60260 Federal Register / Vol. 78, No. 190 / Tuesday, October 1, 2013 / Notices 

Item Responses 

Average drawing 

cost 

($) 

Average total 

drawing cost 

($) 

Utility Application Drawings ....................................................................................... 220,605 $1,035 $228,326,175.00 

Design Application Drawings ..................................................................................... 31,945 1,737 55,488,465.00 

Plant Application Drawings (Photographs) ................................................................ 1,301 612 796,212.00 

Provisional Application Drawings .............................................................................. 141,757 1,035 146,718,495.00 

Total .................................................................................................................... .............................. .............................. 431,329,347.00 

There is also annual (non-hour) cost 

burden in the way of filing fees for the 

petitions to accept a filing by other than 

all the inventors or a person not the 

inventor. The filing fees for the 

applications, the petitions to accept 

unintentionally delayed priority/benefit 

claims, the processing fees for the 

papers filed under 37 CFR 1.41, 1.48, 

and 1.53(c)(2), the additional fees 

incurred when an application is filed 

with additional sheets or excess claims, 

and the surcharges and fees incurred 

when an application, the search or 

examination fee, or the oath or 

declaration is filed late, when the 

application is filed with multiple 

dependent claims, or when the 

application is filed with a non-English 

specification are covered under 0651– 

0072 America Invents Act Section 10 

Patent Fee Adjustments. 

The total estimated filing costs of 

$220,000 for this collection are 

calculated in the following table. 

Item Resps (yr) 

(a) 

Filing fee 

($) 

Total non-hour 

cost burden 

(yr) 

(a) × (b) 

Petition to Accept a Filing by Other Than all the Inventors or a Person not the Inventor ......... 33 $200.00 $6,600.00 

Electronic Petition to Accept a Filing by Other Than all the Inventors or a Person not the Inventor ....................................................................................................................................... 1,067 200.00 213,400.00 

Petition under 37 CFR 1.6(g) to accord the Application under 37 CFR 1.495(b) a Receipt 

Date .......................................................................................................................................... 1 N/A 0.00 

Totals .................................................................................................................................... 1,101 ........................ 220,000.00 

The USPTO estimates that the total 

annual (non-hour) respondent cost 

burden for this collection, in the form of 

postage and drawing costs, in addition 

to petition fees, is estimated to be 

approximately $431,933,422 per year. 

IV. Request for Comments 

Comments submitted in response to 

this notice will be summarized and/or 

included in the USPTO’s request for 

OMB approval. All comments will 

become a matter of public record. 

The USPTO is soliciting public 

comments to: (a) Evaluate whether the 

proposed collection of information is 

necessary for the proper performance of 

the functions of the agency, including 

whether the information will have 

practical utility; (b) Evaluate the 

accuracy of the agency’s estimate of the 

burden of the proposed collection of 

information, including the validity of 

the methodology and assumptions used; 

(c) Enhance the quality, utility, and 

clarity of the information to be 

collected; and (d) Minimize the burden 

of the collection of information on those 

who are to respond, including through 

the use of appropriate automated, 

electronic, mechanical, or other 

technological collection techniques or 

other forms of information technology, 

e.g., permitting electronic submission of 

responses. 

Dated: September 25, 2013. 

Susan K. Fawcett, 

Records Officer, USPTO, Office of the Chief 

Information Officer. 

[FR Doc. 2013–23790 Filed 9–30–13; 8:45 am] 

BILLING CODE 3510–16–P 

COMMODITY FUTURES TRADING 

COMMISSION 

Order of the Commodity Futures 

Trading Commission Relating to the 

Continuation, Shutdown, and 

Resumption of Certain Commission 

Operations in the Event of a Lapse in 

Appropriations 

AGENCY: Commodity Futures Trading 

Commission 

ACTION: Notice of order; final order. 

SUMMARY: This order is being issued to 

provide for the continuation, shutdown, 

and resumption of certain operations of 

the Commodity Futures Trading 

Commission (the ‘‘Commission’’) in the 

event of a lapse in appropriations, and 

to alert all persons regulated by or 

engaged in proceedings at the 

Commission of these provisions. 

DATES: This notice and order is effective 

on September 27, 2013. 

FOR FURTHER INFORMATION CONTACT: For 

market oversight matters contact David 

Van Wagner, Chief Counsel, Division of 

Market Oversight (DMO), at 202–418– 

5481 or dvanwagner@cftc.gov, Matthew 

Hunter, Deputy Director, DMO at 202– 

418–5861 or mhunter@cftc.gov. For 

clearing matters, contact Ananda 

Radhakrishnan, Director, Division of 

Clearing and Risk (DCR), at 202–418– 

5188 or aradhakrishnan@cftc.gov; 

Robert B. Wasserman, Chief Counsel, 

DCR, at 202–418–5092 or rwasserman@

cftc.gov; or John C. Lawton, Deputy 

Director, DCR, at 202–418–5480, or 

jlawton@cftc.gov. For matters involving 

intermediaries, contact Gary Barnett, 

Director, Division of Swap Dealer and 

Intermediary Oversight (DSIO), 202– 

418–5977 or gbarnett@cftc.gov; Thomas 

Smith, Deputy Director, DSIO, at 202– 

418–5495 or tsmith@cftc.gov; Erik 

Remmler, Deputy Director, DSIO, at 

202–418–7630 or eremmler@cftc.gov; or 

Kevin Piccoli, Deputy Director, DSIO, at 

646–746–9834 or kpiccoli@cftc.gov. 

SUPPLEMENTARY INFORMATION: 

I. Background 

As of 12:01 a.m. on October 1, 2013, 

the funding of many federal government 

activities is set to expire. Unless 


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1The Antideficiency Act provides that an officer 

or employee of the United States may not make or 

authorize an expenditure or obligation exceeding an 

amount in an appropriation or fund for the 

expenditure or obligation; involve the government 

in a contract or obligation for the payment of money 

before an appropriation is made unless authorized 

by law; make or authorize an expenditure or 

obligation of funds required to be sequestered under 

section 252 of the Balanced Budget and Emergency 

Deficit Control Act of 1985; or involve the 

government in a contract or obligation for the 

payment of money required to be sequestered under 

section 252 of the Balanced Budget and Emergency 

Deficit Control Act of 1985. 

2Section 1342 of Title 31 of the U.S. code 

provides that an officer or employee of the United 

States Government may not accept voluntary 

services for the government or employ personal 

services exceeding that authorized by law except for 

emergencies involving the safety of human life or 

the protection of property. As used in this section, 

the term ‘‘emergencies involving the safety of 

human life or the protection of property’’ does not 

include ongoing, regular functions of government 

the suspension of which would not imminently 

threaten the safety of human life or the protection 

of property. 

3Specifically, the Department of Justice’s Office 

of Legal Counsel has opined that: ‘‘In the absence 

of government supervision, the stock markets, 

commodities and futures exchanges would be 

unable to operate . . . these actions and the others 

required as part of a true shut down of the federal 

government would impose significant health and 

safety risks on millions of Americans, some of 

which would undoubtedly result in the loss of 

human life, and they would immediately result in 

massive dislocations of and losses to the private 

economy, as well as disruptions of many aspects of 

society and of private activity generally, producing 

incalculable amounts of suffering and loss.’’ Id. 

appropriations are enacted for Fiscal 

Year 2014, federal departments and 

agencies whose continued operations 

are dependent upon such funding— 

including the Commission—will be 

required to execute contingency plans 

for this lapse in appropriations 

(commonly referred to as a 

‘‘shutdown’’). Under 31 U.S.C. 1341 (the 

‘‘Antideficiency Act’’), the Commission 

is prohibited from expending or 

obligating any funds in the absence of 

appropriations, subject to a narrow set 

of exceptions.1 The Commission may 

use one of the exceptions to the 

Antideficiency Act set forth in 31 U.S.C. 

1342, which permits agencies to obligate 

funds before an appropriations measure 

has been enacted and to accept 

voluntary services during a lapse when 

certain employees are needed to 

perform emergency or ‘‘excepted’’ 

functions.2

The Department of Justice’s Office of 

Legal Counsel has determined that 

government work performed so that the 

commodities and futures markets can 

continue to operate and so that trading 

may continue qualifies as an ‘‘excepted’’ 

function as set forth in 31 U.S.C. 1342.3

OLC Memorandum for the Director of 

the Office of Management and Budget, 

Government Operations in the Event of 

a Lapse in Appropriations, OLC 

Opinion, at 2–3 (Aug. 16, 1995). 

Consequently, in the event of a lapse in 

appropriations, the Commission may 

incur obligations to allow certain 

employees who perform ‘‘excepted’’ 

functions to continue to perform those 

functions. This authority, however, does 

not permit the Commission to fund 

ongoing, regular functions, the 

suspension of which would not 

imminently threaten the safety of 

human life or the protection of property 

during a lapse in appropriations. Id. at 

1 (citing 31 U.S.C. 1342). Thus, the 

Commission has designated certain 

essential personnel to fulfill its 

obligation to protect property. 

The Commission’s regulations, found 

in title 17 of the Code of Federal 

Regulations, place a number of filing 

obligations on registered entities, 

intermediaries, market participants and 

the public within specified time frames, 

establish Commission authority to stay 

certain actions by designated and 

registered entities, and also include 

provisions relating to requests for 

Commission approval and issuance of 

exemption and interpretative relief and 

guidance with specific time frames for 

Commission action. The Commission 

has reviewed its statute and regulations 

in light of its obligation to protect the 

safety of human life or the protection of 

property to determine which 

Commission operations will continue 

during a lapse in appropriations. 

A. Tolling and Extension of Certain 

Procedural Time Limits Applicable to 

the Commission 

In the event of a lapse in 

appropriations, the Commission will not 

be processing or reviewing filings for 

Commission discretionary or mandatory 

approval or any other actions that are 

not directly related to the safety of 

human life or the protection of property. 

Matters not directly related to the 

protection of property include rule, rule 

amendment, and contract certifications 

filed with the Commission, rule 

amendments and contracts voluntarily 

submitted for Commission approval or 

review; requests for contract market 

designation, swap execution facility, 

swap data repository, derivatives 

clearing organization, and foreign board 

of trade registration; and other requests 

for Commission approval or other 

action. 

The above-mentioned matters do not 

include any emergency notifications 

that may be required by Commission 

regulations of designated or registered 

entities and intermediaries, or that are 

required by any rule of a registered 

entity that has been approved by or selfcertified to the Commission. This 

includes emergency rules certified 

pursuant to regulation 40.6(a)(6) and (7) 

and emergency changes certified by a 

systemically important derivatives 

clearing organization pursuant to 

regulation 40.10(h). 

More specifically, matters not directly 

related to the protection of property 

include filings under judicially 

reinstated regulations 1.47 and 1.48 

(bona fide hedge requests), part 30 

(regulation 30.10 petitions for 

exemption and regulation 30.13 requests 

for certification), part 37 (swap 

execution facilities applications, 

demonstrations of compliance with core 

principles), part 38 (designated contract 

market applications, certifications of 

continued compliance in situations of 

merger or sale, and demonstrations of 

compliance with the core principles), 

part 39 (derivatives clearing 

organization applications, Commission 

review of swaps for determinations on 

clearing requirement, requests for orders 

regarding competition, and 

demonstrations of compliance with the 

core principles), part 40 (rule and 

contract filings–certifications and 

approvals and requests for confidential 

treatment of submissions, stays of 

certifications pursuant to regulation 

40.12, determinations related to making 

swaps available to trade), part 41 (filing 

of notice-designated contract markets 

trading security futures products), part 

48 (foreign board of trade registrations, 

adjudication of additional contracts for 

trading), and part 49 (swap data 

repository applications, registration of 

successor entities). 

Matters not directly related to the 

protection of property additionally 

include requests pursuant to regulations 

145.7 and 145.9 (requests for 

Commission records, petitions for 

confidential treatment of information 

submitted to the Commission, and 

appeals of FOIA decisions), regulation 

140.99 filings (requests for exemptive, 

no-action and interpretive letters), and 

part 165 (processing of whistleblower 

applications and appeals, and payments 

related to whistleblower awards). 

For the foregoing matters that are 

currently pending before the 

Commission pursuant to any of these 

provisions, all applicable time deadlines 

for Commission action will be tolled 

until the Commission is able to resume 

full operations. For such matters, the 

time remaining for Commission action 

will begin to run on the first business 

day following the resumption of 

Commission operations. For the 

foregoing matters arising during a lapse 

in appropriations, any time limit for 

Commission action shall begin to run on 


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4 Generally, the Commission’s regulations define 

business day to exclude only Saturday, Sunday, and 

federal holidays. Thus, a shutdown would not affect 

the timely processing, review, and action that may 

be necessary and appropriate related to the 

operation of these rules. 

5Futures commission merchants are not required 

to submit swap valuation dispute or risk exposure 

reports to the Commission under regulations 

23.502(c) and 23.600(c), respectively. 

6See 5 U.S.C. 553(b). 

7See 5 U.S.C. 553(d). 

the first business day following the 

resumption of Commission operations. 

Matters not directly related to the 

protection of property also include 

certain procedural regulations 

associated with Commission 

adjudicatory actions, in particular 

certain rules under part 3 (procedure to 

deny, condition, or suspend, revoke, or 

place restrictions on registration), part 9 

(related to review of exchange 

disciplinary, access denial or other 

adverse actions), part 10 (the 

Commission’s rules of practice for 

adjudicatory proceedings before the 

Commission), part 12 (rules related to 

reparations proceedings), and part 171 

(review of National Futures Association 

decisions). For these matters that are 

currently pending before the 

Commission pursuant to any of these 

provisions, or that arise during a lapse 

in appropriations, all applicable time 

deadlines for Commission action will be 

tolled until the Commission is able to 

resume full operations. Moreover, all 

applicable filing deadlines for parties to 

an adjudicative proceeding that arise 

during a lapse in appropriations will be 

extended until one business day after 

the Commission resumes its operations. 

B. Continued Processing, Review, and 

Action Related to Certain Agency 

Regulations 

The Commission’s regulations also 

impose filing obligations on registered 

entities, intermediaries, market 

participants and the public. The 

Commission has determined that certain 

filing requirements relate to the 

Commission’s obligation to protect the 

safety of human life or property even 

during a lapse of appropriations. 

Accordingly, such filings will continue 

to review, process, and take any 

necessary or appropriation action taken, 

during a lapse in appropriations for the 

purpose of protecting the safety of 

human life or the property in 

accordance with the Commodity 

Exchange Act (CEA) and its 

implementing regulations.. 

This category includes regulation 1.10 

and 5.12 filings (financial reports of 

futures commission merchants (FCMs), 

introducing brokers (IBs), and retail 

foreign exchange dealers), regulation 

1.12 and 5.6 filings (notice provisions 

required of FCMs, IBs, and RFEDs), 

regulation 1.15 filings (risk assessment 

reporting requirements), regulation 1.16 

filings (reports of accountants), 

regulation 1.17 filings (capital 

requirements (business days would 

include those days the Commission is 

shut down for purposes of requirements 

relating to margin calls and the 

computation of margin) and any notice 

provision requirements),4 regulation 

1.18 filings (current books and records), 

regulation 1.65 and 5.23 filings (notice 

of bulk transfers (a business day would 

include those days the Commission is 

shutdown)), regulation 39.19 

(derivatives clearing organization 

reporting requirements), regulation 

40.6(a)(6) and (7) (emergency rule 

certifications), and regulation 40.10(h) 

(emergency changes certified by 

systemically important derivatives 

clearing organizations). 

This category also includes part 15 

filings (general reporting requirements), 

part 16 filings (clearing member 

reports), part 17 filings (FCM reports), 

part 18 filings (reports by traders), part 

19 filings (bona fide hedge position 

reports), part 20 filings (large trader 

reporting for physical commodity 

swaps), part 21 filings (special call 

provisions), part 190 filings (bankruptcy 

rules), and regulation 40.6 filings 

(emergency rules of a registered entity). 

In addition, the Commission shall 

process, review, and take any necessary 

or appropriate action related to, chief 

compliance officer, swap valuation 

dispute, and risk exposure reports, 

pursuant to regulations 3.3(e), 23.502(c), 

and 23.600(c), respectively, from swap 

dealers, major swap participants, and 

futures commission merchants, as 

applicable.5 Swap execution facilities, 

designated contract markets, derivatives 

clearing organizations, and swap data 

repositories financial resources reports 

required by regulations 37.1306, 

38.1101, 39.11, and 49.25, respectively, 

also will continue to be processed, 

reviewed, and subject to necessary and 

appropriate action. 

The Commission’s regulations require 

and industry practice provides for 

notification to the Commission and its 

staff of certain emergency situations. 

Thus, the Commission will continue to 

process, review, and take any necessary 

or appropriate action related to 

notifications by registered entities and 

intermediaries of emergency situations 

such as system malfunctions, cyber 

security incidents or financial 

emergencies throughout a lapse in 

appropriations. 

C. Extension of Open Comment Periods 

on Proposed Regulation and Other 

Matters That May Be Subject to a 

Request for Comment by the 

Commission. 

Finally, the Commission has proposed 

a number of rules to implement the CEA 

and certain provisions of the Wall Street 

Reform and Consumer Protection Act 

for which the comment period may 

expire while the Commission is 

shutdown. The Commission will be 

unable to process comment submissions 

until it resumes full operations, as such 

processing is unrelated to the protection 

of property. Therefore, the Commission 

is extending the comment periods for 

such rules, and for any other matters 

that may be subject to a request for 

comment by the Commission, until one 

business day after the Commission is 

able to resume full operations. Notice of 

the resumption of Commission 

operations at the conclusion of a 

shutdown will be provided on the 

Commission’s Web site. 

II. Administrative Compliance 

A. Administrative Procedure Act 

To the extent that some of the 

provisions of this order may be subject 

to notice and comment under the 

Administrative Procedure Act (APA),6

and may be subject to the provisions of 

the APA that require publication or 

service of a substantive rule be made not 

less than 30 days before its effective 

date,7 the Commission for good cause 

finds that notice and comment and a 

delayed effective date are impracticable 

and contrary to the public interest. The 

Commission may be obligated to 

commence orderly shutdown of its 

operations at the commencement of 

business on October 1 and has 

determined that it is in the interest of 

the public and the markets it regulates 

to have established and publicized its 

procedures for limiting its operations to 

only those that are essential to the 

protection of property before that time. 

Moreover, though the tolling of 

certain procedural time limits will delay 

the Commission’s review and approval 

of certain industry filings, the review 

and approval provisions in the 

Commission’s regulations implement 

review and approval provisions of the 

CEA in order to protect the public 

interest. It would be contrary to the 

CEA, and to the public interest, if these 

review and approval time limits 

continued to run while the Commission 

is unable to conduct routine business. 


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8 44 U.S.C. 3501 et seq. 

9 5 U.S.C. 601 et seq. 

10 5 U.S.C. 601(2). 

11 7 U.S.C. 19(a). 

Finally, in order to protect the 

property interests of the public related 

to the orderly operation of the futures 

markets, the Commissioners will be 

supported by essential personnel in the 

surveillance of the markets in order to 

identify any emergency market 

situations that may require action to 

protect the safety of human life or 

property during a lapse in 

appropriations. It therefore is essential 

that reporting regulations associated 

with market surveillance and emergency 

notices continue to be processed and 

reviewed. 

B. Paperwork Reduction Act 

The Paperwork Reduction Act 

provides that an agency may not 

conduct or sponsor, and a person is not 

required to respond to, a collection of 

information unless it has been approved 

by the Office of Management and 

Budget (OMB) and displays a currently 

valid control number.8 The collections 

of information referenced in this notice 

and order have valid control numbers 

that are currently in effect. Therefore, 

the Commission is not obligated to seek 

a control number in connection with 

this order. 

C. Regulatory Flexibility Act 

The Regulatory Flexibility Act (RFA) 

requires the Commission to consider 

whether a rule it proposes will have a 

significant economic impact on a 

substantial number of small entities and 

either provide a regulatory flexibility 

analysis respecting the significant 

impact or certify that the rule will not 

have such an impact.9 The RFA is 

applicable only to a rule for which the 

Commission publishes a general notice 

of proposed rulemaking pursuant to 5 

U.S.C. 553(b).10

The Commission is not publishing 

this order as a general notice of 

proposed rulemaking. Therefore, neither 

a regulatory flexibility analysis nor a 

certification is required for this 

rulemaking action. Nonetheless, this 

order will impose no new regulatory 

obligations on any party. Rather, it 

simply establishes the limited 

regulatory framework under which the 

Commission will operate during a 

shutdown in order to ensure the 

protection of property. 

D. Cost Benefit Analysis 

Section 15(a) of the CEA 11 requires 

the Commission to consider the costs 

and benefits of its actions before 

promulgating a regulation under the 

CEA. Section 15(a) specifies that the 

costs and benefits shall be considered 

against five broad areas of market and 

public concern: (1) Protection of market 

participants and the public; (2) 

efficiency, competitiveness and 

financial integrity of futures markets; (3) 

price discovery; (4) sound risk 

management practices; and (5) other 

public interest considerations. The 

Commission may give greater weight to 

one or more of the five enumerated 

considerations to determine, in its 

discretion, that a particular rule is 

necessary or appropriate to protect the 

public interest or to effectuate any of the 

provisions or accomplish any of the 

purposes of the CEA. 

This order imposes the cost of delay 

on parties with petitions for approval, 

self-certification filings, rights of review, 

and adjudicative matters before the 

Commission. As the Commission would 

be limited by law during a lapse in 

appropriations to function only with 

respect to the protection of property, 

these costs are unavoidable. 

In terms of benefits, this order 

provides for the limited continuation of 

Commission business. The order also 

confirms the ongoing regulatory 

obligations of registered entities and 

intermediaries notwithstanding a 

shutdown, in order to ensure that the 

Commission has available to it all 

information necessary to identify 

emergency situations and take action to 

protect property and, hence, to protect 

market participants and the public, the 

efficiency and financial integrity of the 

futures markets, and price discovery. 

The order also notifies market 

participants and the public of the 

matters in which the Commission will 

be engaged, as well as of the tolling and 

extensions of time put in place with 

respect to filings under Commission 

regulations. Tolling ensures that the 

Commission will have an opportunity to 

review routine industry filings once a 

lapse in appropriations is resolved and 

take steps if necessary to protect the 

interests of the market and the public 

before those filings are finalized. The 

extensions of time ensure that all 

persons with filing obligations in certain 

adjudicative proceedings that arise 

during a shutdown or who wish to 

submit comments during a comment 

period that will close during a 

shutdown will not be prejudiced by the 

inability of the Commission to accept 

those filings or comments. 

III. Order 

In light of the foregoing, the 

Commission has determined to issue the 

following Order, pursuant to its 

authority under the provisions of the 

Commodity Exchange Act, 7 U.S.C. 1 et 

seq., and in compliance with the AntiDeficiency Act, 31 U.S.C. 1341 and 

1342. 

It is hereby ordered that, in the event 

of a lapse in appropriations (also 

referred to as ‘‘shutdown’’) commencing 

at 12:01 a.m. on October 1, 2013, the 

Commission will commence operating 

according to the procedures set forth in 

this Order, with respect to its 

regulations found in title 17 of the Code 

of Federal Regulations: 

1. Tolling and Extension of Certain 

Procedural Time Limits. The 

Commission shall not process any 

filings, or review any matters for 

Commission approval or action to the 

extent that the matters are not directly 

related to the protection of property for 

the duration of a shutdown. This 

applies to rule, rule amendment and 

contract certifications, except for 

emergency rules certified pursuant to 

regulation 40.6(a)(6) and (7), and 

emergency changes certified pursuant to 

regulation 40.10(h); rules, rule 

amendments and contracts voluntarily 

submitted for Commission approval or 

review; requests for contract market 

designation, and swap execution 

facility, swap data repository, 

derivatives clearing organization, and 

foreign board of trade registration; and 

other requests for Commission approval 

or other action. 

Specifically, except as otherwise 

provided in this order, applications 

under judicially reinstated sections 1.47 

and 1.48, sections 30.10 and 30.13, and 

parts 36, 37, 38, 39, 40 41, 48, and 49 

of the Commission’s regulations 

officially shall not be processed or 

reviewed during a lapse in 

appropriations, and the time limits for 

Commission action shall be tolled until 

the resumption of Commission 

operations at the conclusion of a 

shutdown. Requests and appeals 

submitted under sections 145.7 and 

145.9 of the Commission’s regulations, 

requests submitted under section 

140.99, and filings and payments under 

part 165 additionally shall not be 

processed until the resumption of 

Commission operations. 

The time Commission shall process 

and commence review of any new 

matters under these provisions of the 

Commission’s regulations beginning on 

the first full business day after the 

Commission is able to resume full 

operations at the conclusion of a 

shutdown. For matters that are pending 

under these provisions at the time a 

shutdown may commence, all 

applicable time deadlines for 

Commission action shall be tolled. The 


emcdonald on DSK67QTVN1PROD with NOTICES
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time remaining for Commission action 

will begin to run on the first full 

business day after the Commission is 

able to resume full operations. 

This tolling and extension of time 

limits also shall apply to certain 

procedural regulations associated with 

Commission adjudicatory actions, in 

particular the time-limited procedural 

regulations in parts 3, 9, 10, 12, and 171. 

For matters that are currently pending 

before the Commission under any of 

these parts, all applicable time 

deadlines for Commission action shall 

toll, and the time remaining for 

Commission action shall begin to run on 

the first full business day after the 

Commission is able to resume full 

operations. Moreover, all time deadlines 

for filings by a party in an adjudicative 

proceeding that arise during a shutdown 

shall be extended until one business day 

after the Commission resumes its full 

operations. When a filing in an 

adjudicatory action is delayed by a 

shutdown, the time to reply to any 

delayed filing shall commence on the 

day the delayed filing is effected under 

this order. 

2. Procedures and Time Limits Not 

Extended or Tolled. In order to fulfill its 

obligations to protect property during a 

lapse in appropriations, which includes 

market surveillance and intermediary 

oversight, the Commission shall 

continue to process and review filings 

required of a registered entity or 

intermediary under certain Commission 

regulations, and take any action 

necessary and appropriate to preserve 

property with respect to these filings. 

These filings are contained in sections 

1.10, 1.12, 1.15, 1.16, 1.17, 1.18, 1.65, 

5.6, 5.12, 5.23, 39.19, 40.6(a)(6) and (7), 

and 40.10(h) of the Commission’s 

regulations, and also apply to any 

emergency notification to the 

Commission that may be required by 

any rule of a registered entity that has 

been approved by or self-certified to the 

Commission. In addition, the 

Commission shall continue to process 

and review reports to the extent they are 

required by regulations 3.3(e), 23.502(c), 

and 23.600(c)(2). Filings under parts 15, 

16, 17, 18, 19, 21, and 190 of the 

Commission’s regulations also shall 

continue to be processed and reviewed. 

Review and processing of any notice 

of emergency actions designated or 

registered entities are required to report 

related to situations such as system 

malfunctions, cyber-security incidents, 

and financial emergencies shall 

continue during a shutdown. The 

Commission additionally shall receive 

and process reports related to the 

financial resources of a swap execution 

facility, designated contract market, 

derivatives clearing organization, and 

swap data repository pursuant to 

regulations 37.1306, 38.1101, 39.11, and 

49.25, respectively. 

3. Extension of Open Comment 

Periods on Proposed Regulation and 

Other Matters That May Be Subject to a 

Request for Comment by the 

Commission. Any comment period for a 

proposed rulemaking or other matter 

that may be subject to a request for 

comment by the Commission that 

terminates during a shutdown shall be 

extended until one business day after 

the Commission resumes full operations 

after a shutdown. 

4. Resumption of Commission 

Operations. The Commission shall 

provide notice of the resumption of its 

operations at the conclusion of a 

shutdown on its Web site at 

www.cftc.gov. 

Issued in Washington, DC, on September 

27, 2013 by the Commission. 

Melissa D. Jurgens, 

Secretary of the Commission. 

[FR Doc. 2013–24084 Filed 9–30–13; 8:45 am] 

BILLING CODE 6351–01–P 

DEPARTMENT OF DEFENSE 

Office of the Secretary 

[Docket ID DoD–2013–OS–0200] 

Privacy Act of 1974; System of 

Records 

AGENCY: Office of the Secretary of 

Defense, DoD. 

ACTION: Notice to add a new System of 

Records. 

SUMMARY: The Office of the Secretary of 

Defense proposes to add a new system 

of records in its inventory of record 

systems subject to the Privacy Act of 

1974, as amended. 

DATES: This proposed action will be 

effective on November 1, 2013 unless 

comments are received which result in 

a contrary determination. Comments 

will be accepted on or before October 

31, 2013. 

ADDRESSES: You may submit comments, 

identified by docket number and title, 

by any of the following methods: 

* Federal Rulemaking Portal: http://

www.regulations.gov. Follow the 

instructions for submitting comments. 

* Mail: Federal Docket Management 

System Office, 4800 Mark Center Drive, 

East Tower, 2nd Floor, Suite 02G09, 

Alexandria, VA 22350–3100. 

Instructions: All submissions received 

must include the agency name and 

docket number for this Federal Register 

document. The general policy for 

comments and other submissions from 

members of the public is to make these 

submissions available for public 

viewing on the Internet at http://

www.regulations.gov as they are 

received without change, including any 

personal identifiers or contact 

information. 

FOR FURTHER INFORMATION CONTACT: Ms. 

Cindy Allard, Chief, OSD/JS Privacy 

Office, Freedom of Information 

Directorate, Washington Headquarters 

Service, 1155 Defense Pentagon, 

Washington, DC 20301–1155, or by 

telephone at (571) 372–0461. 

SUPPLEMENTARY INFORMATION: The 

Defense Information Systems Agency 

notices for systems of records subject to 

the Privacy Act of 1974 (5 U.S.C. 552a), 

as amended, have been published in the 

Federal Register and are available from 

the address in FOR FURTHER INFORMATION

CONTACT or from the Defense Privacy 

and Civil Liberties Office Web site at 

http://dpclo.defense.gov/privacy/

SORNs/component/osd/index.html. The 

proposed system report, as required by 

5 U.S.C. 552a(r) of the Privacy Act of 

1974, as amended, was submitted on 

August 22, 2013, to the House 

Committee on Oversight and 

Government Reform, the Senate 

Committee on Governmental Affairs, 

and the Office of Management and 

Budget (OMB) pursuant to paragraph 4c 

of Appendix I to OMB Circular No. A– 

130, ‘‘Federal Agency Responsibilities 

for Maintaining Records About 

Individuals,’’ dated February 8, 1996 

(February 20, 1996, 61 FR 6427). 

Dated: September 25, 2013. 

Aaron Siegel, 

Alternate OSD Federal Register Liaison 

Officer, Department of Defense. 

DPFPA 04 

SYSTEM NAME: 

Shift Management System. 

SYSTEM LOCATION: 

Pentagon Force Protection Agency 

(PFPA), 9000 Defense Pentagon, 

Washington, DC 20301–9000. 

Pentagon Force Protection Agency 

(PFPA), 4800 Mark Center Drive, 

Alexandria, VA 22350. 

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM: 

PFPA Police Officers. 

CATEGORIES OF RECORDS IN THE SYSTEM: 

Employee name, badge number, home 

or mobile phone, home city and state, 

personal email address, work phone and 

email address, official training 

certifications, grade, rank, tenure, 

security clearance, work schedules and 


emcdonald on DSK67QTVN1PROD with NOTICES