad labor organizations. In response to those comments, the
RRB proposes the following changes to Forms AA-1 and AA-1d:
deletion of Item 35a-d from Form AA-1, regarding the
relinquishment of seniority rights;
the relocation of current Items 52-53 from Form AA-1d to
proposed Items 48a-b on Form AA-1, regarding whether an applicant had
filed or expected to file a lawsuit or claim against a person or
company for a personal injury that resulted in the payment of sickness
benefits by the RRB, as the potential for uncollected sickness benefits
can apply to both a disability applicant as well as an applicant
qualified for an age and service annuity.
Comparable revisions to electronic equivalent forms (AA-1cert and
AA-1sum) are also being proposed. The RRB proposes no changes to Form
G-204.
One response is requested of each respondent. Completion of the
forms is required to obtain/retain a benefit.
[[Page 47184]]
Estimate of Annual Respondent Burden
----------------------------------------------------------------------------------------------------------------
Annual Time Burden
Form No. responses (minutes) (hours)
----------------------------------------------------------------------------------------------------------------
AA-1 (without assistance)....................................... 100 62 103
AA-1cert (with assistance)...................................... 4,620 30 2,310
AA-1sum (with assistance)....................................... 8,000 29 3,867
AA-1d (with assistance)......................................... 2,600 60 2,600
AA-1d (without assistance)...................................... 5 85 7
G-204........................................................... 20 15 5
-----------------------------------------------
Total....................................................... 15,345 .............. 8,892
----------------------------------------------------------------------------------------------------------------
Additional Information or Comments: To request more information or
to obtain a copy of the information collection justification, forms,
and/or supporting material, contact Dana Hickman at (312) 751-4981 or
Dana.Hickman@RRB.GOV. Comments regarding the information collection
should be addressed to Charles Mierzwa, Railroad Retirement Board, 844
North Rush Street, Chicago, Illinois 60611-2092 or emailed to
Charles.Mierzwa@RRB.GOV. Written comments should be received within 60
days of this notice.
Charles Mierzwa,
Chief of Information Resources Management.
[FR Doc. 2016-17249 Filed 7-19-16; 8:45 am]
BILLING CODE 7905-01-P
