Federal Register / Vol. 88, No. 215 / Wednesday, November 8, 2023 / Rules and Regulations 76999 

Paperwork Reduction Act of 1995 (44 

U.S.C. 3501–3520). 

D. Federalism and Indian Tribal 

Governments 

A rule has implications for federalism 

under Executive Order 13132, 

Federalism, if it has a substantial direct 

effect on the States, on the relationship 

between the National Government and 

the States, or on the distribution of 

power and responsibilities among the 

various levels of government. We have 

analyzed this rule under that order and 

have determined that it is consistent 

with the fundamental federalism 

principles and preemption requirements 

described in Executive Order 13132. 

Also, this rule does not have tribal 

implications under Executive Order 

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. 

E. 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 

$100,000,000 (adjusted for inflation) 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. 

F. Environment 

We have analyzed this rule under 

Department of Homeland Security 

Directive 023–01, Rev. 1, associated 

implementing instructions, and 

Environmental Planning COMDTINST 

5090.1 (series), which guide the Coast 

Guard in complying with the National 

Environmental Policy Act of 1969 (42 

U.S.C. 4321–4370f), and have 

determined that this action is one of a 

category of actions that do not 

individually or cumulatively have a 

significant effect on the human 

environment. This rule involves a safety 

zone lasting 2 hours that will prohibit 

entry within a 1 square mile area of the 

Neuse River on November 25, 2023, 

from 4 to 6 p.m. It is categorically 

excluded from further review under 

paragraph L60(a) of Appendix A, Table 

1 of DHS Instruction Manual 023–01– 

001–01, Rev. 1. A Record of 

Environmental Consideration 

supporting this determination is 

available in the docket. For instructions 

on locating the docket, see the 

ADDRESSES section of this preamble. 

G. Protest Activities 

The Coast Guard respects the First 

Amendment rights of protesters. 

Protesters are asked to call or email the 

person listed in the FOR FURTHER

INFORMATION CONTACT section to 

coordinate protest activities so that your 

message can be received without 

jeopardizing the safety or security of 

people, places, or vessels. 

List of Subjects in 33 CFR Part 165 

Harbors, Marine safety, Navigation 

(water), Reporting and recordkeeping 

requirements, Security measures, 

Waterways. 

For the reasons discussed in the 

preamble, the Coast Guard amends 33 

CFR part 165 as follows: 

PART 165—REGULATED NAVIGATION 

AREAS AND LIMITED ACCESS AREAS 

■ 1. The authority citation for part 165 

continues to read as follows: 

Authority: 46 U.S.C. 70034, 70051, 70124; 

33 CFR 1.05–1, 6.04–1, 6.04–6, and 160.5; 

Department of Homeland Security Delegation 

No. 00170.1, Revision No. 01.3. 

■ 2. Add § 165.T05–0512 to read as 

follows: 

§ 165.T05–0512 Safety Zone; Neuse River, 

Airshow, New Bern, NC. 

(a) Location. The following area is a 

safety zone: all navigable waters of the 

Neuse River in New Bern, North 

Carolina, inside an area starting from 

approximate positions: latitude 

35°06′55′′ N, longitude 077°02′04′′ W, 

then east to latitude 35°07′06′′ N, 

longitude 077°01′27′′ W, then southeast 

to latitude 35°06′49′′ N, longitude 

077°01′12′′ W, then south to latitude 

35°06′08′′ N, longitude 077°01′18′′ W, 

then west to latitude 35°06′02′′ N, 

longitude 077°01′57′′ W, then north to 

latitude 35°06′32′′ N, longitude 

077°01′54′′ W, then north to the point of 

origin, for a total area of approximately 

1 mile square. 

(b) Definitions. As used in this 

section— 

Captain of the Port (COTP) means the 

Commander, Sector North Carolina. 

Designated representative means a 

Coast Guard Patrol Commander, 

including a Coast Guard commissioned, 

warrant, or petty officer designated by 

the Captain of the Port North Carolina 

(COTP) for the enforcement of the safety 

zone. 

(c) Regulations. (1) The general 

regulations governing safety zones in 

§ 165.23 apply to the area described in 

paragraph (a) of this section. 

(2) Entry into or remaining in this 

safety zone is prohibited unless 

authorized by the COTP North Carolina 

or the COTP North Carolina’s 

designated representative. Unless 

permission to remain in the zone has 

been granted by the COTP North 

Carolina or the COTP North Carolina’s 

designated representative, a vessel 

within this safety zone must 

immediately depart the zone when this 

section becomes effective. 

(3) The Captain of the Port, North 

Carolina can be reached through the 

Coast Guard Sector North Carolina 

Command Duty Officer, Wilmington, 

North Carolina, at telephone number 

910–343–3882. 

(4) The Coast Guard and designated 

security vessels enforcing the safety 

zone can be contacted on VHF–FM 

marine band radio channel 13 (165.65 

MHz) and channel 16 (156.8 MHz). 

(d) Enforcement. The U.S. Coast 

Guard may be assisted in the patrol and 

enforcement of the safety zone by 

Federal, State, and local agencies. 

(e) Enforcement period. This 

regulation will be enforced from 4 

through 6 p.m. on November 25, 2023. 

Timothy J. List, 

Captain, U.S. Coast Guard, Captain of the 

Port Sector North Carolina. 

[FR Doc. 2023–24713 Filed 11–7–23; 8:45 am] 

BILLING CODE 9110–04–P 

ENVIRONMENTAL PROTECTION 

AGENCY 

40 CFR Part 16 

[EPA–HQ–OMS–2023–0020; FRL–10620–03– 

OMS] 

Privacy Act Regulations for EPA–100 

AGENCY: Office of Inspector General, 

Environmental Protection Agency 

(EPA). 

ACTION: Direct final rule. 

SUMMARY: The Environmental Protection 

Agency (EPA) is taking direct final 

action to revise the Agency’s Privacy 

Act regulations to exempt a new system 

of records, EPA–100, OIG Data 

Analytics Enterprise, from certain 

requirements of the Privacy Act. In this 

rulemaking, the Agency exempts 

portions of this system from certain 

provisions of the Privacy Act because of 

law enforcement requirements and to 

avoid interference during the conduct of 

criminal, civil, or administrative actions 

or investigations. Additionally, EPA is 

taking direct final action to revise the 


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Agency’s Privacy Act regulations to 

update the names of systems of records 

with general and specific exemptions, 

change wording to reflect that the Office 

of Inspector General (OIG) is an 

independent component of EPA, 

incorporate the revised citation for the 

Inspector General Act of 1978 and to 

remove specific systems of record which 

are no longer exempt. 

DATES: This rule is effective on February 

6, 2024 without further notice, unless 

EPA receives adverse comment by 

December 8, 2023. If EPA receives 

adverse comment, we will publish a 

timely withdrawal in the Federal 

Register informing the public that the 

rule will not take effect. 

ADDRESSES: Submit your comments, 

identified by Docket ID No. EPA–HQ– 

OMS–2023–0020, at https://

www.regulations.gov. Follow the online 

instructions for submitting comments. 

Once submitted, comments cannot be 

edited or removed from Regulations.gov. 

The EPA may publish any comment 

received to its public docket. Do not 

submit electronically any information 

you consider to be Confidential 

Business Information (CBI) or other 

information whose disclosure is 

restricted by statute. Multimedia 

submissions (audio, video, etc.) must be 

accompanied by a written comment. 

The written comment is considered the 

official comment and should include 

discussion of all points you wish to 

make. The EPA will generally not 

consider comments or comment 

contents located outside of the primary 

submission (i.e., on the web, cloud, or 

other file sharing system). For 

additional submission methods, the full 

EPA public comment policy, 

information about CBI or multimedia 

submissions, and general guidance on 

making effective comments, please visit 

https://www.epa.gov/dockets/ 

commenting-epa-dockets. 

FOR FURTHER INFORMATION CONTACT: 

Daniel Porter, Director, Data Analytics 

Directorate, Office of Inspector General, 

Environmental Protection Agency, 1200 

Pennsylvania Avenue NW, Washington, 

DC 20004; telephone number: 202–309– 

6449; email address: oig.data_

analytics@epa.gov. 

SUPPLEMENTARY INFORMATION: 

I. Why is EPA using a direct final rule? 

The EPA is publishing this rule 

without a prior proposed rule because 

we view this as a noncontroversial 

action and anticipate no adverse 

comment. However, in the ‘‘Proposed 

Rules’’ section of this Federal Register, 

we are publishing a separate document 

that will serve as the proposed rule to 

exempt a new system of records, EPA– 

100, the OIG Data Analytics Enterprise 

Tracking System, from certain 

requirements of the Privacy Act if 

adverse comments are received on this 

direct final rule. We will not institute a 

second comment period on this action. 

Any parties interested in commenting 

must do so at this time. For further 

information about commenting on this 

rule, see the ADDRESSES section of this 

document. 

If EPA receives adverse comment, we 

will publish a timely withdrawal in the 

Federal Register informing the public 

that this direct final rule will not take 

effect. We would address all public 

comments in any subsequent final rule 

based on the proposed rule. 

EPA is also revising the Agency’s 

Privacy Act regulations to update the 

names of systems of records with 

general and specific exemptions. 

Specifically, 40 CFR 16.11, will be 

modified to update the name of EPA–17 

from OCEFT Criminal Investigative 

Index and Files to Online Criminal 

Enforcement Activities Network 

(OCEAN) and EPA–40 from Inspector 

General’s Operation and Reporting 

(IGOR) System Investigative Files to 

Inspector General Enterprise 

Management System (IGEMS) 

Investigative Module and to add EPA– 

100 OIG Data Analytics Enterprise. 

Likewise, 40 CFR 16.12 will also be 

modified to update the names of EPA– 

17 from OCEFT Criminal Investigative 

Index and Files to Online Criminal 

Enforcement Activities Network 

(OCEAN), EPA–21 from External 

Compliance Program Discrimination 

Complaint Files to External Compliance 

Case Tracking System (EXCATS), EPA– 

30 from OIG Hotline Allegation System 

to Inspector General Enterprise 

Management System (IGEMS) Hotline 

Module and EPA–40 from Inspector 

General’s Operation and Reporting 

(IGOR) System Investigative Files to 

Inspector General Enterprise 

Management System (IGEMS) 

Investigative Module. Additionally, 

§ 16.12 will be modified to add EPA– 

100 OIG Data Analytics Enterprise and 

to remove reference to EPA–41 because 

the system of records is no longer 

exempt. 

II. General Information 

The EPA will use this system of 

records to develop data models and 

analyses in order to identify fraud, 

waste and abuse, and programmatic 

problems and deficiencies. This system 

of records will allow the EPA OIG to 

identify correlations between existing 

EPA data sets and other government 

agency data sets so as to identify 

patterns and correlations that indicate 

fraud and issues of program waste and 

abuse. EPA OIG will apply analytics and 

data modeling principles within this 

system of records to identify problems 

or failures in the implementation or 

performance of internal controls within 

the EPA. The records may be used in the 

course of performing audits, 

evaluations, and inspections; 

investigating individuals and entities 

suspected of criminal, civil, or 

administrative misconduct and in 

supporting related judicial and 

administrative proceedings; or in 

conducting preliminary inquiries 

undertaken to determine whether to 

commence an audit, evaluation, 

inspection, or investigation. 

The EPA compiles and maintains the 

records in the OIG Data Analytics 

Enterprise for use in criminal and civil 

investigations and actions. This system 

of records, EPA–100, is maintained by 

the Office of Inspector General. This 

component of EPA performs as its 

principal function, activities pertaining 

to the enforcement of criminal laws. 

The Privacy Act allows Federal 

agencies to exempt eligible records in a 

system of records from certain 

provisions of the Act, including those 

that provide individuals with a right to 

request access to and amendment of 

their own records. If an agency intends 

to exempt a particular system of records, 

it must first go through the rulemaking 

process pursuant to 5 U.S.C. 553(b)(1)– 

(3), (c), and (e). This rule explains why 

an exemption is being claimed for this 

system of records and invites public 

comment, which EPA will consider. 

Under 5 U.S.C. 552a(j)(2), the head of 

any agency may exempt any system of 

records within the agency from certain 

provisions of the Privacy Act, if the 

agency or component that maintains the 

system performs as its principal 

function any activities pertaining to the 

enforcement of criminal laws. The 

Inspector General Act mandates that the 

Inspector General recommend policies 

for, and conduct, supervise, and 

coordinate activities in the Agency and 

between the Agency and other Federal, 

State, and local government agencies 

with respect to all matters relating to the 

prevention and detection of fraud in 

programs and operations administered 

or financed by the Agency, and to the 

identification and prosecution of 

participants in such fraud. Under the 

Inspector General Act, whenever the 

Inspector General has reasonable 

grounds to believe that there has been 

a violation of Federal criminal law, the 

Inspector General must report the matter 

expeditiously to the Attorney General. 

In addition to these principal functions 


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pertaining to the enforcement of 

criminal laws, the Inspector General 

may receive and investigate complaints 

on information from various sources 

concerning the possible existence of 

activities constituting violations of law, 

rules, or regulations, or 

mismanagement, gross waste of funds, 

abuses of authority, or substantial and 

specific danger to the public health and 

safety. To the extent criminal law 

enforcement information is contained in 

the system as enumerated in 5 U.S.C. 

552a(j)(2), the provisions of the Privacy 

Act from which exemptions are claimed 

under 5 U.S.C. 552a(j)(2) are as follows: 

5 U.S.C. 552a(c)(3) and (4); 5 U.S.C. 

552a(d); 5 U.S.C. 552a(e)(1), (2) and (3); 

5 U.S.C. 552a(e)(4)(G) and (H); 5 U.S.C. 

552a(e)(5) and (8); 5 U.S.C. 552a(f)(2) 

through (5); and 5 U.S.C. 552a(g). 

EPA is claiming the above exemptions 

for the following reasons: 

(1) From subsection (c)(3), because 

making available to a named individual 

an accounting of disclosures of records 

concerning him/her/them could reveal 

investigative interest on the part of EPA 

and/or the Department of Justice. This 

could allow record subjects to impede 

the investigation, e.g., destroy evidence, 

intimidate potential witnesses, or flee 

the area to avoid inquiries or 

apprehension by law enforcement 

personnel. More broadly, the 

application of this provision could 

reveal the OIG’s investigative interests, 

which could compromise those 

investigative interests. Further, such a 

disclosure could reveal the identity of a 

confidential source and hamper the 

Agency’s investigation. 

(2) From subsection (c)(4), which 

concerns providing notice to others 

regarding corrections or disputed 

information in accordance with 

subsection (d) of the Privacy Act, 

because no access to these records is 

available under subsection (d) of the 

Act. 

(3) From subsection (d), which 

requires an agency to permit an 

individual to access, contest or request 

amendment of records pertaining to 

him/her/them, because the records 

contained in this system relate to 

official Federal investigations. 

Individual access to these records could 

compromise ongoing investigations, 

reveal confidential informants and/or 

sensitive investigative techniques used 

in particular investigations, or 

constitute unwarranted invasions of the 

personal privacy of third parties who 

are involved in a certain investigation. 

(4) From subsection (e)(1), which 

requires an agency to maintain only 

relevant and necessary information 

about an individual, because the 

relevance or necessity of information 

obtained in the course of a law 

enforcement investigation is not always 

known when collected. Material that 

may seem unrelated, irrelevant, or 

incomplete when collected may take on 

added meaning or significance as the 

investigation progresses. Also, in the 

interest of effective law enforcement, it 

is appropriate to retain all information 

that may aid in establishing patterns of 

criminal activity. Therefore, it would 

impede the investigative process if it 

were necessary to assure the relevance 

and necessity of all information 

obtained. 

(5) From subsection (e)(2), which 

requires an agency to collect 

information to the greatest extent 

practicable directly from the subject 

individual when the information may 

result in adverse determinations about 

the individual’s rights, benefits, or 

privileges under Federal programs. 

Application of this provision could 

impair investigations and law 

enforcement by alerting the subject of 

the investigation to the existence of the 

investigation. Further, compliance with 

the requirements of this subsection 

during the course of an investigation 

could impede the information gathering 

process or cause the destruction of 

evidence, thus hampering the 

investigation. 

(6) From subsection (e)(3), which 

requires an agency to inform those 

supplying information of its authority to 

collect the information, its plans for 

using or sharing that information, and 

the effects of not providing the 

requested information. The application 

of this provision could provide the 

subject of the investigation with 

substantial information about the nature 

of the investigation, which could 

interfere with the investigation. To 

comply with the requirements of this 

subsection during the course of an 

investigation could impede the 

information gathering process especially 

when undercover operations or 

confidential sources are used, thus 

hampering the investigation. 

(7) From subsections (e)(4)(G) and (H), 

which require an agency to publish—in 

the Federal Register—procedures 

concerning access to records, because 

no access to these records is available 

under subsection (d) of the Privacy Act, 

for the reasons explained above in the 

discussion of subsection (d). 

(8) From subsection (e)(5), which 

requires an agency to maintain its 

records with accuracy, relevance, 

timeliness, and completeness as is 

reasonably necessary to assure fairness 

to the individual, because it is not 

possible to determine in advance what 

information is accurate, relevant, timely, 

and complete. Facts are first gathered 

and then placed into a logical order to 

prove or disprove objectively the 

criminal behavior of an individual. 

Material that may seem unrelated, 

irrelevant, or incomplete when collected 

may take on added meaning or 

significance as the investigation 

progresses. The restrictions of this 

provision could interfere with the 

preparation of a complete investigative 

report, thereby impeding effective law 

enforcement. 

(9) From subsection (e)(8), which 

requires notice to an individual 

whenever a record on such individual is 

made available to others under 

compulsory legal process, because 

complying with this provision could 

prematurely reveal an ongoing criminal 

investigation to the subject of the 

investigation. 

(10) From subsections (f)(2), (f)(3), 

(f)(4), and (f)(5), concerning agency rules 

for obtaining access to records under 

subsection (d), because this system is 

exempt from the access and amendment 

provisions of subsection (d). Since EPA 

is exempting this system of records from 

subsection (d) of the Act, concerning 

access to records, the requirements of 

subsections (f)(2) through (5) of the Act, 

concerning agency rules for obtaining 

access to such records, are inapplicable 

and are exempted to the extent that this 

system of records is exempted from 

subsection (d) of the Act. 

(11) From subsection (g), which 

provides for civil remedies if an agency 

fails to comply with certain 

requirements of the Act applicable to a 

nonexempt system of records, because 

EPA is exempting this system of records 

from subsections (c)(3) and (4); (d); 

(e)(1), (2), (3), (4)(G), and (H), (5), and 

(8); and (f)(2) through (5) of the Act. The 

provisions of subsection (g) of the Act 

are inapplicable to the extent that this 

system of records is exempted from 

those subsections of the Act. 

The EPA also compiles and maintains 

the records in the OIG Data Analytics 

Enterprise for use in civil and 

administrative investigations and 

actions. In those cases, the system again 

is maintained by the Office of Inspector 

General. 5 U.S.C. 552a(k)(2) states that 

the head of an agency may promulgate 

regulations to exempt the system from 

certain provisions of the Act if the 

system ‘‘is investigatory material 

compiled for law enforcement purposes, 

other than material within the scope of 

subsection (j)(2)’’ of 5 U.S.C. 552a. 

Accordingly, to the extent investigatory 

records are not covered under the 

exemptions in subsection (j)(2), the 

following provisions of the Privacy Act 


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are exempt pursuant to 5 U.S.C. 

552a(k)(2): 5 U.S.C. 552a(c)(3), 5 U.S.C. 

552a(d), 5 U.S.C. 552a(e)(1), 5 U.S.C. 

552a(e)(4)(G) and (H) and 5 U.S.C. 

552a(f)(2) through (5): 

(1) From subsection (c)(3) because 

making available to named individual 

an accounting of disclosures of records 

concerning him/her/them could reveal 

investigative interest on the part of EPA 

and/or the Department of Justice. This 

could allow record subjects to impede 

the investigation, e.g., destroy evidence, 

intimidate potential witnesses, or flee 

the area to avoid inquiries or 

apprehension by law enforcement 

personnel. More broadly, the 

application of this provision could 

reveal the OIG’s investigative interests, 

which could compromise those 

investigative interests. Further, such a 

disclosure could reveal the identity of a 

confidential source and hamper the 

Agency’s investigation. 

(2) From subsection (d), which 

requires an agency to permit an 

individual to access, contest or request 

amendment of records pertaining to 

him/her/them, because the records 

contained in this system relate to 

official Federal investigations. 

Individual access to these records could 

compromise ongoing investigations, 

reveal confidential informants and/or 

sensitive investigative techniques used 

in particular investigations, or 

constitute unwarranted invasions of the 

personal privacy of third parties who 

are involved in a certain investigation. 

(3) From subsection (e)(1), which 

requires each agency to maintain only 

such information about an individual as 

is relevant and necessary to accomplish 

a purpose of the agency, because in the 

course of law enforcement 

investigations information may 

occasionally be obtained or introduced 

the accuracy of which is unclear or 

which is not strictly relevant or 

necessary to a specific investigation. In 

the interests of effective law 

enforcement, it is appropriate to retain 

all information that may aid in 

establishing patterns of criminal 

activity. Moreover, it would impede any 

investigative process, whether civil or 

criminal, if it were necessary to assure 

the relevance, accuracy, timeliness and 

completeness of all information 

obtained. 

(4) From subsections (e)(4)(G) and (H), 

which require an agency to publish—in 

the Federal Register—procedures 

concerning access to records, because 

no access to these records is available 

under subsection (d) of the Privacy Act, 

for the reasons explained above in the 

discussion of subsection (d). 

(5) From subsection (f)(2), (f)(3), (f)(4), 

and (f)(5), concerning agency rules for 

obtaining access to records under 

subsection (d), because this system is 

exempt from the access and amendment 

provisions of subsection (d). Since EPA 

is exempting this system of records from 

subsection (d) of the Act, concerning 

access to records, the requirements of 

subsections (f)(2) through (5) of the Act, 

concerning agency rules for obtaining 

access to such records, are inapplicable 

and are exempted to the extent that this 

system of records is exempted from 

subsection (d) of the Act. 

The EPA also compiles and maintains 

the records in the OIG Data Analytics 

Enterprise, EPA–100, for the purpose of 

determining suitability, eligibility, or 

qualifications for Federal civilian 

employment, military service, Federal 

contracts, or access to classified 

information. In those cases, the system 

again is maintained by the Office of 

Inspector General. The statute at 5 

U.S.C. 552a(k)(5) states that the head of 

any agency may by rule exempt any 

system of records within the agency 

from certain provisions of the Privacy 

Act, if the system of records is 

investigatory material compiled solely 

for the purpose of determining 

suitability, eligibility, or qualifications 

for Federal civilian employment, 

military service, Federal contracts, or 

access to classified information, but 

only to the extent that the disclosure of 

such material would reveal the identity 

of a source who furnished information 

to the Government under an express 

promise that the identity of the source 

would be held in confidence. 

Accordingly, to the extent any records 

would disclose source-identifying 

information, all such information in the 

OIG Data Analytics Enterprise, EPA– 

100, are exempt from 5 U.S.C. 552a(c)(3) 

and 5 U.S.C. 552a(d): 

(1) From subsection (c)(3) because 

making available to named individual 

an accounting of disclosures of records 

concerning him/her/them could reveal 

investigative interest on the part of EPA 

and/or the Department of Justice. This 

could allow record subjects to impede 

the investigation, e.g., destroy evidence, 

intimidate potential witnesses, or flee 

the area to avoid inquiries or 

apprehension by law enforcement 

personnel. More broadly, the 

application of this provision could 

reveal the OIG’s investigative interests, 

which could compromise those 

investigative interests. Further, such a 

disclosure could reveal the identity of a 

confidential source and hamper the 

Agency’s investigation. 

(2) From subsection (d), which 

requires an agency to permit an 

individual to access, contest or request 

amendment of records pertaining to 

him/her/them, because the records 

contained in this system relate to 

official Federal investigations. 

Individual access to these records could 

compromise ongoing investigations, 

reveal confidential informants and/or 

sensitive investigative techniques used 

in particular investigations, or 

constitute unwarranted invasions of the 

personal privacy of third parties who 

are involved in a certain investigation. 

III. Statutory and Executive Orders 

Reviews 

Additional information about these 

statutes and Executive orders can be 

found at https://www.epa.gov/lawsregulations/laws-and-executive-orders. 

A. Executive Order 12866: Regulatory 

Planning and Review and Executive 

Order 13563: Improving Regulation and 

Regulatory Review 

This action was submitted to the 

Office of Management and Budget 

(OMB) for review and reviewed without 

comment. 

B. Paperwork Reduction Act (PRA) 

This action does not impose an 

information collection burden under the 

PRA. This action contains no provisions 

constituting a collection of information 

under the PRA. 

C. Regulatory Flexibility Act (RFA) 

I certify that this action will not have 

a significant economic impact on a 

substantial number of small entities 

under the RFA. This action will not 

impose any requirements on small 

entities. 

D. Unfunded Mandates Reform Act 

(UMRA) 

This action does not contain any 

unfunded mandate as described in 

UMRA, 2 U.S.C. 1531–1538, and does 

not significantly or uniquely affect small 

governments. 

E. Executive Order 13132 (Federalism) 

This action does not have federalism 

implications. It will not have 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. 

F. Executive Order 13175: Consultation 

and Coordination With Indian Tribal 

Governments 

This action does not have tribal 

implications as specified in Executive 

Order 13175. Thus, Executive Order 

13175 does not apply to this action. 


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G. Executive Order 13045: Protection of 

Children From Environmental Health 

Risks and Safety Risks 

The EPA interprets Executive Order 

13045 as applying only to those 

regulatory actions that concern 

environmental health or safety risks that 

the EPA has reason to believe may 

disproportionately affect children, per 

the definition of ‘‘covered regulatory 

action’’ in section 2–202 of the 

Executive order. This action is not 

subject to Executive Order 13045 

because it does not concern an 

environmental health risk or safety risk. 

H. Executive Order 13211: Actions 

Concerning Regulations That 

Significantly Affect Energy Supply, 

Distribution, or Use 

This action is not subject to Executive 

Order 13211, because it is not a 

significant regulatory action under 

Executive Order 12866. 

I. National Technology Transfer and 

Advancement Act 

This rulemaking does not involve 

technical standards. 

J. Executive Order 12898: Federal 

Actions To Address Environmental 

Justice in Minority Populations and 

Low-Income Populations 

The EPA believes that this action does 

not have disproportionately high and 

adverse human health or environmental 

effects on minority populations, lowincome populations and/or indigenous 

peoples, as specified in Executive Order 

12898 (59 FR 7629, February 16, 1994). 

List of Subjects in 40 CFR Part 16 

Environmental protection, 

Administrative practice and procedure, 

Confidential business information, 

Government employees, Privacy. 

Kimberly Y. Patrick, 

Principal Deputy Assistant Administrator, 

Office of Mission Support. 

For the reasons set forth in the 

preamble, EPA amends 40 CFR part 16 

as follows: 

PART 16—IMPLEMENTATION OF 

PRIVACY ACT OF 1974 

■ 1. The authority citation for part 16 

continues to read as follows: 

Authority: 5 U.S.C. 301, 552a (as revised). 

■ 2. Amend § 16.11 by: 

■ a. Revising paragraph (a) and (c)(2); 

■ b. Adding paragraph (c)(6); and 

■ c. Revising paragraph (d) and the 

introductory text of paragraph (e). 

The revisions and addition read as 

follows: 

§ 16.11 General exemptions. 

(a) Systems of records affected. (1) 

EPA–17 Online Criminal Enforcement 

Activities Network (OCEAN). 

(2) EPA–40 Inspector General 

Enterprise Management System (IGEMS) 

Investigative Module. 

(3) EPA–63 eDiscovery Enterprise 

Tool Suite. 

(4) EPA–79 NEIC Master Tracking 

System. 

(5) EPA–100 OIG Data Analytics 

Enterprise. 

* * * * * 

(c) * * * 

(2) The Agency’s system of records, 

EPA–40 is maintained by the Office of 

Inspector General (OIG), an independent 

component of EPA that performs as its 

principal function activities pertaining 

to the enforcement of criminal laws. 

Authority for the criminal law 

enforcement activities of the OIG’s 

Office of Investigations is the Inspector 

General Act of 1978, as amended, 5 

U.S.C. 401–424. 

* * * * * 

(6) The Agency’s system of records, 

EPA–100 system of records is 

maintained by the Office of Inspector 

General, an independent component of 

EPA which performs as its principal 

function activities pertaining to the 

enforcement of criminal laws. Authority 

for the criminal law enforcement 

activities of the Office of Inspector 

General is the Inspector General Act of 

1978, as amended, 5 U.S.C. 401–424. 

(d) Scope of exemption. EPA systems 

of records 17, 40, 63, 79, and 100 are 

exempted from the following provisions 

of the PA: 5 U.S.C. 552a(c)(3) and (4); 

(d); (e)(1), (2), (3), (4)(G), and (H), (5), 

and (8); (f)(2) through (5); and (g). To the 

extent that the exemption for EPA 

systems of records 17, 40, 63, 79 and 

100 claimed under 5 U.S.C. 552a(j)(2) is 

held to be invalid, then an exemption 

under 5 U.S.C. 552a(k)(2) is claimed for 

these systems of records from (c)(3), (d), 

(e)(1), (e)(4)(G) and (H), and (f)(2) 

through (5). For Agency’s system of 

records, EPA system 40, an exemption 

is separately claimed under 5 U.S.C. 

552(k)(5) from (c)(3), (d), (e)(1), (e)(4)(G), 

(4)(H), and (f)(2) through (5). For 

Agency’s system of records, EPA system 

100, an exemption is separately claimed 

under 5. U.S.C. 552(k)(5) from (c)(3) and 

(d). 

(e) Reasons for exemption. EPA 

systems of records 17, 40, 63, 79, and 

100 are exempted from the provisions of 

the PA in paragraph (d) of this section 

for the following reasons: 

* * * * * 

■ 3. Amend § 16.12 by revising 

paragraph (a)(1), the first sentence in 

paragraph (a)(4)(i), paragraph (a)(4)(iii), 

the introductory text of paragraph (a)(5), 

paragraphs (b)(1) and (4), and the 

introductory text of paragraph (b)(5) to 

read as follows: 

§ 16.12 Specific exemptions. 

(a) * * * 

(1) Systems of records affected. (i) 

EPA–17 Online Criminal Enforcement 

Activities Network (OCEAN). 

(ii) EPA–21 External Compliance Case 

Tracking System (EXCATS). 

(iii) EPA–30 Inspector General 

Enterprise Management System (IGEMS) 

Hotline Module. 

(iv) EPA–40 Inspector General 

Enterprise Management System (IGEMS) 

Investigative Module. 

(v) EPA–63 eDiscovery Enterprise 

Tool Suite. 

(vi) EPA–79 NEIC Master Tracking 

System. 

(vii) EPA–100 OIG Data Analytics 

Enterprise. 

* * * * * 

(4) * * * 

(i) EPA systems of records 17, 30, 40, 

63, 79, and 100 are exempted from the 

following provisions of the PA, subject 

to the limitations set forth in 5 U.S.C. 

552a(k)(2): 5 U.S.C. 552a(c)(3); (d); 

(e)(1), (4)(G) and (4)(H); and (f)(2) 

through (5). * * * 

* * * * * 

(iii) EPA–17 Online Criminal 

Enforcement Activities Network 

(OCEAN), EPA–40 Inspector General 

Enterprise Management System (IGEMS) 

Investigative Module, EPA–79 NEIC 

Master Tracking System, and EPA–100 

OIG Data Analytics Enterprise are 

exempted under 5 U.S.C. 552a(j)(2), and 

these systems are exempted under 5 

U.S.C. 552a(k)(2) only to the extent that 

the (j)(2) exemption is held to be 

invalid. 

(5) Reasons for exemption. EPA 

systems of records 17, 21, 30, 40, 63, 79, 

and 100 are exempted from the 

provisions of the PA in paragraph (a)(4) 

of this section for the following reasons: 

* * * * * 

(b) * * * 

(1) Systems of records affected. (i) 

EPA 36 Research Grant, Cooperative 

Agreement, and Fellowship Application 

Files. 

(ii) EPA 40 Inspector General 

Enterprise Management System (IGEMS) 

Investigative Module. 

(iii) EPA 100 OIG Data Analytics 

Enterprise. 

* * * * * 

(4) Scope of exemption. (i) EPA 36 

and 100 are exempted from 5 U.S.C. 

552a(c)(3) and (d). EPA 40 is exempted 

from the following provisions of the PA, 


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77004 Federal Register / Vol. 88, No. 215 / Wednesday, November 8, 2023 / Rules and Regulations 

1NAICS Association. NAICS & SIC Identification 

Tools. Available online: https://www.naics.com/ 

search. 

2Section 209(e) pertains to the inability of State 

and political subdivisions to adopt and enforce 

standards and other requirements for certain 

nonroad engines and nonroad vehicles. EPA’s 

reference to ‘‘State’’ herein includes political 

subdivisions unless otherwise noted. 

3See Emission Standards for Locomotives and 

Locomotive Engines, Final Rule, 63 FR 18978, 

18994 (April 16, 1998). See also, Control of 

Emissions From Nonroad Spark-Ignition Engines 

and Equipment, 73 FR 59034 (Oct. 8, 2008); See 

also Control of Air Pollution: Emission Standards 

for New Nonroad Compression-Ignition Engines at 

or Above 37 Kilowatts; Preemption of State 

Regulation for Nonroad Engine and Vehicle 

Standards; Amendments to Rules, 62 FR 67733, 

67734–67735 (December 30, 1997). See also Air 

Pollution Control; Preemption of State Regulation 

for Nonroad Engine and Vehicle Standards, July 20, 

1994 (59 FR 36969). 

4Throughout this document, references to the 

regulation of locomotives generally refer the 

regulation of both locomotives and engines used in 

locomotives. 

5See, Greenhouse Gas Emissions Standards for 

Heavy-Duty Vehicles-Phase 3; Proposed Rule, April 

27, 2023, 88 FR 25926. 

6 Including but not limited to emission standards, 

mandatory fleet average standards, certification 

requirements, retrofit and aftermarket equipment 

subject to the limitations of 5 U.S.C. 

552a(k)(5); 5 U.S.C. 552a(c)(3); (d); 

(e)(1), (4)(H); and (f)(2) through (5). 

(ii) To the extent that records in EPA 

40 and 100 reveal a violation or 

potential violation of law, then an 

exemption under 5 U.S.C. 552a(k)(2) is 

also claimed for these records. EPA 40 

and 100 are also exempt under 5 U.S.C. 

552a(j)(2). 

(5) Reasons for exemption. EPA 36, 

40, and 100 are exempted from the 

above provisions of the PA for the 

following reasons: 

* * * * * 

[FR Doc. 2023–24233 Filed 11–7–23; 8:45 am] 

BILLING CODE 6560–50–P 

ENVIRONMENTAL PROTECTION 

AGENCY 

40 CFR Part 1074 

[EPA–HQ–OAR–2022–0985; FRL–8952.1– 

01–OAR] 

RIN 2060–AW12 

Locomotives and Locomotive Engines; 

Preemption of State and Local 

Regulations 

AGENCY: Environmental Protection 

Agency (EPA). 

ACTION: Final rule. 

SUMMARY: The Environmental Protection 

Agency (EPA) is finalizing revisions to 

its regulations addressing preemption of 

State and local regulation of 

locomotives and engines used in 

locomotives. This rule implements a 

policy change to no longer categorically 

preempt certain State regulations of 

non-new locomotives and engines, 

aligning with the plain text of the Clean 

Air Act (CAA), and better achieving the 

legislative intent of providing for 

exclusive Federal regulation of new 

locomotives and new locomotive 

engines while preserving the ability of 

California and other States to adopt and 

enforce certain State standards 

regulating non-new locomotives and 

engines. 

DATES: This final rule is effective on 

December 8, 2023. 

ADDRESSES: The EPA has established a 

docket for this action under Docket ID 

No. EPA–HQ–OAR–2022–0985. All 

documents in the docket are listed on 

the https://www.regulations.gov 

website. Although listed in the index, 

some information is not publicly 

available, e.g., confidential business 

information (CBI) or other information 

whose disclosure is restricted by statute. 

Certain other material, such as 

copyrighted material, is not placed on 

the internet and will be publicly 

available only in hard copy form. 

Publicly available docket materials are 

available electronically through https:// 

www.regulations.gov. 

FOR FURTHER INFORMATION CONTACT: 

Brian Nelson, Assessment and 

Standards Division, Office of 

Transportation and Air Quality, 

Environmental Protection Agency, 2000 

Traverwood Drive, Ann Arbor, MI 

48105; telephone number: (734) 214– 

4278; email address: nelson.brian@

epa.gov. 

SUPPLEMENTARY INFORMATION: 

General Information 

Does this action apply to me? 

This action does not directly apply to 

any regulated industry classified by the 

North American Industry Classification 

System (NAICS) Association.1 This 

action relates to State and local 

governments. The revisions we are 

finalizing do not impose any 

requirements that State and local 

governments must meet, but rather 

implement the Clean Air Act 

preemption provisions for locomotives. 

To determine whether your entity could 

be impacted by this action, you should 

carefully examine the applicability 

criteria found in 40 CFR part 1074. If 

you have questions regarding the 

applicability of this action to a 

particular entity, consult the person 

listed in the FOR FURTHER INFORMATION

CONTACT section. 

What action is the Agency taking? 

The Environmental Protection Agency 

(EPA) is finalizing revisions to its 

regulations addressing preemption of 

State regulation of new locomotives and 

new engines used in locomotives, to 

align with language in the Clean Air 

Act. 

What is the Agency’s authority for 

taking this action? 

Clean Air Act (CAA) section 

209(e)(2)(B), 42 U.S.C. 7543(e)(2)(B), 

requires EPA to promulgate regulations 

implementing section 209(e) of the Act. 

CAA section 209(e)(1) addresses the 

prohibition of State standards regarding 

certain classes of new nonroad engines 

or new nonroad vehicles including new 

locomotives and new engines used in 

locomotives.2 CAA section 209(e)(2)(A) 

specifies the criteria relevant to EPA’s 

evaluation of California authorization 

requests (requests for a waiver of CAA 

preemption) for standards relating to the 

control of emissions from nonroad 

engines or nonroad vehicles other than 

those prohibited under section 

209(e)(1). EPA’s regulations 

implementing these provisions for 

locomotives and locomotive engines 

were first adopted in 1998 at 40 CFR 

part 85 and transcribed in 2008 at 40 

CFR part 1074.3

I. Summary 

As part of its 1998 rule finalizing 

Emission Standards for Locomotives 

and Locomotive Engines at 40 CFR part 

92, which applied to new locomotives 

and new engines used in locomotives, 

EPA also adopted regulations in 40 CFR 

part 85 defining a broad preemption of 

certain State and local controls of new 

or other locomotives and engines used 

in locomotives, which we determined to 

be appropriate based on our 

understanding of the information 

available at the time. Recently, there has 

been interest in obtaining greater 

emissions reductions from the 

locomotive sector, including possibly 

adopting programs to achieve greater 

emission reductions from non-new 

locomotives that are not required by 

EPA’s emission standards for new 

locomotives and engines under CAA 

section 213(a)(5).4 On April 27, 2023, 

EPA published a notice of proposed 

rulemaking which, among other things, 

proposed revisions to our locomotive 

preemption regulations.5 Specifically, 

we proposed to delete 40 CFR 

1074.12(b), which preempted the State 

control of non-new locomotives for 

certain categories of State control 

measures for a period of 133 percent of 

the useful life of a new locomotive or 

engine,6 along with conforming edits. 


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