Vol. 85 Wednesday, No. 83 April 29, 2020

Pages 23731–23892

OFFICE OF THE FEDERAL REGISTER

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Contents Federal Register Vol. 85, No. 83

Wednesday, April 29, 2020

Agriculture Department Program Year 2020 Workforce Innovation and Opportunity See Animal and Plant Health Inspection Service Act, National Farmworker Jobs Program Grantee Allotments, 23866–23869 Animal and Plant Health Inspection Service NOTICES Energy Department Environmental Assessments; Availability, etc.: See Federal Energy Regulatory Commission Sericothrips staphylinus for Biological Control of Gorse, NOTICES 23754 Meetings: Energy Storage Grand Challenge Initiative; Amendment, Army Department 23814–23815 NOTICES Environmental Assessments; Availability, etc.: Environmental Protection Agency Real Property Master Plans on U.S. Army Installation NOTICES Management Command Garrisons, 23813 Agency Information Collection Activities; Proposals, Submissions, and Approvals: Centers for Disease Control and Prevention Compliance Assurance Monitoring Program, 23822–23823 NOTICES New Source Performance Standards for Sewage Sludge Meetings: Incineration Units (Renewal), 23824–23825 Board of Scientific Counselors, National Center for Injury New Source Performance Standards for VOC Emissions Prevention and Control; Cancellation, 23832 from Petroleum Refinery Wastewater Systems, 23825–23826 Civil Rights Commission Meetings: NOTICES Board of Scientific Counselors Chemical Safety for Meetings: Sustainability and Health and Environmental Risk Massachusetts Advisory Committee, 23755 Assessment Subcommittee, 23823–23824 Missouri Advisory Committee, 23755–23756 Local Government Advisory Committee, 23818 North Carolina Advisory Committee, 23754–23755 Science Advisory Board Reduced-Form Tools Review Panel, 23823 Coast Guard Thirty-Seventh Update of the Federal Agency Hazardous NOTICES Waste Compliance Docket, 23818–23822 Agency Information Collection Activities; Proposals, Submissions, and Approvals, 23838–23839 Federal Aviation Administration NOTICES Commerce Department Waiver of Aeronautical Land Use Assurance: See International Trade Administration Friday Harbor Airport, Friday Harbor, WA, 23884 See National Oceanic and Atmospheric Administration Federal Bureau of Investigation Defense Department NOTICES See Army Department Agency Information Collection Activities; Proposals, NOTICES Submissions, and Approvals: Agency Information Collection Activities; Proposals, The National Instant Criminal Background Check System Submissions, and Approvals: Checks by Criminal Justice Agencies, 23855 Overseas Citizen Population Survey, 23813–23814 Federal Communications Commission Drug Enforcement Administration NOTICES NOTICES Agency Information Collection Activities; Proposals, Decision and Order: Submissions, and Approvals, 23826–23829 Kansky J. Delisma, M.D., 23845–23855 Meetings: Deletion of Items From April 23, 2020 Open Meeting, Employee Benefits Security Administration 23826 NOTICES Agency Information Collection Activities; Proposals, Federal Deposit Insurance Corporation Submissions, and Approvals, 23856–23858 NOTICES Guidance for Resolution Plan Submissions of Certain Employment and Training Administration Foreign-Based Covered Companies, 23831–23832 NOTICES Agency Information Collection Activities; Proposals, Federal Energy Regulatory Commission Submissions, and Approvals: NOTICES Unemployment Insurance State Quality Service Plan Combined Filings, 23816–23818 Planning and Reporting Guidelines., 23865–23866 Environmental Assessments; Availability, etc.: Program Year 2020 Workforce Innovation and Opportunity Oregon State University, 23815 Act Allotments, Wagner-Peyser Act Allotments, and Filing: Workforce Information Grants, 23858–23865 Oncor Electric Delivery Co. LLC, 23815

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Initial Market-Based Rate Filings Including Requests for International Trade Commission Blanket Section 204 Authorizations: NOTICES AES ES Alamitos, LLC, 23817 Investigations; Determinations, Modifications, and Rulings, etc.: Federal Housing Finance Agency Certain Child Resistant Closures With Slider Devices NOTICES Having a User Actuated Insertable Torpedo for Agency Information Collection Activities; Proposals, Selectively Opening the Closures and Slider Devices Submissions, and Approvals: Therefor, 23844–23845 Federal Home Loan Bank Capital Stock, 23829–23831 Certain Digital Video Receivers and Related Hardware and Software Components; Commission Decision Finding a Violation of Section 337; Issuance of a Federal Maritime Commission Limited Exclusion Order and Cease and Desist NOTICES Orders, 23843–23844 Agreements Filed, 23831 Common Alloy Aluminum Sheet From Bahrain, Brazil, Croatia, et al., 23842–23843 Federal Reserve System NOTICES Justice Department Guidance for Resolution Plan Submissions of Certain See Drug Enforcement Administration Foreign-Based Covered Companies, 23831–23832 See Federal Bureau of Investigation NOTICES Fish and Wildlife Service Agency Information Collection Activities; Proposals, NOTICES Submissions, and Approvals: Permit Application: Federal Firearms Licensee Firearms Inventory Theft/Loss Endangered Species; Recovery, 23840–23842 Report—ATF Form 3310.11, 23855–23856

Food and Drug Administration Labor Department NOTICES See Employee Benefits Security Administration Meetings: See Employment and Training Administration Modernizing the Food and Drug Administration’s Data NOTICES Strategy, 23832–23834 Agency Information Collection Activities; Proposals, Submissions, and Approvals: Health and Human Services Department Aerial Lifts Standard, 23869 Crawler, Locomotive, and Truck Cranes Standard, 23869– See Centers for Disease Control and Prevention 23870 See Food and Drug Administration See National Institutes of Health NOTICES National Credit Union Administration Agency Information Collection Activities; Proposals, RULES Submissions, and Approvals, 23835–23837 Central Liquidity Facility, 23731–23736 Findings of Research Misconduct, 23834–23835 National Institutes of Health Homeland Security Department NOTICES See Coast Guard Meetings: National Institute of Biomedical Imaging and Bioengineering, 23837–23838 Housing and Urban Development Department National Institute of Diabetes and Digestive and Kidney NOTICES Diseases, 23837 Funding Awards: National Institute on Aging, 23837 Housing Trust Fund Allocation, 23839–23840 National Oceanic and Atmospheric Administration Interior Department RULES See Fish and Wildlife Service Fisheries of the Exclusive Economic Zone Off Alaska: See Reclamation Bureau Greenland Turbot in the Aleutian Islands Subarea of the Bering Sea and Aleutian Islands Management Area, International Trade Administration 23746–23747 PROPOSED RULES NOTICES Aluminum Import Monitoring and Analysis System, 23748– Permit Application: 23753 Endangered Species; File No. 20314, 23813 NOTICES Solicitation for Applications: Antidumping or Countervailing Duty Investigations, Orders, Advisory Councils Established Pursuant to the National or Reviews: Marine Sanctuaries Act and Executive Order, 23764– Certain Corrosion-Resistant Steel Products From Taiwan, 23766 23758–23759 Takes of Marine Mammals Incidental to Specified Certain Frozen Fish Fillets From the Socialist Republic of Activities: Vietnam, 23756–23758 Alameda Marina Shoreline Improvement Project, 23790– Determination of Sales at Less Than Fair Value: 23813 Certain Glass Containers From the People’s Republic of Crowley Kotzebue Dock Upgrade Project in Kotzebue, China, 23759–23764 AK, 23766–23790

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Nuclear Regulatory Commission Small Business Administration NOTICES NOTICES Agency Information Collection Activities; Proposals, Agency Information Collection Activities; Proposals, Submissions, and Approvals: Submissions, and Approvals, 23880 DOE/NRC Form 741, Nuclear Material Transaction Report; DOE/NRC Form 742, Material Balance Social Security Administration Report; and DOE/NRC Form 742C, Physical NOTICES Inventory Listing, 23870–23872 Privacy Act; System of Records, 23880–23882 Guidance: Plant Security Force Duties, Withdrawal, 23870 State Department NOTICES Office of Investment Security Agency Information Collection Activities; Proposals, RULES Submissions, and Approvals: Filing Fees for Notices of Certain Investments in the United Request to Change End-User, End-Use and/or Destination States by Foreign Persons and Certain Transactions by of Hardware, 23883–23884 Foreign Persons Involving Real Estate in the United Statement of Non-Receipt of a U.S. Passport, 23882– States, 23736–23745 23883 Transportation Department Pipeline and Hazardous Materials Safety Administration See Federal Aviation Administration NOTICES See Pipeline and Hazardous Materials Safety Meetings: Administration Hazardous Materials; International Standards on the Transport of Dangerous Goods, 23884–23885 Treasury Department See Office of Investment Security Postal Service NOTICES RULES Agency Information Collection Activities; Proposals, New Mailing Standards for COVID–19 Related Category B Submissions, and Approvals, 23885–23887 Infectious Substances, 23745–23746 Agency Information Collection Activities; Proposals, Submissions, and Approvals: Presidential Documents Community Development Financial Institutions Program PROCLAMATIONS and New Markets Tax Credit Program Annual Report Special Observances: including Awards Management and Information World Intellectual Property Day (Proc. 10015), 23889– System, 23887 23892 Split-Interest Trust Information Return, 23886

Reclamation Bureau NOTICES Separate Parts In This Issue Environmental Impact Statements; Availability, etc.: Del Puerto Canyon Reservoir Project, Stanislaus County, Part II CA, 23842 Presidential Documents, 23889–23892

Securities and Exchange Commission NOTICES Reader Aids Application: Consult the Reader Aids section at the end of this issue for The Alger ETF Trust, et al., 23878–23879 phone numbers, online resources, finding aids, and notice Meetings: of recently enacted public laws. Small Business Capital Formation Advisory Committee, To subscribe to the Federal Register Table of Contents 23875 electronic mailing list, go to https://public.govdelivery.com/ Meetings; Sunshine Act, 23874–23875 accounts/USGPOOFR/subscriber/new, enter your e-mail Self-Regulatory Organizations; Proposed Rule Changes: address, then follow the instructions to join, leave, or New York Stock Exchange, LLC, 23872–23878 manage your subscription.

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CFR PARTS AFFECTED IN THIS ISSUE

A cumulative list of the parts affected this month can be found in the Reader Aids section at the end of this issue.

3 CFR Proclamations: 10015...... 23891 12 CFR 725...... 23731 19 CFR Proposed Rules: 361...... 23748 31 CFR 800...... 23736 802...... 23736 39 CFR 113...... 23745 50 CFR 679...... 23746

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Rules and Regulations Federal Register Vol. 85, No. 83

Wednesday, April 29, 2020

This section of the FEDERAL REGISTER www.regulations.gov, as submitted, The Board underscores that growing contains regulatory documents having general except for those we cannot post for the Facility’s membership in turn applicability and legal effect, most of which technical reasons. The NCUA will not enhances its ability to borrow are keyed to and codified in the Code of edit or remove any identifying or increasingly greater amounts of funds to Federal Regulations, which is published under contact information from the public provide liquidity to the credit union 50 titles pursuant to 44 U.S.C. 1510. comments submitted. system. By significantly increasing The Code of Federal Regulations is sold by FOR FURTHER INFORMATION CONTACT: access to external funding, the Facility the Superintendent of Documents. Owen Cole, Associate Director of the can better fulfill its central purpose to Office of Examination and Insurance; or improve general financial stability by Justin M. Anderson, Senior Staff meeting the liquidity needs of credit NATIONAL CREDIT UNION Attorney, Office of General Counsel, unions. The Facility is able to borrow ADMINISTRATION 1775 Duke Street, Alexandria, VA from the U.S. Treasury. The Facility’s 22314–3428. Owen Cole can also be 12 CFR Part 725 ability to borrow from the U.S. reached at (703) 518–6621, and Justin Treasury’s Federal Financing Bank was RIN 3133–AF18 Anderson can be reached at (703) 518– an essential element of the NCUA’s and 6556. the credit union system’s ability to work Central Liquidity Facility SUPPLEMENTARY INFORMATION: through the last economic crisis. AGENCY: National Credit Union I. Background The Board notes that several of the Administration (NCUA). changes in this interim final rule are The Facility, a mixed-ownership ACTION: Interim final rule with request conforming changes based on the government corporation within the for comments. recently enacted CARES Act, which NCUA, established in 1979, serves as a temporarily amends the FCU Act. The liquidity source for its member credit SUMMARY: In response to the COVID–19 CARES Act specifically sunsets these unions.1 Its purpose is to improve pandemic, the NCUA Board (Board) is changes to the FCU Act. As such, the general financial stability by meeting issuing this interim final rule to provide changes in this rule that correspond to the liquidity needs of credit unions and credit unions with greater access to the CARES Act will also sunset in thereby encouraging savings, supporting liquidity to help ensure they remain accordance with the CARES Act on consumer and mortgage lending, and operational throughout the crisis. This December 31, 2020. To provide clarity providing basic financial resources to all rule will make it easier and more and transparency, the Board has attractive for credit unions to join the segments of the economy. Section 1795f of the Federal Credit included these temporary changes in NCUA’s Central Liquidity Facility this rule and explains what will occur (Facility). In addition, this rule makes Union Act (the FCU Act), among other things, gives the Board the authority to upon the sunset of the aforementioned several amendments to conform to the amendments. Coronavirus Aid, Relief, and Economic prescribe the manner in which the Security Act (CARES Act). general business of the Facility shall be The specific amendments made by this interim final rule are detailed in the DATES: This rule is effective on April 29, conducted and prescribe rules and 2020, except for the amendment to regulations to carry out the Facility- next section. related provisions of the FCU Act.2 § 725.6 in amendatory instruction 5, II. Amendments which is effective April 29, 2020 until Under this authority, the Board is January 1, 2022. Comments must be issuing this interim final rule to The following is a section-by-section received on or before June 29, 2020. enhance liquidity for credit unions analysis of the changes in this interim during the COVID–19 pandemic and to ADDRESSES: You may submit written final rule. make regulatory changes that cohere to comments, identified by RIN 3133– 3 Part 725 AF15, by any of the following methods the CARES Act. The Board emphasizes that while (Please send comments by one method A. Definitions some of the amendments in this rule are only): • Federal eRulemaking Portal: http:// temporary, they will afford significant In accordance with the CARES Act, www.regulations.gov. Follow the liquidity support to the entire credit the Board is amending the definition of instructions for submitting comments. union system. However, action is ‘‘Liquidity needs’’ to remove the words • Fax: (703) 518–6319. Include needed on the part of credit unions that ‘‘primarily serving natural persons.’’ ‘‘[Your Name]—Comments on Interim are not already members of the Facility This change is intended to mirror the Final Rule: CLF’’ in the transmittal. in order for this liquidity solution to statutory change in the CARES Act, and • Mail: Address to Gerard Poliquin, reach its greatest potential. The Board clarifies that liquidity needs are not Secretary of the Board, National Credit urges all natural person and corporate limited to only natural person credit Union Administration, 1775 Duke credit unions that do not already belong unions, but may also include those of Street, Alexandria, Virginia 22314– to the Facility to join. corporate credit unions or a corporate 3428. credit union group. This will allow • Hand Delivery/Courier: Same as 1 Public Law 95–630, 92 Stat 3641 (Nov.10, 1978), corporate credit unions to obtain loans mail address. codified at 12 U.S.C. 1795, et seq. for their own liquidity needs. The Board 2 12 U.S.C. 1795f. Public inspection: You may view all 3 Coronavirus Aid, Relief, and Economic Security notes that this amendment will sunset public comments on the Federal Act, Public Law 116–136, 134 Stat 281 (March 27, in accordance with the CARES Act on eRulemaking Portal at http:// 2020). December 31, 2020.

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B. Regular Membership Requirements while not causing undue disruption to The Board believes the inclusion of The Board is eliminating the six- the operations of a corporate credit this provision appropriately accounts month waiting period on obtaining union or corporate credit union group for the temporary nature of this Facility advances for a credit union that that joined the Facility under the provision, while assuring agents that becomes a regular member. Currently CARES Act amendments. The Board, loan agreements made during this § 725.3 provides that, with limited however, invites comments on the one- period will not also be subject to a exception, any credit union that year time frame to complete the sunset provision or be terminated before becomes a regular member of the aforementioned actions. The Board maturity. The Board believes this strikes Facility may not receive Facility requests specific comment on the appropriate balance between advances, without approval of the determining if this timeframe should be Congressional intent and the tenets of NCUA Board, for a period of six months shorter or longer. contract law. In addition to the aforementioned after becoming a member. D. Agent Member Borrowing The Board believes it is important to changes, the Board is also making To effectuate the intent of the CARES remove this restriction in light of the cohering changes to §§ 725.18(a) and Act in a safe and sound manner, the overarching need to make such liquidity 725.19(b) to clarify the requirements Board is including a clarifying assistance timely. The advantages of applicable to a Facility advance to an amendment to § 725.4. Such accelerating liquidity-need loans to new agent for such agent’s own needs. The amendment clarifies that an agent members outweigh the practical reasons Board notes that such changes apply to member may borrow from the Facility that having the waiting period affords to these agent loans the same for its own liquidity needs, but, to do so, the Facility’s operations. creditworthiness and collateral such agent must first subscribe to the requirements that currently apply to C. Agent Membership capital stock of the Facility in an Facility advances to regular members. In accordance with the CARES Act, amount equal to one-half of 1 percent of The Board believes these changes are the Board is amending the nature of the the Agent’s own paid-in and necessary because a Facility advance to 4 requirement for a corporate credit union unimpaired capital and surplus. The an agent for its own needs will be or group of corporate credit unions to Board believes this requirement will similar to a facility advance to a regular subscribe to the capital stock of the ensure that Facility advances for an member, and, therefore, should be Facility in an amount equal to one-half agent’s own needs are consistent with subject to the same terms and of 1 percent of the paid-in an the design and intent of how the Facility conditions. grants extensions of credit to its natural unimpaired capital and surplus of all of E. Termination of Membership the corporate credit union’s or corporate person credit union members. The The Board is amending the waiting credit union group’s natural person Board notes that agents have total periods for a credit union to terminate credit union members. This change, discretion as to whether to subscribe to its membership in the Facility between which mirrors the statutory change in the capital stock and borrow for their April 29, 2020 and January 1, 2022. the CARES Act, allows the Board, in its own needs. This is a business decision Under the FCU Act and current § 725.6 sole discretion, to determine which for an agent to make and not doing so of the NCUA’s regulations, a credit grouping of natural person member will not affect it’s standing with the union member may terminate its credit unions of the applying corporate Facility or impact its ordinary duties membership after a specified amount of credit union or corporate credit union and responsibilities in fulfilling the time based on that credit union’s stock group are considered covered by the needs of its agent group. The Board subscription in the Facility. Currently, a Agent’s membership in the Facility. In believes expanding the liquidity member of the Facility may terminate its turn, this approved group is the basis for resources of corporate credit unions, even for a temporary period, is an added membership: calculating the amount of Facility 1. Six months after notifying the capital stock the corporate credit union measure of liquidity strength for the system as a whole. NCUA Board in writing of its intention or corporate credit union group is to do so, if the member’s stock required to purchase. This will provide In addition, the Board is amending § 725.17(b)(2) to clarify that an agent subscription constitutes less than 5 a corporate credit union with the percent of total subscribed Facility flexibility to subscribe to the capital may apply for a Facility advance based on its own liquidity needs. stock; or stock of the Facility up to the maximum 2. Twenty-four months after notifying extent it can afford to do so. Finally, the Board notes that the foregoing amendments will sunset in the NCUA Board in writing of its The Board notes that this amendment intention to do so, if the member’s stock will sunset in accordance with the accordance with requirements of the CARES Act on December 31, 2020. As subscription constitutes 5 percent or CARES Act on December 31, 2020. more of total subscribed Facility stock.5 Upon the sunset of this amendment, any such, the Board is including language to clarify the ramifications of the sunset of The Board is amending this section of corporate credit union or corporate part 725 to temporarily permit a credit credit union group that became an agent this provision. Specifically, this interim final rule provides that upon sunset of union, regardless of its percentage member under this provision must, amount of stock subscription, to within one-year from the sunset date, this provision, an agent must: (1) Not request any additional Facility withdraw from membership in the either: Facility after notifying the NCUA Board 1. Purchase Facility stock in advances for its own liquidity needs; and in writing on the sooner of: accordance with the terms of the (A) Six months from the date of its (2) continue to follow the terms of the regulation as written post sunset of the written notice to the NCUA Board; or CARES Act amendments; or Facility advance agreement entered into (B) December 31, 2020. 2. terminate its membership in the between the agent and the Facility. Further, any credit union, that facility. remains a member after December 31, 4 A credit union is required to pay into the The Board believes that these two Facility one-half of the amount required by the 2020, may, under this rule, withdraw options take into account the temporary regulations and to hold the other one-half in liquid nature of the CARES Act amendments, assets on its balance sheet. 5 12 CFR 725.6.

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from membership immediately upon G. CARES Act Changes Not Included in additional flexibility provided by notifying the Board in writing of its This Interim Final Rule Congress. intent to do so. The Board notes that The Board notes that the CARES Act III. Regulatory Procedures such immediate withdrawal period will includes two additional amendments to expire on December 31, 2021. After the FCU Act that are not reflected in this A. Administrative Procedure Act December 31, 2021, the termination rule. Specifically, those changes are as The Board is issuing this interim final requirements of current paragraphs (a) follows. rule without prior notice and the and (b) of this section shall be reinstated It considerably increases the Facility’s opportunity for public comment and the and apply to all members. The Board borrowing capacity. The FCU Act delayed effective date ordinarily believes that this flexibility is necessary normally provides the Facility with the prescribed by the Administrative to encourage the greatest number of authority to borrow, provided that these Procedure Act (APA). Pursuant to eligible credit unions to join the obligations do not exceed twelve times section 553(b)(B) of the APA, general Facility. the subscribed capital stock and surplus notice and the opportunity for public The Board notes that having waiting of the Facility (that is, the sum of its comment are not required with respect 6 periods for stock redemptions is a retained earnings and capital stock). to a rulemaking when an ‘‘agency for provision that is designed to prevent The CARES Act temporarily increases good cause finds (and incorporates the unpredictable disruptions in the balance the multiplier from ‘‘twelve times’’ to finding and a brief statement of reasons sheet and operations of the Facility. ‘‘sixteen times.’’ This means that for therefor in the rules issued) that notice Ordinarily, such waiting periods every $1 of capital and surplus, the and public procedure thereon are provide flexibility to the Facility to Facility may now borrow $16. As credit impracticable, unnecessary, or contrary manage transitions of membership in a unions that join the Facility only have to the public interest.’’ to pay in one-half of the capital stock way that makes its balance sheet and The Board believes that the public subscription amount, this means that for pro forma financial information more interest is best served by implementing every new dollar paid in of the capital stable and predictable. These are the interim final rule immediately upon stock subscription amount, the Facility important factors for any financial entity publication in the Federal Register. As can now borrow $32.7 As there is to have so that it can plan its needs and discussed above, the Board notes that currently no corresponding provision in the COVID–19 crisis is unprecedented. capacity with adequate reliability for its the NCUA’s regulations, the Board is not stakeholders. The Board is providing the It is a rapidly changing and difficult to including any related regulatory change anticipate how the disruptions caused above redemption flexibilities only in this interim final rule. during the current COVID–19 pandemic. by the crisis will manifest themselves Further, the legislation provides more within the financial system and how Given the anticipated temporary nature clarity about the purposes for which the of this pandemic and the need for individual credit unions may be NCUA Board can approve liquidity- impacted. Because of the widespread increased liquidity during this event, need requests by removing the phrase impact of a pandemic and the speed the Board is comfortable that expediting ‘‘the Board shall not approve an with which disruptions have membership termination is both application for credit the intent of transmitted throughout the United manageable and necessary. which is to expand credit union States, the Board believes it is has good portfolios.’’ 8 The NCUA Board now has F. Collateral Requirements cause to determine that ordinary notice more flexibility and discretion to and public procedure are impracticable approve applications for Facility The Board is reducing the amount of and that moving expeditiously in the members that have made a reasonable collateral required for certain assets form of an interim final rule is in the effort to first utilize primary sources of used to secure each Facility advance best of interests of the public and the funding. This change increases the and each agent loan. Currently, this federally insured credit unions that section of the NCUA’s regulations transparency and efficiency of the loan- approval process by removing doubt serve that public. requires that each Facility advance and The Board views this crisis as one about whether a credit union’s portfolio each agent loan be secured by a first which has the potential to disrupt is allowed to expand if it borrows from priority security interest in collateral of liquidity within the system. Liquidity the credit union with a net book value the Facility to meet liquidity needs. The Board notes that part 725 does not use needs are of a nature that if not at least equal to 110% of all amounts addressed swiftly and decisively, can due under the applicable Facility the ‘‘expand credit union portfolios’’ language. Further, the Board believes translate into rapid financial distress for advance or agent loan, or by guarantee individual institutions or even the of the NCUSIF. For the reasons the current construction of part 725 is flexible enough to encompass this broader system. These actions are described below, the Board is replacing proactive steps that are designed to the 110% requirement with a change in the CARES Act without a corresponding regulatory change. alleviate potential liquidity strains and requirement that a credit union However, the Board is including this are undertaken with expedience to collateralize a Facility advance or Agent discussion to alert the public of this ensure the maximum intended effects loan in accordance with the Facility are in place at the earliest opportunity. collateral table posted on the NCUA’s 6 See. 12 U.S.C. 1795f(a)(4)(A). In addition, the Board notes that the website, www.NCUA.gov. The collateral 7 Credit unions have to subscribe to the Facility provisions in this rule are temporary in table varies the required collateral capital stock in the amount of one half of one nature, and designed specifically to help percentages based upon different types percent of the credit union’s six month average of credit unions affected by the COVID–19 paid-in and unimpaired capital and surplus (that is, of assets, and in some cases requires less the total of shares/deposits and undivided pandemic. For these reasons, the Board than 110%. Depending on the types of earnings). Credit unions only have to remit to the finds that there is good cause consistent assets a member has available to secure Facility one-half of the subscription amount—that with the public interest to issue the rule an advance request, this may ease the is one-quarter of one-percent of paid-in and without advance notice and comment. unimpaired capital and surplus. The other half may collateral requirements somewhat and be held by the credit union on call of the NCUA The APA also requires a 30-day permit a greater amount of borrowing Board. delayed effective date, except for (1) overall. 8 See. 12 U.S.C. 1795e(a)(1). substantive rules which grant or

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recognize an exemption or relieve a C. Paperwork Reduction Act (b) the accuracy of the agency’s estimate restriction; (2) interpretative rules and The Paperwork Reduction Act of 1995 of the burden of the proposed collection statements of policy; or (3) as otherwise (PRA) applies to rulemakings in which of information, including the validity of provided by the agency for good cause. an agency by rule creates a new the methodology and assumptions used; Because the rules relieve a restriction, paperwork burden on regulated entities (c) ways to enhance the quality, utility the interim final rule is exempt from the or modifies an existing burden (44 and clarity of the information to be APA’s delayed effective date U.S.C. 3507(d)). For purposes of the collected; and (d) ways to minimize the requirement. PRA, a paperwork burden may take the burden of the collection of information While the Board believes that there is form of a reporting, recordkeeping, or a on those who are to respond, including good cause to issue the rule without third-party disclosure requirement, through the use of appropriate advance notice and comment and with automated, electronic, mechanical, or an immediate effective date, the Board referred to as an information collection. The NCUA is amending part 725 to other technological collection is interested in the views of the public eliminate the six-month waiting period techniques or other forms of information and requests comment on all aspects of technology; and (e) estimates of capital the interim final rule. on Facility advances for a credit union that becomes a new regular member. By or start-up costs and cost of operation, B. Congressional Review Act removing this restriction, the NCUA can maintenance, and purchase of services provide needed liquidity assistance in to provide information. For purposes of the Congressional All comments are a matter of public an expedited manner. The NCUA is also Review Act, the OMB makes a records. Comments regarding the modifying the waiting period for a determination as to whether a final rule information collection requirements of credit union to terminate its constitutes a ‘‘major’’ rule. If a rule is this rule should be sent to Dawn membership in the Facility with the deemed a ‘‘major rule’’ by the Office of Wolfgang, National Credit Union intent of providing added flexibility to Management and Budget (OMB), the Administration, 1775 Duke Street, Suite encourage the greatest number of Congressional Review Act generally 6018, Alexandria, Virginia 22314; Fax eligible credit unions to join the Facility provides that the rule may not take No. 703–519–8579; or Email at immediately to help the Agency and the effect until at least 60 days following its [email protected]. Given the system at large leverage these temporary publication. limited in-house staff because of the measures and secure an adequate The Congressional Review Act defines COVID–19 pandemic, email comments a ‘‘major rule’’ as any rule that the amount of external liquidity resources. are preferred. Administrator of the Office of By significantly increasing access to Information and Regulatory Affairs of external funding, the Facility can better D. Executive Order 13132 the OMB finds has resulted in or is fulfill its central purpose to improve Executive Order 13132 encourages likely to result in (A) an annual effect general financial stability by meeting independent regulatory agencies to on the economy of $100,000,000 or the liquidity needs of credit unions. consider the impact of their actions on more; (B) a major increase in costs or The information collection state and local interests. The NCUA, an prices for consumers, individual requirements of part 725 are currently independent regulatory agency as industries, Federal, State, or local covered by OMB control number 3133– defined in 44 U.S.C. 3502(5), voluntarily government agencies or geographic 0061. These temporary amendments are complies with the executive order to regions, or (C) significant adverse effects estimated to increase the number of adhere to fundamental federalism on competition, employment, respondents from its current estimate of principles. investment, productivity, innovation, or 5 annually to 269 during this period; This interim final rule does not have on the ability of United States-based with a total information collection substantial direct effects on the states, enterprises to compete with foreign- burden of 691 hours. on the relationship between the national based enterprises in domestic and NCUA has obtained emergency government and the states, or on the export markets. approval from the Office of Management distribution of power and For the same reasons set forth above, and Budget for a 6-month period. responsibilities among the various the Board is adopting the interim final During this time the Agency will accept levels of government. The NCUA has rule without the delayed effective date public comments on the information therefore determined that this rule does generally prescribed under the collection requirements and take not constitute a policy that has Congressional Review Act. The delayed appropriate action in the final request federalism implications for purposes of effective date required by the for PRA approval. the executive order. Congressional Review Act does not OMB Control Number: 3133–0061. apply to any rule for which an agency Title of information collection: E. Assessment of Federal Regulations for good cause finds (and incorporates Central Liquidity Facility, 12 CFR part and Policies on Families the finding and a brief statement of 725. The NCUA has determined that this reasons therefor in the rule issued) that Estimated number of respondents: rule will not affect family well-being notice and public procedure thereon are 269. within the meaning of section 654 of the impracticable, unnecessary, or contrary Estimated number of responses per Treasury and General Government to the public interest. In light of current respondent: 4.26. Appropriations Act, 1999, Public Law market uncertainty, the Board believes Estimated total annual responses: 105–277, 112 Stat. 2681 (1998). that delaying the effective date of the 1,146. rule would be contrary to the public Estimated burden per response: 0.60. F. Regulatory Flexibility Act (RFA) interest for the same reasons discussed Estimated total annual burden: 691. The Regulatory Flexibility Act (RFA) above. The NCUA invites comments on: (a) generally requires that when an agency As required by the Congressional Whether the proposed collection of issues a proposed rule or a final rule Review Act, the Board will submit the information is necessary for the proper pursuant to section 553(b) of the APA or final rule and other appropriate reports performance of the functions of the another law, the agency must prepare a to Congress and the Government agency, including whether the regulatory flexibility analysis that meets Accountability Office for review. information will have practical utility; the requirements of the RFA and

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publish such analysis in the Federal ■ 4. In § 725.4, revise paragraph (a)(2) to unimpaired capital and surplus. Upon Register. 5 U.S.C. 603, 604. Specifically, read as follows: approval of the application, the Agent the RFA normally requires agencies to shall forward funds equal to one-half of describe the impact of a rulemaking on § 725.4 Agent membership. this stock subscription to the Facility. small entities by providing a regulatory (a) * * * This amount shall be in addition to the impact analysis. Such analysis must (2) Subscribing to the capital stock of amounts required by paragraph (a)(2)(i) address the consideration of regulatory the Facility in an amount equal to: or (ii) of this section, if a corporate (i) One-half of 1 percent of the paid- options that would lessen the economic credit union or corporate credit union in and unimpaired capital and surplus effect of the rule on small entities. The group joined the facility as an Agent and (as determined in accordance with RFA defines a ‘‘small entity’’ as (1) a intends to borrow for its own liquidity § 725.5(b) of this part) of all the proprietary firm meeting the size needs. Any corporate credit union or corporate credit union’s or corporate standards of the Small Business corporate credit union group that credit union group’s member natural Administration (SBA); (2) a nonprofit received a Facility advance for its own person credit unions, except those organization that is not dominant in its liquidity need under the temporary which are Regular members of the field; or (3) a small government requirements set forth in this paragraph Facility or which have access to the jurisdiction with a population of less must, as of January 1, 2021 and Facility through, and are included in the than 50,000. 5 U.S.C. 601(3)–(6). Except thereafter: stock subscription of, another Agent (a for such small government jurisdictions, (A) Not request any additional natural person credit union which is a neither State nor local governments are Facility advances for its own liquidity member of more than one Agent ‘‘small entities.’’ Similarly, for purposes needs; and member of the Facility must designate of the RFA, individual persons are not (B) Continue to follow the terms of the through which Agent it will deal with small entities. Facility advance agreement entered into the Facility, and the designated Agent Rules that are exempt from notice and between the Agent and the Facility. will be responsible for including the comment are also exempt from the RFA capital and surplus of such credit union * * * * * requirements, including conducting a in the calculation of its stock ■ 5. In § 725.6, effective April 29, 2020 regulatory flexibility analysis, when subscription). Upon approval of the until January 1, 2022, paragraphs (a) and among other things the agency for good application, the Agent shall forward (b) are stayed and paragraph (e) is cause finds that notice and public funds equal to one-half of this initial added. procedure are impracticable, stock subscription to the Facility; The addition reads as follows: unnecessary, or contrary to the public 9 (ii) From April 29, 2020 until interest. Accordingly, the NCUA is not December 31, 2020, one-half of 1 § 725.6 Termination of membership. required to conduct a regulatory percent of the paid-in and unimpaired * * * * * flexibility analysis for the reasons stated capital and surplus (as determined in (e) The following requirements apply above relating to the good cause accordance with § 725.5(b) of this part) to a credit union’s termination of exemption. of such credit union members of the membership in the Facility: List of Subjects in 12 CFR Part 725 corporate credit union or corporate (1) A member, regardless of its credit union group as the Board may amount of stock subscription, may Credit unions, Reporting and determine in its sole discretion, except withdraw from membership in the recordkeeping requirements. those which are Regular members of the Facility after notifying the NCUA Board By the NCUA Board on April 13, 2020. Facility or which have access to the in writing on the sooner of: Gerard Poliquin, Facility through, and are included in the (i) Six months from the date of its Secretary of the Board. stock subscription of, another Agent (a written notice to the NCUA Board; or (ii) December 31, 2020. For the reasons discussed above, the natural person credit union which is a (2) Any credit union that does not NCUA Board is amending 12 CFR part member of more than one Agent elect to withdraw from membership in 725 as follows: member of the Facility must designate through which Agent it will deal with the Facility during the time periods PART 725—NATIONAL CREDIT UNION the Facility, and the designated Agent prescribed in paragraph (e)(1) of this ADMINISTRATION CENTRAL will be responsible for including the section, may immediately withdraw LIQUIDITY FACILITY capital and surplus of such credit union from membership in the Facility after in the calculation of its stock notifying the NCUA Board in writing of ■ 1. The authority citation for part 725 subscription). Upon approval of the its intention to do so from January 1, continues to read as follows: application, the Agent shall forward 2021, to January 1, 2022. As of January Authority: 12 U.S.C. 1795f(a)(2). funds equal to one-half of this initial 1, 2022, the requirements of paragraphs stock subscription to the Facility. A (a) and (b) of this section, as in effect on ■ 2. In § 725.2, revise paragraph (i) corporate credit union or corporate March 1, 2020, shall apply. introductory text to read as follows: credit union group that became an (3) The Facility will process requests § 725.2 Definitions. Agent member of the Facility under this under this paragraph (e) upon demand paragraph shall, after December 31, and deliver funds as soon as practicable, * * * * * 2020, but before January 1, 2022, either: allowing for the time necessary for (i) Liquidity needs means the needs of (A) Purchase Facility stock in settlement and transfer of funds in these credit unions for: accordance with the terms of paragraph transactions. * * * * * (a)(2)(i) of this section or ■ 6. In § 725.17, revise paragraph (b)(2) § 725.3 [Amended] (B) Terminate its membership in the to read as follows: facility. ■ 3. In § 725.3, remove and reserve (iii) From April 29, 2020 until § 725.17 Applications for extensions of paragraph (b). December 31, 2020, if borrowing for its credit. own liquidity needs, one-half of 1 * * * * * 9 5 U.S.C. 553(a). percent of the Agent’s own paid-in and (b) * * *

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(2) The Agent’s application shall be DEPARTMENT OF THE TREASURY Involving Real Estate in the United based on the following: States’’ in all correspondence. In Office of Investment Security (i) Approved applications to the general, the Treasury Department will Agent by its member natural person post all comments to https:// 31 CFR Parts 800 and 802 credit unions for pending loans to meet www.regulations.gov without change, including any business or personal liquidity needs; or RIN 1505–AC65 information provided, such as names, (ii) Outstanding loans previously Filing Fees for Notices of Certain addresses, email addresses, or telephone made by the Agent to meet liquidity Investments in the United States by numbers. All comments received, needs of its member natural person Foreign Persons and Certain including attachments and other credit unions; or Transactions by Foreign Persons supporting material, will be part of the (iii) Such other demonstrable Involving Real Estate in the United public record and subject to public liquidity needs as the NCUA Board may States disclosure. You should only submit specify; or information that you wish to make AGENCY: Office of Investment Security, publicly available. (iv) The applicant Agent’s own Department of the Treasury. liquidity needs. FOR FURTHER INFORMATION CONTACT: For ACTION: Interim rule with request for questions about this rule, contact: Laura ■ 7. In § 725.18, revise paragraphs (a) comments. Black, Director of Investment Security and (d) to read as follows: Policy and International Relations; SUMMARY: The interim rule establishes a Meena R. Sharma, Deputy Director of § 725.18 Creditworthiness. fee for parties filing a formal written Investment Security Policy and notice of a transaction for review by the (a) Prior to Facility approval of each International Relations; David Shogren, Committee on Foreign Investment in the application of a Regular member for a Senior Policy Advisor; or James Harris, United States (CFIUS). In establishing a Senior Policy Advisor, at U.S. Facility advance or an Agent member fee for such notices, this rule for a Facility advance for such Agent Department of the Treasury, 1500 implements section 1723 of the Foreign Pennsylvania Avenue NW, Washington, member’s own need, the Facility shall Investment Risk Review Modernization consider the creditworthiness of such DC 20220; telephone: (202) 622–3425; Act of 2018, which amends section 721 email: [email protected]. member. of the Defense Production Act of 1950 SUPPLEMENTARY INFORMATION: * * * * * to allow CFIUS to collect fees. This (d) A credit union (whether a Regular interim rule includes a request for I. Background member of the Facility, Agent member, additional public comment. On March 9, 2020, the Department of or a member natural person credit DATES: the Treasury (Treasury Department) union) which does not meet the Effective date: The interim rule is published a notice of proposed Facility’s creditworthiness standards effective on May 1, 2020. rulemaking amending 31 CFR part 800 may be limited in or denied the use of Comment date: The Department of the (Part 800) and 31 CFR part 802 (Part advances for its liquidity needs. Treasury (Treasury Department) is 802) to establish filing fees. 85 FR 13586 seeking written comments from the (March 9, 2020). (The Office of the ■ 8. In § 725.19, revise paragraphs (a) public on the interim rule, which must Federal Register made the proposed rule and (b) to read as follows: be received by June 1, 2020. available for public inspection on March § 725.19 Collateral requirements. ADDRESSES: Written comments on the 4, 2020.) The proposed rule proposed interim rule may be submitted through establishing a filing fee for ‘‘covered (a) Each Facility advance and each one of two methods: transactions’’ under Part 800 and Agent loan shall be secured by a first • Electronic Submission: Comments ‘‘covered real estate transactions’’ under priority security interest in collateral of may be submitted electronically through Part 802 that are filed with the the credit union with a net book value the Federal government eRulemaking Committee on Foreign Investment in the at least equal to an amount as required portal at https://www.regulations.gov. United States (CFIUS or the Committee) by the Facility’s collateral table, Electronic submission of comments as formal written notices. The proposed published at www.NCUA.gov, or by allows the commenter maximum time to rule created a new subpart K on filing guarantee of the National Credit Union prepare and submit a comment, ensures fees in each of Part 800 and Part 802, Share Insurance Fund. timely receipt, and enables the Treasury and made a limited number of revisions (b) The Facility may accept as Department to make the comments to other related sections of those available to the public. regulations. Public comments on the collateral for each Facility advance to a • Regular member or to an Agent member, Mail: Send to U.S. Department of proposed rule were due by April 3, 2020 the Treasury, Attention: Laura Black, for such Agent member’s own needs, a and are discussed below. This interim Director of Investment Security Policy rule establishes the filing fees for Part security interest in all assets of the and International Relations, 1500 800 and Part 802—effective May 1, member; provided however, that the Pennsylvania Avenue NW, Washington, 2020—and also allows the public an value of any assets in which any third DC 20220. additional opportunity to comment on party has a perfected security interest We encourage comments to be the rule. that is superior to the security interest submitted via https:// In establishing a fee for formal written of the Facility shall be excluded for www.regulations.gov. Please submit notices, this rule implements section purposes of complying with the comments only and include your name 1723 of the Foreign Investment Risk requirements of paragraph (a) of this and company name (if any), and cite Review Modernization Act of 2018 section. ‘‘Filing Fees for Notices of Certain (FIRRMA), which amends section 721 of * * * * * Investments in the United States by the Defense Production Act of 1950 [FR Doc. 2020–08101 Filed 4–28–20; 8:45 am] Foreign Persons and Certain (DPA) to allow CFIUS to collect fees. BILLING CODE 7535–01–P Transactions by Foreign Persons FIRRMA authorizes the collection of

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fees with respect to covered transactions interim rule was the most appropriate public will have until June 1, 2020 to and covered real estate transactions for for reasons including proportionality, provide additional comments. The which a formal written notice is filed administration, clarity, and impact on Treasury Department will, however, with the Committee—as opposed to, for parties’ decision whether to file a begin to collect fees on May 1, 2020 to example, transactions submitted notice. Overall, this filing fee structure ensure that revenue collected in fiscal through a declaration. FIRRMA directs allows the Committee to appropriately year 2020 is as closely aligned as that the fee be based on the value of the generate funding—consistent with possible to the estimates made in the transaction, taking various factors into Congressional intent—in order to Consolidated Appropriations Act, 2020. account. It also provides that such fees support the work of the Committee, but These fees will partially offset the may not exceed an amount equal to the at the same time, the proportional cost ongoing expenses of the Committee, lesser of one percent of the value of the in terms of transaction value is including workforce expansion and transaction, or $300,000, adjusted maintained at a low level. This is resource expenditure to support the full annually for inflation. discussed further below. implementation of FIRRMA. Through FIRRMA, Congress One commenter noted that the The section-by-section analysis below authorized CFIUS to collect fees for proposed rule would not establish filing includes responses to other comments transactions filed by parties through fees for declarations, but that parties and notes edits that were made to the written notices in order to offset the could submit a declaration on a rule for consistency and clarity. expenses of the Committee associated transaction for which CFIUS III. Summary of Comments and with conducting activities under section subsequently requests a written notice. Changes from the Proposed Rule 721 of the DPA. Given the growing The commenter noted that this structure volume of work and resources devoted could create a financial incentive for a. Sections 800.1101/802.1101— to CFIUS, the Treasury Department CFIUS not to complete all action Amount of Fee determined that implementing filing through the declaration process. The Consistent with the proposed rule, fees is appropriate at this time. As Treasury Department disagrees with this §§ 800.1101 and 802.1101 set forth the discussed in further detail below, the assertion. First, the approach in the fee amount based on the value of the Treasury Department does not expect proposed rule and this interim rule is transaction. the filing fees to impact levels of foreign consistent with what Congress Commenters suggested that the investment into the United States or authorized under FIRRMA—that is, the Treasury Department impose no fee, or decisions to file transactions with Committee may impose a filing fee for set the fees lower than those in the CFIUS more generally. The United notices, but not for declarations. proposed rule. The commenters noted States remains committed to its open Second, it is in the Committee’s that filing fees could discourage foreign investment policy, and the funding interest—both financially and investment in the United States, and provided through the filing fees will administratively—to complete all action that money used for filing fees would support CFIUS in fulfilling its mission with respect to appropriate transactions detract from money that would of protecting national security while through the declaration process. The otherwise go into U.S. business continuing to welcome foreign personnel and resource costs to the expansion. No specific data or examples investment. Committee of reviewing a notice are not were provided in support of these insignificant and may often exceed the comments. II. Overview of Comments on the fee for filing a notice. Thus, there is no The interim rule does not make any Proposed Rule real financial incentive for CFIUS not to changes to the fee structure or amounts. During the public comment period, complete all action with respect to a As explained in the preamble to the the Treasury Department received transaction through the declaration proposed rule, because the fees written submissions on the proposed process. Third, CFIUS is further bound represent only a small amount (0.15 rule. All comments received by the end by the requirement in FIRRMA that the percent or less) of the overall value of of the comment period are available on total amount of fees collected may not a given transaction, the Treasury the public rulemaking docket at https:// exceed the costs of administering Department does not believe that the www.regulations.gov. section 721. Finally, as noted above, imposition of fees will impact the flow The Treasury Department considered foreign investment is vital to the U.S. of foreign investment into the United each comment submitted on the economy. CFIUS is committed to States. In fact, the Treasury Department proposed rule. Some of the comments completing all action with respect to expects that parties may routinely were more general in nature, such as benign transactions as quickly as expend more on legal and accounting discussing the impact of the rule on possible and maintaining an open fees in connection with a transaction. foreign investment in the United States. investment environment. The incentives Additionally, the benefit of filing a The Treasury Department recognizes the weigh in favor of CFIUS completing all notice and paying the fee is the ‘‘safe vital importance of foreign investment action with respect to transactions in a harbor’’ that may be obtained upon the to the U.S. economy. The Treasury timely manner, as appropriate in light of conclusion of CFIUS review. This is of Department drafted the proposed rule, national security considerations. considerable value to transaction and made revisions in issuing this In addition to the comments on the parties. Furthermore, transaction parties interim rule, taking into consideration substance of the rule, one commenter can take advantage of the declaration various factors including the effect on requested an extension of the public process, which does not require a fee. foreign investment, effect on small comment period for the proposed rule One commenter requested that the business concerns, and expenses of the in light of the challenges posed by the Treasury Department create an Committee associated with conducting novel coronavirus pandemic. The exemption for ‘‘low-risk’’ foreign activities under section 721 of the DPA. Treasury Department recognizes the investors from specific ally and partner As discussed in the preamble to the challenges posed by the coronavirus countries of the United States. The proposed rule, the Treasury Department pandemic during the public comment commenter suggested either relieving considered different approaches to the period for the proposed rule. Therefore, the relevant filers of the obligation to fee structure and decided that the as discussed further below, this rule is pay a fee or creating a separate fee structure in the proposed rule and this being issued as an interim rule and the structure with lower fees for these

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foreign investors. The commenter c. Sections 800.1103/802.1103— One commenter requested that the asserted that, with respect to low threat Valuation rule take into account the unique investors, the administrative burden on The proposed rule described how to characteristics of biotechnology CFIUS resources is relatively low and determine the value of a transaction for companies, arguing that revenue (rather that investments by these investors purposes of the fee at §§ 800.1103 and than valuation) is the true indicator of would not require CFIUS to spend a 802.1103. company size, or in the alternative, considerable amount of time and money One commenter requested there should be a separate fee schedule reviewing such transactions. clarification whether ‘‘other ownership for low or pre-revenue companies. The interim rule does not make any interests’’ and ‘‘in-kind consideration’’ The interim rule does not make any changes in response to this comment. include intangible assets, such as changes in response to this comment. CFIUS reviews every transaction based intellectual property rights. In most First, FIRRMA directs that the fee be on the particular facts and cases, the value of a transaction will be based on the value of the transaction circumstances of the transaction. Every the total value of all consideration that taking various factors into account, transaction filed with the Committee as has been or will be paid in the context including the effect on small business a notice requires specific analysis, due of the transaction by or on behalf of the concerns. Basing the fee on the diligence, and work product, regardless foreign person that is a party to the transaction value, rather than the target of whether the foreign person is from an transaction, including cash, assets, company’s revenue, is consistent with ally or partner country. Therefore, shares or other ownership interests, debt FIRRMA, as noted above, and an creating an exemption from fees, or a forgiveness, services, or other in-kind appropriate way to set the fee. The lower fee structure, for certain foreign consideration. This encompasses measure of the value of a transaction investors is not appropriate. intangible assets, in whatever form. The should be the amount of consideration The interim rule clarifies that the interim rule adds a reference to that has been or will be paid, not solely filing fees take effect for formal written intellectual property in the example at the revenue of a company. In the event notices filed with the Committee on or § 800.1103(f)(3) to further clarify this that a target company is a low revenue after May 1, 2020. Parties that have filed point. or pre-revenue business, the Treasury a draft written notice pursuant to Department anticipates that the One commenter requested that the § 800.501(g) or § 802.501(g) prior to May transaction parties will apportion the ‘‘value of the transaction’’ be calculated 1, 2020, but file a formal written notice fee amount between the parties on the basis of the target’s U.S. business on or after May 1, 2020, will be required appropriately. Regardless of the target’s operations alone rather than the to pay the filing fee. revenue, the foreign investor is electing combination of U.S. and non-U.S. b. Sections 800.1102/802.1102— to acquire the assets or invest in the U.S. operations as proposed. The commenter Timing of Payment business, and therefore has some ability argued that because CFIUS’s jurisdiction Consistent with the proposed rule, to pay. Moreover, in no event will the §§ 800.1102 and 802.1102 discuss the is with respect to particular types of fee exceed 0.15 percent of the value of timing of acceptance of a formal written transactions involving a U.S. business or the transaction. Alternatively, parties notice in connection with transactions real estate, the calculation of transaction have the option of submitting a where a fee is required. Payment must value for determining fees should follow declaration, which does not require a be received by the Treasury Department the same principle. fee. before a formal written notice will be The interim rule does not make any The interim rule includes some accepted for review. changes in response to this comment. clarifying and technical edits in A commenter requested that the FIRRMA directs that the fee shall be §§ 800.1103 and 802.1103. These edits Treasury Department consider allowing based on the ‘‘value of the transaction,’’ include clarifications to § 800.1103(c)(2) a ‘‘grace period’’ for payment of the fee and the approach in the proposed rule to account for the possibility that more (e.g., 15 days after acceptance of a and interim rule is consistent with the than one U.S. business might be written notice) when the Committee is statute. Moreover, basing the filing fee contributed to a joint venture, in which not able to complete all action with on only the value of the U.S. business case, the value of the transaction is the respect to a transaction through a operations of the target company, rather collective value of each U.S. business declaration and the parties subsequently than on the contemplated or completed contributed. The Treasury Department file a written notice. The commenter transaction itself, could introduce is considering, and in particular explained that the grace period would undesirable complexity to the filing fee welcomes comment on, alternative reduce delay with respect to the rule. Parties negotiate and arrive at a approaches to valuing a joint venture Committee’s review of the transaction. value for the overall transaction in the transaction. One alternative approach The interim rule does not make any standard course of dealmaking, which is under consideration is to value a joint changes in response to this comment. not always the case with respect to venture transaction on the basis of the Based on over a year of experience with ascribing a value to a particular foreign person’s proportional ownership parties filing a notice after a declaration, geographic portion of the target’s interest in the joint venture. Another the Treasury Department does not business. It is important to note, approach is to base the value on the anticipate that requiring payment of the however, that the Treasury Department contribution made by the foreign person fee at the time of filing a formal written recognizes there may be situations to the joint venture. In addition, notice will cause unnecessary delay. where a target company with global references in subpart K of the rule to Parties filing a notice after a declaration operations has a limited presence in the ‘‘interests,’’ ‘‘assets,’’ and ‘‘rights’’ were typically take a few days, if not longer, United States. In response, the proposed streamlined, as appropriate. For to prepare and file the notice. rule and interim rule include an example, in § 800.1103(c)(3) ‘‘interest’’ Additionally, the Treasury Department exception for transactions where the is meant to be inclusive of any assets or will accept electronic payment of filing value of the transaction is equal to or rights acquired, as the case may be for fees, which allows fast payment greater than $5,000,000, but the value of a particular transaction. Clarifying edits processing. Therefore, allowing a grace the interest acquired in the U.S. were also made to some of the period for payment of the fee is business is less than $5,000,000. In such examples, now consolidated at unnecessary. cases, the fee will be $750. §§ 800.1103(f) and 802.1103(i).

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Finally, in § 800.1103(e), and the IV. Rulemaking Requirements Paperwork Reduction Act with a per corresponding provision in respondent burden of 130 hours and 116 Executive Order 12866 § 802.1103(h), edits were made to clarify burden hours, respectively. In the the treatment of multiple-phase This rule is not subject to the general proposed rule, the Treasury Department transactions and transactions involving requirements of Executive Order 12866, invited public comments with respect to contingent equity interest. In a multiple- which covers review of regulations by the amended reporting requirements phase transaction, the value of the the Office of Information and Regulatory under §§ 800.502(c)(1)(viii) and transaction includes the total value of Affairs (OIRA) in the Office of 802.502(b)(1)(ix). No comments were each phase, as may be reasonably Management and Budget (OMB), received. An agency may not conduct or determined as of the date of the filing. because it relates to a foreign affairs sponsor and a person is not required to For contingent equity interest, the rule function of the United States, pursuant respond to a collection of information describes how to value the to section 3(d)(2) of that order. In unless it displays a valid OMB control consideration for the acquisition of the addition, this rule is not subject to number. review under section 6(b) of Executive contingent equity interest as well as the Regulatory Flexibility Act consideration for the interest upon Order 12866 pursuant to section 7(c) of conversion, subject to certain factors. the April 11, 2018 Memorandum of The Regulatory Flexibility Act (5 The examples at §§ 800.1103(f)(7) and Agreement between the Treasury U.S.C. 601 et seq., RFA) generally (8), and 802.1103(i)(5) and (6), add Department and OMB, which states that requires an agency to prepare an initial further clarity. CFIUS regulations are not subject to regulatory flexibility analysis unless the OMB’s standard centralized review agency certifies that the rule will not, d. Sections 800.1104/802.1104— process under Executive Order 12866. once implemented, have a significant Manner of Payment economic impact on a substantial No comments were received Justification for Interim Rule number of small entities. The RFA concerning this section. Accordingly, The proposed rule on filing fees was applies whenever an agency is required consistent with the proposed rule, filed with the Office of the Federal to publish a general notice of proposed §§ 800.1104 and 802.1104 provide the Register on March 4, 2020 and made rulemaking under section 553(b) of the manner in which payment is to be available for public inspection at that APA, or any other law. As set forth in made. Parties must pay by electronic time. The public comment period ended the preamble to the proposed rule at payment, in U.S. dollars, and in 30 days later on April 3, 2020. The Section III, because rules issued accordance with the instructions Treasury Department received five pursuant to the DPA, such as this rule, available on the Treasury Department’s comment letters from the public, are not subject to the APA or another website. including one letter requesting an law requiring the publication of a general notice of proposed rulemaking, e. Sections 800.1105/802.1105— extension in light of the challenges the RFA does not apply. Nevertheless, Refunds posed by the novel coronavirus pandemic to the normal operations of for the reasons detailed in the RFA No comments were received potentially interested parties. section of the proposed rule, the concerning this section. Consistent with Although several public comments Secretary of the Treasury certified that the proposed rule, §§ 800.1105 and were timely submitted, the Treasury the proposed rule, if implemented, will 802.1105 discuss the circumstances Department recognizes that some not have a ‘‘significant economic impact when refunds may be issued. The potentially interested parties may have on a substantial number of small Treasury Department will not refund a been unable to comment because of the entities,’’ 5 U.S.C. 605(b). The Treasury filing fee except in the specific instances unique challenges posed by the Department also invited public noted in the rule. coronavirus pandemic. While the comment on how the proposed rule f. Sections 800.1106/802.1106— Treasury Department has determined would affect small entities. Waiver that publishing this rule now and Only one commenter discussed the making it effective on May 1, 2020, is proposed rule’s analysis with respect to No comments were received the potential impact on small concerning this section. Consistent with appropriate for the reasons stated above, the Treasury Department also believes businesses, particularly in the the proposed rule, §§ 800.1106 and biotechnology industry. The commenter 802.1106 describe when a waiver of the that it would benefit the public and the Committee to receive additional noted that an analysis of venture capital filing fee in whole or in part may be investment trends in the U.S. issued. comments on the rule before it is made final. For that reason, an additional biotechnology industry suggests that g. Sections 800.1107/802.1107— public comment period will commence biotechnology companies may be Refilings concurrently with the filing of this rule disproportionately impacted by the rule No comments were received with the Office of the Federal Register. due to having characteristics of small concerning this section. Consistent with The Treasury Department will consider businesses despite valuations being the proposed rule, §§ 800.1107 and additional comments submitted before more typical of large businesses. The 802.1107 discuss applicability of the finalizing this interim rule. commenter did not offer additional details supporting the implicit assertion filing fee in the context of refiled Paperwork Reduction Act notices. that biotechnology companies are small The collection of information businesses or the conclusion that they h. Sections 800.1108/802.1108— contained in this rule has been are disproportionately impacted by the Rejection of Voluntary Notice submitted to the OMB for review along rule. Due to the limitations in available No comments were received with the proposed rule, in accordance data, it is difficult to draw conclusions concerning this section. Consistent with with the Paperwork Reduction Act of with respect to the biotechnology the proposed rule, §§ 800.1108 and 1995 (44 U.S.C. 3507(d)) under control industry and the particular impact of 802.1108 discuss the process of rejecting number 1505–0121. this interim rule. In any case, as a notice for insufficient payment of the The notice requirements in Part 800 discussed in the proposed rule, the fee fee. and Part 802 were approved under the is only incurred when parties file a

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formal written notice of a transaction subpart K of this part,’’ after ‘‘including Subpart K—Filing Fees with the Committee. (Even then, the certification required by transactions under a certain size pay no § 800.502(l)’’. § 800.1101 Amount of fee. fee or only a small fee of no more than ■ 3. Amend § 800.502 by revising Except as otherwise provided in this 0.15 percent of the value of the paragraph (c)(1)(viii) to read as follows: subpart, the parties filing a formal transaction.) No fee is required for the written notice of a transaction with the submission of a declaration, which is § 800.502 Contents of voluntary notices. Committee under § 800.501(a) on or available for any transaction under Part * * * * * after May 1, 2020, shall pay a filing fee 800 and Part 802. Declarations will take (c) * * * as follows: less time and incur less cost for parties (1) * * * (a) Where the value of the transaction to complete. Additional information (viii)(A) The value of the transaction is less than $500,000: No fee; (b) Where the value of the transaction about declarations, including the in U.S. dollars, as determined under is equal to or greater than $500,000 but procedures to file them and their § 800.1103, and the parties’ assessment less than $5,000,000: $750; content requirements, is available in the of the applicable fee due under (c) Where the value of the transaction final CFIUS rules at 85 FR 3112 (Jan. 17, § 800.1101, including an explanation of is equal to or greater than $5,000,000 2020) and 85 FR 3158 (Jan. 17, 2020). the methodology used to determine but less than $50,000,000: $7,500; For the reasons above, the Secretary of such valuation and applicable fee; and (d) Where the value of the transaction the Treasury certifies that this interim (B) If different than the value of the rule will not have a significant is equal to or greater than $50,000,000 transaction provided in paragraph but less than $250,000,000: $75,000; economic impact on a substantial (c)(1)(viii)(A) of this section, a good number of small entities. (e) Where the value of the transaction faith approximation of the net value of is equal to or greater than $250,000,000 Congressional Review Act the interest acquired in the U.S. but less than $750,000,000: $150,000; This rule has been submitted to OIRA business in U.S. dollars, as of the date (f) Where the value of the transaction which has determined that the rule is of the notice. is equal to or greater than $750,000,000: not a ‘‘major’’ rule under the * * * * * $300,000. Congressional Review Act. ■ 4. Amend § 800.503: § 800.1102 Timing of payment. ■ List of Subjects a. In paragraph (a)(1), by removing the word ‘‘and’’; Subject to §§ 800.1106 through 31 CFR Part 800 ■ b. By redesignating paragraph (a)(2) as 800.1108, the Staff Chairperson shall not accept a formal written notice under Foreign investments in the United paragraph (a)(3); and § 800.503(a) until payment of any fee States, Investments, Investment ■ c. By adding new paragraph (a)(2). required under this subpart is received companies, National defense, Fees. The addition reads as follows: by the Department of the Treasury in the 31 CFR Part 802 § 800.503 Beginning of 45-day review manner specified on the Committee’s Foreign investments in the United period. section of the Department of the States, Federal buildings and facilities, (a) * * * Treasury website. Government property, Investigations, (2) Confirmed that the applicable fee § 800.1103 Valuation. Investments, Investment companies, required under subpart K of this part (a) Except as provided in paragraph Land sales, National defense, Public has been received by the Department of (c) of this section, the value of the lands, Real property acquisition, the Treasury, or waived; and transaction for purposes of determining Reporting and Recordkeeping * * * * * the required fee amount in this subpart requirements, Fees. ■ 5. Amend § 800.504 by redesignating means the total value of all For the reasons set forth in the paragraphs (a)(3) and (4) as paragraphs consideration that has been or will be preamble, the Treasury Department (a)(4) and (5), respectively, and adding provided in the context of the amends 31 CFR parts 800 and 802 as new paragraph (a)(3) to read as follows: transaction by or on behalf of the foreign follows: person that is a party to the transaction, § 800.504 Deferral, rejection, or disposition including cash, assets, shares or other PART 800—REGULATIONS of certain voluntary notices. ownership interests, debt forgiveness, or PERTAINING TO CERTAIN (a) * * * INVESTMENTS IN THE UNITED services or other in-kind consideration. (3) Reject any voluntary notice at any (b) Determining the value of STATES BY FOREIGN PERSONS time upon determining that the filing consideration: ■ 1. The authority citation for part 800 fee paid by the parties was insufficient (1) Where the consideration is or continues to read as follows: under subpart K of this part, subject to includes securities traded on a national § 800.1108. securities exchange, the value of the Authority: 50 U.S.C. 4565; E.O. 11858, as securities is the closing price on the amended, 73 FR 4677. * * * * * ■ 6. Add subpart K to read as follows: national securities exchange on which Subpart E—Notices the securities are primarily traded on Subpart K—Filing Fees the trading day immediately prior to the § 800.501 [Amended] date the parties file the formal written ■ 2. Amend § 800.501: Sec. notice with the Committee under ■ a. In paragraph (a) by adding ‘‘, and 800.1101 Amount of fee. § 800.501(a), or if the securities were not 800.1102 Timing of payment. traded on that day, the last published paying the fee required under subpart K 800.1103 Valuation. of this part’’ after ‘‘including the 800.1104 Manner of payment. closing price. certification required under paragraph 800.1105 Refunds. (2) Where the consideration is or (l) of that section’’; and 800.1106 Waiver. includes other non-cash assets, services, ■ b. In paragraph (f) by adding ‘‘, and 800.1107 Refilings. interests, or other in-kind consideration, payment of the fee required under 800.1108 Rejection of voluntary notice. the value of the assets, services,

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interests, or other in-kind consideration independent appraiser; provided, value of the transaction is $100,000,000, is their fair market value as of the date however, that if no valuation has and the filing fee is $75,000. the parties file the formal written notice. occurred within the prior two fiscal (2) Example 2. Corporation A, a (3) Where the transaction is or quarters, or if there have been foreign person, proposes to acquire all includes a lending transaction, the significant changes to the fair market of the issued and outstanding shares of consideration includes the cash value of value since the last valuation, the Corporation B, a U.S. business, in a two- the loan, or similar financing parties shall make a good faith estimate for-one stock swap transaction whereby arrangement, made available or at the time of filing the formal written a holder of a share of Corporation B’s provided by or on behalf of the foreign notice, or, if the parties are filing after stock is entitled to receive two shares of person that is a party to the transaction. the completion of the transaction, the Corporation A’s stock. Corporation A’s (4) Where the transaction is or completion date of the transaction. stock is listed on the NASDAQ, a includes the conversion of a contingent (2) In determining the fair market national securities exchange. In equity interest previously acquired by a value of services, the parties may rely aggregate, the holders of Corporation B’s foreign person that is a party to the upon the value of services determined stock will receive 10,000,000 shares of transaction, the consideration includes by the parties as set forth in an executed Corporation A’s stock in the transaction. what was paid by or on behalf of the written agreement, or make an estimate On the trading day immediately prior to foreign person to initially acquire the at the time of filing the formal written the filing of the formal written notice, contingent equity interest, in addition to notice based upon rates charged to third the closing price of Corporation A’s any other consideration paid or to be parties or upon recent industry reports stock on NASDAQ was $20 per share. paid in connection with the conversion. or other sources of comparable Assuming no other relevant facts, the (c) Exceptions: commercial data; provided, however, if value of the transaction is $200,000,000, (1) To the extent the consideration to such sources are unavailable, the parties and the filing fee is $75,000. be provided by the foreign person has shall make a good faith estimate. If the (3) Example 3. Corporation B, a U.S. not been or cannot reasonably be parties are filing after completion of the business, is issuing new shares that will determined as of the date the parties file transaction, the parties shall make an represent 50 percent of its issued and the notice, the value of the transaction estimate of the fair market value as of outstanding shares. Corporation A, a includes, with respect to the interest for the completion date. foreign person, proposes to acquire which consideration has not been (3) The Staff Chairperson is not bound these shares. As consideration, determined, the fair market value of the by the parties’ characterization of the Corporation A will contribute to interest being acquired in the transaction and its value or the parties’ Corporation B certain inventory, transaction as of the date the parties file good faith approximation provided to machines, and intellectual property. the formal written notice. the Committee under The parties to the transaction estimate in good faith, based on the most recent Note 1 to § 800.1103(c)(1): The § 800.502(c)(1)(viii). (e) Multiple-phase and contingent quarterly financial statements of consideration amount may be determined Corporation A, which were prepared in notwithstanding minor standard adjustments equity interest transactions: that are to be made at closing. (1) Where a transaction will be accordance with GAAP, that the fair effectuated in multiple phases, the value market value of the assets contributed as (2) Where the transaction involves a consideration is $40,000,000. Assuming merger or the contribution of one or of the transaction includes the total value of the multiple phases, as may be no other relevant facts, the value of the more U.S. businesses to a joint venture, transaction is $40,000,000, and the the value of the transaction is the fair reasonably determined as of the date the parties file the formal written notice. filing fee is $7,500. market value of the U.S. business(es) (4) Example 4. Corporation A and (2) Where a transaction is or includes being merged or contributed. Corporation B are establishing a joint the acquisition of contingent equity (3) Where the value of a transaction is venture, JV Corp., which will be interest, the value of the transaction $5,000,000 or more, but the transaction controlled by Corporation B, a foreign includes the consideration that was paid includes one or more non-U.S. person. Corporation A contributes a U.S. by or on behalf of the foreign person to businesses, and the value of the interest business, the fair market value of which acquire the contingent equity interest, acquired in the U.S. business is less is $150,000,000, to JV Corp. Corporation and, if the conditions that lead to than $5,000,000, the filing fee under B contributes $150,000,000 in cash to JV conversion will occur imminently, the § 800.1101(b) is applicable. The value of Corp. The value of the transaction is the U.S. business, for purposes of this conditions are within the control of the $150,000,000, which is equal to the paragraph, is the fair market value of the acquiring party, and the consideration value of the U.S. business being assets of the U.S. business. for the interest that would be acquired contributed. Assuming no other relevant (d) Fair market value means the price upon conversion or satisfaction of facts, the filing fee is $75,000. that would be received in exchange for contingent conditions can be reasonably (5) Example 5. Corporation A, a sale of an interest, or paid to receive a determined at the time of acquisition, foreign person, enters into a stock service or to transfer liability, in an any other consideration paid or to be purchase agreement with Person Z to orderly transaction between market paid in connection with the conversion. acquire 100 percent of the issued and participants. Note 2 to § 800.1103(e)(2): See outstanding shares of Corporation B, a (1) In determining fair market value, § 800.1103(b)(4) regarding consideration for a U.S. business. The value of the parties shall make a good faith estimate contingent equity interest where the interest consideration has not been determined and generally may rely on the last has been converted to equity. because it will be payable only once valuation as presented in financial (f) Examples: Corporation B achieves certain statements prepared in accordance with (1) Example 1. Corporation A, a development and sales milestones, and generally accepted accounting foreign person, proposes to acquire all it will be 10 percent of Corporation B’s principles (GAAP) or other widely of the issued and outstanding shares of revenue over a future five-year period. recognized accounting principles, such Corporation B, a U.S. business, in The parties estimate in good faith that as the International Financial Reporting exchange for $100,000,000 in cash. the fair market value of 100 percent of Standards, or the valuation of an Assuming no other relevant facts, the the shares of Corporation B is

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$30,000,000 based on a number of take any other action regarding any the Staff Chairperson shall inform the factors, including application of well- covered transaction. parties in writing of the insufficiency of known accounting standards such as payment and provide the parties three Financial Accounting Standards Board § 800.1104 Manner of payment. business days to pay the remainder of Statement 157, a recent valuation Parties to a transaction must pay any the filing fee. If the Staff Chairperson conducted by a third-party auditor, and filing fee by electronic payment. The does not reject a voluntary notice under a proposal to acquire Corporation B filing fee must be paid in U.S. dollars. § 800.504(a)(3) upon a determination made by another bidder for Instructions for paying filing fees are that the amount of the filing fee approximately $30,000,000 in cash. available on the Committee’s section of payment paid by the parties was Assuming no other relevant facts, the the Department of the Treasury website. insufficient under this section, the value of the transaction is $30,000,000, § 800.1105 Refunds. balance of the fee remains payable and the filing fee is $7,500. (a) Except as provided in paragraphs unless the Staff Chairperson notifies the (6) Example 6. Corporation A, a (b) and (c) of this section, the parties in writing that the payment has foreign person, proposes to acquire 100 Department of the Treasury shall not been waived in whole or in part. percent of the assets of Corporation B, refund a filing fee in whole or in part. PART 802—PROVISIONS PERTAINING a foreign person, for $100,000,000. (b) If the Committee determines that TO CERTAIN TRANSACTIONS BY Corporation B has subsidiaries in the transaction is not a covered FOREIGN PERSONS INVOLVING REAL several countries, including Corporation transaction, the filing fee shall be C, a U.S. business. The fair market value refunded. ESTATE IN THE UNITED STATES of Corporation C’s assets is $1,000,000. (c) In response to a petition by a party, ■ 7. The authority citation for part 802 Assuming no other relevant facts, under if the Staff Chairperson determines, continues to read as follows: paragraph (c)(3) of this section, a $750 based on the information and filing fee is required. representations contained in the formal Authority: 50 U.S.C. 4565; E.O. 11858, as (7) Example 7. Corporation A, a written notice, as well as any other amended, 73 FR 4677 foreign person, proposes to acquire 50 information provided by the parties, percent of the voting interest of Subpart E—Notices that a party or the parties to a Corporation B, a U.S. business. Under transaction paid a filing fee in an the terms of a stock purchase agreement, § 802.501 [Amended] amount greater than required at the time the transaction will be effectuated in ■ 8. Amend § 802.501: of filing, the Department of the Treasury two phases. First, Corporation A will ■ shall refund the amount of overpayment a. In paragraph (a) by adding ‘‘, and acquire 25 percent of the voting interest to the party or parties who paid the paying the fee required under subpart K of Corporation B in exchange for filing fee. of this part’’ after ‘‘including the $30,000,000 (phase 1). Two months certification required under paragraph later, Corporation A will acquire the § 800.1106 Waiver. (h) of that section’’; and other 25 percent of the voting interest of If the Staff Chairperson determines ■ b. In paragraph (f) by adding ‘‘, and Corporation B in exchange for another that extraordinary circumstances payment of the fee required under $30,000,000 (phase 2). Assuming no relating to national security warrant, the subpart K of this part,’’ after ‘‘including other relevant facts, the value of the Staff Chairperson may waive the filing the certification required by consideration is $60,000,000 (the total fee in whole or in part and will notify § 802.502(h)’’. consideration for both phases), and the the parties in writing. No waiver shall ■ 9. Amend § 802.502 by revising filing fee is $75,000. be implied, even where the Staff paragraph (b)(1)(ix) to read as follows: (8) Example 8. Corporation A, a Chairperson does not reject a voluntary foreign person, pays $5,000,000 to notice under § 800.1108 for failure to § 802.502 Contents of voluntary notices. acquire 100,000 shares and call options pay the required filing fee. * * * * * from Corporation B, a U.S. business. (b) * * * The call options can be exercised after § 800.1107 Refilings. (1) * * * 90 days, and if exercised, Corporation A The parties to a transaction shall not (ix)(A) The value of the transaction in will have the right to acquire another be required to pay an additional filing U.S. dollars, as determined under 60,000 shares of Corporation B in fee in the event that the Staff § 802.1103, and the parties’ assessment exchange for an additional $3,000,000. Chairperson permits the parties to of the applicable fee due under Because the options may be exercised withdraw and refile a notice under § 802.1101, including an explanation of imminently, conversion of the call § 800.509(c)(2), unless the Staff the methodology used to determine options is in the control of Corporation Chairperson determines that a material such valuation and applicable fee; and A, and the consideration for the interest change to the transaction has occurred, (B) If different than the value of the acquired as a result of conversion can be or a material inaccuracy or omission transaction provided in paragraph reasonably determined, the value of the was made by the parties in information (b)(1)(ix)(A) of this section, a good faith transaction includes the consideration provided to the Committee, that requires approximation of the fair market value for the shares and the call options as the Committee to consider new of the interest acquired in the covered well as the consideration paid to information, in which case the Staff real estate in U.S. dollars, as of the date exercise the options. Assuming no other Chairperson will inform the parties in of the notice. relevant facts, the value of the writing. consideration is $8,000,000, and the * * * * * filing fee is $7,500. § 800.1108 Rejection of voluntary notice. ■ 10. Amend § 802.503: (g) The determination of the value of The Staff Chairperson may reject a ■ a. In paragraph (a)(1), by removing the the transaction for purposes of voluntary notice under § 800.504(a)(3) word ‘‘and’’; calculating the filing fee in no way upon a determination that the amount of ■ b. By redesignating paragraph (a)(2) as limits the Committee’s jurisdiction or its the filing fee paid by the parties was paragraph (a)(3); and authority to review, investigate, insufficient under this subpart. Prior to ■ c. By adding new paragraph (a)(2). mitigate, impose penalties regarding, or rejecting a notice under § 800.504(a)(3), The addition reads as follows:

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§ 802.503 Beginning of 45-day review section of the Department of the interests, or other in-kind consideration, period. Treasury website. including real property contributed by a (a) * * * foreign person that is party to a (2) Confirmed that the applicable fee § 802.1103 Valuation. transaction involving the exchange of required under subpart K of this part Except as provided in paragraph (e) of land or contribution to a joint venture, has been received by the Department of this section, the value of the transaction the value of the assets, service, interests, the Treasury, or waived; and for purposes of determining the required or other in-kind consideration is their * * * * * fee amount in this subpart shall be fair market value as of the date the ■ determined as follows: parties file the formal written notice. 11. Amend § 802.504 by redesignating (a) For a transaction structured as a paragraphs (a)(3) and (4) as paragraphs (3) Where the transaction is or purchase, by the total value of all includes a lending transaction, the (a)(4) and (5), respectively, and adding consideration that has been or will be new paragraph (a)(3) to read as follows: consideration includes the cash value of provided in the context of the the mortgage, loan, or similar financing § 802.504 Deferral, rejection, or disposition transaction by or on behalf of the foreign arrangement, made available or of certain voluntary notices. person that is a purchaser in the provided by or on behalf of the foreign (a) * * * transaction, including cash, assets, person that is a party to the transaction. (3) Reject any voluntary notice at any shares or other ownership interests, debt (4) Where the transaction is or time upon determining that the filing forgiveness, or services or other in-kind includes the conversion of a contingent fee paid by the parties was insufficient consideration. equity interest previously acquired by a under subpart K of this part, subject to (b) For a transaction structured as a foreign person that is a party to the § 802.1108. lease, by the value of the sum of, as transaction, the consideration includes applicable: * * * * * what was paid by or on behalf of the (1) Any fixed payments to be paid by ■ 12. Add subpart K to read as follows: foreign person to initially acquire the the foreign person that is a lessee in the contingent equity interest, in addition to Subpart K—Filing Fees transaction to, or for the benefit of, the any other consideration paid or to be Sec. lessor over the term of the lease; paid in connection with the conversion. 802.1101 Amount of fee. (2) Any variable payments that (e) Exceptions: 802.1102 Timing of payment. depend on an index or a rate (such as (1) In the case of a purchase, to the 802.1103 Valuation. a market interest rate) to be paid by the extent the consideration to be provided 802.1104 Manner of payment. foreign person that is a lessee in the by the foreign person has not been or 802.1105 Refunds. transaction to, or for the benefit of, the 802.1106 Waiver. cannot reasonably be determined as of lessor, over the term of the lease, the date the parties file the formal 802.1107 Refilings. measured for purposes of this section by 802.1108 Rejection of voluntary notice. written notice, the value of the using the index or rate on the day transaction includes, with respect to Subpart K—Filing Fees immediately prior to the date the parties assets for which consideration has not file the formal written notice; and been determined, the fair market value § 802.1101 Amount of fee. (3) Any non-cash consideration to be of the assets being purchased in the Except as otherwise provided in this provided by the foreign person that is a transaction as of the date the parties file subpart, the parties filing a formal lessee in the transaction to, or for the the formal written notice. written notice of a transaction with the benefit of, the lessor, over the term of Committee under § 802.501(a) on or the lease, as may be reasonably Note 1 to § 802.1103(e)(1): The consideration amount may be determined after May 1, 2020, shall pay a filing fee determined as of the date the parties file the formal written notice. notwithstanding minor standard adjustments as follows: that are to be made at closing. (a) Where the value of the transaction (c) For a transaction structured as a is less than $500,000: No fee; concession, by the value of the sum of (2) In the case of a lease or (b) Where the value of the transaction all rent, fees, and charges to be paid by concession, where the consideration to is equal to or greater than $500,000 but the foreign person to the grantor and be provided by the foreign person has less than $5,000,000: $750; any non-cash consideration to be not been or cannot reasonably be (c) Where the value of the transaction provided by such foreign person to, or determined at the time of filing, or, is equal to or greater than $5,000,000 for the benefit of, the grantor, over the where the parties cannot reasonably but less than $50,000,000: $7,500; term of a concession agreement, as may determine the value of rent, fees, (d) Where the value of the transaction be reasonably determined as of the date charges, or services under paragraph (c) is equal to or greater than $50,000,000 the parties file the formal written notice. of this section, the filing fee required but less than $250,000,000: $75,000; (d) Determining the value of shall be that required under (e) Where the value of the transaction consideration: § 802.1101(b). is equal to or greater than $250,000,000 (1) Where the consideration is or (f) The Staff Chairperson is not bound but less than $750,000,000: $150,000; includes securities traded on a national by the parties’ characterization of the (f) Where the value of the transaction securities exchange, the value of the transaction and its value or their good is equal to or greater than $750,000,000: securities is the closing price on the faith approximation provided to the $300,000. national securities exchange on which Committee under § 802.502(b)(1)(ix). the securities are primarily traded on (g) Fair market value means the price § 802.1102 Timing of payment. the trading day immediately prior to the that would be received in exchange for Subject to §§ 802.1106 through date the parties file the formal written sale of an interest, or paid to receive a 802.1108, the Staff Chairperson shall notice with the Committee under service or to transfer liability, in an not accept a formal written notice under § 802.501(a), or if the securities were not orderly transaction between market § 802.503(a) until payment of any fee traded on that day, the last published participants. required under this subpart is received closing price. (1) In determining fair market value, by the Department of the Treasury in the (2) Where the consideration is or parties shall make a good faith estimate manner specified on the Committee’s includes other non-cash assets, services, and generally may rely on the last

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valuation as presented in financial X, Corporation A forgives a debt owed $60,000,000 (the total consideration for statements prepared in accordance with to it by Corporation B that is valued at both phases), and the filing fee is generally accepted accounting $5,000,000 and pays $35,000,000 to $75,000. principles or other widely recognized Corporation B. Assuming no other (6) Example 6. Corporation A, a accounting principles, such as the relevant facts, the value of the foreign person, proposes to purchase International Financial Reporting transaction is $40,000,000, and the Plot X and acquire an option to Standards, or the valuation of an filing fee is $7,500. purchase Plot Y. Corporation A will independent appraiser; provided, (2) Example 2. Corporation A, a acquire Plot X and the option related to however, that if no valuation has foreign person, enters into an agreement Plot Y in exchange for $30,000,000. occurred within the prior two fiscal to lease a parcel of covered real estate Corporation A informs its shareholders quarters, or if there have been from Corporation B. Pursuant to the that within two months, it will exercise significant changes to the fair market agreement, Corporation A will pay the option to purchase Plot Y in value since the last valuation, the Corporation B a fixed annual payment exchange for another $30,000,000. parties shall make a good faith estimate of $300,000 for a term of three years, Because the option to convert is at the time of filing the formal written with an option to renew the lease at the imminent and in the control of notice, or, if the parties are filing after end of the term. Assuming no other Corporation A, and the consideration the completion of the transaction, the relevant facts, the value of the can be reasonably determined, the value completion date of the transaction. transaction is $900,000, and the filing of the transaction includes the (2) In determining the fair market fee is $750. consideration to be paid in connection value of services, the parties may rely (3) Example 3. Corporation A, a with the conversion. Assuming no other upon the value of services determined foreign person, proposes to enter into a relevant facts, the value of the by the parties as set forth in an executed concession agreement with a U.S. public consideration is $60,000,000 (the total written agreement, or make an estimate entity for the right to use certain consideration for the purchase of Plot X at the time of filing the formal written covered real estate for the purpose of and the option to purchase Plot Y), and notice based upon rates charged to third developing and operating terminal the filing fee is $75,000. parties or recent industry reports or infrastructure at a covered port. The (j) The determination of the value of other sources of comparable commercial concession agreement is for a five-year the transaction for purposes of data; provided, however, if such sources term. Under the concession agreement, calculating the filing fee in no way are unavailable, the parties shall make Corporation A will pay the U.S. public limits the Committee’s jurisdiction or its a good faith estimate. If the parties are entity a use charge of $450,000 per year authority to review, investigate, filing after completion of the starting in the second year. The mitigate, impose penalties regarding, or transaction, the parties shall make an concession agreement also requires take any other action regarding any estimate of the fair market value as of Corporation A to pay utility fees and covered real estate transaction. the completion date. common area maintenance charges of (h) Multiple-phase and contingent $5,000 per month for the full concession § 802.1104 Manner of payment. equity interest transactions: term. Assuming no other relevant facts, Parties to a transaction must pay any (1) Where a transaction will be the value of the transaction is filing fee by electronic payment. The effectuated in multiple phases, the value $2,100,000, based on the $1,800,000 use filing fee must be paid in U.S. dollars. of the transaction includes the total charge and $300,000 in utility fees. The Instructions for paying filing fees are value of the multiple phases, as may be filing fee is $750. available on the Committee’s section of (4) Example 4. Corporation A, a reasonably determined as of the date the the Department of the Treasury website. foreign person, proposes to enter into an parties file the formal written notice. oil, gas and mineral lease with a U.S. § 802.1105 Refunds. (2) Where a transaction is or includes public entity. Under the terms of the the acquisition of contingent equity (a) Except as provided in paragraphs lease, Corporation A pays a lease bonus interest, the value of the transaction (b) and (c) of this section, the of $1,000 per acre as an inducement to includes the consideration that was paid Department of the Treasury shall not execute the lease with respect to a 10- by or on behalf of the foreign person to refund a filing fee in whole or in part. acre parcel of covered real estate. The acquire the contingent equity interest, (b) If the Committee determines that lease has a 10-year term. Corporation A the transaction is not a covered real and, if the conditions that lead to must pay a royalty of 12.5 percent with conversion will occur imminently, the estate transaction, the filing fee shall be respect to oil or gas production from the refunded. conditions are within the control of the leased parcel. In the absence of such acquiring party, and the consideration (c) In response to a petition by a party, production, the foreign person is if the Staff Chairperson determines, for the interest that would be acquired obligated to pay a rental fee of $1,000 upon conversion or satisfaction of based on the information and per acre per year for the first five years representations contained in the formal contingent conditions can be reasonably and $2,000 per acre thereafter. determined at the time of acquisition, written notice, as well as any other Assuming no other relevant facts, the information provided by the parties, any other consideration paid or to be value of the transaction is $160,000 and paid in connection with the conversion. that a party or the parties to a there is no filing fee. transaction paid a filing fee in an Note 2 to § 800.1103(h)(2): See (5) Example 5. Corporation A, a amount greater than required at the time § 802.1103(d)(4) regarding consideration for a foreign person, proposes to purchase of filing, the Department of the Treasury contingent equity interest where the interest Plot X and Plot Y. The transaction will shall refund the amount of overpayment has been converted to equity. be completed in two phases. to the party or parties who paid the (i) Examples: Corporation A will first acquire Plot X filing fee. (1) Example 1. Corporation A, a for $30,000,000 (phase 1). One month foreign person, enters into an agreement later, Corporation A will acquire Plot Y § 802.1106 Waiver. for the purchase of a parcel of covered for another $30,000,000 (phase 2). If the Staff Chairperson determines real estate (Parcel X) from Corporation Assuming no other relevant facts, the that extraordinary circumstances B. In exchange for ownership of Parcel value of the consideration is relating to national security warrant, the

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Staff Chairperson may waive the filing Packaging Instructions 6C, currently packaging requirements added as fee in whole or in part and will notify incorporated by reference, to support § 113.3. Section 113.3 will be in place the parties in writing. No waiver shall the rapid deployment of coronavirus until the end of this public health be implied, even where the Staff (COVID–19) diagnostic tests using the emergency. Chairperson does not reject a voluntary mail during this public health The Postal Service will publish a notice under § 802.1108 for failure to emergency. In addition to the updated document announcing the termination pay the required filing fee. packaging instructions, all shippers of date in the Federal Register. If you want COVID–19 related Infectious Substances to know whether this rule has been § 802.1107 Refilings. Category B UN3373 must obtain terminated, email or call either person The parties to a transaction shall not authorization from the Postal Service identified in FOR FURTHER INFORMATION be required to pay an additional filing prior to mailing. These measures are CONTACT. fee in the event that the Staff necessary to ensure that diagnostic kits The specific requirements to be used Chairperson permits the parties to potentially containing Category B in place of Appendix C, Packaging withdraw and refile a notice under Infectious Substances are packaged, Instruction 6C to Publication 52, § 802.509(c)(2), unless the Staff marked and labelled properly to ensure Hazardous, Restricted, and Perishable Chairperson determines that a material safety and containment throughout Mail adopted in this document will be change to the transaction has occurred, transport. published in Postal Bulletin 22544 on or a material inaccuracy or omission April 23, 2020, and can be viewed at DATES: Effective: April 27, 2020 until the was made by the parties in information http://about.usps.com/postal-bulletin. provided to the Committee, that requires Federal public health emergency first the Committee to consider new declared on March 13, 2020 is List of Subjects in Part 113 information, in which case the Staff terminated (following procedures Administrative practice and Chairperson will inform the parties in prescribed in 50 U.S. Code § 1622). The procedure, Postal Service. writing. Postal Service will publish a document announcing the termination date in the For the reasons set forth above, the § 802.1108 Rejection of voluntary notice. Federal Register. Postal Service amends 39 CFR part 113 as follows: The Staff Chairperson may reject a FOR FURTHER INFORMATION CONTACT: voluntary notice under § 802.504(a)(3) Mary J. Collins at (202) 268–5551 or PART 113—HAZARDOUS, upon a determination that the amount of Dale Kennedy at (202) 268–6592 or by RESTRICTED, AND PERISHABLE MAIL the filing fee paid by the parties was email at [email protected]. insufficient under this subpart. Prior to SUPPLEMENTARY INFORMATION: ■ 1. The authority citation for part 113 rejecting a notice under § 802.504(a)(3), continues to read as follows: Overview the Staff Chairperson shall inform the Authority: 5 U.S.C. 552(a); 13 U.S.C. 301– parties in writing of the insufficiency of The United States Postal Service is 307; 18 U.S.C. 1692–1737; 39 U.S.C. 101, payment and provide the parties three currently experiencing a greater demand 401, 403, 404, 414, 416, 3001–3011, 3201– business days to pay the remainder of for the transportation of Infectious 3219, 3403–3406, 3621, 3622, 3626, 3632, the filing fee. If the Staff Chairperson Substances, Category B UN3373 as a 3633, and 5001. does not reject a voluntary notice under result of the ongoing COVID–19 ■ 2. Amend § 113.1 by adding a final § 802.504(a)(3) upon a determination pandemic. Due to the infectious nature sentence to read as follows: that the amount of the filing fee of these materials, there exists a need for payment paid by the parties was higher levels of awareness, safety and § 113.1 Scope and purpose. insufficient under this section, the compliance in order to protect our * * * Follow the requirements of balance of the fee remains payable employees, customers, and § 113.3 in place of Publication 52, unless the Staff Chairperson notifies the transportation partners. Appendix C, Packaging Instruction 6C. parties in writing that the payment has When a package containing infectious ■ 3. Add § 113.3 to read as follows: been waived in whole or in part. substances is moved between the point of origin and its destination, it may be § 113.3 Mailing Standards for COVID–19 Dated: April 22, 2020. subjected to physical challenges, related Category B Infectious Substances. Thomas Feddo, including movement, vibration, and (a) Required Shipper Authorization. Assistant Secretary for Investment Security. changes of temperature, humidity and (1) All shippers of COVID–19 related [FR Doc. 2020–08916 Filed 4–28–20; 8:45 am] pressure. It is therefore, essential that Infectious Substances Category B must BILLING CODE 4810–25–P the packaging used to contain infectious obtain an authorization from the Postal substances meets all required standards, Service prior to mailing. It is the and is able to withstand the normal responsibility of the shipper to ensure POSTAL SERVICE conditions of transportation. It is the that they are aware of, and comply with, responsibility of the shipper to ensure all other applicable requirements and 39 CFR Part 113 they comply with all applicable regulations for the mailing of these regulations. The revisions will provide materials; and they must be able to New Mailing Standards for COVID–19 conformity and harmonization with provide evidence of compliance before Related Category B Infectious other regulatory entities, prevent the a written request is submitted to the Substances shipment of fraudulent test kits in the manager of Product Classification, AGENCY: Postal ServiceTM. mail, and reduce risk to employees and Postal Service Headquarters. ACTION: Temporary final rule. the general public by preventing (2) Under this section, only tests exposure to this infectious substance. developed and being performed by SUMMARY: The Postal Service is revising The current packaging requirements laboratories certified under the Clinical its Hazardous, Restricted and Perishable incorporated by reference in Publication Laboratory Improvement Amendments Mail regulations by replacing 52 Appendix C, Packaging Instruction (CLIA) or equivalent clinical oversight Publication 52, Hazardous, Restricted, 6C are replaced with new required regulations, and commercial tests and and Perishable Mail, Appendix C, shipper authorization and updated home collection kits authorized by

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either the FDA or an Institutional temperatures and pressures of transport Bering Sea and Aleutian Islands Review Board will be considered for by aircraft they could be subjected to if Management Area (FMP) prepared by mailing. refrigeration were lost, and sufficient the North Pacific Fishery Management (b) Required Packaging. The materials absorbent material must be provided to Council under authority of the must be triple-packaged, meeting the absorb all liquid, including melted ice. Magnuson-Stevens Fishery packaging requirements in 49 CFR (2) When dry ice is used, the package Conservation and Management Act. 173.199. Such materials must be must include the markings ‘‘Carbon Regulations governing fishing by U.S. properly packaged to withstand shocks, dioxide, solid’’ or ‘‘Dry ice’’ and an vessels in accordance with the FMP pressure changes, and other conditions indication that the material being appear at subpart H of 50 CFR part 600 related to ordinary handling in transit, refrigerated is used for diagnostic or and 50 CFR part 679. and surrounded by absorbent material treatment purposes (e.g., frozen medical The 2020 Greenland turbot ITAC in sufficient to protect the primary specimens). Marking requirements in the Aleutian Islands subarea of the BSAI receptacle and to absorb the total USPS Packaging Instruction 9A are not is 149 metric tons (mt) as established by amount of liquid should the primary applicable. the final 2020 and 2021 harvest receptacle leak or break. The outer (g) Other Allowance. Only small specifications for groundfish in the packaging must be of adequate size to quantities of Class 3, Class 8, Class 9, or BSAI (85 FR 13553, March 9, 2020). The accommodate all required shipping other materials in Packing Groups II and Regional Administrator has determined information and marks and will include III may be used to stabilize or prevent that the 2020 ITAC for Greenland turbot the size of the mark on each side must degradation of the sample, provided the in the Aleutian Islands subarea of the not be less than 50 mm (1.97 inches) in quantity of such materials does not BSAI is necessary to account for the length, the width of the border lines at exceed 30 mL (1 ounce) or 30 g (1 incidental catch of this species in other least 2 mm, and letter and numbers ounce) in each inner packaging. anticipated groundfish fisheries for the must be at least 6 mm (0.24 inches) 2020 fishing year. Therefore, in high. Joshua J. Hofer, accordance with § 679.20(d)(1)(i), the (c) Package Drop Test. The completed Attorney, Federal Compliance. Regional Administrator establishes the triple packaging must be capable of [FR Doc. 2020–08256 Filed 4–27–20; 11:15 am] directed fishing allowance for successfully passing the drop test in 49 BILLING CODE 7710–12–P Greenland turbot in the Aleutian Islands CFR 178.609(d) at a drop height of at subarea of the BSAI as zero mt. least 1.2 meters (3.9 feet). Following the Consequently, in accordance with drop test, there must be no leakage from DEPARTMENT OF COMMERCE § 679.20(d)(1)(iii), NMFS is prohibiting the primary receptacle, which must directed fishing for Greenland turbot in remain protected by absorbent material, National Oceanic and Atmospheric the Aleutian Islands subarea of the when required, in the secondary Administration BSAI. packaging. While this closure is effective, the (d) Instructions. Shippers must 50 CFR Part 679 maximum retainable amounts at provide clear instructions to users § 679.20(e) and (f) apply at any time regarding the procedures to be followed [Docket No. 200227–0066; RTID 0648– during a trip. for preparing the samples and packaging XY093] used to transport an Infectious Classification Substance Category B. Shippers must Fisheries of the Exclusive Economic This action responds to the best instruct users to adhere to all applicable Zone Off Alaska; Greenland Turbot in available information recently obtained mail related preparation requirements the Aleutian Islands Subarea of the from the fishery. The Assistant before mailing, to ensure the package is Bering Sea and Aleutian Islands Administrator for Fisheries, NOAA properly prepared for safe Management Area (AA), finds good cause to waive the requirement to provide prior notice and transportation. AGENCY: National Marine Fisheries (e) Optional Outer Packaging. A Service (NMFS), National Oceanic and opportunity for public comment polybag covering may be acceptable as Atmospheric Administration (NOAA), pursuant to the authority set forth at 5 U.S.C. 553(b)(B) as such requirement is the outer packaging, providing that the Commerce. interior triple packaging is complete, the impracticable and contrary to the public selvage edge of the wrapping is less than ACTION: Temporary rule; closure. interest. This requirement is 2 inches, all required markings and SUMMARY: NMFS is prohibiting directed impracticable and contrary to the public address information are applied both on fishing for Greenland turbot in the interest as it would prevent NMFS from the interior rigid box and the additional Aleutian Islands subarea of the Bering responding to the most recent fisheries outer polybag wrapping. Sea and Aleutian Islands management data in a timely fashion and would (f) Use of a Refrigerant (If Applicable). area (BSAI). This action is necessary to delay the directed fishing closure of (1) Only cold packs or dry ice may be prevent exceeding the 2020 Greenland Greenland turbot in the Aleutian Islands used as a refrigerant and must be placed turbot initial total allowable catch subarea of the BSAI. Since the fishery outside of the secondary packaging. (ITAC) in the Aleutian Islands subarea opens May 1, 2020, it is important to Interior supports must be provided to of the BSAI. immediately inform the industry to secure the secondary packaging in the allow for the orderly conduct and original position. If a cold pack is used, DATES: Effective 1200 hours, Alaska efficient operation of other fisheries the packaging must be leak-proof. If dry local time (A.l.t.), May 1, 2020, through currently operating in this area; allow ice is used, the outside packaging must 2400 hours, A.l.t., December 31, 2020. the industry to plan for the fishing permit the release of carbon dioxide gas FOR FURTHER INFORMATION CONTACT: season and avoid potential disruption to and otherwise meet the provisions in 49 Steve Whitney, 907–586–7228. the fishing fleet. NMFS was unable to CFR 173.217. The primary receptacle SUPPLEMENTARY INFORMATION: NMFS publish a notice providing time for and secondary packaging must maintain manages the groundfish fishery in the public comment because the most their integrity at the temperature of the BSAI according to the Fishery recent, relevant data only became refrigerant used, as well as the Management Plan for Groundfish of the available as of April 15, 2020.

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The AA also finds good cause to prior notice and opportunity for public Dated: April 24, 2020. waive the 30-day delay in the effective comment. He´le`ne M.N. Scalliet, date of this action under 5 U.S.C. This action is required by § 679.20 Acting Director, Office of Sustainable 553(d)(3). This finding is based upon and is exempt from review under Fisheries, National Marine Fisheries Service. the reasons provided above for waiver of Executive Order 12866. [FR Doc. 2020–09120 Filed 4–28–20; 8:45 am] Authority: 16 U.S.C. 1801 et seq. BILLING CODE 3510–22–P

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Proposed Rules Federal Register Vol. 85, No. 83

Wednesday, April 29, 2020

This section of the FEDERAL REGISTER Constitution Ave. NW Washington, DC Section 232 Tariff on Imports of contains notices to the public of the proposed 20230. Aluminum Into the United States issuance of rules and regulations. The Commerce will consider all comments purpose of these notices is to give interested On January 19, 2018, pursuant to persons an opportunity to participate in the received before the close of the section 232 of the Trade Expansion Act rule making prior to the adoption of the final comment period. All comments of 1962 (the Trade Expansion Act), as rules. responding to this notice will be a amended (19 U.S.C. 1862), the Secretary matter of public record and will of Commerce (Secretary) transmitted to generally be available on the Federal the President a report on his DEPARTMENT OF COMMERCE eRulemaking Portal at http:// investigation into the effect of imports www.Regulations.gov. Commerce will of aluminum articles on the national International Trade Administration not accept comments accompanied by a security of the United States.1 The request that part or all the material be Secretary found and advised the 19 CFR Part 361 treated confidentially because of its President that aluminum articles were [Docket ITA–2020–200408–0103] business proprietary nature or for any being imported into the United States in other reason. Therefore, do not submit such quantities and under such RIN 0625–AB18 confidential business information or circumstances as to threaten to impair otherwise sensitive or protected the national security of the United Aluminum Import Monitoring and information. States.2 In Presidential Proclamation Analysis System Any procedural questions should be 9704 of March 8, 2018 (Adjusting AGENCY: Enforcement and Compliance, addressed to E&C Communications Imports of Aluminum Into the United International Trade Administration, Office at (202) 482–0063 or ECcomms@ States) (Proclamation 9704), the Commerce. trade.gov. President concurred with the Secretary’s findings and decided to adjust the ACTION: Proposed rule and request for FOR FURTHER INFORMATION CONTACT: Julie imports of aluminum articles, as defined public comment. Al-Saadawi at (202) 482–1930 or Brandon Custard at (202) 482–1823. in clause 1 of Proclamation 9704, by SUMMARY: The Department of Commerce imposing a 10 percent ad valorem tariff (Commerce) is issuing, and requesting SUPPLEMENTARY INFORMATION: on such articles imported from most 3 public comments on, a proposed rule to Background countries. establish an Aluminum Import Subsequently, in Presidential Monitoring And Analysis (AIM) system. The SIMA System Proclamation 9893 of May 19, 2019 Over the past decade, Commerce has AIM will operate in a similar manner (Adjusting Imports of Aluminum Into operated the Steel Import Monitoring as the SIMA system, which has operated the United States) (Proclamation 9893), and Analysis (SIMA) system to monitor under its current authority since March the President stated that the United for import surges of specific steel 11, 2005. States successfully concluded discussions with Canada and Mexico on products and to monitor for potential The purpose of the SIMA system is to transshipment and circumvention of satisfactory alternative means to address provide steel producers, steel the threatened impairment of the U.S. trade measures relating to these consumers, importers, and the general products. AIM, as proposed, will be national security posed by aluminum public with accurate and timely imports from Canada and Mexico.4 The similar to the existing SIMA system. information on anticipated imports of Specifically, Commerce proposes to United States agreed on a range of certain steel products into the United measures with Canada and Mexico to require import license applicants to States. Steel import licenses, issued identify the country where the prevent the importation of aluminum through the online SIMA licensing that is unfairly subsidized or sold at aluminum used in the manufacture of system, are required by U.S. Customs the imported aluminum product was dumped prices, to prevent the and Border Protection (CBP) for filing transshipment of aluminum, and to smelted and poured; to release this data entry summary documentation, or its on an aggregate basis, as appropriate; electronic equivalent, for imports of 1 and to apply the licensing requirement See The Effect of Imports of Aluminum on the certain steel mill products into the National Security: An Investigation Conducted to cover all imports of basic aluminum United States. Through the monitoring Under Section 232 of the Trade Expansion Act of products, which are listed in Annex II. tool, certain import data collected from 1962, As Amended, U.S. Department of Commerce DATES: To be assured of consideration, Report, dated January 11, 2018 (https:// the licenses are aggregated weekly and www.commerce.gov/files/effect-imports-aluminum- written comments must be received on reported on the publicly available SIMA national-security-investigation-conducted-under- or before 5 p.m. EST on May 29, 2020. system website, https:// section-232-trade); see also Adjusting Imports of ADDRESSES: Submit comments through enforcement.trade.gov/steel/license/. Aluminum Into the United States, Proclamation No. 9704, 83 FR 11619 (March 15, 2018) (Presidential the Federal eRulemaking Portal at This tool provides valuable data Proclamation No. 9704). https://www.Regulations.gov, Docket regarding certain steel mill imports into 2 Presidential Proclamation No. 9704, 83 FR at ITA–2020–200408–0103. Comments the United States as early as possible 11619. may also be submitted by mail or hand and makes such data available to the 3 See Adjusting Imports of Aluminum Into the delivery/courier, addressed to Jeffrey I. public approximately five weeks in United States, Proclamation No. 9704, 84 FR 11619, 11621 (March 8, 2018) (Presidential Proclamation Kessler, Assistant Secretary for advance of official U.S. import statistics No. 9704). Enforcement and Compliance, Room compiled by the U.S. Census Bureau 4 Presidential Proclamation No. 9893, 84 FR at 1870, Department of Commerce, 1401 (Census). 23983.

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monitor for and avoid import surges.5 (2) An automatic aluminum license be associated with the parent company. These measures are expected to allow issuance system; and The aluminum import license issuance imports of aluminum from Canada and (3) An import monitoring website. system will be designed to allow Mexico to remain stable, at historical Importers of basic aluminum products multiple users of a single identification levels without meaningful increases, (listed in Annex II), which include all number from different locations within thus permitting the domestic capacity aluminum products currently subject to the company to enter information utilization to remain reasonably Section 232 tariff, will be required to simultaneously. commensurate with the target level obtain an aluminum import license for Any company or broker with a United recommended in the Secretary’s report.6 each shipment and must provide the States address may register and obtain a Additionally, the President noted these license number to CBP as part of the username. There is no fee to register and measures will provide effective, long- submission of the entry summary, or its a username will be issued immediately term alternative means to address the electronic equivalent. The only if all registration fields are filled out. As contribution of these countries’ imports exceptions are the low-valued imports part of the registration process, the to the threatened impairment of the (i.e., aluminum imports valued under importer, agent or customs broker will national security.7 $5,000 per shipment described below) be required to provide certain general Furthermore, in Proclamation 9893, or informal entries as described below. information. Such information will the President determined that, under the AIM will be based on automatically include the applicant company name, framework in the agreements, imports of granted import licenses that will be Employer Identification Number (EIN) aluminum from Canada and Mexico required to import covered aluminum or the CBP-issued importer number would no longer threaten to impair the products (including all aluminum (where no EIN is available), address, national security, and thus the President products currently subject to Section phone number, contact information and decided to exclude Canada and Mexico 232 duties). Because Commerce grants email address for both the company import licenses prior to the submission from the tariff proclaimed in headquarters and any branch offices that of an importation’s customs entry Proclamation 9704, as amended.8 will be applying for aluminum licenses. summary data (up to 2 months before Finally, the President noted that the This information will be used solely for release of Census data), this approach United States will monitor the the purposes of administering the ensures that the aluminum import implementation and effectiveness of aluminum import licensing and monitor will function as an early these measures in addressing our monitoring programs. The information warning system—yielding public data national security needs, and that the will not be released by Commerce, about 5–6 weeks prior to import President may revisit this except as required by U.S. law. statistics released by Census. Finally, determination, as appropriate.9 Commerce will begin registering and the proposed aluminum import issuing user login names at least two Explanation of Proposed Rule monitoring system would enable weeks prior to the implementation date Commerce to gather and publish data on Pursuant to his authority under of the aluminum licensing program. The where aluminum was ‘‘smelted and section 301 of the Census Act, as username will be needed to apply for poured,’’ in keeping with changes that amended (13 U.S.C. 301), the Secretary the license. have been proposed to regulations for Aluminum import licenses will be of Commerce proposes to establish a the SIMA system. See 19 CFR part 360 issued to registered importers, customs system of import licensing to facilitate to understand how the current SIMA brokers or their agents through an the monitoring of imports of aluminum system is currently operated. Because automatic aluminum import licensing articles, including monitoring for import the SIMA system has worked well, system. The separately issued username surges. The Secretary of Commerce has Commerce proposes to have AIM be discussed above will be required for delegated the responsibility for issuing similar for imports on certain aluminum company registration in the system. these regulations to the Assistant products. Parties are encouraged to There will be no fee charged to apply for Secretary for Enforcement and comment on any part of the proposed the import licenses. Compliance. The International Trade regulations. Commerce proposes to Similar to steel imports, aluminum Administration is thus proposing a rule, codify the Aluminum Regulations in 19 import licenses will be issued and requesting comments, to establish a CFR part 361. automatically after the completion of web-based aluminum licensing and the application form. In order to obtain import monitoring system. AIM will Aluminum Import Licensing System the license, the applicant must report operate in a similar way as the existing Similar to the steel licensing system, the following information about the SIMA system and will be codified under the aluminum import licensing system aluminum import transaction: 19 CFR 361. Minor changes have been will include both an online registration i. Filer company name and address; proposed to regulations for the SIMA system for importers and an automatic ii. Filer contact name, phone number, system which we propose to incorporate aluminum import license issuance fax number and email address; in AIM, if the modifications to the SIMA system. In order to obtain an aluminum iii. Entry type (i.e., Consumption, system are promulgated in a final rule.10 import license, an importer or the Foreign Trade Zone); The license application of AIM will importer’s agent or customs broker, iv. Importer name; be comprised of three parts: must first register with Commerce and v. Exporter name; (1) An online registration system for be assigned a username. This username vi. Manufacturer name (filer may state aluminum importers; will be required to log on to the ‘‘unknown’’); vii. Country of origin; aluminum import license issuance viii. Country of exportation; 5 Id. system. Although a primary username 6 ix. Expected date of export; Id. will be issued to an importing company x. Expected date of import; 7 Id. or brokerage house, all operating units 8 xi. Expected port of entry; Id. within the company (e.g., individual xii. Current HTS number (from 9 Id. 10 See Modification of Regulations Regarding the branches, divisions or employees) may Chapters 76); Steel Import Monitoring and Analysis System, 85 have separate usernames associated xiii. Country where aluminum was FR 17515 (March 30, 2020). with different email addresses that will smelted and poured;

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xiv. Quantity (in kilograms) and aggregate information described below issues, and temporary imports will be xv. Customs value (U.S. $). will be available to the public. All other handled separately, as explained below. Fields #1 and #2 above (e.g., applicant information including copies of the Handling of Aluminum to Foreign Trade company name and address and the licenses and the names of importers, Zones (FTZs) applicant’s contact information) will be exporters, and manufacturers, will be generated automatically in the license considered business proprietary Commerce proposes to require a form from the company registration information and will not be released to license for aluminum shipped into a information. Other information will be the public. U.S. FTZ. Because a CBP entry number available from drop down lists in the Aluminum Import Monitoring System would not be available for shipments application form (e.g., Aluminum HTS entering the FTZ, the license required numbers, country of origin/smelt, port Commerce will create a standalone for entry into the zone will not require of entry) and will not have to be typed. aluminum import monitoring website. the CBP entry number. As with steel, a A sample copy of the proposed This website will report certain separate license will not be required aluminum import license will be aggregate information on aluminum upon withdrawal from the FTZ. available for viewing on Enforcement imports categories obtained from the and Compliance’s website (https:// aluminum licenses. Aggregate Informal Entries and Low-Value trade.gov/aluminum/). information will be reported on a Aluminum Entries Upon completion of the application monthly basis by country of origin, form, the importer, customs broker or country of smelt and pour, and No import license shall be required on the importer’s agent will certify the form aluminum product category and will informal entries of aluminum products, as to the accuracy and completeness of include import quantity (metric tons), such as merchandise valued at less than the information and submit the form import Customs value (U.S. dollars) and $2,500. For additional information electronically. After refreshing the page, average unit value (dollars per metric about informal entries, refer to 19 CFR the system will automatically issue an ton). However, Commerce will not 360.101(d) of the proposed regulatory aluminum import license number. The report information if it would reveal text. For shipments containing less than refreshed form containing the submitted business proprietary information. $5,000 worth of aluminum, applicants information and the newly issued Reported monthly import data will be can apply for a reusable Low-Value license number will appear on the refreshed each week with new data on License; refer to 19 CFR 360.103(f) of screen (the ‘‘license form’’). Applicants licenses issued in the prior week. This the proposed regulatory text. can print the license form themselves. If data collected may be adjusted Interim Monitoring needed, copies of completed license periodically for corrected, canceled or forms can be retrieved by the user or unused aluminum import licenses, if The aluminum import monitor will requested from Commerce during deemed appropriate for accurate provide information on U.S. imports of normal business hours. monitoring purposes. Information aluminum from all countries by broad The aluminum import license will be provided in the public import monitor product types in both value and volume required on every entry of covered will mirror that available for steel. measures. Once the license collection aluminum product (except informal The monitoring system will also begins, additional data will be added to entries covered below). Like SIMA, a present a range of historical data for the aluminum monitor. The aluminum single license can cover multiple comparison purposes. This will include import monitor will be similar to the products as long as the information at comparisons to the previous month and monitor available for steel imports. the top of the form (i.e., importer, to the same month in the previous year; However, it will not encompass the exporter, manufacturer, and country of three month rolling averages along with preliminary Census data, which is origin and exportation, and the expected similar comparisons to the immediately incorporated into the steel monitor. dates of exportation and expected date preceding period, the same period from Over the last 10 years, there have been of importation) are the same for the the preceding year; and monthly import advancements to Census’s regular data shipment. However, separate licenses data on each aluminum product release schedule for its public monthly will be required if any of the category. The public import monitoring trade statistics. Commerce believes that information above differs with respect system for aluminum articles will be the early release preliminary data from to a given set of covered imported similar to the monitoring system for Census is not critical to the early aluminum products. As a result, a single SIMA. Commerce welcomes comments warning monitor because the aluminum CBP entry may require more than one regarding the format of the monitoring import license data will be available. aluminum import license. The system for AIM, and will incorporate However, the Department intends to applicable license number(s) must cover any changes that are feasible. keep using preliminary Census data for the total quantity of aluminum entered purposes of steel monitoring. and should match the information Duration of the Aluminum Import provided on the CBP entry summary. License Classifications There is no requirement to present The aluminum import license can be Executive Order 12866 physical copies of the license forms at applied for up to 60 days prior to the the time of entry summary; however, expected date of importation and until The Office of Management and Budget copies must be maintained in the date of filing of the entry summary (OMB) has determined that this accordance with CBP’s normal documents, or its electronic equivalent. proposed rule is significant for purposes requirements. Licenses will be issued The aluminum import license is valid of Executive Order 12866. for single use and will be specific to a for up to 75 days; however, import Executive Order 13771 shipment. licenses that were valid on the date of Certain aggregate information importation but expired prior to the This proposed rule is not expected to collected from the license application filing of entry summary data will be be subject to the requirements of system will be posted on the aluminum accepted. Special timing issues Executive Order 13771 because this import surge monitoring website. surrounding withdrawal of products proposed rule is expected to result in no Subject to comments received, only the from a warehouse, foreign trade zone more than de minimis costs.

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Paperwork Reduction Act well as to OIRA at OIRA_Submission@ Should an importer or brokerage This proposed rule contains the omb.eop.gov, or fax to 202–395–7285. company need to register for an account or apply for a license non-electronically, collection of information subject to the Executive Order 13132 a fax/phone option is available at Paperwork Reduction Act, 44 U.S.C. This proposed rule does not contain Chapter 35 (PRA). Similar requirements Commerce during regular business policies with federalism implications as hours. There will be no cost to register have been approved for steel by OMB that term is defined in section 1(a) of (OMB No.: 0625–0245; Expiration Date: for a company-specific aluminum Executive Order 13132, dated August 4, license account and no cost to file for 01/31/2021). Based on Commerce’s 1999 (64 FR 43255 (August 10, 1999)). experience with similar burdens for the license. Each license form is steel and sample data for aluminum Regulatory Flexibility Act expected to take less than 10 minutes to entries, Commerce estimates that public complete and collects much of the same The Chief Counsel for Regulation has information required for CBP entry reporting for this collection of certified to the Chief Counsel for summary. The import license is the only information will be less than 10 minutes Advocacy of the Small Business additional U.S. entry requirement that per response, including the time for Administration under the provisions of the importers or their representatives reviewing instructions, and completing the Regulatory Flexibility Act, 5 U.S.C. must fulfill in order to import each and reviewing the collection of 605(b), that the proposed rule if covered product shipment. information. Commerce also estimates adopted, would not have a significant that the average registered user will economic impact on a substantial Commerce does not charge fees for complete 173 licenses per year. number of small entities as that term is licenses. Similar to the estimates used Paperwork Reduction Act Data: defined in the Regulatory Flexibility for the steel license program, Commerce OMB Number: 0625–. Act, 5 U.S.C. 601 et seq. (RFA). A estimates that the likely aggregate ITA Number: summary of the factual basis for this license costs incurred by small entities Type of Review: Regular Submission. certification is below. in terms of the time to apply for licenses Affected Public: Business or other for- This proposed rule will not have a as a result of this proposed rule would profit. significant economic impact on a be less than two percent, or an Estimated Number of Registered substantial number of companies. This estimated $18,571, of the estimated total Users: 1,750. rule, if implemented, would: (1) Require $928,560 cost to all aluminum importers Estimated Time per Response: less import license applicants to specify to process the on-line automatic than 10 minutes. certain information including the licenses. These calculations are based Estimated Total Annual Burden country where aluminum used in the on an hourly pay rate of $20.00 Hours: 46,428 hours. manufacture of the imported aluminum multiplied by the estimated 46,428 total Estimated Total Annual Costs: $0.00. product was smelted and poured; and annual burden hours. The vast majority Notwithstanding any other provision of (2) cover the following HTS codes: 7601, of licenses are for large companies. The law, no person is required to respond to 7604, 7605, 7606, 7607, 7608, 7609, average cost of a single license is less nor shall a person be subject to a 7616.99.51.60, and 7616.99.51.70. The than $4.17 based on the estimate that penalty for failure to comply with a entities that would be impacted by this one license requires less than 10 collection of information subject to the rule are importers and brokerage minutes of the filer’s time. requirements of the Paperwork companies that import aluminum This proposed rule contains Reduction Act unless that collection of products. Based on statistics derived collection-of-information requirements information displays a current valid from current license applications for subject to review and approval by OMB OMB Control Number. steel, of the approximately 557,143 under the PRA. Request for Comments: Comments are licenses issued each year, Commerce Public reporting for this collection of invited on (a) Whether the proposed estimates that less than two percent of information is estimated to be less than collection of information is necessary the license applications would be filed 10 minutes per response, including the for the proper performance of the by importers and brokerage companies time for reviewing instructions, and functions of the agency, including considered to be small entities. AIM completing and reviewing the collection whether the information shall have would cover about half of the number of of information. practical utility; (b) the accuracy of the SIMA’s licenses based on statistics for Therefore, the proposed rule would agency’s estimate of the burden one month’s entry information. not have a significant economic impact (including hours and costs) of the Based on the current usage of the on a substantial number of small proposed collection information; (c) SIMA system, Commerce does not business entities. For this reason, an ways to enhance the quality, utility, and anticipate that this proposed rule will Initial Regulatory Flexibility Analysis is clarity of the information to be have a significant economic impact. not required and one has not been collected; and (d) ways to minimize the AIM would be similar to the SIMA prepared. burden of the collection of information system. In most cases, brokerage List of Subjects in 19 CFR Part 361 on respondents, including through the companies will apply for the license on use of automated collection techniques behalf of the aluminum importers. Many Administrative Practice and or forms of information technology. of the same brokerage firms that handle Procedure, Business and Industry, All comments on the information steel imports will likely handle Imports, Reporting and Recordkeeping collection will be summarized and/or aluminum imports. Most brokerage Requirements, Aluminum. included in the request for OMB companies that are currently involved Dated: April 8, 2020. approval of this information collection; in filing documentation for importing Jeffrey I. Kessler they also will become a matter of public goods into the United States are Assistant Secretary for Enforcement and record. Send comments regarding the accustomed to CBP’s automated entry Compliance. burden estimate or any other aspect of filing systems. Today, CBP’s filings are this collection of information, including handled electronically. Therefore, the ■ For the reasons stated in the preamble, suggestions for reducing this burden, as proposed license application should not the Department of Commerce proposes directed under ADDRESSES and DATES as be a significant obstacle to any firm. to add 19 CFR part 361 as follows:

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19 CFR PART 361—ALUMINUM requirements. Entry summaries will be issued within two business days. IMPORT MONITORING AND ANALYSIS submitted without the required license Companies will be able to register SYSTEM number(s) will be considered online through the AIM website. incomplete and will be subject to However, should a company prefer to Sec. liquidated damages for violation of the apply for a user identification number 361.101 Aluminum import licensing. bond condition requiring timely non-electronically, a phone/fax option 361.102 Online registration. completion of entry. will be available at Commerce during 361.103 Automatic issuance of import (c) Foreign Trade Zone entries. All licenses. regular business hours. 361.104 Aluminum import monitoring. shipments of covered aluminum (2) This user identification number 361.105 Duration of the aluminum import products into a foreign trade zones will be required in order to log on to the licensing requirement. (FTZ), known as FTZ admissions, will aluminum import license issuance 361.106 Fees. require an import license prior to the system. A single user identification 361.107 Hours of operation. filing of FTZ admission documents, or number will be issued to an importer, 361.108 Loss of electronic licensing its electronic equivalents. The license customs broker or importer’s agent. privileges. number(s) must be reported on the Operating units within the company § 361.101 Aluminum import licensing. application for FTZ admission and/or (e.g., individual branches, divisions or status designation (Customs Form 214) employees) will all use the same basic (a) In general. (1) All imports of basic at the time of filing. There is no company user identification code but aluminum products are subject to the requirement to present physical copies can supply suffixes to identify the import licensing requirements. These of the license forms at the time of FTZ branches. The aluminum import license products are listed in Annex II. admission; however, copies must be issuance system will be designed to Registered users will be able to obtain maintained in accordance with allow multiple users of a single aluminum import licenses on the Customs’ normal requirements. FTZ identification number from different Aluminum Import Monitoring and admission documents submitted locations within the company to enter Analysis (AIM) website. This website without the required license number(s) information simultaneously. contains two sections related to import will not be considered complete and (b) Information required to obtain a licensing—the online registration will be subject to liquidated damages for user identification number. In order to system and the automatic aluminum violation of the bond condition obtain a user identification number, the import license issuance system. requiring timely completion of importer, importing company, customs Information gathered from these admission. A further aluminum license broker or importer’s agent will be licenses will be aggregated and posted will not be required for shipments from required to provide general information. on the import monitoring section of the zones into the commerce of the United This information will include: The filer AIM system website. States. company name, employer identification (2) A single license may cover (d) Informal entries. No import license number (EIN) or Customs ID number multiple products as long as certain shall be required on informal entries of (the Customs-issued importer number information on the license (e.g., covered aluminum products, such as (where no EIN is available), U.S. street importer, exporter, manufacturer and merchandise valued at less than $2,500. address, phone number, contact country of origin) remains the same. This exemption applies to informal information and email address for both However, separate licenses for entries only; imports of aluminum the company headquarters and any aluminum entered under a single entry valued at less than $2,500 that are part branch offices that will be applying for will be required if the information of a formal entry will require a license. aluminum licenses. It is the differs. As a result, a single Customs For additional information, refer to 19 responsibility of the applicant to keep entry may require more than one CFR 143.21 through 143.28. the information up-to-date. This aluminum import license. The (e) Other non-consumption entries. information will not be released by applicable license(s) must cover the Import licenses are not required on Commerce, except as required by U.S. total quantity of aluminum entered and temporary importation bond (TIB) law. should cover the same information entries, transportation and exportation provided on the Customs entry (T&E) entries or entries into a bonded § 361.103 Automatic issuance of import summary. warehouse. Covered aluminum products licenses. (b) Entries for consumption. All withdrawn for consumption from a (a) In general. Aluminum import entries for consumption of covered bonded warehouse will require a license licenses will be issued to registered aluminum products, other than the at the entry summary, consistent with importers, customs brokers or their exception for ‘‘informal entries’’ listed the requirements for ‘‘Entries for agents through an automatic aluminum in paragraph (d) of this section and the Consumption’’ identified in paragraph import licensing system. The licenses exception for shipments from Foreign (b) of this section, above. will be issued automatically after the Trade Zones into the commerce of the completion of the form. United States listed in paragraph (c) of § 361.102 Online registration. (b) Customs entry number. Filers are this section, will require an import (a) In general. (1) Any importer, not required to report a Customs entry license prior to the filing of Customs importing company, customs broker or number to obtain an import license but entry summary documents, or its importer’s agent with a U.S. street are encouraged to do so if the Customs electronic equivalent. The license address may register and obtain the user entry number is known at the time of number(s) must be reported on the entry identification number necessary to log filing for the license. summary (Customs Form 7501), or its on to the automatic aluminum import (c) Information required to obtain an electronic equivalent, at the time of license issuance system. Foreign import license. (1) The following filing. There is no requirement to companies may obtain a user information is required to be reported in present physical copies of the license identification number if they have a order to obtain an import license (if forms at the time of entry summary. U.S. address through which they may be using the automatic licensing system, However, copies must be maintained in reached; P.O. boxes will not be some of this information will be accordance with Customs’ normal accepted. A user identification number provided automatically from

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information submitted as part of the equivalents. The aluminum import on licenses issued during the previous registration process): license is valid for 75 days; however, week. This data will also be adjusted (i) Filer company name and address; import licenses that were valid on the periodically for cancelled or unused (ii) Filer contact name, phone date of importation but expired prior to aluminum import licenses, as number, fax number and email address; the filing of entry summary data will be appropriate. (iii) Entry type (i.e., Consumption, accepted. FTZ); (e) Correcting submitted license § 361.105 Duration of the aluminum import licensing requirement. (iv) Importer name; information. Users will need to correct (v) Exporter name; licenses themselves if they determine The licensing program will be in (vi) Manufacturer name (filer may that there was an error submitted. To effect indefinitely. The licenses will be state ‘‘unknown’’); access a previously issued license, a valid for 10 business days after the (vii) Country of origin; user must log on with his user expiration of this program to allow for (viii) Country of exportation; identification code and identify the the final filing of required Customs (ix) Expected date of export; license number and the quantity (in documentation. (x) Expected date of import; kilograms) for the first product shown § 361.106 Fees. (xi) Expected port of entry; on the license. The information on the (xii) Current HTS number (from license should match the information No fees will be charged for obtaining Chapter 76); presented in the entry summary data as a user identification number, issuing an (xiii) Country where aluminum was closely as possible. This includes the aluminum import license or accessing smelted and poured; value and quantity of the shipment, the the aluminum import monitoring (xiv) Quantity (in kilograms) and expected date of importation, and the system. (xv) Customs value (U.S. $). customs port of entry. § 361.107 Hours of operation. (2) Certain fields will be automatically (f) Low-value licenses. There is one filled out by the automatic license exception to the requirement for The automatic licensing system will system based on information submitted obtaining a unique license for each generally be accessible 24 hours a day, by the filer (e.g., product category, unit Customs entry. If the total value of the 7 days a week but may be unavailable value). Filers should review these fields covered aluminum portion of an entry is at selected times for server maintenance. to help confirm the accuracy of the less than $5000, applicants may apply If the system is unavailable for an submitted data. to Commerce for a low-value license extended period of time, parties will be (3) Upon completion of the form, the that can be used in lieu of a single-entry able to obtain licenses from Commerce importer, customs broker or the license for low-value entries. directly via fax during regular business importer’s agent will certify as to the hours. Should the system be accuracy and completeness of the § 361.104 Aluminum import monitoring. inaccessible for an extended period of information and submit the form (a) Throughout the duration of the time, Commerce would advise Customs electronically. After refreshing the page, licensing requirement, Commerce will to consider this as part of mitigation on the system will automatically issue an maintain an import monitoring system any liquidated damage claims that may aluminum import license number. The on the AIM website that will report be issued. refreshed form containing the submitted certain aggregate information on imports § 361.108 Loss of electronic licensing information and the newly issued of aluminum products obtained from privileges. license number will appear on the the aluminum licenses, as described in screen (the ‘‘license form’’). Filers can paragraphs (b) and (c) of this section, Should Commerce determine that a print the license form themselves only provided that it does not reveal business filer consistently files inaccurate at that time. For security purposes, users proprietary information. licensing information or otherwise will not be able to retrieve licenses (b) Aggregate data will be reported on abuses the licensing system, Commerce themselves from the license system at a a monthly basis by country of origin, may revoke its electronic licensing later date for reprinting. If needed, country of smelt and pour, and privileges without prior notice. The filer copies of completed license forms can aluminum product category and will will then only be able to obtain a license be requested from Commerce during include import quantity (metric tons), directly from Commerce. Because of the normal business hours. import customs value (U.S. $), and additional time needed to review such (d) Duration of the aluminum import average unit value ($/metric ton). The forms, Commerce may require up to 10 license. The aluminum import license website will also contain certain working days to process such forms. can be applied for up to 60 days prior aggregate data at the 6-digit Harmonized Delays in filing caused by the removal to the expected date of importation and Tariff Schedule level and will also of a filer’s electronic filing privilege will until the date of filing of the entry present a range of historical data for not be considered a mitigating factor by summary documents, or in the case of comparison purposes. the U.S. Customs Service. FTZ admissions, the filing of Customs (c) Reported monthly import data will [FR Doc. 2020–07791 Filed 4–28–20; 8:45 am] form 214, or their electronic be refreshed each week with new data BILLING CODE 3510–DS–P

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Notices Federal Register Vol. 85, No. 83

Wednesday, April 29, 2020

This section of the FEDERAL REGISTER displacement of native plants, including and 4:30 p.m., Monday through Friday, contains documents other than rules or forest tree saplings, reduction in the except holidays. Persons wishing to proposed rules that are applicable to the quality of wildlife habitats, increased inspect copies are requested to call public. Notices of hearings and investigations, fire hazard, interference in rights-of-way ahead on (202) 799–7039 to facilitate committee meetings, agency decisions and and recreation sites, and reduced entry into the reading room. In addition, rulings, delegations of authority, filing of petitions and applications and agency livestock forage production. copies may be obtained by calling or statements of organization and functions are The insect Sericothrips staphylinus writing to the individual listed under examples of documents appearing in this was chosen as a potential biological FOR FURTHER INFORMATION CONTACT. section. control agent. Although specific The EA and FONSI have been information as to the extent of its range prepared in accordance with: (1) The has been difficult to obtain, the native National Environmental Policy Act of DEPARTMENT OF AGRICULTURE distribution of the agent is assumed to 1969 (NEPA), as amended (42 U.S.C. overlap with the majority of the range of 4321 et seq.); (2) regulations of the Animal and Plant Health Inspection gorse in Europe. Council on Environmental Quality for Service On August 20, 2019, we published in implementing the procedural provisions the Federal Register (84 FR 43099, [Docket No. APHIS–2019–0048] of NEPA (40 CFR parts 1500–1508); (3) Docket No. APHIS–2019–0048) a USDA regulations implementing NEPA Notice of Availability of a Final notice 1 in which we announced the (7 CFR part 1b); and (4) APHIS’ NEPA Environmental Assessment and availability, for public review and Implementing Procedures (7 CFR part Finding of No Significant Impact for comment, of an environmental 372). the Release of Sericothrips assessment (EA) that examined the Done in Washington, DC, this 8th day of staphylinus for Biological Control of potential environmental impacts April 2020. Gorse associated with the release of Michael Watson, Sericothrips staphylinus for the AGENCY: Animal and Plant Health Acting Administrator, Animal and Plant biological control of gorse within the Health Inspection Service. Inspection Service, USDA. contiguous United States. [FR Doc. 2020–09102 Filed 4–28–20; 8:45 am] ACTION: Notice of availability. We solicited comments on the EA for 30 days ending September 19, 2019. We BILLING CODE 3410–34–P SUMMARY: We are advising the public received 10 comments by that date. that we have prepared an environmental Eight of those comments were in favor assessment and finding of no significant of the release of the biological control COMMISSION ON CIVIL RIGHTS impact relative to permitting the release agent. Two commenters were not in of Sericothrips staphylinus for the favor of the biological control agent and Agenda and Notice of Public Meeting biological control of gorse, a spiny raised concerns regarding the release of of the North Carolina Advisory shrub, within the contiguous United the insect. These comments are Committee States. Based on our finding of no addressed in Appendix 5 of the final AGENCY: Commission on Civil Rights. significant impact, we have determined EA. ACTION: Announcement of meeting. that an environmental impact statement In this document, we are advising the need not be prepared. public of our finding of no significant SUMMARY: Notice is hereby given, FOR FURTHER INFORMATION CONTACT: Dr. impact (FONSI) regarding the release of pursuant to the provisions of the rules Colin D. Stewart, Assistant Director, Sericothrips staphylinus for the and regulations of the U.S. Commission Pests, Pathogens, and Biocontrol biological control of gorse within the on Civil Rights (Commission), and the Permits, Permitting and Compliance contiguous United States. The finding, Federal Advisory Committee Act Coordination, PPQ, APHIS, 4700 River which is based on the EA, reflects our (FACA), that a planning meeting of the Road Unit 133, Riverdale, MD 20737– determination that release of the North Carolina State Advisory 1231; (301) 851–2327; email: Sericothrips staphylinus will not have a Committee to the Commission will [email protected]. significant impact on the quality of the convene by conference call, on SUPPLEMENTARY INFORMATION: human environment. Concurrent with Thursday, May 14, 2020 at 11:00 a.m. During the late 1800s, gorse was this announcement, we will issue a (EST). The purpose of the meeting is to introduced into North America from permit for the release of Sericothrips discuss its civil rights project on legal Western Europe. Gorse (Ulex eurpaeus) staphylinus for the biological control of financial obligations. is a spiny shrub found in eastern States, gorse.The EA and FONSI may be viewed DATES: Thursday, May 14, 2020 at 11:00 Washington, Oregon, California, and on the Regulations.gov website (see a.m. (EST). Hawaii. This plant is most often a pest footnote 1). Copies of the EA and FONSI Call-in Information: 1–206–800–4892 of disturbed sites in open wild or less- are also available for public inspection and conference call ID: 818972654#. developed areas where management is at USDA, Room 1141, South Building, FOR FURTHER INFORMATION CONTACT: minimal or non-existent. Gorse’s 14th Street and Independence Avenue Mallory Trachtenberg at invasiveness is most prolific in the SW, Washington, DC, between 8 a.m. [email protected] or by phone at maritime climate within a few miles of (312) 353–8311. 1 To view the notice, supporting documents, and SUPPLEMENTARY INFORMATION: the ocean, where sandy soils and rocky the comments we received, go to http:// This outcrops are especially vulnerable to www.regulations.gov/#!docketDetail;D=APHIS- meeting is available to the public invasion. Gorse’s impacts include 2019-0048. through the telephone number and

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conference ID listed above. Callers can on Civil Rights (Commission), and the meeting may also be inspected and expect to incur charges for calls they Federal Advisory Committee Act reproduced at the Eastern Regional initiate over wireless lines, and the (FACA), that a meeting of the Office, as they become available, both Commission will not refund any Massachusetts Advisory Committee to before and after the meetings. Persons incurred charges. Persons with hearing the Commission will convene by interested in the work of this advisory impairments may also follow the conference call on Thursday, April 30, committee are advised to go to the proceedings by first calling the Federal 2020 at 2:00 p.m. (EDT). To review and Commission’s website, www.usccr.gov, Relay Service at 1–800–877–8339 and vote on a statement of concern regarding or to contact the Eastern Regional Office providing the Service with the detention facilities in Massachusetts. at the above phone numbers, email or conference call-in numbers: 1–206–800– DATES: Thursday, April 30, 2020 at 2:00 street address. 4892 and conference call ID: p.m. (EDT). 818972654#. Public Call-In Information: Agenda Members of the public are entitled to Conference call-in number: 5259966 and Thursday, April 30, 2020; 2:00 p.m. make comments during the open period conference ID: 1–888–254–3590. (EDT) at the end of the meeting. Members of FOR FURTHER INFORMATION CONTACT: 1. Roll Call the public may also submit written Evelyn Bohor at [email protected] or by comments; the comments must be 2. Review and Edit Statement of Concer phone at 202–376–7533. 3. Vote on Statement received in the Regional Programs Unit SUPPLEMENTARY INFORMATION: Interested 4. Other Business within 30 days following the respective members of the public may listen to the 5. Open Comment meeting. Written comments may be discussion by calling the following toll- 6. Adjourn emailed to Mallory Trachtenberg at free conference call-in number: 5259966 Dated: April 24, 2020. [email protected]. Persons who and conference ID: 1–888–254–3590. David Mussatt, desire additional information may Please be advised that before placing contact the Regional Programs Unit at Supervisory Chief, Regional Programs Unit. them into the conference call, the [FR Doc. 2020–09081 Filed 4–28–20; 8:45 am] (312) 353–8311. Records and documents conference call operator will ask callers BILLING CODE P discussed during the meeting will be to provide their names, their available for public viewing as they organizational affiliations (if any), and become available at https://www.faca email addresses (so that callers may be COMMISSION ON CIVIL RIGHTS database.gov/FACA/apex/FACA notified of future meetings). Callers can PublicCommittee?id=a10t0000001 expect to incur charges for calls they Notice of Public Meeting of the gzldAAA; click the ‘‘Meeting Details’’ initiate over wireless lines, and the Missouri Advisory Committee to and ‘‘Documents’’ links. Records Commission will not refund any discuss voting as a topic of study in generated from this meeting may also be incurred charges. Callers will incur no the state inspected and reproduced at the charge for calls they initiate over land- Midwestern Regional Office, as they line connections to the toll-free AGENCY: U.S. Commission on Civil become available, both before and after conference call-in number. Rights. the meetings. Persons interested in the Persons with hearing impairments ACTION: Announcement of meeting. work of this advisory committee are may also follow the discussion by first SUMMARY: Notice is hereby given, advised to go to the Commission’s calling the Federal Relay Service at 1– pursuant to the provisions of the rules website, www.usccr.gov, or to contact 800–877–8339 and providing the and regulations of the U.S. Commission the Midwestern Regional Office at the operator with the toll-free conference on Civil Rights (Commission) and the above phone number or email. call-in number: 5259966 and conference Federal Advisory Committee Act that Agenda ID: 1–888–254–3590. Members of the public are invited to the Missouri Advisory Committee I. Welcome and Roll Call make statements during the open (Committee) will hold a meeting on II. Approval of Minutes Thursday, May 7, 2020 at 3:30 p.m. III. Announcements and Updates comment period of the meeting or submit written comments. The (Central) for the purpose discussing IV. Discussion: Civil Rights Project on voting as a topic of study in the state. Legal Financial Obligations comments must be received in the regional office approximately 30 days DATES: The meeting will be held on V. Next Steps Thursday, May 7, 2020 at 3:30 p.m. VI. Adjournment after each scheduled meeting. Written comments may be mailed to the Eastern (Central) Dated: April 24, 2020. Regional Office, U.S. Commission on Public Call Information: Dial: 206– David Mussatt, Civil Rights, 1331 Pennsylvania 800–4892, Conference ID: 150420354. Supervisory Chief, Regional Programs Unit. Avenue, Suite 1150, Washington, DC FOR FURTHER INFORMATION CONTACT: [FR Doc. 2020–09101 Filed 4–28–20; 8:45 am] 20425, faxed to (202) 376–7548, or David Barreras, DFO, at dbarreras@ BILLING CODE P emailed to Evelyn Bohor at ero@ usccr.gov or 312–353–8311. usccr.gov. Persons who desire SUPPLEMENTARY INFORMATION: Members additional information may contact the of the public can listen to the COMMISSION ON CIVIL RIGHTS Eastern Regional Office at (202) 376– discussion. This meeting is available to 7533. the public through the following call-in Notice of Public Meeting of the Records and documents discussed number: 206–800–4892, conference ID: Massachusetts Advisory Committee during the meeting will be available for 150420354. Any interested member of AGENCY: Commission on Civil Rights. public viewing as they become available the public may call this number and ACTION: Announcement of meeting. at https://www.facadatabase.gov/FACA/ listen to the meeting. An open comment FACAPublicViewCommitteeDetails?id= period will be provided to allow SUMMARY: Notice is hereby given, a10t0000001gzllAAA, click the members of the public to make a pursuant to the provisions of the rules ‘‘Meeting Details’’ and ‘‘Documents’’ statement as time allows. The and regulations of the U.S. Commission links. Records generated from this conference call operator will ask callers

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to identify themselves, the organization DEPARTMENT OF COMMERCE fully extended the deadline for issuance they are affiliated with (if any), and an of these final results to April 20, 2020.5 International Trade Administration email address prior to placing callers Scope of the Order into the conference room. Callers can [A–552–801] expect to incur regular charges for calls The product covered by the order is they initiate over wireless lines, Certain Frozen Fish Fillets From the frozen fish fillets, including regular, according to their wireless plan. The Socialist Republic of Vietnam: Final shank, and strip fillets and portions thereof, whether or not breaded or Commission will not refund any Results of Antidumping Duty marinated, of the species Pangasius incurred charges. Callers will incur no Administrative Review and Final Bocourti, Pangasius Hypophthalmus charge for calls they initiate over land- Determination of No Shipments; 2017– 2018 (also known as Pangasius Pangasius) line connections to the toll-free and Pangasius Micronemus. For a telephone number. Persons with hearing AGENCY: Enforcement and Compliance, complete description of the scope of this impairments may also follow the International Trade Administration, order, see the Issues and Decision proceedings by first calling the Federal Department of Commerce. Memorandum.6 Relay Service at 1–800–977–8339 and SUMMARY: The Department of Commerce providing the Service with the Analysis of Comments Received (Commerce) determines that certain conference call number and conference We addressed all issues raised in the frozen fish fillets (fish fillets) from the case and rebuttal briefs filed by ID number. Socialist Republic of Vietnam (Vietnam) interested parties in the Issues and Members of the public are also were sold in the United States at less Decision Memorandum. A list of the entitled to submit written comments; than normal value during the period of issues parties raised is attached as the comments must be received in the review (POR) August 1, 2017 through Appendix I to this notice. The Issues regional office within 30 days following July 31, 2018. and Decision Memorandum is a public the meeting. Written comments may be DATES: Applicable April 29, 2020. document and is on file in the Central mailed to the Midwestern Regional FOR FURTHER INFORMATION CONTACT: Records Unit (CRU), Room B8024 of the Office, U.S. Commission on Civil Rights, Javier Barrientos, AD/CVD Operations, main Commerce building, as well as 230 S Dearborn Street, Suite 2120, Office V, Enforcement and Compliance, electronically via Enforcement and Chicago, IL 60604. They may also be International Trade Administration, Compliance’s Antidumping and faxed to the Commission at (312) 353– U.S. Department of Commerce, 1401 Countervailing Duty Centralized 8324 or emailed to David Barreras at Constitution Avenue NW, Washington, Electronic Service System (ACCESS). [email protected]. Persons who DC 20230; telephone: (202) 482–2243. ACCESS is available to registered users desire additional information may SUPPLEMENTARY INFORMATION: at http://access.trade.gov. In addition, a contact the Midwestern Regional Office complete version of the Issues and at (312) 353–8311. Background Decision Memorandum can be accessed Records generated from this meeting On October 22, 2019, Commerce directly at http://enforcement.trade.gov/ may be inspected and reproduced at the published the Preliminary Results of frn/index.html. The signed Issues and 1 Midwestern Regional Office, as they this administrative review. From Decision Memorandum and the become available, both before and after February 3, 2020 through February 11, electronic version of the Issues and 2020, we conducted verification of the the meeting. Records of the meeting will Decision Memorandum are identical in questionnaire responses of NTSF content. be available via www.facadatabase.gov Seafoods Joint Stock Company (NTSF).2 under the Commission on Civil Rights, Changes Since the Preliminary Results On February 13, 2020, we extended the Missouri Advisory Committee link deadline for the final results of this Based on a review of the record and (https://facadatabase.gov/committee/ review to April 17, 2020.3 Between comments received from interested committee.aspx?cid=258&aid=17). March 18, 2020 and March 25, 2020, parties, and for the reasons explained in Persons interested in the work of this interested parties submitted case and the Issues and Decision Memorandum, Committee are directed to the rebuttal briefs.4 On April 15, 2020, we we applied certain changes to NTSF’s Commission’s website, http:// antidumping margin. Accordingly, for www.usccr.gov, or may contact the 1 See Certain Frozen Fish Fillets From the these final results, Commerce also Midwestern Regional Office at the above Socialist Republic of Vietnam: Preliminary Results updated the antidumping margin of the Antidumping Duty Administrative Review assigned to the non-selected separate email or street address. and Preliminary Determination of No Shipments; rate company, i.e., Can Tho Import Agenda 2017–2018, 84 FR 56420 (October 22, 2019) (Preliminary Results) and accompanying Preliminary Decision Memorandum. Vietnam (08/01/17–07/31/18): IDI Case Brief,’’ Welcome and Roll Call 2 See Memorandum, ‘‘Verification of the dated March 18, 2020; Petitioners’ Letter, ‘‘Certain Discussion of Voting sub-topics Questionnaire Responses of NTSF Seafoods Joint Frozen Fish Fillets from the Socialist Republic of Stock Company in the 2017–2018 Administrative Vietnam: Rebuttal Brief,’’ dated March 23, 2020; Next Steps Review of Certain Frozen Fish Fillets from the and NTSF’s Letter, ‘‘Certain Frozen Fish Fillets Public Comment Socialist Republic of Vietnam,’’ dated March 13, from Vietnam: Rebuttal Brief,’’ March 23, 2020. 2020. 5 See Memorandum, ‘‘15th Administrative Adjournment 3 See Memorandum, ‘‘Certain Frozen Fish Fillets Review of the Antidumping Duty Order on Certain from the Socialist Republic of Vietnam: Extension Frozen Fish Fillets from Vietnam: Extension of Dated: April 24, 2020. of Deadline for Final Results of Antidumping Duty Deadline for Final Results of Antidumping Duty David Mussatt, Administrative Review,’’ dated February 13, 2020. Administrative Review,’’ dated April 15, 2020. 4 6 Supervisory Chief, Regional Programs Unit. See Petitioners’ Letter, ‘‘Certain Frozen Fish See Memorandum, ‘‘Certain Frozen Fish Fillets Fillets from the Socialist Republic of Vietnam: Case from the Socialist Republic of Vietnam: Issues and [FR Doc. 2020–09077 Filed 4–28–20; 8:45 am] Brief,’’ dated March 18, 2020; NTSF’s Letter, Decision Memorandum for the Final Results of the BILLING CODE P ‘‘Frozen Fish Fillets from Vietnam: NTSF’s Case Fifteenth Antidumping Duty Administrative Brief,’’ dated March 18, 2020; IDI’s Letter, Review; 2017–2018,’’ dated concurrently with, and ‘‘Administrative Review of AD Order on Certain hereby adopted by, this notice (Issues and Decision Frozen Fish Fillets from the Socialist Republic of Memorandum) at 2–3.

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Export Seafood Joint Stock Company eligibility for a separate rate.10 We have instruct CBP to liquidate that importer’s (Caseamex). For a discussion of the not received any information since the (or customer’s) entries of subject above-referenced changes, see the issuance of the Preliminary Results that merchandise without regard to ‘‘Changes Since the Preliminary provides a basis for reconsidering this antidumping duties. Pursuant to Results’’ section of the Issues and preliminary finding. Therefore, Commerce’s assessment practice, for Decision Memorandum. Commerce continues to find that these entries that were not reported in the companies are part of the Vietnam-wide U.S. sales database submitted by NTSF Final Determination of No Shipments entity.11 during this review, Commerce will In the Preliminary Results, Commerce Final Results of the Review instruct CBP to liquidate such entries at preliminarily determined that Golden the Vietnam-wide entity rate. Quality Seafood Corporation, Nam Viet The weighted-average dumping For the separate rate company that Corporation, Hoa Phat Seafood Import- margins for the final results of this was not selected for individual review, Export and Processing J.S.C., To Chau administrative review are as follows: i.e., Caseamex, we assigned the Joint Stock Company, Fatifish Company company the margin of the mandatory Weighted- Limited, and Godaco Seafood Joint average respondent, NTSF. Where we Stock Company had no shipments Exporter margin determined that an exporter under during the POR. Consistent with (dollars/ review had no shipments of the subject Commerce’s refinement to its kilogram) 12 merchandise to the United States during assessment practice in non-market the POR, any suspended entries that NTSF Seafoods Joint Stock economy (NME) cases, we completed Company (NTSF) ...... 0.15 entered during the POR under that the review with respect to the above- Can Tho Import Export Sea- exporter’s case number will be named companies.7 Following the food Joint Stock Company liquidated at the Vietnam-wide rate.13 publication of the Preliminary Results, (Caseamex)* ...... 0.15 Additionally, we intend to instruct CBP we received no comments from to liquidate entries containing subject * Caseamex is a separate rate respondent interested parties regarding these not individually examined. merchandise exported by the Vietnam- companies, nor has any party submitted wide entity at the Vietnam-wide rate. record evidence which would call our Assessment Rates Cash Deposit Requirements preliminary no shipment determination Pursuant to section 751(a)(2)(A) of the into question. Therefore, for these final Act of 1930, as amended (the Act), and The following cash deposit results, we continue to find that these 19 CFR 351.212(b), Commerce has requirements will be effective upon six companies did not have any determined, and CBP shall assess, publication of the final results of this reviewable transactions during the POR. antidumping duties on all appropriate administrative review for all shipments As noted in the ‘‘Assessment Rates’’ entries of subject merchandise in of subject merchandise entered, or section below, Commerce intends to accordance with the final results of this withdrawn from warehouse, for issue appropriate instructions to U.S. review. Commerce intends to issue consumption on or after the publication Customs and Border Protection (CBP) appropriate assessment instructions date, as provided for by section for the above-named companies based directly to CBP 15 days after publication 751(a)(2) of the Act: (1) For the on the final results of this review. of the final results of this administrative exporters listed above, the cash deposit rate will be the rate established in the Separate Rates review. We calculated importer (or customer)- final results of review; (2) for previously In our Preliminary Results, we denied specific assessment rates for investigated or reviewed Vietnamese International Development and merchandise subject to this review on a and non-Vietnamese exporters not listed Investment Corporation (IDI) a separate per-unit (i.e., per-kilogram) basis. above that have separate rates, the cash rate.8 Based on information on the Specifically, we calculated a per-unit deposit rate will continue to be the record, and for the reasons explained in assessment rate by aggregating the exporter-specific rate published for the the Issues and Decision Memorandum, antidumping duties due for all U.S. most recent period; (3) for all we continue to find that IDI is not sales to that importer (or customer) and Vietnamese exporters of subject eligible for a separate rate.9 Thus, we divided this amount by the total merchandise which have not been find IDI to be part of the Vietnam-wide quantity sold to that importer (or found to be entitled to a separate rate, entity. customer) during the POR. To determine the cash deposit rate will be the We continue to find that the non- whether the duty assessment rates are Vietnam-wide rate of $2.39 per individually-examined exporter de minimis, in accordance with the kilogram; and (4) for all non-Vietnamese Caseamex and individually-examined requirement set forth in 19 CFR exporters of subject merchandise which respondent NTSF have demonstrated 351.106(c)(2), we calculate importer- (or have not received their own rate, the eligibility for separate rates. As noted customer-) specific ad valorem ratios cash deposit rate will be the rate below, we have assigned Caseamex the based on the estimated entered value. If applicable to the Vietnamese exporters rate established for NTSF. an importer (or customer)-specific that supplied that non-Vietnamese assessment rate is de minimis (i.e., less exporter. The deposit requirements, Vietnam-Wide Entity than 0.50 percent), Commerce will when imposed, shall remain in effect In the Preliminary Results, Commerce until further notice. 10 See Preliminary Results, 84 FR at 56421. found that certain companies for which Disclosure a review was requested did not establish 11 See Appendix II. 12 In the third administrative review of this order, We intend to disclose the calculations Commerce determined that it would calculate per- performed regarding these final results 7 See Non-Market Economy Antidumping unit assessment and cash deposit rates for all future Proceedings: Assessment of Antidumping Duties, 76 reviews. See Certain Frozen Fish Fillets from the within five days of the date of FR 65694, 65694–95 (October 24, 2011). Socialist Republic of Vietnam: Final Results of 8 See Preliminary Results, 84 FR at 56421. Antidumping Duty Administrative Review and 13 See Non-Market Economy Antidumping 9 See Issues and Decision Memorandum at Partial Rescission, 73 FR 15479, 15481 (March 24, Proceedings: Assessment of Antidumping Duties, 76 Comment 6. 2008). FR 65694 (October 24, 2011).

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publication of this notice to parties in Appendix II SUMMARY: The Department of Commerce this proceeding in accordance with 19 Vietnam-wide Entity (Commerce) is amending the final CFR 351.224(b). results of the administrative review of 1. An Giang Agriculture and Food Import- the antidumping duty (AD) order on Notification to Importers Export Joint Stock Company (also known as Afiex, An Giang Agriculture and certain corrosion-resistant steel This notice also serves as a final Foods Import-Export Joint Stock products (CORE) from Taiwan to correct reminder to importers of their Company, An Giang Agriculture and a ministerial error. responsibility under 19 CFR 351.402(f) Food Import-Export Company, An Giang DATES: Applicable April 29, 2020. to file a certificate regarding the Agriculture and Foods Import and FOR FURTHER INFORMATION CONTACT: reimbursement of antidumping duties Export Company, or An Giang Shanah Lee, AD/CVD Operations, Office prior to liquidation of the relevant Agriculture and Foods Import-Export III, Enforcement and Compliance, Company) entries during this POR. Failure to 2. An My Fish Joint Stock Company (also International Trade Administration, comply with this requirement could known as Anmyfish or Anmyfishco) U.S. Department of Commerce, 1401 result in Commerce’s presumption that 3. An Phu Seafood Corporation (also known Constitution Avenue NW, Washington, reimbursement of antidumping duties as ASEAFOOD or An Phu Seafood Corp.) DC 20230; telephone: (202) 482–6386. occurred and the subsequent assessment 4. Asia Commerce Fisheries Joint Stock SUPPLEMENTARY INFORMATION: of doubled antidumping duties. Company (also known as Acomfish JSC or Acomfish) Background Administrative Protective Order 5. Binh An Seafood Joint Stock Company On March 24, 2020, Commerce (also known as Binh An or Binh An published its Final Results of the second This notice also serves as a reminder Seafood Joint Stock Co.) to parties subject to administrative 6. Cuu Long Fish Import-Export Corporation administrative review of the AD order 1 protective order (APO) of their (also known as CL Panga Fish) on CORE from Taiwan. On March 20, responsibility concerning the return or 7. Cuu Long Fish Joint Stock Company (also 2020, Prosperity Tieh Enterprise Co., destruction of proprietary information known as CL-Fish, CL–FISH CORP, or Ltd. (Prosperity), one of the respondents disclosed under APO in accordance Cuu Long Fish Joint Stock Company) in this administrative review, timely with 19 CFR 351.305(a)(3), which 8. Da Nang Seaproducts Import-Export submitted comments alleging a continues to govern business Corporation (also known as Da Nang or ministerial error in Commerce’s Final Da Nang Seaproducts Import/Export Results.2 proprietary information in this segment Corp.) of the proceeding. Timely written 9. East Sea Seafoods LLC (also known as ESS Legal Framework notification of the return or destruction LLC, ESS, ESS JVC, East Sea Seafoods A ministerial error, as defined in of APO materials, or conversion to Limited Liability Company, East Sea judicial protective order, is hereby Seafoods Joint Venture Co., Ltd.) section 751(h) of the Tariff Act of 1930, requested. Failure to comply with the 10. Hiep Thanh Seafood Joint Stock as amended (the Act), includes ‘‘errors regulations and terms of an APO is a Company (also known as Hiep Thanh or in addition, subtraction, or other violation which is subject to sanction. Hiep Thanh Seafood Joint Stock Co.) arithmetic function, clerical errors 11. International Development & Investment resulting from inaccurate copying, Notification to Interested Parties Corporation (also known as IDI or duplication, or the like, and any other International Development and type of unintentional error which the We are issuing and publishing these Investment Corporation) administering authority considers final results of administrative review in 12. Ngoc Ha Co. Ltd. Food Processing and ministerial.’’ 3 With respect to final accordance with sections 751(a)(l) and Trading (also known as Ngoc Ha or Ngoc Ha Co., Ltd. Foods Processing and results of administrative reviews, 19 777(i) of the Act, and 19 CFR CFR 351.224(e) provides that Commerce 351.221(b)(5). Trading) 13. Quang Minh Seafood Company Limited ‘‘will analyze any comments received Dated: April 20, 2020. (also known as Quang Minh, Quang and, if appropriate, correct any Jeffrey I. Kessler, Minh Seafood Co., Ltd., or Quang Minh ministerial error by amending . . . the Assistant Secretary for Enforcement and Seafood Co.) final results of review. . . .’’ Compliance. 14. Saigon-Mekong Fishery Co., Ltd. (also known as SAMEFICO or Saigon Mekong Ministerial Error Appendix I Fishery Co., Ltd.) Commerce committed an inadvertent, List of Topics Discussed in the Issues and 15. Sunrise Corporation unintentional error within the meaning Decision Memorandum 16. TG Fishery Holdings Corporation (also of section 751(h) of the Act and 19 CFR known as TG) I. Summary 351.224(f) with respect to our treatment II. Background [FR Doc. 2020–09089 Filed 4–28–20; 8:45 am] of certain U.S. sales that were invoiced III. Scope of the Order BILLING CODE 3510–DS–P prior to the imposition of section 232 IV. Changes Since the Preliminary Results duties but entered after the imposition V. Separate Rates of the 232 duties. Specifically, we DEPARTMENT OF COMMERCE VI. Discussion of the Issues inadvertently treated the amount that Comment 1: Whether to Calculate a Margin Prosperity charged its customers to for NTSF International Trade Administration Comment 2: Selection of Surrogate Country cover 232 duties as the amount of 232 Comment 3: Applying Adverse Facts [A–583–856] Available (AFA) to NTSF Vinh Long’s 1 See Certain Corrosion-Resistant Steel Products Farming Factors Certain Corrosion-Resistant Steel from Taiwan: Final Results of Antidumping Duty Comment 4: Surrogate Value (SV) for Products From Taiwan: Amended Final Administrative Review; 2017–2018, 85 FR 16613 (March 24, 2020) (Final Results). Movement Expenses Results of Antidumping Duty 2 See Prosperity’s Letter, ‘‘Corrosion-Resistant Comment 5: Net-to-Gross-Weight Administrative Review; 2017–2018 Steel Products from Taiwan, 7/1/2017–6/30/2018 Conversion for Movement Expenses Administrative Review, Case No. A–583–856: Comment 6: Whether to Grant IDI a AGENCY: Enforcement and Compliance, Ministerial Error Comments,’’ dated March 20, Separate Rate International Trade Administration, 2020. VII. Recommendation Department of Commerce. 3 See 19 CFR 351.224(f).

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duties paid, and therefore mistakenly Cash Deposit Requirements with 19 CFR 351.305(a)(3), which reduced, rather than increased, U.S. The following cash deposit continues to govern business price by that amount. Accordingly, requirements will be effective proprietary information in this segment Commerce determines that, in retroactively for all shipments of subject of the proceeding. Timely written accordance with section 751(h) of the merchandise that entered, or withdrawn notification of return or destruction of Act and 19 CFR 351.224(e), it made a from warehouse, for consumption on or APO materials or conversion to judicial ministerial error in the Final Results. after the March 24, 2020, the date of protective order is hereby requested. Pursuant to 19 CFR 351.224(e), publication of the Final Results of this Failure to comply with the regulations Commerce is amending the Final administrative review, as provided for and the terms of an APO is a Results to reflect the correction of this by section 751(a)(2)(C) of the Act: (1) sanctionable violation. ministerial error in the calculation of The cash deposit rate for Prosperity will Notification to Interested Parties the final margin assigned to Prosperity, be equal to the weighted-average which changes from 3.48 percent to 0.60 dumping margin established in these The amended final results and notice percent.4 amended final results of review; (2) for are issued and published in accordance with sections 751(h) and 777(i) of the Amended Final Results of the Review previously reviewed or investigated companies, including those for which Act and 19 CFR 351.224(e). As a result of correcting the Commerce may have determined they Dated: April 23, 2020. ministerial error described above, had no shipments during the POR, the Jeffrey I. Kessler, Commerce determines that, for the cash deposit rate will continue to be the Assistant Secretary for Enforcement and period of July 1, 2017 through June 30, company-specific rate published for the Compliance. 2018, the following weighted-average most recently completed segment of this [FR Doc. 2020–09104 Filed 4–28–20; 8:45 am] dumping margin exists: proceeding; (3) if the exporter is not a BILLING CODE 3510–DS–P firm covered in this review or another Weighted- completed segment of this proceeding, average but the manufacturer is, then the cash DEPARTMENT OF COMMERCE Exporter/producer dumping deposit rate will be the rate established margin (percent) for the most recently completed segment International Trade Administration of this proceeding for the manufacturer [A–570–114] Prosperity Tieh Enterprise of the merchandise; and (4) if neither Co., Ltd ...... 0.60 the exporter nor the manufacturer is a Certain Glass Containers From the firm covered in this or any previously People’s Republic of China: Disclosure completed segment of this proceeding, Preliminary Affirmative Determination then the cash deposit rate will be the of Sales at Less Than Fair Value, We intend to disclose the calculation ‘‘all-others’’ rate of 3.66 percent Postponement of Final Determination performed for these amended final established in the amended final of the and Extension of Provisional Measures results in accordance with 19 CFR less-than-fair-value investigation.6 351.224(b). These cash deposit requirements, when AGENCY: Enforcement and Compliance, imposed, shall remain in effect until International Trade Administration, Antidumping Duty Assessment further notice. Department of Commerce. SUMMARY: The Department of Commerce Normally, Commerce would issue Notification to Importers appropriate assessment instructions to (Commerce) preliminarily determines This notice also serves as a final that certain glass containers (glass U.S. Customs and Border Protection reminder to importers of their (CBP) 15 days after the date of containers) from the People’s Republic responsibility under 19 CFR of China (China) are being, or are likely publication of these amended final 351.402(f)(2) to file a certificate results of review, to liquidate shipments to be, sold in the United States at less regarding the reimbursement of than fair value (LTFV). The period of of subject merchandise produced and/or antidumping duties prior to liquidation exported by Prosperity entered, or investigation (POI) is January 1, 2019 of the relevant entries during this POR. through June 30, 2019. Interested parties withdrawn from warehouse, for Failure to comply with this requirement consumption during the July 1, 2017 are invited to comment on this could result in the Secretary’s preliminary determination. through June 30, 2018 period of review. presumption that reimbursement of DATES: Applicable April 29, 2020. However, on April 8, 2020, the Court antidumping and/or countervailing FOR FURTHER INFORMATION CONTACT: enjoined liquidation of entries produced duties occurred and the subsequent Lilit and exported by Prosperity, and assessment of doubled antidumping Astvatsatrian or Aleksandras Nakutis, imported by Prosperity Tieh USA, that duties. AD/CVD Operations, Office IV, are subject to the Final Results.5 Enforcement and Compliance, Accordingly, Commerce will not Administrative Protective Order International Trade Administration, instruct CBP to assess antidumping This notice also serves as a reminder U.S. Department of Commerce, 1401 duties on those enjoined entries to parties subject to administrative Constitution Avenue NW, Washington, pending resolution of the associated protective orders (APO) of their DC 20230; telephone: (202) 482–6412 or liquidation. responsibility concerning the (202) 482–3147, respectively. disposition of proprietary information SUPPLEMENTARY INFORMATION: 4 disclosed under APO in accordance See Memorandum, ‘‘Certain Corrosion-Resistant Background Steel Products from Taiwan: Prosperity Tieh Enterprise Co., Ltd.—Amended Final Results 6 See Corrosion-Resistant Steel Products from This preliminary determination is Calculation in the 2017–2018 Antidumping Duty Taiwan: Notice of Court Decision Not in Harmony made in accordance with section 733(b) Administrative Review,’’ dated concurrently with With Final Determination of Antidumping Duty of the Tariff Act of 1930, as amended this decision. Investigation and Notice of Amended Final 5 The Court issued a statutory injunction under Determination of Investigation, 84 FR 6129 (the Act). Commerce published the case number 16–00138 (April 8, 2020). (February 26, 2019). notice of initiation of this investigation

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on October 21, 2019.1 On February 19, Scope of the Investigation Methodology 2020, Commerce postponed the The products covered by this Commerce is conducting this preliminary determination in this investigation in accordance with section investigation. The revised deadline is investigation are glass containers from China. For a complete description of the 731 of the Act. Commerce has now April 22, 2020.2 For a complete calculated export prices in accordance description of the events that followed scope of this investigation, see Appendix I. with section 772(a) of the Act. Because the initiation of this investigation, see China is a non-market economy, within the Preliminary Decision Scope Comments the meaning of section 771(18) of the Memorandum.3 A list of topics included Act, Commerce has calculated normal in the Preliminary Decision In accordance with the preamble to value (NV) in accordance with section 4 Memorandum is included as Appendix Commerce’s regulations, the Initiation 773(c) of the Act. For a full description II to this notice. The Preliminary Notice set aside a period of time for of the methodology underlying Decision Memorandum is a public parties to raise issues regarding product Commerce’s preliminary determination, 5 document and is on file electronically coverage (i.e., scope). Certain interested see the Preliminary Decision parties commented on the scope of the via Enforcement and Compliance’s Memorandum. investigation as it appeared in the Antidumping and Countervailing Duty Initiation Notice. For a summary of the Combination Rates Centralized Electronic Service System product coverage comments and 7 (ACCESS). ACCESS is available to In the Initiation Notice, Commerce rebuttal responses submitted to the registered users at https:// explained that it would calculate record for this investigation, and producer/exporter combination rates for access.trade.gov. In addition, a complete accompanying discussion and analysis the respondents that are eligible for a version of the Preliminary Decision of all comments timely received, see the separate rate in this investigation. Policy Memorandum can be accessed directly Preliminary Scope Decision Bulletin 05.1 describes this practice.8 at http://enforcement.trade.gov/frn/. Memorandum.6 Commerce is not The signed and the electronic versions preliminarily modifying the scope Preliminary Determination of the Preliminary Decision language as it appeared in the Initiation Commerce preliminarily determines Memorandum are identical in content. Notice. See the scope in Appendix I to that the following estimated weighted- this notice. average dumping margins exist:

Estimated Cash weighted- deposit rate average (adjusted Producer Exporter dumping for subsidy margin offsets) (percent) (percent)

Guangdong Huaxing Glass Co., Ltd ...... Guangdong Huaxing Glass Co., Ltd ...... 24.90 14.36 Foshan Huaxing Glass Co., Ltd ...... Guangdong Huaxing Glass Co., Ltd ...... 24.90 14.36 Qixia Changyu Glass Co., Ltd ...... Qixia Changyu Glass Co., Ltd ...... 7.60 0.00 Anhui Longrui Glass Co., Ltd ...... Anhui Longrui Glass Co., Ltd ...... 13.76 3.22 Xuzhou Ruijing Glass Products Co., Ltd ...... Golden Ace Industrial Co., Ltd ...... 13.76 3.22 Shandong Huapeng Glass Co., Ltd ...... Happyann Crafts Int’l Co., Ltd ...... 13.76 3.22 Shenyang Hongye Glass Containers Co., Ltd ...... Happyann Crafts Int’l Co., Ltd ...... 13.76 3.22 Shandong Pharmaceutical Glass Co., Ltd ...... Hongkong Happyann Trading Company Limited ...... 13.76 3.22 Shandong Jingbo Groups Co., Ltd ...... Hongkong Happyann Trading Company Limited ...... 13.76 3.22 Taixing Jili Glass Products Co., Ltd ...... Hongkong Happyann Trading Company Limited ...... 13.76 3.22 Shanxi Qi County Guanghua Glassware Co., Ltd ...... Meridian International Ltd ...... 13.76 3.22 Hejian Jiarui Glassware Factory ...... Meridian International Ltd ...... 13.76 3.22 Shijiazhuang Langxu Arts & Crafts Co., Ltd ...... Meridian International Ltd ...... 13.76 3.22 Xuzhou Youcheng Glass Products Co., Ltd ...... Photo USA Electronic Graphic Inc ...... 13.76 3.22 Zibo Deli Glass Products Co., Ltd ...... Qingdao Gemmy Imp. & Exp. Co., Ltd ...... 13.76 3.22 Shandong Fulong Glass Technology Co., Ltd ...... Qingdao Gemmy Imp. & Exp. Co., Ltd ...... 13.76 3.22 Shandong Hongda Glass Product Co., Ltd ...... Qingdao Gemmy Imp. & Exp. Co., Ltd ...... 13.76 3.22 Zibo Shengjie Glass Product Co., Ltd ...... Qingdao Gemmy Imp. & Exp. Co., Ltd ...... 13.76 3.22 Jinan Guanheping Glass Product Co., Ltd ...... Qingdao Gemmy Imp. & Exp. Co., Ltd ...... 13.76 3.22 Xuzhou Jiuding Glass Product Co., Ltd ...... Qingdao Gemmy Imp. & Exp. Co., Ltd ...... 13.76 3.22 Zibo Jiurun Glass Product Co., Ltd ...... Qingdao Gemmy Imp. & Exp. Co., Ltd ...... 13.76 3.22 Shandong Zibo Boshan Jiuyuan Company ...... Qingdao Gemmy Imp. & Exp. Co., Ltd ...... 13.76 3.22 Xuzhou Yichen Glass Product Co., Ltd ...... Qingdao Gemmy Imp. & Exp. Co., Ltd ...... 13.76 3.22 Laiwu Dongjing Industry & Trade Co., Ltd ...... Qingdao Gemmy Imp. & Exp. Co., Ltd ...... 13.76 3.22 Shandong Dingxin Electronic Glass Group Co., Ltd .... Qingdao Huoyan Phoenix Import & Export Co., Ltd .... 13.76 3.22 Zhejiang Caifu Glass Co., Ltd ...... Qingdao Huoyan Phoenix Import & Export Co., Ltd .... 13.76 3.22 Shangdong Changshengtai Glass Products Co., Ltd .. Shandong Changshengtai Glass Products Co., Ltd .... 13.76 3.22

1 See Certain Glass Containers from the People’s Fair-Value Investigation of Certain Glass Containers Scope Decision Memorandum,’’ dated April 3, 2020 Republic of China: Initiation of Less-Than-Fair- from the People’s Republic of China,’’ dated (Preliminary Scope Decision Memorandum). Value Investigation, 84 FR 56174 (October 21, 2019) concurrently with, and hereby adopted by, this 7 See Initiation Notice, 84 FR 56174. (Initiation Notice). notice (Preliminary Decision Memorandum). 8 See Policy Bulletin No. 05.1, ‘‘Separate-Rates 2 See Certain Glass Containers from the People’s 4 See Antidumping Duties; Countervailing Duties, Republic of China: Postponement of Preliminary Practice and Application of Combination Rates in Determination in the Less-Than-Fair-Value Final Rule, 62 FR 27296, 27323 (May 19, 1997). Antidumping Investigations involving Non-Market Investigation, 85 FR 9458 (February 19, 2020). 5 See Initiation Notice. Economy Countries,’’ (April 5, 2005) (Policy 3 See Memorandum, ‘‘Decision Memorandum for 6 See Memorandum, ‘‘Certain Glass Containers Bulletin 05.1), available on Commerce’s website at the Preliminary Determination in the Less-Than- from the People’s Republic of China: Preliminary http://enforcement.trade.gov/policy/bull05-1.pdf.

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Estimated Cash weighted- deposit rate average (adjusted Producer Exporter dumping for subsidy margin offsets) (percent) (percent)

Shandong Dingxin Electronic Glass Group Co., Ltd .... Shandong Dingxin Electronic Glass Group Co., Ltd .... 13.76 3.22 Shandong Hongda Glass Ware Co., Ltd ...... Shandong Excel Light Industrial Products Co., Ltd ..... 13.76 3.22 Shandong Hongda Glass Ware Co., Ltd ...... Shandong Glassware Corporation ...... 13.76 3.22 Shangdong Changshengtai Glass Products Co., Ltd .. Shandong Glassware Corporation ...... 13.76 3.22 Shandong Luguan Glass Products Co., Ltd ...... Shandong Glassware Corporation ...... 13.76 3.22 Jinan Yida Glass Products Co., Ltd ...... Shandong Glassware Corporation ...... 13.76 3.22 Shandong Heishan Glass Group Co., Ltd ...... Shandong Heishan Glass Group Co., Ltd ...... 13.76 3.22 Shandong Hongda Glass Products Co., Ltd ...... Shandong Honghan International Trading Co., Ltd ..... 13.76 3.22 Shandong Jusheng Glass Co., Ltd ...... Shandong Honghan International Trading Co., Ltd ..... 13.76 3.22 Xuzhou Zhuoxin Glass Products Co., Ltd ...... Shandong Honghan International Trading Co., Ltd ..... 13.76 3.22 Shandong Huapeng Glass Co., Ltd ...... Shandong Huapeng Glass Co., Ltd ...... 13.76 3.22 Zibo Hongda Glass Products Co., Ltd ...... Shandong Injoy Houseware Co., Ltd ...... 13.76 3.22 Zibo Zhide Light Industry Products Co., Ltd ...... Shandong Injoy Houseware Co., Ltd ...... 13.76 3.22 Shandong Fulong Glass Technology Co., Ltd ...... Shandong Injoy Houseware Co., Ltd ...... 13.76 3.22 Xuzhou Ruijing Glass Products Co., Ltd ...... Shandong Injoy Houseware Co., Ltd ...... 13.76 3.22 Cao County Jiefeng Crafts Co., Ltd ...... Shandong Injoy Houseware Co., Ltd ...... 13.76 3.22 Zibo Longsheng Glass Products Co., Ltd ...... Shandong Injoy Houseware Co., Ltd ...... 13.76 3.22 Zibo Boshan Shengjie Glass Products Co., Ltd ...... Shandong Injoy Houseware Co., Ltd ...... 13.76 3.22 Shandong Baoxiang Glass Co., Ltd ...... Shandong Injoy Houseware Co., Ltd ...... 13.76 3.22 Shandong Jiaye General Merchandise Co., Ltd ...... Shandong Jiaye General Merchandise Co., Ltd ...... 13.76 3.22 Shandong Pharmaceutical Glass Co., Ltd ...... Shandong Pharmaceutical Glass Co., Ltd ...... 13.76 3.22 Shandong Hongda Glass Factory ...... Shandong Shine Chin Glassware Co., Ltd ...... 13.76 3.22 Shandong Juli Glass Co., Ltd ...... Shandong Top-Peak Enterprise Co., Ltd ...... 13.76 3.22 Shandong Wenbao Technology Products Co., Ltd ...... Shandong Wenbao Technology Products Co., Ltd ...... 13.76 3.22 Changxing Hua Zhong Glass Co., Ltd ...... Sinoglass Housewares Co., Ltd ...... 13.76 3.22 Xuzhou Xupeng Glass Products Co., Ltd ...... Xuzhou Credible Glass Products Co., Ltd ...... 13.76 3.22 Xuzhou Sanheshun Glass Products Co., Ltd ...... Xuzhou Credible Glass Products Co., Ltd ...... 13.76 3.22 Shandong Pharmaceutical Glass Co., Ltd ...... Xuzhou Das Packing Solutions Co., Ltd ...... 13.76 3.22 Taizhou Paishen Printing Industry Co., Ltd ...... Xuzhou Das Packing Solutions Co., Ltd ...... 13.76 3.22 Xuzhou Runtong Cap Manufacturing Co., Ltd ...... Xuzhou Das Packing Solutions Co., Ltd ...... 13.76 3.22 Xuzhou Jiuding Glass Products Co., Ltd ...... Xuzhou Das Packing Solutions Co., Ltd ...... 13.76 3.22 Xuzhou Juli Bottle Cap Factory ...... Xuzhou Das Packing Solutions Co., Ltd ...... 13.76 3.22 Yangzhou Jiangyang Plastic Products Factory ...... Xuzhou Das Packing Solutions Co., Ltd ...... 13.76 3.22 Yiwu Hongyuan Glass Products Co., Ltd ...... Xuzhou Das Packing Solutions Co., Ltd ...... 13.76 3.22 Xuzhou Zhending Glass Products Co., Ltd ...... Xuzhou Das Packing Solutions Co., Ltd ...... 13.76 3.22 Xuzhou Rongjian Glass Products Co., Ltd ...... Xuzhou Das Packing Solutions Co., Ltd ...... 13.76 3.22 Xuzhou Tepu Glass Products Co., Ltd ...... Xuzhou Das Packing Solutions Co., Ltd ...... 13.76 3.22 Zibo Zhulifei International Trade Co., Ltd ...... Xuzhou Das Packing Solutions Co., Ltd ...... 13.76 3.22 Nantong Shunyu Packing Materials Co., Ltd ...... Xuzhou Das Packing Solutions Co., Ltd ...... 13.76 3.22 Ningbo Letao Packing Co., Ltd ...... Xuzhou Das Packing Solutions Co., Ltd ...... 13.76 3.22 Xuzhou Supeng Yongxu Glass Products Co., Ltd ...... Xuzhou Huihe International Trade Co., Ltd ...... 13.76 3.22 Yamamura Glass Qinhuangdao Co., Ltd ...... Yamamura Glass Qinhuangdao Co., Ltd ...... 13.76 3.22 Feicheng Jingying Glass Products Co., Ltd ...... Zibo Ace International Co., Ltd ...... 13.76 3.22 Zibo Boshan Shengjie Glass Products Co., Ltd ...... Zibo Ace International Co., Ltd ...... 13.76 3.22 Zibo Anto Glass Industry Co., Ltd ...... Zibo Anto Glass Industry Co., Ltd ...... 13.76 3.22 Shandong Heishan Glass Group Co., Ltd ...... Zibo Comm-Mountain Glassware Co., Ltd ...... 13.76 3.22 Yantai NBC Glass Packaging Co., Ltd ...... Zibo Creative International Trade Co., Ltd ...... 13.76 3.22 Shandong Taishan Shengliyuan Glass Co., Ltd ...... Zibo Creative International Trade Co., Ltd ...... 13.76 3.22 Shanghai Esjoi Industry Co., Ltd ...... Zibo Creative International Trade Co., Ltd ...... 13.76 3.22 Longkou Shengda Glass Products Co., Ltd ...... Zibo Creative International Trade Co., Ltd ...... 13.76 3.22 Shandong Pharmaceutical Glass Co., Ltd ...... Zibo Creative International Trade Co., Ltd ...... 13.76 3.22 Qingdao Yutai Pharmaceutical Packaging Technology Zibo Creative International Trade Co., Ltd ...... 13.76 3.22 Co., Ltd. Shandong Jingbo Group Co., Ltd ...... Zibo Creative International Trade Co., Ltd ...... 13.76 3.22 Shandong Huapeng Glass Co., Ltd ...... Zibo Derola Houseware Co., Ltd ...... 13.76 3.22 Hebei Xinji Tianyu Glass, Ltd ...... Zibo Derola Houseware Co., Ltd ...... 13.76 3.22 Zibo Hongda Glass Products Co., Ltd ...... Zibo E&T General Merchandise Co., Ltd ...... 13.76 3.22 Xuzhou Hengyi Glass Products Co. Ltd ...... Zibo Fecund Trading Co., Ltd ...... 13.76 3.22 Xuzhou Yichen Glass Products Co., Ltd ...... Zibo Fortune Trading Co., Ltd ...... 13.76 3.22 Zibo Longsheng Glass Products Co., Ltd ...... Zibo Grandeur Light Industrial Products Co., Ltd ...... 13.76 3.22 Shandong Hongda Glass Products Co., Ltd ...... Zibo Green Light Industrial Co., Ltd ...... 13.76 3.22 Shandong Baoxiang Glass Co., Ltd also known as Zibo Green Light Industrial Co., Ltd ...... 13.76 3.22 Zibo Gongmao Glass Factory. Zibo Haichang Light Industry Products Co., Ltd ...... Zibo Hicheon Homeware Corp., Ltd ...... 13.76 3.22 Shandong Longyu Glass Co., Ltd ...... Zibo Hicheon Homeware Corp., Ltd ...... 13.76 3.22 Zibo Hesheng Glass Products Co., Ltd ...... Zibo Hicheon Homeware Corp., Ltd ...... 13.76 3.22 Xuzhou Xindong Glass Products Co., Ltd ...... Zibo Hicheon Homeware Corp., Ltd ...... 13.76 3.22 Zibo Jintian Light Industry Products Co., Ltd ...... Zibo Hicheon Homeware Corp., Ltd ...... 13.76 3.22 Zhangqiu City Huacheng Glass Products Factory ...... Zibo Hicheon Homeware Corp., Ltd ...... 13.76 3.22 Qingdao Golden Sunshine Paper Products Co., Ltd ... Zibo Hicheon Homeware Corp., Ltd ...... 13.76 3.22

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Estimated Cash weighted- deposit rate average (adjusted Producer Exporter dumping for subsidy margin offsets) (percent) (percent)

Shandong Yiyuan Oukai Glass Products Co., Ltd ...... Zibo Hicheon Homeware Corp., Ltd ...... 13.76 3.22 Shandong Hongda Glassware Co., Ltd ...... Zibo Intrue Light Industrial Products Co., Ltd ...... 13.76 3.22 Feicheng Jingying Glass Products Co., Ltd ...... Zibo Intrue Light Industrial Products Co., Ltd ...... 13.76 3.22 Shandong Changshengtai Glass Products Co., Ltd .... Zibo Intrue Light Industrial Products Co., Ltd ...... 13.76 3.22 Jinan Yida Glassware Co., Ltd ...... Zibo Intrue Light Industrial Products Co., Ltd ...... 13.76 3.22 Jiangsu Luobote Glass Technology Co., Ltd ...... Zibo Intrue Light Industrial Products Co., Ltd ...... 13.76 3.22 Jiangsu Zheng Mao Glass Technology Co., Ltd ...... Zibo Intrue Light Industrial Products Co., Ltd ...... 13.76 3.22 Shandong Luguan Glass Co., Ltd ...... Zibo Intrue Light Industrial Products Co., Ltd ...... 13.76 3.22 Shandong Mount Tai Sheng Li Yuan Glass Co., Ltd .. Zibo Intrue Light Industrial Products Co., Ltd ...... 13.76 3.22 Xuzhou Heng Yi Glassware Co., Ltd ...... Zibo Intrue Light Industrial Products Co., Ltd ...... 13.76 3.22 Jiangsu Honghua Glass Technology Co., Ltd ...... Zibo Intrue Light Industrial Products Co., Ltd ...... 13.76 3.22 Xuzhou Shengbang Glass Technology Co., Ltd ...... Zibo Intrue Light Industrial Products Co., Ltd ...... 13.76 3.22 Xuzhou Sheng Shi Glass Products Co., Ltd ...... Zibo Intrue Light Industrial Products Co., Ltd ...... 13.76 3.22 Shandong Baoxiang Glass Co., Ltd ...... Zibo Intrue Light Industrial Products Co., Ltd ...... 13.76 3.22 Zibo Longyu Glass Co., Ltd ...... Zibo Intrue Light Industrial Products Co., Ltd ...... 13.76 3.22 Shandong Yueshi Glass Products Co., Ltd ...... Zibo Intrue Light Industrial Products Co., Ltd ...... 13.76 3.22 Zibo Lijiang Light Industrial Products Co., Ltd ...... Zibo Lijiang Light Industrial Products Co., Ltd ...... 13.76 3.22 Zibo Boshan Shengjie Glass Products Co., Ltd ...... Zibo Lucky Ship International Trading Co., Ltd ...... 13.76 3.22 Jiangsu Rongtai Glass Products Co., Ltd ...... Zibo Lucky Ship International Trading Co., Ltd ...... 13.76 3.22 Jinan Yida Glass Products Co., Ltd ...... Zibo Lucky Ship International Trading Co., Ltd ...... 13.76 3.22 Shandong Luguan Glass Products Co., Ltd ...... Zibo Lucky Ship International Trading Co., Ltd ...... 13.76 3.22 Qingdao Weipaike Glass Trading Co., Ltd ...... Zibo Meienlanda International Trading Co., Ltd ...... 13.76 3.22 Xuzhou Hongrun Glass Products Co., Ltd ...... Zibo Melory Import & Export Trade Co., Ltd ...... 13.76 3.22 Jinan Yida Glass Products Co., Ltd ...... Zibo Melory Import & Export Trade Co., Ltd ...... 13.76 3.22 Shangdong Mounttai Sheng Li Yuan Glass Co., Ltd ... Zibo Modern International Co., Ltd ...... 13.76 3.22 Shandong Hongda Glassware Co., Ltd ...... Zibo Modern International Co., Ltd ...... 13.76 3.22 Shandong Longyu Glassware Co., Ltd ...... Zibo Modern International Co., Ltd ...... 13.76 3.22 Xuzhou Supengyongxu Glss Products Co., Ltd ...... Zibo Modern International Co., Ltd ...... 13.76 3.22 Shandong Aolian Packaging Joint Stock Co., Ltd ...... Zibo Modern International Co., Ltd ...... 13.76 3.22 Shandong Changshengtai Glass Products Co, Ltd ..... Zibo Modern International Co., Ltd ...... 13.76 3.22 Shandong Luguan Glassware Co., Ltd ...... Zibo Redisland General Merchandise Co., Ltd ...... 13.76 3.22 Shandong Xukun Zhaoming Co., Ltd ...... Zibo Redisland General Merchandise Co., Ltd ...... 13.76 3.22 Jinan Yaotai Light Industrial Products Co., Ltd ...... Zibo Sailing Pacific Import And Export Co., Ltd ...... 13.76 3.22 Zibo Shirley Light Industrial Products Co., Ltd ...... Zibo Shelley Trading Co., Ltd ...... 13.76 3.22 Hebei Fangyuan Glass Products Co., Ltd ...... Zibo Sunfect International Trade Co., Ltd ...... 13.76 3.22 Shandong Changshengtai Glass Products Co., Ltd .... Zibo Top Arts Co., Ltd ...... 13.76 3.22 Zibo Top Glass Industry Co., Ltd ...... Zibo Top Glass Industry Co., Ltd ...... 13.76 3.22 ZiBo Boshan Shengjie Glass Product Co., Ltd ...... Zibo Top-Peak Enterprises Ltd ...... 13.76 3.22 Zibo Truely Light Industrial Products Co., Ltd ...... Zibo Truely Light Industrial Products Co., Ltd ...... 13.76 3.22 Shandong Hongda Glassware Co., Ltd ...... Zibo Uni-Shine Industry Co., Ltd ...... 13.76 3.22 Xuzhou Juhui Glassware Co., Ltd ...... Zibo Uni-Shine Industry Co., Ltd ...... 13.76 3.22 Xuzhou Dazheng Glassware Co., Ltd ...... Zibo Uni-Shine Industry Co., Ltd ...... 13.76 3.22 Xuzhou Haoboyang Glass Products Co., Ltd ...... Zibo Uni-Shine Industry Co., Ltd ...... 13.76 3.22 Zibo Guge Glass Products Co., Ltd ...... Zibo Uni-Shine Industry Co., Ltd ...... 13.76 3.22 Hejian Fuling Glassware Co., Ltd ...... Zibo Uni-Shine Industry Co., Ltd ...... 13.76 3.22 Xuzhou Rongheng Glass Products Co., Ltd ...... Zibo Yadong Import and Export Trade Co., Ltd ...... 13.76 3.22 Zibo Boshan Shengjie Glass Products Co., Ltd ...... Zibo Yadong Import and Export Trade Co., Ltd ...... 13.76 3.22 Zibo Yede Light Industrial Products Co., Ltd ...... Zibo Yadong Import and Export Trade Co., Ltd ...... 13.76 3.22 Shandong Longyu Glass Products Co., Ltd ...... Zibo Yadong Import and Export Trade Co., Ltd ...... 13.76 3.22 Shandong Hongda Glass Products Co., Ltd ...... Zibo Yuedai Shangmao Company Ltd ...... 13.76 3.22 Zibo Baoquan Light Industrial Products Co., Ltd ...... Zibo Yuedai Shangmao Company Ltd ...... 13.76 3.22 Shandong Juli Glass Co., Ltd ...... Zibo Yuedai Shangmao Company Ltd ...... 13.76 3.22 Zibo Boshan Shengjie Glass Products Co., Ltd ...... Zibo Yuedai Shangmao Company Ltd ...... 13.76 3.22 Xuzhou Xi’ao Glass Products Co., Ltd ...... Zibo Yuedai Shangmao Company Ltd ...... 13.76 3.22 Shandong Pingping Anan Trading Co., Ltd ...... Zibo Yuedai Shangmao Company Ltd ...... 13.76 3.22 Xuzhou Yichen Glass Products Co., Ltd ...... Zibo Yuedai Shangmao Company Ltd ...... 13.76 3.22 Shandong Taishan Shengliyuan Glass Co., Ltd ...... Zibo Yuedai Shangmao Company Ltd ...... 13.76 3.22 Zibo Mingxuan Light Industrial Products Co., Ltd ...... Zibo Yuedai Shangmao Company Ltd ...... 13.76 3.22 Zibo Yufeng Arts & Crafts Factory ...... Zibo Yuedai Shangmao Company Ltd ...... 13.76 3.22 Zibo Jiewei Light Industrial Products Co., Ltd ...... Zibo Yuedai Shangmao Company Ltd ...... 13.76 3.22 Zibo Boshan Fujie Metal Crafts Factory ...... Zibo Yuedai Shangmao Company Ltd ...... 13.76 3.22 Cixi Shunrun Plastic Product Factory ...... Zibo Yuedai Shangmao Company Ltd ...... 13.76 3.22 Zibo Xuanye Industry and Trade Co., Ltd ...... Zibo Yuedai Shangmao Company Ltd ...... 13.76 3.22 Xuzhou Tianyi Zhigai Co., Ltd ...... Zibo Yuedai Shangmao Company Ltd ...... 13.76 3.22 Zibo Xinshun Light Industrial Products Factory ...... Zibo Yuedai Shangmao Company Ltd ...... 13.76 3.22 Cixi Xinju Plastic Product Factory ...... Zibo Yuedai Shangmao Company Ltd ...... 13.76 3.22 Yiwu Hongzhi Jewelry Co., Ltd ...... Zibo Yuedai Shangmao Company Ltd ...... 13.76 3.22 Shandong Fulong Glass Technology Co., Ltd ...... Zibo Zhaohai Light Industrial Products Co., Ltd ...... 13.76 3.22 Shandong Taishan Shengliyuan Glass Co., Ltd ...... Zibo Zhaohai Light Industrial Products Co., Ltd ...... 13.76 3.22 Changshengtai Glass Products Co., Ltd ...... Zibo Zhaohai Light Industrial Products Co., Ltd ...... 13.76 3.22

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Estimated Cash weighted- deposit rate average (adjusted Producer Exporter dumping for subsidy margin offsets) (percent) (percent)

China-wide Entity ...... China-wide Entity ...... 255.68 245.14

Suspension of Liquidation measures in this LTFV investigation, Commerce, within 30 days after the date In accordance with section 733(d)(2) Commerce will direct CBP to begin of publication of this notice. Requests of the Act, Commerce will direct U.S. collecting cash deposits at a rate equal should contain (1) the party’s name, Customs and Border Protection (CBP) to to the estimated weighted-average address, and telephone number; (2) the suspend liquidation of subject dumping margins calculated in this number of hearing participants from the merchandise as described in the scope preliminary determination unadjusted party; (3) whether any participant is a of the investigation section entered, or for export subsidies at the time that the foreign national; and (4) a list of the withdrawn from warehouse, for CVD provisional measures expire. issues to be discussed. If a request for consumption on or after the date of These suspension of liquidation a hearing is made, Commerce will publication of this notice in the Federal instructions will remain in effect until determine the date, time, and medium Register, as discussed below. Further, further notice. for conducting the hearing. Parties should confirm by telephone the date pursuant to section 733(d)(1)(B) of the Disclosure Act and 19 CFR 351.205(d), Commerce and time of the hearing two days before will instruct CBP to require a cash Commerce intends to disclose to the scheduled date. interested parties the calculations deposit equal to the weighted average Postponement of Final Determination performed in connection with this amount by which NV exceeds U.S. and Extension of Provisional Measures price, as indicated in the table above as preliminary determination within five Section 735(a)(2) of the Act provides follows: (1) For the producer/exporter days of its public announcement or, if that a final determination may be combinations listed in the table above, there is no public announcement, postponed until not later than 135 days the cash deposit rate is equal to the within five days of the date of after the date of the publication of the estimated weighted-average dumping publication of this notice in accordance preliminary determination if, in the margin listed for that combination in the with 19 CFR 351.224(b). event of an affirmative preliminary table; (2) for all combinations of China Public Comment determination, a request for such producers/exporters of merchandise Case briefs or other written comments postponement is made by exporters who under consideration that have not account for a significant proportion of established eligibility for their own may be submitted to the Assistant Secretary for Enforcement and exports of the subject merchandise, or in separate rates, the cash deposit rate will the event of a negative preliminary be equal to the estimated weighted- Compliance no later than 21 days after the date of publication of the determination, a request for such average dumping margin established for postponement is made by the petitioner. the China-wide entity; and (3) for all preliminary determination, unless Commerce alters the time limit. Rebuttal Pursuant to 19 CFR 351.210(e)(2), third-country exporters of merchandise Commerce requires that requests by under consideration not listed in the briefs, limited to issues raised in case briefs, may be submitted no later than respondents for postponement of a final table above, the cash deposit rate is the antidumping determination be cash deposit rate applicable to the China seven days after the deadline for case briefs.9 Pursuant to 19 CFR accompanied by a request for extension producer/exporter combination (or the of provisional measures from a four- China-wide entity) that supplied that 351.309(c)(2) and (d)(2), parties who submit case briefs or rebuttal briefs in month period to a period not more than third-country exporter. six months in duration. To determine the cash deposit rate, this investigation are encouraged to submit with each argument: (1) A On April 13 and 15, 2020, pursuant to Commerce normally adjusts the 19 CFR 351.210(e), Qixia Changyu and estimated weighted-average dumping statement of the issue; (2) a brief summary of the argument; and (3) a Huaxing requested that Commerce margin by the amount of domestic postpone the final determination and subsidy pass-through and export table of authorities. Note that Commerce has temporarily modified certain of its that provisional measures be extended subsidies determined in a companion to a period not to exceed six months.11 countervailing duty (CVD) proceeding requirements for serving documents containing business proprietary In accordance with section 735(a)(2)(A) when CVD provisional measures are in of the Act and 19 CFR 351.210(b)(2)(ii), effect. Accordingly, where Commerce information, until May 19, 2020, unless extended.10 because (1) the preliminary made a preliminary affirmative determination is affirmative; (2) the determination for domestic subsidy Pursuant to 19 CFR 351.310(c), interested parties who wish to request a requesting exporters account for a pass-through or export subsidies, significant proportion of exports of the Commerce has offset the calculated hearing, limited to issues raised in the case and rebuttal briefs, must submit a subject merchandise; and (3) no estimated weighted-average dumping compelling reasons for denial exist, margin by the appropriate rates. Any written request to the Assistant such adjusted rates may be found in the Secretary for Enforcement and Compliance, U.S. Department of 11 See Qixia Changyu’s Letter, ‘‘Certain Glass Preliminary Determination section’s Containers from the People’s Republic of China: table of estimated weighted-average Request for Postponement of the Final 9 dumping margins above. See 19 CFR 351.309; see also 19 CFR 351.303 Determination,’’ dated April 13, 2020; see also (for general filing requirements). Huaxing’s Letter, ‘‘Certain Glass Containers from Should provisional measures in the 10 See Temporary Rule Modifying AD/CVD the People’s Republic of China: Request to Extend companion CVD investigation expire Service Requirements Due to COVID–19, 85 FR Final Determination and Provisional Measures,’’ prior to the expiration of provisional 17006 (March 26, 2020). dated April 15, 2020.

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Commerce is postponing the final 7010.90.5035, 7010.90.5039, 7010.90.5045, contact information for each site, as well determination and extending the 7010.90.5049, and 7010.90.5055. The HTSUS as additional resources on advisory provisional measures from a four-month subheadings are provided for convenience council vacancies and the application period to a period not greater than six and customs purposes only. The written process. description of the scope of the investigation months. Accordingly, Commerce will is dispositive. DATES: Please visit individual site web make its final determination no later pages, or reach out to a site as identified than 135 days after the date of Appendix II in this notice’s SUPPLEMENTARY publication of this preliminary List of Topics Discussed in the Preliminary INFORMATION section on Contact determination. Decision Memorandum Information for Each Site, regarding the International Trade Commission I. Summary timing and advertisement of vacant Notification II. Background seats, including positions (i.e., primary III. Period of Investigation or alternate), for each of the advisory In accordance with section 733(f) of IV. Postponement of the Final Determination councils. Applications will only be the Act, Commerce will notify the V. Scope Comments accepted in response to current, open International Trade Commission (ITC) of VI. Scope of the Investigation vacancies and in accordance with the its preliminary determination of sales at VII. Discussion of the Methodology deadlines and instructions included on VIII. Currency Conversion LTFV. If the final determination is each site’s website. affirmative, the ITC will determine IX. Adjustment Under Section 777(A)(f) of ADDRESSES: Vacancies and applications before the later of 120 days after the date the Act are specific to each site’s advisory of this preliminary determination or 45 X. Adjustments to Cash Deposit Rates for Export Subsidies council. As such, questions about a days after the final determination XI. Recommendation specific council or vacancy, including whether imports of the subject questions about advisory council merchandise are materially injuring, or [FR Doc. 2020–09090 Filed 4–28–20; 8:45 am] BILLING CODE 3510–DS–P applications, should be directed to a threaten material injury to, the U.S. site. Contact Information for Each Site is industry. contained in the SUPPLEMENTARY Notification to Interested Parties DEPARTMENT OF COMMERCE INFORMATION section. This determination is issued and FOR FURTHER INFORMATION CONTACT: For National Oceanic and Atmospheric published in accordance with sections further information on a particular Administration 733(f) and 777(i)(1) of the Act and 19 advisory council or available seats, please contact the site as identified in CFR 351.205(c). Solicitation for Applications for this notice’s SUPPLEMENTARY Dated: April 22, 2020. Advisory Councils Established INFORMATION section on Contact Pursuant to the National Marine Jeffrey I. Kessler, Information for Each Site, below. For Sanctuaries Act and Executive Order Assistant Secretary, for Enforcement and general inquiries related to this notice or Compliance. AGENCY: Office of National Marine ONMS advisory councils established Appendix I Sanctuaries (ONMS), National Ocean pursuant to the National Marine Sanctuaries Act or Executive Order Scope of the Investigation Service (NOS), National Oceanic and Atmospheric Administration (NOAA), 13178, contact Katie Denman, Office of The merchandise covered by this Department of Commerce (DOC). National Marine Sanctuaries Policy and investigation is certain glass containers with a nominal capacity of 0.059 liters (2.0 fluid ACTION: Notice of solicitation. Planning Division (katie.denman@ ounces) up to and including 4.0 liters noaa.gov; 240–533–0702). (135.256 fluid ounces) and an opening or SUMMARY: Notice is hereby given that SUPPLEMENTARY INFORMATION: mouth with a nominal outer diameter of 14 ONMS will solicit applications to fill Section 315 of the National Marine millimeters up to and including 120 non-governmental seats on its 14 Sanctuaries Act (NMSA) (16 U.S.C. millimeters. The scope includes glass jars, established national marine sanctuary 1445A) allows the Secretary of bottles, flasks and similar containers; with or advisory councils and the Northwestern Commerce to establish advisory without their closures; whether clear or Hawaiian Islands Coral Reef Ecosystem councils to advise and make colored; and with or without design or Reserve Advisory Council (advisory functional enhancements (including, but not recommendations regarding the limited to, handles, embossing, labeling, or councils), under the National Marine designation and management of national etching). Sanctuaries Act and the Northwestern marine sanctuaries. Executive Order Excluded from the scope of the Hawaiian Islands Coral Reef Ecosystem 13178 similarly established a Coral Reef investigation are: (1) Glass containers made Reserve Executive Order, respectively. Ecosystem Reserve Council pursuant to of borosilicate glass, meeting United States Note, the list of 15 established advisory the NMSA for the Northwestern Pharmacopeia requirements for Type 1 councils in the Contact Information for Hawaiian Islands Coral Reef Ecosystem pharmaceutical containers; (2) glass Each Site section includes the advisory Reserve. In this Supplementary containers without ‘‘mold seams,’’ ‘‘joint council established for the Proposed marks,’’ or ‘‘parting lines;’’ and (3) glass Information section, NOAA provides containers without a ‘‘finish’’ (i.e., the Lake Ontario National Marine Sanctuary details regarding the Office of National section of a container at the opening and excludes an advisory council for the Marine Sanctuaries, the role of advisory including the lip and ring or collar, threaded recently designated Mallows Bay- councils, and contact information for or otherwise compatible with a type of Potomac River National Marine each site. closure to seal the container’s contents, Sanctuary since an advisory has not yet including but not limited to a lid, cap, or been established. Vacant seats, Office of National Marine Sanctuaries cork). including positions (i.e., primary and (ONMS) Glass containers subject to the alternate), for each of the advisory ONMS serves as the trustee for a investigation are specified within the Harmonized Tariff Schedule of the United councils will be advertised differently at network of underwater parks States (HTSUS) under subheadings each site in accordance with the encompassing more than 600,000 square 7010.90.5005, 7010.90.5009, 7010.90.5015, information provided in this notice. miles of marine and Great Lakes waters 7010.90.5019, 7010.90.5025, 7010.90.5029, This notice contains web page links and from Washington state to the Florida

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Keys, and from Lake Huron to American applying; community and professional • Hawaiian Islands Humpback Whale Samoa. The network includes a system affiliations; views regarding the National Marine Sanctuary Advisory of 14 national marine sanctuaries and protection and management of marine Council: Hawaiian Islands Humpback Papahanaumokuakea and Rose Atoll or Great Lakes resources; and possibly Whale National Marine Sanctuary, marine national monuments. National the length of residence in the area NOAA Inouye Regional Center, NOS/ marine sanctuaries protect our nation’s affected by the site. Applicants chosen ONMS/HIHWNMS, 1845 Wasp most vital coastal and marine natural as members or alternates should expect Boulevard, Building 176, Honolulu, HI and cultural resources, and through to serve two- or three-year terms, 96818; 808–879–2818; https:// active research, management, and pursuant to the charter of the specific hawaiihumpbackwhale.noaa.gov/ public engagement, sustain healthy national marine sanctuary advisory council/council_app_accepting.html. environments that are the foundation for council or Northwestern Hawaiian • Monitor National Marine Sanctuary thriving communities and stable Islands Coral Reef Ecosystem Reserve Advisory Council: Monitor National economies. Advisory Council. More information on Marine Sanctuary, 100 Museum Drive, One of the many ways ONMS ensures advisory council membership and Newport News, VA 23606; 757–599– public participation in the designation processes, and materials related to the 3122; https://monitor.noaa.gov/ and management of national marine purpose, policies, and operational advisory/news.html. sanctuaries is through the formation of requirements for advisory councils can • advisory councils. Advisory councils be found in the charter for a particular Monterey Bay National Marine are community-based advisory groups advisory council (http:// Sanctuary Advisory Council: Monterey established to provide advice and sanctuaries.noaa.gov/management/ac/ Bay National Marine Sanctuary, 99 recommendations to ONMS on issues council_charters.html) and the National Pacific Street, Building 455A, Monterey, including management, science, service, Marine Sanctuary Advisory Council CA 93940; 831–647–4201; http:// and stewardship; and to serve as Implementation Handbook (http:// montereybay.noaa.gov/sac/recruit.html. liaisons between their constituents in sanctuaries.noaa.gov/management/ac/ • National Marine Sanctuary of the community and the site. Pursuant to acref.html). American Samoa Advisory Council: Section 315(a) of the National Marine Contact Information for Each Site National Marine Sanctuary of American Sanctuaries Act, 16 U.S.C. 1445A(a), Samoa, Tauese P.F. Sunia Ocean Center, • advisory councils are exempt from the Channel Islands National Marine P.O. Box 4318, Pago Pago, American requirements of the Federal Advisory Sanctuary Advisory Council: Channel Samoa 96799; 684–633–6500; https:// Committee Act. Additional information Islands National Marine Sanctuary, americansamoa.noaa.gov/council/ on ONMS and its advisory councils can University of California, Santa Barbara, recruitment/. be found at http://sanctuaries.noaa.gov. Ocean Science Education Building 514, • Northwestern Hawaiian Islands MC 6155, Santa Barbara, CA 93106; Advisory Council Membership Coral Reef Ecosystem Reserve Advisory 805–893–6437; https:// Council: NOAA Inouye Regional Center, Under Section 315 of the NMSA, channelislands.noaa.gov/sac/council_ NOS/ONMS/PMNM, 1845 Wasp advisory council members may be news.html. appointed from among: (1) Persons • Cordell Bank National Marine Boulevard, Building 176, Honolulu, HI employed by federal or state agencies Sanctuary Advisory Council: Cordell 96818; 808–725–5800; http:// with expertise in management of natural Bank National Marine Sanctuary, P.O. www.papahanaumokuakea.gov/new- resources; (2) members of relevant Box 159, Olema, CA 94950; 415–464– about/council/apply/. regional fishery management councils; 5260; http://cordellbank.noaa.gov/ • Olympic Coast National Marine and (3) representatives of local user council/applicants.html. Sanctuary Advisory Council: Olympic groups, conservation and other public • Florida Keys National Marine Coast National Marine Sanctuary, 115 interest organizations, scientific Sanctuary Advisory Council: Florida East Railroad Avenue, Suite 301, Port organizations, educational Keys National Marine Sanctuary, 33 Angeles, WA 98362; 360–457–6622; organizations, or others interested in the East Quay Road, Key West, FL 33040; http://olympiccoast.noaa.gov/involved/ protection and multiple use 305–809–4700; http:// sac/recruitment.html. management of sanctuary resources. For floridakeys.noaa.gov/sac/apps.html. • Proposed Lake Ontario Sanctuary • the Northwestern Hawaiian Islands Flower Garden Banks National Advisory Council; NOAA Office of Coral Reef Ecosystem Reserve Advisory Marine Sanctuary Advisory Council: National Marine Sanctuaries, 4840 Council, Section 5(f) of Executive Order Flower Garden Banks National Marine South State Road, Ann Arbor, MI 48108; 13178 (as amended by Executive Order Sanctuary, 4700 Avenue U, Building 734–741–2270; https:// 13196) specifically identifies member 216, Galveston, TX 77551; 409–621– sanctuaries.noaa.gov/lake-ontario/ and representative categories. 5151; http://flowergarden.noaa.gov/ advisory/members.html. The charter for each advisory council advisorycouncil/recruitment.html. • defines the number and type of seats • Gray’s Reef National Marine Stellwagen Bank National Marine and positions on the council; however, Sanctuary Advisory Council: Gray’s Sanctuary Advisory Council: Stellwagen as a general matter, available seats could Reef National Marine Sanctuary, 10 Bank National Marine Sanctuary, 175 include: Conservation, education, Ocean Science Circle, Savannah, GA Edward Foster Road, Scituate, MA research, fishing, whale watching, 31411; 912–598–2345; http:// 02066; 781–545–8026; http:// diving and other recreational activities, graysreef.noaa.gov/management/sac/ stellwagen.noaa.gov/management/sac/ boating and shipping, tourism, harbors council_news.html. recruitment.html. and ports, maritime business, • Greater Farallones National Marine • Thunder Bay National Marine agriculture, maritime heritage, and Sanctuary Advisory Council: Greater Sanctuary Advisory Council: Thunder citizen-at-large. Farallones National Marine Sanctuary, Bay National Marine Sanctuary, 500 For each of the advisory councils, 991 Marine Drive, The Presidio, San West Fletcher Street, Alpena, MI 49707; applicants are chosen based upon their Francisco, CA 94129; 415–561–6622; 989–356–8805; http:// particular expertise and experience in https://farallones.noaa.gov/manage/ thunderbay.noaa.gov/management/ relation to the seat for which they are sac_recruitment.html. advisory_council_recruitment.html.

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Paperwork Reduction Act: SUMMARY: NMFS has received a request of problems accessing these documents, ONMS has a valid Office of from Crowley Fuels, LLC for please call the contact listed above. Management and Budget (OMB) control authorization to take marine mammals SUPPLEMENTARY INFORMATION: incidental to the Crowley Kotzebue number (0648–0397) for the collection Background of public information related to the Dock Upgrade in Kotzebue, Alaska. The MMPA prohibits the ‘‘take’’ of processing of ONMS national marine Pursuant to the Marine Mammal marine mammals, with certain sanctuary advisory council applications Protection Act (MMPA), NMFS is exceptions. Sections 101(a)(5)(A) and across the National Marine Sanctuary requesting comments on its proposal to (D) of the MMPA (16 U.S.C. 1361 et System. Soliciting applications for issue an incidental harassment seq.) direct the Secretary of Commerce sanctuary advisory councils fits within authorization (IHA) to incidentally take (as delegated to NMFS) to allow, upon the estimated reporting burden under marine mammals during the specified request, the incidental, but not that control number. See https:// activities. NMFS is also requesting comments on a possible one-year intentional, taking of small numbers of www.reginfo.gov/public/do/PRASearch marine mammals by U.S. citizens who (Enter Control Number 0648–0397). renewal that could be issued under certain circumstances and if all engage in a specified activity (other than Therefore, ONMS will not request an commercial fishing) within a specified update to the reporting burden certified requirements are met, as described in Request for Public Comments at the end geographical region if certain findings for OMB control number 0648–0397 are made and either regulations are Send comments regarding this burden of this notice. NMFS will consider public comments prior to making any issued or, if the taking is limited to estimate, or any other aspect of this data harassment, a notice of a proposed collection, including suggestions for final decision on the issuance of the requested MMPA authorizations and incidental take authorization may be reducing the burden, to: Office of provided to the public for review. National Marine Sanctuaries, 1305 East agency responses will be summarized in the final notice of our decision. Authorization for incidental takings West Highway, N/NMS, Silver Spring, shall be granted if NMFS finds that the Maryland 20910. DATES: Comments and information must taking will have a negligible impact on Notwithstanding any other provisions be received no later than May 29, 2020. the species or stock(s) and will not have of the law, no person is required to ADDRESSES: Comments should be an unmitigable adverse impact on the respond to, nor shall any person be addressed to Jolie Harrison, Chief, availability of the species or stock(s) for subject to a penalty for failure to comply Permits and Conservation Division, taking for subsistence uses (where with a collection of information subject Office of Protected Resources, National relevant). Further, NMFS must prescribe to the requirements of the Paperwork Marine Fisheries Service. Physical the permissible methods of taking and Reduction Act (PRA), 44 U.S.C. 3501 et comments should be sent to 1315 East- other ‘‘means of effecting the least seq., unless that collection of West Highway, Silver Spring, MD 20910 practicable adverse impact’’ on the information displays a currently valid and electronic comments should be sent affected species or stocks and their Office of Management and Budget to [email protected]. habitat, paying particular attention to (OMB) control number. The OMB Instructions: NMFS is not responsible rookeries, mating grounds, and areas of control number is #0648–0397. for comments sent by any other method, similar significance, and on the Authority: 16 U.S.C. 1431 et seq. to any other address or individual, or availability of the species or stocks for taking for certain subsistence uses John Armor, received after the end of the comment period. Comments received (referred to in shorthand as Director, Office of National Marine ‘‘mitigation’’); and requirements Sanctuaries, National Ocean Service, electronically, including all attachments, must not exceed a 25- pertaining to the mitigation, monitoring National Oceanic and Atmospheric and reporting of the takings are set forth. Administration . megabyte file size. Attachments to electronic comments will be accepted in The definitions of all applicable [FR Doc. 2020–09112 Filed 4–28–20; 8:45 am] MMPA statutory terms cited above are BILLING CODE 3510–NK–P Microsoft Word or Excel or Adobe PDF file formats only. All comments included in the relevant sections below. received are a part of the public record National Environmental Policy Act DEPARTMENT OF COMMERCE and will generally be posted online at To comply with the National https://www.fisheries.noaa.gov/permit/ Environmental Policy Act of 1969 National Oceanic and Atmospheric incidental-take-authorizations-under- (NEPA; 42 U.S.C. 4321 et seq.) and Administration marine-mammal-protection-act without NOAA Administrative Order (NAO) change. All personal identifying 216–6A, NMFS must review our [RTID 0648–XA125] information (e.g., name, address) proposed action (i.e., the issuance of an voluntarily submitted by the commenter IHA) with respect to potential impacts Takes of Marine Mammals Incidental to may be publicly accessible. Do not on the human environment. This action Specified Activities; Taking Marine submit confidential business is consistent with categories of activities Mammals Incidental to the Crowley information or otherwise sensitive or identified in Categorical Exclusion B4 Kotzebue Dock Upgrade Project in protected information. (IHAs with no anticipated serious injury Kotzebue, Alaska FOR FURTHER INFORMATION CONTACT: or mortality) of the Companion Manual AGENCY: National Marine Fisheries Leah Davis, Office of Protected for NOAA Administrative Order 216– Service (NMFS), National Oceanic and Resources, NMFS, (301) 427–8401. 6A, which do not individually or Atmospheric Administration (NOAA), Electronic copies of the application and cumulatively have the potential for Commerce. supporting documents, as well as a list significant impacts on the quality of the of the references cited in this document, human environment and for which we ACTION: Notice; proposed incidental may be obtained online at: https:// have not identified any extraordinary harassment authorization; request for www.fisheries.noaa.gov/permit/ circumstances that would preclude this comments on proposed authorization incidental-take-authorizations-under- categorical exclusion. Accordingly, and possible renewal. marine-mammal-protection-act. In case NMFS has preliminarily determined

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that the issuance of the proposed IHA has reached the end of its useful service planned to avoid traditional ice seal qualifies to be categorically excluded life. Crowley is proposing to construct a harvest windows in an effort to avoid from further NEPA review. new dock wall on the water ward side negative impacts to subsistence hunting. We will review all comments of the existing dock. Vibratory pile submitted in response to this notice driving would introduce underwater Specific Geographic Region prior to concluding our NEPA process sounds that may result in take, by Level The Crowley Kotzebue Dock Upgrade or making a final decision on the IHA B harassment, of marine mammals Project is located in Qikiqtag˙ruq request. across approximately 52.5 km2 (20.3 2 (Kotzebue) on the northernmost Summary of Request mi ) in Kotzebue Sound. Crowley is not shoreline of the Baldwin Peninsula proposing to conduct any demolition of between Kotzebue Sound and Hotham On January 13, 2020, NMFS received the current facility. Inlet (Figure 1). Kotzebue Sound is an a request from Crowley Fuels, LLC Crowley’s Kotzebue Dock provides embayment on the western coast of (Crowley) for an IHA to take marine berthing for the company’s bulk fueling Alaska of the Chukchi Sea, which is mammals incidental to pile driving operations. The dock also provides itself an embayment of the Arctic Ocean activities at the Crowley Kotzebue Dock. essential access for community barges, The application was deemed adequate cargo-loading, transloading, subsistence (extending from Wrangel Island to Point and complete on April 9, 2020. harvest, and other community events; Barrow and south to the Bering Strait). Crowley’s request is for take of a small all of which are necessary operations to The Sound is an extremely shallow number of nine species of marine the City of Kotzebue, its residents, and marine waterbody (averaging less than mammals, by Level B harassment only. adjacent villages supported by 20 meters deep) bounded by the Seward Neither Crowley nor NMFS expects Kotzebue’s connections to marine-based Peninsula to the south and west, the serious injury or mortality to result from transportation. Baldwin Peninsula to the east, and the this activity and, therefore, an IHA is Noatak River delta and Cape appropriate. Dates and Duration Krusenstern to the north. Marine waters Description of Proposed Activity The proposed IHA would be effective here are warmer than usual for the from June 1, 2020 to May 31, 2021. Chukchi Sea and are affected by the Overview Work would take place between June Alaska Coastal current and by the Crowley is proposing to upgrade their and September 2020 with significant freshwater input of the existing sheet pile bulkhead dock for approximately 87 days of in-water work Selawik, Noatak, and Kobuk Rivers. vessel-based fuel and cargo distribution during daylight hours. Pile driving is Basin sediments in the Sound are in Kotzebue, Alaska, as the existing expected to occur for approximately 100 typically gravelly mud or sandy mud bulkhead at the dock is corroding and minutes per day. Project activities are (Audubon, 2010).

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Detailed Description of Specific Activity The dock will be constructed one cell hammer from another manufacturer at a time, with only one hammer such as ICE or HPSI. Crowley estimates The new dock will be constructed operating at a time. Temporary piles for that no more than 10 template piles will ® with an OPEN CELL SHEET PILE bulkhead template structures will be be installed per day. Temporary piles (OCSP) structure, a bulkhead utilizing installed to aid with sheet pile cell will be removed following bulkhead flat-web sheet piles, fabricated construction and will be removed after construction using vibratory extraction connector wyes, and anchor piles. This the permanent sheet piles or support methods. Means and methods for type of bulkhead is a flexible steel sheet piles have been installed. Temporary extraction will be similar to temporary pile membrane supported by soil template piles will be either steel pipe pile installation. contact with the embedded steel pile piles (18-inch or smaller) or H-piles (14- The new sheet pile bulkhead dock tail walls. No demolition is planned for inch or smaller). Temporary template consists of 14 OCSP cells. Crowley will this project, so the new sheet pile piles will be driven with a vibratory install the sheet piles in pairs using the bulkhead will provide additional hammer. All piles are expected to be vibratory hammer on land. After all the protection for the existing fuel header installed using land-based crane and a piles for a sheet pile cell have been system and associated piping. A new vibratory hammer. Crowley anticipates installed, Crowley will place clean potable water service and 120/208-volt that the largest size vibratory hammer gravel fill within the cell. This process power service will be provided at the used for the project will be an APE 200– will continue sequentially until all of south end of the new dock. 6 (eccentric moment of 6,600 inch- the sheet pile cells are installed and pounds) or comparable vibratory backfilled. Fourteen-inch H-pile anchor

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piles with welded connectors to secure expect it to result in take of marine A new potable water service and 120/ the structure will be installed at the end mammals, and it will not be discussed 208-volt power service will be provided of each sheet pile tail wall using a further in this notice. near the south end of the new dock. The vibratory hammer on land. Twenty-four-inch pipe piles will be potable water service will consist of a Crowley will transport gravel fill from installed at nine locations along the buried two-inch diameter HDPE line. an off-site quarry to the project site dock face to support mooring bollards. The power service will be routed in a using loaders, dump trucks, and dozers Bollard piles will be driven into buried conduit from the nearby Crowley within the project footprint as needed. completed, compacted cells using a Dock Office. We do not expect It will be placed within the cells from vibratory hammer on land. Therefore, installation of these services to result in the shore (or occasionally a barge) using we do not expect pile driving of the impacts to marine mammals, and we do the same equipment and will be bollard piles to result in in-water finished using roller compactors and impacts to marine mammals, and we do not consider them further in this graders. Because the gravel fill will be not discuss bollard piles further in this document. placed behind the sheet piles, we do not document.

TABLE 1—IN-WATER SOUND SOURCE LEVELS AND QUANTITIES FOR PROJECT ACTIVITIES

Source level Pile size Quantity (at 10m) Literature source dB RMS dB SEL dB peak

Temporary Template Piles (18-inch Steel Pipe Piles) a 170 158.0 ...... Caltrans, 2015.b ALTERNATE Temporary Template pile (14-inch H- a 170 158.8 ...... Caltrans, 2015.c pile). Anchor Piles (14″ HP14x89 or Similar) ...... 15 158.8 ...... Caltrans, 2015.c Sheet Piles (20-inch PS31 or Similar) ...... 650 160.7 ...... Unisea, 2015. a Each pile will be installed and removed. b Average of three 18-inch pipe piles at Prichard Lake Pumping Plant. c Port of Alaska Test Pile Project.

TABLE 2—AIRBORNE SOURCE LEVELS

Source Source Literature source level a

Temporary Template Piles (18-inch Steel Pipe Piles) ...... 87.5 Laughlin (2010). ALTERNATE Temporary Template Pile (14-inch H-pile) ...... 87.5 Laughlin (2010).b Anchor Piles (14″ HP14x89 or Similar) ...... 87.5 Laughlin (2010).b Sheet Piles (20-inch PS31 or Similar) ...... 96.4 Laughlin (2010).c Bollard Piles ...... 92.1 NAVFAC (2015).d Gravel Fill ...... 96.4 Laughlin (2010).c a Source levels for airborne noise sources are reported in dBL5EQ re: 20 μPa (micropascal) @15 meters. b Data for airborne noise levels of vibratory driving of 18-inch piles from Laughlin (2010) was measured at 87.5 dBL5EQ re: 20 μPa at 15 me- ters. This source level is used as a proxy for the 14-inch H piles. c Data for airborne noise levels from sheet pile driving and gravel fill were not available, so the source level for vibratory installation of 30-inch piles from Laughlin (2010) was used as a proxy. d Airborne noise levels for vibratory driving of 24-inch pipe piles were measured during the Bangor Test Pile Program at 92 RMS LEQ dB re: 20 μPa at 15.2 meters (NAVFAC 2015).

Occasionally individual seals haul out and habitat preferences, and behavior (PBR), where known. For taxonomy, we on beach areas northeast of the project. and life history, of the potentially follow Committee on Taxonomy (2016). However, anticipated source levels for affected species. Additional information PBR is defined by the MMPA as the airborne noises are not anticipated to regarding population trends and threats maximum number of animals, not exceed disturbance thresholds for non- may be found in NMFS’s Stock including natural mortalities, that may harbor seal pinnipeds beyond the 10- Assessment Reports (SARs; https:// be removed from a marine mammal meter shutdown zone that will be www.fisheries.noaa.gov/national/ stock while allowing that stock to reach implemented during all project marine-mammal-protection/marine- or maintain its optimum sustainable activities, so we do not expect Level B mammal-stock-assessments) and more population (as described in NMFS’s harassment takes from airborne sounds. general information about these species SARs). While no mortality is anticipated Proposed mitigation, monitoring, and (e.g., physical and behavioral or authorized here, PBR and annual reporting measures are described in descriptions) may be found on NMFS’s serious injury and mortality from detail later in this document (please see website (https:// anthropogenic sources are included here Proposed Mitigation and Proposed www.fisheries.noaa.gov/find-species). as gross indicators of the status of the Monitoring and Reporting). Table 3 lists all species or stocks for species and other threats. which take is expected and proposed to Marine mammal abundance estimates Description of Marine Mammals in the be authorized for this action, and presented in this document represent Area of Specified Activities summarizes information related to the the total number of individuals that Sections 3 and 4 of the application population or stock, including make up a given stock or the total summarize available information regulatory status under the MMPA and number estimated within a particular regarding status and trends, distribution ESA and potential biological removal study or survey area. NMFS’s stock

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abundance estimates for most species NMFS’s U.S. 2018 SARs and draft 2019 Carretta et al., 2019b) (available online represent the total estimate of SARs (e.g., Muto et al., 2019). All values at: https://www.fisheries.noaa.gov/ individuals within the geographic area, presented in Table 3 are the most recent national/marine-mammal-protection/ if known, that comprises that stock. For available at the time of publication and draft-marine-mammal-stock- some species, this geographic area may are available in the 2018 SARs (Muto et assessment-reports). extend beyond U.S. waters. All managed al., 2019a, Carretta et al., 2019a) and stocks in this region are assessed in draft 2019 SARs (Muto et al., 2019b, TABLE 3—SPECIES THAT SPATIALLY CO-OCCUR WITH THE ACTIVITY TO THE DEGREE THAT TAKE IS REASONABLY LIKELY TO OCCUR

ESA/ MMPA Stock abundance (CV, Nmin, most Annual Common name Scientific name Stock status; 2 PBR 3 Strategic recent abundance survey) M/SI (Y/N) 1

Order Cetartiodactyla—Cetacea—Superfamily Mysticeti (baleen whales)

Family Eschrichtiidae: Gray whale ...... Eschrichtius robustus ...... Eastern North Pacific ...... -/- ; N 26,960 (0.05, 25,849, 2016) ...... 801 139 Family Balaenopteridae (rorquals): Minke whale ...... Balaenoptera acutorostra ...... Alaska ...... -/- ; N NA (see SAR, NA, see SAR) ...... UND 0

Superfamily Odontoceti (toothed whales, dolphins, and porpoises)

Family Delphinidae: Beluga whale ...... Delphinapterus leucas ...... Beaufort Sea ...... -/- ; N 39,258 (0.229, NA, 1992) ...... UND 139 Eastern Chukchi Sea ...... -/- ; N 20,752 (0.7, 12,194, 2012) ...... 244 67 Killer whale ...... Orcinus orca ...... Gulf of Alaska, Aleutian Islands, -/- ; N 587 c (NA, 587, 2012) ...... 5.87 1 Bering Sea Transient. Family Phocoenidae (porpoises): Harbor porpoise ...... Phocoena phocoena ...... Bering Sea ...... -/- ; Y 48,215 (0.223, NA, 1999) ...... UND 0.2

Order Carnivora—Superfamily Pinnipedia

Family Phocidae (earless seals): Bearded seal ...... Erignathus barbatus ...... Beringia ...... T/D ; Y see SAR (see SAR, see SAR, 2013 See SAR 557 Ringed seal ...... Phoca (pusa) hispida ...... Alaska ...... T/D ; Y see SAR (see SAR, see SAR, 2013 5,100 863 Spotted seal ...... Phoca largha ...... Alaska ...... -/- ; N 461,625 (see SAR, 423,237, 2013) 12,697 329 Ribbon seal ...... Histriophoca fasciata ...... Alaska ...... -/- ; N 184,697 (see SAR, 163,086, 2013) 9,785 3.9 1 Endangered Species Act (ESA) status: Endangered (E), Threatened (T)/MMPA status: Depleted (D). A dash (-) indicates that the species is not listed under the ESA or designated as de- pleted under the MMPA. Under the MMPA, a strategic stock is one for which the level of direct human-caused mortality exceeds PBR or which is determined to be declining and likely to be list- ed under the ESA within the foreseeable future. Any species or stock listed under the ESA is automatically designated under the MMPA as depleted and as a strategic stock. 2 NMFS marine mammal stock assessment reports online at: www.nmfs.noaa.gov/pr/sars/. CV is coefficient of variation; Nmin is the minimum estimate of stock abundance. 3 These values, found in NMFS’s SARs, represent annual levels of human-caused mortality plus serious injury from all sources combined (e.g., commercial fisheries, ship strike). Annual M/SI often cannot be determined precisely and is in some cases presented as a minimum value or range. A CV associated with estimated mortality due to commercial fisheries is presented in some cases.

As indicated above, all nine species As noted in the Specific Geographic population and the endangered western (with 10 managed stocks) in Table 3 Region section, Kotzebue Sound is North Pacific Population. temporally and spatially co-occur with relatively shallow, further reducing the Only the eastern North Pacific the activity to the degree that take is likelihood for these species to occur. populations range extends into the reasonably likely to occur, and we have The narwhal occurs in Canadian waters project areas. Most whales in the eastern proposed authorizing it. All species that and occasionally in the Alaskan population spend the summer and fall could potentially occur in the proposed Beaufort Sea and the Chukchi Sea, but months feeding in the Chukchi, survey areas are included in Table 2 of it is considered extralimital in U.S. Beaufort, and northwestern Bering Seas the IHA application. While Eastern waters and is not expected to be (Carretta et al., 2019). Despite the North Pacific Alaska Resident Stock encountered. There are scattered records shallow waters, gray whales feed in the killer whales, bowhead whales, fin of narwhal in Alaskan waters, including outer area of Kotzebue Sound between whales, humpback whales, and reports by subsistence hunters (Reeves May and November (Audubon, 2010). narwhals could potentially occur in the et al., 2002); however, we do not expect Gray whales were reported as present area, the spatial occurrence of these narwhals to occur in Kotzebue Sound and feeding (sometimes in large species is such that take is not expected during the project period. numbers) in Kotzebue Sound and a gray to occur, and they are not discussed In addition, the polar bear (Ursus whale was harvested by whale hunters further beyond the explanation maritimus) and Pacific walrus at Sisualiq in 1980 (Frost et al., 1983). provided here. (Odobenus rosmarus divergens) may There have been five reports of gray NMFS was unable to locate evidence occur in the project area. However, both whale strandings within inner Kotzebue supporting the presence of resident species are managed by the U.S. Fish Sound between 2010 and 2019, killer whales within Kotzebue Sound. and Wildlife Service and are not including one in Hotham Inlet. An Based on evidence of predation on considered further in this document. additional unidentified large whale was marine mammals, NMFS expects killer reported stranded south of Cape whales within the Sound to be from Gray Whale Blossom in 2018 (Savage, pers. comm. transient stocks. Additionally, Bowhead Gray whales are distributed 2019). whales (Braham et al., 1984), humpback throughout the North Pacific Ocean and We are unaware of any information whales, and fin whales (Clarke et al., are found primarily in shallow coastal indicating that Kotzebue Sound is an 2013) do not typically occur within the waters (NMFS, 2019d and Carretta et al., area of particular biological importance area that may incur noise from this 2019). There are currently two for gray whales. Clarke et al. (2015) project above thresholds that may result populations of gray whales in the North identified ‘‘biologically important in Level B harassment of these species. Pacific Ocean: The eastern North Pacific areas’’ for cetaceans in the Arctic region,

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including reproductive, feeding, and Sea. The Eastern Chukchi Sea Stock (Muto et al., 2019). Killer whales occur migratory areas, as well as areas where move into the Chukchi Sea and western throughout the North Pacific and along small and resident populations reside. Beaufort Sea for the summer months the entire coast of Alaska. Resident The authors did not identify Kotzebue and migrate to the Bering Sea in the fall. killer whales have large ranges and in Sound as an important area for gray Belugas from the Eastern Chukchi Sea the North Pacific occur year-round in whales. Stock are known to move into coastal ice-free waters of the Chukchi and areas in late June until about mid-July Bering Seas, the Aleutian Islands and Minke Whale (Muto et al., 2019). the Gulf of Alaska (Wynne, 2017). Minke whales are widely distributed Acoustic surveys for beluga in the Five killer whale stocks occur in throughout the northern hemisphere northeastern Chukchi Sea detected them Alaskan waters: The Eastern North and are found in both the Pacific and in every month between April and Pacific (ENP) Alaska Resident Stock; the Atlantic oceans. Minke whales in November (Delarue et al., 2011). As ice ENP Northern Resident Stock; the ENP Alaska are considered migratory and begins to break up between late May Gulf of Alaska, Aleutian Islands, and typically occur in the Arctic during the and mid-June, belugas move into Bering Sea Transient Stock; the AT1 summer months, and near the equator Kotzebue Sound from the northwest to Transient Stock; and the West Coast during winter months (NMFS, 2019e). Sisualiq Spit and then down the Transient Stock (Muto et al., 2019). There have been reports of Minke Baldwin Peninsula to Escholtz Bay. None of the stocks have ranges shown whales as sometimes present in Belugas continue to move throughout extending into the Chukchi Sea (Muto et Kotzebue Sound during the summer the Sound until winter (Northwest al., 2019); however, sightings of killer months. Two individuals beached in the Arctic Borough [NAB], 2016; Audubon, whales have been reported in Kotzebue mouth of the Buckland River in autumn 2010). Reports of belugas at Sisualiq Sound in the 1980s and recently in 2008 during the late 1970s (Frost et al., 1983). include groups of 75–100 individuals, (Eruich, 2016; Lowry et al., 1987). The Minke whales are believed to calve in described as moving clockwise into the ENP Alaska Resident Stock and the Gulf the winter months (NMFS, 2019e); Sound. Along the west coast of Baldwin of Alaska, Aleutian Islands, and Bering however, little is known about their peninsula, they have been reported in Sea Transient Stock are the only stocks breeding areas. We are unaware of any groups of 200–300, culminating in with a known range into the Bering Sea, information indicating that Kotzebue groups of 1,000 or more in Eschscholtz and the transient stock’s range may Sound is an area of particular biological Bay and near the Chamisso Islands extend into the Chukchi Sea and importance for minke whales. Clarke et (Frost et al., 1983). Kotzebue Sound. al. (2015) identified ‘‘biologically Belugas return to their birth areas Killer whales have been reported important areas’’ for cetaceans in the during the summer where they give hunting beluga whales and even grey or Arctic region, including reproductive, birth every two to three years. They give minke whales in Eschscholtz Bay and feeding, and migratory areas, as well as birth in the warmer waters during the the mouth of the Buckland River as areas where small and resident summer where the calves, lacking early as the 1970s (Frost et al., 1983). populations reside, and no areas were blubber to protect them from cold water, Recently, subsistence users and identified for minke whales. can remain in warmer, shallow waters researchers have noted a significant of tidal flats and estuaries. Females decrease in the distribution and activity Beluga Whale reach breeding age between 9 and 14 of beluga whales in the Sound. They Five beluga whale stocks occur in years, slightly earlier than males. Mating believe that an increase in killer whale Alaska: The Eastern Chukchi Sea Stock, is believed to occur in the late winter activity within the Bay may be the Beaufort Sea Stock, the Eastern and early spring months, either during responsible as evidence indicates that Bering Sea Stock, the Bristol Bay Stock the migration or at the wintering increased predation may be encouraging and the Cook Inlet Stock. While each grounds (NMFS, 2019f). Belugas in silence in the belugas that remain stock is unique and isolated from one Kotzebue Sound are known to (Huntington et al., 2016b, Eurich 2016). another genetically and/or physically concentrate to give birth in Eschscholtz Photo identification of individuals there is some crossover of the Eastern Bay, with smaller numbers giving birth spotted in the southern Chukchi sea Chukchi Sea and the Beaufort Sea Stock in Selawik Lake or Goodhope Bay (NAB, during transect surveys (during which at during the late summer. The Eastern 2016). The NAB subsistence mapping least 37 individuals were spotted six Chukchi Sea is the primary stock in the project identified Kotzebue as an times) identified transient type killer project area; however, the Beaufort Sea important use area for beluga feeding whales. Based on reports of predation of Stock may also occur in the project area. and birthing (both outside of the belugas and harbor porpoises, it appears Beluga whales are distributed calculated Level B harassment zone for likely individuals found in the southern throughout seasonally ice-covered this project) as well as rearing. Chukchi Sea and Kotzebue Sound are of Arctic and subarctic waters of the Subsistence users and researchers the transient, mammal-eating Northern Hemisphere both offshore and have recently noted a significant population of the Gulf of Alaska, in coastal waters (Muto et al., 2019). decrease in the distribution and activity Aleutian Islands, and Bering Sea Factors including ice cover, tidal of beluga whales in the Sound. They Transient Stock (Clarke et al., 2013). conditions, access to prey, temperature, suspect that an increase in killer whale Harbor Porpoise and human interactions affect the activity within the bay may be seasonal distribution (Muto et al., 2019). responsible as evidence indicates that In the eastern North Pacific Ocean, The Beaufort Sea and Eastern Chukchi increased predation may be encouraging harbor porpoises range from Point Sea Stocks of beluga whales migrate silence in the belugas that remain. Barrow, along the Alaska coast, and seasonally between the Bering and (Huntington et al., 2016b, Eurich, 2016). down the west coast of North America Beaufort/Chukchi Seas (Muto et al., to Point Conception, California. NMFS 2019). The Beaufort Sea Stock leaves the Killer Whale currently recognizes three stocks of Bering Sea in early spring and move Killer whales occur in every ocean of harbor porpoise within this range (Muto through the Chukchi Sea and into the the world (NMFS, 2019b); however, et al., 2019). The Bering Sea stock Canadian waters of the Beaufort Sea. In killer whales occur at higher densities occurs within the project area, ranging late fall this stock returns to the Bering in colder waters of both hemispheres from throughout the Aleutian Islands

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and into all waters north of Unimak a high-density feeding area north of the year-round, juveniles are more likely to Pass. project area, along Sisualiq Spit (see travel long distances while adults stay The harbor porpoise frequents application, Figure 5). closer to the Sound. Ringed seals are nearshore waters and coastal Bearded seals consume a diet common in the Sound during spring embayments throughout their range, consisting primarily of benthic before the more aggressive spotted seals including bays, harbors, estuaries, and organisms such as demersal fishes and arrive, driving them from the area until fjords less than 650 feet (198 m) deep epifaunal and infaunal invertebrates they return to the Sound in fall (NMFS, 2018g). The presence of harbor (Muto et al., 2019). Bearded seals feed (Huntington et al., 2016). Recently porpoises was detected in Kotzebue throughout Kotzebue Sound, but prime mapped ranges show ringed seals in Sound between September and feeding grounds are off the Chamisso Kotzebue Sound from February until November and between January and Islands, where clam and shrimp are June and returning in October and March during acoustic monitoring in abundant (Huntington et al., 2016). November (Audubon, 2010). 2014 & 2015. Porpoises had not The primary threat to bearded seals is The NAB (2016) has identified the previously been reported under the ice a loss of sea-ice habitat due to climate project area, and more broadly, in the Chukchi (Whiting et al., 2019). change. Lack of suitable ice cover with Kotzebue Sound, as an important use access to shallow feeding areas during area for ringed seal feeding. Bearded Seal summer months during which bearded Additionally, they identified a high- There are two recognized subspecies seals whelp, nurse, and molt potentially density feeding area south of the project of the bearded seal: Erignathus barbatus decreases food availability and increases area, along the southern end of Baldwin barbatus and E. b. nauticus. The E.b. predation rates. The potential for habitat Peninsula (see application, Figure 6). nauticus subspecies occurs in the modifications due to ocean acidification The primary threat to ringed seals is project area and consists of two DPSs: also pose a potential risk to bearded a loss of sea-ice habitat due to climate Beringia and Okhotsk. The Alaska Stock seals due to changes in prey availability, change. Observations of low-snow years of bearded seals is defined as the although this possibility is complex and found that decreased snow protection portion of the Beringia DPS found in less threatening to bearded seals due to around pupping dens left seal pups U.S. Waters (Muto et al., 2019). their apparent dietary flexibility. vulnerable to shore predators, such as Bearded seals have a circumpolar Increases in shipping and habitat jaegers, ravens, and fox (Huntington et distribution and their normal range modification for development also pose al., 2016). Lack of suitable ice cover extends from the Arctic Ocean to a potential future risk to bearded seal with access to shallow feeding areas Sakhalin Island or from 80° N to 45° N. survival (Muto et al., 2019). during summer months during which In U.S. waters, bearded seals occur Observations of low-snow years found ringed seals whelp, nurse, and molt across the continental shelf throughout that decreased snow protection around potentially decreases food availability the Bering, Chukchi, and Beaufort Seas pupping dens left seal pups vulnerable and increases predation rates. The (Muto et al., 2019). to shore predators, such as jaegers, potential for habitat modifications due Many bearded seals spend the winter ravens, and fox (Huntington et al., to ocean acidification also pose a months in the Bering Sea and then move 2016). potential risk to ringed seals due to north through the Bering Strait between Ringed Seal changes in prey availability. Increases in late April and June. They then continue shipping and habitat modification for into the Chukchi Sea where they spend Of five recognized subspecies of development also pose a potential the summer months along the ringed seals, P. h. hispida is the only future risk to ringed seal survival (Muto fragmented and drifting ice pack. subspecies occurring in Alaska (Muto et et al., 2019). Bearded seals have been observed in the al., 2019). Ringed seals occur Chukchi Sea year-round when sea ice throughout Arctic waters in all Spotted Seal coverage was greater than 50 percent. ‘‘seasonally ice-covered seas.’’ In winter Spotted seals are an important Juveniles may not migrate north to and early spring when sea ice is at its resource for Alaska Native subsistence follow the ice, as most adults do, and maximum coverage, they occur in the hunters. Approximately 64 Alaska may remain along the coasts of the northern Bering Sea, in Norton and Native communities in western and Bering and Chukchi Seas. Apart from Kotzebue Sounds, and throughout the northern Alaska, from Bristol Bay to the these juveniles, seasonal distribution Chukchi and Beaufort Seas. Seasonal Beaufort Sea, regularly harvest ice seals appears to be correlated with the ice movement patterns are not well (Ice Seal Committee, 2016). pack (Muto et al., 2019). Bearded seals documented; however, they generally Spotted seals occur along the are most common in the Sound during winter in the Bering and Chukchi Seas continental shelf of the Bering, Chukchi, spring, before the more aggressive and are believed to migrate north in and Beaufort Seas in Alaska. They also spotted seals arrive and drive them from spring as the seasonal ice melts and occur in the Sea of Okhotsk south to the the area until the juveniles return to the retreats. Presumably, they continue western Sea of Japan and northern sound in fall (Huntington et al., 2016). moving north and spend summers in the Yellow Sea. Spotted seals are grouped Juvenile (birth-year) seals tend to pack ice of the northern Chukchi and into three Distinct Population Segments remain in Kotzebue Sound near Sisualiq Beaufort Seas. They may also appear on (DPS) based on their breeding area: The Spit and the mouth of the Noatak River nearshore ice remnants in the Beaufort Bering Sea DPS, the Okhotsk DPS and through the summer (NAB, 2016). Sea. Movement becomes increasingly the Southern DPS. The Alaska Stock of Recently mapped ranges show adult restricted in the fall as freeze-up spotted seals is defined as the portion of bearded seals in Kotzebue Sound from progresses, and seals are thought move the Bering Sea DPS that is U.S. waters. March until June and returning in south and west from summer grounds in The Bering Sea DPS includes breeding October and November (Audubon, the Beaufort Sea along with the ice pack areas in the Bering Sea and portions of 2010). The NAB (2016) has identified (Muto et al., 2019). the East Siberian, Chukchi, and Beaufort the project area, and more broadly, Cooperative satellite tagging efforts Seas (Muto et al., 2019). Kotzebue Sound, as a bearded seal between local hunting experts and The distribution of spotted seals important use area for feeding and biologists have found that, while ringed correlate seasonally to the life periods migration. Additionally, they identified seals are present in Kotzebue Sound when spotted seals haul out land and

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when the spotted seals haul out on sea Sea from late March to early May. From has been declared an Unusual Mortality ice for whelping, nursing, breeding and May to mid-July, the ice recedes, and Event (UME), though a cause has not yet molting. From the late-fall through ribbon seals move further north into the been determined. More information is spring, spotted seals occur where sea ice Bering Strait and the southern part of available at https:// is available for them to haul out. From the Chukchi Sea (Muto et al., 2019). An www.fisheries.noaa.gov/national/ summer through fall, the seasonal sea estimated 6,000–25,000 ribbon seals marine-life-distress/2018-2020-ice-seal- ice has melted and spotted seals use from the eastern Bering Sea use the unusual-mortality-event-alaska. land for hauling out (Muto et al., 2019). Chukchi Sea during the spring open- Marine Mammal Hearing An estimated 69,000–101,000 spotted water period (Boveng et al., 2017). seals from the eastern Bering Sea use the Ribbon seals reach breeding age Hearing is the most important sensory Chukchi Sea during the spring open- between one and five years of age and modality for marine mammals water period (Boveng et al., 2017). In give birth to a single pup on offshore underwater, and exposure to 1976 aerial surveys of spotted seals in season sea ice in April and early May. anthropogenic sound can have the Bering Sea, densities ranged Weaning of most ribbon seal pups is deleterious effects. To appropriately between 0.013 and 1.834 seals per seals completed by mid-May. Mating occurs assess the potential effects of exposure per km2 (Braham et al., 1984). soon after weaning (NMFS, 2019h). to sound, it is necessary to understand Spotted seals haul out between June Ribbon seals are becoming the frequency ranges marine mammals and December in Krusenstern Lagoon, increasingly rare in Kotzebue Sound are able to hear. Current data indicate the Noatak River delta, the tip of the (Huntington et al., 2016) Range mapping that not all marine mammal species Baldwin Peninsula, and Cape Espenberg of the ribbon seal shows them present have equal hearing capabilities (e.g., (Audubon, 2010). Subsistence users in the project vicinity from June to Richardson et al., 1995; Wartzok and report that spotted seals move into the December; however, they typically Ketten, 1999; Au and Hastings, 2008). area in July, following fish runs into the concentrate further offshore, outside of To reflect this, Southall et al., (2007) Sound and up the Noatak River (NAB, the Sound (Audubon, 2010). recommended that marine mammals be 2016). Spotted seals in the Chamisso divided into functional hearing groups Unusual Mortality Events (UME) Islands were reported in groups of up to based on directly measured or estimated 20, but they may reach groups of over A UME is defined under the MMPA hearing ranges based on available 1,000 at Cape Espenberg (Frost et al., as ‘‘a stranding that is unexpected; behavioral response data, audiograms 1983). involves a significant die-off of any derived using auditory evoked potential The NAB (2016) has identified the marine mammal population; and techniques, anatomical modeling, and project area, and more broadly, demands immediate response.’’ other data. Note that no direct Kotzebue Sound, as an important use Currently, there are ongoing measurements of hearing ability have area for spotted seal feeding, birthing, investigations in Alaska involving gray been successfully completed for and rearing. Specifically, the project whales and ice seals. mysticetes (i.e., low-frequency overlaps with a high-density feeding Since January 1, 2019, elevated gray cetaceans). Subsequently, NMFS (2018) that extends from Kotzebue across the whale strandings have occurred along described generalized hearing ranges for channel to Sisualiq Spit (see the west coast of North America from these marine mammal hearing groups. application, Figure 6). Additionally, Mexico through Alaska. This event has Generalized hearing ranges were chosen NAB has identified two important been declared an Unusual Mortality based on the approximately 65 decibel haulouts, one adjacent to the project Event (UME), though a cause has not yet (dB) threshold from the normalized area to the south, and one north of the been determined. More information is composite audiograms, with the project area at the mouth of the Noatak available at https:// exception for lower limits for low- River. www.fisheries.noaa.gov/national/ frequency cetaceans where the lower marine-life-distress/2019-2020-gray- bound was deemed to be biologically Ribbon Seal whale-unusual-mortality-event-along- implausible and the lower bound from Ribbon seals range from the North west-coast. Southall et al., (2007) retained. Marine Pacific Ocean and Bering Sea into the Since June 1, 2018, elevated ice seal mammal hearing groups and their Chukchi and western Beaufort Seas in strandings have occurred in the Bering associated hearing ranges are provided Alaska. Ribbon seals occur on Bering and Chukchi seas in Alaska. This event in Table 4.

TABLE 4—MARINE MAMMAL HEARING GROUPS (NMFS, 2018)

Hearing group Generalized hearing range *

Low-frequency (LF) cetaceans (baleen whales) ...... 7 Hz to 35 kHz. Mid-frequency (MF) cetaceans (dolphins, toothed whales, beaked whales, bottlenose whales) ...... 150 Hz to 160 kHz. High-frequency (HF) cetaceans (true porpoises, Kogia, river dolphins, cephalorhynchid, Lagenorhynchus 275 Hz to 160 kHz. cruciger & L. australis). Phocid pinnipeds (PW) (underwater) (true seals) ...... 50 Hz to 86 kHz. Otariid pinnipeds (OW) (underwater) (sea lions and fur seals) ...... 60 Hz to 39 kHz. * Represents the generalized hearing range for the entire group as a composite (i.e., all species within the group), where individual species’ hearing ranges are typically not as broad. Generalized hearing range chosen based on ∼65 dB threshold from normalized composite audiogram, with the exception for lower limits for LF cetaceans (Southall et al., 2007) and PW pinniped (approximation).

The pinniped functional hearing demonstrated an extended frequency (Hemila¨ et al., 2006; Kastelein et al., group was modified from Southall et al., range of hearing compared to otariids, 2009; Reichmuth and Holt, 2013). (2007) on the basis of data indicating especially in the higher frequency range For more detail concerning these that phocid species have consistently groups and associated frequency ranges,

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please see NMFS (2018) for a review of result of the dependence on a large The likely or possible impacts of available information. Nine marine number of varying factors, ambient Crowley’s proposed activity on marine mammal species (five cetacean and four sound levels can be expected to vary mammals could involve both non- phocid pinniped species) have the widely over both coarse and fine spatial acoustic and acoustic stressors. reasonable potential to co-occur with and temporal scales. Sound levels at a Potential non-acoustic stressors could the proposed survey activities. Please given frequency and location can vary result from the physical presence of the refer to Table 3. Of the cetacean species by 10–20 dB from day to day equipment and personnel; however, any that may be present, two are classified (Richardson et al., 1995). The result is impacts to marine mammals are as low-frequency cetaceans (i.e., gray that, depending on the source type and expected to primarily be acoustic in whale and minke whale), two are its intensity, sound from the specified nature. Acoustic stressors include classified as mid-frequency cetaceans activity may be a negligible addition to effects of heavy equipment operation (i.e., beluga whale and killer whale), and the local environment or could form a during pile installation and removal. one is classified as a high-frequency distinctive signal that may affect marine Acoustic Impacts cetacean (i.e., harbor porpoise). mammals. In-water construction activities The introduction of anthropogenic Potential Effects of Specified Activities noise into the aquatic environment from on Marine Mammals and Their Habitat associated with the project would include vibratory pile driving and pile pile driving and removal is the primary This section includes a summary and removal and impact pile driving. The means by which marine mammals may be harassed from Crowley’s specified discussion of the ways that components sounds produced by these activities fall of the specified activity may impact activity. In general, animals exposed to into one of two general sound types: marine mammals and their habitat. The natural or anthropogenic sound may Impulsive and non-impulsive. Estimated Take section later in this experience physical and psychological Impulsive sounds (e.g., explosions, document includes a quantitative effects, ranging in magnitude from none gunshots, sonic booms, impact pile analysis of the number of individuals to severe (Southall et al., 2007). In driving) are typically transient, brief that are expected to be taken by this general, exposure to pile driving and (less than one second), broadband, and activity. The Negligible Impact Analysis removal noise has the potential to result consist of high peak sound pressure and Determination section considers the in auditory threshold shifts and with rapid rise time and rapid decay content of this section, the Estimated behavioral reactions (e.g., avoidance, (ANSI 1986; NIOSH 1998; ANSI 2005; Take section, and the Proposed temporary cessation of foraging and Mitigation section, to draw conclusions NMFS, 2018). Non-impulsive sounds vocalizing, changes in dive behavior). regarding the likely impacts of these (e.g. aircraft, machinery operations such Exposure to anthropogenic noise can activities on the reproductive success or as drilling or dredging, vibratory pile also lead to non-observable survivorship of individuals and how driving, and active sonar systems) can physiological responses such an those impacts on individuals are likely be broadband, narrowband or tonal, increase in stress hormones. Additional to impact marine mammal species or brief or prolonged (continuous or noise in a marine mammal’s habitat can stocks. intermittent), and typically do not have mask acoustic cues used by marine the high peak sound pressure with raid mammals to carry out daily functions Description of Sound Sources rise/decay time that impulsive sounds such as communication and predator The marine soundscape is comprised do (ANSI 1995; NIOSH 1998; NMFS and prey detection. The effects of pile of both ambient and anthropogenic 2018). The distinction between these driving and removal noise on marine sounds. Ambient sound is defined as two sound types is important because mammals are dependent on several the all-encompassing sound in a given they have differing potential to cause factors, including, but not limited to, place and is usually a composite of physical effects, particularly with regard sound type (e.g., impulsive vs. non- sound from many sources both near and to hearing (e.g., Ward 1997 in Southall impulsive), the species, age and sex far. The sound level of an area is et al., 2007). class (e.g., adult male vs. mom with defined by the total acoustical energy Two types of pile hammers would be calf), duration of exposure, the distance being generated by known and used on this project: Impact and between the pile and the animal, unknown sources. These sources may vibratory. Impact hammers operate by received levels, behavior at time of include physical (e.g., waves, wind, repeatedly dropping a heavy piston onto exposure, and previous history with precipitation, earthquakes, ice, a pile to drive the pile into the substrate. exposure (Wartzok et al., 2004; Southall atmospheric sound), biological (e.g., Sound generated by impact hammers is et al., 2007). Here we discuss physical sounds produced by marine mammals, characterized by rapid rise times and auditory effects (threshold shifts) fish, and invertebrates), and high peak levels, a potentially injurious followed by behavioral effects and anthropogenic sound (e.g., vessels, combination (Hastings and Popper, potential impacts on habitat. dredging, aircraft, construction). 2005). Vibratory hammers install piles NMFS defines a noise-induced The sum of the various natural and by vibrating them and allowing the threshold shift (TS) as a change, usually anthropogenic sound sources at any weight of the hammer to push them into an increase, in the threshold of given location and time—which the sediment. Vibratory hammers audibility at a specified frequency or comprise ‘‘ambient’’ or ‘‘background’’ produce significantly less sound than portion of an individual’s hearing range sound—depends not only on the source impact hammers. Peak sound pressure above a previously established reference levels (as determined by current levels (SPLs) may be 180 dB or greater, level (NMFS 2018). The amount of weather conditions and levels of but are generally 10 to 20 dB lower than threshold shift is customarily expressed biological and shipping activity) but SPLs generated during impact pile in dB. A TS can be permanent or also on the ability of sound to propagate driving of the same-sized pile (Oestman temporary. As described in NMFS through the environment. In turn, sound et al., 2009). Rise time is slower, (2018), there are numerous factors to propagation is dependent on the reducing the probability and severity of consider when examining the spatially and temporally varying injury, and sound energy is distributed consequence of TS, including, but not properties of the water column and sea over a greater amount of time (Nedwell limited to, the signal temporal pattern floor, and is frequency-dependent. As a and Edwards 2002; Carlson et al., 2005). (e.g., impulsive or non-impulsive),

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likelihood an individual would be TTS can have effects on marine difficult to predict specifically how any exposed for a long enough duration or mammals ranging from discountable to given sound in a particular instance to a high enough level to induce a TS, serious (similar to those discussed in might affect marine mammals the magnitude of the TS, time to auditory masking, below). For example, perceiving the signal. If a marine recovery (seconds to minutes or hours to a marine mammal may be able to readily mammal does react briefly to an days), the frequency range of the compensate for a brief, relatively small underwater sound by changing its exposure (i.e., spectral content), the amount of TTS in a non-critical behavior or moving a small distance, the hearing and vocalization frequency frequency range that takes place during impacts of the change are unlikely to be range of the exposed species relative to a time when the animal is traveling significant to the individual, let alone the signal’s frequency spectrum (i.e., through the open ocean, where ambient the stock or population. However, if a how an animal uses sound within the noise is lower and there are not as many sound source displaces marine frequency band of the signal; e.g., competing sounds present. mammals from an important feeding or Kastelein et al., 2014), and the overlap Alternatively, a larger amount and breeding area for a prolonged period, between the animal and the source (e.g., longer duration of TTS sustained during impacts on individuals and populations spatial, temporal, and spectral). time when communication is critical for could be significant (e.g., Lusseau and Permanent Threshold Shift (PTS)— successful mother/calf interactions Bejder 2007; Weilgart 2007; NRC 2005). NMFS defines PTS as a permanent, could have more serious impacts. We Disturbance may result in changing irreversible increase in the threshold of note that reduced hearing sensitivity as durations of surfacing and dives, audibility at a specified frequency or a simple function of aging has been number of blows per surfacing, or portion of an individual’s hearing range observed in marine mammals, as well as moving direction and/or speed; above a previously established reference humans and other taxa (Southall et al., reduced/increased vocal activities; level (NMFS, 2018). Available data from 2007), so we can infer that strategies changing/cessation of certain behavioral humans and other terrestrial mammals exist for coping with this condition to activities (such as socializing or indicate that a 40 dB threshold shift some degree, though likely not without feeding); visible startle response or approximates PTS onset (see Ward et cost. aggressive behavior (such as tail/fluke al., 1958, 1959; Ward 1960; Kryter et al., Currently, TTS data only exist for four slapping or jaw clapping); avoidance of 1966; Miller 1974; Ahroon et al., 1996; species of cetaceans (bottlenose dolphin areas where sound sources are located. Henderson et al., 2008). PTS levels for (Tursiops truncatus), beluga whale Pinnipeds may increase their haul out marine mammals are estimates, as with (Delphinapterus leucas), harbor time, possibly to avoid in-water the exception of a single study porpoise (Phocoena phocoena), and disturbance (Thorson and Reyff 2006). unintentionally inducing PTS in a Yangtze finless porpoise (Neophocoena Behavioral responses to sound are harbor seal (Kastak et al., 2008), there asiaeorientalis)) and five species of highly variable and context-specific and are no empirical data measuring PTS in pinnipeds exposed to a limited number any reactions depend on numerous marine mammals largely due to the fact of sound sources (i.e., mostly tones and intrinsic and extrinsic factors (e.g., that, for various ethical reasons, octave-band noise) in laboratory settings species, state of maturity, experience, experiments involving anthropogenic (Finneran 2015). TTS was not observed current activity, reproductive state, noise exposure at levels inducing PTS in trained spotted (Phoca largha) and auditory sensitivity, time of day), as are not typically pursued or authorized ringed (Pusa hispida) seals exposed to well as the interplay between factors (NMFS 2018). impulsive noise at levels matching (e.g., Richardson et al., 1995; Wartzok et Temporary Threshold Shift (TTS)—A previous predictions of TTS onset al., 2003; Southall et al., 2007; Weilgart temporary, reversible increase in the (Reichmuth et al., 2016). In general, 2007; Archer et al., 2010). Behavioral threshold of audibility at a specified harbor seals and harbor porpoises have reactions can vary not only among frequency or portion of an individual’s a lower TTS onset than other measured individuals but also within an hearing range above a previously pinniped or cetacean species (Finneran individual, depending on previous established reference level (NMFS, 2015). Additionally, the existing marine experience with a sound source, 2018). Based on data from cetacean TTS mammal TTS data come from a limited context, and numerous other factors measurements (see Southall et al., number of individuals within these (Ellison et al., 2012), and can vary 2007), a TTS of 6 dB is considered the species. No data are available on noise- depending on characteristics associated minimum threshold shift clearly larger induced hearing loss for mysticetes. For with the sound source (e.g., whether it than any day-to-day or session-to- summaries of data on TTS in marine is moving or stationary, number of session variation in a subject’s normal mammals or for further discussion of sources, distance from the source). In hearing ability (Schlundt et al., 2000; TTS onset thresholds, please see general, pinnipeds seem more tolerant Finneran et al., 2000, 2002). As Southall et al., (2007), Finneran and of, or at least habituate more quickly to, described in Finneran (2015), marine Jenkins (2012), Finneran (2015), and potentially disturbing underwater sound mammal studies have shown the Table 5 in NMFS (2018). Installing piles than do cetaceans, and generally seem amount of TTS increases with requires vibratory pile driving in this to be less responsive to exposure to cumulative sound exposure level project. There would likely be pauses in industrial sound than most cetaceans. (SELcum) in an accelerating fashion: At activities producing the sound during Please see Appendices B–C of Southall low exposures with lower SELcum, the each day. Given these pauses and that et al., (2007) for a review of studies amount of TTS is typically small and many marine mammals are likely involving marine mammal behavioral the growth curves have shallow slopes. moving through the ensonified area and responses to sound. At exposures with higher SELcum, the not remaining for extended periods of Disruption of feeding behavior can be growth curves become steeper and time, the potential for TS declines. difficult to correlate with anthropogenic approach linear relationships with the Behavioral Harassment—Exposure to sound exposure, so it is usually inferred noise SEL. noise from pile driving and removal also by observed displacement from known Depending on the degree (elevation of has the potential to behaviorally disturb foraging areas, the appearance of threshold in dB), duration (i.e., recovery marine mammals. Available studies secondary indicators (e.g., bubble nets time), and frequency range of TTS, and show wide variation in response to or sediment plumes), or changes in dive the context in which it is experienced, underwater sound; therefore, it is behavior. As for other types of

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behavioral response, the frequency, energetic reserves sufficient to restore mammals. Conversely, if the duration, and temporal pattern of signal normal function. background level of underwater sound presentation, as well as differences in Relationships between these is high (e.g., on a day with strong wind species sensitivity, are likely physiological mechanisms, animal and high waves), an anthropogenic contributing factors to differences in behavior, and the costs of stress sound source would not be detectable as response in any given circumstance responses are well studied through far away as would be possible under (e.g., Croll et al., 2001; Nowacek et al., controlled experiments and for both quieter conditions and would itself be 2004; Madsen et al., 2006; Yazvenko et laboratory and free-ranging animals masked. al., 2007). A determination of whether (e.g., Holberton et al., 1996; Hood et al., Airborne Acoustic Effects—Pinnipeds foraging disruptions incur fitness 1998; Jessop et al., 2003; Krausman et that occur near the project site could be consequences would require al., 2004; Lankford et al., 2005). Stress exposed to airborne sounds associated information on or estimates of the responses due to exposure to with pile driving and removal that have energetic requirements of the affected anthropogenic sounds or other stressors the potential to cause behavioral individuals and the relationship and their effects on marine mammals harassment, depending on their distance between prey availability, foraging effort have also been reviewed (Fair and from pile driving activities. Cetaceans and success, and the life history stage of Becker, 2000; Romano et al., 2002b) are not expected to be exposed to the animal. and, more rarely, studied in wild airborne sounds that would result in Stress responses—An animal’s populations (e.g., Romano et al., 2002a). harassment as defined under the perception of a threat may be sufficient For example, Rolland et al. (2012) found MMPA. to trigger stress responses consisting of that noise reduction from reduced ship Airborne noise would primarily be an some combination of behavioral traffic in the Bay of Fundy was issue for pinnipeds that are swimming responses, autonomic nervous system associated with decreased stress in or hauled out near the project site responses, neuroendocrine responses, or North Atlantic right whales. These and within the range of noise levels immune responses (e.g., Seyle 1950; other studies lead to a reasonable exceeding the acoustic thresholds. We recognize that pinnipeds in the water Moberg 2000). In many cases, an expectation that some marine mammals could be exposed to airborne sound that animal’s first and sometimes most will experience physiological stress may result in behavioral harassment economical (in terms of energetic costs) responses upon exposure to acoustic when looking with their heads above response is behavioral avoidance of the stressors and that it is possible that water. Most likely, airborne sound potential stressor. Autonomic nervous some of these would be classified as would cause behavioral responses system responses to stress typically ‘‘distress.’’ In addition, any animal similar to those discussed above in involve changes in heart rate, blood experiencing TTS would likely also experience stress responses (NRC, relation to underwater sound. For pressure, and gastrointestinal activity. 2003), however distress is an unlikely instance, anthropogenic sound could These responses have a relatively short result of this project based on cause hauled-out pinnipeds to exhibit duration and may or may not have a observations of marine mammals during changes in their normal behavior, such significant long-term effect on an previous, similar projects in the area. as reduction in vocalizations, or cause animal’s fitness. Masking—Sound can disrupt behavior them to temporarily abandon the area Neuroendocrine stress responses often through masking, or interfering with, an and move further from the source. involve the hypothalamus-pituitary- animal’s ability to detect, recognize, or However, these animals would adrenal system. Virtually all discriminate between acoustic signals of previously have been ‘taken’ because of neuroendocrine functions that are interest (e.g., those used for intraspecific exposure to underwater sound above the affected by stress—including immune communication and social interactions, behavioral harassment thresholds, competence, reproduction, metabolism, prey detection, predator avoidance, which are, in all cases, larger than those and behavior—are regulated by pituitary navigation) (Richardson et al., 1995). associated with airborne sound. hormones. Stress-induced changes in Masking occurs when the receipt of a Occasionally individual seals haul out the secretion of pituitary hormones have sound is interfered with by another on beach areas northeast of the project been implicated in failed reproduction, coincident sound at similar frequencies site. However, as noted previously, altered metabolism, reduced immune and at similar or higher intensity, and anticipated source levels for airborne competence, and behavioral disturbance may occur whether the sound is natural noises are not anticipated to exceed (e.g., Moberg, 1987; Blecha, 2000). (e.g., snapping shrimp, wind, waves, disturbance thresholds for non-harbor Increases in the circulation of precipitation) or anthropogenic (e.g., seal pinnipeds beyond the 10-meter glucocorticoids are also equated with pile driving, shipping, sonar, seismic shutdown zone that will be stress (Romano et al., 2004). exploration) in origin. The ability of a implemented for all activities, so we do The primary distinction between noise source to mask biologically not expect Level B harassment takes due stress (which is adaptive and does not important sounds depends on the to airborne sounds. Therefore, we do not normally place an animal at risk) and characteristics of both the noise source believe that authorization of incidental ‘‘distress’’ is the cost of the response. and the signal of interest (e.g., signal-to- take resulting from airborne sound for During a stress response, an animal uses noise ratio, temporal variability, pinnipeds is warranted, and airborne glycogen stores that can be quickly direction), in relation to each other and sound is not discussed further here. replenished once the stress is alleviated. to an animal’s hearing abilities (e.g., In such circumstances, the cost of the sensitivity, frequency range, critical Marine Mammal Habitat Effects stress response would not pose serious ratios, frequency discrimination, Crowley’s construction activities fitness consequences. However, when directional discrimination, age or TTS could have localized, temporary impacts an animal does not have sufficient hearing loss), and existing ambient on marine mammal habitat by energy reserves to satisfy the energetic noise and propagation conditions. increasing in-water sound pressure costs of a stress response, energy Masking of natural sounds can result levels and slightly decreasing water resources must be diverted from other when human activities produce high quality. Construction activities are of functions. This state of distress will last levels of background sound at short duration and would likely have until the animal replenishes its frequencies important to marine temporary impacts on marine mammal

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habitat through increases in underwater minimal based on the short duration of effects on any prey habitat or sound. Increased noise levels may affect activities. populations of prey species. Further, acoustic habitat (see masking discussion any impacts to marine mammal habitat In-Water Construction Effects on above) and adversely affect marine are not expected to result in significant Potential Prey mammal prey in the vicinity of the or long-term consequences for project area (see discussion below). Numerous fish and invertebrate prey individual marine mammals, or to During vibratory pile driving, elevated species occur in Kotzebue Sound and contribute to adverse impacts on their levels of underwater noise would Hotham Inlet. Construction activities populations. ensonify the area where both fish and would produce continuous (i.e., Estimated Take mammals may occur and could affect vibratory pile driving) and impulsive foraging success. Additionally, marine (i.e., impact pile driving) sounds. Fish This section provides an estimate of mammals may avoid the area during react to sounds that are especially strong the number of incidental takes proposed construction, however, displacement and/or intermittent low-frequency for authorization through this IHA, due to noise is expected to be temporary sounds. Short duration, sharp sounds which will inform both NMFS’ and is not expected to result in long- can cause overt or subtle changes in fish consideration of ‘‘small numbers’’ and term effects to the individuals or behavior and local distribution. the negligible impact determination. populations. Hastings and Popper (2005) identified Harassment is the only type of take several studies that suggest fish may expected to result from these activities. In-Water Construction Effects on relocate to avoid certain areas of sound Except with respect to certain activities Potential Foraging Habitat energy. Additional studies have not pertinent here, section 3(18) of the Crowley’s project involves installing a documented effects of pile driving on MMPA defines ‘‘harassment’’ as any act new sheet pile bulkhead on the water fish, although several are based on of pursuit, torment, or annoyance, ward side of the existing, degrading studies in support of large, multiyear which (i) has the potential to injure a dock. The total seafloor area affected bridge construction projects (e.g., marine mammal or marine mammal from installing the new bulkhead is a Scholik and Yan 2001, 2002; Popper stock in the wild (Level A harassment); very small area compared to the vast and Hastings 2009). Sound pulses at or (ii) has the potential to disturb a foraging area available to marine received levels of 160 dB may cause marine mammal or marine mammal mammals in Kotzebue. subtle changes in fish behavior. SPLs of stock in the wild by causing disruption Avoidance by potential prey (i.e., fish) 180 dB may cause noticeable changes in of behavioral patterns, including, but of the immediate area due to the behavior (Pearson et al., 1992; Skalski et not limited to, migration, breathing, temporary loss of this foraging habitat is al., 1992). SPLs of sufficient strength nursing, breeding, feeding, or sheltering possible. The duration of fish avoidance have been known to cause injury to fish (Level B harassment). of this area after pile driving stops is and fish mortality. Authorized takes would be by Level B unknown, but we anticipate a rapid The most likely impact to fish from harassment only, in the form of return to normal recruitment, pile driving activities at the project site disruption of behavioral patterns and/or distribution and behavior. Any would be temporary behavioral TTS for individual marine mammals behavioral avoidance by fish of the avoidance of the area. The duration of resulting from exposure to acoustic disturbed area would still leave fish avoidance of this area after pile sources. Based on the nature of the significantly large areas of fish and driving stops is unknown, but a rapid activity and the anticipated marine mammal foraging habitat in the return to normal recruitment, effectiveness of the mitigation measures nearby vicinity in Kotzebue Sound. distribution and behavior is anticipated. (i.e., shutdown zones) discussed in A temporary and localized increase in In addition to fish, prey sources such detail below in the Proposed Mitigation turbidity near the seafloor would occur as marine invertebrates could section, Level A harassment is neither in the immediate area surrounding the potentially be impacted by sound anticipated nor proposed to be area where piles are installed (and stressors as a result of Crowley’s project. authorized. removed in the case of the temporary However, studies show that crustaceans, As described previously, no mortality templates). The sediments on the sea such as euphausiid and copepod prey is anticipated or proposed to be floor will be disturbed during pile species, are not particularly sensitive to authorized for this activity. Below we driving; however, suspension will be noise, including loud noises from describe how the take is estimated. brief and localized and is unlikely to operation of seismic airguns (Wiese Generally speaking, we estimate take measurably affect marine mammals or 1996). While these prey species do use by considering: (1) Acoustic thresholds their prey in the area. In general, sound for important behaviors, above which NMFS believes the best turbidity associated with pile including predator detection (Chu et al., available science indicates marine installation is localized to about a 25- 1996), we expect that the vibratory pile mammals will be behaviorally harassed foot radius around the pile (Everitt et driving noise from Crowley’s project or incur some degree of permanent al., 1980). Cetaceans are not expected to would be inconsequential to hearing impairment; (2) the area or be close enough to the project pile invertebrate populations. volume of water that will be ensonified driving areas to experience effects of In summary, given the short daily above these levels in a day; (3) the turbidity, and any pinnipeds could duration of sound associated with density or occurrence of marine avoid localized areas of turbidity. individual pile driving events and the mammals within these ensonified areas; Therefore, the impact from increased relatively small areas being affected, and, (4) and the number of days of turbidity levels is expected to be pile driving activities associated with activities. We note that while these discountable to marine mammals. the proposed action are not likely to basic factors can contribute to a basic Furthermore, pile driving and removal have a permanent, adverse effect on any calculation to provide an initial at the project site would not obstruct fish or invertebrate habitat, or prediction of takes, additional movements or migration of marine populations of fish or invertebrate information that can qualitatively mammals. species. Thus, we conclude that impacts inform take estimates is also sometimes Impacts to potential foraging habitat of the specified activity are not likely to available (e.g., previous monitoring are expected to be temporary and have more than short-term adverse results or average group size). Below, we

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describe the factors considered here in can be difficult to predict (Southall et Level A harassment for non-explosive more detail and present the proposed al., 2007, Ellison et al., 2012). Based on sources—NMFS’ Technical Guidance take estimate. what the available science indicates and for Assessing the Effects of the practical need to use a threshold Acoustic Thresholds Anthropogenic Sound on Marine based on a factor that is both predictable Mammal Hearing (Version 2.0) Using the best available science, and measurable for most activities, (Technical Guidance, 2018) identifies NMFS has developed acoustic NMFS uses a generalized acoustic dual criteria to assess auditory injury thresholds that identify the received threshold based on received level to (Level A harassment) to five different level of underwater sound above which estimate the onset of behavioral marine mammal groups (based on exposed marine mammals would be harassment. NMFS predicts that marine hearing sensitivity) as a result of reasonably expected to be behaviorally mammals are likely to be behaviorally exposure to noise from two different harassed (equated to Level B harassed in a manner we consider Level types of sources (impulsive or non- harassment) or to incur PTS of some B harassment when exposed to impulsive). Crowley’s proposed project degree (equated to Level A harassment). underwater anthropogenic noise above includes the use of non-impulsive Level B Harassment for non-explosive received levels of 120 dB re 1 mPa rms (vibratory pile driving) sources. sources—Though significantly driven by (microPascal, root mean square) for received level, the onset of behavioral continuous (e.g., vibratory pile-driving) These thresholds are provided in disturbance from anthropogenic noise and above 160 dB re 1 mPa (rms) for Table 5. The references, analysis, and exposure is also informed to varying non-explosive impulsive (e.g., seismic methodology used in the development degrees by other factors related to the airguns) or intermittent (e.g., scientific of the thresholds are described in NMFS source (e.g., frequency, predictability, sonar) sources. 2018 Technical Guidance, which may duty cycle), the environment (e.g., Crowley’s proposed project includes be accessed at https:// bathymetry), and the receiving animals the use of continuous (vibratory pile www.fisheries.noaa.gov/national/ (hearing, motivation, experience, driving) sources only, and therefore the marine-mammal-protection/marine- demography, behavioral context) and 120dB re 1 mPa (rms) is applicable. mammal-acoustic-technical-guidance.

TABLE 5—THRESHOLDS IDENTIFYING THE ONSET OF PERMANENT THRESHOLD SHIFT

PTS Onset Acoustic Thresholds * Hearing group (Received Level) Impulsive Non-impulsive

Low-Frequency (LF) Cetaceans ...... Cell 1 ...... Cell 2 Lpk,flat: 219 dB; LE,LF,24h: 183 dB LE,LF,24h: 199 dB. Mid-Frequency (MF) Cetaceans ...... Cell 3 ...... Cell 4 Lpk,flat: 230 dB; LE,MF,24h: 185 dB LE,MF,24h: 198 dB. High-Frequency (HF) Cetaceans ...... Cell 5 ...... Cell 6 Lpk,flat: 202 dB; LE,HF,24h: 155 dB LE,HF,24h: 173 dB. Phocid Pinnipeds (PW) (Underwater) ...... Cell 7 ...... Cell 8 Lpk,flat: 218 dB; LE,PW,24h: 185 dB LE,PW,24h: 201 dB. Otariid Pinnipeds (OW) (Underwater) ...... Cell 9 ...... Cell 10 Lpk,flat: 232 dB; LE,OW,24h: 203 dB LE,OW,24h: 219 dB. * Dual metric acoustic thresholds for impulsive sounds: Use whichever results in the largest isopleth for calculating PTS onset. If a non-impul- sive sound has the potential of exceeding the peak sound pressure level thresholds associated with impulsive sounds, these thresholds should also be considered. 2 Note: Peak sound pressure (Lpk) has a reference value of 1 μPa, and cumulative sound exposure level (LE) has a reference value of 1μPa s. In this Table, thresholds are abbreviated to reflect American National Standards Institute standards (ANSI 2013). However, peak sound pressure is defined by ANSI as incorporating frequency weighting, which is not the intent for this Technical Guidance. Hence, the subscript ‘‘flat’’ is being included to indicate peak sound pressure should be flat weighted or unweighted within the generalized hearing range. The subscript associated with cumulative sound exposure level thresholds indicates the designated marine mammal auditory weighting function (LF, MF, and HF cetaceans, and PW and OW pinnipeds) and that the recommended accumulation period is 24 hours. The cumulative sound exposure level thresholds could be exceeded in a multitude of ways (i.e., varying exposure levels and durations, duty cycle). When possible, it is valuable for action proponents to indicate the conditions under which these acoustic thresholds will be exceeded.

Ensonified Area proposed project. Marine mammals are The project includes vibratory pile expected to be affected via sound installation and removal. Source levels Here, we describe operational and generated by the primary components of for these activities are based on reviews environmental parameters of the activity the project (i.e., vibratory pile driving of measurements of the same or similar that will feed into identifying the area and removal). The maximum types and dimensions of piles available ensonified above the acoustic (underwater) area ensonified above the in the literature. Source levels for each thresholds, which include source levels thresholds for behavioral harassment pile size and activity are presented in and transmission loss coefficient. referenced above is 52.5 km2 (20.3 mi2), Table 6. Source levels for vibratory The sound field in the project area is and the calculated distance to the installation and removal of piles of the the existing background noise plus farthest behavioral harassment isopleth same diameter are assumed to be the additional construction noise from the is approximately 5.2 km (2.0 mi). same.

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TABLE 6—SOUND SOURCE LEVELS FOR PILE DRIVING

Source level Pile size (dB RMS SPL Literature source at 10m)

Template Piles (18″ pipe piles) a ...... 158.0 Pritchard Lake Pumping Plant, 2014 b Alternate Template Piles (14″ H piles) a ...... 158.8 URS Corporation, 2007 c Anchor Piles (14″ H piles) b ...... 158.8 URS Corporation, 2007 c Sheet Piles ...... 160.7 PND, 2016 a As noted in the Detailed Description of Specific Activity section, Crowley has not determined the exact type of template pile they will use. As such, we conservatively conducted the impact analysis with the maximum potential pile sizes that they may choose to use. b Source level is the average of three 18-inch pipe piles installed at Pritchard Lake Pumping Plant. Data originally provided by Illingworth and Rodkin, Inc. and accessed in Caltrans, 2005. c Port of Anchorage Test Pile Driving Program. Accessed in Caltrans, 2015. The applicant averaged the vibratory installation levels from Table I.4–9, normalized to a consistent 10-foot distance. The applicant rejected any source levels more than one standard deviation from the average (Piles 2 and 12 Down).

Transmission loss (TL) is the decrease value of 15 is used as the transmission used for these tools, we anticipate that in acoustic intensity as an acoustic loss coefficient in the above formula. isopleths produced are typically going pressure wave propagates out from a Site-specific transmission loss data for to be overestimates of some degree, source. TL parameters vary with Crowley’s Kotzebue dock are not which may result in some degree of frequency, temperature, sea conditions, available; therefore, the default overestimate of Level A harassment current, source and receiver depth, coefficient of 15 is used to determine take. However, these tools offer the best water depth, water chemistry, and the distances to the Level A and Level way to predict appropriate isopleths bottom composition and topography. B harassment thresholds. when more sophisticated 3D modeling The general formula for underwater When the NMFS Technical Guidance methods are not available, and NMFS TL is: (2016) was published, in recognition of continues to develop ways to TL = B * Log10 (R1/R2), the fact that ensonified area/volume quantitatively refine these tools, and where could be more technically challenging will qualitatively address the output TL = transmission loss in dB to predict because of the duration where appropriate. For stationary component in the new thresholds, we B = transmission loss coefficient sources such as pile driving, NMFS User developed a User Spreadsheet that R1 = the distance of the modeled SPL from Spreadsheet predicts the distance at the driven pile, and includes tools to help predict a simple which, if a marine mammal remained at R2 = the distance from the driven pile of the isopleth that can be used in conjunction initial measurement with marine mammal density or that distance the whole duration of the Absent site-specific acoustical occurrence to help predict takes. We activity, it would incur PTS. Inputs monitoring with differing measured note that because of some of the used in the User Spreadsheet, and the transmission loss, a practical spreading assumptions included in the methods resulting isopleths are reported below.

TABLE 7—USER SPREADSHEET INPUT PARAMETERS USED FOR CALCULATING LEVEL A HARASSMENT ISOPLETHS (All calculations were completed in User Spreadsheet tab A.1: Vibratory Pile Driving with a weighting factor adjustment of 2.5kHz.)

Template piles Alternate (18-in pipe template piles Anchor piles Sheet piles pile) (14-in H-piles) (14-in H-piles)

Source Level (RMS SPL) ...... 158 158.8 158.8 160.7 Number of Piles within 24-h Period ...... 10 10 10 9 Duration to Drive a Single Pile (minutes) ...... 10 10 10 10 Propagation (xLogR) ...... 15 15 15 15 Distance From Source Level Measurement (m) ...... 10 10 10 10

TABLE 8—CALCULATED DISTANCES TO LEVEL A AND LEVEL B HARASSMENT ISOPLETHS.

Level A harassment zone (m) Level B Activity harassment zone Low-frequency Mid-frequency High-frequency Phocid Otariid a cetaceans cetaceans cetaceans pinnipeds pinnipeds (m)

Template Piles (18-in Pipe Pile) ...... 6 1 9 4 <1 3415 Alternate Template Piles (14-in H- piles) ...... 7 1 10 4 <1 3861 Anchor Piles (14-in H-piles) ...... 7 1 10 4 <1 3861 Sheet Piles ...... 9 1 13 5 <1 5168 a All Level B harassment zones were calculated using practical spreading (15logR) and a 120dB re 1 μPa rms threshold.

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TABLE 9—ESTIMATED AREA ENSONIFIED ABOVE THE LEVEL B HARASSMENT TAKE THRESHOLD, AND ESTIMATED DAYS OF CONSTRUCTION FOR EACH ACTIVITY (The estimated days of construction for each activity include a 10 percent contingency period to account for potential construction delays.)

Estimated area ensonified Estimated Pile size above level B duration harassment (days) take threshold (km2)

Template Piles (18-in Pipe Pile) ...... 24.8 a 37 Alternate Template Piles (14-in H-piles) ...... 32.1 a 37 Anchor Piles (14-in H-piles) ...... 32.1 2 Sheet Piles ...... 52.5 48 All Activities ...... 87 a Includes both installation and removal.

Marine Mammal Occurrence and Take construction activities, which, Therefore, Crowley did not request Calculation and Estimation especially in combination with the Level A harassment takes of minke In this section we provide the already low frequency of gray whales whale, nor is NMFS is proposing to information about the presence, density, entering the area, is expected to authorize any. eliminate the potential for Level A or group dynamics of marine mammals Beluga Whale that will inform the take calculations. harassment take of gray whale. Therefore, Crowley did not request We describe how the information Reports of belugas at Sisualiq Spit, Level A harassment takes of gray whale, provided above is brought together to directly across from Kotzebue, include produce a quantitative take estimate. nor is NMFS is proposing to authorize any. groups of 75–100 individuals, described Gray Whale as moving clockwise into the Sound. Minke Whale Along the west coast of Baldwin Gray whales were reported as present and feeding (sometimes in large Minke whales were reported as peninsula, they have been reported in numbers) in Kotzebue Sound, and a gray sometimes present in Kotzebue Sound groups of 200–300, culminating in whale was harvested by whale hunters during the summer months and two groups of 1,000 or more in Eschscholtz at Sisualiq in 1980 (Frost et al., 1983). individuals beached in the mouth of the Bay and near the Chamisso Islands Additionally, between 2010 and 2019, Buckland River in autumn during the (Frost et al., 1983). there were five reports of gray whale late 1970s (Frost et al., 1983). NMFS Beluga whales from the Beaufort Sea strandings within inner Kotzebue was unable to locate additional, more and Eastern Chukchi Sea stocks have recent data describing frequency of Sound, including one in Hotham Inlet. the potential to be taken by Level B minke whale occurrence, group size, or An additional unidentified large whale harassment. Crowley estimates that 100 density within the project area. was reported stranded south of Cape beluga whales may be taken, by Level B Blossom in 2018 (Savage, pers. comm. Crowley plans to construct 14 cells in the proposed dock, and construction of harassment, on each project day, for a 2019). NMFS was unable to locate data total of 8,700 Level B harassment takes describing frequency of gray whale each is expected to require (100 beluga whales × 87 estimated in- occurrence, group size, or density approximately one week; however, water work days = 8,700 Level B within the project area. NMFS estimates that construction of all Crowley plans to construct 14 cells in cells will last 15 weeks to account for harassment takes). NMFS expects that the proposed dock, and construction of potential delays or other unforeseen this is a conservative estimate; however, each is expected to require circumstances. NMFS estimates that a given the limited information in the approximately one week; however, minke whale may enter a Level B project area to otherwise inform a take NMFS estimates that construction of all harassment zone every other week estimate, NMFS proposes to issue 8,700 cells will last 15 weeks to account for throughout the duration of the Level B harassment takes of beluga potential delays or other unforeseen construction period. Therefore, given whale. circumstances. NMFS expects that a the limited information in the project The largest Level A harassment zone gray whale or group of gray whales may area to otherwise inform a take estimate, for mid-frequency cetaceans extends NMFS proposes to issue eight Level B enter the project area periodically 0.8m from the source during vibratory harassment takes of minke whale. throughout the duration of the installation of the sheet piles (Table 8). construction period, averaging one gray The largest Level A harassment zone Crowley is planning to implement a whale per week. Therefore, given the for low-frequency cetaceans extends 10m shutdown zone during all limited information in the project area 8.5m from the source during vibratory to otherwise inform a take estimate, pile driving of the sheet piles (Table 8). construction activities, which, given the NMFS proposes to issue 15 Level B Crowley is planning to implement a extremely small size of the Level A harassment takes of gray whale. 10m shutdown zone during all harassment zones, is expected to The largest Level A harassment zone construction activities, which, eliminate the potential for Level A for low-frequency cetaceans extends especially in combination with the harassment take of beluga whale. 8.5m from the source during vibratory already low likelihood of minke whales Therefore, takes of beluga whale by pile driving of the sheet piles (Table 8). entering the area, are expected to Level A harassment have not been Crowley is planning to implement a eliminate the potential for Level A requested, and are not proposed to be 10m shutdown zone during all harassment take of minke whale. authorized.

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Killer Whale to locate a density or group size for Given the known association between Photo identification of individuals Kotzebue Sound, and therefore used the ice cover and bearded seal density, spotted in the southern Chukchi sea maximum harbor porpoise group size NMFS estimates that bearded seal during transect surveys (during which at (four animals) from the Distribution and density will be highest when the project least 37 individuals were spotted six Relative Abundance of Marine begins in June, and will taper off as the times) identified transient type killer Mammals in the Eastern Chukchi and ice melts (Quakenbush et al., 2019). As whales. Sightings reported included two Western Beaufort Seas, 2018 Annual such, NMFS has estimated take for the sightings of 14 whales each in July, 3 Report (Clarke et al., 2019). NMFS month of June separately from the sightings of 18 whales each in August, estimates that approximately two groups remainder of the expected project and one sighting of 5 whales in of four harbor porpoises may be present period (July through September). September, with an average group size during each week of construction for a As noted in the Detailed Description of 15 animals (Clarke et al., 2013). total of 120 Level B harassment takes of of Specific Activity section, Crowley × Due to Crowley’s project’s remote harbor porpoise (4 animals in a group will construct the dock upgrade one cell × location at the fringes of the known 2 groups per week 15 weeks = 120 at a time, with construction of each cell range of the stock, it is unlikely that Level B harassment takes). requiring approximately one week. In an more than one or two pods would be The largest Level A harassment zone effort to separate out work that will located in the region during for high-frequency cetaceans extends occur in June, NMFS made several construction. Crowley conservatively 12.6m from the source during vibratory assumptions: (1) NMFS assumes that the estimates, and NMFS agrees, that 15 installation of the sheet piles (Table 8). best density available is 0.782 (Braham Gulf of Alaska, Aleutian Islands, and Crowley is planning to implement a et al., 1984); (2) While there are 14 cells Bering Sea Transient killer whales may 10m shutdown zone during all and construction of each is expected to be present in the Level B harassment construction activities, which, given the require approximately one week, NMFS zone on a maximum of 25 percent of small size of the Level A harassment estimates that construction of all cells project days, given the transient nature zones, and the associated duration will last 15 weeks to account for of the animals. Therefore, NMFS component, is expected to eliminate the potential delays or other unforeseen proposes to authorize Level B potential for Level A harassment take of circumstances; (3) NMFS assumes that harassment take of 15 individuals on 22 harbor porpoise. Therefore, Crowley did each cell will require the same number project days (25% of total expected days not request takes of harbor porpoise by of each pile type, and therefore the same (87 days)) for a total of 330 Level B Level A harassment, nor is NMFS duration for installation (and removal of harassment takes. proposing to authorize any. template piles), despite known The largest Level A harassment zone Bearded Seal differences in design among some cells; for mid-frequency cetaceans extends and (4) NMFS assumes that construction Aerial surveys of ringed and bearded 0.8m from the source during vibratory will require approximately 87 in-water seals in the Eastern Chukchi Sea in May installation of the sheet piles (Table 8). workdays. Crowley is planning to implement a and June reported relatively few 10m shutdown zone during all bearded seals within inner Kotzebue NMFS calculated the assumed days construction activities, which, given the Sound, as bearded seals typically per cell for each activity (Table 10) by extremely small size of the Level A congregate on offshore ice rather than considering the proportion of the harassment zones, is expected to nearshore. In 1976 aerial surveys of assumed project days for each activity eliminate the potential for Level A bearded seals in the Bering Sea, out of the 87 total project days in harassment take of killer whale. densities ranged between 0.006 and comparison to the assumed days per cell Therefore, takes of killer whale by Level 0.782 seals per seals per km2. Bearded out of the expected duration of seven A harassment were not requested, and seals were typically spotted in groups of days to complete a cell (see assumption are not proposed to be authorized. one to two individuals with occasional (2), above). (i.e. Assumed Project Days/ larger groupings in denser areas 87 days = Assumed Days per Cell/7 Harbor Porpoise (Braham et al., 1984). Bengtson et al., days). NMFS calculated the Anticipated The harbor porpoise frequents 2005 includes bearded seal densities Days in June by multiplying the × nearshore waters and coastal calculated from aerial surveys in May Assumed Days per Cell 4 weeks of embayments throughout their range, and June 1999 and May 2000, however, June. including bays, harbors, estuaries, and the density for the project area was zero NMFS calculated take for each fjords less than 650 feet (198 m) deep in both years. However, data shows that activity during the month of June (Table (NMFS, 2019g). Harbor porpoises have at least some bearded seals are nearby 10) by multiplying the anticipated days been detected in Kotzebue Sound from June to September, and could in June × area of Level B harassment between September and November and potentially enter the project area zone (km2) × density (0.782 km2). Given between January and March during (Bengtson et al., 2005, Quakenbush et these assumptions and takes per activity acoustic monitoring in 2014 & 2015. al., 2019). Therefore, NMFS determined (Table 10), NMFS estimates Porpoises had not previously been that 0.782 (Braham et al., 1984) is the approximately 1045 bearded seal takes reported under the ice in the Chukchi most appropriate density, considering in the month of June (sum of Takes per (Whiting et al., 2019). NMFS was unable those available. Activity in Table 10).

TABLE 10—NMFS ASSUMPTIONS FOR BEARDED SEAL JUNE TAKE ESTIMATE

Assumed Assumed days Anticipated Area of level B Pile type project days per cell days in June harassment Take per activity zone (km2)

Template Piles a ...... b 37 3.0 12 32.1 385 Anchor Piles (14-in H-piles) ...... 2 0.2 0.8 32.1 20

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TABLE 10—NMFS ASSUMPTIONS FOR BEARDED SEAL JUNE TAKE ESTIMATE—Continued

Area of level B Assumed Assumed days Anticipated Take per activity Pile type project days per cell days in June harassment zone (km2)

Sheet Piles ...... 48 3.9 15.6 52.5 640 a Conservatively assumes 14-inch H-piles rather than 18-inch pipe piles. b Includes installation and removal.

During the months of July to which, given the extremely small size of will construct the dock upgrade one cell September, NMFS expects that the the Level A harassment zones, is at a time, with construction of each cell number of bearded seals in the project expected to eliminate the potential for requiring approximately one week. In an area will be much lower due to the lack Level A harassment take of bearded effort to separate out work that will of sea ice. NMFS considered the relative seals. Therefore, takes of bearded seal by occur in June, NMFS made several number of ringed and bearded seals Level A harassment have not been assumptions: (1) NMFS assumes that the locations reported in Quakenbush et al., requested, and are not proposed to be best density available 5.07 animals/km2 (2019, Figures 7, 30, and 55), and authorized. (Bengtson et al., 2005); (2) While there estimates that approximately twice as are 14 cells and construction of each is Ringed Seal many bearded seals (two to four) are expected to require approximately one likely to occur in the project area than Ringed seals are distributed week, NMFS estimates that construction ringed seals (one to two), because throughout Arctic waters in all of all cells will last 15 weeks to account tagging studies show that nearly all of ‘‘seasonally ice-covered seas.’’ In winter for potential delays or other unforeseen the ringed seals spend the summer and early spring when sea ice is at its circumstances; (3) NMFS assumes that north of Point Hope (Figures 30 and 55). maximum coverage, they occur in the each cell will require the same number NMFS estimates that approximately 14 northern Bering Sea, in Norton and of each pile type, and therefore the same Level B harassment takes of bearded Kotzebue Sounds, and throughout the duration for installation (and removal of seals takes may occur each week. Given Chukchi and Beaufort Seas. In years template piles), despite known the assumed 15 weeks of construction, with particularly extensive ice coverage, differences in design among some cells; and four assumed weeks of construction they may occur as far south as Bristol and (4) NMFS assumes that construction in June, NMFS estimates that Crowley Bay (Muto et al., 2019). In 1976 aerial will require approximately 87 in-water will conduct pile driving activities for surveys of ringed seals in the Bering workdays. 11 weeks from July through September. Sea, densities ranged between 0.005 and NMFS calculated the assumed days To estimate bearded seal takes during 0.017 seals per seals per km2 (Braham et per cell for each activity (Table 11) by that period, NMFS multiplied the al., 1984). Surveys of seals in their considering the proportion of the estimated weekly take estimate by the breeding grounds in the Sea of Okhotsk assumed project days for each activity estimated number of weeks of in 1964 found densities of 0.1 to 2 seals out of the 87 total project days in construction, for a total of 154 Level B per km2 (CNRC, 1965). Bengtson et al., comparison to an assumed days per cell harassment takes from July to 2005 includes ringed seal densities out of the expected duration of seven September (14 bearded seals × 11 weeks calculated from aerial surveys in May days to complete a cell (see assumption of construction = 154 Level B and June 1999 and May 2000. Densities (2), above). (i.e. Assumed Project Days/ harassment takes). for the waters surrounding Kotzebue 87 days = Assumed Days per Cell/7 Therefore, throughout the entire ranged from 3.82 (2000) to 5.07 (1999). days). NMFS calculated the Anticipated project period, NMFS estimates, and Given the known association between Days in June by multiplying the proposes to authorize 1,199 Level B ice cover and ringed seal density, NMFS Assumed Days per Cell × 4 weeks of harassment takes of bearded seals (1,045 estimates that ringed seal density will June. estimated takes in June + 154 estimated be highest when the project begins in NMFS calculated take for each takes from July to September = 1,199 June, and will taper off as the ice melts activity during the month of June (Table Level B harassment takes). (Quakenbush et al., 2019). As such, 11) by multiplying the anticipated days The largest Level A harassment zone NMFS has estimated take for the month in June × area of Level B harassment for phocids extends 5.2m from the of June separately from the remainder of zone (km2) × density (5.07/km2). Given source during vibratory installation of the expected project period (July these assumptions (Table 11), NMFS the sheet piles (Table 8). Crowley is through September). estimates 6,235 ringed seal takes in the planning to implement a 10m shutdown As noted in the Detailed Description month of June (sum of Takes per zone during all construction activities, of Specific Activity section, Crowley Activity in Table 11).

TABLE 11—NMFS ASSUMPTIONS FOR RINGED SEAL JUNE TAKE ESTIMATE

Assumed Assumed days Anticipated Area of level B Pile type harassment Take per activity project days b per cell days in June zone (km2)

Template Piles a ...... b 37 3.0 12 32.1 1,953 Anchor Piles (14-in H-piles) ...... 2 0.2 0.8 32.1 130 Sheet Piles ...... 48 3.9 15.6 52.5 4,152 a Conservatively assumes 14-inch H-piles rather than 18-inch pipe piles. b Includes installation and removal.

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During the months of July to between 0.013 and 1.834 seals per seals requested, and are not proposed to be September, NMFS expects that the per km2 (Braham et al., 1984). authorized. number of ringed seals in the project According to Audubon (2010), spotted Ribbon Seal area will much lower due to the lack of seals haul out between June and sea ice. NMFS considered the relative December in Krusenstern Lagoon, the Ribbon seals range from the North number of ringed and bearded seals Noatak River delta, the tip of the Pacific Ocean and Bering Sea into the locations reported in Quakenbush et al. Baldwin Peninsula, and Cape Chukchi and western Beaufort Seas in (2019, Figures 30, and 55), and Espenberg. Subsistence users report that Alaska. They occur in the Bering Sea estimates that approximately twice as spotted seals move into the area in July, from late March to early May. From May many bearded seals (two to four) are following fish runs into the Sound and to mid-July the ice recedes, and ribbon likely to occur in the project area than up the Noatak River (NAB, 2016). seals move further north into the Bering ringed seals (one to two). NMFS Spotted seals in the Chamisso Islands Strait and the southern part of the estimates that approximately seven were reported in groups of up to 20, but Chukchi Sea (Muto et al., 2019). An Level B harassment takes of ringed seals they may reach groups of over 1,000 at estimated 6,000–25,000 ribbon seals takes may occur each week. Given the Cape Espenberg (Frost et al., 1983). from the eastern Bering Sea use the assumed 15 weeks of construction, and To calculate estimated Level B Chukchi Sea during the spring open- four assumed weeks of construction in harassment takes, Crowley used a water period (Boveng et al., 2017). In 2 June, NMFS estimates that Crowley will density of 1.834 spotted seals/km 1976 aerial surveys of ribbon seals in conduct pile driving activities for 11 (Braham et al., 1984). NMFS was not the Bering Sea, maximum reported weeks from July through September. To able to locate information to support a densities were 0.002 seals per seals per estimate ringed seal takes during that separate take calculation for June from km2 (Braham et al., 1984). Range period, NMFS multiplied the estimated the remainder of the work period, as mapping of the ribbon seal shows them weekly take estimate by the estimated was done for the other ice seals. present in the project vicinity from June number of weeks of construction, for a Therefore, NMFS calculated Level B to December; however, they typically total of 77 Level B harassment takes (7 harassment takes by multiplying 1.834 concentrate further offshore, outside of spotted seals/km2 × the area ensonified ringed seals × 11 weeks of construction the Sound (Audubon, 2010). = 77 Level B harassment takes from July above the Level B harassment threshold during each pile driving activity × To calculate estimated Level B to September). harassment takes, Crowley used a Therefore, throughout the entire estimated days of construction for each density of 0.002 ribbon seals/km2 project period, NMFS estimates, and activity (Table 9) for a total of 6,917 (Braham et al., 1984). NMFS recognizes proposes to authorize 6,312 Level B Level B harassment takes. Given that the that this density estimate is from the harassment takes of ringed seals (6,235 Braham et al., 1984 density is from the Bering Sea, but was unable to locate estimated takes in June + 77 estimated Bering Sea, and Boveng et al., 2017 more local or recent data describing takes from July to September). states that spotted seals from the Bering The largest Level A harassment zone Sea use the Chukchi Sea during the frequency of ribbon seal occurrence, for phocids extends 5.2m from the open water period, NMFS expects that group size, or density within the project source during vibratory installation of this Bering Sea density provides an area. Crowley calculated a Level B the sheet piles (Table 8). Crowley is appropriate estimate for Kotzebue harassment take estimate by multiplying 2 × planning to implement a 10m shutdown during the project period. Additionally, 0.002 ribbon seals/km the area zone during all construction activities, the estimated group size of up to 20 ensonified above the Level B individuals at the Chamisso Islands is harassment threshold during each pile which, given the extremely small size of × the Level A harassment zones, is over 50km from the project site, and driving activity estimated days of expected to eliminate the potential for NMFS expects that the count of 1,000 construction for each activity, for a total Level A harassment take of ringed seals. animals at Cape Epsenberg (Frost et al., of eight Level B harassment takes. Given Therefore, takes of ringed seal by Level 1983) is an outlier. Therefore, given the the limited information in the project A harassment have not been requested, limited information in the project area area to otherwise inform a take estimate, and are not proposed to be authorized. to otherwise inform a take estimate, NMFS proposes to issue eight Level B NMFS proposes to issue 6,917 Level B harassment takes of ribbon seal. Spotted Seal harassment takes of spotted seal. The largest Level A harassment zone From the late-fall through spring, The largest Level A harassment zone for phocids extends 5.2m from the spotted seals are distributed where sea for phocids extends 5.2m from the source during vibratory installation of ice is available for hauling out. From source during vibratory installation of the sheet piles (Table 8). Crowley is summer through fall, the seasonal sea the sheet piles (Table 8). Crowley is planning to implement a 10m shutdown ice has melted and spotted seals haul planning to implement a 10m shutdown zone during all construction activities, out on land (Muto et al., 2019). An zone during all construction activities, which, given the extremely small size of estimated 69,000–101,000 spotted seals which, given the extremely small size of the Level A harassment zones, is from the eastern Bering Sea use the the Level A harassment zones, is expected to eliminate the potential for Chukchi Sea during the spring open- expected to eliminate the potential for Level A harassment take of ribbon seals. water period (Boveng et al., 2017). In Level A harassment take of spotted Therefore, takes of ribbon seal by Level 1976 aerial surveys of spotted seals in seals. Therefore, takes of spotted seal by A harassment have not been requested, the Bering Sea, densities ranged Level A harassment have not been and are not proposed to be authorized.

TABLE 12—ESTIMATED TAKE BY LEVEL B HARASSMENT, BY SPECIES AND STOCK

Level B Common name Stock harassment Stock Percent of take abundance stock

Gray Whale ...... Eastern North Pacific ...... 15 26,960 .06

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TABLE 12—ESTIMATED TAKE BY LEVEL B HARASSMENT, BY SPECIES AND STOCK—Continued

Level B Common name Stock harassment Stock Percent of take abundance stock

Minke Whale ...... Alaska ...... 8 N/A N/A Killer Whale ...... Gulf of Alaska, Aleutian Islands, and ...... 330 587 56.2 Bering Sea Transient ...... Beluga Whale ...... Beaufort Sea ...... 8,700 39,258 22.1 Eastern Chukchi Sea ...... 20,752 4.3 Harbor Porpoise ...... Bering Sea ...... 120 48,215 0.2 Bearded Seal ...... Alaska ...... 1,199 N/A N/A Ringed Seal ...... Alaska ...... 6,312 N/A N/A Spotted Seal ...... Alaska ...... 6,917 461,625 1.5 Ribbon Seal ...... Alaska ...... 8 184,697 0.004

Potential Effects of Specified Activities al., 2016b). Impacts from Crowley’s and sealskin storage containers on Subsistence Uses of Marine project are not expected to reach the (Huntington et al., 2016). Mammals traditional beluga harvest grounds. Project activities mostly avoid Bowhead whales are harvested mostly traditional ice seal harvest windows The activity may impact the (noted above) and are generally not availability of the affected marine by the residents between Kivalina and Point Hope (NAB, 2016). We do not expected to negatively impact hunting mammal stocks or species for of seals. However, as noted above, some subsistence uses. The subsistence uses expect Crowley’s project to impact bowhead whales, given that the whales seal hunting does occur throughout the that may be affected and the potential project period. The project could deter impacts of the activity on those uses are are primarily targeted outside of the Sound, and the project is not expected target species and their prey from the described below. Measures included in project area, increasing effort required this IHA to reduce the impacts of the to impact their prey or migratory behavior. for a successful hunt. Construction may activity on subsistence uses are also disturb beluga whales, potentially described in the Proposed Mitigation Bearded and ringed seals are the most commonly harvested seals in the causing them to avoid the project area section. Last, the information from this and reducing their availability to Kotzebue Sound area (Huntington et al., section and the Proposed Mitigation subsistence hunters as well. 2016). Bearded seals are the primary section is analyzed to determine Additionally, Crowley’s dock provides focus for Kotzebue Sound hunters in the whether the necessary findings may be essential water access for subsistence spring, with harvests occurring near made in the Unmitigable Adverse harvests, so construction at the dock has Cape Krusenstern and Goodhope Bay. Impact Analysis and Determination the potential to reduce access for Hunt effort for bearded seals appears section. subsistence hunters. Residents of Qikiqtag˙ruq (Kotzebue), equal in spring and fall (NAB, 2016). In Ipnatchiaq (Deering), Nunatchiaq thinner ice years, there is less suitable Proposed Mitigation (Buckland), Nuataaq (Noatak), and denning habitat for ice seals and more In order to issue an IHA under Nuurvik (Noorvik) harvest marine danger for seal hunters to camp out and Section 101(a)(5)(D) of the MMPA, mammals from Kotzebue Sound during to approach the seals. Hunters report NMFS must set forth the permissible all seasons. Traditional harvests include that there is no longer ice for hunting methods of taking pursuant to the bowhead and beluga whales and all four bearded seals into July, as there was in activity, and other means of effecting seal species discussed in this notice, as the 1980s. the least practicable impact on the well as subsistence fishing. Huntington et al., (2016) report that species or stock and its habitat, paying Additionally, a gray whale harvest at bearded and ringed seals are hunted particular attention to rookeries, mating Sisualiq Spit was reported to the Alaska from ice breakup until the spotted seals grounds, and areas of similar Department of Fish & Game (ADF&G) in arrive and chase them from the area. significance, and on the availability of 1980 (Frost et al., 1983). The NAB (2016) also reported harvest the species or stock for taking for certain Beluga whales are routinely hunted efforts for spotted and ribbon seals in subsistence uses. NMFS regulations throughout the Sound in spring and Kotzebue Sound. With the exception of require applicants for incidental take summer (NAB, 2016). Traditional bearded seals, there were limited authorizations to include information hunting grounds for beluga (sisuaq) are hunting efforts in the spring (March– about the availability and feasibility directly across from Kotzebue at May) with nearly twice as much harvest (economic and technological) of Sisualiq Spit (Huntington et al., 2016). effort in the fall (September–November) equipment, methods, and manner of Recently, regional hunters have reported and significantly less hunting in conducting the activity or other means a significant change in the presence of summer (June–August). of effecting the least practicable adverse beluga whales in the Sound. There are Ribbon seals have always been impact upon the affected species or no longer sufficient whales to make a infrequent in Kotzebue Sound, but are stocks and their habitat (50 CFR traditional, coordinated drive hunt on becoming increasingly more rare 216.104(a)(11)). Sisualiq Spit, and Belugas are no longer (Huntington et al., 2016). They are not In evaluating how mitigation may or common in Eschscholtz Bay, either. harvested for human consumption, but may not be appropriate to ensure the Hunters attribute the decrease to a their hides are harvested and meat and least practicable adverse impact on variety of factors, including engine blubber used as dog food. Generally, species or stocks and their habitat, as noise (both air and vessel traffic have hunters reported that there is less need well as subsistence uses where increased), lack of coordinated hunts, for seal hunting than in the past because applicable, we carefully consider two and killer whale pressure (Huntington et they are needed less for sled dog feed primary factors:

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(1) The manner in which, and the described in the biological opinion (not animal has left the zone or has not been degree to which, the successful yet issued). observed for 15 minutes. If the Level B implementation of the measure(s) is The following mitigation measures harassment zone has been observed for expected to reduce impacts to marine would apply to Crowley’s in-water 30 minutes and no species for which mammals, marine mammal species or construction activities. take is not authorized are present within stocks, and their habitat, as well as Establishment of Shutdown Zones— the zone, work can commence and subsistence uses. This considers the Crowley will establish a 10-meter continue even if visibility becomes nature of the potential adverse impact shutdown zone for all construction impaired within the Level B harassment being mitigated (likelihood, scope, activities. The purpose of a shutdown monitoring zone. When a marine range). It further considers the zone is generally to define an area mammal for which Level B harassment likelihood that the measure will be within which shutdown of the activity take is authorized is present in the Level effective if implemented (probability of would occur upon sighting of a marine B harassment zone, activities may begin accomplishing the mitigating result if mammal (or in anticipation of an animal and Level B harassment take will be implemented as planned), the entering the defined area). recorded. If the entire Level B likelihood of effective implementation The placement of protected species harassment zone is not visible at the (probability implemented as planned); observers (PSOs) during all pile driving start of construction, piling or drilling and and removal activities (described in activities can begin. If work ceases for (2) the practicability of the measures detail in the Proposed Monitoring and more than 30 minutes, the pre-activity for applicant implementation, which Reporting section) will ensure that the monitoring of both the Level B may consider such things as cost, entire shutdown zone is visible during harassment zone and shutdown zones impact on operations, and, in the case pile installation. Should environmental will commence. of a military readiness activity, conditions deteriorate such that marine personnel safety, practicality of mammals within the entire shutdown Mitigation for Subsistence Uses of implementation, and impact on the zone would not be visible (e.g., fog, Marine Mammals or Plan of effectiveness of the military readiness heavy rain), pile driving and removal Cooperation activity. must be delayed until the PSO is Regulations at 50 CFR 216.104(a)(12) confident marine mammals within the Mitigation for Marine Mammals and further require IHA applicants shutdown zone could be detected. conducting activities that take place in Their Habitat Monitoring for Level B Harassment— Arctic waters to provide a Plan of Crowley will monitor the Level B In addition to the measures described Cooperation (POC) or information that harassment zones (areas where SPLs are later in this section, Crowley will identifies what measures have been equal to or exceed the 120 dB rms employ the following mitigation taken and/or will be taken to minimize measures: threshold during vibratory pile driving). • Monitoring zones provide utility for adverse effects on the availability of Conduct briefings between marine mammals for subsistence construction supervisors and crews and observing by establishing monitoring protocols for areas adjacent to the purposes. A plan must include the the marine mammal monitoring team following: prior to the start of all pile driving shutdown zones. Monitoring zones • A statement that the applicant has activity and when new personnel join enable observers to be aware of and notified and provided the affected the work, to explain responsibilities, communicate the presence of marine subsistence community with a draft communication procedures, marine mammals in the project area outside the plan of cooperation; mammal monitoring protocol, and shutdown zone and thus prepare for a • A schedule for meeting with the operational procedures; potential cease of activity should the • For in-water heavy machinery work animal enter the shutdown zone. affected subsistence communities to other than pile driving (e.g., standard Placement of PSOs on the shorelines discuss proposed activities and to barges, etc.), if a marine mammal comes around Kotzebue will allow PSOs to resolve potential conflicts regarding any within 10 m, operations shall cease and observe marine mammals within the aspects of either the operation or the Level B harassment zones. However, plan of cooperation; vessels shall reduce speed to the • minimum level required to maintain due to the large Level B harassment A description of what measures the steerage and safe working conditions. zones (Table 8), PSOs will not be able applicant has taken and/or will take to This type of work could include the to effectively observe the entire zone. ensure that proposed activities will not following activities: (1) Movement of the Therefore, Level B harassment interfere with subsistence whaling or barge to the pile location; or (2) exposures will be recorded and sealing; and • positioning of the pile on the substrate extrapolated based upon the number of What plans the applicant has to via a crane (i.e., stabbing the pile); observed takes and the percentage of the continue to meet with the affected • For those marine mammals for Level B harassment zone that was not communities, both prior to and while which Level B harassment take has not visible. conducting the activity, to resolve been requested, in-water pile Pre-activity Monitoring—Prior to the conflicts and to notify the communities installation/removal will shut down start of daily in-water construction of any changes in the operation. immediately if such species are activity, or whenever a break in pile Crowley provided a draft Plan of observed within or on a path towards driving/removal or drilling of 30 Cooperation (POC) to affected parties on the Level B harassment zone; and minutes or longer occurs, PSOs will November 12, 2019. It includes a • If take reaches the authorized limit observe the shutdown and monitoring description of the project, community for an authorized species, pile zones for a period of 30 minutes. The outreach that has already been installation will be stopped as these shutdown zone will be considered conducted, and project mitigation species approach the Level B cleared when a marine mammal has not measures. Crowley is working on their harassment zone to avoid additional been observed within the zone for that plan for continuing coordination with take. 30-minute period. If a marine mammal subsistence communities throughout the Additionally, Crowley is required to is observed within the shutdown zone, project duration. The POC is a live implement all mitigation measures a soft-start cannot proceed until the document and will be updated

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throughout the project review and • Individual marine mammal activities were conducted; dates, times, permitting process. responses (behavioral or physiological) and reason for implementation of Crowley will coordinate with local to acoustic stressors (acute, chronic, or mitigation (or why mitigation was not subsistence groups to avoid or mitigate cumulative), other stressors, or implemented when required); and impacts to beluga whale harvests. cumulative impacts from multiple marine mammal behavior; and Additionally, project activities avoid stressors. • Ability to communicate orally, by traditional ice seal harvest windows, • How anticipated responses to radio or in person, with project and are not expected to negatively stressors impact either: (1) Long-term personnel to provide real-time impact hunting of bearded or ringed fitness and survival of individual information on marine mammals seals. Crowley will coordinate with marine mammals; or (2) populations, observed in the area as necessary. local communities and subsistence species, or stocks. Three PSOs will be present during all groups throughout construction to avoid • Effects on marine mammal habitat pile driving/removal activities. A PSO or mitigate impacts to ice seal harvests. (e.g., marine mammal prey species, will be have an unobstructed view of all Based on our evaluation of Crowley’s acoustic habitat, or other important water within the shutdown zone. All proposed measures, as well as other physical components of marine three PSOs will observe as much of the measures considered by NMFS, NMFS mammal habitat). Level B harassment zone as possible. • has preliminarily determined that the Mitigation and monitoring PSO locations are as follows (also proposed mitigation measures provide effectiveness. included in Figure 2 of the 4MP, dated the means effecting the least practicable Visual Monitoring February 2020): impact on the affected species or stocks (1) At or near the site of pile driving; Marine mammal monitoring must be and their habitat, paying particular (2) Along the shore, north of the conducted in accordance with the attention to rookeries, mating grounds, project site; and Marine Mammal Monitoring Plan, dated and areas of similar significance, and on (3) Along the shore, south of the February 2020. Marine mammal the availability of such species or stock project site. monitoring during pile driving and for subsistence uses. Monitoring would be conducted 30 removal must be conducted by NMFS- minutes before, during, and 30 minutes Proposed Monitoring and Reporting approved PSOs in a manner consistent after pile driving/removal and drilling In order to issue an IHA for an with the following: • Independent PSOs (i.e., not activities. In addition, observers shall activity, Section 101(a)(5)(D) of the construction personnel) who have no record all incidents of marine mammal MMPA states that NMFS must set forth other assigned tasks during monitoring occurrence, regardless of distance from requirements pertaining to the periods must be used; activity, and shall document any monitoring and reporting of such taking. • Where a team of three or more PSOs behavioral reactions in concert with The MMPA implementing regulations at are required, a lead observer or distance from piles being driven or 50 CFR 216.104 (a)(13) indicate that monitoring coordinator must be removed. Pile driving activities include requests for authorizations must include designated. The lead observer must have the time to install or remove a single the suggested means of accomplishing prior experience working as a marine pile or series of piles, as long as the time the necessary monitoring and reporting mammal observer during construction; elapsed between uses of the pile driving that will result in increased knowledge • Other PSOs may substitute or drilling equipment is no more than of the species and of the level of taking education (degree in biological science 30 minutes. or impacts on populations of marine or related field) or training for Reporting mammals that are expected to be experience. PSOs may also substitute present in the proposed action area. Alaska native traditional knowledge for A draft marine mammal monitoring Effective reporting is critical both to experience. (NMFS recognizes that report will be submitted to NMFS compliance as well as ensuring that the PSOs with traditional knowledge may within 90 days after the completion of most value is obtained from the required also have prior experience, and pile driving and removal activities. The monitoring. therefore be eligible to serve as the lead report will include an overall Monitoring and reporting PSO.); and description of work completed, a requirements prescribed by NMFS • Crowley must submit PSO CVs for narrative regarding marine mammal should contribute to improved approval by NMFS prior to the onset of sightings, and associated PSO data understanding of one or more of the pile driving. sheets. Specifically, the report must following: PSOs must have the following include: • • Occurrence of marine mammal additional qualifications: Date and time that monitored species or stocks in the area in which • Ability to conduct field activity begins or ends; • take is anticipated (e.g., presence, observations and collect data according Construction activities occurring abundance, distribution, density). to assigned protocols; during each observation period; • Nature, scope, or context of likely • Experience or training in the field • Weather parameters (e.g., percent marine mammal exposure to potential identification of marine mammals, cover, visibility); stressors/impacts (individual or including the identification of • Water conditions (e.g., sea state, cumulative, acute or chronic), through behaviors; tide state); better understanding of: (1) Action or • Sufficient training, orientation, or • Species, numbers, and, if possible, environment (e.g., source experience with the construction sex and age class of marine mammals; characterization, propagation, ambient operation to provide for personal safety • Description of any observable noise); (2) affected species (e.g., life during observations; marine mammal behavior patterns history, dive patterns); (3) co-occurrence • Writing skills sufficient to prepare a during observation, including direction of marine mammal species with the report of observations including but not of travel and estimated time spent action; or (4) biological or behavioral limited to the number and species of within the Level A and Level B context of exposure (e.g., age, calving or marine mammals observed; dates and harassment zones while the source was feeding areas). times when in-water construction active;

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• Distance from pile driving activities Monitoring Plan Peer Review recommendations in the Federal to marine mammals and distance from The MMPA requires that monitoring Register notice announcing the final the marine mammals to the observation plans be independently peer reviewed IHA, if issued. point; where the proposed activity may affect Negligible Impact Analysis and • Locations of all marine mammal the availability of a species or stock for Determination observations; taking for subsistence uses (16 U.S.C. • Detailed information about any NMFS has defined negligible impact 1371(a)(5)(D)(ii)(III)). Regarding this implementation of any mitigation as an impact resulting from the requirement, NMFS’ implementing triggered (e.g., shutdowns and delays), a specified activity that cannot be regulations state that upon receipt of a description of specific actions that reasonably expected to, and is not complete monitoring plan, and at its ensued, and resulting behavior of the reasonably likely to, adversely affect the discretion, NMFS will either submit the animal, if any; species or stock through effects on plan to members of a peer review panel • Description of attempts to annual rates of recruitment or survival for review or within 60 days of receipt distinguish between the number of (50 CFR 216.103). A negligible impact of the proposed monitoring plan, individual animals taken and the finding is based on the lack of likely schedule a workshop to review the plan number of incidences of take, such as adverse effects on annual rates of (50 CFR 216.108(d)). ability to track groups or individuals; recruitment or survival (i.e., population- • An extrapolation of the estimated NMFS established an independent level effects). An estimate of the number takes by Level B harassment based on peer review panel (PRP) to review of takes alone is not enough information the number of observed exposures Crowley’s Monitoring Plan for the on which to base an impact within the Level B harassment zone and proposed project in Kotzebue. NMFS determination. In addition to the percentage of the Level B provided Crowley’s monitoring plan to considering estimates of the number of harassment zone that was not visible; the PRP and asked them to answer the marine mammals that might be ‘‘taken’’ and following questions: through harassment, NMFS considers • Other human activity in the area. 1. Will the applicant’s stated other factors, such as the likely nature If no comments are received from objectives effectively further the of any responses (e.g., intensity, NMFS within 30 days, the draft report understanding of the impacts of their duration), the context of any responses will constitute the final report. If activities on marine mammals and (e.g., critical reproductive time or comments are received, a final report otherwise accomplish the goals stated location, migration), as well as effects addressing NMFS comments must be below? If not, how should the objectives on habitat, and the likely effectiveness submitted within 30 days after receipt of be modified to better accomplish the of the mitigation. We also assess the comments. goals below? number, intensity, and context of In the event that personnel involved 2. Can the applicant achieve the estimated takes by evaluating this in the construction activities discover stated objectives based on the methods information relative to population an injured or dead marine mammal, the described in the plan? status. Consistent with the 1989 IHA-holder must immediately cease the 3. Are there technical modifications to preamble for NMFS’s implementing specified activities and report the the proposed monitoring techniques and regulations (54 FR 40338; September 29, incident to the Office of Protected methodologies proposed by the 1989), the impacts from other past and Resources (OPR) (301–427–8401), applicant that should be considered to ongoing anthropogenic activities are NMFS and to the Alaska regional better accomplish the objectives? incorporated into this analysis via their stranding coordinator (907–586–7209) 4. Are there techniques not proposed impacts on the environmental baseline as soon as feasible. If the death or injury by the applicant (i.e., additional (e.g., as reflected in the regulatory status was clearly caused by the specified monitoring techniques or of the species, population size and activity, the IHA-holder must methodologies) that should be growth rate where known, ongoing immediately cease the specified considered for inclusion in the sources of human-caused mortality, or activities until NMFS is able to review applicant’s monitoring program to better ambient noise levels). the circumstances of the incident and accomplish the objectives? To avoid repetition, the majority of determine what, if any, additional 5. What is the best way for an our analyses apply to all of the species measures are appropriate to ensure applicant to present their data and listed in Table 12, given that many of compliance with the terms of the IHA. results (formatting, metrics, graphics, the anticipated effects of this project on The IHA-holder must not resume their etc.) in the required reports that are to different marine mammal stocks are activities until notified by NMFS. be submitted to NMFS (i.e., 90-day expected to be relatively similar in The report must include the following report and comprehensive report)? nature. Where there are meaningful information: The PRP met in March 2020 and will differences between species or stocks in • Time, date, and location (latitude/ provide a final report to NMFS anticipated individual responses to longitude) of the first discovery (and containing recommendations for activities, impact of expected take on updated location information if known Crowley’s monitoring plan in April the population due to differences in and applicable); 2020. The PRP’s full report will be population status or impacts on habitat, • Species identification (if known) or posted on NMFS’ website when they are described independently in the description of the animal(s) involved; available, at https:// analysis below. • Condition of the animal(s) www.fisheries.noaa.gov/permit/ Pile driving and removal activities (including carcass condition if the incidental-take-authorizations-under- associated with the project, as outlined animal is dead); marine-mammal-protection-act. NMFS previously, have the potential to disturb • Observed behaviors of the will consider all of the or displace marine mammals. animal(s), if alive; recommendations made by the PRP, and Specifically, the specified activities may • If available, photographs or video will incorporate appropriate changes in result in take, in the form of Level B footage of the animal(s); and to the monitoring requirements of the harassment, from underwater sounds • General circumstances under which IHA, if issued. Additionally, NMFS will generated from pile driving and the animal was discovered. publish the PRP’s findings and removal. Potential takes could occur if

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individuals of these species are present and migration (Figure 8 in Crowley’s use areas and the overall area of suitable in zones ensonified above the application, originally from NAB, 2016). ringed seal habitat outside of these thresholds for Level B harassment, While the locations identified as important use areas. Additionally, as identified above, when these activities important birthing areas do not overlap previously described, NMFS expects are underway. with calculated Level B harassment that most ringed seals will have left the The takes from Level B harassment zone, the feeding, rearing, and migration area during the project period. would be due to potential behavioral important areas directly overlap with Therefore, take of ringed seal using the disturbance and TTS. No mortality or the Level B harassment zone. The area feeding and migratory important use serious injury is anticipated given the of the feeding, rearing, and migration areas, given both the scope and nature nature of the activity, and no Level A important use areas in which impacts of of the anticipated impacts of pile harassment is anticipated due to Crowley’s project may occur is small driving exposure, is not expected to Crowley’s construction method and relative to both the overall area of the impact reproduction or survivorship of planned mitigation measures (see important use areas and the overall area any individuals. Proposed Mitigation section). of suitable beluga whale habitat outside Additionally, the NAB subsistence Effects on individuals that are taken of these important use areas. The area of mapping project identified Kotzebue by Level B harassment, on the basis of Kotzebue Sound affected is also small Sound as an important use area for reports in the literature as well as relative to the rest of the Sound, such spotted seal feeding, birthing, rearing, monitoring from other similar activities, that it allows animals within the and migration, as well as important haul will likely be limited to reactions such migratory corridor to still utilize outs (Figure 9 in Crowley’s application, as increased swimming speeds, Kotzebue Sound without necessarily originally from NAB, 2016). While the increased surfacing time, or decreased being disturbed by the construction. locations identified as important foraging (if such activity were occurring) Therefore, take of beluga whales using birthing areas do not overlap with (e.g., Thorson and Reyff 2006; HDR, Inc. the feeding, rearing, and migratory calculated Level B harassment zone, the 2012; Lerma 2014; ABR 2016). Most important use areas, given both the feeding, rearing, and migration likely, individuals will simply move scope and nature of the anticipated important use areas directly overlap away from the sound source and be impacts of pile driving exposure, is not with the Level B harassment zone, and temporarily displaced from the areas of expected to impact reproduction or one key haulout is adjacent to the Level pile driving and removal, although even survivorship of any individuals. B harassment zone. However, the area of this reaction has been observed The NAB (2016) subsistence mapping the feeding (including high density primarily only in association with project also identified Kotzebue Sound feeding), rearing, and migration impact pile driving, which Crowley as an important use area for bearded important use areas in which impacts of does not plan to conduct. Level B seal feeding and migration (Figure 5 in Crowley’s project may occur is small harassment will be reduced to the level Crowley’s application). The area of the relative to both the overall area of the of least practicable adverse impact feeding and migratory important use important use area and the overall area through use of mitigation measures areas in which impacts of Crowley’s of suitable spotted seal habitat outside described herein. If sound produced by project may occur is small relative to of these important use areas. The area of project activities is sufficiently both the overall area of the important Kotzebue Sound affected is also small disturbing, animals are likely to simply use areas and the overall area of suitable relative to the rest of the Sound, such avoid the area while the activity is bearded seal habitat outside of these that it allows animals within the occurring, particularly as the project is important use areas. The area of migratory corridor to still utilize expected to occur over just 87 in-water Kotzebue Sound affected is also small Kotzebue Sound without necessarily work days, with an estimated 100 relative to the rest of the Sound, such being disturbed by the construction. minutes of pile driving per work day that it allows animals within the Therefore, take of spotted seals using over a period of approximately 11 migratory corridor to still utilize the feeding and migratory important use hours. Kotzebue Sound without necessarily areas and important haul outs, given The project is also not expected to being disturbed by the construction. both the scope and nature of the have significant adverse effects on Additionally, as previously described, anticipated impacts of pile driving affected marine mammals’ habitats. The we expect that most bearded seals will exposure, is not expected to impact project activities would not modify have left the area during the project reproduction or survivorship of any existing marine mammal habitat for a period. Therefore, take of bearded seal individuals. significant amount of time. The using the feeding and migratory As previously described, UMEs have activities may cause some fish to leave important use areas, given both the been declared for both gray whales and the area of disturbance, thus temporarily scope and nature of the anticipated ice seals, however, neither UME impacting marine mammals’ foraging impacts of pile driving exposure, is not provides cause for concern regarding opportunities in a limited portion of the expected to impact reproduction or population-level impacts to any of these foraging range. We do not expect pile survivorship of any individuals. stocks. For gray whales, the estimated driving activities to have significant The NAB (2016) subsistence mapping abundance of the Eastern North Pacific consequences to marine invertebrate project also identified Kotzebue Sound stock is 26,960 (Carretta et al., 2019) and populations. Given the short duration of as an important use area for ringed seal the stock abundance has increased the activities and the relatively small feeding, including a high density approximately 22% in comparison with area of the habitat that may be affected, feeding area south of the project area 2010/2011 population levels (Durban et the impacts to marine mammal habitat, (Figure 6 in Crowley’s application). The al., 2017). For bearded seals, the including fish and invertebrates, are not area identified as important for high minimum estimated mean M/SI (557) is expected to cause significant or long- density feeding does not overlap with well below the calculated partial PBR term negative consequences. the calculated Level B harassment zone. (8,210). This PBR is only a portion of As previously noted, the NAB The area of the feeding important use that of the entire stock, as it does not subsistence mapping project identified areas in which impacts of Crowley’s included bearded seals that overwinter Kotzebue Sound as an important use project may occur is small relative to and breed in the Beaufort or Chukchi area for beluga feeding, birthing, rearing, both the overall area of the important Seas (Muto et al., 2019). For the Alaska

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stock of ringed seals and the Alaska an authorization is limited to small comparison to the Bering Sea estimate, stock of spotted seals, the M/SI (863 and numbers of marine mammals. which is only a portion of the Alaska 329, respectively) is well below the PBR Additionally, other qualitative factors Stock (also includes animals in the for each stock (5,100 and 12,697, may be considered in the analysis, such Chukchi and Beaufort Seas), shows less respectively) (Muto et al., 2019). No as the temporal or spatial scale of the that, at most, less than one percent of injury, serious injury, or mortality is activities. the stock is expected to be impacted. expect or proposed for authorization, The number of instances of take for The Alaska stock of ringed seals also and Level B harassment takes of gray each species or stock proposed to be lack an accepted stock abundance value, whale and ice seal species will be taken as a result of this project is and therefore, we were not able to reduced to the level of least practicable included in Table 12. Our analysis calculate an expected percentage of the adverse impact through the shows that less than one-third of the population that may be affected by incorporation of the proposed best available population abundance Crowley’s project. As noted in the 2019 mitigation measures. As such, the estimate of each stock could be taken by Draft Alaska SAR (Muto et al., 2019), the proposed Level B harassment takes of harassment. The number of animals abundance estimate available, 171,418 gray whales and ice seals would not proposed to be taken for the Eastern animals, is only a partial estimate of the exacerbate or compound upon the North Pacific gray whale stock, Alaska Bering Sea portion of the population ongoing UMEs. minke whale stock, Beaufort Sea and (Conn et al., 2014). As noted in the SAR, In summary and as described above, Eastern Chuckchi Sea beluga whale this estimate does not include animals the following factors primarily support stocks, Bering Sea harbor porpoise in the shorefast ice zone, and the our preliminary determination that the stock, and Alaska stocks of bearded, authors did not account for availability impacts resulting from this activity are ringed, spotted and ribbon seals stocks bias. Muto et al. (2019) expect that the not expected to adversely affect the discussed above would be considered Bering Sea portion of the population is species or stock through effects on small relative to the relevant stock’s actually much higher. Given the annual rates of recruitment or survival: abundances even if each estimated proposed 6,312 Level B harassment • No mortality or serious injury or taking occurred to a new individual, takes for the stock, comparison to the PTS is anticipated or authorized; which is an unlikely scenario. Bering Sea partial estimate, which is • The anticipated incidents of Level B For beluga whale, the percentages in only a portion of the Alaska Stock (also harassment would consist of, at worst, Table 12 also conservatively assume includes animals in the Chukchi and temporary modifications in behavior that all takes of beluga whale will be Beaufort Seas), shows less that, at most, that would not result in fitness impacts accrued to a single stock, when multiple less than 4 percent of the stock is to individuals; stocks are known to occur in the project expected to be impacted. • The area impacted by the specified area. Additionally, we expect that most The expected take of the Gulf of activity is very small relative to the beluga whale takes will be of the same Alaska, Aleutian Islands, and Bering Sea overall habitat ranges of all species; and individuals, given that the calculated Transient stock of killer whales, as a • While impacts would occur within Level B harassment zone is an extremely proportion of the population areas that are important for feeding, small portion of each stock’s overall abundance, would be 58.8 percent if all birthing, rearing, and migration for range (Muto et al., 2019a) and, therefore, takes were assumed to occur for unique multiple stocks, because of the small the percentage of the stock taken is individuals. However, it is unlikely that footprint of the activity relative to the expected to be lower than that indicated all takes would occur to unique area of these important use areas, and in Table 12. individuals. The stock’s SAR shows a the scope and nature of the anticipated A lack of an accepted stock distribution that does not extend north impacts of pile driving exposure, we do abundance value for the Alaska stock of beyond the Bering Sea. Therefore, we not expect impacts to the reproduction minke whale did not allow for the expect that the individuals in the or survival of any individuals. calculation of an expected percentage of project area represent a small portion of Based on the analysis contained the population that would be affected. the stock, and that it is likely that there herein of the likely effects of the The most relevant estimate of partial will be multiple takes of a small number specified activity on marine mammals stock abundance is 1,232 minke whales of individuals within the project area. and their habitat, and taking into in coastal waters of the Alaska As such, it is highly unlikely that more consideration the implementation of the Peninsula and Aleutian Islands (Zerbini than one-third of the stock would be proposed monitoring and mitigation et al., 2006). Given seven proposed exposed to the construction noise. measures, NMFS preliminarily finds takes by Level B harassment for the Based on the analysis contained that the total marine mammal take from stock, comparison to the best estimate of herein of the proposed activity the proposed activity will have a stock abundance shows less than 1 (including the proposed mitigation and negligible impact on all affected marine percent of the stock is expected to be monitoring measures) and the mammal species or stocks. impacted. anticipated take of marine mammals, For the Alaska stock of bearded seals, NMFS preliminarily finds that small Small Numbers a lack of an accepted stock abundance numbers of marine mammals will be As noted above, only small numbers value did not allow for the calculation taken relative to the population size of of incidental take may be authorized of an expected percentage of the the affected species or stocks. under Sections 101(a)(5)(A) and (D) of population that would be affected. As the MMPA for specified activities other noted in the 2019 Draft Alaska SAR Unmitigable Adverse Impact Analysis than military readiness activities. The (Muto et al., 2019), an abundance and Determination MMPA does not define small numbers estimate is currently only available for In order to issue an IHA, NMFS must and so, in practice, where estimated the portion of bearded seals in the find that the specified activity will not numbers are available, NMFS compares Bering Sea (Conn et al., 2012). The have an ‘‘unmitigable adverse impact’’ the number of individuals taken to the current abundance estimate for the on the subsistence uses of the affected most appropriate estimation of Bering Sea is 301,836 bearded seals. marine mammal species or stocks by abundance of the relevant species or Given the proposed 1,199 Level B Alaskan Natives. NMFS has defined stock in our determination of whether harassment takes for the stock, ‘‘unmitigable adverse impact’’ in 50 CFR

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216.103 as an impact resulting from the consultation with the Alaska Region for do not affect the previous analyses, specified activity: (1) That is likely to the issuance of this IHA. NMFS will mitigation and monitoring reduce the availability of the species to conclude the ESA consultation prior to requirements, or take estimates (with a level insufficient for a harvest to meet reaching a determination regarding the the exception of reducing the type or subsistence needs by: (i) Causing the proposed issuance of the authorization. amount of take). marine mammals to abandon or avoid (2) A preliminary monitoring report Proposed Authorization hunting areas; (ii) Directly displacing showing the results of the required subsistence users; or (iii) Placing As a result of these preliminary monitoring to date and an explanation physical barriers between the marine determinations, NMFS proposes to issue showing that the monitoring results do mammals and the subsistence hunters; an IHA to Crowley Fuels, LLC for not indicate impacts of a scale or nature and (2) That cannot be sufficiently conducting the Crowley Kotzebue Dock not previously analyzed or authorized. mitigated by other measures to increase Upgrade Project in Kotzebue, Alaska • Upon review of the request for the availability of marine mammals to beginning in June 2020, provided the Renewal, the status of the affected allow subsistence needs to be met. previously mentioned mitigation, species or stocks, and any other Bowhead whale are primarily targeted monitoring, and reporting requirements pertinent information, NMFS outside of the Sound, and the project is are incorporated. A draft of the determines that there are no more than not expected to impact any prey species proposed IHA can be found at https:// minor changes in the activities, the or migratory behavior. Beluga whales www.fisheries.noaa.gov/permit/ mitigation and monitoring measures have been traditionally harvested in incidental-take-authorizations-under- will remain the same and appropriate, abundance at Sisualiq, and project marine-mammal-protection-act. and the findings in the initial IHA impacts are not expected to reach remain valid. Request for Public Comments traditional harvest areas. Additionally, Dated: April 23, 2020. We request comment on our analyses, project activities avoid traditional ice Donna S. Wieting, seal harvest windows. While some the proposed authorization, and any other aspect of this Notice of Proposed Director, Office of Protected Resources, hunting continues throughout the National Marine Fisheries Service. summer, we do not anticipate that there IHA for the proposed project. In [FR Doc. 2020–09040 Filed 4–28–20; 8:45 am] would be impacts to seals that would particular, we request comment on the make them unavailable for subsistence marine mammal density and group size BILLING CODE 3510–22–P hunters. Additionally, Crowley will information used to inform the coordinate with local communities and proposed take calculation. We also DEPARTMENT OF COMMERCE subsistence groups to avoid or mitigate request at this time comment on the impacts to beluga whale and ice seal potential Renewal of this proposed IHA National Oceanic and Atmospheric harvests, as noted in the Proposed as described in the paragraph below. Administration Mitigation section. Please include with your comments any Based on the description of the supporting data or literature citations to [RTID 0648–XA126] specified activity, the measures help inform decisions on the request for Takes of Marine Mammals Incidental to described to minimize adverse effects this IHA or a subsequent Renewal IHA. Specified Activities; Taking Marine On a case-by-case basis, NMFS may on the availability of marine mammals Mammals Incidental to the Alameda issue a one-year Renewal IHA following for subsistence purposes, and the Marina Shoreline Improvement Project proposed mitigation and monitoring notice to the public providing an measures, NMFS has preliminarily additional 15 days for public comments AGENCY: National Marine Fisheries determined that there will not be an when (1) up to another year of identical Service (NMFS), National Oceanic and unmitigable adverse impact on or nearly identical, or nearly identical, Atmospheric Administration (NOAA), subsistence uses from Crowley’s activities as described in the Specified Commerce. proposed activities. Activities section of this notice is ACTION: Notice; proposed incidental planned or (2) the activities as described Endangered Species Act (ESA) harassment authorization; request for in the Specified Activities section of comments on proposed authorization Section 7(a)(2) of the Endangered this notice would not be completed by and possible renewal. Species Act of 1973 (ESA: 16 U.S.C. the time the IHA expires and a Renewal 1531 et seq.) requires that each Federal would allow for completion of the SUMMARY: NMFS has received a request agency insure that any action it activities beyond that described in the from Pacific Shops, Inc. (Pacific Shops) authorizes, funds, or carries out is not Dates and Duration section of this for authorization to take marine likely to jeopardize the continued notice, provided all of the following mammals incidental to the Alameda existence of any endangered or conditions are met: Marina Shoreline Improvement Project threatened species or result in the • A request for renewal is received no in Alameda, CA over two years. destruction or adverse modification of later than 60 days prior to the needed Pursuant to the Marine Mammal designated critical habitat. To ensure Renewal IHA effective date (recognizing Protection Act (MMPA), NMFS is ESA compliance for the issuance of that the Renewal IHA expiration date requesting comments on its proposal to IHAs, NMFS consults internally cannot extend beyond one year from issue two incidental harassment whenever we propose to authorize take expiration of the initial IHA). authorizations (IHAs) to incidentally for endangered or threatened species, in • The request for renewal must take marine mammals during the this case with the Alaska Region’s include the following: specified activities. NMFS is also Protected Resources Division Office. (1) An explanation that the activities requesting comments on possible one- NMFS is proposing to authorize take to be conducted under the requested year renewals that could be issued of bearded seal (Beringia DPS) and Renewal IHA are identical to the under certain circumstances and if all ringed seal (Arctic subspecies), which activities analyzed under the initial requirements are met, as described in are listed under the ESA. The Permit IHA, are a subset of the activities, or Request for Public Comments at the end and Conservation Division has include changes so minor (e.g., of this notice. NMFS will consider requested initiation of Section 7 reduction in pile size) that the changes public comments prior to making any

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final decision on the issuance of the Authorization for incidental takings 9, 2020. Pacific Shops’ request is for requested MMPA authorizations, and shall be granted if NMFS finds that the take of a small number of six species of agency responses will be summarized in taking will have a negligible impact on marine mammals, by Level B the final notice of our decision. the species or stock(s) and will not have harassment. Neither Pacific Shops nor DATES: Comments and information must an unmitigable adverse impact on the NMFS expects serious injury or be received no later than May 29, 2020. availability of the species or stock(s) for mortality to result from this activity ADDRESSES: Comments should be taking for subsistence uses (where and, therefore, IHAs are appropriate. addressed to Jolie Harrison, Chief, relevant). Further, NMFS must prescribe The IHAs, if issued, will be effective Permits and Conservation Division, the permissible methods of taking and from June 1, 2020 to May 31, 2021 for Office of Protected Resources, National other ‘‘means of effecting the least Year 1 activities, and June 1, 2021 to Marine Fisheries Service. Physical practicable adverse impact’’ on the May 31, 2022 for Year 2 activities. affected species or stocks and their comments should be sent to 1315 East- Description of Proposed Activity West Highway, Silver Spring, MD 20910 habitat, paying particular attention to and electronic comments should be sent rookeries, mating grounds, and areas of Overview similar significance, and on the to [email protected]. Pacific Shops is proposing to conduct availability of the species or stocks for Instructions: NMFS is not responsible improvements to the Alameda Marina for comments sent by any other method, taking for certain subsistence uses (referred to in shorthand as and its shoreline in Alameda, CA over to any other address or individual, or a two-year construction period. The received after the end of the comment ‘‘mitigation’’); and requirements pertaining to the mitigation, monitoring project will address climate resiliency period. Comments received and rehabilitate existing shoreline and electronically, including all and reporting of the takings are set forth. The definitions of all applicable marina facilities so that the shoreline attachments, must not exceed a 25- meets current seismic resistance criteria megabyte file size. All comments MMPA statutory terms cited above are included in the relevant sections below. and addresses sea level rise risk. The received are a part of the public record project will update the existing marina and will generally be posted online at National Environmental Policy Act facilities, reconfigure some of the https://www.fisheries.noaa.gov/ To comply with the National existing marina piers, and provide the national/marine-mammal-protection/ Environmental Policy Act of 1969 public with more aquatic recreational incidental-take-authorizations- (NEPA; 42 U.S.C. 4321 et seq.) and opportunities. The construction construction-activities without change. NOAA Administrative Order (NAO) activities include vibratory and impact All personal identifying information 216–6A, NMFS must review our pile driving and removal which will (e.g., name, address) voluntarily proposed action (i.e., the issuance of ensonify the Oakland Estuary over submitted by the commenter may be IHAs) with respect to potential impacts approximately 68 days in year 1, and 98 publicly accessible. Do not submit on the human environment. This action days in year 2. confidential business information or is consistent with categories of activities otherwise sensitive or protected Dates and Duration identified in Categorical Exclusion B4 information. (IHAs with no anticipated serious injury Pacific Shops anticipates that FOR FURTHER INFORMATION CONTACT: or mortality) of the Companion Manual construction for the Alameda Marina Leah Davis, Office of Protected for NOAA Administrative Order 216– Shoreline Improvement Project will Resources, NMFS, (301) 427–8401. 6A, which do not individually or occur over two years. The proposed Electronic copies of the application and cumulatively have the potential for IHAs would each be effective for one supporting documents, as well as a list significant impacts on the quality of the year beginning June 2020 and June of the references cited in this document, human environment and for which we 2021, respectively. Pile driving and/or may be obtained online at: https:// have not identified any extraordinary removal are expected to occur on up to www.fisheries.noaa.gov/permit/ circumstances that would preclude this 200 minutes per day, depending on the incidental-take-authorizations-under- categorical exclusion. Accordingly, pile type, and will occur primarily marine-mammal-protection-act. In case NMFS has preliminarily determined during daylight hours. Fishery of problems accessing these documents, that the issuance of the proposed IHAs regulatory authorities recommend that please call the contact listed above. qualifies to be categorically excluded Pacific Shops close off the cofferdam SUPPLEMENTARY INFORMATION: from further NEPA review. (see details below) during low tide, We will review all comments which could occur outside of daylight Background submitted in response to this notice hours. Pacific Shops estimates that in- The MMPA prohibits the ‘‘take’’ of prior to concluding our NEPA process water construction will occur over marine mammals, with certain or making a final decision on the approximately 68 days in Year 1, and 98 exceptions. Sections 101(a)(5)(A) and request. days in Year 2. (D) of the MMPA (16 U.S.C. 1361 et seq.) direct the Secretary of Commerce Summary of Request Specific Geographic Region (as delegated to NMFS) to allow, upon On November 25, 2019, NMFS The project site is entirely within the request, the incidental, but not received a request from Pacific Shops, Oakland Estuary (Estuary), in the City intentional, taking of small numbers of Inc. (Pacific Shops) for two IHAs to take and County of Alameda, California. marine mammals by U.S. citizens who marine mammals incidental to Alameda is southeast of Treasure Island, engage in a specified activity (other than construction activities at the Alameda Yerba Buena Island, and the San commercial fishing) within a specified Marina in Alameda, CA over two years. Francisco-Oakland Bay Bridge, by geographical region if certain findings The applicant expects to conduct approximately 3 km (1.9 mi). The are made and either regulations are vibratory pile removal and vibratory and Estuary is connected to the Central San issued or, if the taking is limited to impact installation during Year 1, and Francisco Bay (Central Bay) on the west harassment, a notice of a proposed vibratory and impact pile installation end and San Leandro Bay on the east incidental take authorization may be during Year 2. The application was end. From the Central Bay to the project provided to the public for review. deemed adequate and complete on April area, the Estuary is only approximately

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492 ft (150 m) wide, and is relatively limit its use by marine mammals. The harmful to sensitive marine organisms shallow throughout (ranging from 50 ft geography of the Estuary limits tidal (Shreffler et al. 1994). There are no (15 m) in the shipping channel to 30 ft flushing, and the industrial history of eelgrass beds in the project area within (9 m) deep in the project area (BCDC the Estuary has led to an accumulation the Estuary. This lack of foraging habitat 1994, 2018)). of toxins in the sediment: substrates in along with the compromised substrate The geographic, bathymetric, and the Oakland Inner Harbor and turning quality limit prey resources for marine ecological characteristics of the Estuary basin contain contaminants that are mammals.

Detailed Description of Specific Activity the Marina. Please see Figures 2 and 3 location of proposed construction in the IHA application for a detailed components. Pacific Shops’ planned construction map of Alameda Marina and the includes work on many components of

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Demolition Activities timber deck boards. The removal All piles will be either vibrated out or methods for these pile-supported cut off at the mudline and removed. The During Year 1, Pacific Shops is structures will all be similar, and applicant will decide in-situ whether to proposing to remove several degraded involve removal of the deck boards, vibrate-out or cut off the piles wharves, piers, and pier studs (the followed by the timber joists/girders and depending on the condition of the pile. shoreline portion of a previously shoring beams, and finally the support The applicant may first attempt to removed pier), collectively referred to piles. Deck boards will be removed by vibrate the pile out, but if it is so here as ‘‘pile-supported structures.’’ hand working from the northern end of deteriorated that it cannot be removed, These structures include the boat the structure back towards the shore. the pile will be cut it off at the mudline. elevator wharf, boat lift wharf, Pier 4 Once the deck is removed, the Table 1 includes a summary of stud, Pier 6 stud, and a pier outboard of underlying timber joists/girders will be structures proposed for removal, and the the Promenade Wharf (see Application, dismantled from the estuary-side toward type and number of piles to be removed. Figure 2). Generally, the pile-supported the landside. structures are comprised of piles Pacific Shops is proposing to remove Please see Figure 2 of Pacific Shops’ supporting a wooden platform of timber piles associated with the pile supported application for the location of each joists/girders that are covered with structures and with Seawall 1 (Table 1). structure at Alameda Marina.

TABLE 1—SUMMARY OF PILES TO BE REMOVED WITH A VIBRATORY HAMMER IN YEAR 1

Number of Structure Type of pile piles

Seawall 1 ...... 16-in Timber ...... 150 Pier 4 Stud ...... 16-in Timber ...... 16 Pier 6 Stud ...... 16-in Timber ...... 20 Boat Elevator Wharf ...... 16-in Timber ...... 7 12-in Square Concrete ...... 12 Boat Lift Wharf ...... 16-in Timber ...... 25 12-in Square Concrete ...... 7 Pier Outboard of Promenade Wharf ...... 16-in Timber ...... 60 Building 13 Wharf ...... 16-in Timber ...... 3 Building 14 Wharf ...... 16-in Timber ...... 20

Total ...... 16-in Timber ...... 301 12-in Square Concrete ...... 19

Pile Installation install. Vibratory hammering will be impact hammer to complete pipe pile conducted year-round. installation and drive to final depths. The contractor will install sheet piles The contractor will initially install all The contractor will use a bubble curtain with a crane or excavator-mounted steel pipe piles with a vibratory hammer during all impact driving of steel piles. vibratory hammer to a design depth. through the top soft soils until the Pipe pile installation will be conducted Sheet pile installation will be conducted vibration cannot advance the pile from both land and water. from both land and water. The further into the substrate. In some cases, contractor estimates that they will the contractor may be able to achieve The contractor will install concrete install approximately 20 sheet piles per final depths for steel piles using a piles with an impact hammer. Concrete day, each of which will take vibratory hammer only. The contractor pile installation will be conducted from approximately 10 minutes (min) to will use a crane or excavator-mounted both land and water.

TABLE 2—SUMMARY OF PILES TO BE INSTALLED IN YEAR 1

Number of Structure Type of pile piles Hammer type

Seawall 4 ...... Steel Sheet Pile ...... 149 Vibratory. Seawall 6 ...... Steel Sheet Pile ...... 106 Vibratory. Promenade Wharf ...... 16-in Square Concrete ...... 39 Impact. Building 5 Wharf ...... 16-in Square Concrete ...... 1 Impact. Building 13 Wharf ...... 36-in Steel Pipe ...... 2 Vibratory & Attenuated Impact. 16-in Square Concrete ...... 1 Impact. Cofferdam ...... Steel Sheet Pile ...... a 214 Vibratory. Total ...... Steel Sheet Pile ...... 469 Vibratory. 16-in Square Concrete ...... 41 Impact. 36-in Steel Pipe ...... 2 Vibratory & Attenuated Impact. a 107 steel sheet piles will be installed and later removed (part of cofferdam), and are accounted for in 214 of these piles, as SLs are consid- ered to be the same for both activities. The applicant has not yet determined the exact sheet pile they will be using.

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TABLE 3—SUMMARY OF PILES TO BE INSTALLED IN YEAR 2

Number of Structure Type of pile piles Hammer type

Seawall 1 ...... Steel Sheet Pile ...... 233 Vibratory. Wide Flange Beam ...... 117 Vibratory & Attenuated Impact. Seawall 1A ...... Steel Sheet Pile ...... 26 Vibratory. Wide Flange Beam a ...... 13 Vibratory & Attenuated Impact. Building 14 Wharf ...... 36-in Steel Pipe ...... 1 Vibratory & Attenuated Impact. Headwalk ...... 14-in Square Concrete ...... 19 Impact. Boat Hoist Deck ...... 24-in Square Concrete ...... 8 Impact. 30-in Steel Pipe ...... 1 Vibratory & Attenuated Impact. Total ...... Steel Sheet Pile ...... 259 Vibratory. Wide Flange Beam a ...... 130 Vibratory & Attenuated Impact. 30-in Steel Pipe ...... 1 Vibratory & Attenuated Impact. 36-in Steel Pipe ...... 1 Vibratory & Attenuated Impact. 14-in Square Concrete ...... 19 Impact. 24-in Square Concrete ...... 8 Impact. a Wide flange beams are steel beams with two parallel ‘‘flanges’’ that are longer than the central piece connecting them. They have an H- shaped cross-section. The contractor will select the specific wide flange beams at the time of construction.

Wharf Refurbishment and falsework to result in marine of the existing seawall. The contractor Pacific Shops plans to refurbish the mammal harassment, and we do not will install the steel sheet piles and Promenade Wharf, Building 5 Wharf, consider them further in this notice. concrete cap in a manner similar to that described for Seawalls 1 and 1A. Building 13 Wharf, and Building 14 Seawall Maintenance Wharf (see application, Figure 2). In Following the installation of the steel addition to the pile removal and Pacific Shops is proposing repairs that sheet pile wall, the contractor will installation activities outlined above, will strengthen the walls and address excavate soil behind the wall to the Pacific Shops will remove and replace projected sea level rise. They anticipate depth of the existing tie-rod for or reinforce miscellaneous support completing seawall repairs prior to the inspection of the steel and concrete framing, bracing, and connectors (i.e., removal of some existing seawall deadman anchor components. joists/girders, blocking, and hardware). materials. Seawall maintenance has Deteriorated components of the NMFS does not expect these above- been broken up into four segments: deadman anchor and the associated water activities to result in marine Seawall 1 spans Pier 7 to Pier 3 (700 connection components will be replaced mammal harassment, and they are not LF); Seawall 1A is directly east of Pier as needed. The existing deadman considered further in this notice. 3 (80 LF); Seawall 4 is south of East Pier anchor will be tied to the new concrete The contractor will install new (280 LF); and Seawall 6 is east of the cap beam above the sheet pile wall prestressed concrete piles adjacent to graving dock (i.e., dry dock) (200 LF). using a steel tie-rod. Excavation and existing severely deteriorated piles, and The contractor will repair Seawall 4 replacement of deadman anchor will jacket timber piles with moderate and Seawall 6 in Year 1 and will consist components, as needed, will occur deterioration. Pile jacketing involves of new steel sheet piles with reinforced completely out of water. encasing existing piles in a circular concrete caps and tie-rods (Table 2). NMFS does not expect construction of plastic case and filling the space Seawall 1 and Seawall 1A will be the concrete caps, excavation behind the between the pile and plastic case with repaired in Year 2. Repairs will consist seawall, or potential replacement of the cement grout. NMFS does not expect of new steel sheet piles or combi-wall deadman anchor and associated pile jacketing to result in marine (combination of steel wide flange beams components to result in take of marine mammal harassment and we do not and steel sheet piles) with a reinforced mammals. Therefore, we do not consider it further in this notice. concrete cap at its top (Table 3). consider them further in this notice. The new sheet piles (steel sheet piles) The contractor will replace Outfall Installation deteriorated beams with new beams of or combi-wall at Seawalls 1 and 1A will the same size and new piles will be be driven to the design tip elevation The Master Plan stormwater added to the wharves for lateral restraint seaward of the existing timber seawall. management system will include outfall (steel pipe piles and wide flange beams). Wide flange beams and sheet piles will repair and installation with new inlets The contractor will construct structural typically tip in a dense sand layer and pipelines of appropriate size to connections between the new piles and approximately 25 to 35 ft (7.6 to 10.6m) convey runoff and run-on. This the deck beam frame. Finally, the below mudline. The contractor will stormwater management system will contractor will place the wharf deck install the sheet piles using a vibratory continue to discharge directly to the boards over the frame. hammer. If wide flange beams are used, Estuary through six outfalls located Some limited falsework will likely be the contractor will first use a vibratory either in revetments or in seawalls that required for access, which will span hammer, and then use an impact range in size from 18-in to 36-in- between the existing beams and piles. hammer to complete beam installation diameter (45.7 cm to 91.4 cm) pipelines. Falsework will likely consist of hanging and drive to final depths. The reinforced The Project includes the installation a temporary scaffold system under the concrete cap will be cast in place along of one new outfall in the Estuary, existing wharf to prevent debris the top of the piles of the new seawall. located in the shoreline between Pier 3 generated during the refurbishment of To repair Seawalls 4 and 6, Pacific and Pier 2 (see Application, Figure 3). the wharf from falling into the water. Shops will construct new wall segments The outfall is located along the NMFS does not expect the installation consisting of steel sheet piles with a revetment and will be a cast-in-place of structural connections, deck boards, concrete cap beam on the outside face concrete structure consisting of a

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headwall, wingwalls, and riprap. The to the greatest extent possible; however, Description of Marine Mammals in the outfall will include a tide valve to they will remove some existing piles for Area of Specified Activities prevent backwater into the storm drain dock reconfiguration, as previously system. described in the Pile Removal section. Sections 3 and 4 of the application The contractor will install a sheet pile The contractor will reconfigure Pier 1 summarize available information cofferdam to facilitate outfall repair and slips to accommodate larger vessels and regarding status and trends, distribution installation. The sheet pile cofferdam the East Pier slips will be moved toward and habitat preferences, and behavior wall will be embedded in shoreline the channel to accommodate the new and life history, of the potentially substrate immediately downstream from waterfront park. The contractor will affected species. Additional information the outfall using a vibratory hammer. install new support piles for the new regarding population trends and threats The contractor expects to install the headwalks (Table 3). may be found in NMFS’s Stock final cofferdam piles during low tide, if The contractor will complete the bulk Assessment Reports (SARs; https:// possible, as recommended NMFS of marina reconfiguration work from www.fisheries.noaa.gov/national/ Southwest Region, to minimize impacts land. New sections of headwalks, marine-mammal-protection/marine- to fish. The contractor will remove some gangways, and docks will be mammal-stock-assessments) and more riprap and sediment from the cofferdam constructed in an upland location, general information about these species footprint prior to cofferdam installation. hoisted onto the water and floated into (e.g., physical and behavioral Once the cofferdam is installed, soil and place. Existing features that require descriptions) may be found on NMFS’s riprap will be excavated from the demolition will be disconnected from website (https:// location of the new outfall using a the current fixed dock, floated to the www.fisheries.noaa.gov/find-species). landside excavator. Once the contractor edge of the marina, hoisted onto land, Table 4 lists all species with expected has excavated and cleared the existing and demolished in an upland location. potential for occurrence in Alameda, CA material, they will construct forms for Only the headwalk reconfiguration and summarizes information related to the new headwall and wingwalls and involves pile driving. NMFS does not the population or stock, including pour concrete into the forms. After the anticipate that Pier 2 slipcover removal, regulatory status under the MMPA and headwall and wingwalls have cured gangway reconfiguration, and floating ESA and potential biological removal enough to hold the slope, the contractor dock installation will result in marine (PBR), where known. For taxonomy, we will place riprap in upland areas and mammal harassment. Therefore, we do follow Committee on Taxonomy (2019). within the Estuary. The contractor will not consider those activities further in PBR is defined by the MMPA as the remove the forms and sheet pile this notice. maximum number of animals, not cofferdam after the concrete has reached including natural mortalities, that may design strength, allowing the headwall Boat Hoist Deck be removed from a marine mammal and wingwalls to cure. The contractor The contractor will replace three stock while allowing that stock to reach will stabilize the shoreline with riprap, existing boat hoists with a new 3-ton or maintain its optimum sustainable and install the tidal flap gate. population (as described in NMFS’s NMFS does not expect construction of boat hoist (approximately 42 ft by 50 ft (12.8 m by 15.2 m) in area). The new SARs). While no mortality is anticipated the headwall and wingwalls (poured or authorized here, PBR and annual concrete), installation of the rip rap, or boat hoist, located on the west side of the project site (see application, Figure serious injury and mortality from insallation of the tidal flap gate to result anthropogenic sources are included here in marine mammal harassment. 4), will lift sailboats into and out of the Estuary. It requires a new, pile- as gross indicators of the status of the Therefore, we do not consider these species and other threats. activities further in this notice. supported deck. The new deck will be 2,100ft2, Marine mammal abundance estimates Marina Infrastructure Removal/ (195m2) with 270 ft2 (25m2) over land presented in this document represent Reconfiguration and 1,830 ft2 (170 m2) over water. The the total number of individuals that Pacific Shops plans to reconfigure the new deck will be supported by eight 24- make up a given stock or the total existing 529-slip marina to reduce in square prestressed concrete piles and number estimated within a particular points of land access as a measure of one 30-in cylindrical steel pipe pile study or survey area. NMFS’s stock safety, to improve access and operation (Table 3). The single 30-in steel pipe abundance estimates for most species of the docks, and to create a new pile supporting the hoist platform deck represent the total estimate of waterlife park in the remnant graving will be initially installed with a individuals within the geographic area, dock. The existing marina uses will vibratory hammer; an attenuated impact if known, that comprises that stock. For remain unchanged with no additional hammer will be used to complete pile some species, this geographic area may slips. Pacific Shops plans to modify installation and drive to final depths. extend beyond U.S. waters. All managed existing marina infrastructure, including The 24-in concrete piles will be impact- stocks in this region are assessed in removing Pier 2 slip covers, installing driven their entire length without NMFS’s U.S. Pacific SARs (e.g., Carretta floating docks in the existing graving attenuation. et al., 2019). All values presented in dock, and reconfiguring gangways and Pacific Shops does not plan to Table 4 are the most recent available at headwalks. Gangways provide conduct pile driving with multiple the time of publication and are available pedestrian access from land to the hammers concurrently. in the 2018 SARs (Carretta et al., 2019) floating docks and headwalks are pile- Proposed mitigation, monitoring, and and draft 2019 SARs (available online supported floating portions of a dock reporting measures are described in at: https://www.fisheries.noaa.gov/ that provide pedestrian access to slips. detail later in this document (please see national/marine-mammal-protection/ The contractor will reuse existing Proposed Mitigation and Proposed draft-marine-mammal-stock- support piles for marina infrastructure Monitoring and Reporting). assessment-reports).

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TABLE 4—SPECIES THAT SPATIALLY CO-OCCUR WITH THE ACTIVITY TO THE DEGREE THAT TAKE MAY OCCUR

Stock ESA/ abundance MMPA (CV, N , Annual Common name Scientific name Stock status; min PBR most recent M/SI 3 strategic abundance (Y/N) 1 survey) 2

Order Cetartiodactyla—Cetacea—Superfamily Odontoceti (toothed whales, dolphins, and porpoises)

Family Delphinidae: Bottlenose Dolphin ...... Tursiops truncatus ...... California Coastal ...... -, -, N 453 (0.06, 346, 2011) ...... 2.7 >2.0 Family Phocoenidae (por- poises): Harbor porpoise ...... Phocoena phocoena ...... San Francisco/Russian River -, -, N 9,886 (0.51, 2019) ...... 66 0

Order Carnivora—Superfamily Pinnipedia

Family Otariidae (eared seals and sea lions): California Sea Lion ...... Zalophus californianus ...... United States ...... -, -, N 257,606 (N/A, 233,515, 2014) 14,011 >321 Northern fur seal ...... Callorhinus ursinus ...... California ...... -, D, N 14,050 (N/A, 7,524, 2013) ..... 451 1.8 Eastern North Pacific ...... -, D, N 620,660 (0.2, 525,333, 2016) 11,295 399

Family Phocidae (earless seals): Northern elephant seal ..... Mirounga angustirostris ...... California Breeding ...... -, -, N 179,000 (N/A, 81,368, 2010) 4,882 8.8 Harbor seal ...... Phoca vitulina ...... California ...... -, -, N 30,968 (N/A, 27,348, 2012) ... 1,641 43 1 Endangered Species Act (ESA) status: Endangered (E), Threatened (T)/MMPA status: Depleted (D). A dash (-) indicates that the species is not listed under the ESA or designated as depleted under the MMPA. Under the MMPA, a strategic stock is one for which the level of direct human-caused mortality exceeds PBR or which is determined to be declining and likely to be listed under the ESA within the foreseeable future. Any species or stock listed under the ESA is automatically designated under the MMPA as depleted and as a strategic stock. 2 NMFS marine mammal stock assessment reports online at: https://www.fisheries.noaa.gov/national/marine-mammal-protection/marine-mammal-stock-assessment- reports-region. CV is coefficient of variation; Nmin is the minimum estimate of stock abundance. 3 These values, found in NMFS’s SARs, represent annual levels of human-caused mortality plus serious injury from all sources combined (e.g., commercial fish- eries, ship strike). Annual M/SI often cannot be determined precisely and is in some cases presented as a minimum value or range. A CV associated with estimated mortality due to commercial fisheries is presented in some cases.

Harbor seal and California sea lion due to the narrow channel width and Barlow and Hanan 1995, Carretta et al. spatially co-occur with the activity to shallow water depths. 2009, 2014). They rarely occur in waters the degree that take is reasonably likely Bottlenose Dolphin warmer than 62.6 degrees Fahrenheit to occur, and we have proposed The California coastal stock of (17 degrees Celsius; Read 1990). The authorizing take of these species. For common bottlenose dolphin is found San Francisco–Russian River stock is bottlenose dolphin, harbor porpoise, within 0.6 mi (1 km) of shore (Defran found from Pescadero, 18 mi (30 km) northern fur seal, and northern elephant and Weller 1999) and occurs from south of the San Francisco Bay, to 99 mi seal, occurrence is such that take is northern Baja California, Mexico to (160 km) north of the Bay at Point Arena possible, and we have proposed Bodega Bay, CA. Their range has (Carretta et al. 2014, Chivers et al. 2002). authorizing take of these species also. extended north over the last several In most areas, harbor porpoise occur in All species that could potentially occur decades with El Nin˜ o events and small groups of just a few individuals. in the proposed survey areas are increased ocean temperatures (Hansen Harbor porpoise occur frequently included in Pacific Shops’ IHA and Defran 1990). Genetic studies have outside the Bay and re-entered the Bay application (see application, Table 4). shown that no mixing occurs between beginning in 2008 (Stern et al. 2017). While gray whale and humpback whale the California coastal stock and the They now commonly occur year-round could potentially occur in the area, the offshore common bottlenose dolphin within the Bay, primarily on the west spatial occurrence of these species is stock (Lowther-Thieleking et al. 2015). and northwest side of the Central Bay such that take is not expected to occur, Bottlenose dolphins are opportunistic near the Golden Gate Bridge, near Marin and they are not discussed further foragers: Time of day, tidal state, and County, and near the city of San beyond the explanation provided here. oceanographic habitat influence where Francisco (Duffy 2015, Keener et al. In recent years there have been an they pursue prey (Hanson and Defran 2012, Stern et al. 2017). In the summer increased number of gray whales in the 1993). Dive durations up to 15 minutes of 2017 and 2018, mom-calf pairs and San Francisco Bay, but they primarily have been recorded for trained Navy small groups (1–4 individuals) were occur in the western and central Bay bottlenose dolphins, (Ridgway et al. seen to the north and west of Treasure (W. Keener, pers. comm. 2019), and 1969), but typical dives are shallower Island, and just south of YBI (Yerba none have been reported in the Estuary and of a much shorter duration Buena Island) (Caltrans 2018a, 2019; M. (NMFS 2019a, 2019b). Humpbacks have (approximately 30 seconds [sec]; Bearzi Schulze, pers. comm. 2019). Please see regularly been seen inside the Bay, et al. 1999, Mate et al. 1995). the Marine Mammal Occurrence and primarily in the western Bay, from April Please see the Marine Mammal Take Calculation and Estimation through November since 2016 (W. Occurrence and Take Calculation and section for information on local Keener, pers. comm. 2019), and Estimation section for information on occurrence in the project area. sometimes venture up the Delta local occurrence in the project area. Harbor porpoise must forage nearly waterway (e.g., Gulland et al. 2008), but continuously to meet their high have not been recorded in the Estuary Harbor Porpoise metabolic needs (Wisniewska et al. (NMFS 2019a, 2019b). Additionally, Harbor porpoise occur along the US 2016). They consume up to 550 small both gray whales and humpback whales west coast from southern California to fish (1.2–3.9 in [3–10 cm]; e.g. are not expected to enter the project area the Bering Sea (Allen and Angliss 2013, anchovies) per hour at a nearly 90

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percent capture success rate next pupping/breeding season (Melin see the Marine Mammal Occurrence and (Wisniewska et al. 2016). and DeLong 2000; Melin et al. 2008). Take Calculation and Estimation Please see the Marine Mammal section for information on local California Sea Lion Occurrence and Take Calculation and occurrence in the project area. California sea lions occur from Estimation section for information on Harbor Seal Vancouver Island, British Columbia, to local occurrence in the project area. the southern tip of Baja California. Sea Northern Fur Seal Harbor seals are found from Baja lions breed on the offshore islands of California to the eastern Aleutian southern and central California from Two northern fur seal stocks may Islands of Alaska (Harvey and Goley May through July (Heath and Perrin occur near the Bay: the California and 2011, Herder 1986). In California there 2008). During the non-breeding season, Eastern North Pacific stocks. The are approximately 500 haulout sites adult and subadult males and juveniles California stock breeds and pups on the along the mainland and on offshore migrate northward along the coast to offshore islands of California, and islands, including intertidal sandbars, central and northern California, Oregon, forages off the California coast. The rocky shores, and beaches (Hanan 1996, Washington, and Vancouver Island Eastern Pacific stock breeds and pups Lowry et al. 2008). (Jefferson et al. 1993). They return south on islands in the North Pacific Ocean Harbor seals are the most common the following spring (Heath and Perrin and Bering Sea, including the Aleutian marine mammal species observed in the 2008, Lowry and Forney 2005). Females Islands, Pribilof Islands, and Bogoslof San Francisco Bay. Within the Bay they and some juveniles tend to remain Island, but females and juveniles move primarily haul out on exposed rocky closer to rookeries (Antonelis et al. south to California waters to forage in ledges and on sloughs in the southern the fall and winter months (Gelatt and 1990, Melin et al. 2008). Bay. Harbor seals are central-place Gentry 2018). Breeding and pupping California sea lions have occupied foragers (Orians and Pearson 1979) and occur from mid- to late-May into July. docks near Pier 39 in San Francisco, tend to exhibit strong site fidelity within Pups are weaned in September and about 9.2 mi (14.9 km) from the project season and across years, generally forage move south to feed offshore California area, since 1987. The highest number of close to haulout sites, and repeatedly (Gentry 1998). visit specific foraging areas (Grigg et al. sea lions recorded at Pier 39 was 1,701 Both the California and Eastern North 2012, Suryan and Harvey 1998, individuals in November 2009. Pacific stocks forage in the offshore Thompson et al. 1998). Harbor seals in Occurrence of sea lions here is typically waters of California, but usually only the Bay forage mainly within 7 mi (10 lowest in June (during pupping and sick or emaciated juvenile fur seals km) of their primary haulout site (Grigg breeding seasons) and highest in seasonally enter the Bay. The Marine et al. 2012), and often within just 1–3 August. Approximately 85 percent of Mammal Center (TMMC) occasionally mi (1–5 km; Torok 1994). Depth, bottom the animals that haul out at this site are picks up stranded fur seals around YBI relief, and prey abundance also males, and no pupping has been and Treasure Island (NMFS, 2019b). influence foraging location (Grigg et al. observed here or at any other site in the Please see the Marine Mammal 2012). Bay. Pier 39 is the only regularly used Occurrence and Take Calculation and haulout site in the project vicinity, but Estimation section for information on Harbor seals molt from May through sea lions occasionally haul out on local occurrence in the project area. June. Peak numbers of harbor seals haul human-made structures such as bridge out in central California during late May piers, jetties, or navigation buoys Northern Elephant Seal to early June, which coincides with the (Riedman 1990). Northern elephant seals are common peak molt. During both pupping and Pupping occurs primarily on the on California coastal mainland and molting seasons, the number of seals California Channel Islands from late island sites, where the species pups, and the length of time hauled out per May until the end of June (Peterson and breeds, rests, and molts. The largest day increase, from an average of 7 hours Bartholomew 1967). No pupping has rookeries are on San Nicolas and San per day to 10–12 hours (Harvey and been observed at the Pier 39 site or any Miguel islands in the northern Channel Goley 2011, Huber et al. 2001, Stewart other site in San Francisco Bay under Islands. Near the Bay, elephant seals and Yochem 1994). normal conditions (USACE 2011). breed, molt, and haul out at An˜ o Nuevo Harbor seals tend to forage at night Although there has been documentation Island, the Farallon Islands, and Point and haul out during the day with a peak of pupping on docks in the Bay, this Reyes National Seashore. in the afternoon between 1 p.m. and 4 event was during a domoic acid event. Northern elephant seals haul out to p.m. (Grigg et al. 2002, London et al. There is no reason to anticipate that any give birth and breed from December 2001, Stewart and Yochem 1994, domoic events will occur during the through March. Pups remain onshore or Yochem et al. 1987). Tide levels affect project construction activities. Weaning in adjacent shallow water through May. the maximum number of seals hauled and mating occur in late spring and Both sexes make two foraging out, with the largest number of seals summer during the peak upwelling migrations each year: One after breeding hauled out at low tide, but time of day period (Bograd et al., 2009). After the and the second after molting (Stewart and season have the greatest influence mating season, adult males migrate 1989; Stewart and DeLong 1995). Adult on haul-out behavior (Manugian et al. northward to feeding areas as far away females migrate to the central North 2017, Patterson and Acevedo-Gutie´rrez as the Gulf of Alaska (Lowry et al,. Pacific to forage, and males migrate to 2008, Stewart and Yochem 1994). 1992), and they remain away until the Gulf of Alaska to forage (Robinson Harbor seals in the Bay typically haul spring (March–May), when they migrate et al. 2012). Pup mortality is high when out in groups ranging from a few back to the breeding colonies. Adult they make the first trip to sea in May, individuals to over 300 during peak females generally remain south of and this period correlates with the time molt (NPS, unpublished data). Monterey Bay, California throughout the of most strandings. Young-of-the-year The closest haulout to the project area year, feeding in coastal waters in the pups return in the late summer and fall is YBI, approximately 6.6 mi (10.7 km) summer and offshore waters in the to haul out at breeding rookeries and to the northwest. The YBI haulout site winter, alternating between foraging and small haul-out sites, but occasionally has a daily range of zero to 109 harbor nursing their pups on shore until the may make brief stops in the Bay. Please seals during fall months, with the

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highest numbers hauled out during behavioral response data, audiograms For more detail concerning these afternoon low tides (Caltrans, 2004). derived using auditory evoked potential groups and associated frequency ranges, A second high-use haulout is located techniques, anatomical modeling, and please see NMFS (2018) for a review of on the southwest side of Alameda Island other data. Note that no direct available information. Six marine near the Encinal Boat Ramp, 7.8 mi measurements of hearing ability have mammal species (two cetacean and four (12.6 km) by water. This location been successfully completed for pinniped (two otariid and two phocid) consists of two haulout sites mysticetes (i.e., low-frequency species) have the reasonable potential to approximately 0.5 mi (0.8 km) apart: cetaceans). Subsequently, NMFS (2018) co-occur with the proposed activities. One at the western end of Breakwater described generalized hearing ranges for Please refer to Table 4. Of the cetacean Island, and the other on a platform these marine mammal hearing groups. species that may be present, one is installed for the harbor seals within the Generalized hearing ranges were chosen classified as mid-frequency cetacean harbor protected by Breakwater Island. based on the approximately 65 decibel (i.e., bottlenose dolphin), and one is More animals haul out here daily in the (dB) threshold from the normalized classified as high-frequency cetacean winter than in the summer and fall: An composite audiograms, with the (i.e., harbor porpoise). average of fewer than 10 animals per exception for lower limits for low- day haul out in the fall, while up to 75 Potential Effects of Specified Activities frequency cetaceans where the lower on Marine Mammals and Their Habitat animals per day use this haulout in bound was deemed to be biologically January and December (M. Klein and R. implausible and the lower bound from This section includes a summary and Bangert, pers. comm. 2019). This trend Southall et al. (2007) retained. Marine discussion of the ways that components reflects the fact that more seals are mammal hearing groups and their of the specified activity may impact present in the Bay during the winter associated hearing ranges are provided marine mammals and their habitat. The foraging period than during the spring in Table 5. Estimated Take section later in this breeding season. Large concentrations of document includes a quantitative analysis of the number of individuals spawning Pacific herring (Clupea TABLE 5—MARINE MAMMAL HEARING pallasii) and migrating salmonids likely that are expected to be taken by this GROUPS (NMFS, 2018) attract seals into the Bay during the activity. The Negligible Impact Analysis and Determination section considers the winter months (Greig and Allen 2015) Generalized hearing and may similarly increase harbor seal Hearing group range * content of this section, the Estimated numbers in the Estuary. Harbor seals Take section, and the Proposed forage for Pacific herring in eelgrass Low-frequency (LF) 7 Hz to 35 kHz Mitigation section, to draw conclusions beds in the winter (Schaeffer et al. cetaceans (baleen regarding the likely impacts of these 2007). There are no eelgrass beds in the whales). activities on the reproductive success or Estuary to attract foraging harbor seals. Mid-frequency (MF) 150 Hz to 160 kHz survivorship of individuals and how Please see the Marine Mammal cetaceans (dol- those impacts on individuals are likely Occurrence and Take Calculation and phins, toothed to impact marine mammal species or whales, beaked Estimation section for information on whales, bottlenose stocks. local occurrence in the project area. whales). Acoustic effects on marine mammals Pupping occurs from March through High-frequency (HF) 275 Hz to 160 kHz during the specified activity can occur May in central California (Codde and cetaceans (true por- from vibratory and impact pile driving. Allen 2018). Pups are weaned in four poises, Kogia, river The effects of underwater noise from weeks, most by mid-June (Codde and dolphins, Pacific Shops’ proposed activities have Allen 2018). Harbor seals molt from cephalorhynchid, the potential to result in Level B June through July (Codde and Allen Lagenorhynchus harassment of marine mammals in the 2018) and breed between late March and cruciger & L. action area. June (Greig and Allen 2015). The closest australis). Description of Sound Sources recognized harbor seal pupping site to Phocid pinnipeds 50 Hz to 86 kHz Alameda Marina is at Castro Rocks, (PW) (underwater) The marine soundscape is comprised (true seals). of both ambient and anthropogenic approximately 24.5 km (15.2 mi) from Otariid pinnipeds 60 Hz to 39 kHz the project area. (OW) (underwater) sounds. Ambient sound is defined as the all-encompassing sound in a given Marine Mammal Hearing (sea lions and fur seals). place and is usually a composite of Hearing is the most important sensory sound from many sources both near and modality for marine mammals * Represents the generalized hearing range far. The sound level of an area is for the entire group as a composite (i.e., all underwater, and exposure to species within the group), where individual defined by the total acoustical energy anthropogenic sound can have species’ hearing ranges are typically not as being generated by known and deleterious effects. To appropriately broad. Generalized hearing range chosen unknown sources. These sources may assess the potential effects of exposure based on ∼65 dB threshold from normalized include physical (e.g., waves, wind, composite audiogram, with the exception for to sound, it is necessary to understand lower limits for LF cetaceans (Southall et al. precipitation, earthquakes, ice, the frequency ranges marine mammals 2007) and PW pinniped (approximation). atmospheric sound), biological (e.g., are able to hear. Current data indicate sounds produced by marine mammals, that not all marine mammal species The pinniped functional hearing fish, and invertebrates), and have equal hearing capabilities (e.g., group was modified from Southall et al. anthropogenic sound (e.g., vessels, Richardson et al., 1995; Wartzok and (2007) on the basis of data indicating dredging, aircraft, construction). Ketten, 1999; Au and Hastings, 2008). that phocid species have consistently The sum of the various natural and To reflect this, Southall et al. (2007) demonstrated an extended frequency anthropogenic sound sources at any recommended that marine mammals be range of hearing compared to otariids, given location and time—which divided into functional hearing groups especially in the higher frequency range comprise ‘‘ambient’’ or ‘‘background’’ based on directly measured or estimated (Hemila¨ et al., 2006; Kastelein et al., sound—depends not only on the source hearing ranges on the basis of available 2009; Reichmuth and Holt, 2013). levels (as determined by current

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weather conditions and levels of SPLs generated during impact pile in dB. A TS can be permanent or biological and shipping activity) but driving of the same-sized pile (Oestman temporary. As described in NMFS also on the ability of sound to propagate et al. 2009). Rise time is slower, (2018), there are numerous factors to through the environment. In turn, sound reducing the probability and severity of consider when examining the propagation is dependent on the injury, and sound energy is distributed consequence of TS, including, but not spatially and temporally varying over a greater amount of time (Nedwell limited to, the signal temporal pattern properties of the water column and sea and Edwards 2002; Carlson et al. 2005). (e.g., impulsive or non-impulsive), floor, and is frequency-dependent. As a The likely or possible impacts of likelihood an individual would be result of the dependence on a large Pacific Shops’ proposed activity on exposed for a long enough duration or number of varying factors, ambient marine mammals could involve both to a high enough level to induce a TS, sound levels can be expected to vary non-acoustic and acoustic stressors. the magnitude of the TS, time to widely over both coarse and fine spatial Potential non-acoustic stressors could recovery (seconds to minutes or hours to and temporal scales. Sound levels at a result from the physical presence of the days), the frequency range of the given frequency and location can vary equipment and personnel; however, any exposure (i.e., spectral content), the by 10–20 dB from day to day impacts to marine mammals are hearing and vocalization frequency (Richardson et al. 1995). The result is expected to primarily be acoustic in range of the exposed species relative to that, depending on the source type and nature. Acoustic stressors include the signal’s frequency spectrum (i.e., its intensity, sound from the specified effects of heavy equipment operation how an animal uses sound within the activity may be a negligible addition to during pile installation and removal. frequency band of the signal; e.g., the local environment or could form a Acoustic Impacts Kastelein et al. 2014), and the overlap distinctive signal that may affect marine between the animal and the source (e.g., mammals. The introduction of anthropogenic spatial, temporal, and spectral). In-water construction activities noise into the aquatic environment from Permanent Threshold Shift (PTS)— associated with the project would pile driving and removal is the primary NMFS defines PTS as a permanent, include impact pile driving, vibratory means by which marine mammals may irreversible increase in the threshold of pile driving, and vibratory pile removal. be harassed from Pacific Shops’ audibility at a specified frequency or The sounds produced by these activities specified activity. In general, animals portion of an individual’s hearing range fall into one of two general sound types: exposed to natural or anthropogenic above a previously established reference Impulsive and non-impulsive. sound may experience physical and level (NMFS 2018). Available data from Impulsive sounds (e.g., explosions, psychological effects, ranging in humans and other terrestrial mammals gunshots, sonic booms, impact pile magnitude from none to severe indicate that a 40 dB threshold shift driving) are typically transient, brief (Southall et al. 2007). In general, approximates PTS onset (see Ward et al. (less than 1 second), broadband, and exposure to pile driving and removal 1958, 1959; Ward 1960; Kryter et al. consist of high peak sound pressure noise has the potential to result in 1966; Miller 1974; Ahroon et al. 1996; with rapid rise time and rapid decay auditory threshold shifts and behavioral Henderson et al. 2008). PTS levels for (ANSI 1986; NIOSH 1998; ANSI 2005; reactions (e.g., avoidance, temporary marine mammals are estimates, as with NMFS 2018a). Non-impulsive sounds cessation of foraging and vocalizing, the exception of a single study (e.g. aircraft, machinery operations such changes in dive behavior). Exposure to unintentionally inducing PTS in a as drilling or dredging, vibratory pile anthropogenic noise can also lead to harbor seal (Kastak et al. 2008), there are driving, and active sonar systems) can non-observable physiological responses no empirical data measuring PTS in be broadband, narrowband or tonal, such an increase in stress hormones. marine mammals largely due to the fact brief or prolonged (continuous or Additional noise in a marine mammal’s that, for various ethical reasons, intermittent), and typically do not have habitat can mask acoustic cues used by experiments involving anthropogenic the high peak sound pressure with raid marine mammals to carry out daily noise exposure at levels inducing PTS rise/decay time that impulsive sounds functions such as communication and are not typically pursued or authorized do (ANSI 1995; NIOSH 1998; NMFS predator and prey detection. The effects (NMFS 2018). 2018a). The distinction between these of pile driving and removal noise on Temporary Threshold Shift (TTS)—A two sound types is important because marine mammals are dependent on temporary, reversible increase in the they have differing potential to cause several factors, including, but not threshold of audibility at a specified physical effects, particularly with regard limited to, sound type (e.g., impulsive frequency or portion of an individual’s to hearing (e.g., Ward 1997 in Southall vs. non-impulsive), the species, age and hearing range above a previously et al. 2007). sex class (e.g., adult male vs. mom with established reference level (NMFS Two types of pile hammers would be calf), duration of exposure, the distance 2018). Based on data from cetacean TTS used on this project: Impact and between the pile and the animal, measurements (see Southall et al. 2007), vibratory. Impact hammers operate by received levels, behavior at time of a TTS of 6 dB is considered the repeatedly dropping a heavy piston onto exposure, and previous history with minimum threshold shift clearly larger a pile to drive the pile into the substrate. exposure (Wartzok et al. 2004; Southall than any day-to-day or session-to- Sound generated by impact hammers is et al. 2007). Here we discuss physical session variation in a subject’s normal characterized by rapid rise times and auditory effects (threshold shifts) hearing ability (Schlundt et al. 2000; high peak levels, a potentially injurious followed by behavioral effects and Finneran et al. 2000, 2002). As combination (Hastings and Popper potential impacts on habitat. described in Finneran (2015), marine 2005). Vibratory hammers install piles NMFS defines a noise-induced mammal studies have shown the by vibrating them and allowing the threshold shift (TS) as a change, usually amount of TTS increases with weight of the hammer to push them into an increase, in the threshold of cumulative sound exposure level the sediment. Vibratory hammers audibility at a specified frequency or (SELcum) in an accelerating fashion: At produce significantly less sound than portion of an individual’s hearing range low exposures with lower SELcum, the impact hammers. Peak sound pressure above a previously established reference amount of TTS is typically small and levels (SPLs) may be 180 dB or greater, level (NMFS 2018). The amount of the growth curves have shallow slopes. but are generally 10 to 20 dB lower than threshold shift is customarily expressed At exposures with higher SELcum, the

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growth curves become steeper and ensonified area and not remaining for involving marine mammal behavioral approach linear relationships with the extended periods of time, the potential responses to sound. noise SEL. for TS declines. Disruption of feeding behavior can be Depending on the degree (elevation of Behavioral Harassment—Exposure to difficult to correlate with anthropogenic threshold in dB), duration (i.e., recovery noise from pile driving and removal also sound exposure, so it is usually inferred time), and frequency range of TTS, and has the potential to behaviorally disturb by observed displacement from known the context in which it is experienced, marine mammals. Available studies foraging areas, the appearance of TTS can have effects on marine show wide variation in response to secondary indicators (e.g., bubble nets mammals ranging from discountable to underwater sound; therefore, it is or sediment plumes), or changes in dive serious (similar to those discussed in difficult to predict specifically how any behavior. As for other types of auditory masking, below). For example, given sound in a particular instance behavioral response, the frequency, a marine mammal may be able to readily might affect marine mammals duration, and temporal pattern of signal compensate for a brief, relatively small perceiving the signal. If a marine presentation, as well as differences in amount of TTS in a non-critical mammal does react briefly to an species sensitivity, are likely frequency range that takes place during underwater sound by changing its contributing factors to differences in a time when the animal is traveling behavior or moving a small distance, the response in any given circumstance through the open ocean, where ambient impacts of the change are unlikely to be (e.g., Croll et al. 2001; Nowacek et al. noise is lower and there are not as many significant to the individual, let alone 2004; Madsen et al. 2006; Yazvenko et competing sounds present. the stock or population. However, if a al. 2007). A determination of whether Alternatively, a larger amount and sound source displaces marine foraging disruptions incur fitness longer duration of TTS sustained during mammals from an important feeding or consequences would require time when communication is critical for breeding area for a prolonged period, information on or estimates of the successful mother/calf interactions impacts on individuals and populations energetic requirements of the affected could have more serious impacts. We could be significant (e.g., Lusseau and individuals and the relationship note that reduced hearing sensitivity as Bejder 2007; Weilgart 2007; NRC 2005). between prey availability, foraging effort a simple function of aging has been and success, and the life history stage of Disturbance may result in changing observed in marine mammals, as well as the animal. durations of surfacing and dives, humans and other taxa (Southall et al. Stress responses—An animal’s number of blows per surfacing, or 2007), so we can infer that strategies perception of a threat may be sufficient exist for coping with this condition to moving direction and/or speed; to trigger stress responses consisting of some degree, though likely not without reduced/increased vocal activities; some combination of behavioral cost. changing/cessation of certain behavioral responses, autonomic nervous system Currently, TTS data only exist for four activities (such as socializing or responses, neuroendocrine responses, or species of cetaceans (bottlenose feeding); visible startle response or immune responses (e.g., Seyle 1950; dolphin, beluga whale (Delphinapterus aggressive behavior (such as tail/fluke Moberg 2000). In many cases, an leucas), harbor porpoise, and Yangtze slapping or jaw clapping); avoidance of animal’s first and sometimes most finless porpoise (Neophocoena areas where sound sources are located. economical (in terms of energetic costs) asiaeorientalis)) and five species of Pinnipeds may increase their haul out response is behavioral avoidance of the pinnipeds exposed to a limited number time, possibly to avoid in-water potential stressor. Autonomic nervous of sound sources (i.e., mostly tones and disturbance (Thorson and Reyff 2006). system responses to stress typically octave-band noise) in laboratory settings Behavioral responses to sound are involve changes in heart rate, blood (Finneran 2015). TTS was not observed highly variable and context-specific and pressure, and gastrointestinal activity. in trained spotted (Phoca largha) and any reactions depend on numerous These responses have a relatively short ringed (Pusa hispida) seals exposed to intrinsic and extrinsic factors (e.g., duration and may or may not have a impulsive noise at levels matching species, state of maturity, experience, significant long-term effect on an previous predictions of TTS onset current activity, reproductive state, animal’s fitness. (Reichmuth et al. 2016). In general, auditory sensitivity, time of day), as Neuroendocrine stress responses often harbor seals and harbor porpoises have well as the interplay between factors involve the hypothalamus-pituitary- a lower TTS onset than other measured (e.g., Richardson et al. 1995; Wartzok et adrenal system. Virtually all pinniped or cetacean species (Finneran al. 2003; Southall et al. 2007; Weilgart neuroendocrine functions that are 2015). Additionally, the existing marine 2007; Archer et al. 2010). Behavioral affected by stress—including immune mammal TTS data come from a limited reactions can vary not only among competence, reproduction, metabolism, number of individuals within these individuals but also within an and behavior—are regulated by pituitary species. No data are available on noise- individual, depending on previous hormones. Stress-induced changes in induced hearing loss for mysticetes. For experience with a sound source, the secretion of pituitary hormones have summaries of data on TTS in marine context, and numerous other factors been implicated in failed reproduction, mammals or for further discussion of (Ellison et al. 2012), and can vary altered metabolism, reduced immune TTS onset thresholds, please see depending on characteristics associated competence, and behavioral disturbance Southall et al. (2007), Finneran and with the sound source (e.g., whether it (e.g., Moberg 1987; Blecha 2000). Jenkins (2012), Finneran (2015), and is moving or stationary, number of Increases in the circulation of Table 5 in NMFS (2018). Installing piles sources, distance from the source). In glucocorticoids are also equated with requires a combination of impact pile general, pinnipeds seem more tolerant stress (Romano et al., 2004). driving and vibratory pile driving. For of, or at least habituate more quickly to, The primary distinction between the project, these activities would not potentially disturbing underwater sound stress (which is adaptive and does not occur at the same time and there would than do cetaceans, and generally seem normally place an animal at risk) and be pauses in activities producing the to be less responsive to exposure to ‘‘distress’’ is the cost of the response. sound during each day. Given these industrial sound than most cetaceans. During a stress response, an animal uses pauses and that many marine mammals Please see Appendices B–C of Southall glycogen stores that can be quickly are likely moving through the et al. (2007) for a review of studies replenished once the stress is alleviated.

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In such circumstances, the cost of the sensitivity, frequency range, critical short duration and would likely have stress response would not pose serious ratios, frequency discrimination, temporary impacts on marine mammal fitness consequences. However, when directional discrimination, age or TTS habitat through increases in underwater an animal does not have sufficient hearing loss), and existing ambient sound. Increased noise levels may affect energy reserves to satisfy the energetic noise and propagation conditions. acoustic habitat (see masking discussion costs of a stress response, energy Masking of natural sounds can result above) and adversely affect marine resources must be diverted from other when human activities produce high mammal prey in the vicinity of the functions. This state of distress will last levels of background sound at project area (see discussion below). until the animal replenishes its frequencies important to marine During impact and vibratory pile energetic reserves sufficient to restore mammals. Conversely, if the driving, elevated levels of underwater normal function. background level of underwater sound noise would ensonify the estuary where Relationships between these is high (e.g. on a day with strong wind both fish and mammals may occur and physiological mechanisms, animal and high waves), an anthropogenic could affect foraging success. behavior, and the costs of stress sound source would not be detectable as Additionally, marine mammals may responses are well-studied through far away as would be possible under avoid the area during construction, controlled experiments and for both quieter conditions and would itself be however, displacement due to noise is laboratory and free-ranging animals masked. expected to be temporary and is not (e.g., Holberton et al., 1996; Hood et al., Airborne Acoustic Effects—Pinnipeds expected to result in long-term effects to 1998; Jessop et al., 2003; Krausman et that occur near the project site could be the individuals or populations. al., 2004; Lankford et al., 2005). Stress exposed to airborne sounds associated A temporary and localized increase in responses due to exposure to with pile driving and removal that have turbidity near the seafloor would occur anthropogenic sounds or other stressors the potential to cause behavioral in the immediate area surrounding the and their effects on marine mammals harassment, depending on their distance area where piles are installed (and have also been reviewed (Fair and from pile driving activities. Cetaceans removed in the case of the temporary Becker 2000; Romano et al., 2002b) and, are not expected to be exposed to templates). The sediments on the sea more rarely, studied in wild populations airborne sounds that would result in floor will be disturbed during pile (e.g., Romano et al., 2002a). For harassment as defined under the driving; however, suspension will be example, Rolland et al. (2012) found MMPA. brief and localized and is unlikely to that noise reduction from reduced ship Airborne noise would primarily be an measurably affect marine mammals or traffic in the Bay of Fundy was issue for pinnipeds that are swimming their prey in the area. In general, associated with decreased stress in or hauled out near the project site turbidity associated with pile North Atlantic right whales. These and within the range of noise levels installation is localized to about a 25- other studies lead to a reasonable exceeding the acoustic thresholds. We foot (7.6-meter) radius around the pile expectation that some marine mammals recognize that pinnipeds in the water (Everitt et al. 1980). Cetaceans are not will experience physiological stress could be exposed to airborne sound that expected to be close enough to the pile responses upon exposure to acoustic may result in behavioral harassment driving areas to experience effects of stressors and that it is possible that when looking with their heads above turbidity, and any pinnipeds could some of these would be classified as water. Most likely, airborne sound avoid localized areas of turbidity. ‘‘distress.’’ In addition, any animal would cause behavioral responses Therefore, we expect the impact from experiencing TTS would likely also similar to those discussed above in increased turbidity levels to be experience stress responses (NRC, relation to underwater sound. For discountable to marine mammals and 2003), however distress is an unlikely instance, anthropogenic sound could do not discuss it further. result of this project based on cause hauled-out pinnipeds to exhibit In-Water Construction Effects on observations of marine mammals during changes in their normal behavior, such Potential Foraging Habitat previous, similar projects in the area. as reduction in vocalizations, or cause Masking—Sound can disrupt behavior them to temporarily abandon the area The proposed activities would not through masking, or interfering with, an and move further from the source. result in permanent impacts to habitats animal’s ability to detect, recognize, or However, these animals would used directly by marine mammals discriminate between acoustic signals of previously have been ‘taken’ because of except for the actual footprint of the interest (e.g., those used for intraspecific exposure to underwater sound above the project. The total seafloor area affected communication and social interactions, behavioral harassment thresholds, by pile installation and removal is a prey detection, predator avoidance, which are, in all cases, larger than those very small area compared to the vast navigation) (Richardson et al. 1995). associated with airborne sound. Thus, foraging area available to marine Masking occurs when the receipt of a the behavioral harassment of these mammals in the San Francisco Bay. At sound is interfered with by another animals is already accounted for in best, the impact area provides marginal coincident sound at similar frequencies these estimates of potential take. foraging habitat for marine mammals and at similar or higher intensity, and Therefore, we do not believe that and fish, while the new pilings installed may occur whether the sound is natural authorization of incidental take would provide substrate for invertebrate (e.g., snapping shrimp, wind, waves, resulting from airborne sound for prey to settle on. precipitation) or anthropogenic (e.g., pinnipeds is warranted, and airborne Avoidance by potential prey (i.e., fish) pile driving, shipping, sonar, seismic sound is not discussed further here. of the immediate area due to the exploration) in origin. The ability of a temporary loss of this foraging habitat is noise source to mask biologically Marine Mammal Habitat Effects also possible. The duration of fish important sounds depends on the Pacific Shops’ construction activities avoidance of this area after pile driving characteristics of both the noise source could have localized, temporary impacts stops is unknown, but we anticipate a and the signal of interest (e.g., signal-to- on marine mammal habitat by rapid return to normal recruitment, noise ratio, temporal variability, increasing in-water sound pressure distribution and behavior. Any direction), in relation to each other and levels and slightly decreasing water behavioral avoidance by fish of the to an animal’s hearing abilities (e.g., quality. Construction activities are of disturbed area would still leave

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significantly large areas of more et al., 2001; Jorgenson and Gyselman, nursing, breeding, feeding, or sheltering preferable fish and marine mammal 2009; Cott et al., 2012). (Level B harassment). foraging habitat in the nearby vicinity in SPLs of sufficient strength have been Authorized takes would be by Level B San Francisco Bay. known to cause injury to fish and fish harassment only, in the form of disruption of behavioral patterns and/or Effects on Potential Prey mortality. However, in most fish species, hair cells in the ear TTS for individual marine mammals Sound may affect marine mammals continuously regenerate and loss of resulting from exposure to pile driving through impacts on the abundance, auditory function likely is restored and removal noise. Based on the nature behavior, or distribution of prey species when damaged cells are replaced with of the activity and the anticipated (e.g., crustaceans, cephalopods, fish, new cells. Halvorsen et al. (2012a) effectiveness of the mitigation measures zooplankton). Marine mammal prey showed that a TTS of 4–6 dB was (i.e., shutdown zones) discussed in varies by species, season, and location. recoverable within 24 hours for one detail below in the Proposed Mitigation Here, we describe studies regarding the species. Impacts would be most severe section, Level A harassment is neither effects of noise on known marine when the individual fish is close to the anticipated nor proposed to be mammal prey. source and when the duration of authorized. As described previously, no Fish utilize the soundscape and exposure is long. Injury caused by mortality is anticipated or proposed to components of sound in their barotrauma can range from slight to be authorized for this activity. environment to perform important severe and can cause death, and is most Below we describe how the take is functions such as foraging, predator likely for fish with swim bladders. estimated. avoidance, mating, and spawning (e.g., Generally speaking, we estimate take Barotrauma injuries have been Zelick et al., 1999; Fay, 2009). by considering: (1) Acoustic thresholds documented during controlled exposure Depending on their hearing anatomy above which NMFS believes the best to impact pile driving (Halvorsen et al., and peripheral sensory structures, available science indicates marine 2012b; Casper et al., 2013). which vary among species, fishes hear mammals will be behaviorally harassed sounds using pressure and particle The most likely impact to fish from or incur some degree of permanent motion sensitivity capabilities and pile driving activities at the project hearing impairment; (2) the area or detect the motion of surrounding water areas would be temporary behavioral volume of water that will be ensonified (Fay et al., 2008). The potential effects avoidance of the area. The duration of above these levels in a day; (3) the of noise on fishes depends on the fish avoidance of an area after pile density or occurrence of marine overlapping frequency range, distance driving stops is unknown, but a rapid mammals within these ensonified areas; from the sound source, water depth of return to normal recruitment, and, (4) and the number of days of exposure, and species-specific hearing distribution and behavior is anticipated. activities. We note that while these sensitivity, anatomy, and physiology. The area impacted by the project is basic factors can contribute to a basic Key impacts to fishes may include relatively small compared to the calculation to provide an initial behavioral responses, hearing damage, available habitat in the remainder of the prediction of takes, additional barotrauma (pressure-related injuries), Oakland Estuary and the San Francisco information that can qualitatively and mortality. Bay. Any behavioral avoidance by fish inform take estimates is also sometimes Fish react to sounds which are of the disturbed area would still leave available (e.g., previous monitoring especially strong and/or intermittent significantly large areas of fish and results or average group size). Below, we low-frequency sounds, and behavioral marine mammal foraging habitat in the describe the factors considered here in responses such as flight or avoidance nearby vicinity. As described in the more detail and present the proposed are the most likely effects. Short preceding, the potential for Pacific take estimate. duration, sharp sounds can cause overt Shops’ construction to affect the or subtle changes in fish behavior and availability of prey to marine mammals Acoustic Thresholds local distribution. The reaction of fish to or to meaningfully impact the quality of NMFS recommends the use of noise depends on the physiological state physical or acoustic habitat is acoustic thresholds that identify the of the fish, past exposures, motivation considered to be insignificant. received level of underwater sound (e.g., feeding, spawning, migration), and Estimated Take above which exposed marine mammals other environmental factors. Hastings would be reasonably expected to be and Popper (2005) identified several This section provides an estimate of behaviorally harassed (equated to Level studies that suggest fish may relocate to the number of incidental takes proposed B harassment) or to incur PTS of some avoid certain areas of sound energy. for authorization through this IHA, degree (equated to Level A harassment). Additional studies have documented which will inform both NMFS’ Level B Harassment for non-explosive effects of pile driving on fish, although consideration of ‘‘small numbers’’ and sources—Though significantly driven by several are based on studies in support the negligible impact determination. received level, the onset of behavioral of large, multiyear bridge construction Harassment is the only type of take disturbance from anthropogenic noise projects (e.g., Scholik and Yan, 2001, expected to result from these activities. exposure is also informed to varying 2002; Popper and Hastings, 2009). Except with respect to certain activities degrees by other factors related to the Several studies have demonstrated that not pertinent here, section 3(18) of the source (e.g., frequency, predictability, impulse sounds might affect the MMPA defines ‘‘harassment’’ as any act duty cycle), the environment (e.g., distribution and behavior of some of pursuit, torment, or annoyance, bathymetry), and the receiving animals fishes, potentially impacting foraging which (i) has the potential to injure a (hearing, motivation, experience, opportunities or increasing energetic marine mammal or marine mammal demography, behavioral context) and costs (e.g., Fewtrell and McCauley, stock in the wild (Level A harassment); can be difficult to predict (Southall et 2012; Pearson et al., 1992; Skalski et al., or (ii) has the potential to disturb a al., 2007, Ellison et al., 2012). Based on 1992; Santulli et al., 1999; Paxton et al., marine mammal or marine mammal what the available science indicates and 2017). However, some studies have stock in the wild by causing disruption the practical need to use a threshold shown no or slight reaction to impulse of behavioral patterns, including, but based on a factor that is both predictable sounds (e.g., Pena et al., 2013; Wardle not limited to, migration, breathing, and measurable for most activities,

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NMFS uses a generalized acoustic Pacific Shops’ proposed activity exposure to noise from two different threshold based on received level to includes the use of continuous types of sources (impulsive or non- estimate the onset of behavioral (vibratory pile driving) and impulsive impulsive). Pacific Shops’ proposed harassment. NMFS predicts that marine (impact pile driving) sources, and activity includes the use of impulsive mammals are likely to be behaviorally therefore the 120 and 160 dB re 1 mPa (impact pile driving) and non-impulsive harassed in a manner we consider Level (rms) are applicable. (vibratory pile driving) sources. B harassment when exposed to Level A harassment for non-explosive These thresholds are provided in the underwater anthropogenic noise above sources—NMFS’ Technical Guidance table below. The references, analysis, received levels of 120 dB re 1 mPa (rms) for Assessing the Effects of and methodology used in the (microPascal, root mean square) for Anthropogenic Sound on Marine development of the thresholds are continuous (e.g., vibratory pile-driving, Mammal Hearing (Version 2.0) described in NMFS 2018 Technical drilling) and above 160 dB re 1 mPa (Technical Guidance, 2018) identifies Guidance, which may be accessed at dual criteria to assess auditory injury https://www.fisheries.noaa.gov/ (rms) for non-explosive impulsive (e.g., (Level A harassment) to five different national/marine-mammal-protection/ seismic airguns) or intermittent (e.g., marine mammal groups (based on marine-mammal-acoustic-technical- scientific sonar) sources. hearing sensitivity) as a result of guidance.

TABLE 6—THRESHOLDS IDENTIFYING THE ONSET OF PERMANENT THRESHOLD SHIFT

PTS onset acoustic thresholds * Hearing group (Received Level) Impulsive Non-impulsive

Low-Frequency (LF) Cetaceans ...... Cell 1: Lpk,flat: 219 dB; LE,LF,24h: 183 dB; ...... Cell 2: LE,LF,24h: 199 dB Mid-Frequency (MF) Cetaceans ...... Cell 3: Lpk,flat: 230 dB; LE,MF,24h: 185 dB; ...... Cell 4: LE,MF,24h: 198 dB High-Frequency (HF) Cetaceans ...... Cell 5: Lpk,flat: 202 dB; LE,HF,24h: 155 dB ...... Cell 6: LE,HF,24h: 173 dB Phocid Pinnipeds (PW) (Underwater) ...... Cell 7: Lpk,flat: 218 dB; LE,PW,24h: 185 dB ...... Cell 8: LE,PW,24h: 201 dB Otariid Pinnipeds (OW) (Underwater) ...... Cell 9: Lpk,flat: 232 dB; LE,OW,24h: 203 dB ...... Cell 10: LE,OW,24h: 219 dB * Dual metric acoustic thresholds for impulsive sounds: Use whichever results in the largest isopleth for calculating PTS onset. If a non-impul- sive sound has the potential of exceeding the peak sound pressure level thresholds associated with impulsive sounds, these thresholds should also be considered. 2 Note: Peak sound pressure (Lpk) has a reference value of 1 μPa, and cumulative sound exposure level (LE) has a reference value of 1μPa s. In this Table, thresholds are abbreviated to reflect American National Standards Institute standards (ANSI 2013). However, peak sound pressure is defined by ANSI as incorporating frequency weighting, which is not the intent for this Technical Guidance. Hence, the subscript ‘‘flat’’ is being included to indicate peak sound pressure should be flat weighted or unweighted within the generalized hearing range. The subscript associated with cumulative sound exposure level thresholds indicates the designated marine mammal auditory weighting function (LF, MF, and HF cetaceans, and PW and OW pinnipeds) and that the recommended accumulation period is 24 hours. The cumulative sound exposure level thresholds could be exceeded in a multitude of ways (i.e., varying exposure levels and durations, duty cycle). When possible, it is valuable for action proponents to indicate the conditions under which these acoustic thresholds will be exceeded.

Ensonified Area The project includes vibratory and from 140 dB to 169 dB. NMFS analyzed Here, we describe operational and impact pile installation and vibratory source measurements at different environmental parameters of the activity pile removal. Source levels of pile distances for all 63 individual timber that will feed into identifying the area installation and removal activities are piles that were removed at Pier 62 and ensonified above the acoustic based on reviews of measurements of normalized the values to 10 m. The thresholds, which include source levels the same or similar types and results showed that the median is 152 and transmission loss coefficient. dimensions of piles available in the dB SPLrms. The sound field in the project area is literature. Source levels for vibratory installation and removal of piles of the Pacific Shops will implement bubble the existing background noise plus curtains (e.g. pneumatic barrier additional construction noise from the same diameter are assumed the same. typically comprised of hosing or PVC proposed project. Marine mammals are Source levels for each pile size and piping that disrupts underwater noise expected to be affected via sound activity are presented in Table 7. generated by the primary components of The source level for vibratory removal propagation; see Mitigation section the project (i.e., impact pile driving and of timber piles is from in-water below) during impact pile driving of the vibratory pile driving and removal). The measurements generated by the wide flange beams, 30-inch steel pipe largest calculated Level B harassment Greenbusch Group (2018) from the piles, and 36-inch steel pipe piles. They zone is 21.5 km (13.4 mi), however, the Seattle Pier 62 project (83 FR 39709; have reduced the source level for these ZOI is functionally only 1.43 km2 (0.6 August 10, 2018). Hydroacoustic activities by 7dB (a conservative mi2) due to the geography of the monitoring results from Pier 62 estimate based on several studies Estuary. determined unweighted rms ranging including Austin et al., 2016).

TABLE 7—PROJECT SOUND SOURCE LEVELS

Source level @10m Pile type Source dB RMS dB peak dB SEL

VIBRATORY

16-in Timber (removal) ...... 152 ...... The Greenbusch Group, Inc 2018

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TABLE 7—PROJECT SOUND SOURCE LEVELS—Continued

Source level @10m Pile type Source dB RMS dB peak dB SEL

12-in Square Concrete (removal) ...... 155 ...... CalTrans 2015 (Based on 12-in steel pipe pile) Steel sheet pile ...... 160 ...... CalTrans 2015 (Based on 24-in AZ steel sheet) 30-in Steel Pipe ...... 170 ...... CalTrans 2015 (Based on 36-in steel pipe pile) 36-in Steel Pipe ...... 170 ...... CalTrans 2015 Wide Flange Beam ...... 155 ...... Based on 38-in x 18-in king piles at the Naval Station Mayport in Jacksonville, Florida

IMPACT

14-in Square Concrete ...... 166 185 155 CalTrans 2015 (Based on 18-inch concrete piles) 16-in Square Concrete ...... 166 185 155 CalTrans 2015 (Based on 18-inch concrete piles) 24-in Concrete piles ...... 176 188 166 CalTrans 2015 Wide Flange Beam (attenuated in paren- 194 (187) 207 (200) 178 (171) CalTrans 2015 theses). (Source levels based on 24-in steel pipe pile) 30-in Steel Pipe (attenuated in parentheses) 190 (183) 210 (203) 177 (170) CalTrans 2015 36-in Steel Pipe (attenuated in parentheses) 193 (186) 210 (203) 183 (176) CalTrans 2015

Transmission loss (TL) is the decrease TL = B * Log10 (R1/R2), transmission loss, a practical spreading in acoustic intensity as an acoustic where value of 15 is used as the transmission pressure wave propagates out from a TL = transmission loss in dB loss coefficient in the above formula. source. TL parameters vary with B = transmission loss coefficient Site-specific transmission loss data for frequency, temperature, sea conditions, R1 = the distance of the modeled SPL from Alameda Marina are not available, current, source and receiver depth, the driven pile, and therefore the default coefficient of 15 is water depth, water chemistry, and R2 = the distance from the driven pile of the used to determine the distances to the bottom composition and topography. initial measurement Level A and Level B harassment The general formula for underwater TL Absent site-specific acoustical thresholds. is: monitoring with differing measured

TABLE 8—PILE DRIVING SOURCE LEVELS AND DISTANCES TO LEVEL B HARASSMENT THRESHOLDS

Source level Level B Distance to at 10m harsasment level B Source μ threshold harassment (dB re 1 Pa (dB re 1 μPa threshold rms) rms) (m)

VIBRATORY

16-in Timber (removal) ...... 152 120 1,359 12-in Square Concrete (removal) ...... 155 ...... 2,154 Steel sheet pile ...... 160 ...... 4,642 30-in Steel Pipe ...... 170 ...... 21,544 36-in Steel Pipe ...... 170 ...... 21,544 Wide Flange Beam ...... 155 ...... 2,154

IMPACT

14-in Square Concrete ...... 166 160 25 16-in Square Concrete ...... 166 ...... 25 24-in Concrete piles ...... 176 ...... 117 Wide Flange Beam (attenuated) a ...... 194 (187) ...... b 631 30-in Steel Pipe (attenuated) a ...... 190 (183) ...... b 341 36-in Steel Pipe (attenuated) a ...... 193 (186) ...... b 541 a Includes 7dB reduction for use of bubble curtain. b Calculated using attenuated source level.

When the NMFS Technical Guidance the fact that ensonified area/volume to predict because of the duration (2016) was published, in recognition of could be more technically challenging component in the new thresholds, we

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developed a User Spreadsheet that to be overestimates of some degree, will qualitatively address the output includes tools to help predict a simple which may result in some degree of where appropriate. For stationary isopleth that can be used in conjunction overestimate of Level A harassment sources such has pile driving, NMFS with marine mammal density or take. However, these tools offer the best User Spreadsheet predicts the distance occurrence to help predict takes. We way to predict appropriate isopleths at which, if a marine mammal remained note that because of some of the when more sophisticated 3D modeling at that distance the whole duration of assumptions included in the methods methods are not available, and NMFS the activity, it would incur PTS. Inputs used for these tools, we anticipate that continues to develop ways to used in the User Spreadsheet, and the isopleths produced are typically going quantitatively refine these tools, and resulting isopleths are reported below.

TABLE 9—USER SPREADSHEET INPUT PARAMETERS USED FOR CALCULATING LEVEL A HARASSMENT ISOPLETHS

Weighting Duration to Distance from Pile size and Spreadsheet tab factor Source Number of drive a Number of Propagation source level installation method used adjustment level piles within single pile strikes per (xLogR) measurement (kHz) 24-h period (minutes) pile (meters)

16-in Timber (re- A.1) Vibratory pile 2.5 a 152 10 5 ...... 15 10 moval). driving. 12-in Square Con- ...... a 155 10 5 ...... crete (removal). Steel sheet pile ...... a 160 20 10 ...... 30-in Steel Pipe ...... a 170 1 10 ...... 36-in Steel Pipe ...... a 170 3 10 ...... Wide Flange Beam ...... a 155 4 10 ......

IMPACT

14-in Square Con- E.1) Impact pile 2 b 155 4 ...... 500 15 10 crete. driving. 16-in Square Con- ...... b 155 4 ...... crete. 24-in Concrete ...... b 166 4 ...... piles. Wide Flange Beam ...... bc171 4 ...... (attenuated). 30-in Steel Pipe ...... bc170 1 ...... (attenuated). 36-in Steel Pipe ...... bc176 3 ...... (attenuated). a dB RMS SPL at 10m b dB SEL at 10m c Includes 7dB reduction from use of bubble curtain.

TABLE 10—CALCULATED DISTANCES TO LEVEL A HARASSMENT ISOPLETHS

Level A—Radius to Isopleth (m) Source MF Cetaceans HF Cetaceans Phocids Otariids

VIBRATORY

16-in Timber (removal) ...... <1 1 <1 <1 12-in Square Concrete (removal) ...... <1 4 2 <1 Steel sheet pile ...... <1 3 1 <1 30-in Steel Pipe ...... <1 12 5 <1 36-in Steel Pipe ...... 2 25 10 <1 Wide Flange Beam ...... <1 3 1 <1

IMPACT

14-in Square Concrete ...... <1 26 12 <1 16-in Square Concrete ...... <1 26 12 <1 24-in Concrete piles ...... 4 139 62 5 Wide Flange Beam (attenuated) ...... 9 299 135 10 30-in Steel Pipe (attenuated) ...... 3 102 46 3 36-in Steel Pipe (attenuated) ...... 16 532 239 17

Marine Mammal Occurrence and Take or group dynamics of marine mammals provided above is brought together to Calculation and Estimation that will inform the take calculations. produce a quantitative take estimate. We describe how the information In this section we provide the information about the presence, density,

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Bottlenose Dolphin during that activity (Table 12). Given this activity is based on assumed Bottlenose dolphins began entering the small size of the Level A harassment accumulation of sound from driving San Francisco Bay in 2010 (Szczepaniak zones, the shutdown zones are expected three piles in a day. However, we do not 2013). They primarily occur in the to eliminate the potential for Level A expect a harbor porpoise to remain western Central and South Bay, from the harassment take of bottlenose dolphins. within the Level A harassment zone for Golden Gate Bridge to Oyster Point and Therefore, NMFS does not propose to a long enough period to incur PTS. Redwood City. However, one individual authorize Level A harassment take of Pacific Shops is planning to implement has been regularly seen in the Bay since bottlenose dolphins. a 400 m shutdown zone during that activity (Table 12), which includes the 2016 near the former Alameda Air Harbor Porpoise 11.7 m peak PTS isopleth. Pacific Shops Station (Perlman 2017; W. Keener, pers. Historically, harbor porpoise will provide a 3.8m high platform for comm. 2017), and five animals were primarily occur near the Golden Gate protected species observers (PSOs). regularly seen in the summer and fall of Bridge, Marin County, and the city of NMFS expects that the platform, in 2018 in the same location (W. Keener, San Francisco on the northwest side of combination with the anticipated ideal pers. comm. 2019). This area is on the the Bay (Keener et al. 2012, Stern et al. weather conditions, will allow PSOs to far side of Alameda Island from the 2017). However, in the summer of 2017 effectively observe harbor porpoises at Project area, approximately 6.8 mi (10.9 and 2018, mom-calf pairs and small 400 m. Therefore, the shutdown zones km) by water. groups (one to four individuals) were are expected to eliminate the potential There have been no formal surveys of seen to the north and west of Treasure for Level A harassment take of harbor marine mammals in the Estuary before Island, and just south of YBI (Caltrans porpoise, and NMFS does not propose 2019 (W. Keener, pers. comm, 2019), 2018a, 2019), indicating that their range to authorize Level A harassment take of and no known reports of bottlenose may be expanding within the Bay. harbor porpoise. dolphins in the Estuary between 2006 No formal surveys of marine and May 2019 (NMFS 2019a, 2019b). mammals were conducted in the California Sea Lion The two closest known sightings to the Estuary before 2019 (W. Keener, pers. There have been no formal surveys of project area were of a single dolphin on comm. 2019). The applicant conducted marine mammals in the Oakland one occasion and an adult and juvenile 30 hours of monitoring over four days Estuary before 2019 (W. Keener, pers. on another occasion in February 2019. in June 2019 at the project site, and did comm. 2019). The few sightings that Both sightings were on the edge of the not observe any harbor porpoises. Six have been recorded have been Inner Harbor Entrance Channel to the local frequent users of the Estuary opportunistic, including a sea lion northwest of the Estuary, approximately interviewed for this project reported observed in May 2017 in the small canal 5.8 mi (9.3 km) from the project area (W. never seeing a harbor porpoise in the that connects Lake Merritt with the Keener, pers. comm., 2019). Estuary. Between 2006 and June 2019, Estuary (Martichoux, 2017). Between Pacific Shops conducted 30 hours of one harbor porpoise stranded in the 2006 and May 2019, 18 confirmed sea monitoring over four days in June 2019 Estuary. The animal was in an advanced lion sightings in the Estuary were at the project site, and did not observe state of decomposition (NMFS 2019a), reported to TMMC and California any bottlenose dolphins. Additionally, indicating that it probably died outside Academy of Sciences (CAS) (NMFS six local frequent users of the Estuary of the Estuary and floated in. However, 2019a, 2019b), and between 2006 and interviewed for this project reported given their year-round residency in the June 2019, three sea lions stranded in never having seen a bottlenose dolphin Bay, their proximity to the work area, the Estuary (NMFS 2019a, 2019b). The in the Estuary. However, the applicant and their seemingly expanding range applicant conducted 30 hours of has requested the authorization of Level within the Bay, the applicant has monitoring over four days in June 2019 B harassment take of bottlenose requested the authorization of Level B at the project site, and observed one sea dolphins due to their year-round harassment take of harbor porpoise. lion near the project site, across the presence in the Bay, regular proximity Pacific Shops conservatively Estuary under the Coast Guard dock to the work area, and potential to enter estimates that a group of two harbor approximately 1130 ft (345 m) from the the Level B harassment zone while pile porpoises may occur in the project area Alameda Marina shoreline. Interviews driving or removal are underway. every 10 project days. NMFS concurs with local frequent users of the Estuary Pacific Shops conservatively that this approach is reasonable given confirm that sightings of sea lions are estimates that a group of two bottlenose the available information. Pacific Shops rare. Two people interviewed reported dolphins may occur in the project area has requested, and NMFS proposes to seeing one to two sea lions per year in every 10 project days. NMFS concurs authorize, 14 Level B harassment takes the Estuary. California sea lions forage that this approach is reasonable given of harbor porpoise during Year 1 (2 for Pacific herring in eelgrass beds in the available information. Pacific Shops individuals/10 days * 68 project days = the winter (Schaeffer et al. 2007), has requested, and NMFS proposes to 14 Level B harassment takes), and 20 however, there are no eelgrass beds in authorize, 14 Level B harassment takes Level B harassment takes of harbor the Estuary to attract foraging sea lions. of bottlenose dolphins during Year 1 (2 porpoise during Year 2 (2 individuals/ Pacific Shops conservatively individuals/10 days * 68 project days = 10 days * 98 project days = 20 Level B estimates that one California sea lion 14 Level B harassment takes), and 20 harassment takes). may occur in the project area every five Level B harassment takes of bottlenose The largest Level A harassment zone project days. NMFS concurs that this dolphins during Year 2 (2 individuals/ for high-frequency cetaceans extends approach is reasonable given the 10 days * 98 project days = 20 Level B 532 m from the source during impact available information. Therefore Pacific harassment takes). pile driving of 36-in steel pipe piles Shops has requested, and NMFS The largest Level A harassment zone (Table 10). This largest zone is only proposes to authorize, 14 Level B for mid-frequency cetaceans extends 16 relevant for impact pile driving of the harassment takes of California sea lion m from the source during impact pile 36-inch piles, which would only occur during Year 1 (1 individual/5 days * 68 driving of 36-in steel pipe piles (Table on a maximum of three days between project days = 14 Level B harassment 10). Pacific Shops is planning to both project years. Additionally, the takes), and 20 Level B harassment takes implement a 25m shutdown zone calculated Level A harassment zone for of California sea lion during Year 2 (1

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individual/5 days * 98 project days = 20 not observe any elephant seals. seals haul out each day; more animals Level B harassment takes). Interviews with frequent users of the are present in the winter during the The largest Level A harassment zone Estuary also reported they had never herring run. However, based on for otariids extends 17 m from the seen an elephant seal in the Estuary. observations at the Alameda Marina, we source during impact pile driving of 36- However, to account for the possible do not expect the counts at the Alameda in steel pipe piles (Table 10). Pacific rare presence of the species in the action Breakwater to be representative of Shops is planning to implement a 25 m area, NMFS proposes to authorize six harbor seal presence in the project area. shutdown zone during that activity Level B harassment takes of northern Between 2006 and June 2019, only (Table 12). Given the small size of the elephant seal during Year 1, and nine two harbor seals stranded in the Estuary Level A harassment zones, we expect Level B harassment takes of northern (NMFS 2019a, 2019b). In August 2017 a the shutdown zones to eliminate the elephant seal during Year 2. harbor seal was seen in Lake Merritt, potential for Level A harassment take of The largest Level A harassment zone after transiting through the Estuary California sea lion. Therefore, NMFS for phocids extends 239 m from the (Martichoux 2017). Grigg et al. (2012) does not propose to authorize Level A source during impact pile driving of 36- tagged 19 harbor seals at Castro Rocks, harassment take of California sea lion. in steel pipe piles (Table 10). Pacific approximately 15.2 mi (24.5 km) north- Shops is planning to implement a 240 Northern Fur Seal northeast of the project area. Although m shutdown zone during that activity some ranged as far as the South Bay, There are no available density (Table 12). Given the small size of the approximately 39 mi (63 km) from estimates of northern fur seals in the Level A harassment zones, we expect Castro Rocks, none were recorded in the project area, and northern fur seals have the shutdown zones to eliminate the Estuary (Grigg et al. 2012). not been reported in the Estuary (NMFS potential for Level A harassment take of Pacific Shops conservatively 2019b). The applicant conducted 30 northern elephant seal. Therefore, estimates that one harbor seal may enter hours of monitoring over four days in NMFS does not propose to authorize the project area per project day. NMFS June 2019 at the project site and did not Level A harassment take of northern concurs that this approach is reasonable observe any fur seals. Between 2006 and elephant seal. May 2019 there were no reports of given the available information. Harbor Seal stranded fur seals in the Estuary (NMFS Therefore, Pacific Shops has requested, 2019a, 2019b). Interviews with frequent There have been no formal surveys of and NMFS proposes to authorize, 68 marine mammals in the Estuary before Level B harassment takes of harbor seal users of the Estuary also reported they × had never seen a fur seal in the Estuary. 2019 (W. Keener, pers. comm. 2019), in Year 1 (1 harbor seal per day 68 However, to account for the possible and the few recorded harbor seal project days = 68 Level B harassment rare presence of the species in the action sightings have been opportunistic. The takes), and 98 Level B harassment takes applicant conducted 30 hours of of harbor seal in Year 2 (1 harbor seal area, NMFS proposes to authorize six × Level B harassment takes of northern fur monitoring over four days in June 2019 per day 98 project days = 98 Level B seal during Year 1, and nine Level B at the project site and did not observe harassment takes). harassment takes of northern fur seal any harbor seals. A local recreational The largest Level A harassment zone during Year 2. boater who lives on his boat full-time in for phocids extends 239 m from the The largest Level A harassment zone the existing Alameda Marina reported source during impact pile driving of 36- for otariids extends 17 m from the seeing a harbor seal approximately in steel pipe piles (Table 10). This source during impact pile driving of 36- twice a week throughout 2019 (G. Dees, largest zone is only relevant for impact in steel pipe piles (Table 10). Pacific pers. comm. 2019). Another recreational pile driving of the 36-inch piles, which Shops is planning to implement a 25 m boater who is occasionally on her boat would occur on a maximum of three shutdown zone during that activity in Alameda Marina reported a harbor days between both project years. (Table 12). Given the small size of the seal in the marina on five days in Additionally, the calculated Level A Level A harassment zones, we expect August through October, 2019 (T. Drake, harassment zone for this activity is the shutdown zones to eliminate the pers. comm. 2019). This respondent also based on assumed accumulation of potential for Level A harassment take of reported that a single harbor seal sound from driving three piles in a day. northern fur seal. Therefore, NMFS does occasionally hauled out on the marina However, we do not expect a harbor seal not propose to issue Level A harassment docks for several hours. Two staff to remain within the Level A take of northern fur seal. members of a local marina reported an harassment zone for a long enough average of two harbor seals per month period to incur PTS. Pacific Shops is Northern Elephant Seal in the Estuary. There were only four planning to implement a 240 m There are no available density confirmed harbor seal sightings reported shutdown zone during impact pile estimates of northern elephant seals in in the Estuary to TMMC and CAS driving of the 36-inch piles (Table 12), the project area. Generally, only juvenile between 2006 and May 2019 (NMFS and there is no peak PTS isopleth for elephant seals enter the Bay seasonally 2019a, 2019b), and a dead harbor seal at phocids. Additionally, as noted and do not remain long if they are Pier 2 in the existing Alameda Marina previously, PSOs would be observing healthy. From mid-February to the end on October 27, 2019 (T. Drake, pers. from a 3.8 m high platform which of June, TMMC reports the most comms. 2019). would further increase their ability to strandings, primarily of malnourished The number of harbor seals hauled detect harbor seals within this zone. juveniles (TMMC, 2019). However, no out on a floating platform at the Therefore, the shutdown zones are elephant seals, alive or stranded, have Alameda Breakwater, approximately 7.8 expected to eliminate the potential for been reported in the Estuary (NMFS mi (12.6 km) from the Project area, has Level A harassment take of harbor seal, 2019a, 2019b). The applicant conducted been recorded almost every day since and NMFS does not propose to 30 hours of monitoring over four days March 2014 (M. Klein and R. Bangert, authorize Level A harassment take of in June 2019 at the project site and did pers. comm. 2019). Between zero and 75 harbor seal.

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TABLE 11—ESTIMATED TAKE BY LEVEL B HARASSMENT, BY SPECIES AND STOCK

Year 1 Year 2 level B level B Stock harassment harassment Common name Stock abundance take take (percent of (percent of stock) stock)

Bottlenose Dolphin ...... California Coastal ...... 453 14 (3.1) 20 (4.4) Harbor Porpoise ...... San Francisco/Russian River ...... 9,886 14 (0.1) 20 (0.2) California Sea Lion ...... United States ...... 257,606 14 (0.01) 20 (0.01) Northern Fur Seal ...... California ...... 14,050 6 (0.04) 9 (0.06) Eastern North Pacific ...... 620,660 (<0.01) (<0.01) Northern Elephant Seal ...... California Breeding ...... 179,000 6 (<0.01) 9 (<0.01) Harbor Seal ...... California ...... 30,968 68 (0.2) 98 (0.3)

Proposed Mitigation accomplishing the mitigating result if installation/removal will shut down In order to issue an IHA under implemented as planned), the immediately if such species are Section 101(a)(5)(D) of the MMPA, likelihood of effective implementation observed within or entering the Level B NMFS must set forth the permissible (probability implemented as planned), harassment zone; and • methods of taking pursuant to the and; If take reaches the authorized limit activity, and other means of effecting (2) the practicability of the measures for an authorized species, pile the least practicable impact on the for applicant implementation, which installation will be stopped as these species or stock and its habitat, paying may consider such things as cost, species approach the Level B particular attention to rookeries, mating impact on operations, and, in the case harassment zone to avoid additional grounds, and areas of similar of a military readiness activity, take. significance, and on the availability of personnel safety, practicality of The following mitigation measures the species or stock for taking for certain implementation, and impact on the would apply to Pacific Shops’ in-water subsistence uses (latter not applicable effectiveness of the military readiness construction activities. for this action). NMFS regulations activity. • Establishment of Shutdown require applicants for incidental take In addition to the measures described Zones—Pacific Shops will establish authorizations to include information later in this section, Pacific Shops will shutdown zones for all pile driving and about the availability and feasibility employ the following mitigation removal activities. The purpose of a (economic and technological) of measures: shutdown zone is generally to define an equipment, methods, and manner of • For in-water heavy machinery work area within which shutdown of the conducting the activity or other means other than pile driving (e.g., standard activity would occur upon sighting of a of effecting the least practicable adverse barges, etc.), if a marine mammal comes marine mammal (or in anticipation of an impact upon the affected species or within 10 m, operations shall cease and animal entering the defined area). stocks and their habitat (50 CFR vessels shall reduce speed to the Shutdown zones will vary based on the 216.104(a)(11)). minimum level required to maintain activity type and marine mammal In evaluating how mitigation may or steerage and safe working conditions. hearing group (Table 5). The largest may not be appropriate to ensure the This type of work could include the shutdown zones are generally for high least practicable adverse impact on following activities: (1) Movement of the frequency cetaceans, as shown in Table species or stocks and their habitat, as barge to the pile location; or (2) 12. well as subsistence uses where positioning of the pile on the substrate • The placement of PSOs during all applicable, we carefully consider two via a crane (i.e., stabbing the pile); pile driving and removal activities primary factors: • Conduct briefings between (described in detail in the Proposed (1) The manner in which, and the construction supervisors and crews and Monitoring and Reporting section) will degree to which, the successful the marine mammal monitoring team ensure that the entire shutdown zone is implementation of the measure(s) is prior to the start of all pile driving visible during pile installation. Should expected to reduce impacts to marine activity and when new personnel join environmental conditions deteriorate mammals, marine mammal species or the work, to explain responsibilities, such that marine mammals within the stocks, and their habitat. This considers communication procedures, marine entire shutdown zone would not be the nature of the potential adverse mammal monitoring protocol, and visible (e.g., fog, heavy rain), pile impact being mitigated (likelihood, operational procedures; driving and removal must be delayed scope, range). It further considers the • For those marine mammals for until the PSO is confident marine likelihood that the measure will be which Level B harassment take has not mammals within the shutdown zone effective if implemented (probability of been requested, in-water pile could be detected.

TABLE 12—SHUTDOWN ZONES DURING PILE INSTALLATION AND REMOVAL

Shutdown zone (m) Source MF cetaceans HF cetaceans Phocids Otariids

VIBRATORY

16-in Timber (removal) ...... 10 10 10 10 12-in Square Concrete (removal).

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TABLE 12—SHUTDOWN ZONES DURING PILE INSTALLATION AND REMOVAL—Continued

Shutdown zone (m) Source MF cetaceans HF cetaceans Phocids Otariids

Steel sheet pile. 30-in Steel Pipe ...... 25 36-in Steel Pipe. Wide Flange Beam ...... 10

IMPACT

14-in Square Concrete ...... 25 30 25 25 16-in Square Concrete. 24-in Concrete piles ...... 140 70 Wide Flange Beam ...... 300 140 30-in Steel Pipe ...... 140 70 36-in Steel Pipe ...... a 400 240 a This shutdown zone is smaller than the 532m Level A harassment zone. NMFS expects that PSOs will be able to monitor this zone more ef- fectively, and that the smaller zone will reduce unnecessary shutdowns while remaining sufficient to prevent Level A harassment.

• Monitoring for Level B harassment zone, activities may begin shall ensure 100 percent mudline Harassment—Pacific Shops will and Level B harassment take will be contact. No parts of the ring or other monitor the Level B harassment zones recorded. If the entire Level B objects shall prevent full mudline (areas where SPLs are equal to or exceed harassment zone is not visible at the contact. the 160 dB rms threshold for impact start of construction, pile driving Æ The bubble curtain shall be driving and the 120 dB rms threshold activities can begin. If work ceases for operated such that there is proper during vibratory pile driving) and the more than 30 minutes, the pre-activity (equal) balancing of air flow to all Level A harassment zones. Monitoring monitoring of the shutdown zones will bubblers. zones provide utility for observing by commence. Based on our evaluation of the establishing monitoring protocols for • Soft Start—Soft-start procedures are applicant’s proposed measures, as well areas adjacent to the shutdown zones. believed to provide additional as other measures considered by NMFS, Monitoring zones enable observers to be protection to marine mammals by NMFS has preliminarily determined aware of and communicate the presence providing warning and/or giving marine that the proposed mitigation measures of marine mammals in the project area mammals a chance to leave the area provide the means effecting the least outside the shutdown zone and thus prior to the hammer operating at full practicable impact on the affected prepare for a potential cease of activity capacity. For impact pile driving, species or stocks and their habitat, should the animal enter the shutdown contractors will be required to provide paying particular attention to rookeries, zone. Placement of PSOs on the an initial set of three strikes from the mating grounds, and areas of similar shorelines around Alameda Marina will hammer at reduced energy, followed by significance. allow PSOs to observe marine mammals a thirty-second waiting period. This within the Level B harassment zones. procedure will be conducted three times Proposed Monitoring and Reporting However, due to the large Level B before impact pile driving begins. Soft In order to issue an IHA for an harassment zones (Table 8), PSOs will start will be implemented at the start of activity, Section 101(a)(5)(D) of the not be able to effectively observe the each day’s impact pile driving and at MMPA states that NMFS must set forth entire zone. Therefore, Level B any time following cessation of impact requirements pertaining to the harassment exposures will be recorded pile driving for a period of thirty monitoring and reporting of such taking. and extrapolated based upon the minutes or longer. The MMPA implementing regulations at number of observed takes and the • Pile driving energy attenuator— 50 CFR 216.104 (a)(13) indicate that percentage of the Level B harassment Pacific Shops will use a marine pile- requests for authorizations must include zone that was not visible. driving energy attenuator (i.e., air the suggested means of accomplishing • Pre-activity Monitoring—Prior to bubble curtain system) during impact the necessary monitoring and reporting the start of daily in-water construction pile driving of the wide flange beams, that will result in increased knowledge activity, or whenever a break in pile 30-in steel pipe piles, and 36-inch steel of the species and of the level of taking driving/removal of 30 minutes or longer pipe piles. The use of sound attenuation or impacts on populations of marine occurs, PSOs will observe the shutdown will reduce SPLs and the size of the mammals that are expected to be and monitoring zones for a period of 30 zones of influence for Level A present in the proposed action area. minutes. The shutdown zone will be harassment and Level B harassment. Effective reporting is critical both to considered cleared when a marine Bubble curtains will meet the following compliance as well as ensuring that the mammal has not been observed within requirements: most value is obtained from the required the zone for that 30-minute period. If a Æ The bubble curtain must distribute monitoring. marine mammal is observed within the air bubbles around 100 percent of the Monitoring and reporting shutdown zone, a soft-start cannot piling perimeter for the full depth of the requirements prescribed by NMFS proceed until the animal has left the water column. should contribute to improved zone or has not been observed for 15 Æ The lowest bubble ring shall be in understanding of one or more of the minutes. When a marine mammal for contact with the mudline for the full following: which Level B harassment take is circumference of the ring, and the • Occurrence of marine mammal authorized is present in the Level B weights attached to the bottom ring species or stocks in the area in which

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take is anticipated (e.g., presence, • Sufficient training, orientation, or within 90 days after the completion of abundance, distribution, density). experience with the construction pile driving and removal activities. The • Nature, scope, or context of likely operation to provide for personal safety report will include an overall marine mammal exposure to potential during observations; description of work completed, a stressors/impacts (individual or • Writing skills sufficient to prepare a narrative regarding marine mammal cumulative, acute or chronic), through report of observations including but not sightings, and associated PSO data better understanding of: (1) Action or limited to the number and species of sheets. Specifically, the report must environment (e.g., source marine mammals observed; dates and include: characterization, propagation, ambient times when in-water construction • Dates and times (begin and end) of noise); (2) affected species (e.g., life activities were conducted; dates, times, all marine mammal monitoring. history, dive patterns); (3) co-occurrence and reason for implementation of • Construction activities occurring of marine mammal species with the mitigation (or why mitigation was not during each daily observation period, action; or (4) biological or behavioral implemented when required); and including how many and what type of context of exposure (e.g., age, calving or marine mammal behavior; and piles were driven or removed and by feeding areas). • Ability to communicate orally, by what method (i.e., impact or vibratory). • Individual marine mammal radio or in person, with project • Weather parameters and water responses (behavioral or physiological) personnel to provide real-time conditions during each monitoring to acoustic stressors (acute, chronic, or information on marine mammals period (e.g., wind speed, percent cover, cumulative), other stressors, or observed in the area as necessary. visibility, sea state). cumulative impacts from multiple Two PSOs will be employed during • The number of marine mammals stressors. all pile driving and removal activities. observed, by species, relative to the pile • How anticipated responses to PSO locations will provide an location and if pile driving or removal stressors impact either: (1) Long-term unobstructed view of all water within was occurring at time of sighting. fitness and survival of individual the shutdown zone, and as much of the • Age and sex class, if possible, of all marine mammals; or (2) populations, Level A and Level B harassment zones marine mammals observed. species, or stocks. as possible. PSO locations are as • • PSO locations during marine Effects on marine mammal habitat follows: mammal monitoring. (1) At the pile driving site or best (e.g., marine mammal prey species, • Distances and bearings of each vantage point practicable to monitor the acoustic habitat, or other important marine mammal observed to the pile shutdown zone; and physical components of marine being driven or removed for each (2) Best vantage point practicable to mammal habitat). sighting (if pile driving or removal was • observe the monitoring zone for each Mitigation and monitoring occurring at time of sighting). effectiveness. activity. • Monitoring will be conducted 30 Description of any marine mammal Visual Monitoring minutes before, during, and 30 minutes behavior patterns during observation, Marine mammal monitoring must be after pile driving/removal activities. In including direction of travel and conducted in accordance with the addition, observers shall record all estimated time spent within the Level A Marine Mammal Monitoring Plan, dated incidents of marine mammal and Level B harassment zones while the source was active. March 2020. Marine mammal occurrence, regardless of distance from • monitoring during pile driving and activity, and shall document any Number of individuals of each removal must be conducted by NMFS- behavioral reactions in concert with species (differentiated by month as approved PSOs in a manner consistent distance from piles being driven or appropriate) detected within the with the following: removed. Pile driving activities include monitoring zone, and estimates of • Independent PSOs (i.e., not the time to install or remove a single number of marine mammals taken, by construction personnel) who have no pile or series of piles, as long as the time species (a correction factor may be other assigned tasks during monitoring elapsed between uses of the pile driving applied to total take numbers, as appropriate). periods must be used; or drilling equipment is no more than • • Where a team of three or more PSOs thirty minutes. Detailed information about any are required, a lead observer or implementation of any mitigation monitoring coordinator must be Acoustic Monitoring triggered (e.g., shutdowns and delays), a designated. The lead observer must have Pacific Shops intends to conduct a description of specific actions that prior experience working as a marine sound source verification (SSV) study to ensued, and resulting behavior of the mammal observer during construction; confirm the sound source levels, animal, if any. • • Other PSOs may substitute transmission loss coefficient, and size of Description of attempts to education (degree in biological science the Level A and Level B harassment distinguish between the number of or related field) or training for zones. They intend to request a individual animals taken and the experience; and modification to the zones accordingly. number of incidences of take, such as • Pacific Shops must submit PSO CVs They will follow accepted ability to track groups or individuals. for approval by NMFS prior to the onset methodological standards to achieve • An extrapolation of the estimated of pile driving. their objectives. If NMFS approves the takes by Level B harassment based on PSOs must have the following results of the SSV study, we propose to the number of observed exposures additional qualifications: modify the zone sizes based on the within the Level B harassment zone and • Ability to conduct field approved data. Acoustic monitoring the percentage of the Level B observations and collect data according report requirements are listed in the harassment zone that was not visible. to assigned protocols; Reporting section, below. If no comments are received from • Experience or training in the field NMFS within 30 days, the draft report identification of marine mammals, Reporting will constitute the final report. If including the identification of A draft marine mammal monitoring comments are received, a final report behaviors; report will be submitted to NMFS addressing NMFS comments must be

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submitted within 30 days after receipt of v. If available, photographs or video of any given stock’s range. Take would comments. footage of the animal(s); and be limited to Level B harassment only Pacific Shops must include the vi. General circumstances under due to potential behavioral disturbance following information in their acoustic which the animal was discovered. and TTS. Effects on individuals that are monitoring report. taken by Level B harassment, on the • Negligible Impact Analysis and Hydrophone equipment and Determination basis of reports in the literature as well methods: Recording device, sampling as monitoring from other similar rate, distance (m) from the pile where NMFS has defined negligible impact activities, will likely be limited to recordings were made; depth of as an impact resulting from the reactions such as increased swimming recording device(s). specified activity that cannot be speeds, increased surfacing time, or • Type of pile being driven, substrate reasonably expected to, and is not decreased foraging (if such activity were type, method of driving during reasonably likely to, adversely affect the occurring) (e.g., Thorson and Reyff recordings, and if a sound attenuation species or stock through effects on 2006; HDR, Inc. 2012; Lerma 2014; ABR device is used. annual rates of recruitment or survival 2016). Level B harassment will be (50 CFR 216.103). A negligible impact • For impact pile driving: Pulse reduced to the level of least practicable finding is based on the lack of likely duration and mean, median, and adverse impact through use of adverse effects on annual rates of maximum sound levels (dB re: 1mPa): mitigation measures described herein. recruitment or survival (i.e., population- cumulative sound exposure level Further the amount of take proposed to level effects). An estimate of the number (SELcum), peak sound pressure level be authorized for any given stock is of takes alone is not enough information (SPLpeak), and single-strike sound extremely small when compared to on which to base an impact exposure level (SELs-s). stock abundance. • determination. In addition to Exposure to noise resulting in Level B For vibratory driving/removal: considering estimates of the number of Mean, median, and maximum sound harassment for all species is expected to marine mammals that might be ‘‘taken’’ be temporary and minor due to the levels (dB re: 1mPa): root mean square through harassment, NMFS considers sound pressure level (SPLrms), general lack of use of the Oakland other factors, such as the likely nature Estuary by marine mammals, as cumulative sound exposure level of any responses (e.g., intensity, (SELcum). previously explained. In general, marine duration), the context of any responses mammals are only occasionally sighted • Number of strikes (impact) or (e.g., critical reproductive time or within the Oakland Estuary. Any duration (vibratory) per pile measured, location, migration), as well as effects behavioral harassment occurring during one-third octave band spectrum and on habitat, and the likely effectiveness the project is highly unlikely to impact power spectral density plot. of the mitigation. We also assess the the health or fitness of any individuals, • Estimated source levels, number, intensity, and context of much less effect annual rates of transmission loss coefficient, and estimated takes by evaluating this recruitment or survival. Any harassment revised Level A and Level B harassment information relative to population would be brief, and if sound produced zones. status. Consistent with the 1989 by project activities is sufficiently In the event that personnel involved preamble for NMFS’s implementing disturbing, animals are likely to simply in the construction activities discover regulations (54 FR 40338; September 29, avoid the area while the activity is an injured or dead marine mammal, the 1989), the impacts from other past and occurring. IHA-holder must immediately cease the ongoing anthropogenic activities are As previously discussed, the closest specified activities and report the incorporated into this analysis via their harbor seal pupping area is 24.5 km incident to the Office of Protected impacts on the environmental baseline (15.2 mi) from the project area. Resources (OPR) (301–427–8401), (e.g., as reflected in the regulatory status However, there are no habitat areas of NMFS and to the West Coast Region of the species, population size and particular importance for marine stranding coordinator (562–980–3230) growth rate where known, ongoing mammals within the Oakland Estuary, as soon as feasible. If the death or injury sources of human-caused mortality, or and it is not preferred habitat for marine was clearly caused by the specified ambient noise levels). mammals. Therefore, we expect that activity, the IHA-holder must To avoid repetition, this introductory animals annoyed by project sound will immediately cease the specified discussion of our analyses applies to all simply avoid the area and use more- activities until NMFS is able to review of the species listed in Table 11, given preferred habitats, particularly as the the circumstances of the incident and that many of the anticipated effects of project would only occur on determine what, if any, additional this project on different marine mammal approximately 68 days in Year 1, and 98 measures are appropriate to ensure stocks are expected to be relatively days in Year 2, for up to approximately compliance with the terms of the IHA. similar in nature. Also, because the 9.5 hours per day. The IHA-holder must not resume their nature of the estimated takes anticipated The project is also not expected to activities until notified by NMFS. to occur are identical in Years 1 and 2, have significant adverse effects on The report must include the following and the number of estimated takes in affected marine mammals’ habitats. The information: each year are extremely similar, the project activities will not modify i. Time, date, and location (latitude/ analysis below applies to each of the existing marine mammal habitat for a longitude) of the first discovery (and IHAs. significant amount of time. The updated location information if known The nature of the pile driving project activities may cause some fish to leave and applicable); precludes the likelihood of serious the area of disturbance, thus temporarily ii. Species identification (if known) or injury or mortality, and the mitigation is impacting marine mammals’ foraging description of the animal(s) involved; expected to ensure that no Level A opportunities in a limited portion of the iii. Condition of the animal(s) harassment occurs, which would be foraging range; but, because of the short (including carcass condition if the unlikely to occur even absent the duration of the activities and the animal is dead); required mitigation. For all species and relatively small area of the habitat that iv. Observed behaviors of the stocks, take would occur within a may be affected, the impacts to marine animal(s), if alive; limited, confined area (Oakland Estuary) mammal habitat are not expected to

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cause significant or long-term negative Table 11 includes the number of takes Therefore, NMFS has determined that consequences. for each species proposed to be taken as formal consultation under section 7 of In summary and as described above, a result of activities in Year 1 and Year the ESA is not required for this action. the following factors primarily support 2 of this project. Our analysis shows Proposed Authorization our preliminary determination that the that less than one-third of the best impacts resulting from this activity are available population abundance As a result of these preliminary not expected to adversely affect the estimate of each stock could be taken by determinations, NMFS proposes to issue species or stock through effects on harassment during each project year. In two, one-year IHAs to Pacific Shops for annual rates of recruitment or survival: fact, for each stock, the take proposed conducting vibratory and impact pile • No mortality is anticipated or for authorization each year comprises driving in Alameda, CA beginning June authorized. less than five percent of the stock 2020 and June 2021, respectively, • No Level A harassment is abundance. The number of animals provided the previously mentioned anticipated or authorized. proposed to be taken for each stock mitigation, monitoring, and reporting • The number and intensity of discussed above would be considered requirements are incorporated. Drafts of anticipated takes by Level B harassment small relative to the relevant stock’s these proposed IHAs can be found at is relatively low for all stocks. abundances even if each estimated https://www.fisheries.noaa.gov/permit/ • No biologically important areas taking occurred to a new individual, incidental-take-authorizations-under- have been identified within the project which is an unlikely scenario. marine-mammal-protection-act. Year 1 IHA—Based on the analysis area. Request for Public Comments • For all species, the Oakland Estuary contained herein of the proposed is a very small part of their range. activity (including the proposed We request comment on our analyses, mitigation and monitoring measures) • For all species, proposed Level B the proposed authorization, and any and the anticipated take of marine harassment takes in each IHA would other aspect of this Notice of Proposed mammals, NMFS preliminarily finds affect less than five percent of each IHA for the proposed project. We also that small numbers of marine mammals stock. request at this time comment on the will be taken relative to the population Year 1 IHA—Based on the analysis potential Renewal of this proposed IHA size of the affected species or stocks in contained herein of the likely effects of as described in the paragraph below. Year 1 of the project. the specified activity on marine Please include with your comments any Year 2 IHA—Based on the analysis supporting data or literature citations to mammals and their habitat, and taking contained herein of the proposed into consideration the implementation help inform decisions on the request for activity (including the proposed this IHA or a subsequent Renewal IHA. of the required monitoring and mitigation and monitoring measures) mitigation measures, we find that the On a case-by-case basis, NMFS may and the anticipated take of marine issue a one-year Renewal IHA following total marine mammal take from Pacific mammals, NMFS preliminarily finds Stores’ construction activities will have notice to the public providing an that small numbers of marine mammals additional 15 days for public comments a negligible impact on the affected will be taken relative to the population marine mammal species or stocks. when (1) up to another year of identical size of the affected species or stocks in or nearly identical, or nearly identical, Year 2 IHA—Based on the analysis Year 2 of the project. contained herein of the likely effects of activities as described in the Specified the specified activity on marine Unmitigable Adverse Impact Analysis Activities section of this notice is mammals and their habitat, and taking and Determination planned or (2) the activities as described in the Specified Activities section of into consideration the implementation There are no relevant subsistence uses this notice would not be completed by of the required monitoring and of the affected marine mammal stocks or the time the IHA expires and a Renewal mitigation measures, we find that the species implicated by this action. would allow for completion of the total marine mammal take from the Therefore, NMFS has determined that activities beyond that described in the Pacific Stores’ construction activities the total taking of affected species or Dates and Duration section of this will have a negligible impact on the stocks would not have an unmitigable notice, provided all of the following affected marine mammal species or adverse impact on the availability of stocks. conditions are met: such species or stocks for taking for • subsistence purposes. A request for renewal is received no Small Numbers later than 60 days prior to the needed As noted above, only small numbers Endangered Species Act (ESA) Renewal IHA effective date (recognizing of incidental take may be authorized Section 7(a)(2) of the Endangered that the Renewal IHA expiration date under Sections 101(a)(5)(A) and (D) of Species Act of 1973 (ESA: 16 U.S.C. cannot extend beyond one year from the MMPA for specified activities other 1531 et seq.) requires that each Federal expiration of the initial IHA). than military readiness activities. The agency insure that any action it • The request for renewal must MMPA does not define small numbers authorizes, funds, or carries out is not include the following: so, in practice, where estimated likely to jeopardize the continued (1) An explanation that the activities numbers are available, NMFS compares existence of any endangered or to be conducted under the requested the number of individuals taken to the threatened species or result in the Renewal IHA are identical to the most appropriate estimation of destruction or adverse modification of activities analyzed under the initial abundance of the relevant species or designated critical habitat. To ensure IHA, are a subset of the activities, or stock in our determination of whether ESA compliance for the issuance of include changes so minor (e.g., an authorization is limited to small IHAs, NMFS consults internally reduction in pile size) that the changes numbers of marine mammals. whenever we propose to authorize take do not affect the previous analyses, Additionally, other qualitative factors for endangered or threatened species. mitigation and monitoring may be considered in the analysis, such No incidental take of ESA-listed requirements, or take estimates (with as the temporal or spatial scale of the species is proposed for authorization or the exception of reducing the type or activities. expected to result from this activity. amount of take).

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(2) A preliminary monitoring report the address listed above. Comments may DEPARTMENT OF DEFENSE showing the results of the required also be submitted by facsimile to (301) monitoring to date and an explanation 713–0376, or by email to Department of the Army showing that the monitoring results do [email protected]. Please not indicate impacts of a scale or nature include the File No. in the subject line Programmatic Environmental not previously analyzed or authorized. of the email comment. Assessment for Real Property Master • Upon review of the request for Those individuals requesting a public Plans on U.S. Army Installation Renewal, the status of the affected hearing should submit a written request Management Command Garrisons species or stocks, and any other to the Chief, Permits and Conservation AGENCY: Department of the Army, DoD. pertinent information, NMFS Division at the address listed above. The ACTION: Notice of availability; address determines that there are no more than request should set forth the specific correction. minor changes in the activities, the reasons why a hearing on this mitigation and monitoring measures application would be appropriate. SUMMARY: The mailing address to submit will remain the same and appropriate, FOR FURTHER INFORMATION CONTACT: written comments published in the and the findings in the initial IHA Malcolm Mohead or Erin Markin, (301) Federal Register on Friday, April 24, remain valid. 427–8401. 2020 (85 FR 23010) is incorrect. Written Dated: April 23, 2020. SUPPLEMENTARY INFORMATION: The comments will now be sent by mail to Donna S. Wieting, subject modification to Permit No. U.S. Army Environmental Command, Director, Office of Protected Resources, 20314, issued on March 29, 2017 (82 FR ATTN: Public Comments, 2455 National Marine Fisheries Service. 16996), is requested under the authority Reynolds Road, Bldg 2266, Joint Base [FR Doc. 2020–09033 Filed 4–28–20; 8:45 am] of the Endangered Species Act of 1973, San Antonio-Fort Sam Houston, TX 78234–7588 or by email to BILLING CODE 3510–22–P as amended (16 U.S.C. 1531 et seq.) and the regulations governing the taking, [email protected]. importing, and exporting of endangered FOR FURTHER INFORMATION CONTACT: U.S. DEPARTMENT OF COMMERCE and threatened species (50 CFR parts Army Environmental Command Public 222–226). Affairs Office at (210) 466–1590, toll- National Oceanic and Atmospheric Permit No. 20314 authorizes the free at (855) 846–3940, or at Administration permit holder to conduct scientific [email protected]. [RTID 0648–XA143] research on Atlantic sturgeon to identify SUPPLEMENTARY INFORMATION: None. the overall health of the Chesapeake Bay Brenda S. Bowen, Endangered Species; File No. 20314 discreet population segment, monitor reproductive success, spawning adult Army Federal Register Liaison Officer. AGENCY: National Marine Fisheries [FR Doc. 2020–09078 Filed 4–28–20; 8:45 am] Service (NMFS), National Oceanic and and juvenile abundance in tributaries, BILLING CODE 5061–AP–P Atmospheric Administration (NOAA), and evaluate movement patterns and Commerce. habitat preferences in and between tributaries of the Chesapeake Bay. ACTION: Notice; receipt of application for DEPARTMENT OF DEFENSE Sampling gear includes anchored/ a permit modification. floating gillnets and trawl nets. After Office of the Secretary SUMMARY: Notice is hereby given that capture, fish are externally tagged, the U.S. Fish and Wildlife Service, tissue sampled, measured, and weighed [Docket ID: DOD–2020–OS–0044] Virginia Fisheries Field Office, 11110 prior to release. A subset of fish are fin Kimages Road, Charles City, VA 23030 ray sampled and internally tagged with Proposed Collection; Comment (Responsible Party: Albert Spells), has acoustic devices. Early life stages of Request Atlantic sturgeon are lethally collected requested a modification to scientific AGENCY: to document occurrence of spawning in Office of the Under Secretary of research Permit No. 20314. Defense for Personnel & Readiness, DoD. DATES: Written, telefaxed, or email river systems. Up to two Atlantic ACTION: Information collection notice. comments must be received on or before sturgeon juvenile and one adult/sub- adult life stages may unintentionally die May 29, 2020. SUMMARY: In compliance with the during research annually. Due to an ADDRESSES: The modification request Paperwork Reduction Act of 1995, the increase in the abundance of juvenile and related documents are available for Office of the Under Secretary of Defense year classes of Atlantic sturgeon in the review by selecting ‘‘Records Open for for Personnel & Readiness announces a James River and to accommodate Public Comment’’ from the Features box proposed public information collection improvements in population abundance on the Applications and Permits for and seeks public comment on the and index estimates, the permit holder Protected Species (APPS) home page, provisions thereof. Comments are is requesting an increase in the numbers https://apps.nmfs.noaa.gov, and then invited on: whether the proposed of this juvenile life stage that may be selecting File No. 20314–04 from the list collection of information is necessary captured, marked, measured, weighed, of available applications. These for the proper performance of the photoed, and released from 100 to 500 documents are also available upon functions of the agency, including animals, annually. The permit expires written request or by appointment in the whether the information shall have March 31, 2027. Permits and Conservation Division, practical utility; the accuracy of the Office of Protected Resources, NMFS, Dated: April 23, 2020. agency’s estimate of the burden of the 1315 East-West Highway, Room 13705, Julia Marie Harrison, proposed information collection; ways Silver Spring, MD 20910; phone: (301) Chief, Permits and Conservation Division, to enhance the quality, utility, and 427–8401; fax: (301) 713–0376. Office of Protected Resources, National clarity of the information to be Written comments on this application Marine Fisheries Service. collected; and ways to minimize the should be submitted to the Chief, [FR Doc. 2020–09034 Filed 4–28–20; 8:45 am] burden of the information collection on Permits and Conservation Division, at BILLING CODE 3510–22–P respondents, including through the use

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of automated collection techniques or report voter registration and DEPARTMENT OF ENERGY other forms of information technology. participation rates from a more well- DATES: Consideration will be given to all defined subgroup of overseas civilians. Notice of The Stakeholder Meeting To comments received by June 29, 2020. Conducting this research will help Receive Input on the U.S. Department ADDRESSES: You may submit comments, FVAP meet its federal and congressional of Energy (DOE) Energy Storage Grand identified by docket number and title, mandates in terms of reporting annually Challenge (ESGC) Initiative by any of the following methods: on its activities and overall voter AGENCY: Office of Electricity, Federal eRulemaking Portal: http:// registration and participation rates after Department of Energy. www.regulations.gov. Follow the each Presidential election. The data ACTION: instructions for submitting comments. Amendment to notice of obtained through this study is also stakeholder meetings. Mail: Department of Defense, Office of intended to provide insights into the Chief Management Officer, existing barriers to UOCAVA voting and SUMMARY: This notice advises interested Directorate for Oversight and recommendations for addressing these persons that the DOE Research and Compliance, 4800 Mark Center Drive, challenges. In 2018, data from the 2016 Technology Investment Committee Mailbox #24, Suite 08D09, Alexandria, survey was used to identify the barriers (RTIC) Energy Storage Subcommittee VA 22350–1700. will hold stakeholder meetings for the Instructions: All submissions received that overseas citizens face in requesting, ESGC via a virtual platform. must include the agency name, docket casting and returning their ballots—and, number and title for this Federal along with the 2018 data, which is just DATES: The modified dates for these Register document. The general policy becoming available, will help shape meetings are as follows: • for comments and other submissions FVAP’s outreach to these voters in 2020 May 1st, 2020 from 11:30 a.m. to from members of the public is to make and beyond. The 2020 version of the 1:30 p.m. Eastern Daylight Time. • these submissions available for public OCPS will test awareness and efficacy of Any subsequent ESGC events will viewing on the internet at http:// these efforts. The survey also identified be announced at a later time via the www.regulations.gov as they are that overseas voters are more likely to events page found in the section below. received without change, including any avail themselves of electronic options ADDRESSES: These meetings will be held personal identifiers or contact when requesting their ballots (compared virtually via the WebEx platform. If you information. to active duty military, who rely more are interested in attending any of these meetings, please register at FOR FURTHER INFORMATION CONTACT: To often on postal mail). These results request more information on this guided changes to the 2020 survey, www.energy.gov/energy-storage-grand- proposed information collection or to which further probes this difference. challenge/events. obtain a copy of the proposal and Finally, the 2018 survey allows for a FOR FURTHER INFORMATION CONTACT: associated collection instruments, midterm-to-midterm comparison of the Vinod Siberry, U.S. Department of please contact Angela James, Office of overseas voting experience from 2014 to Energy, Office of Electricity, 1000 Information Management, Department 2018—and the 2020 version will permit Independence Avenue SW, Washington, of Defense, at 571–372–7574 or write to a similar comparison to the 2016 DC 20585–0121. Telephone: (202) 586– whs.mc-alex.esd.mbx.dd-dod- presidential election. 1207. For email please use rticstorage@ [email protected]. hq.doe.gov and in the subject line To obtain the necessary information, SUPPLEMENTARY INFORMATION: include ‘‘Further Information’’. In the the OCPS will use data collected from Title; Associated Form; and OMB body of the email please include your a sample of registered overseas civilian Number: Overseas Citizen Population name, organization, and contact Survey; OMB Control Number 0704– voters in conjunction with previous information, in addition to your 0539. country level estimates developed by question or inquiry. Needs and Uses: The primary FVAP research and establish a research SUPPLEMENTARY INFORMATION: The notice objective of the Overseas Citizen method to assist FVAP in reporting of this meeting was first published in Population Survey (OCPS), conducted voter registration and participation rates the Federal Register of February 19, on behalf of FVAP, is to refine FVAP’s for the 2020 election. 2020 in FR 2020–03231 on pages 9464– methodology for estimating the number Affected Public: Individuals or 9465. This Amendment is to inform the of overseas U.S. civilians who are Households. public that the meeting will be held eligible to vote and who have registered electronically only. Annual Burden Hours: 4,500 hours. and participated in the past. These Good Cause for Late Notice: This estimates are then used to address the Number of Respondents: 18,000. Amendment to Notice of public meeting question of whether the registration and Responses per Respondent: 1. is being published less than 15 days voting propensity of the overseas before the first meeting date of May 1, Annual Responses: 18,000. civilian population differs from that of 2020. There is good cause for this late comparable domestic or military Average Burden per Response: 15 notice. Specifically, travel restrictions populations. Subsequent to each minutes. affecting members of the RTIC Energy Presidential election year, FVAP must Frequency: Biennially. Storage Subcommittee related to the report to Congress voter registration and ongoing increase in COVID–19 cases participation rates for Uniformed Dated: April 23, 2020. have led the RTIC to conclude that, out Services voters and overseas citizens. Aaron T. Siegel, of an abundance of caution, an Previous attempts to collect information Alternate OSD Federal Register Liaison electronic meeting is appropriate. on the overseas citizen population to Officer, Department of Defense. The meeting is being moved to a identify and measure its voter [FR Doc. 2020–09054 Filed 4–28–20; 8:45 am] wholly electronic format in light of registration and participation rates in BILLING CODE 5001–06–P travel restrictions affecting members of Federal elections suffered from the RTIC Energy Storage Subcommittee significant bias; this effort is focused on and related to the ongoing increase in refining a well-established method to coronavirus (COVID–19) cases.

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Signing Authority ferc.gov) using the eLibrary link. Enter Management within the U.S. This document of the Department of the docket number excluding the last Department of the Interior. Energy was signed on April 23, 2020, by three digits in the docket number field In the EA, Commission staff analyzes Bruce J. Walker, Assistant Secretary, to access the document. At this time, the the potential environmental effects of Office of Electricity, pursuant to Commission has suspended access to the project and concludes that issuing a delegated authority from the Secretary the Commission’s Public Reference license for the project, with appropriate Room, due to the proclamation of Energy. That document with the environmental measures, would not declaring a National Emergency original signature and date is constitute a major federal action concerning the Novel Coronavirus maintained by DOE. For administrative significantly affecting the quality of the Disease (COVID–19), issued by the purposes only, and in compliance with human environment. requirements of the Office of the Federal President on March 13, 2020. For The Commission provides all Register, the undersigned DOE Federal assistance, contact the Federal Energy Register Liaison Officer has been Regulatory Commission at interested persons an opportunity to authorized to sign and submit the [email protected] or call view and/or print the EA via the document in electronic format for toll-free, (886) 208–3676 or TYY, (202) internet through the Commission’s publication, as an official document of 502–8659. Home Page (http://www.ferc.gov) using the Department of Energy. This The Commission strongly encourages the eLibrary link. Enter the docket administrative process in no way alters electronic filings of comments, protests number, excluding the last three digits the legal effect of this document upon and interventions in lieu of paper using in the docket number field, to access the publication in the Federal Register. the eFiling link at http://www.ferc.gov. document. At this time, the Commission Persons unable to file electronically may has suspended access to Commission’s Signed in Washington, DC, on April 24, mail similar pleadings to the Federal 2020. Public Reference Room, due to the Energy Regulatory Commission, 888 proclamation declaring a National Treena V. Garrett, First Street NE, Washington, DC 20426. Emergency concerning the Novel Federal Register Liaison Officer, U.S. Hand delivered submissions in Department of Energy. Coronavirus Disease (COVID–19), issued docketed proceedings should be by the President on March 13, 2020. For [FR Doc. 2020–09056 Filed 4–28–20; 8:45 am] delivered to Health and Human assistance, contact FERC Online BILLING CODE 6450–01–P Services, 12225 Wilkins Avenue, Support at FERCOnlineSupport@ Rockville, Maryland 20852. ferc.gov or toll-free at (866) 208–3676, or Comment Date: 5:00 p.m. Eastern DEPARTMENT OF ENERGY for TTY, (202) 502–8659. You may also Time on April 30, 2020. register online at http://www.ferc.gov/ Federal Energy Regulatory Dated: April 23, 2020. docs-filing/esubscription.asp to be Commission Nathaniel J. Davis, Sr., notified via email of new filings and [Docket No. NJ20–12–000] Deputy Secretary. issuances related to this or other [FR Doc. 2020–09094 Filed 4–28–20; 8:45 am] pending projects. For assistance, contact Oncor Electric Delivery Company LLC; BILLING CODE 6717–01–P FERC Online Support. Notice of Filing Any comments should be filed within 45 days from the date of this notice. Take notice that on April 9, 2020, the DEPARTMENT OF ENERGY Oncor Electric Delivery Company LLC The Commission strongly encourages submitted its tariff filing: Oncor TFO Federal Energy Regulatory electronic filing. Please file comments Tariff Rate Changes Effective March 26, Commission using the Commission’s eFiling system 2020 to be effective 3/26/2020. at http://www.ferc.gov/docs-filing/ Any person desiring to intervene or to [Project No. 14616–001] efiling.asp. Commenters can submit protest this filing must file in brief comments up to 6,000 characters, accordance with Rules 211 and 214 of Oregon State University; Notice of without prior registration, using the the Commission’s Rules of Practice and Availability of Environmental eComment system at http:// Procedure (18 CFR 385.211, 385.214). Assessment www.ferc.gov/docs-filing/ Protests will be considered by the ecomment.asp. You must include your Commission in determining the In accordance with the National name and contact information at the end appropriate action to be taken but will Environmental Policy Act of 1969 and of your comments. For assistance, not serve to make protestants parties to the Federal Energy Regulatory please contact FERC Online Support. In the proceeding. Any person wishing to Commission’s regulations, 18 CFR part lieu of electronic filing, please send a 380 (Order No. 486, 52 FR 47897), the become a party must file a notice of paper copy to: Secretary, Federal Energy intervention or motion to intervene, as Office of Energy Projects has reviewed Regulatory Commission, 888 First Street appropriate. Such notices, motions, or the application for a license to construct NE, Washington, DC 20426. The first protests must be filed on or before the and operate a wave energy test facility page of any filing should include docket comment date. On or before the for the PacWave South Hydrokinetic comment date, it is not necessary to Project (project) and has prepared an number P–14616–001. serve motions to intervene or protests Environmental Assessment (EA). Project For further information, contact Jim on persons other than the Applicant. facilities would be located on the Outer Hastreiter at (503) 552–2760 or In addition to publishing the full text Continental Shelf (OCS) in the Pacific [email protected]. of this document in the Federal Ocean, in state territorial waters off the Dated: April 23, 2020. Register, the Commission provides all coast of Newport, Oregon, and on state interested persons an opportunity to and private lands. The project would Nathaniel J. Davis, Sr., view and/or print the contents of this occupy 2.65 square miles (1,695 acres) Deputy Secretary. document via the internet through the on the OCS, administered through a [FR Doc. 2020–09093 Filed 4–28–20; 8:45 am] Commission’s Home Page (http:// lease by the Bureau of Ocean Energy BILLING CODE 6717–01–P

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DEPARTMENT OF ENERGY Docket Numbers: ER20–1313–000. Applicants: Silver Run Electric, LLC, Applicants: GridLiance High Plains PJM Interconnection, L.L.C. Federal Energy Regulatory LLC. Description: Compliance filing: Silver Commission Description: Annual Informational Run Electric, LLC submits revisions to Filing of Rate Year 2020 Projected Net OATT, Att. H–27 re: Order 864 to be Combined Notice of Filings #1 Transmission Revenue Requirement and effective 5/25/2020. Take notice that the Commission Rate Year 2018 True-Up Adjustment of Filed Date: 4/22/20. received the following exempt GridLiance High Plains LLC. Accession Number: 20200422–5177. wholesale generator filings: Filed Date: 3/16/20. Comments Due: 5 p.m. ET 5/13/20. Docket Numbers: EG20–130–000. Accession Number: 20200316–5183. Docket Numbers: ER20–1634–000. Applicants: Richmond Spider Solar, Comments Due: 5 p.m. ET 5/7/20. Applicants: PJM Interconnection, LLC. Docket Numbers: ER20–1417–001. L.L.C. Description: Richmond Spider Solar, Applicants: Roundhouse Renewable Description: § 205(d) Rate Filing: LLC submits a notice of self-certification Energy, LLC. Original ISA, Service Agreement No. of exempt wholesale generator status. Description: Tariff Amendment: 5616; Queue No. AD1–143 to be Filed Date: 4/21/20. Amendment to Roundhouse Renewable effective 3/26/2020. Accession Number: 20200422–0011. Energy, LLC Application for MBR Filed Date: 4/23/20. Comments Due: 5 p.m. ET 5/12/20. Authority to be effective 6/1/2020. Accession Number: 20200423–5034. Docket Numbers: EG20–131–000. Filed Date: 4/23/20. Comments Due: 5 p.m. ET 5/14/20. Applicants: Pleinmont Solar 1, LLC. Accession Number: 20200423–5039. Docket Numbers: ER20–1635–000. Description: Pleinmont Solar 1, LLC Comments Due: 5 p.m. ET 5/14/20. Applicants: Tri-State Generation and submits a notice of self-certification of Docket Numbers: ER20–1628–000. Transmission Association, Inc. exempt wholesale generator status. Applicants: Cedar Creek II, LLC. Description: § 205(d) Rate Filing: Filed Date: 4/21/20. Description: Initial rate filing: Amendment to Tri-State Rate Schedule Accession Number: 20200422–0010. Compliance Filing to be effective 3/19/ FERC No. 79 to be effective 3/11/2020. Comments Due: 5 p.m. ET 5/12/20. 2020. Filed Date: 4/23/20. Docket Numbers: EG20–132–000. Filed Date: 4/22/20. Accession Number: 20200423–5037. Applicants: Highlander IA, LLC. Accession Number: 20200422–5169. Comments Due: 5 p.m. ET 5/14/20. Description: Highlander IA, LLC Comments Due: 5 p.m. ET 5/13/20. submits a notice of self-certification of Docket Numbers: ER20–1636–000. Docket Numbers: ER20–1629–000. Applicants: Alabama Power exempt wholesale generator status. Filed Date: 4/22/20. Applicants: AES ES Alamitos, LLC. Company. Accession Number: 20200422–0012. Description: Baseline eTariff Filing: Description: § 205(d) Rate Filing: Comments Due: 5 p.m. ET 5/13/20. AES ES Alamitos MBR Application to Blackbear Alabama Solar 1 Amended Docket Numbers: EG20–133–000. be effective 6/22/2020. and Restated LGIA Filing to be effective Applicants: Pleinmont Solar 2, LLC. Filed Date: 4/22/20. 4/9/2020. Description: Pleinmont Solar 2, LLC Accession Number: 20200422–5175. Filed Date: 4/23/20. submits a notice of self-certification of Comments Due: 5 p.m. ET 5/13/20. Accession Number: 20200423–5045. exempt wholesale generator status. Docket Numbers: ER20–1630–000. Comments Due: 5 p.m. ET 5/14/20. Filed Date: 4/22/20. Applicants: Midcontinent Docket Numbers: ER20–1637–000. Accession Number: 20200422–0013. Independent System Operator, Inc.. Applicants: Southern California Comments Due: 5 p.m. ET 5/13/20. Description: § 205(d) Rate Filing: Edison Company. Docket Numbers: EG20–134–000. 2020–04–22_SA 3479 Ameren Illinois- Description: § 205(d) Rate Filing: Applicants: IP Aragorn, LLC. Boomtown Solar Energy GIA (J800) to be Amended LGIA Mojave 3/4/5 LLC SA Description: Notice of Self- effective 4/8/2020. No. 240 to be effective 6/23/2020. Certification of Exempt Wholesale Filed Date: 4/22/20. Filed Date: 4/23/20. Generator Status of IP Aragorn, LLC. Accession Number: 20200422–5161. Accession Number: 20200423–5060. Filed Date: 4/22/20. Comments Due: 5 p.m. ET 5/13/20. Comments Due: 5 p.m. ET 5/14/20. Accession Number: 20200422–5194. Docket Numbers: ER20–1631–000. Docket Numbers: ER20–1638–000. Comments Due: 5 p.m. ET 5/13/20. Applicants: AEP Oklahoma Applicants: Southern California Docket Numbers: EG20–135–000. Transmission Company, Inc. Edison Company. Applicants: IP Juno, LLC. Description: § 205(d) Rate Filing: Description: § 205(d) Rate Filing: Description: Notice of Self- AEPOTC-Wildhorse Wind Preliminary Amended LGIA Golden Fields Solar VI Certification of Exempt Wholesale Development Agreement Cancellation to SA No. 200 to be effective 4/24/2020. Generator Status of IP Juno, LLC. be effective 6/22/2020. Filed Date: 4/23/20. Filed Date: 4/22/20. Filed Date: 4/22/20. Accession Number: 20200423–5066. Accession Number: 20200422–5197. Comments Due: 5 p.m. ET 5/13/20. Accession Number: 20200422–5163. Comments Due: 5 p.m. ET 5/14/20. Comments Due: 5 p.m. ET 5/13/20. Docket Numbers: EG20–136–000. Docket Numbers: ER20–1639–000. Applicants: IP Titan, LLC. Docket Numbers: ER20–1632–000. Applicants: Southern California Description: Notice of Self- Applicants: PacifiCorp. Edison Company. Certification of Exempt Wholesale Description: § 205(d) Rate Filing: Description: Tariff Cancellation: Generator Status of IP Titan, LLC. Idaho Falls Procure & Construct for Notices of Cancellation SGIAs Monolith Filed Date: 4/22/20. Sugarmill-Paine to be effective 6/22/ 4–7 SA Nos. 201–204 to be effective 4/ Accession Number: 20200422–5200. 2020. 10/2020. Comments Due: 5 p.m. ET 5/13/20. Filed Date: 4/22/20. Filed Date: 4/23/20. Take notice that the Commission Accession Number: 20200422–5176. Accession Number: 20200423–5068. received the following electric rate Comments Due: 5 p.m. ET 5/13/20. Comments Due: 5 p.m. ET 5/14/20. filings: Docket Numbers: ER20–1633–000. Docket Numbers: ER20–1640–000.

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Applicants: Northern States Power DEPARTMENT OF ENERGY to access the document. At this time, the Company, a Minnesota corporation. Commission has suspended access to Federal Energy Regulatory Description: § 205(d) Rate Filing: the Commission’s Public Reference Commission 2020–04–23 NSP–MMPA-Meter Room, due to the proclamation declaring a National Emergency Upgrade-CIAC–677 to be effective 6/23/ [Docket No. ER20–1629–000] concerning the Novel Coronavirus 2020. AES ES Alamitos, LLC; Supplemental Disease (COVID–19), issued by the Filed Date: 4/23/20. Notice That Initial Market-Based Rate President on March 13, 2020. For Accession Number: 20200423–5089. Filing Includes Request for Blanket assistance, contact the Federal Energy Regulatory Commission at Comments Due: 5 p.m. ET 5/14/20. Section 204 Authorization [email protected] or call Docket Numbers: ER20–1641–000. This is a supplemental notice in the toll-free, (886) 208–3676 or TYY, (202) above-referenced AES ES Alamitos, 502–8659. Applicants: Southern Illinois LLC’s application for market-based rate Generation Company, LLC. authority, with an accompanying rate Dated: April 23, 2020. Description: Baseline eTariff Filing: tariff, noting that such application Nathaniel J. Davis, Sr., Market-Based Rate Tariff to be effective includes a request for blanket Deputy Secretary. 6/1/2020. authorization, under 18 CFR part 34, of [FR Doc. 2020–09095 Filed 4–28–20; 8:45 am] Filed Date: 4/23/20. future issuances of securities and BILLING CODE 6717–01–P assumptions of liability. Accession Number: 20200423–5091. Any person desiring to intervene or to Comments Due: 5 p.m. ET 5/14/20. protest should file with the Federal DEPARTMENT OF ENERGY Energy Regulatory Commission, 888 Take notice that the Commission First Street NE, Washington, DC 20426, Federal Energy Regulatory received the following electric in accordance with Rules 211 and 214 Commission reliability filings of the Commission’s Rules of Practice Combined Notice of Filings Docket Numbers: RD20–8–000. and Procedure (18 CFR 385.211 and Take notice that the Commission has Applicants: North American Electric 385.214). Anyone filing a motion to received the following Natural Gas Reliability Corporation. intervene or protest must serve a copy of that document on the Applicant. Pipeline Rate and Refund Report filings: Description: Petition of the North Notice is hereby given that the Docket Number: PR20–52–000. American Electric Reliability deadline for filing protests with regard Applicants: ETC Katy Pipeline, Ltd. Corporation for approval of erratum to to the applicant’s request for blanket Description: submits tariff filing per TPL–001–5. authorization, under 18 CFR part 34, of 284.123(b)(1)+(g): Certification of Unchanged State Rate Election of ETC Filed Date: 4/23/20. future issuances of securities and assumptions of liability, is May 13, Katy Pipeline, LLC to be effective 4/1/ Accession Number: 20200423–5103. 2020. 2020. Comments Due: 5 p.m. ET 5/26/20. The Commission encourages Filed Date: 4/17/2020. electronic submission of protests and Accession Number: 202004175191. The filings are accessible in the interventions in lieu of paper, using the Comments Due: 5 p.m. ET 5/8/2020. 284.123(g) Protests Due: 5 p.m. ET 6/ Commission’s eLibrary system by FERC Online links at http:// 16/2020. clicking on the links or querying the www.ferc.gov. To facilitate electronic docket number. service, persons with internet access Docket Number: PR20–53–000. Any person desiring to intervene or who will eFile a document and/or be Applicants: Southcross CCNG Transmission Ltd. protest in any of the above proceedings listed as a contact for an intervenor Description: Tariff filing per must create and validate an must file in accordance with Rules 211 284.123(b),(e)/: Rate Election and eRegistration account using the and 214 of the Commission’s Amended Statement of Operating eRegistration link. Select the eFiling Regulations (18 CFR 385.211 and Conditions to be effective 4/20/2020. 385.214) on or before 5:00 p.m. Eastern link to log on and submit the Filed Date: 4/20/2020. time on the specified comment date. intervention or protests. Accession Number: 202004205043. Protests may be considered, but Persons unable to file electronically Comments/Protests Due: 5 p.m. ET 5/ intervention is necessary to become a may mail similar pleadings to the 11/2020. party to the proceeding. Federal Energy Regulatory Commission, Docket Number: PR20–47–001. 888 First Street NE, Washington, DC Applicants: Public Service Company eFiling is encouraged. More detailed 20426. Hand delivered submissions in information relating to filing of Colorado. docketed proceedings should be Description: Tariff filing per requirements, interventions, protests, delivered to Health and Human 284.123(b),(e)+(g): Amended SOR and service, and qualifying facilities filings Services, 12225 Wilkins Avenue, SOC 4.30.2020 to be effective 3/1/2020. can be found at: http://www.ferc.gov/ Rockville, Maryland 20852. Filed Date: 4/22/2020. docs-filing/efiling/filing-req.pdf. For In addition to publishing the full text Accession Number: 202004225205. other information, call (866) 208–3676 of this document in the Federal Comments Due: 5 p.m. ET 5/13/2020. (toll free). For TTY, call (202) 502–8659. Register, the Commission provides all 284.123(g) Protests Due: 5 p.m. ET 5/ interested persons an opportunity to 26/2020. Dated: April 23, 2020. view and/or print the contents of this Docket Numbers: RP20–797–000. Nathaniel J. Davis, Sr., document via the internet through the Applicants: Transcontinental Gas Deputy Secretary. Commission’s Home Page (http:// Pipe Line Company, LLC. [FR Doc. 2020–09091 Filed 4–28–20; 8:45 am] ferc.gov) using the eLibrary link. Enter Description: § 4(d) Rate Filing: BILLING CODE 6717–01–P the docket number excluding the last Remove X–234 References to be three digits in the docket number field effective 5/23/2020.

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Filed Date: 4/22/20. meeting will be to: Deliberate and vote Dated: April 24, 2020. Accession Number: 20200422–5002. on the Risk Communication Report Julian E. Bowles, Comments Due: 5 p.m. ET 5/4/20. drafted by the Revitalizing Communities Director, State and Local Government Docket Numbers: RP20–798–000. Workgroup of the LGAC and reviewed Relations, Office of Congressional and Applicants: Midcontinent Express by other LGAC workgroups and the Intergovernmental Relations. Pipeline LLC. Small Communities Advisory [FR Doc. 2020–09070 Filed 4–28–20; 8:45 am] Description: § 4(d) Rate Filing: Subcommittee (SCAS); discuss BILLING CODE 6560–50–P Removal of Expiring Total Agreement to workgroup charges and issues; and be effective 6/1/2020. determine the Committee’s agenda and ENVIRONMENTAL PROTECTION Filed Date: 4/22/20. priorities for the remainder of the year. AGENCY Accession Number: 20200422–5013. These are open meetings, and all Comments Due: 5 p.m. ET 5/4/20. interested persons are invited to [FRL–10008–79–OLEM] Docket Numbers: RP20–799–000. participate. The LGAC and SCAS will Applicants: Texas Eastern hear comments from the public between Thirty-Seventh Update of the Federal Transmission, LP. 1:10–1:25 p.m. (EDT). Agency Hazardous Waste Compliance Description: Compliance filing TETLP Docket Individuals or organizations wishing OFO April 2020 Penalty Disbursement to address the Subcommittee, or the AGENCY: Environmental Protection Report. Agency (EPA). Filed Date: 4/22/20. Committee will be allowed a maximum Accession Number: 20200422–5019. of five minutes to present their point of ACTION: Notice. Comments Due: 5 p.m. ET 5/4/20. view. Also, written comments should be submitted electronically to SUMMARY: Since 1988, the The filings are accessible in the Environmental Protection Agency (EPA) Commission’s eLibrary system by [email protected] for the LGAC and SCAS. Please contact the has maintained a Federal Agency clicking on the links or querying the Hazardous Waste Compliance Docket docket number. Designated Federal Officers (DFO) at the numbers listed below to schedule a time (‘‘Docket’’) under section 120(c) of the Any person desiring to intervene or Comprehensive Environmental on the agenda. Time will be allotted on protest in any of the above proceedings Response, Compensation, and Liability a first-come first-serve basis, and the must file in accordance with Rules 211 Act (CERCLA). Section 120(c) requires and 214 of the Commission’s total period for comments may be EPA to establish a Docket that contains Regulations (18 CFR 385.211 and extended if the number of requests for certain information reported to EPA by 385.214) on or before 5:00 p.m. Eastern appearances requires it. Federal facilities that manage hazardous time on the specified date(s). Protests Meeting Logistics: The LGAC and waste or from which a reportable may be considered, but intervention is SCAS meetings will be held virtually by quantity of hazardous substances has necessary to become a party to the conference call. Members of the public been released. As explained further proceeding. who wish to participate should register below, the Docket is used to identify eFiling is encouraged. More detailed by contacting the DFO at the number Federal facilities that should be information relating to filing below to receive the call-in number. evaluated to determine if they pose a requirements, interventions, protests, threat to public health or welfare and The agenda and other meeting service, and qualifying facilities filings the environment and to provide a materials, including the meeting can be found at: http://www.ferc.gov/ mechanism to make this information docs-filing/efiling/filing-req.pdf. For summaries, will be available online at _ _ available to the public. This notice other information, call (866) 208–3676 www.epa.gov/ocir/scas lgac/lgac identifies the Federal facilities not (toll free). For TTY, call (202) 502–8659. index.htm and can be obtained by previously listed on the Docket and Dated: April 23, 2020. written request to the DFO. In the event identifies Federal facilities reported to Nathaniel J. Davis, Sr., of cancellation for unforeseen EPA since the last update on October Deputy Secretary. circumstances, please contact the 28, 2019. In addition to the list of [FR Doc. 2020–09092 Filed 4–28–20; 8:45 am] designated federal officer or check the additions to the Docket, this notice website above for reschedule BILLING CODE 6717–01–P includes a section with revisions of the information. previous Docket list and a section of Federal facilities that are to be deleted FOR FURTHER INFORMATION CONTACT: The from the Docket. Thus, the revisions in ENVIRONMENTAL PROTECTION Local Government Advisory Committee this update include six additions, zero AGENCY (LGAC) and Small Communities deletions, and one correction to the [FRL–10008–98–OA] Advisory Subcommittee contact is Docket since the previous update. At the Joseph Daniels, Acting Designated time of publication of this notice, the Meeting of the Local Government Federal Officer, at (202) 564–3115 or new total number of Federal facilities Advisory Committee and the Small email at [email protected]. listed on the Docket is 2,378. Communities Advisory Subcommittee Information on Services for Those DATES: This list is current as of April 3, AGENCY: Environmental Protection With Disabilities: For information on 2020. Agency (EPA). access or services for individuals with FOR FURTHER INFORMATION CONTACT: disabilities, please contact Joseph ACTION: Notice. Electronic versions of the Docket and Daniels at (202) 564–3115 or email at more information on its implementation SUMMARY: The Local Government [email protected]. To request can be obtained at http://www.epa.gov/ Advisory Committee (LGAC) will accommodation of a disability, please fedfac/previous-federal-agency- conduct a virtual meeting on Friday, request it 10 days prior to the meeting, hazardous-waste-compliance-docket- May 15, 2020, 11:00 a.m.–2:00 p.m. to give EPA as much time as possible to updates by clicking on the link for (EDT). The focus of the Committee process your request. Cleanups at Federal Facilities or by

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contacting Benjamin Simes CERCLA section 120(d) requires EPA on NFRAP and NPL status is no longer ([email protected]), Federal to take steps to assure that a Preliminary being provided separately in the Docket Agency Hazardous Waste Compliance Assessment (PA) be completed for those update as it is now available at: http:// Docket Coordinator, Federal Facilities sites identified in the Docket and that www.epa.gov/fedfac/fedfacts or by Restoration and Reuse Office. the evaluation and listing of sites with contacting the EPA HQ Docket Additional information on the Docket a PA be completed within a reasonable Coordinator at the address provided in and a complete list of Docket sites can time frame. The PA is designed to the FOR FURTHER INFORMATION CONTACT be obtained at: https://www.epa.gov/ provide information for EPA to consider section of this notice. fedfac/fedfacts. when evaluating the site for potential 2.0 Regional Docket Coordinators SUPPLEMENTARY INFORMATION: response action or inclusion on the National Priorities List (NPL). Contact the following Docket Table of Contents The Docket serves three major Coordinators for information on 1.0 Introduction purposes: (1) To identify all Federal Regional Docket repositories: 2.0 Regional Docket Coordinators facilities that must be evaluated to • US EPA Region 1. Martha Bosworth 3.0 Revisions of the Previous Docket determine whether they pose a threat to (HBS), 5 Post Office Square, Suite 100, 4.0 Process for Compiling the Updated human health and the environment Mail Code: OSRR07–2, Boston MA Docket sufficient to warrant inclusion on the 02109–3912, (617) 918–1407. 5.0 Facilities Not Included • 6.0 Facility NPL Status Reporting, National Priorities List (NPL); (2) to US EPA Region 2. Cathy Moyik Including NFRAP Status compile and maintain the information (ERRD), 290 Broadway, New York, NY 7.0 Information Contained on Docket submitted to EPA on such facilities 10007–1866, (212) 637–4339. Listing under the provisions listed in section • US EPA Region 3. Joseph Vitello 120(c) of CERCLA; and (3) to provide a (3HS12), 1650 Arch Street, 1.0 Introduction mechanism to make the information Philadelphia, PA 19107, (215) 814– Section 120(c) of CERCLA, 42 U.S.C. available to the public. Previous Docket 3354. 9620(c), as amended by the Superfund updates are available at https:// • US EPA Region 4. Leigh Lattimore Amendments and Reauthorization Act www.epa.gov/fedfac/previous-federal- (4SF–SRSEB), 61 Forsyth St., SW, of 1986 (SARA), requires EPA to agency-hazardous-waste-compliance- Atlanta, GA 30303, (404) 562–8768. establish the Federal Agency Hazardous docket-updates. • US EPA Region 5. David Brauner Waste Compliance Docket. The Docket This notice provides some (SR–6J), 77 W Jackson Blvd., Chicago, IL contains information on Federal background information on the Docket. 60604, (312) 886–1526. facilities that manage hazardous waste Additional information on the Docket • US EPA Region 6. Philip Ofosu and such information is submitted by requirements and implementation are (6SF–RA), 1445 Ross Avenue, Dallas, Federal agencies to EPA under sections found in the Docket Reference Manual, TX 75202–2733, (214) 665–3178. 3005, 3010, and 3016 of the Resource Federal Agency Hazardous Waste • US EPA Region 7. Todd H. Davis Conservation and Recovery Act (RCRA), Compliance Docket found at http:// (SUPRERSP), 11201 Renner Blvd., 42 U.S.C. 6925, 6930, and 6937. www.epa.gov/fedfac/docket-reference- Lenexa, KS 66219, (913) 551–7749. Additionally, the Docket contains manual-federal-agency-hazardous- • US EPA Region 8. Ryan Dunham information on Federal facilities with a waste-compliance-docket-interim-final (EPR–F), 1595 Wynkoop Street, Denver, reportable quantity of hazardous or obtained by calling the Regional CO 80202, (303) 312–6627. substances that has been released and Docket Coordinators listed below. This • US EPA Region 9. Leslie Ramirez such information is submitted by notice also provides changes to the list (SFD–6–1), 75 Hawthorne Street, San Federal agencies to EPA under Section of sites included on the Docket in three Francisco, CA 94105, (415) 972–3978. 103 of CERCLA, 42 U.S.C. 9603. areas: (1) Additions, (2) Deletions, and • US EPA Region 10. Ken Marcy, Specifically, RCRA section 3005 (3) Corrections. Specifically, additions Oregon Operations Office, 805 SW establishes a permitting system for are newly identified Federal facilities Broadway, Suite 500, Portland, OR certain hazardous waste treatment, that have been reported to EPA since the 97205, (503) 326–3269. storage, and disposal (TSD) facilities; last update and now are included on the 3.0 Revisions of the Previous Docket RCRA section 3010 requires waste Docket; the deletions section lists generators, transporters and TSD Federal facilities that EPA is deleting This section includes a discussion of facilities to notify EPA of their from the Docket.1 The information the additions, deletions and corrections hazardous waste activities; and RCRA submitted to EPA on each Federal to the list of Docket facilities since the section 3016 requires Federal agencies facility is maintained in the Docket previous Docket update. to submit biennially to EPA an repository located in the EPA Regional 3.1 Additions inventory of their Federal hazardous office of the Region in which the waste facilities. CERCLA section 103(a) Federal facility is located; for a These Federal facilities are being requires the owner or operator of a description of the information required added primarily because of new vessel or onshore or offshore facility to under those provisions, see 53 FR 4280 information obtained by EPA (for notify the National Response Center (February 12, 1988). Each repository example, recent reporting of a facility (NRC) of any spill or other release of a contains the documents submitted to pursuant to RCRA sections 3005, 3010, hazardous substance that equals or EPA under the reporting provisions and or 3016 or CERCLA section 103). exceeds a reportable quantity (RQ), as correspondence relevant to the reporting CERCLA section 120, as amended by the defined by CERCLA section 101. provisions for each Federal facility. Defense Authorization Act of 1997, Additionally, CERCLA section 103(c) In prior updates, information was also specifies that EPA take steps to assure requires facilities that have ‘‘stored, provided regarding No Further that a Preliminary Assessment (PA) be treated, or disposed of’’ hazardous Remedial Action Planned (NFRAP) completed within a reasonable time wastes and where there is ‘‘known, status changes. However, information frame for those Federal facilities that are suspected, or likely releases’’ of included on the Docket. Among other hazardous substances to report their 1 See Section 3.2 for the criteria for being deleted things, the PA is designed to provide activities to EPA. from the Docket. information for EPA to consider when

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evaluating the site for potential response other Federal Agency (OFA) with the updated list of the NPL status of all action or listing on the NPL. This notice information obtained from the databases Docket facilities, as well as their NFRAP includes six additions. identified above to determine which status, is available at http:// Federal facilities were, in fact, newly www.epa.gov/fedfac/fedfacts or by 3.2 Deletions reported and qualified for inclusion on contacting the EPA HQ Docket There are no statutory or regulatory the update. EPA is also striving to Coordinator at the address provided in provisions that address deletion of a correct errors for Federal facilities that the FOR FURTHER INFORMATION CONTACT facility from the Docket. However, if a were previously reported. For example, section of this notice. In prior updates, facility is incorrectly included on the state-owned or privately-owned information regarding NFRAP status Docket, it may be deleted from the facilities that are not operated by the changes was provided separately. Docket. The criteria EPA uses in Federal government may have been deleting sites from the Docket include: included. Such problems are sometimes 7.0 Information Contained on Docket A facility for which there was an caused by procedures historically used Listing incorrect report submitted for hazardous to report and track Federal facilities The information is provided in three waste activity under RCRA (e.g., 40 CFR data. Representatives of Federal tables. The first table is a list of 262.44); a facility that was not agencies are asked to contact the EPA additional Federal facilities that are Federally-owned or operated at the time HQ Docket Coordinator at the address being added to the Docket. The second of the listing; a facility included more provided in the FOR FURTHER table is a list of Federal facilities that are than once (i.e., redundant listings); or INFORMATION CONTACT section of this being deleted from the Docket. The third when multiple facilities are combined notice if revisions of this update table is for corrections. under one listing. (See Docket Codes information are necessary. The Federal facilities listed in each (Reasons for Deletion of Facilities) for a 5.0 Facilities Not Included table are organized by the date reported. more refined list of the criteria EPA uses Under each heading is listed the name for deleting sites from the Docket.) Certain categories of facilities may not and address of the facility, the Federal Facilities being deleted no longer will be included on the Docket, such as: (1) agency responsible for the facility, the be subject to the requirements of Federal facilities formerly owned by a statutory provision(s) under which the CERCLA section 120(d). This notice Federal agency that at the time of facility was reported to EPA, and a includes zero deletions. consideration was not Federally-owned code.2 or operated; (2) Federal facilities that are 3.3 Corrections The statutory provisions under which small quantity generators (SQGs) that a Federal facility is reported are listed Changes necessary to correct the have not, more than once per calendar in a column titled ‘‘Reporting previous Docket are identified by both year, generated more than 1,000 kg of Mechanism.’’ Applicable mechanisms EPA and Federal agencies. The hazardous waste in any single month; are listed for each Federal facility: For corrections section may include changes (3) Federal facilities that are very small example, Sections 3005, 3010, 3016, in addresses or spelling, and corrections quantity generators (VSQGs) that have 103(c), or Other. ‘‘Other’’ has been of the recorded name and ownership of never generated more than 100 kg of added as a reporting mechanism to a Federal facility. In addition, changes hazardous waste in any month; (4) indicate those Federal facilities that in the names of Federal facilities may be Federal facilities that are solely otherwise have been identified to have made to establish consistency in the hazardous waste transportation releases or threat of releases of Docket or between the Superfund facilities, as reported under RCRA hazardous substances. The National Enterprise Management System (SEMS) section 3010; and (5) Federal facilities Contingency Plan at 40 CFR 300.405 and the Docket. For the Federal facility that have mixed mine or mill site addresses discovery or notification, for which a correction is entered, the ownership. outlines what constitutes discovery of a An EPA policy issued in June 2003 original entry is as it appeared in hazardous substance release, and states provided guidance for a site-by-site previous Docket updates. The corrected that a release may be discovered in evaluation as to whether ‘‘mixed update is shown directly below, for easy several ways, including: (1) A report ownership’’ mine or mill sites, typically comparison. This notice includes one submitted in accordance with section created as a result of activities correction. 103(a) of CERCLA, i.e., reportable conducted pursuant to the General quantities codified at 40 CFR 302; (2) a 4.0 Process for Compiling the Updated Mining Law of 1872 and never reported report submitted to EPA in accordance Docket under section 103(a) of CERCLA, should with section 103(c) of CERCLA; (3) In compiling the newly reported be included on the Docket. For purposes investigation by government authorities Federal facilities for the update being of that policy, mixed ownership mine or conducted in accordance with section published in this notice, EPA extracted mill sites are those located partially on 104(e) of CERCLA or other statutory the names, addresses, and identification private land and partially on public authority; (4) notification of a release by numbers of facilities from four EPA land. This policy is found at http:// a Federal or state permit holder when databases—the WebEOC, the Biennial www.epa.gov/fedfac/policy-listing- required by its permit; (5) inventory or Inventory of Federal Agency Hazardous mixed-ownership-mine-or-mill-sites- survey efforts or random or incidental Waste Activities, the Resource created-result-general-mining-law-1872. observation reported by government Conservation and Recovery Act The policy of not including these agencies or the public; (6) submission of Information System (RCRAInfo), and facilities may change; facilities now a citizen petition to EPA or the SEMS— that contain information about omitted may be added at some point if appropriate Federal facility requesting a Federal facilities submitted under the EPA determines that they should be preliminary assessment, in accordance four provisions listed in CERCLA included. section 120(c). with section 105(d) of CERCLA; (7) a EPA assures the quality of the 6.0 Facility NPL Status Reporting, Including NFRAP Status 2 Each Federal facility listed in the update has information on the Docket by been assigned a code that indicates a specific reason conducting extensive evaluation of the EPA tracks the NPL status of Federal for the addition or deletion. The code precedes this current Docket list and contacts the facilities listed on the Docket. An list.

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report submitted in accordance with • Code 2. Never Federally Owned • Code 18. Facility Was a Site on a section 311(b)(5) of the Clean Water Act; and/or Operated. Facility That Was Disbanded; Now a and (8) other sources. As a policy • Code 3. Formerly Federally Owned Separate Facility. matter, EPA generally believes it is and/or Operated but not at time of • Code 19. Sites Were Combined Into appropriate for Federal facilities listing. One Facility. identified through the CERCLA • Code 4. No Hazardous Waste discovery and notification process to be • Code 19A. New Currently Federally Generated. Owned and/or Operated Facility Site. included on the Docket. • The complete list of Federal facilities Code 5. (This code is no longer 7.3 Docket Codes/Types of Corrections that now make up the Docket and the used.) NPL and NFRAP status are available to • Code 6. Redundant Listing/Site on of Information About Facilities interested parties and can be obtained at Facility. • Code 20. Reporting Provisions http://www.epa.gov/fedfac/fedfacts or • Code 7. Combining Sites Into One Change. by contacting the EPA HQ Docket Facility/Entries Combined. • Coordinator at the address provided in • Code 20A. Typo Correction/Name Code 8. Does Not Fit Facility Change/Address Change. the FOR FURTHER INFORMATION CONTACT Definition. section of this notice. As of the date of • Code 21. Changing Responsible this notice, the total number of Federal 7.2 Docket Codes/Reasons for Federal Agency. (If applicable, new facilities that appear on the Docket is Addition of Facilities responsible Federal agency submits 2,378. • Code 15. Small-Quantity Generator proof of previously performed PA, Dated: April 22, 2020. with either a RCRA 3016 or CERCLA which is subject to approval by EPA.) Gregory Gervais, 103 Reporting Mechanism. • Code 22. Changing Responsible Acting Director, Federal Facilities Restoration • Code 16. One Entry Being Split Into Federal Agency and Facility Name. (If and Reuse Office, Office of Land and Two (or more)/Federal Agency applicable, new responsible Federal Emergency Management. Responsibility Being Split. Agency submits proof of previously 7.1 Docket Codes/Reasons for Deletion • Code 16A. NPL site that is part of performed PA, which is subject to of Facilities a Facility already listed on the Docket. approval by EPA.) • Code 1. Small-Quantity Generator • Code 17. New Information Obtained • Code 24. Reporting Mechanism and Very Small Quantity Generator. Showing That Facility Should Be Determined To Be Not Applicable After Show citation box Included. Review of Regional Files. FEDERAL AGENCY HAZARDOUS WASTE COMPLIANCE DOCKET UPDATE #37—ADDITIONS

Zip Reporting mecha- Facility name Address City State code Agency nism Code Date

SMITHSONIAN IN- INDEPENDENCE WASHINGTON ...... DC ...... 20013 SMITHSONIAN ...... RCRA 3010...... 17 UPDATE STITUTION—NA- AVE., SW. #37. TIONAL AIR & SPACE MUSEUM. FS—APALACHICOLA ADJACENT TO FS SOPCHOPPY ...... FL ...... 32358 AGRICULTURE ...... CERCLA 103...... 17 UPDATE NF—RAD SITE. ROAD 374A. #37. FS— 46DEG20′9.5″N, PARK FALLS ...... WI ...... 54552 AGRICULTURE ...... RCRA 3010 ...... 16 16-Nov-88. CHEQUAMEGON 91DEG17′48.1″W. NF—DRUMMOND LAKE LANDFILL. FEDERAL BUREAU DALE BUMPERS FORREST CITY ..... AR ...... 72336 JUSTICE ...... RCRA 3010 ...... 17 UPDATE OF PRISONS— ROAD. #37. FORREST CITY. PASEO DEL 54A PASEO DEL SANTE FE ...... NM ...... 87501 INTERIOR ...... RCRA 3010 ...... 17 UPDATE CANON—SHOOT- CANON. #37. ING RANGE. NORTHROP GRUM- 4400 SEN J BEN- LAKE CHARLES .... LA ...... 70615 AIR FORCE ...... RCRA 3010 ...... 17 UPDATE MAN FCU. NETT JOHNSTON #37. AVE.

FEDERAL AGENCY HAZARDOUS WASTE COMPLIANCE DOCKET UPDATE #37—DELETIONS

Zip Reporting mecha- Facility name Address City State code Agency nism Code Date

CHEQUAMEGON 157 N 5TH AVENUE PARK FALLS ...... WI ...... 54552 AGRICULTURE ...... RCRA 3010 ...... 20A 16-Nov-88. NATIONAL FOR- EST. FS— 46°11′16″N, PARK FALLS ...... WI ...... 54552 AGRICULTURE ...... RCRA 3010 ...... 16-Nov-88. CHEQUAMEGON 90°55′55″W. NF—CLAM LAKE LANDFILL.

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[FR Doc. 2020–09069 Filed 4–28–20; 8:45 am] collection by selecting ‘‘Currently under (1) Summary information on the BILLING CODE 6560–50–P 30-day Review—Open for Public number, duration and cause (including Comments’’ or by using the search unknown cause, if applicable) of function. excursions or exceedances, as ENVIRONMENTAL PROTECTION FOR FURTHER INFORMATION CONTACT: Mr. applicable, and the corrective actions AGENCY Muntasir Ali, Office of Air Quality taken, (2) Summary information on the [EPA–HQ–OAR–2003–0152; FRL–10005–68– Planning and Standards, Sector Policies number, duration and cause (including OMS] and Programs Division (D243–05), U.S. unknown cause, if applicable) for Environmental Protection Agency, monitor downtime incidents (other than Information Collection Request Research Triangle Park, North Carolina downtime associated with zero and Submitted to OMB for Review and 27711; telephone number: (919) 541– span or other daily calibration checks, if Approval; Comment Request; 0833; and email address: ali.muntasir@ applicable); and (3) a description of the Compliance Assurance Monitoring epa.gov. actions taken to implement a QIP during Program (Renewal) the reporting period as specified in SUPPLEMENTARY INFORMATION: § 64.8. Upon completion of a QIP, the Supporting documents, which explain AGENCY: Environmental Protection owner or operator shall include in the in detail the information that the EPA Agency (EPA). next summary report documentation will be collecting, are available in the ACTION: Notice. that the implementation of the plan has public docket for this ICR (Docket ID SUMMARY: The U.S Environmental No. EPA–HQ–OAR–2003–0152). The been completed and reduced the Protection Agency (EPA) has submitted docket can be viewed online at https:// likelihood of similar levels of an information collection request (ICR), www.regulations.gov/ or in person at the excursions or exceedances occurring. In Compliance Assurance Monitoring EPA Docket Center, WJC West Building, accordance with CAA section 114(c) Program (EPA ICR Number 1663.10, Room 3334, 1301 Constitution Avenue and CAA section 503(e), the monitoring OMB Control Number 2060–0376) to the NW, Washington, DC 20004. The information source owners must submit Office of Management and Budget telephone number for the EPA Docket must also be available to the public (OMB) for review and approval in Center is (202) 566–1744. For additional except under circumstances set forth in accordance with the Paperwork information about the EPA’s public section 114(c) of the CAA. Form Numbers: None. Reduction Act (PRA). This is a proposed docket, visit https://www.epa.gov/ extension of the ICR, which is currently Respondents/affected entities: Entities dockets. potentially affected by this section are approved through June 30, 2020. Public Abstract: The Clean Air Act (CAA) all facilities required to have an comments were previously requested contains several provisions directing the operating permit under title V of the via the Federal Register on August 26, EPA to require source owners to CAA. See section 502(a) of the CAA, 2019, during a 60-day comment period. conduct monitoring to support which defines the sources to obtain a This document allows for an additional certification as to their status of title V permit. See also 40 CFR 70.2 and 30 days for public comments. A fuller compliance with applicable description of the ICR is given below, 71.2. requirements. Under CAA section Respondent’s obligation to respond: including its estimated burden and cost 504(c), each operating permit must ‘‘set to the public. An agency may not Mandatory under title V of the CAA. See forth inspection, entry, monitoring, section 502(a) of the CAA, which conduct or sponsor, and a person is not compliance, certification and reporting required to respond to a collection of defines the sources required to obtain a requirements to assure compliance with title V permit. See also 40 CFR 70.2 and information unless it displays a the permit terms and conditions.’’ See currently valid OMB control number. 71.2. also CAA section 504(c) (each permit Estimated number of respondents: DATES: Additional comments may be shall require reporting of monitoring the There are 21,448 pollutant-specific submitted on or before May 29, 2020. EPA and such other conditions as are emission units (PSEUs), and 117 ADDRESSES: Submit your comments to necessary to assure compliance). CAA permitting authorities. Therefore, the EPA, referencing Docket ID No. EPA– section 504(b) allows the EPA to estimated number of respondents is HQ–OAR–2003–0152, online using prescribe rules, methods, and 21,565 (total). www.regulations.gov (our preferred procedures for determining compliance, Frequency of response: At least every method), by email to a-and-r-docket@ recognizing that continuous emissions 6 months per title V, 40 CFR epa.gov, or by mail to: EPA Docket monitoring systems need not be 70.6(a)(3)(iii)(A) and (B). Center, Environmental Protection required if other procedures or methods Total estimated burden: 24,590 hours Agency, Mail Code 28221T, 1200 provide sufficiently reliable and timely (per year). Burden is defined at 5 CFR Pennsylvania Ave. NW, Washington, DC information for determining 1320.03(b). 20460. EPA’s policy is that all compliance. Section 114(a)(1) of the Total estimated cost: $999,211 (per comments received will be included in CAA provides additional authority year), includes $0 annualized capital or the public docket without change concerning monitoring, reporting, and operation and maintenance costs. including any personal information recordkeeping requirements. This Changes in the Estimates: There is a provided, unless the comment includes section provides the Administrator with decrease of 26,490 hours in the total profanity, threats, information claimed the authority to require any owner/ estimated respondent burden compared to be Confidential Business Information operator of a source to install and to with the ICR currently approved by (CBI), or other information whose operate monitoring systems and to OMB. This decrease is due to an disclosure is restricted by statute. record the resulting monitoring data. updated estimate of the number of Submit written comments and The EPA promulgated the Compliance sources and permits subject to the 40 recommendations to OMB for the Assurance Monitoring (CAM) Rule, 40 CFR part 70 programs (a reduction of proposed information collection within CFR part 64, on October 22, 1997 (62 FR 1,768 permits), an increase in the 30 days of publication of this notice to 54900), pursuant to these provisions. number of permitting authorities (an www.reginfo.gov/public/do/PRAMain. Per 64.9(2)(a), the collection of addition of one), a decrease in the Find this particular information information for monitoring will include: number of CAM plan renewal review

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hours (a decrease of 5.5 hours per Review Panel (RFT Review Panel) will Review Panel members, statements occurrence), and no new federal hold two public teleconferences to should be received in the SAB Staff mandates. review EPA’s Evaluation of Reduced Office by May 21, 2020, for Form Tools for Estimating Air Quality consideration at the public Courtney Kerwin, Benefits. The SAB RFT Review Panel teleconference(s). Written statements Director, Regulatory Support Division. will provide comments on the should be supplied to the DFO via email [FR Doc. 2020–09027 Filed 4–28–20; 8:45 am] appropriateness of the framework at the contact information above. BILLING CODE 6560–50–P developed and outlined in the report for Submitters are requested to provide a evaluating the use of Reduced-Form signed and unsigned version of each Tools to generate estimates of monetized document because the SAB Staff Office ENVIRONMENTAL PROTECTION health benefits compared with those does not publish documents with AGENCY that rely on full-form air quality and signatures on its websites. Members of [FRL–10008–82–OA] health benefits models to inform the the public should be aware that their cost-benefit analyses of major regulatory personal contact information, if Notification of a Public Meeting of the actions. The RFT Review Panel will also included in any written comments, may Science Advisory Board Reduced- provide input with regard to future be posted to the SAB website. Form Tools Review Panel design improvements to enhance the Copyrighted material will not be posted capabilities of these tools. without explicit permission of the AGENCY: Environmental Protection Technical Contacts: Any technical copyright holder. Agency (EPA). questions concerning EPA’s document Accessibility: For information on ACTION: Notice. titled Evaluating Reduced-Form Tools access or services for individuals with for Estimating Air Quality Benefits disabilities, please contact Dr. Shallal at SUMMARY: The Environmental Protection should be directed to Dr. Erika Sasser the phone number or email address Agency (EPA) Science Advisory Board ([email protected]). noted above, preferably at least ten days (SAB) Staff Office announces two public Availability of Meeting Materials: prior to the meeting, to give the EPA as teleconferences of the SAB Reduced- Prior to the teleconferences, the agenda much time as possible to process your Form Tools Review Panel (RFT Review and other meeting materials for each request. Panel) to review EPA’s October 2019 teleconference will be placed on the report: ‘‘Evaluating Reduced Form Tools SAB website at http://epa.gov/sab. Dated: April 23, 2020. for Estimating Air Quality Benefits.’’ Procedures for Providing Public Input: V. Khanna Johnston, DATES: The public teleconferences of the Public comment for consideration by Deputy Director, EPA Science Advisory Board Science Advisory Board RFT Review EPA’s federal advisory committees and Staff Office. Panel will be held on Thursday, May 28, panels has a different purpose from [FR Doc. 2020–09071 Filed 4–28–20; 8:45 am] 2020, from 12:00 noon to 5:00 p.m. public comment provided to EPA BILLING CODE 6560–50–P (Eastern Time) and Friday, May 29, program offices. Therefore, the process 2020, from 12:00 noon to 5:00 p.m. for submitting comments to a federal (Eastern Time). advisory committee is different from the ENVIRONMENTAL PROTECTION AGENCY ADDRESSES: The teleconferences will be process used to submit comments to an conducted by telephone only. EPA program office. [EPA–HQ–ORD–2015–0635; FRL–10008–70– Federal advisory committees and ORD] FOR FURTHER INFORMATION CONTACT: Any panels, including scientific advisory member of the public who wants further committees, provide independent Board of Scientific Counselors (BOSC) information concerning the public advice to the EPA. Members of the Chemical Safety for Sustainability and teleconferences may contact Dr. Suhair public can submit relevant comments Health and Environmental Risk Shallal, Designated Federal Officer pertaining to the committee’s charge or Assessment Subcommittee Meeting, (DFO), via telephone/voice mail (202) meeting materials. Input from the public May 2020 564–2059, or email at shallal.suhair@ to the SAB RFT Review Panel will have epa.gov. General information the most impact if it provides specific AGENCY: Environmental Protection concerning the SAB can be found on the scientific or technical information or Agency (EPA). EPA website at http://www.epa.gov/sab. analysis for the SAB RFT Review Panel ACTION: Notice of public meeting. SUPPLEMENTARY INFORMATION: to consider or if it relates to the clarity SUMMARY: The Environmental Protection Background: The SAB was or accuracy of the technical information. Agency (EPA), Office of Research and established pursuant to the Members of the public wishing to Development (ORD), gives notice of a Environmental Research, Development, provide comment should contact the meeting of the Board of Scientific and Demonstration Authorization Act DFO directly. (ERDDAA), codified at 42 U.S.C. 4365, Oral Statements: In general, Counselors (BOSC) Chemical Safety for to provide independent scientific and individuals or groups requesting an oral Sustainability and Health and technical advice to the EPA presentation at a public teleconference Environmental Risk Assessment (CSS– Administrator on the scientific and will be limited to three minutes. Persons HERA) Subcommittee to review the technical basis for agency positions and interested in providing oral statements draft 2019–22 Strategic Research Action regulations. The SAB is a Federal on May 21, 2020, should contact Dr. Sue Plan (StRAP) of the HERA research Advisory Committee chartered under Shallal, DFO, via email at the contact program. the Federal Advisory Committee Act information noted above by May 21, DATES: The videoconference meeting (FACA), 5 U.S.C., App. 2. The SAB will 2020, to be placed on the list of will be held over two days, Tuesday, comply with the provisions of FACA registered speakers. May 12, 2020, from 12:30 p.m. to 5:00 and all appropriate SAB Staff Office Written Statements: Written p.m. (EST) and Wednesday, May 13, procedural policies. Pursuant to FACA statements will be accepted throughout 2020, from 12:30 p.m. to 5:00 p.m. and EPA policy, notice is hereby given the advisory process; however, for (EST). Meeting times are subject to that the SAB Reduced-Form Tools timely consideration by SAB RFT change. This meeting is open to the

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public. Those who wish to attend must SUPPLEMENTARY INFORMATION: The Board neither conduct nor sponsor, and a register by May 8, 2020. Comments must of Scientific Counselors (BOSC) is a person is not required to respond to, a be received by May 8, 2020 to be federal advisory committee that collection of information unless it considered by the subcommittee. provides advice and recommendations displays a currently valid OMB control Requests for the draft agenda or making to EPA’s Office of Research and number. a presentation at the meeting will be Development on technical and DATES: Additional comments may be accepted until May 8, 2020. management issues of its research submitted on or before May 29, 2020. ADDRESSES: Instructions on how to programs. Meeting agenda and materials ADDRESSES: Submit your comments, connect to the videoconference will be will be posted to https://www.epa.gov/ referencing Docket ID Number EPA– provided upon registration at https:// bosc. HQ–OECA–2013–0321, to: (1) EPA www.eventbrite.com/e/us-epa-bosc- Proposed agenda items for the online using www.regulations.gov (our chemical-safety-for-sustainability-and- meeting include but are not limited to preferred method), or by email to health-and-environmental-risk- the following: review of the HERA assessment-tickets-93157311025. 2019–22 draft StRAP. [email protected], or by mail to: EPA Attendees should register no later than Information on Services Available: Docket Center, Environmental May 8, 2020. For information on translation services, Protection Agency, Mail Code 28221T, Submit your comments to Docket ID access, or services for individuals with 1200 Pennsylvania Ave. NW, No. EPA–HQ–ORD–2015–0635 by one disabilities, please contact Tom Tracy at Washington, DC 20460. EPA’s policy is of the following methods: (202) 564–6518 or [email protected]. that all comments received will be • www.regulations.gov: Follow the To request accommodation of a included in the public docket without online instructions for submitting disability, please contact Tom Tracy at change, including any personal comments. least ten days prior to the meeting to information provided, unless the D Note: comments submitted to the give the EPA adequate time to process comment includes profanity, threats, www.regulations.gov website are your request. information claimed to be Confidential anonymous unless identifying Business Information (CBI), or other information is included in the body of Authority: Pub. L. 92–463, 1, Oct. 6, 1972, information whose disclosure is 86 Stat. 770. the comment. restricted by statute. • Email: Send comments by Dated: April 17, 2020. FOR FURTHER INFORMATION CONTACT: electronic mail (email) to: ORD.Docket@ Mary Ross, Patrick Yellin, Monitoring, Assistance, epa.gov, Attention Docket ID No. EPA– Director, Office of Science Advisor, Policy, and Media Programs Division, Office of HQ–ORD–2015–0635. and Engagement. Compliance, Mail Code 2227A, D Note: comments submitted via [FR Doc. 2020–09032 Filed 4–28–20; 8:45 am] Environmental Protection Agency, 1200 email are not anonymous. The sender’s BILLING CODE 6560–50–P Pennsylvania Ave. NW, Washington, DC email will be included in the body of 20460; telephone number: (202) 564– the comment and placed in the public 2970; fax number: (202) 564–0050; docket which is made available on the ENVIRONMENTAL PROTECTION email address: [email protected]. internet. AGENCY Instructions: All comments received, SUPPLEMENTARY INFORMATION: including any personal information [EPA–HQ–OECA–2013–0321; FRL–10009– Supporting documents, which explain provided, will be included in the public 00–OMS] in detail the information that the EPA will be collecting, are available in the docket without change and may be Information Collection Request made available online at public docket for this ICR. The docket Submitted to OMB for Review and can be viewed online at www.regulations.gov. Information Approval; Comment Request; NSPS claimed to be Confidential Business www.regulations.gov, or in person at the for Sewage Sludge Incineration Units EPA Docket Center, EPA West, Room Information (CBI) or other information (Renewal) whose disclosure is restricted by statute 3334, 1301 Constitution Ave. NW, will not be included in the public AGENCY: Environmental Protection Washington, DC. The telephone number docket, and should not be submitted Agency (EPA). for the Docket Center is 202–566–1744. through www.regulations.gov or email. ACTION: Notice. For additional information about EPA’s For additional information about the public docket, visit: http:// EPA’s public docket visit the EPA SUMMARY: The Environmental Protection www.epa.gov/dockets. Docket Center homepage at http:// Agency has submitted an information Abstract: The New Source www.epa.gov/dockets/. collection request (ICR), NSPS for Performance Standards (NSPS) for Public Docket: Publicly available Sewage Sludge Incineration Units (EPA Sewage Sludge Incineration Units (40 docket materials may be accessed ICR Number 2369.05, OMB Control CFR part 60, subpart LLLL) were Online at www.regulations.gov. Number 2060–0658), to the Office of proposed on October 14, 2010, and Copyrighted materials in the docket Management and Budget (OMB) for promulgated on March 21, 2011. These are only available via hard copy. The review and approval in accordance with regulations apply to new and existing telephone number for the ORD Docket the Paperwork Reduction Act. This is a facilities with one or more sewage Center is (202) 566–1752. proposed extension of the ICR, which is sludge incineration (SSI) units. New FOR FURTHER INFORMATION CONTACT: The currently approved through June 30, facilities are those that commenced Designated Federal Officer (DFO), Tom 2020. Public comments were previously construction after October 14, 2010 or Tracy, via phone/voice mail at: (202) requested via the Federal Register on commenced modification after 564–6518; or via email at: tracy.tom@ May 6, 2019 during a 60-day comment September 21, 2011. Physical or epa.gov. period. This notice allows for an operational changes made to the SSI Any member of the public interested additional 30 days for public comments. unit to comply with the SSI Emission in receiving a draft agenda, attending A fuller description of the ICR is given Guidelines at 40 CFR part 60, subpart the meeting, or making a presentation at below, including its estimated burden MMMM do not qualify as a modification the meeting should contact Tom Tracy. and cost to the public. An agency may under this NSPS. This information is

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being collected to assure compliance operators at existing sources, per 40 CFR information whose disclosure is with 40 CFR part 60, subpart LLLL. 60.4825. restricted by statute. In general, all NSPS standards require Courtney Kerwin, Submit written comments and initial notifications, performance tests, Director, Regulatory Support Division. recommendations to OMB for the and periodic reports by the owners/ proposed information collection within [FR Doc. 2020–09024 Filed 4–28–20; 8:45 am] 30 days of publication of this notice to operators of the affected facilities. They BILLING CODE 6560–50–P are also required to maintain records of www.reginfo.gov/public/do/PRAMain. the occurrence and duration of any Find this particular information startup, shutdown, or malfunction in ENVIRONMENTAL PROTECTION collection by selecting ‘‘Currently under the operation of an affected facility, or AGENCY 30-day Review—Open for Public any period during which the monitoring Comments’’ or by using the search [EPA–HQ–OECA–2013–0319; FRL–10008– function. system is inoperative. These 95–OMS] notifications, reports, and records are FOR FURTHER INFORMATION CONTACT: essential in determining compliance, Information Collection Request Patrick Yellin, Monitoring, Assistance, and are required of all affected facilities Submitted to OMB for Review and and Media Programs Division, Office of subject to NSPS. Approval; Comment Request; NSPS Compliance, Mail Code 2227A, Form Numbers: None. for VOC Emissions From Petroleum Environmental Protection Agency, 1200 Refinery Wastewater Systems Pennsylvania Ave. NW, Washington, DC Respondents/affected entities: (Renewal) 20460; telephone number: (202) 564– Owners or operators of sewage sludge 2970; fax number: (202) 564–0050; AGENCY: Environmental Protection incineration units. email address: [email protected]. Respondent’s obligation to respond: Agency (EPA). ACTION: Notice. SUPPLEMENTARY INFORMATION: Mandatory (40 CFR part 60, subpart Supporting documents, which explain LLLL). SUMMARY: The Environmental Protection in detail the information that the EPA Estimated number of respondents: 8 Agency (EPA) has submitted an will be collecting, are available in the (total). information collection request (ICR), public docket for this ICR. The docket Frequency of response: Occasionally, NSPS for VOC Emissions from can be viewed online at semiannually, and annually. Petroleum Refinery Wastewater Systems www.regulations.gov, or in person at the (EPA ICR Number 1136.13, OMB EPA Docket Center, WJC West, Room Total estimated burden: 1,560 hours Control Number 2060–0172), to the 3334, 1301 Constitution Ave. NW, (per year). Burden is defined at 5 CFR Office of Management and Budget Washington, DC. The telephone number 1320.3(b). (OMB) for review and approval in for the Docket Center is 202–566–1744. Total estimated cost: $1,070,000 (per accordance with the Paperwork For additional information about EPA’s year), which includes $998,000 in Reduction Act. This is a proposed public docket, visit: http:// annualized capital/startup and/or extension of the ICR, which is currently www.epa.gov/dockets. operation & maintenance costs. approved through June 30, 2020. Public Abstract: The New Source Changes in the Estimates: There is an comments were previously requested Performance Standards (NSPS) for VOC increase in burden from the most via the Federal Register on May 6, 2019 Emissions from Petroleum Refinery during a 60-day comment period. This recently-approved ICR as currently Wastewater Systems (40 CFR part 60, notice allows for an additional 30 days identified in the OMB Inventory of subpart QQQ) were proposed on May 4, for public comments. A fuller Approved Burdens due to an increase in 1987, and promulgated on November description of the ICR is given below, the number of respondents subject to 23, 1988. These regulations apply to including its estimated burden and cost the rule. While the per respondent costs existing facilities and new wastewater to the public. An agency may neither of annual performance testing and systems at petroleum refineries, and conduct nor sponsor, and a person is cover individual drain systems, oil- CEMS/CPMS monitoring have remained not required to respond to, a collection the same, but the total O&M costs have water separators, and aggregate of information unless it displays a facilities. An individual drain system increased from the previous ICR currently valid OMB control number. renewal due to the increase in the consists of all process drains connected DATES: Additional comments may be number of existing respondents to the first downstream junction box. An submitted on or before May 29, 2020. complying with the requirements of the oil-water separator is the wastewater ADDRESSES: Submit your comments to treatment equipment used to separate rule. EPA, referencing Docket ID Number oil from water. An aggregate facility is Several revisions were made to the EPA–HQ–OECA–2013–0319, online an individual drain system together calculation of respondent burden. The using www.regulations.gov (our with ancillary downstream sewer lines labor burden for facilities to familiarize preferred method), or by email to and oil-water separators, down to and with regulation requirements was [email protected], or by mail to: EPA including the secondary oil-water revised from 40 hours per existing Docket Center, Environmental separator, as applicable. Aggregate source per year to 40 hours for a new Protection Agency, Mail Code 28221T, facilities are intended to capture any source and 4 hours for an existing 1200 Pennsylvania Ave. NW, potential VOC emissions within the source. This change more accurately Washington, DC 20460. EPA’s policy is petroleum refinery wastewater system reflects the burden that new and that all comments received will be during expansions of and additions to existing sources require to familiarize included in the public docket without the system. New facilities include those and re-familiarize with the rule. The change including any personal that commenced construction, Number of Respondents that will information provided, unless the modification, or reconstruction after the complete the annual refresher course comment includes profanity, threats, date of proposal. This information is was revised from 1 to 7 to reflect that information claimed to be Confidential being collected to assure compliance this is an annual requirement for Business Information (CBI), or other with 40 CFR part 60, subpart QQQ.

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In general, all NSPS standards require Total estimated burden: 10,200 hours sources subject to this regulation since initial notifications, performance tests, (per year). Burden is defined at 5 CFR the previous ICR renewal. and periodic reports by the owners/ 1320.3(b). Courtney Kerwin, operators of the affected facilities. They Total estimated cost: $1,200,000 (per Director, Regulatory Support Division. are also required to maintain records of year), which includes $19,400 in the occurrence and duration of any [FR Doc. 2020–09028 Filed 4–28–20; 8:45 am] annualized capital/startup and/or startup, shutdown, or malfunction in BILLING CODE 6560–50–P operation & maintenance costs. the operation of an affected facility, or during any period in which the Changes in the Estimates: The burden monitoring system is inoperative. These in labor hours is unchanged from the FEDERAL COMMUNICATIONS notifications, reports, and records are previous ICR renewal and the number of COMMISSION essential in determining compliance, responses is unchanged. The costs of and are required of all affected facilities performance testing and CEMS [FRS 16701] subject to NSPS. monitoring are unchanged from the Deletion of Items From April 23, 2020 Form Numbers: None. previous ICR renewal. The regulations Open Meeting Respondents/affected entities: have not changed over the past three Petroleum refinery wastewater systems. years and are not anticipated to change April 23, 2020. Respondent’s obligation to respond: over the next three years. The growth rate for the industry is very low, The following items have been Mandatory (40 CFR part 60, subpart adopted by the Commission and deleted QQQ). negative or non-existent, so there is no change in the estimate of the number of from the list of items scheduled for Estimated number of respondents: consideration at the Thursday, April 23, 149 (total). 2020, Open Meeting. The items were Frequency of response: Initially, previously listed in the Commission’s occasionally, and semiannually. Notice of Thursday, April 16, 2020.

Item No. Bureau Subject

4 ...... INTERNATIONAL ...... TITLE: ViaSat, Inc., Petition for Declaratory Ruling Granting Access for a Non- U.S.-Licensed Non-Geostationary Orbit Satellite Network (IBFS File No. SAT– PDR–20161115–00120 and SAT–APL–20180927–00076). SUMMARY: The Commission will consider an Order and Declaratory Ruling that would grant ViaSat’s request for U.S. market access to offer broadband services using a proposed constellation of non-geostationary orbit satellites. 5 ...... MEDIA ...... TITLE: Amendments of Parts 73 and 74 to Improve the Low Power FM Radio Service Technical Rules (MB Docket No. 19–193); Modernization of Media Reg- ulation Initiative (MB Docket No. 17–105). SUMMARY: The Commission will consider a Report and Order that would mod- ernize the LPFM technical rules to provide more regulatory flexibility for licens- ees. 6 ...... MEDIA ...... TITLE: Video Description: Implementation of the Twenty-First Century Communica- tions and Video Accessibility Act of 2010 (MB Docket No. 11–43). SUMMARY: The Commission will consider a Notice of Proposed Rulemaking that would propose to expand video description requirements to 40 additional local television markets over the next four years to increase the accessibility of pro- gramming to blind and visually impaired Americans.

Federal Communications Commission. required by the Paperwork Reduction does not display a valid OMB control Marlene Dortch, Act (PRA) of 1995, the Federal number. Secretary, Office of the Secretary. Communications Commission (FCC or DATES: Written comments and [FR Doc. 2020–09021 Filed 4–28–20; 8:45 am] the Commission) invites the general recommendations for the proposed BILLING CODE 6712–01–P public and other Federal Agencies to information collection should be take this opportunity to comment on the submitted on or before May 29, 2020. following information collection. FEDERAL COMMUNICATIONS Pursuant to the Small Business ADDRESSES: Comments should be sent to COMMISSION Paperwork Relief Act of 2002, the FCC www.reginfo.gov/public/do/PRAMain. seeks specific comment on how it might Find this particular information [3060–0819; FRS 16697] collection by selecting ‘‘Currently under ‘‘further reduce the information 30-day Review—Open for Public Information Collection Being collection burden for small business Comments’’ or by using the search Submitted for Review and Approval to concerns with fewer than 25 Office of Management and Budget function. Your comment must be employees.’’ The Commission may not submitted into www.reginfo.gov per the conduct or sponsor a collection of AGENCY: Federal Communications above instructions for it to be Commission. information unless it displays a considered. In addition to submitting in currently valid Office of Management ACTION: Notice and request for www.reginfo.gov also send a copy of and Budget (OMB) control number. No comments. your comment on the proposed person shall be subject to any penalty information collection to Nicole Ongele, SUMMARY: As part of its continuing effort for failing to comply with a collection FCC, via email to [email protected] and to to reduce paperwork burdens, as of information subject to the PRA that [email protected]. Include in the

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comments the OMB control number as Respondents: Individuals or Needs and Uses: The Commission shown in the SUPPLEMENTARY households and business or other for- will submit this information collection INFORMATION below. profit enterprises. after this 60-day comment period to FOR FURTHER INFORMATION CONTACT: For Number of Respondents and obtain approval from the Office of additional information or copies of the Responses: 18,335,775 respondents; Management and Budget (OMB) of information collection, contact Nicole 20,102,235 responses. revisions to this information collection. Ongele at (202) 418–2991. To view a Estimated Time per Response: .0167 On October 30, 2019, the Commission copy of this information collection hours–125 hours. adopted the Bridging the Digital Divide request (ICR) submitted to OMB: (1) Go Frequency of Response: Annual, for Low-Income Consumers, WC Docket to the web page http://www.reginfo.gov/ biennial, monthly, daily and on Nos. 17–287, 11–42, 09–197, Fifth public/do/PRAMain, (2) look for the occasion reporting requirements, Report and Order, Memorandum section of the web page called recordkeeping requirement and third- Opinion and Order and Order on ‘‘Currently Under Review,’’ (3) click on party disclosure requirement. Reconsideration, and Further Notice of Obligation to Respond: Required to the downward-pointing arrow in the Proposed Rulemaking FCC 19–111 obtain or retain benefits. Statutory ‘‘Select Agency’’ box below the (2019) (2019 Lifeline Order). The authority is contained in Sections 1, ‘‘Currently Under Review’’ heading, (4) Lifeline Fifth Report and Order restores 4(i), 5, 201, 205, 214, 219, 220, 254, select ‘‘Federal Communications the traditional state and federal roles in 303(r), and 403 of the Communications Commission’’ from the list of agencies designating eligible telecommunications Act of 1934, as amended, and section presented in the ‘‘Select Agency’’ box, carriers (ETC) and eliminates the 706 of the Communications Act of 1996, (5) click the ‘‘Submit’’ button to the Lifeline Broadband Provider (LBP) as amended; 47 U.S.C. 151, 154(i), 155, right of the ‘‘Select Agency’’ box, (6) category. The Order also codifies a 201, 205, 214, 219, 220, 254, 303(r), 403, when the list of FCC ICRs currently requirement that enrollment and 1302. under review appears, look for the Title representatives must register with USAC Total Annual Burden: 8,531,854 of this ICR and then click on the ICR before interacting with USAC’s systems. hours. Reference Number. A copy of the FCC Finally, the 2019 Lifeline Order Total Annual Cost: $937,500. implements several process and submission to OMB will be displayed. Privacy Act Impact Assessment: Yes. procedural changes to further bolster SUPPLEMENTARY INFORMATION: As part of The Commission completed a Privacy program integrity efforts. These changes its continuing effort to reduce Impact Assessment (PIA) for some of the require minor modifications to the paperwork burdens, as required by the information collection requirements previously approved requirements. The Paperwork Reduction Act (PRA) of 1995 contained in this collection. The PIA changes made by the Lifeline Fifth (44 U.S.C. 3501–3520), the FCC invited was published in the Federal Register at Report and Order have a moderate the general public and other Federal 82 FR 38686 on August 15, 2017. The impact on overall burden, increasing the Agencies to take this opportunity to PIA may be reviewed at: http:// burden hours for some requirements comment on the following information www.fcc.gov/omd/privacyact/Privacy_ and decreasing the burden hours for collection. Comments are requested Impact_Assessment.html. concerning: (a) Whether the proposed Nature and Extent of Confidentiality: other requirements. collection of information is necessary Some of the requirements contained in Federal Communications Commission. for the proper performance of the this information collection affect Marlene Dortch, functions of the Commission, including individuals or households, and thus, Secretary, Office of the Secretary. whether the information shall have there are impacts under the Privacy Act. [FR Doc. 2020–09020 Filed 4–28–20; 8:45 am] practical utility; (b) the accuracy of the The FCC’s system of records notice BILLING CODE 6712–01–P Commission’s burden estimates; (c) (SORN) associated with this collection ways to enhance the quality, utility, and is FCC/WCB–1, ‘‘Lifeline Program.’’ clarity of the information collected; and The Commission will use the FEDERAL COMMUNICATIONS (d) ways to minimize the burden of the information contained in FCC/WCB–1 COMMISSION collection of information on the to cover the personally identifiable respondents, including the use of information (PII) that is required as part [OMB 3060–0906; FRS 16696] automated collection techniques or of the Lifeline Program (‘‘Lifeline’’). Information Collection Being Reviewed other forms of information technology. As required by the Privacy Act of by the Federal Communications Pursuant to the Small Business 1974, as amended, 5 U.S.C. 552a, the Commission Paperwork Relief Act of 2002, Public Commission published FCC/WCB–1 Law 107–198, see 44 U.S.C. 3506(c)(4), ‘‘Lifeline Program’’ in the Federal AGENCY: Federal Communications the FCC seeks specific comment on how Register on August 15, 2017 (82 FR Commission. it might ‘‘further reduce the information 38686). ACTION: Notice and request for collection burden for small business Also, respondents may request comments. concerns with fewer than 25 materials or information submitted to employees.’’ the Commission or to the Universal SUMMARY: As part of its continuing effort OMB Control Number: 3060–0819. Service Administrative Company to reduce paperwork burdens, and as Title: Bridging the Digital Divide for (USAC or Administrator) be withheld required by the Paperwork Reduction Low-Income Consumers, Lifeline and from public inspection under 47 CFR Act (PRA), the Federal Communications Link Up Reform and Modernization, 0.459 of the FCC’s rules. We note that Commission (FCC or Commission) Telecommunications Carriers Eligible USAC must preserve the confidentiality invites the general public and other for Universal Service Support. of all data obtained from respondents; Federal agencies to take this Form Numbers: FCC Form 481, FCC must not use the data except for opportunity to comment on the Form 497, FCC Form 555, FCC Form purposes of administering the universal following information collections. 5629, FCC Form 5630, FCC Form 5631. service programs; and must not disclose Comments are requested concerning: Type of Review: Revision of a data in company-specific form unless Whether the proposed collection of currently approved collection. directed to do so by the Commission. information is necessary for the proper

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performance of the functions of the Stations, FCC Form 2100, Schedule G; Each DTV licensee/permittee is Commission, including whether the 47 CFR 73.624(g). required to retain the records supporting information shall have practical utility; Form Number: FCC Form 2100, the calculation of the fees due for three the accuracy of the Commission’s Schedule G (formerly FCC Form 317). years from the date of remittance of fees. burden estimate; ways to enhance the Type of Review: Revision of a Each NCE licensee/permittee must also quality, utility, and clarity of the currently approved collection. retain for eight years documentation information collected; ways to minimize Respondents: Business or other for- sufficient to show that its entire the burden of the collection of profit entities; Not-for-profit bitstream was used ‘‘primarily’’ for NCE information on the respondents, institutions. broadcast services on a weekly basis. Number of Respondents and including the use of automated Federal Communications Commission. collection techniques or other forms of Responses: 7,652 respondents, 15,304 Marlene Dortch, information technology; and ways to responses. further reduce the information Frequency of Response: Secretary. collection burden on small business Recordkeeping requirement, annual [FR Doc. 2020–09019 Filed 4–28–20; 8:45 am] concerns with fewer than 25 employees. reporting requirement. BILLING CODE 6712–01–P The FCC may not conduct or sponsor Obligation to Respond: Required to a collection of information unless it obtain benefits—Statutory authority for displays a currently valid Office of this collection of information is FEDERAL COMMUNICATIONS Management and Budget (OMB) control contained in Sections 154(i), 303, 336 COMMISSION and 403 of the Communications Act of number. No person shall be subject to [OMB 3060–XXXX; FRS 16689] any penalty for failing to comply with 1934, as amended. a collection of information subject to the Estimated Time per Response: 2–4 Information Collection Being PRA that does not display a valid OMB hours. Submitted for Review and Approval to Total Annual Burden: 45,912 hours. control number. Total Annual Cost: $1,147,800. Office of Management and Budget DATES: Written comments should be Nature and Extent of Confidentiality: AGENCY: Federal Communications submitted on or before June 29, 2020. If There is no need for confidentiality Commission. you anticipate that you will be required with this collection of ACTION: submitting comments, but find it Notice and request for information. comments. difficult to do so within the period of Privacy Impact Assessment: No time allowed by this notice, you should impact(s). SUMMARY: As part of its continuing effort advise the contacts below as soon as Needs and Uses: In 2018, the to reduce paperwork burdens, as possible. Commission revised section 73.624(g) of required by the Paperwork Reduction ADDRESSES: Direct all PRA comments to its rules to require only those DTV Act (PRA) of 1995, the Federal Cathy Williams, FCC, via email PRA@ stations that provided ‘‘feeable’’ Communications Commission (FCC or fcc.gov and to [email protected]. ancillary or supplementary services the Commission) invites the general during the relevant reporting period to FOR FURTHER INFORMATION CONTACT: For public and other Federal Agencies to submit Form 2100, Schedule G to the additional information about the take this opportunity to comment on the Commission. See Amendment of information collection, contact Cathy following information collection. Section 73.624(g) of the Commission’s Williams at (202) 418–2918. Pursuant to the Small Business Rules Regarding Submission of FCC Paperwork Relief Act of 2002, the FCC SUPPLEMENTARY INFORMATION: As part of Form 2100, Schedule G, Used to Report its continuing effort to reduce seeks specific comment on how it might TV Stations’ Ancillary or ‘‘further reduce the information paperwork burdens, and as required by Supplementary Services, MB Docket the PRA of 1995 (44 U.S.C. 3501–3520), collection burden for small business Nos. 17–264, 17–105, FCC 18–41, concerns with fewer than 25 the FCC invites the general public and Report and Order. other Federal agencies to take this employees.’’ Each licensee/permittee of a digital The Commission may not conduct or opportunity to comment on the television (DTV) station that provides following information collections. sponsor a collection of information feeable ancillary or supplementary unless it displays a currently valid Comments are requested concerning: services during the relevant reporting Whether the proposed collection of Office of Management and Budget period must file on an annual basis FCC (OMB) control number. No person shall information is necessary for the proper Form 2100, Schedule G. Specifically, performance of the functions of the be subject to any penalty for failing to required filers include the following comply with a collection of information Commission, including whether the (but we generally refer to all such information shall have practical utility; subject to the PRA that does not display entities herein as a ‘‘DTV licensee/ a valid OMB control number. the accuracy of the Commission’s permittee’’): burden estimate; ways to enhance the A licensee of a digital commercial or DATES: Written comments and quality, utility, and clarity of the noncommercial educational (NCE) full recommendations for the proposed information collected; ways to minimize power television (TV) station, low information collection should be the burden of the collection of power television (LPTV) station, TV submitted on or before May 29, 2020. information on the respondents, translator or Class A TV station. ADDRESSES: Comments should be sent to including the use of automated A permittee operating pursuant to www.reginfo.gov/public/do/PRAMain. collection techniques or other forms of digital special temporary authority Find this particular information information technology; and ways to (STA) of a commercial or NCE full collection by selecting ‘‘Currently under further reduce the information power TV station, LPTV station, TV 30-day Review—Open for Public collection burden on small business translator or Class A TV station. Comments’’ or by using the search concerns with fewer than 25 employees. Each DTV licensee/permittee must function. Your comment must be OMB Control Number: 3060–0906. report the feeable ancillary or submitted into www.reginfo.gov per the Title: Annual DTV Ancillary/ supplementary services that were above instructions for it to be Supplemental Services Report for DTV provided during the reporting cycle. considered. In addition to submitting in

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www.reginfo.gov also send a copy of Respondents: Businesses or other for- The Commission has referred to the your comment on the proposed profit entities; not-for-profit institutions; North American Numbering Council the information collection to Cathy Federal Government; State, Local or development of a technical Williams, FCC, via email to PRA@ Tribal Government. requirements document for the fcc.gov and to [email protected]. Number of Respondents and reassigned numbers database for review Include in the comments the OMB Responses: 3,666 respondents; by the Commission. The technical control number as shown in the 15,375,326 responses. requirements document will contain a SUPPLEMENTARY INFORMATION below. Estimated Time per Response: .004 single, unified set of functional and FOR FURTHER INFORMATION CONTACT: For hours (15 seconds) to 32 hours. interface requirements for: Technical additional information or copies of the Frequency of Response: Monthly, one interoperability and operational information collection, contact Cathy time, and on occasion reporting standards; the user interface Williams at (202) 418–2918. To view a requirements; recordkeeping specifications and data format for copy of this information collection requirement. service providers to report to the request (ICR) submitted to OMB: (1) Go Obligation to Respond: Mandatory. Administrator; the user interfaces and to the web page http://www.reginfo.gov/ Statutory authority for this information other means by which callers may public/do/PRAMain, (2) look for the collection is contained in sections 227 submit queries, including providing section of the web page called and 251(e)(1) of the callers the abilities for high-volume and ‘‘Currently Under Review,’’ (3) click on Telecommunications Act of 1996. batch processing or to submit individual the downward-pointing arrow in the Total Annual Burden: 290,233 hours. queries; appropriate safeguards to ‘‘Select Agency’’ box below the Total Annual Cost: None. protect the privacy and security of ‘‘Currently Under Review’’ heading, (4) Nature and Extent of Confidentiality: subscribers, protect the database from select ‘‘Federal Communications An assurance of confidentiality is not unauthorized access, and ensure the Commission’’ from the list of agencies offered because this information security and integrity of the data; and presented in the ‘‘Select Agency’’ box, collection does not require the keeping records of service providers’ (5) click the ‘‘Submit’’ button to the collection of personally identifiable reporting and accounting. right of the ‘‘Select Agency’’ box, (6) information from individuals. Federal Communications Commission. when the list of FCC ICRs currently Privacy Impact Assessment: No Marlene Dortch, under review appears, look for the Title impact(s). Secretary, Office of the Secretary. of this ICR and then click on the ICR Needs and Uses: On December 12, [FR Doc. 2020–09018 Filed 4–28–20; 8:45 am] Reference Number. A copy of the FCC 2018, the Commission adopted rules in submission to OMB will be displayed. FCC 18–177, Second Report and Order, BILLING CODE 6712–01–P SUPPLEMENTARY INFORMATION: As part of published at 84 FR 11226, March 26, its continuing effort to reduce 2019, which contain new information FEDERAL HOUSING FINANCE paperwork burdens, as required by the collection requirements. Specifically, AGENCY Paperwork Reduction Act (PRA) of 1995 the Commission concluded that the (44 U.S.C. 3501–3520), the FCC invited obligation to provide permanent [No. 2020–N–10] the general public and other Federal disconnect information will apply to all Agencies to take this opportunity to reporting carriers as defined in the Proposed Collection; Comment comment on the following information Commission’s numbering rules, which Request collection. Comments are requested include wireless, wireline, and AGENCY: concerning: (a) Whether the proposed interconnected Voice over internet Federal Housing Finance collection of information is necessary Protocol providers that obtain numbers Agency. for the proper performance of the from the North American Numbering ACTION: Federal Home Loan Bank functions of the Commission, including Plan Administrator. As part of the Capital Stock–30-day Notice of whether the information shall have Commission reporting requirements, submission of information collection for practical utility; (b) the accuracy of the reporting carriers must provide, among approval from Office of Management Commission’s burden estimates; (c) other things, the most recent date each and Budget. ways to enhance the quality, utility, and North American Numbering Plan SUMMARY: In accordance with the clarity of the information collected; and telephone number allocated or ported to requirements of the Paperwork (d) ways to minimize the burden of the the reporting carrier was permanently Reduction Act of 1995 (PRA), the collection of information on the disconnected. The telephone number Federal Housing Finance Agency respondents, including the use of and date of permanent disconnection (FHFA) is seeking public comments automated collection techniques or will allow voluntary users of the concerning an information collection other forms of information technology. database to determine whether a known as ‘‘Federal Home Loan Bank Pursuant to the Small Business number has been permanently Capital Stock,’’ which has been assigned Paperwork Relief Act of 2002, Public disconnected prior to calling that control number 2590–0002 by the Office Law 107–198, see 44 U.S.C. 3506(c)(4), number, thereby protecting against of Management and Budget (OMB). the FCC seeks specific comment on how unwanted calls to consumers and FHFA intends to submit the information it might ‘‘further reduce the information potential Telephone Consumer collection to OMB for review and collection burden for small business Protection Act liability for callers. approval of a three-year extension of the concerns with fewer than 25 Reporting carriers and voluntary users control number, which is due to expire employees.’’ of the reassigned numbers database may on April 30, 2020. OMB Control Number: 3060–XXXX. also need to provide contact Title: Advanced Methods to Target information, including names, address, DATES: Interested persons may submit and Eliminate Unlawful Robocalls, CG and telephone number, to enable the comments on or before May 29, 2020. Docket No. 17–59. database administrator to contact the ADDRESSES: Submit comments to the Form Number: N/A. reporting carrier in case there are any Office of Information and Regulatory Type of Review: New collection. issues with their submission. Affairs of the Office of Management and

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Budget, Attention: Desk Officer for the nonmembers. Each Bank is structured as minimum investment and the precise Federal Housing Finance Agency, a regional cooperative that is owned and method through which it is collected Washington, DC 20503, Fax: (202) 395– controlled by member institutions differ somewhat from Bank to Bank, the 3047, Email: OIRA_submission@ located within its district, which are Banks typically collect two types of omb.eop.gov. Please also submit also its primary customers. An information. First, in order to calculate comments to FHFA, identified by institution that is eligible for and monitor compliance with its ‘‘Proposed Collection; Comment membership in a particular Bank must membership stock purchase Request: ‘Federal Home Loan Bank purchase and hold a prescribed requirement, a Bank typically requires Capital Stock, (No. 2020–N–10)’’’ by any minimum amount of the Bank’s capital each member to provide and/or confirm of the following methods: stock in order to become and remain a an annual report on the amount and • Agency website: www.fhfa.gov/ member of that Bank. With limited types of assets held by that institution. open-for-comment-or-input. exceptions, only an institution that is a Second, each time a Bank engages in a • Federal eRulemaking Portal: http:// member of a Bank may obtain access to business transaction with a member, the www.regulations.gov. Follow the low cost secured loans, known as Bank typically confirms with the instructions for submitting comments. If advances, or other products provided by member the amount of additional Bank you submit your comment to the that Bank. capital stock, if any, the member must Federal eRulemaking Portal, please also Section 6 of the Bank Act establishes acquire in order to satisfy the Bank’s send it by email to FHFA at capital requirements for the Banks and activity-based stock purchase [email protected] to ensure requires FHFA to issue regulations requirement and the method through timely receipt by the agency. prescribing uniform capital standards which the member will acquire that • Mail/Hand Delivery: Federal applicable to all of the Banks.1 Section stock. Housing Finance Agency, Eighth Floor, 6 also establishes parameters relating to The OMB number for the information 400 Seventh Street SW, Washington, DC the Banks’ capital structures and collection is 2590–0002, which is due to 20219, ATTENTION: Proposed requires that each Bank adopt a ‘‘capital expire on April 30, 2020. The likely Collection; Comment Request: ‘‘Federal structure plan’’ (capital plan) to respondents include current and former Home Loan Bank Capital Stock, (No. establish, within those statutory Bank members and institutions applying 2020–N–10).’’ parameters, its own capital structure for Bank membership. We will post all public comments we and to establish requirements for, and C. Burden Estimate receive without change, including any govern transactions in, the Bank’s personal information you provide, such capital stock.2 FHFA’s regulations on FHFA has analyzed the time burden as your name and address, email Bank Capital Requirements, Capital imposed on respondents by the two address, and telephone number, on the Stock, and Capital Plans are located at collections under this control number FHFA website at http://www.fhfa.gov. In 12 CFR part 1277. and estimates that the average total addition, copies of all comments annual hour burden imposed on all received will be available for B. Need For and Use of the Information respondents over the next three years examination by the public through the Collection will be 23,135 hours. The estimate for electronic comment docket for this PRA Both the Bank Act and FHFA’s each collection was calculated as Notice also located on the FHFA regulations state that a Bank’s capital follows: website. plan must require its members to 1. Membership Stock Purchase maintain a minimum investment in the FOR FURTHER INFORMATION CONTACT: Requirement Submissions Bank’s capital stock, but both permit Rebecca Williams, Financial Analyst, each Bank to determine for itself what FHFA estimates that the average Division of Federal Home Loan Bank that minimum investment is and how annual number of current and former Regulation, [email protected] each member’s required minimum members and applicants for (202) 649–3719; or Eric Raudenbush, investment is to be calculated.3 membership required to report Associate General Counsel, Although each Bank’s capital plan information needed to calculate a [email protected], (202) 649– membership stock purchase 3084, (these are not toll-free numbers), establishes a slightly different method for calculating the required minimum requirement will be 6,950, and that each Federal Housing Finance Agency, 400 institution will submit one report per Seventh Street SW, Washington, DC stock investment for its members, each Bank’s method is tied to some degree to year, resulting in an estimated total of 20219. The Telecommunications Device 6,950 submissions annually. The for the Deaf is (800) 877–8339. both the level of assets held by the member institution (typically referred to estimate for the average time required to SUPPLEMENTARY INFORMATION: as a ‘‘membership stock purchase prepare, review, and submit each report A. Background requirement’’) and the amount of is 0.7 hours. Accordingly, the estimate advances or other business engaged in for the annual hour burden associated The Federal Home Loan Bank System between the member and the Bank with membership stock purchase consists of eleven regional Federal (typically referred to as an ‘‘activity- requirement submissions is (6,950 Home Loan Banks (Banks) and the × based stock purchase requirement’’). reports 0.7 hours per report) = 4,865 Office of Finance (a joint office that A Bank must collect information from hours. issues and services the Banks’ debt its members to determine the minimum securities). The Banks are wholesale 2. Activity-Based Stock Purchase capital stock investment each member is Requirement Submissions financial institutions, organized under required to maintain at any point in FHFA estimates that the average authority of the Federal Home Loan time. Although the information needed number of daily transactions between Bank Act (Bank Act) to serve the public to calculate a member’s required interest by enhancing the availability of Banks and members that will require the residential housing finance and 1 See 12 U.S.C. 1426(a). exchange of information to confirm the community lending credit through their 2 See 12 U.S.C. 1426(b), (c). member’s activity-based stock purchase member institutions and, to a limited 3 See 12 U.S.C. 1426(c)(1); 12 CFR 1277.22, requirement will be 350, and that there extent, through certain eligible 1277.28(a). will be an average of 261 working days

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per year, resulting in an estimated Parties: CMA CGM S.A.; Hapag-Lloyd Agreement No.: 201256–001. 91,350 submissions annually. The AG; Ocean Network Express Pte. Ltd.; Agreement Name: Maersk/MSC Gulf- estimate for the average preparation and Orient Overseas Container Line ECSA Vessel Sharing Agreement. time per submission is 0.2 hours. Limited. Parties: Maersk A/S and Accordingly, the estimate for the annual Filing Party: Wayne Rohde; Cozen Mediterranean Shipping Company S.A. hour burden associated with activity- O’Connor. Filing Party: Wayne Rohde; Cozen based stock purchase requirement Synopsis: The amendment revises O’Connor. submissions is (91,350 submissions × Article 5.2(a) to revise the size and Synopsis: The amendment deletes the 0.2 hours per submission) = 18,270 maximum number of vessels to be expiration date of the Agreement and hours. provided and to delete obsolete changes the name of the Maersk entity language. that is party to the Agreement. D. Comment Request Proposed Effective Date: 6/1/2020. Proposed Effective Date: 6/5/2020. In accordance with the requirements Location: https://www2.fmc.gov/ Location: https://www2.fmc.gov/ of 5 CFR 1320.8(d), FHFA published an FMC.Agreements.Web/Public/ FMC.Agreements.Web/Public/ initial notice and request for public AgreementHistory/553. AgreementHistory/12179. comments regarding this information Agreement No.: 201332–001. Agreement No.: 201271–001. collection in the Federal Register on Agreement Name: Maersk/MSC/SML Agreement Name: MED/USEC Vessel February 19, 2020.4 The 60-day Cooperative Working Agreement. Sharing Agreement. comment period closed on April 20, Parties: Maersk A/S; Mediterranean Parties: Hapag-Lloyd; Yang Ming 2020. FHFA received no comments. Shipping Company S.A.; SM Line Marine Transport Corp. and Yang Ming FHFA requests written comments on Corporation. (UK) Ltd. (acting as a single party); the following: (1) Whether the collection Filing Party: Wayne Rohde; Cozen Ocean Network Express Pte. Ltd.; of information is necessary for the O’Connor. COSCO SHIPPING Lines Co., Ltd.; CMA proper performance of FHFA functions, Synopsis: The amendment adds a new CGM S.A. and APL Co. Pte. Ltd. and including whether the information has Article 12 setting forth a temporary, American President Lines, Ltd. (acting practical utility; (2) the accuracy of alternative arrangement between the as a single party); and Orient Overseas FHFA’s estimates of the burdens of the parties that will apply on an interim Container Line Limited and OOCL collection of information; (3) ways to basis in light of the suspension of the (Europe) Limited (acting as a single enhance the quality, utility, and clarity USWC3 service. party). of the information collected; and (4) Proposed Effective Date: 6/1/2020. Filing Party: Robert Magovern; Cozen ways to minimize the burden of the Location: https://www2.fmc.gov/ O’Connor. collection of information on FMC.Agreements.Web/Public/ Synopsis: The amendment deletes respondents, including through the use AgreementHistory/27468. COSCO SHIPPING Lines (Europe) of automated collection techniques or Agreement No.: 201243–001. GmbH as a party to the Agreement and other forms of information technology. Agreement Name: COSCO SHIPPING/ corrects the address for COSCO Robert Winkler, WHL Slot Charter Agreement. SHIPPING Lines Co., Ltd. Parties: COSCO SHIPPING Lines Co., Proposed Effective Date: 4/23/2020. Chief Information Officer, Federal Housing Location: https://www2.fmc.gov/ Finance Agency. Ltd.; Wan Hai Lines (Singapore) Pte. Ltd.; and Wan Hai Lines Ltd. FMC.Agreements.Web/Public/ [FR Doc. 2020–09107 Filed 4–28–20; 8:45 am] Filing Party: Eric Jeffrey; Nixon AgreementHistory/16275. BILLING CODE 8070–01–P Peabody. Dated: April 24, 2020. Synopsis: The Amendment expands the geographic scope to include Taiwan Rachel E. Dickon, FEDERAL MARITIME COMMISSION and Vietnam, and updates the address Secretary. [FR Doc. 2020–09079 Filed 4–28–20; 8:45 am] Notice of Agreements Filed of WHL (Singapore). Proposed Effective Date: 4/20/2020. BILLING CODE P The Commission hereby gives notice Location: https://www2.fmc.gov/ of the filing of the following agreements FMC.Agreements.Web/Public/ under the Shipping Act of 1984. AgreementHistory/7135. FEDERAL RESERVE SYSTEM Interested parties may submit Agreement No.: 201340. [Docket No. OP–1699] comments, relevant information, or Agreement Name: Hyundai Glovis/ documents regarding the agreements to Kawasaki Kisen Kaisha Ltd. Europe to FEDERAL DEPOSIT INSURANCE the Secretary by email at Secretary@ United States Space Charter Agreement. CORPORATION fmc.gov, or by mail, Federal Maritime Parties: Hyundai Glovis Co., Ltd. and Commission, Washington, DC 20573. Kawasaki Kisen Kaisha, Ltd. RIN 3064–ZA15 Filing Party: Wayne Rohde; Cozen Comments will be most helpful to the Guidance for Resolution Plan O’Connor. Commission if received within 12 days Submissions of Certain Foreign-Based Synopsis: The agreement authorizes of the date this notice appears in the Covered Companies; Extension of Hyundai Glovis to charter space to ‘‘K’’ Federal Register. Copies of agreements Comment Period are available through the Commission’s Line on an ad hoc basis on Hyundai website (www.fmc.gov) or by contacting Glovis vessels in the trades between the AGENCY: Board of Governors of the the Office of Agreements at (202)–523– U.S. East and West Coasts on the one Federal Reserve System (Board) and 5793 or [email protected]. hand and Spain, Italy, France, Belgium, Federal Deposit Insurance Corporation Agreement No.: 011830–013. Germany, the United Kingdom, and (FDIC). Agreement Name: Indamex Cross Sweden on the other hand. ACTION: Proposed guidance; extension of Space Charter, Sailing and Cooperative Proposed Effective Date: 4/21/2020. comment period. Working Agreement. Location: https://www2.fmc.gov/ FMC.Agreements.Web/Public/ SUMMARY: On March 18, 2020, the Board 4 See 85 FR 9471 (Feb. 19, 2020). AgreementHistory/29491. and the FDIC (together, the agencies)

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published in the Federal Register a the Dodd-Frank Wall Street Reform and 30341; telephone (770) 488–3953; email document entitled ‘‘Guidance for Consumer Protection Act.2 address: [email protected]. Resolution Plan Submissions of Certain The document stated that the The Director, Strategic Business Foreign-Based Covered Companies’’ comment period would close on May 5, Initiatives Unit, Office of the Chief (document). The document invited 2020. Since the issuance of the Operating Officer, Centers for Disease comments on proposed guidance for the proposed guidance, the COVID–19 Control and Prevention, has been 2021 and subsequent resolution plan global pandemic has substantially delegated the authority to sign Federal submissions by certain foreign banking disrupted activity in the United States. Register notices pertaining to organizations. The proposed guidance is The effects of the COVID–19 emergency announcements of meetings and other intended to assist these firms in have created many challenges for committee management activities, for developing their resolution plans, households and businesses, and an both the Centers for Disease Control and which are required to be submitted extension of the comment period will Prevention and the Agency for Toxic pursuant to Section 165(d) of the Dodd- provide additional opportunity for the Substances and Disease Registry. Frank Wall Street Reform and Consumer public to prepare comments to address Kalwant Smagh, Protection Act. The document provided the matters raised by the document. Director, Strategic Business Initiatives Unit, for a comment period ending on May 5, Therefore, the agencies are extending Office of the Chief Operating Officer, Centers 2020. The agencies have determined the comment period for the document for Disease Control and Prevention. that an extension of the comment period from May 5, 2020, to June 4, 2020. [FR Doc. 2020–09051 Filed 4–28–20; 8:45 am] until June 4, 2020, is appropriate. This Board of Governors of the Federal Reserve BILLING CODE 4163–18–P action will allow interested parties System. additional time to analyze the proposal Ann E. Misback, and prepare and submit comments. Secretary of the Board. DEPARTMENT OF HEALTH AND DATES: The comment period for the HUMAN SERVICES document entitled ‘‘Guidance for Federal Deposit Insurance Corporation. Dated at Washington, DC, on April 23, Food and Drug Administration Resolution Plan Submissions of Certain 2020. Foreign-Based Covered Companies,’’ Robert E Feldman, [Docket No. FDA–2019–N–5799] published on March 18, 2020 (85 FR 15449), is extended from May 5, 2020, Executive Secretary. Modernizing the Food and Drug to June 4, 2020. [FR Doc. 2020–09096 Filed 4–28–20; 8:45 am] Administration’s Data Strategy; Public BILLING CODE 6210–01–P; 6714–01–P ADDRESSES: You may submit comments Meeting; Extension of Comment Period by any of the methods identified in the AGENCY: Food and Drug Administration, proposal. HHS. FOR FURTHER INFORMATION CONTACT: DEPARTMENT OF HEALTH AND ACTION: Notice of public meeting; Board: Mona Elliot, Deputy Associate HUMAN SERVICES extension of comment period. Director, (202) 452–4688, Division of Supervision and Regulation, Laurie Centers for Disease Control and SUMMARY: The Food and Drug Schaffer, Deputy General Counsel, (202) Prevention Administration (FDA, the Agency, or 452–2272, Jay Schwarz, Special we) is announcing a new date, June 30, Counsel, (202) 452–2970, Steve Bowne, Board of Scientific Counselors, 2020, for the postponed public meeting Senior Counsel, (202) 452–3900, or National Center for Injury Prevention entitled ‘‘Modernizing FDA’s Data Sarah Podrygula, Attorney (202) 912– and Control (BSC/NCIPC); Cancellation Strategy’’ and extending the comment 4658, Legal Division. Users of of Meeting period for docket number FDA–2019– Telecommunications Device for the Deaf N–5799 that appeared in the Federal Notice is hereby given of a change in Register on January 8, 2020. In the (TDD) may call (202) 263–4869. the meeting of the Board of Scientific FDIC: Alexandra Steinberg Barrage, Federal Register notice, FDA requested Counselors, National Center for Injury comments on the purpose of the Associate Director, Policy and Data Prevention and Control (BSC/NCIPC); Analytics, [email protected]; Ronald meeting, which is related to possible April 30, 2020, 12:30 p.m.–03:50 p.m. Agency level approaches to W. Crawley, Jr., Senior Resolution EDT; which was published in the Policy Specialist, [email protected]; modernizing FDA’s data strategy, Federal Register on March 25, 2020, including approaches to data quality, Celia Van Gorder, Senior Counsel, Volume 85, Number 58, page/s/16945– [email protected], (202) 898–6748 or data stewardship, data exchange, and 16946. data analytics. The Agency is taking this Esther Rabin, Counsel, [email protected], This meeting is being cancelled in its (202) 898–6860, Legal Division, Federal action in response to the associated entirety due to the response activities postponed public meeting to allow Deposit Insurance Corporation, 550 17th associated with the COVID–19 Street NW, Washington, DC 20429. interested persons additional time to pandemic. The planned agenda items submit comments. SUPPLEMENTARY INFORMATION: On March for the April meeting will be included 18, 2020, the agencies published in the DATES: The public meeting will be held for discussion in a meeting being on June 30, 2020, from 9 a.m. to 5 p.m. Federal Register 1 a document inviting rescheduled for this summer. We will comments on proposed guidance meant Eastern time. The public meeting may provide updated information in a future be extended or may end early. FDA is to assist certain foreign banking Federal Register Notice. organizations in developing their 2021 extending the comment period on the FOR FURTHER INFORMATION CONTACT: and subsequent resolution plans. These Federal Register notice published Gwendolyn H. Cattledge, Ph.D., MSEH, resolution plans are required to be January 8, 2020, with docket FDA– Deputy Associate Director for Science, submitted pursuant to Section 165(d) of 2019–N–5799. Submit either electronic NCIPC, CDC, 4770 Buford Highway, NE, or written comments by July 30, 2020. Mailstop S106–9, Atlanta, Georgia SUPPLEMENTARY INFORMATION 1 Guidance for Resolution Plan Submissions of See the Certain Foreign-Based Covered Companies. 85 FR section for registration date and 15449 (March 18, 2020). 2 12 U.S.C. 5365(d). information.

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ADDRESSES: The public meeting will be • For written/paper comments FOR FURTHER INFORMATION CONTACT: held at the FDA White Oak Campus, submitted to the Dockets Management Jessica Berrellez, Food and Drug 10903 New Hampshire Ave., Bldg. 31 Staff, FDA will post your comment, as Administration, 10903 New Hampshire Conference Center, the Great Room well as any attachments, except for Ave., Bldg. 1, Rm. 2308, Silver Spring, (Room 1503A), Silver Spring, MD information submitted, marked, and MD 20993, 301–796–0511, 20993–0002. Entrance for the public identified as confidential, if submitted [email protected]. meeting participants (non-FDA as detailed in ‘‘Instructions.’’ SUPPLEMENTARY INFORMATION: employees) is through Building 1, where Instructions: All submissions received routine security check procedures will I. Background must include the Docket No. FDA– be performed. For parking and security 2019–N–5799 for ‘‘Modernizing FDA’s In September 2019, FDA announced information, please refer to https:// Data Strategy; Public Meeting; Request its Technology Modernization Action www.fda.gov/about-fda/white-oak- for Comments.’’ Received comments, Plan (TMAP; https://www.fda.gov/ campus-information/public-meetings- those filed in a timely manner (see about-fda/reports/fdas-technology- fda-white-oak-campus. modernization-action-plan). The TMAP You may submit comments as ADDRESSES), will be placed in the docket and, except for those submitted as describes important near-term actions follows. Please note that late, untimely that FDA is taking to modernize use of filed comments will not be considered. ‘‘Confidential Submissions,’’ publicly viewable at https://www.regulations.gov technology—computer hardware, Electronic comments must be submitted software, data, and analytics—to on or before July 30, 2020. The https:// or at the Dockets Management Staff between 9 a.m. and 4 p.m., Monday advance FDA’s public health mission. www.regulations.gov electronic filing The TMAP will provide a foundation for system will accept comments until through Friday. • developing a more fluid, agile, and 11:59 p.m. Eastern Time at the end of Confidential Submissions—To efficient FDA that is responsive to novel July 30, 2020. Comments received by submit a comment with confidential technologies and rapidly increasing mail/hand delivery/courier (for written/ information that you do not wish to be workloads. paper submissions) will be considered made publicly available, submit your To achieve these goals, FDA intends timely if they are postmarked or the comments only as a written/paper to develop a modernized Agency-wide, delivery service acceptance receipt is on submission. You should submit two strategic approach not only to or before that date. copies total. One copy will include the technology, but to data itself. Data is at Electronic Submissions information you claim to be confidential the heart of FDA’s work as a science- with a heading or cover note that states Submit electronic comments in the based Agency, and we anticipate ‘‘THIS DOCUMENT CONTAINS ongoing, rapid increases in the amount following way: CONFIDENTIAL INFORMATION.’’ The • Federal eRulemaking Portal: and complexity of the data that informs Agency will review this copy, including FDA’s regulatory decision-making https://www.regulations.gov. Follow the the claimed confidential information, in instructions for submitting comments. process and how we advance our public its consideration of comments. The health mission. FDA will hold a public Comments submitted electronically, second copy, which will have the including attachments, to https:// meeting on June 30, 2020, from 9 a.m. claimed confidential information to 5 p.m., to provide an opportunity to www.regulations.gov will be posted to redacted/blacked out, will be available the docket unchanged. Because your hear from FDA staff and outside experts for public viewing and posted on on topics directly related to comment will be made public, you are https://www.regulations.gov. Submit solely responsible for ensuring that your modernizing FDA’s data strategy, both copies to the Dockets Management including data quality, data comment does not include any Staff. If you do not wish your name and confidential information that you or a stewardship, data exchange, and data contact information to be made publicly analytics. third party may not wish to be posted, available, you can provide this such as medical information, your or information on the cover sheet and not II. Topics for Discussion at the Public anyone else’s Social Security number, or in the body of your comments and you Meeting confidential business information, such must identify this information as as a manufacturing process. Please note FDA is gathering scientific and ‘‘confidential.’’ Any information marked technical information to help inform its that if you include your name, contact as ‘‘confidential’’ will not be disclosed information, or other information that development of an Agency-wide, except in accordance with 21 CFR 10.20 strategic approach to modernizing its identifies you in the body of your and other applicable disclosure law. For comments, that information will be data strategy, including data quality, more information about FDA’s posting data stewardship, data exchange, and posted on https://www.regulations.gov. of comments to public dockets, see 80 • If you want to submit a comment data analytics. The Agency has FR 56469, September 18, 2015, or access determined that a public meeting and an with confidential information that you the information at: https:// do not wish to be made available to the open public docket will encourage www.govinfo.gov/content/pkg/FR-2015- public input and engagement in this public, submit the comment as a 09-18/pdf/2015-23389.pdf. written/paper submission and in the important topic. manner detailed (see ‘‘Written/Paper Docket: For access to the docket to The Agency welcomes any relevant Submissions’’ and ‘‘Instructions’’). read background documents or the scientific and technical information electronic and written/paper comments related to FDA’s consideration of the Written/Paper Submissions received, go to https:// following topics: Submit written/paper submissions as www.regulations.gov and insert the 1. Standards and policy, including: follows: docket number, found in brackets in the a. How can FDA best use policy and • Mail/Hand delivery/Courier (for heading of this document, into the common data standards to help ensure written/paper submissions): Dockets ‘‘Search’’ box and follow the prompts the effective and efficient use of data Management Staff (HFA–305), Food and and/or go to the Dockets Management assets? Drug Administration, 5630 Fishers Staff, 5630 Fishers Lane, Rm. 1061, b. What are the consequences/issues Lane, Rm. 1061, Rockville, MD 20852. Rockville, MD 20852. as we move from ‘‘static point-in-time

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data sets’’ to updating digital data limited; therefore, FDA may limit the publishes in the Federal Register, but streams for analyses? number of in-person attendees from websites are subject to change over time. c. As we move into increased sharing each organization. An agenda for the public meeting and and integrated data sets, how might Given the current uncertainty related any other background materials will be FDA manage data in a way that avoids to FDA’s ability to hold in-person made available 5 days before the public unnecessary duplication? meetings of more than 10 people on a meeting at https://www.fda.gov/news- 2. Data security, privacy, and given future date, it is possible that this events/fda-meetings-conferences-and- management including: may be converted to a virtual meeting or workshops/modernizing-fdas-data- a. How can FDA modernize its data may be postponed. Please check the strategy-03272020-03272020. strategy to continue ensuring privacy meeting website for the latest Persons attending FDA’s meetings are and security of data? information: https://www.fda.gov/news- advised that the Agency is not b. What should FDA do to promote events/fda-meetings-conferences-and- responsible for providing access to the management and organization of workshops/modernizing-fdas-data- electrical outlets. data assets across the Agency, as the strategy-03272020-03272020. Transcripts: Please be advised that as amount and complexity of data (e.g., in If you need special accommodations soon as a transcript of the public regulatory submissions to FDA) is due to a disability, please contact meeting is available, it will be accessible rapidly increasing? [email protected] (see FOR at https://www.regulations.gov. It may 3. Data strategies and data sharing, FURTHER INFORMATION CONTACT) no later be viewed at the Dockets Management including: than 11:59 p.m. Eastern Time on June Staff (see ADDRESSES). A link to the a. How can FDA’s data strategy 23, 2020. facilitate broader goals of integration Participants: FDA is interested in transcript will also be available on the and interoperability of health care data gathering scientific and technical internet at https://www.fda.gov/news- and scientific data/virtual patient data information from individuals with a events/fda-meetings-conferences-and- generated using scientific models? broad range of perspectives on the workshops/modernizing-fdas-data- b. How can FDA design its data topics to be discussed at the public strategy-03272020-03272020. strategy to reflect a global marketplace meeting. Participants will include those Dated: April 23, 2020. and promote clarity to data providers who submitted nominations through the Lowell J. Schiller, like regulated industry and other Federal Register notice published Principal Associate Commissioner for Policy. stakeholders? January 8, 2020, with docket number [FR Doc. 2020–09045 Filed 4–28–20; 8:45 am] c. How can FDA design its data FDA–2019–N–5799. They will discuss BILLING CODE 4164–01–P strategy and policy development to their scientific and/or technical facilitate appropriate data access, data knowledge on the questions and sharing within the Agency and via data presentations in each session. DEPARTMENT OF HEALTH AND sharing agreements, as well as the Participants will be responsible for their HUMAN SERVICES appropriate reuse and repurposing of own travel arrangements. New data to advance Agency regulatory nominations are not being solicited and Office of the Secretary science priorities? will not be accepted. d. For stakeholders, including Streaming Webcast of the Public Findings of Research Misconduct regulated industry that submit data to Meeting: This public meeting will also FDA, how can FDA enhance the be webcast. Please register for the AGENCY: Office of the Secretary, HHS. efficiency of the preparation and streaming webcast of the workshop via ACTION: Request for information (RFI). submission of data to FDA? https://modernizing datastrategy.eventbrite.com by 5 p.m. SUMMARY: The Department of Health and III. Attending and Participating in the Eastern Time on June 26, 2020. Pre- Human Services (HHS), Office of Public Meeting registration for the webcast is Research Integrity (ORI) is seeking Registration: If you wish to attend this recommended, but not required. This is information and comments from entities public meeting in person, please register a new registration. If you registered for and individuals regarding best practices via https://modernizing the March 27, 2020, public meeting, for sequestering evidence during datastrategy.eventbrite.com by 5 p.m. your registration will NOT carry over. research misconduct proceedings under Eastern Time on June 26, 2020. Those The webcast will be available and active 42 CFR part 93. In particular, ORI is without email access can register to during the public meeting at https:// interested in learning about challenges attend in person by contacting Jessica collaboration.fda.gov/data063020/. In and solutions in sequestering digital Berrellez at 301–796–0511 by June 26, the event that this meeting is converted evidence, such as data stored in cloud 2020 (see FOR FURTHER INFORMATION to a virtual meeting, options for remote environments and on personal CONTACT). Please provide complete participation may change. Please check electronic equipment or storage devices. contact information for each attendee, the meeting website for the latest ORI will use this information to prepare including name, title, affiliation, information: https://www.fda.gov/news- guidelines to support institutions address, email, and telephone. If you events/fda-meetings-conferences-and- carrying out research misconduct registered for the March 27, 2020, public workshops/modernizing-fdas-data- proceedings. meeting, your registration will NOT strategy-03272020-03272020. Responses to the RFI must be received carry over and you must register for this If you have never attended a Connect electronically at the email address as a new meeting. Space will be limited. Pro event before, test your connection at provided below no later than 5:00 p.m. Registration is free and based on https://collaboration.fda.gov/common/ ET 45 days after the publication of this space availability, with priority given to help/en/support/meeting_test.htm. To RFI. early registrants. Persons interested in get a quick overview of the Connect Pro Interested parties are to submit attending this public meeting must program, visit https://www.adobe.com/ comments electronically to OASH-ORI- register by 5 p.m. Eastern Time on June go/connectpro_overview. FDA has [email protected]. Include 26, 2020. Early registration is verified the website addresses in this ‘‘Sequestration RFI’’ in the subject line recommended because seating is document, as of the date this document of the email. Mailed paper submissions

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and submissions received after the interest include but are not limited to the U.S. Government to contract for any deadline will not be reviewed. the following: supplies or services or to make a grant • FOR FURTHER INFORMATION CONTACT: Digital data can be an important award. Further, ORI is not seeking Elisabeth A. Handley, Director, Office of source of evidence for research proposals through this RFI and will not Research Integrity, 1101 Wootton misconduct proceedings. What unique accept unsolicited proposals. Parkway, Suite 240, Rockville, MD challenges exist when collecting digital Responders are advised that the U.S. 20852, (240) 453–8200. data and what approaches successfully Government will not pay for any address them? ORI is especially information or administrative costs SUPPLEMENTARY INFORMATION: interested in learning the following: incurred in responding to this RFI; all Background: 42 CFR part 93 ➢ How do institutions identify costs associated with responding to this establishes several requirements sources of digital data that need to be RFI will be solely at the expense of the regarding the reporting and sequestered? interested parties. ORI notes that not investigation of research misconduct to ➢ Digital data may be located on responding to this RFI does not which institutions must adhere to devices not necessarily owned by the preclude participation in any future receive Public Health Service (PHS) institution, such as personal computers procurement, if conducted. It is the funding. Per § 93.305(a), an institution and storage devices, cloud-based and responsibility of the potential must: online services, and personal email. responders to monitor this RFI Either before or when the institution What approaches are successful in announcement for additional notifies the respondent of the allegation, securing data in these situations? What information pertaining to this request. inquiry or investigation, promptly take all data policies address this issue? ORI will actively consider all input as reasonable and practical steps to obtain • ORI has observed that sequestration custody of all the research records and our office develops future regulatory tends to be more successful when proposals or future sub-regulatory evidence needed to conduct the research institutions assemble a team of misconduct proceeding, inventory the policy guidance. ORI may or may not records and evidence, and sequester them in individuals with different expertise to choose to contact individual responders. a secure manner, except that where the assist in in the gathering and securing Such communications would be for the research records or evidence encompass of evidence. Thus, ORI is interested in sole purpose of clarifying statements in scientific instruments shared by a number of learning the following: ➢ the responders’ written responses. users, custody may be limited to copies of the What is the technical makeup of Responses to this notice are not offers data or evidence on such instruments, so successful teams, especially regarding long as those copies are substantially and cannot be accepted by the U.S. digital evidence? Government to form a binding contract equivalent to the evidentiary value of the ➢ How are members selected and or to issue a grant. Information obtained instruments.... [Emphasis added]. trained? • Institutions may have their own as a result of this RFI may be used by Failing to properly sequester data can the U.S. Government for program have a significant detrimental impact on specific policies, procedures, guidelines, instructions, or other tools to planning on a non-attribution basis. the outcome of a research misconduct Respondents should not include any proceeding. Common issues that can enable them to meet their broad obligation under § 93.305(a) to properly information that might be considered negatively affect the examination of proprietary or confidential. This RFI evidence include: sequester evidence for research misconduct proceedings. Thus, ORI is should not be construed as a • Notifying a respondent about a interested in learning the following: commitment or authorization to incur misconduct proceeding before ➢ What institutional policies, cost for which reimbursement would be sequestration required or sought. All submissions • procedures, and guidelines have been failing to sequester all relevant effective in ensuring successful become U.S. Government property and evidence, such as digital data stored sequestration? will not be returned. on personal computers and storage ➢ To assist institutions in Dated: April 22, 2022. devices formulating their own policies, the ORI Elisabeth A. Handley, • failing to sequester forensic images of website provides example Policies and Director, Office of Research Integrity, Office hard drives Procedures for Research Misconduct at • of the Assistant Secretary for Health. failing to fully document the https://ori.hhs.gov/sample-policy- sequestration process and maintain a [FR Doc. 2020–09086 Filed 4–28–20; 8:45 am] procedures-responding-research- BILLING CODE 4150–31–P detailed chain of custody for each misconduct-allegations. Although item sequestered institutions are not required to adopt the To better support institutions in exact text as presented, ORI considers DEPARTMENT OF HEALTH AND carrying out their responsibility for institutions that do so to be compliant HUMAN SERVICES maintenance and custody of research with their obligation under records and evidence, ORI intends to § 93.302(a)(1) to establish policies and [Document Identifier OS–0990-new] publish guidelines that will inform procedures in compliance with 42 CFR interested parties of best practices for part 93. What additions or changes are Agency Information Collection sequestering evidence during a research appropriate for these sample Policies Request. 30-Day Public Comment misconduct proceeding. and Procedures to reflect the growing Request Request for information and digital landscape, especially regarding comments: In preparation for producing sequestering digital evidence? AGENCY: Office of the Secretary, HHS. guidelines on sequestration, ORI is Collection of Information ACTION: Notice. interested in learning what major Requirements: Please note: This RFI is challenges exist in the sequestration issued solely for information and SUMMARY: In compliance with the process and approaches to overcome planning purposes; it does not requirement of the Paperwork them. ORI is particularly interested in constitute a Request for Proposals Reduction Act of 1995, the Office of the best practices in the sequestering of (RFPs), applications, proposal abstracts, Secretary (OS), Department of Health digital evidence. Specific topics of or quotations. This RFI does not commit and Human Services, is publishing the

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following summary of a proposed Title of the Collection: Substance Use requirements for using patient collection for public comment. Disorder Patient Placement Criteria placement criteria and assessment tools Used By States. for individuals with SUD. Additional DATES: Comments on the ICR must be Type of Collection: New. questions ask how data from the received on or before May 29, 2020. The Office of the Assistant Secretary placement criteria and/or assessment ADDRESSES: Submit your comments to for Planning and Evaluation (ASPE) at tools are maintained; if level of care data [email protected] or via the U.S. Department of Health and has been used to help determine service facsimile to (202) 395–5806. Human Services (HHS) is requesting gaps and need for greater capacity; and Office of Management and Budget whether the respondent could provide FOR FURTHER INFORMATION CONTACT: (OMB) approval for a one-time survey of weblinks to available information on the Sherrette Funn, [email protected] state agencies regarding their use of criteria used in their state. or (202) 795–7714. When submitting substance use disorder (SUD) patient Two individuals from each state and comments or requesting information, placement criteria and assessment tools. the District of Columbia will be invited please include the document identifier The proposed survey is one component to respond to the survey. Respondents 0990-New-30D and project title for of a larger project to assess the will be representatives from each state’s reference. feasibility of gathering and utilizing Single State Authority (SSA) and the needs assessment data to identify and Medicaid Agency. An eighty-five SUPPLEMENTARY INFORMATION: Interested address unmet patient needs by levels of percent response rate is anticipated, persons are invited to send comments care. Results from this survey will resulting in an estimated 87 total regarding this burden estimate or any provide ASPE with information about participants. other aspect of this collection of the types of patient placement data information, including any of the states collect and maintain, and the This project falls under Section 301 of following subjects: (1) The necessity and degree to which the data can be used to the Public Health Service Act (42U.S.C. utility of the proposed information understand the SUD treatment gap. 241) [280–1a] which authorizes the collection for the proper performance of These results will provide ASPE with Office of the Secretary to conduct and the agency’s functions; (2) the accuracy information that can be used to develop coordinate studies relating to the causes, of the estimated burden; (3) ways to a multistate dataset of needs assessment diagnosis, treatment, control, and enhance the quality, utility, and clarity that can be updated over time. Such a prevention of physical and mental of the information to be collected; and dataset is necessary for understanding diseases. (4) the use of automated collection and addressing treatment needs in the The total annual burden hours techniques or other forms of information nation on an ongoing basis. estimated for this information collection technology to minimize the information The 17-question survey requests request are summarized in the table collection burden. information related to state below.

TOTAL ESTIMATED ANNUALIZED BURDEN—HOURS

Average Number of Number of burden per Total annual Forms respondents responses per response burden respondent (hours) (hours)

Survey on SUD Placement Criteria ...... 87 1 10/60 14.5

Sherrette A. Funn, comments regarding this burden information collections must be directed Office of the Secretary, Paperwork Reduction estimate or any other aspect of this to the OS Paperwork Clearance Officer Act Reports Clearance Officer. collection of information, including any at the above email address within 7- [FR Doc. 2020–09108 Filed 4–28–20; 8:45 am] of the following subjects: (1) The days. BILLING CODE 4151–05–P necessity and utility of the proposed Proposed Project: COVID–19 by PCR information collection for the proper Requisition Form. performance of the agency’s functions; OMB No. 0990–NEW. DEPARTMENT OF HEALTH AND (2) the accuracy of the estimated Emergency Information Collection HUMAN SERVICES burden; (3) ways to enhance the quality, Clearance Request utility, and clarity of the information to [Document Identifier OS–0990–New] Office: HHS, Office of the Assistant be collected; and (4) the use of Secretary for Health, Office of the Agency Emergency Information automated collection techniques or Surgeon General. Collection Clearance Request for other forms of information technology to Abstract: The COVID–19 by PCR Public Comment minimize the information collection Requisition Form will be used to collect burden. AGENCY: Office of the Secretary, HHS. information from individuals who are To obtain copies of the supporting ACTION: Notice. participating in the federally supported, statement and any related forms for the state managed, locally executed CBTS In compliance with the requirement proposed paperwork collections program to obtain COVID–19 laboratory of the Paperwork Reduction Act of 1995, referenced above, email your request, testing. The COVID–19 by PCR the Office of the Secretary (OS), including your address, phone number, Requisition Form will be used by Department of Health and Human OMB number, and OS document approximately 200,000 individuals. The Services, is publishing the following identifier, to [email protected], or Lab Requisition form includes the summary of a proposed information call the Reports Clearance Office on ordering physician information, the collection request for public comment. (202) 795–7714. Written comments and laboratory account information, the date Interested persons are invited to send recommendations for the proposed of collection, the time of collection; the

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individual’s last name, first name, date consent and received a copy of the state health department, and the of birth, gender, language, race, privacy notice. The information from contracted call center. Aggregate data is ethnicity, address, phone number, the Lab Requisition form is shared with shared with HHS and FEMA. insurance carrier name, and whether the the ordering provider, the contracted individual has provided informed laboratory companies, the cognizant

ESTIMATED ANNUALIZED BURDEN TABLE

Number of Average Type of respondent Number of responses per burden hours Total burden respondents respondent per response hours

Individuals receiving COVID–19 testing ...... 200,000 1 .1 20,000

Sherrette A. Funn, Dated: April 23, 2020. and Hematology Research, National Institutes Office of the Secretary, Paperwork Reduction Miguelina Perez, of Health, HHS) Act Reports Clearance Officer. Program Analyst, Office of Federal Advisory Dated: April 23, 2020. [FR Doc. 2020–09039 Filed 4–28–20; 8:45 am] Committee Policy. Miguelina Perez, BILLING CODE 4150–36–P [FR Doc. 2020–09047 Filed 4–28–20; 8:45 am] Program Analyst, Office of Federal Advisory BILLING CODE 4140–01–P Committee Policy. [FR Doc. 2020–09049 Filed 4–28–20; 8:45 am] DEPARTMENT OF HEALTH AND BILLING CODE 4140–01–P HUMAN SERVICES DEPARTMENT OF HEALTH AND HUMAN SERVICES National Institutes of Health DEPARTMENT OF HEALTH AND National Institutes of Health National Institute on Aging; Notice of HUMAN SERVICES Closed Meeting National Institute of Diabetes and National Institutes of Health Digestive and Kidney Diseases; Notice Pursuant to section 10(d) of the of Closed Meeting Federal Advisory Committee Act, as National Institute of Biomedical amended, notice is hereby given of the Pursuant to section 10(d) of the Imaging and Bioengineering; Notice of following meeting. Federal Advisory Committee Act, as Closed Meeting The meeting will be closed to the amended, notice is hereby given of the Pursuant to section 10(d) of the public in accordance with the following meeting. Federal Advisory Committee Act, as provisions set forth in sections The meeting will be closed to the amended, notice is hereby given of a 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., public in accordance with the meeting of the National Institute of as amended. The grant applications and provisions set forth in sections Biomedical Imaging and Bioengineering the discussions could disclose 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., Special Emphasis Panel. confidential trade secrets or commercial as amended. The grant applications and property such as patentable material, the discussions could disclose The meetings will be closed to the and personal information concerning confidential trade secrets or commercial public in accordance with the individuals associated with the grant property such as patentable material, provisions set forth in sections applications, the disclosure of which and personal information concerning 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., would constitute a clearly unwarranted individuals associated with the grant as amended. The grant applications and invasion of personal privacy. applications, the disclosure of which the discussions could disclose confidential trade secrets or commercial Name of Committee: National Institute on would constitute a clearly unwarranted invasion of personal privacy. property such as patentable material, Aging Special Emphasis Panel; Clinical and personal information concerning Cognitive Screening. Name of Committee: National Institute of Date: May 18, 2020. individuals associated with the grant Diabetes and Digestive and Kidney Diseases applications, the disclosure of which Time: 11:00 a.m. to 3:00 p.m. Initial Review Group Digestive Diseases and Agenda: To review and evaluate grant Nutrition DDK–C Subcommittee. would constitute a clearly unwarranted applications. Date: June 17–19, 2020. invasion of personal privacy. Place: National Institute on Aging, Time: 6:00 p.m. to 12:00 p.m. Name of Committee: National Gateway Building, 7201 Wisconsin Avenue, Agenda: To review and evaluate grant Institute of Biomedical Imaging and Bethesda, MD 20892. (Telephone Conference applications. Bioengineering Special Emphasis Panel; Call) Place: National Institutes of Health, 6706 P41 BTRC Review F–SEP. Contact Person: Greg Bissonette, Ph.D., Democracy Blvd., Bethesda, MD 20892. Scientific Review Officer, Scientific Review (Telephone Conference Call) Date: June 10–12, 2020. Branch, National Institute on Aging, National Contact Person: Maria E. Davila-Bloom, Time: 09:00 a.m. to 05:00 p.m. Institutes of Health, 7201 Wisconsin Avenue, Ph.D., Scientific Review Officer, Review Agenda: To review and evaluate grant Gateway Building, Suite 2W200, BETHESDA, Branch, Division of Extramural Activities, applications. MD 20892, (301) 402–1622, bissonettegb@ NIDDK, National Institutes of Health, Room Place: National Institutes of Health, mail.nih.gov. 7017, 6707 Democracy Boulevard, Bethesda, Democracy II, 6707 Democracy Blvd., This notice is being published less than 15 MD 20892–5452, (301) 594–7637, davila- days prior to the meeting due to the timing [email protected]. Rockville, MD 20852. Contact Person: Dennis Hlasta, Ph.D., limitations imposed by the review and (Catalogue of Federal Domestic Assistance funding cycle. Program Nos. 93.847, Diabetes, Scientific Review Officer, National (Catalogue of Federal Domestic Assistance Endocrinology and Metabolic Research; Institute of Biomedical Imaging, and Program Nos. 93.866, Aging Research, 93.848, Digestive Diseases and Nutrition Bioengineering, National Institutes of National Institutes of Health, HHS) Research; 93.849, Kidney Diseases, Urology Health, 6707 Democracy Blvd.,

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Bethesda, MD 20892, (301) 451–4794, FOR FURTHER INFORMATION CONTACT: Mr. www.regulations.gov, contact the person [email protected]. A.L. Craig, Office of Privacy in the FOR FURTHER INFORMATION (Catalogue of Federal Domestic Management, telephone 202–475–3528, CONTACT section of this document for Assistance Program Nos. 93.866, or fax 202–372–8405, for questions on alternate instructions. Documents National Institute of Biomedical Imaging these documents. mentioned in this notice, and all public and Bioengineering, National Institutes SUPPLEMENTARY INFORMATION: comments, are in our online docket at of Health, HHS) Public Participation and Request for https://www.regulations.gov and can be Dated: April 23, 2020. Comments viewed by following that website’s instructions. Additionally, if you go to Miguelina Perez, This notice relies on the authority of the online docket and sign up for email Program Analyst, Office of Federal Advisory the Paperwork Reduction Act of 1995; Committee Policy. alerts, you will be notified when 44 U.S.C. chapter 35, as amended. An [FR Doc. 2020–09048 Filed 4–28–20; 8:45 am] ICR is an application to OIRA seeking comments are posted. BILLING CODE 4140–01–P the approval, extension, or renewal of a We accept anonymous comments. All Coast Guard collection of information comments received will be posted (Collection). The ICR contains without change to https:// DEPARTMENT OF HOMELAND information describing the Collection’s www.regulations.gov and will include SECURITY purpose, the Collection’s likely burden any personal information you have on the affected public, an explanation of provided. For more about privacy and Coast Guard the necessity of the Collection, and submissions in response to this other important information describing [Docket No. USCG–2020–0183] document, see DHS’s eRulemaking the Collection. There is one ICR for each System of Records notice (85 FR 14226, Collection. March 11, 2020). Information Collection Request to The Coast Guard invites comments on Office of Management and Budget; whether this ICR should be granted Information Collection Request OMB Control Number: 1625–0025 based on the Collection being necessary Title: Carriage of Bulk Solids AGENCY: Coast Guard, DHS. for the proper performance of Departmental functions. In particular, Requiring Special Handling—46 CFR ACTION: Sixty-day notice requesting the Coast Guard would appreciate part 148. comments. comments addressing: (1) The practical OMB Control Number: 1625–0025. utility of the Collection; (2) the accuracy SUMMARY: In compliance with the Summary: As specified in 46 CFR part Paperwork Reduction Act of 1995, the of the estimated burden of the Collection; (3) ways to enhance the 148, the petition for a Special Permit U.S. Coast Guard intends to submit an allows the Coast Guard to determine the Information Collection Request (ICR) to quality, utility, and clarity of manner of safe carriage for unlisted the Office of Management and Budget information subject to the Collection; materials. The information required by (OMB), Office of Information and and (4) ways to minimize the burden of Dangerous Cargo Manifests and Regulatory Affairs (OIRA), requesting an the Collection on respondents, extension of its approval for the including the use of automated Shipping Papers permit vessel crews following collection of information: collection techniques or other forms of and emergency personnel to properly 1625–0025, Carriage of Bulk Solids information technology. Consistent with and safely respond to accidents Requiring Special Handling; without the requirements of Executive Order involving hazardous substances. See 46 change. Our ICR describes the 13771, Reducing Regulation and CFR 148 Subpart B and §§ 148.60 and information we seek to collect from the Controlling Regulatory Costs, and 148.70. public. Before submitting this ICR to Executive Order 13777, Enforcing the Need: The Coast Guard administers OIRA, the Coast Guard is inviting Regulatory Reform Agenda, the Coast and enforces statutes and rules for the comments as described below. Guard is also requesting comments on safe transport and stowage of hazardous the extent to which this request for DATES: Comments must reach the Coast materials, including bulk solids. Guard on or before June 29, 2020. information could be modified to reduce the burden on respondents. Forms: Not applicable. ADDRESSES: You may submit comments In response to your comments, we Respondents: Owners and operators identified by Coast Guard docket may revise this ICR or decide not to seek of vessels that carry certain bulk solids. number [USCG–2020–0183] to the Coast an extension of approval for the Guard using the Federal eRulemaking Collection. We will consider all Frequency: On occasion. Portal at https://www.regulations.gov. comments and material received during Hour Burden Estimate: The estimated See the ‘‘Public participation and the comment period. burden has increased from 850 hours to request for comments’’ portion of the We encourage you to respond to this 910 hours a year due to an increase in SUPPLEMENTARY INFORMATION section for request by submitting comments and the estimated annual number of further instructions on submitting related materials. Comments must responses. comments. contain the OMB Control Number of the Authority: The Paperwork Reduction Act A copy of the ICR is available through ICR and the docket number of this of 1995; 44 U.S.C. chapter 35, as amended. the docket on the internet at https:// request, [USCG–2020–0183], and must www.regulations.gov. Additionally, be received by June 29, 2020. Kathleen Claffie, copies are available from: Submitting Comments Chief, Office of Privacy Management, U.S. COMMANDANT (CG–6P), ATTN: Coast Guard. PAPERWORK REDUCTION ACT We encourage you to submit [FR Doc. 2020–09103 Filed 4–28–20; 8:45 am] MANAGER, U.S. COAST GUARD, 2703 comments through the Federal MARTIN LUTHER KING JR. AVE SE, eRulemaking Portal at https:// BILLING CODE 9110–04–P STOP 7710, WASHINGTON, DC 20593– www.regulations.gov. If your material 7710. cannot be submitted using https://

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DEPARTMENT OF HOMELAND (Collection). The ICR contains www.regulations.gov and will include SECURITY information describing the Collection’s any personal information you have purpose, the Collection’s likely burden provided. For more about privacy and Coast Guard on the affected public, an explanation of submissions in response to this [Docket No. USCG–2020–0182] the necessity of the Collection, and document, see DHS’s eRulemaking other important information describing System of Records notice (85 FR 14226, Information Collection Request to the Collection. There is one ICR for each March 11, 2020). Collection. Office of Management and Budget; Information Collection Request OMB Control Number: 1625–0007 The Coast Guard invites comments on whether this ICR should be granted Title: Characteristics of Liquid AGENCY: Coast Guard, DHS. based on the Collection being necessary Chemicals Proposed for Bulk Water ACTION: Sixty-day notice requesting for the proper performance of Movement comments. Departmental functions. In particular, OMB Control Number: 1625–0007 the Coast Guard would appreciate Summary: Chemical manufacturers SUMMARY: In compliance with the comments addressing: (1) The practical submit chemical data to the Coast Paperwork Reduction Act of 1995, the utility of the Collection; (2) the accuracy Guard. The Coast Guard evaluates the U.S. Coast Guard intends to submit an of the estimated burden of the information for hazardous properties of Information Collection Request (ICR) to Collection; (3) ways to enhance the the chemical to be shipped via tank the Office of Management and Budget quality, utility, and clarity of vessel. A determination is made as to (OMB), Office of Information and information subject to the Collection; the kind and degree of precaution which Regulatory Affairs (OIRA), requesting an and (4) ways to minimize the burden of must be taken to protect the vessel and extension of its approval for the the Collection on respondents, its contents. following collection of information: including the use of automated Need: 46 CFR parts 30 to 40, 151, 153, 1625–0007, Characteristics of Liquid collection techniques or other forms of and 154 govern the transportation of Chemicals Proposed for Bulk Water information technology. Consistent with hazardous materials. The chemical Movement; without change. Our ICR the requirements of Executive Order industry constantly produces new describes the information we seek to 13771, Reducing Regulation and materials that must be moved by water. collect from the public. Before Controlling Regulatory Costs, and Each of these new materials has unique submitting this ICR to OIRA, the Coast Executive Order 13777, Enforcing the characteristics that require special Guard is inviting comments as Regulatory Reform Agenda, the Coast attention to their mode of shipment. described below. Guard is also requesting comments on Forms: None. DATES: Comments must reach the Coast the extent to which this request for Respondents: Manufacturers of Guard on or before June 29, 2020. information could be modified to reduce chemicals. ADDRESSES: You may submit comments the burden on respondents. Frequency: On occasion. identified by Coast Guard docket In response to your comments, we Hour Burden Estimate: The estimated number [USCG–2020–0182] to the Coast may revise this ICR or decide not to seek annual burden of 600 hours a year Guard using the Federal eRulemaking an extension of approval for the remains unchanged. Portal at https://www.regulations.gov. Collection. We will consider all comments and material received during (Authority: The Paperwork Reduction Act of See the ‘‘Public participation and 1995; 44 U.S.C. chapter 35, as amended) request for comments’’ portion of the the comment period. We encourage you to respond to this SUPPLEMENTARY INFORMATION section for Kathleen Claffie, request by submitting comments and further instructions on submitting Chief, Office of Privacy Management, U.S. related materials. Comments must comments. Coast Guard. contain the OMB Control Number of the A copy of the ICR is available through [FR Doc. 2020–09064 Filed 4–28–20; 8:45 am] ICR and the docket number of this the docket on the internet at https:// request, [USCG–2020–0182], and must BILLING CODE 9110–04–P www.regulations.gov. Additionally, be received by June 29, 2020. copies are available from: COMMANDANT (CG–6P), ATTN: Submitting Comments DEPARTMENT OF HOUSING AND PAPERWORK REDUCTION ACT We encourage you to submit URBAN DEVELOPMENT MANAGER, U.S. COAST GUARD, 2703 comments through the Federal MARTIN LUTHER KING JR. AVE SE, eRulemaking Portal at https:// [Docket No. FR–6211–N–01] STOP 7710, WASHINGTON, DC 20593– www.regulations.gov. If your material 7710. Housing Trust Fund Federal Register cannot be submitted using https:// Allocation Notice FOR FURTHER INFORMATION CONTACT: Mr. www.regulations.gov, contact the person A.L. Craig, Office of Privacy in the FOR FURTHER INFORMATION AGENCY: Office of the Assistant Management, telephone 202–475–3528, CONTACT section of this document for Secretary for Community Planning and or fax 202–372–8405, for questions on alternate instructions. Documents Development, HUD. these documents. mentioned in this notice, and all public ACTION: Notice of Fiscal Year 2020 SUPPLEMENTARY INFORMATION: comments, are in our online docket at Funding Awards. https://www.regulations.gov and can be Public Participation and Request for viewed by following that website’s SUMMARY: The Housing and Economic Comments instructions. Additionally, if you go to Recovery Act of 2008 (HERA) This notice relies on the authority of the online docket and sign up for email established the Housing Trust Fund the Paperwork Reduction Act of 1995; alerts, you will be notified when (HTF) to be administered by HUD. 44 U.S.C. chapter 35, as amended. An comments are posted. Pursuant to the Federal Housing ICR is an application to OIRA seeking We accept anonymous comments. All Enterprises Financial Security and the approval, extension, or renewal of a comments received will be posted Soundness Act of 1992 (the Act), as Coast Guard collection of information without change to https:// amended by HERA, Division A, eligible

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HTF grantees are the 50 states, the Dated: April 24, 2020. DEPARTMENT OF THE INTERIOR District of Columbia, the John Gibbs, Commonwealth of Puerto Rico, Acting Assistant Secretary for Community Fish and Wildlife Service American Samoa, Guam, the Planning and Development. [FWS–R1–ES–2020–N070; Commonwealth of Northern Mariana FXES11130100000–201–FF01E00000] Appendix A: FY 2020 Housing Trust Islands, and the United States Virgin Fund Allocation Amounts Islands. In accordance with Section Endangered Species; Receipt of 1338 (c)(4)(A) of the Act, this notice Recovery Permit Applications Grantee FY 2020 announces the formula allocation allocation AGENCY: Fish and Wildlife Service, amount for each eligible HTF grantee. Interior. 1 Alabama ...... $3,123,706 FOR FURTHER INFORMATION CONTACT: ACTION: Notice of receipt of permit 2 Alaska ...... 3,000,000 applications; request for comments. Virginia Sardone, Director, Office of 3 Arizona ...... 5,070,454 Affordable Housing Programs, Room 4 Arkansas ...... 3,000,000 SUMMARY: We, the U.S. Fish and 7164, Department of Housing and Urban 5 California ...... 50,839,161.66 Wildlife Service, have received Development, 451 Seventh Street SW, 6 Colorado ...... 4,411,358 applications for permits to conduct Washington, DC 20410–7000; telephone 7 Connecticut ...... 3,750,859 activities intended to enhance the (202) 708–2684. (This is not a toll-free 8 Delaware ...... 3,000,000 propagation and survival of endangered number.) A telecommunications device 9 District of Columbia ...... 3,000,000 species under the Endangered Species 10 Florida ...... 14,371,181 for hearing- and speech-impaired Act of 1973, as amended. We invite the 11 Georgia ...... 7,361,716 public and local, State, Tribal, and persons (TTY) is available at 800–877– 12 Hawaii ...... 3,000,000 Federal agencies to comment on these 8339 (Federal Information Relay 13 Idaho ...... 3,000,000 Service). (This is a toll-free number). 14 Illinois ...... 12,424,008 applications. Before issuing the 15 Indiana ...... 4,644,564 requested permits, we will take into SUPPLEMENTARY INFORMATION: Section consideration any information that we 1131 of HERA Division A amended the 16 Iowa ...... 3,000,000 17 Kansas ...... 3,000,000 receive during the public comment Act to add a new section 1337 entitled 18 Kentucky ...... 3,152,170 period. ‘‘Affordable Housing Allocations’’ and a 19 Louisiana ...... 3,609,159 DATES: We must receive your written new section 1338 entitled ‘‘Housing 20 Maine ...... 3,000,000 comments on or before May 29, 2020. Trust Fund.’’ HUD’s implementing 21 Maryland ...... 4,420,359 ADDRESSES: Document availability and regulations are codified at 24 CFR part 22 Massachusetts ...... 7,039,756 comment submission: Submit requests 93. Congress authorized the HTF with 23 Michigan ...... 7,364,581 for copies of the applications and the stated purpose of: (1) Increasing and 24 Minnesota ...... 4,078,002 related documents and submit any 25 Mississippi ...... 3,000,000 preserving the supply of rental housing comments by one of the following 26 Missouri ...... 4,668,023 for extremely low-income families with methods. All requests and comments incomes between 0 and 30 percent of 27 Montana ...... 3,000,000 28 Nebraska ...... 3,000,000 should specify the applicant name and area median income and very low- 29 Nevada ...... 3,142,533 application number (e.g., Dana Ross TE– income families with incomes between 30 New Hampshire ...... 3,000,000 08964A–2): 30 and 50 percent of area median • Email: [email protected]. 31 New Jersey ...... 10,037,054 • income, including homeless families, 32 New Mexico ...... 3,000,000 U.S. Mail: Marilet Zablan, Program and (2) increasing homeownership for 33 New York ...... 29,127,880 Manager, Restoration and Endangered extremely low-income and very low- 34 North Carolina ...... 7,251,897 Species Classification, Ecological income families. Section 1337 of the Act 35 North Dakota ...... 3,000,000 Services, U.S. Fish and Wildlife Service, provides for the HTF (and other 36 Ohio ...... 8,755,082 Pacific Regional Office, 911 NE 11th programs) to be funded with an 37 Oklahoma ...... 3,000,000 Avenue, Portland, OR 97232–4181. affordable housing set-aside by Fannie 38 Oregon ...... 4,399,904 FOR FURTHER INFORMATION CONTACT: Mae and Freddie Mac. The total set- 39 Pennsylvania ...... 9,729,334 Colleen Henson, Regional Recovery 40 Rhode Island ...... 3,000,000 aside amount is equal to 4.2 basis points Permit Coordinator, Ecological Services, 41 South Carolina ...... 3,438,676 (503) 231–6131 (phone); permitsR1ES@ (.042 percent) of Fannie Mae and 42 South Dakota ...... 3,000,000 fws.gov (email). Individuals who are Freddie Mac’s new mortgage purchases, 43 Tennessee ...... 4,334,563 hearing or speech impaired may call the a portion of which is for the HTF. 44 Texas ...... 16,617,908 Federal Relay Service at 1–800–877– Section 1338 of the Act directs HUD to 45 Utah ...... 3,000,000 8339 for TTY assistance. establish, through regulation, the 46 Vermont ...... 3,000,000 SUPPLEMENTARY INFORMATION: We, the 47 Virginia ...... 6,168,999 formula for distribution of amounts U.S. Fish and Wildlife Service, invite made available for the HTF. The statute 48 Washington ...... 6,491,663 49 West Virginia ...... 3,000,000 the public to comment on applications specifies the factors to be used for the for permits under section 10(a)(1)(A) of formula and priority for certain factors. 50 Wisconsin ...... 4,860,636 51 Wyoming ...... 3,000,000 the Endangered Species Act, as The factors and methodology HUD uses 52 Puerto Rico ...... 1,513,904 amended (ESA; 16 U.S.C. 1531 et seq.). to allocate HTF funds among eligible 53 America Samoa ...... 16,404 The requested permits would allow the grantees are established in the HTF 54 Guam ...... 132,691 applicants to conduct activities regulation. The funding announced for 55 Northern Marianas ...... 73,048 intended to promote recovery of species Fiscal Year 2020 through this notice is 56 Virgin Islands ...... 143,034 that are listed as endangered under the $322,564,267.66. Appendix A to this ESA. notice provides the names of the Total ...... 322,564,267.66 Background grantees and the amounts of the awards. [FR Doc. 2020–09058 Filed 4–28–20; 8:45 am] With some exceptions, the ESA BILLING CODE 4210–67–P prohibits activities that constitute take

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of listed species unless a Federal permit prohibited actions as capture and enhancement of propagation or survival is issued that allows such activity. The collection. Our regulations of the species in the wild. The ESA ESA’s definition of ‘‘take’’ includes such implementing section 10(a)(1)(A) for requires that we invite public comment activities as pursuing, harassing, these permits are found in the Code of before issuing these permits. trapping, capturing, or collecting, in Federal Regulations (CFR) at 50 CFR Accordingly, we invite local, State, addition to hunting, shooting, harming, 17.22 for endangered wildlife species, Tribal, and Federal agencies and the wounding, or killing. 50 CFR 17.32 for threatened wildlife public to submit written data, views, or A recovery permit issued by us under species, 50 CFR 17.62 for endangered arguments with respect to these section 10(a)(1)(A) of the ESA plant species, and 50 CFR 17.72 for applications. The comments and authorizes the permittee to conduct threatened plant species. recommendations that will be most activities with endangered or threatened useful and likely to influence agency species for scientific purposes that Permit Applications Available for promote recovery or for enhancement of Review and Comment decisions are those supported by propagation or survival of the species. Proposed activities in the following quantitative information or studies. These activities often include such permit requests are for the recovery and

Application Permit number Applicant, city, state Species Location Take activity action

TE–826600 ...... Dr. Melissa Price, Univer- Lanai tree snail (Partulina Hawaii ...... Harass by survey, cap- Renew sity of Hawaii at Manoa, semicarinata) Lanai tree ture, handle, measure, Honolulu, HI. snail (Partulina mark, attach transmit- variabilis) Newcomb’s ters (Oahu tree snails tree snail (Newcombia only), biosample, re- cumingi) Oahu tree lease, captive propa- snail (Achatinella spp.). gate, and salvage. TE–72088A ...... National Oceanic and At- Green sea turtle (Chelonia Hawaii, American Samoa, Harass by survey; mon- Amend mospheric Administra- mydas) Hawksbill sea Guam, Commonwealth itor; capture; handle; tion, Pacific Islands turtle (Eretmochelys of the Northern Mariana excavate nests, collect Fisheries Science Cen- imbricata) Leatherback Islands, Federated eggs; captive-rear ter, Honolulu, HI. sea turtle (Dermochelys States of Micronesia, hatchlings; biosample; coriacea) Loggerhead Republic of the Marshall identify; tag; deploy sea turtle (Caretta Islands, Republic of data loggers in nests; caretta). Palau, and Pacific Re- attach biotelemetry de- mote Islands Areas. vices and satellite trans- mitters; release; re- search, including repro- duction, food, and growth rates; and sal- vage. TE–19045C ...... Hawaii Division of For- Anthricinan yellow-faced Hawaii ...... Harass by capture, col- Amend estry and Wildlife, Hon- bee (Hylaeus lect, handle, biosample, olulu, HI. anthracinus) Lanai tree captive propagate, re- snail (Partulina lease, mark, monitor, semicarinata) Lanai tree and salvage. snail (Partulina variabilis) Newcomb’s tree snail (Newcombia cumingi) Oahu tree snail (Achatinella spp.) Orangeblack Hawaiian damselfly (Megalagrion xanthomelas). TE–48278D ...... Archipelago Research and Band-rumped storm-petrel Hawaii ...... Harass by survey, monitor Amend Conservation, Kalaheo, (Oceanodroma castro) nests, capture, handle, HI. Hawaiian petrel band, biosample and (Pterodroma scent research (band- sandwichensis). rumped storm-petrel only), release, install ar- tificial burrows and so- cial attraction array, and salvage.

Public Availability of Comments your entire comment—including your from organizations or businesses, and personal identifying information—may from individuals identifying themselves Written comments we receive become be made publicly available at any time. as representatives or officials of part of the administrative record While you can request in your comment organizations or businesses, will be associated with this action. Before that we withhold your personal made available for public disclosure in including your address, phone number, identifying information from public their entirety. email address, or other personal review, we cannot guarantee that we identifying information in your will be able to do so. All submissions comment, you should be aware that

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Next Steps project may also be found at: https:// Effects to many of the resources If we decide to issue a permit to the www.delpuertocanyonreservoir.com. discussed in the EIR were mitigated to applicants listed in this notice, we will SUPPLEMENTARY INFORMATION: less-than-significant levels, though there publish a notice in the Federal Register. Reclamation is issuing this notice were significant and unavoidable effects pursuant to the National Environmental remaining after mitigation. Authority Policy Act of 1969, as amended (NEPA), Reclamation’s action would be to fund We publish this notice under section 42 U.S.C. 4321 et seq.; the Council on up to 25 percent of total project costs 10(c) of the Endangered Species Act of Environmental Quality’s (CEQ) pursuant to the WIIN Act, proportional 1973, as amended (16 U.S.C. 1531 et regulations for implementing NEPA, 43 to the Federal benefits developed. seq.). CFR parts 1500 through 1508; and the Reclamation will use much of the Department of the Interior’s NEPA analysis and evaluate the alternatives Rolland White, regulations, 43 CFR part 46. presented in the EIR. Additional Assistant Regional Director–Ecological information will be developed in the Services, Pacific Region. Background EIS with respect to several resources, [FR Doc. 2020–09080 Filed 4–28–20; 8:45 am] Del Puerto Water District (DPWD), in including energy use, traffic and BILLING CODE 4333–15–P partnership with the San Joaquin River transportation, air quality, biological Exchange Contractors Water Authority resources, cultural resources, and (SJRECWA), proposes to construct a Central Valley Project operations. DEPARTMENT OF THE INTERIOR reservoir located on Del Puerto Creek in Agencies and the public are encouraged to review the EIR provided at https:// Bureau of Reclamation the foothills of the Coast Range Mountains west of Patterson, California www.delpuertocanyonreservoir.com, [RR02030000, 20XR0680I1, and Interstate 5. The Del Puerto Canyon and provide input regarding potentially RX.08637907.6000000] Reservoir Project (Project) is a State-led significant issues to be addressed, or to effort under the Water Infrastructure identify potential alternatives that Notice of Intent to Prepare an Improvements for the Nation Act (WIIN would meet the purpose of the Project. Environmental Impact Statement for Act) Public Law 114–322, Sec. 4007. Public Disclosure the Del Puerto Canyon Reservoir The proposed reservoir would provide Project, Stanislaus County, California approximately 82,000 acre-feet (AF) of Before including your address, phone locally owned off-stream storage south number, email address, or other AGENCY: Bureau of Reclamation, of the Sacramento-San Joaquin Delta. personal identifying information in your Interior. The purpose of the proposed Project is comment, you should be aware that ACTION: Notice of intent; request for to develop additional South of Delta your entire comment—including your comments. water storage to maximize the personal identifying information—may management and efficient use of be made publicly available at any time. SUMMARY: The Bureau of Reclamation While you may ask us in your comment (Reclamation) intends to prepare an existing water supplies in both DPWD and the SJRECWA service areas and to to withhold your personal identifying Environmental Impact Statement (EIS) information from public review, we for the Del Puerto Canyon Reservoir serve environmental purposes, including water supply for wildlife cannot guarantee that we will be able to Project. Reclamation is requesting do so. public and agency comment to identify refuges designated under the Central significant issues or other alternatives to Valley Project Improvement Act. Water Richard Welsh, be addressed in the EIS. would be conveyed from the Delta- Principal Deputy Regional Director, Bureau Mendota Canal (DMC) to be stored in of Reclamation, Interior Region 10— DATES: Submit written comments on the the proposed reservoir and later California-Great Basin. scope of the EIS on or before May 29, discharged back into the DMC. The 2020. [FR Doc. 2020–09042 Filed 4–28–20; 8:45 am] proposed Project includes construction BILLING CODE 4332–90–P ADDRESSES: Provide written scoping of a main dam, three saddle dams, a comments, requests to be added to the spillway, inlet/outlet works, conveyance mailing list, or requests for other special facilities (including a diversion facility INTERNATIONAL TRADE assistance needs to Ms. Allison on the DMC, a pumping plant, COMMISSION Jacobson, Project Manager, Bureau of underground pipeline and energy Reclamation, Division of Planning, 2800 dissipation facilities at the DMC outfall, [Investigation Nos. 701–TA–639–642 and Cottage Way CGB–700, Sacramento, CA along with related appurtenant 731–TA–1475–1492 (Preliminary)] 95825. components), and electrical facilities Common Alloy Aluminum Sheet From FOR FURTHER INFORMATION CONTACT: (power supply line and electrical Ms. Bahrain, Brazil, Croatia, Egypt, substation). The proposed Project also Allison Jacobson, Bureau of Germany, Greece, India, Indonesia, includes relocating existing and Reclamation, Division of Planning, 2800 Italy, Korea, Oman, Romania, Serbia, proposed utilities that run north-south Cottage Way CGB–700, Sacramento, CA Slovenia, South Africa, Spain, Taiwan, through the Project area and the 95825; telephone (916) 978–5075; and Turkey facsimile (916–978–5094); email relocation of Del Puerto Canyon Road, [email protected]. Persons who use a which runs east-west through the Determinations telecommunications device for the deaf Project area. On the basis of the record 1 developed may call the Federal Relay Service The Project sponsors developed an in the subject investigations, the United (FedRelay) at 1–800–877–8339 TTY/ Environmental Impact Report (EIR) States International Trade Commission ASCII to contact the above individual pursuant to the California (‘‘Commission’’) determines, pursuant during normal business hours or to Environmental Quality Act for the leave a message or question after hours. Project and released that EIR for public 1 The record is defined in sec. 207.2(f) of the You will receive a reply during normal review on December 12, 2019. The Commission’s Rules of Practice and Procedure (19 business hours. Information on this review period ended January 27, 2020. CFR 207.2(f)).

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to the Tariff Act of 1930 (‘‘the Act’’), South Carolina; Novelis Corporation, INTERNATIONAL TRADE that there is a reasonable indication that Atlanta, Georgia; and Texarkana COMMISSION an industry in the United States is Aluminum, Inc., Texarkana, Texas filed [Investigation No. 337–TA–1103] materially injured by reason of imports petitions with the Commission and of common alloy aluminum sheet from Commerce, alleging that an industry in Certain Digital Video Receivers and Bahrain, Brazil, Croatia, Egypt, the United States is materially injured Related Hardware and Software Germany, Greece, India, Indonesia, or threatened with material injury by Components; Commission Decision Italy, Korea, Oman, Romania, Serbia, reason of subsidized imports of common Finding a Violation of Section 337; Slovenia, South Africa, Spain, Taiwan, alloy aluminum sheet from Bahrain, Issuance of a Limited Exclusion Order and Turkey, provided for in Brazil, India, and Turkey and LTFV and Cease and Desist Orders; subheadings 7606.11.30, 7606.11.60, imports of common alloy aluminum Termination of the Investigation 7606.12.30, 7606.12.60, 7606.91.30, sheet from Bahrain, Brazil, Croatia, 7606.91.60, 7606.92.30, and 7606.92.60 AGENCY: U.S. International Trade of the Harmonized Tariff Schedule of Egypt, Germany, Greece, India, Commission. Indonesia, Italy, Korea, Oman, Romania, the United States, that are alleged to be ACTION: Notice. sold in the United States at less than fair Serbia, Slovenia, South Africa, Spain, value (‘‘LTFV’’) and to be subsidized by Taiwan, and Turkey. Accordingly, SUMMARY: Notice is hereby given that the governments of Bahrain, Brazil, effective March 9, 2020, the the U.S. International Trade India, and Turkey.2 Commission instituted countervailing Commission has found a violation of duty investigation Nos. 701–TA–639– section 337 of the Tariff Act of 1930, as Commencement of Final Phase 642 and antidumping duty investigation amended, in this investigation and has Investigations Nos. 731–TA–1475–1492 (Preliminary). issued a limited exclusion order and Pursuant to section 207.18 of the Notice of the institution of the cease and desist orders prohibiting Commission’s rules, the Commission Commission’s investigations and of a importation of infringing digital video also gives notice of the commencement public conference to be held in receivers and related hardware and of the final phase of its investigations. software components. The Commission will issue a final phase connection therewith was given by posting copies of the notice in the Office FOR FURTHER INFORMATION CONTACT: notice of scheduling, which will be Sidney A. Rosenzweig, Esq., Office of published in the Federal Register as of the Secretary, U.S. International Trade Commission, Washington, DC, the General Counsel, U.S. International provided in section 207.21 of the Trade Commission, 500 E Street SW, Commission’s rules, upon notice from and by publishing the notice in the Federal Register of March 13, 2020 (85 Washington, DC 20436, telephone (202) the U.S. Department of Commerce 708–2532. Copies of non-confidential FR 14702). In light of the restrictions on (‘‘Commerce’’) of affirmative documents filed in connection with this access to the Commission building due preliminary determinations in the investigation may be viewed on the investigations under sections 703(b) or to the COVID–19 pandemic, the Commission’s electronic docket (EDIS) 733(b) of the Act, or, if the preliminary Commission conducted its conference at https://edis.usitc.gov. For help determinations are negative, upon (originally scheduled for March 30, accessing EDIS, please email notice of affirmative final 2020) through written questions, [email protected]. General determinations in those investigations submissions of written testimony, information concerning the Commission under sections 705(a) or 735(a) of the written responses to questions, and may also be obtained by accessing its Act. Parties that filed entries of postconference briefs; all persons who internet server at http://www.usitc.gov. appearance in the preliminary phase of requested the opportunity were Hearing-impaired persons are advised the investigations need not enter a permitted to participate. that information on this matter can be separate appearance for the final phase obtained by contacting the of the investigations. Industrial users, The Commission made these determinations pursuant to sections Commission’s TDD terminal, telephone and, if the merchandise under (202) 205–1810. investigation is sold at the retail level, 703(a) and 733(a) of the Act (19 U.S.C. SUPPLEMENTARY INFORMATION: representative consumer organizations 1671b(a) and 1673b(a)). It completed On March have the right to appear as parties in and filed its determinations in these 16, 2018, the Commission instituted this Commission antidumping and investigations on April 23, 2020. The investigation based on a supplemented countervailing duty investigations. The views of the Commission are contained complaint filed on behalf of Rovi Secretary will prepare a public service in USITC Publication 5049 (April 2020), Corporation of San Jose, California; Rovi list containing the names and addresses entitled Common Alloy Aluminum Guides, Inc. of San Jose, California; and of all persons, or their representatives, Sheet from Bahrain, Brazil, Croatia, Veveo, Inc. of Andover, Massachusetts who are parties to the investigations. Egypt, Germany, Greece, India, (collectively, ‘‘Rovi’’); as well as Rovi Technologies Corporation of San Jose, Indonesia, Italy, Korea, Oman, Background CA. The supplemented complaint Romania, Serbia, Slovenia, South alleges violations of section 337 of the On March 9, 2020, The Aluminum Africa, Spain, Taiwan, and Turkey: Association Common Alloy Aluminum Tariff Act of 1930, as amended, 19 Investigation Nos. 701–TA–639–642 and U.S.C. 1337 (‘‘section 337’’), based upon Sheet Working Group and its Individual 731–TA–1475–1492 (Preliminary). Members, Aleris Rolled Products, Inc., the importation into the United States, Beachwood, Ohio; Arconic, Inc., By order of the Commission. the sale for importation, and the sale Bettendorf, Iowa; Constellium Rolled Issued: April 24, 2020. within the United States after Products Ravenswood, LLC, Lisa Barton, importation of certain digital video receivers and related hardware and Ravenswood, West Virginia; JW Secretary to the Commission. Aluminum Company, Daniel Island, software components by reason of [FR Doc. 2020–09075 Filed 4–28–20; 8:45 am] infringement of one or more claims of BILLING CODE 7020–02–P 2 85 FR 19449 (April 7, 2020) and 85 FR 19444 U.S. Patent Nos. U.S. Patent No. (April 7, 2020). 7,779,011 (‘‘the ’011 patent’’); 7,937,394

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(‘‘the ’394 patent’’); 7,827,585 (‘‘the ’585 Peter King (R–N.Y.) (Sept. 19, 2019), The authority for the Commission’s patent’’); 9,294,799 (‘‘the ’799 patent’’); Rep. Jackie Speier (D–Cal.) (Sept. 6, determination is contained in section 9,396,741 (‘‘the ’741 patent’’); 9,578,363 2019), and Rep. Steve Stivers (R–Ohio) 337 of the Tariff Act of 1930, as (‘‘the ’363 patent’’); 9,621,956 (‘‘the ’956 (Aug. 27, 2019). amended (19 U.S.C. 1337), and in Part patent’’); and 9,668,014 (‘‘the ’014 On August 15, 2019, the Commission 210 of the Commission’s Rules of patent’’). 83 FR 11792 (Mar. 16, 2018). determined to review in part the SD as Practice and Procedure (19 CFR part The Commission’s notice of to reimportation, and not to review the 210). investigation named as respondents remainder of the SD. Notice at 3 (Aug. By order of the Commission. 15, 2019) (‘‘Notice of Review’’). As to Comcast Corporation of Philadelphia, Issued: April 23, 2020. Pennsylvania; Comcast Cable the final ID, in relevant part the Lisa Barton, Communications, LLC of Philadelphia, Commission terminated the Pennsylvania; Comcast Cable investigation with a finding of no Secretary to the Commission. Communications Management, LLC of violation as to the ’585 and ’741 patents, [FR Doc. 2020–09043 Filed 4–28–20; 8:45 am] Philadelphia, Pennsylvania; Comcast but determined to review infringement BILLING CODE 7020–02–P Business Communications, LLC of of the ’011 patent. Id. The Commission Philadelphia, Pennsylvania; Comcast solicited briefing on certain questions Holdings Corporation of Philadelphia, pertaining to infringement of the ’011 INTERNATIONAL TRADE Pennsylvania; and Comcast Shared patent. Id. at 4. COMMISSION Services, LLC of Chicago, Illinois On August 29, 2019, the parties filed [Investigation No. 337–TA–1171] (collectively, ‘‘Comcast’’). Id. The Office responses to the Commission notice, of Unfair Import Investigations was also and on September 10, 2019, Comcast Certain Child Resistant Closures With named as a party in this investigation. and Rovi filed replies. Slider Devices Having a User Actuated Id. Having examined the record of this Insertable Torpedo for Selectively The Commission previously investigation, including the final ID and Opening the Closures and Slider terminated the investigation as to the parties’ submissions, the Devices Therefor; Notice of Request complainant Rovi Technologies Commission has determined that for Statements on the Public Interest Corporation; as to the ’956, ’394, ’014, Comcast’s X1 set-top boxes are used by AGENCY: U.S. International Trade ’799, and ’363 patents in their entirety; Comcast’s users to directly infringe Commission. and as to certain claims of the ’011, claim 9 of the ’011 patent at Comcast’s ’585, and ’741 patents. Order No. 12, inducement. Thus, Comcast violated ACTION: Notice. unreviewed, Notice (July 24, 2018); section 337 with regard to claim 9 of the SUMMARY: Notice is hereby given that, Order No. 33, unreviewed, Notice (Sept. ’011 patent. The Commission declines on April 21, 2020, the presiding 19, 2018); Order 39, unreviewed, Notice to reach the issue of whether there has administrative law judge (‘‘ALJ’’) issued (Oct. 25, 2018). been a section 337 violation as to claim an Initial Determination Granting On June 3, 2019, the presiding ALJ 1 of the ’011 patent because of the delay Summary Determination on Violation of issued Order No. 47, a summary and burden associated with deciding the Section 337 and Recommended issue and because such a finding would determination (‘‘SD’’), which, inter alia, Determination on Remedy and Bonding not afford any additional relief to Rovi. granted Rovi’s motions for summary in the above-captioned investigation. On Thus, the Commission need not decide determination as to importation and sale April 22, 2020, the ALJ issued a Notice the issue. See Yingbin-Nature after importation. On June 11, 2019, of Errata thereto. The Commission is (Guangdong) Wood Indus. Co. v. Int’l Comcast filed a petition for review of soliciting comments on public interest Trade Comm’n, 535 F.3d 1322, 1331–32 the SD. On June 18, 2019, Rovi issues raised by the recommended responded to Comcast’s petition. On (Fed. Cir. 2008). The Commission has further relief, should the Commission find a June 25, 2019, the Commission violation. This notice is soliciting public investigative attorney (‘‘IA’’) responded determined that the appropriate remedy interest comments from the public only. to Comcast’s petition. is: (1) A limited exclusion order Parties are to file public interest On June 4, 2019, the ALJ issued the prohibiting the entry of infringing final initial determination (‘‘final ID’’). digital video receivers and related submissions pursuant to Commission On June 17, 2019, Comcast and Rovi hardware and software components; and rules. each filed a petition for review of the (2) cease and desist orders directed to FOR FURTHER INFORMATION CONTACT: final ID. On June 25, 2019, Comcast and respondents. The Commission has Richard P. Hadorn, Esq., Office of the Rovi responded to each other’s petition, determined that the public interest General Counsel, U.S. International and the IA responded to both. factors enumerated in section 337(d) Trade Commission, 500 E Street SW, In addition, the Commission received and (f), 19 U.S.C. 1337(d), (f), do not Washington, DC 20436, telephone (202) comments from Rovi on the public preclude the issuance of the limited 205–3179. Copies of non-confidential interest pursuant to Commission Rule exclusion order or the cease and desist documents filed in connection with this 210.50(a)(4). The Commission also orders. The Commission has determined investigation may be viewed on the received comments from the following that a bond in the amount of zero Commission’s electronic docket (EDIS) organizations in response to the percent of entered value is required at https://edis.usitc.gov. For help Commission’s notice soliciting public during the period of Presidential review. accessing EDIS, please email interest comments, 84 FR 27804 (June 19 U.S.C. 1337(j)(3). [email protected]. General 14, 2019): Tea Party Patriots Action; The investigation is terminated. The information concerning the Commission Americans for Limited Government; Commission’s reasoning in support of may also be obtained by accessing its Frontiers of Freedom Institute; Market its determinations is set forth more fully internet server at https://www.usitc.gov. Institute; and Conservatives for Property in its opinion. The Commission’s orders Hearing-impaired persons are advised Rights (joined by 60 Plus Association, and opinion were delivered to the that information on this matter can be and Americans for Limited President and the United States Trade obtained by contacting the Government). The Commission also Representative on the day of their Commission’s TDD terminal, telephone received correspondence from Rep. issuance. (202) 205–1810.

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SUPPLEMENTARY INFORMATION: Section GEO and LEOs are used in the United purposes. All contract personnel will 337 of the Tariff Act of 1930 (‘‘Section States; sign appropriate nondisclosure 337’’) provides that if the Commission (ii) Identify any public health, safety, agreements. All non-confidential finds a violation it shall exclude the or welfare concerns in the United States written submissions will be available for articles concerned from the United relating to the recommended GEO and public inspection at the Office of the States unless the public interest factors LEOs; Secretary and on EDIS. listed in 19 U.S.C. 1337(d)(1) prevent (iii) Identify like or directly The authority for the Commission’s such action. A similar provision applies competitive articles that complainant, determination is contained in Section to cease and desist orders. 19 U.S.C. its licensees, and/or third parties make 337 of the Tariff Act of 1930, as 1337(f)(1). in the United States which could amended (19 U.S.C. 1337), and in Part The Commission is soliciting replace the subject articles if they were 210 of the Commission’s Rules of comments on public interest issues to be excluded; Practice and Procedure (19 CFR part raised by the recommended relief (iv) Indicate whether complainant, its 210). should the Commission find a violation, licensees, and/or third-party suppliers have the capacity to replace the volume By order of the Commission. specifically: (1) A general exclusion Issued: April 23, 2020. order (‘‘GEO’’) directed to certain child of articles potentially subject to the Lisa Barton, resistant closures with slider devices recommended GEO and LEOs within a having a user actuated insertable commercially reasonable time; and Secretary to the Commission. (v) Explain how the recommended torpedo for selectively opening the [FR Doc. 2020–09031 Filed 4–28–20; 8:45 am] GEO and LEOs would impact closures and slider devices therefor BILLING CODE 7020–20–P consumers in the United States. imported, sold for importation, and/or Written submissions from the public sold after importation that infringe one must be filed no later than by close of DEPARTMENT OF JUSTICE or more of claims 1, 3, 5, and 8–10 of business on May 21, 2020. U.S. Patent No. 9,505,531; claims 1, 4, Persons filing written submissions Drug Enforcement Administration 6–8, 11, 12, 15, and 19 of U.S. Patent must file the original document No. 9,554,628; and claims 1, 3, 5, and electronically on or before the deadlines Kansky J. Delisma, M.D.; Decision and 8 of U.S. Patent No. 10,273,058; and (2) stated above. The Commission’s paper Order if the Commission declines to issue a filing requirements in 19 CFR 210.4(f) GEO, then a limited exclusion order are currently waived. 85 FR 15798 (Mar. On May 23, 2019, the Drug (‘‘LEO’’) directed to certain child 19, 2020). Submissions should refer to Enforcement Administration resistant closures with slider devices the investigation number (‘‘Inv. No. (hereinafter, DEA or Government) having a user actuated insertable 337–TA–1171’’) in a prominent place on Administrative Law Judge Charles Wm. torpedo for selectively opening the the cover page and/or the first page. (See Dorman (hereinafter, ALJ), issued a closures and slider devices therefor Handbook for Electronic Filing Recommended Rulings, Findings of imported, sold for importation, and/or Procedures, https://www.usitc.gov/ Fact, Conclusions of Law and Decision sold after importation by defaulting documents/handbook_on_filing_ (hereinafter, RD) on the action to deny respondents Dalian Takebishi Packing procedures.pdf.). Persons with Kansky J. Delisma, M.D.’s application Industry Co., Ltd. of Dalian, China and questions regarding filing should for a DEA Certification of Registration. Dalian Altma Industry Co., Ltd. of contact the Secretary ((202) 205–2000). The Government filed exceptions to the Dalian, Liaoning, China that infringe Any person desiring to submit a RD to which Dr. Delisma responded. one or more of the above claims. document to the Commission in Having reviewed and considered the The Commission is interested in confidence must request confidential entire administrative record before me, further development of the record on treatment. All such requests should be including the Government’s Exceptions, the public interest in this investigation. directed to the Secretary to the I adopt the ALJ’s RD with minor Accordingly, parties are to file public Commission and must include a full modifications, where noted herein.*A interest submissions pursuant to 19 CFR statement of the reasons why the Government’s Exceptions 210.50(a)(4). In addition, members of Commission should grant such the public are hereby invited to file treatment. See 19 CFR 201.6. Documents The Government filed an exception submissions of no more than five (5) for which confidential treatment by the (hereinafter, Govt Exceptions) to the pages, inclusive of attachments, Commission is properly sought will be ALJ’s interpretation and application of concerning the public interest in light of treated accordingly. All information, 21 U.S.C. 824(a)(5) and that provision’s the ALJ’s Recommended Determination including confidential business interplay with 42 U.S.C. 1320a–7(a). on Remedy and Bonding issued in this information and documents for which Govt Exceptions, at 2. Under Section investigation on April 21, 2020. confidential treatment is properly 824(a) of the Controlled Substances Act Comments should address whether sought, submitted to the Commission for (hereinafter, CSA), a registration ‘‘may issuance of the remedial orders in this purposes of this Investigation may be be suspended or revoked’’ upon a investigation, should the Commission disclosed to and used: (i) By the finding of one or more of five grounds. find a violation, would affect the public Commission, its employees and Offices, 21 U.S.C. 824. The ground in 21 U.S.C. health and welfare in the United States, and contract personnel (a) for 824(a)(5) requires that the registrant competitive conditions in the United developing or maintaining the records States economy, the production of like of this or a related proceeding, or (b) in *A I have made minor modifications to the RD. I or directly competitive articles in the have substituted initials for the names of witnesses internal investigations, audits, reviews, to protect their privacy, and I have made minor, United States, or United States and evaluations relating to the nonsubstantive grammatical changes. Where I have consumers. programs, personnel, and operations of made any substantive changes, omitted language for In particular, the Commission is the Commission including under 5 brevity or relevance, or where I have added to or interested in comments that: modified the ALJ’s opinion, I have bracketed the U.S.C. Appendix 3; or (ii) by U.S. modified language and explained the edit in a (i) Explain how the articles government employees and contract footnote marked with an asterisk and a letter in potentially subject to the recommended personnel, solely for cybersecurity alphabetical order.

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‘‘has been excluded (or directed to be involved in such hearing.’’); Jones Total Laura Perkovic, Esq. and Jeremy L. excluded) from participation in a Health Care Pharmacy, LLC v. Drug Belanger, Esq., C.H.C., for the Respondent. program pursuant to section 1320a–7(a) Enf’t Admin., 881 F.3d 823, 829 (11th Recommended Rulings, Findings of of Title 42.’’ Id. 42 U.S.C. 1320a–7(a) Cir. 2018) (‘‘[W]e may set aside a Fact, Conclusions of Law, and Decision provides a list of four predicate offenses decision as ‘arbitrary and capricious of the Administrative Law Judge for which exclusion from Medicare, when, among other flaws, the agency Medicaid and federal health care has . . . entirely failed to consider an On January 17, 2019, the Drug programs is mandatory and sets out important aspect of the problem.’ ’’); Enforcement Administration served mandatory timeframes for such Morall v. Drug Enf’t Admin., 412 F.3d Kansky J. Delisma, M.D. (‘‘Dr. Delisma’’ exclusion. Id.*B 165, 177 (D.C. Cir. 2005) (‘‘To uphold or ‘‘Respondent’’) with an Order to The Government argues that in cases DEA’s decision, . . . we must satisfy Show Cause (‘‘OSC’’), proposing to deny brought pursuant to 21 U.S.C. 824(a)(5), ourselves ‘that the agency ‘‘examine[d] his application for a DEA Certificate of the statutory language requires DEA to the relevant data and articulate[d] a Registration (‘‘COR’’), Control Number ‘‘revoke a respondent’s registration (or satisfactory explanation for its action W18071098C. Administrative Law Judge deny a respondent’s application) once including a rational connection between Exhibit (‘‘ALJ–’’) 1, at 1. The OSC the Government has proven that the facts found and the choice made.’ ’’). alleged that denial is warranted under respondent is currently mandatorily Where, as in the instant case, the 21 U.S.C. 824(a)(5), because Dr. Delisma excluded from participation in Federal Government has made a prima facie is excluded from federal health care health care programs and that DEA case to suspend or revoke a registration programs pursuant to 42 U.S.C. 1320a– should not permit a respondent to have based on a mandatory exclusion 7(a). In response to the OSC, Dr. a DEA registration for as long as the pursuant to section 1320a–7(a) of Title Delisma timely requested a hearing respondent has been excluded.’’ Govt 42, I review any evidence and argument before an Administrative Law Judge. Exceptions, at 2. As the Government the respondent submitted to determine ALJ–2. The hearing that Dr. Delisma noted in its brief, the Government whether or not respondent has requested was held in Pittsburgh, advocated for this position in several presented ‘‘sufficient mitigating Pennsylvania, on April 18, 2019. The issue before the Acting contemporaneous exclusion cases. Id. at evidence to assure the Administrator Administrator is whether the record as n.2. Since the Government filed its brief, that [he] can be trusted with the a whole establishes by a preponderance I have issued a Decision and Order in responsibility carried by such a of the evidence that DEA should deny one of the other exclusion cases, Jeffrey registration.’’ Samuel S. Jackson, D.D.S., the application for a Certificate of Stein, M.D., that directly addressed and 72 FR 23848, 23853 (2007) (quoting Leo Registration of Kansky J. Delisma, M.D., rejected the Government’s argument. 84 R. Miller, M.D., 53 FR 21931, 21932 Control Number W18071098C, and deny FR 46968 (2019). (1988)).*C The clear language of 21 U.S.C. As I explained in Stein, the any pending application for renewal or 824(a)—‘‘[a] registration . . . may be Government’s proposed reading of the modification of such registration, and suspended or revoked by the Attorney CSA would also ‘‘be a significant any applications for any other DEA General’’—gives the Administrator the departure from past Agency decisions.’’ registrations, pursuant to 21 U.S.C. discretion to revoke the registration of a 84 FR at 46970; see, e.g., Kwan Bo Jin, 824(a)(5), because he has been excluded registrant who has been excluded from M.D., 77 FR 35021, 35023 (2012); from federal health care programs under participation in Federal health Dinorah Drug Store, Inc., 61 FR 15972, 42 U.S.C. 1320a–7(a). ALJ–10, at 1. This Recommended Decision is based programs. Stein, 84 FR at 46970–71 15974 (1996). (providing detailed analysis of the For the above reasons, I reject the on my consideration of the entire language and legislative history of 21 Government’s exception and issue the Administrative Record, including all of U.S.C. 824(a)(5)). It does not require Order below adopting the the testimony, admitted exhibits, and automatic revocation or denial on that recommendations of the ALJ. the oral and written arguments of ground. Id. counsel. Accordingly, although section 824(a) Order The Allegation provides DEA with the authority to Pursuant to 28 CFR 0.100(b) and the revoke a respondent’s registration upon authority vested in me by 21 U.S.C. 823, 1. On May 31, 2016, judgment was a finding of one or more of the five I hereby order that the pending entered against Dr. Delisma based on his listed grounds, if a respondent presents application for a Certificate of guilty plea to one count of ‘‘Receipt of evidence, either in a written statement Registration, Control Number Kickbacks in Connection with a Federal or in the context of a hearing, I will W18071098C, submitted by Kansky J. Health Care Program,’’ in violation of 42 review the evidence provided by the Delisma, M.D., is approved. This Order U.S.C. 1320a–7b(b)(1)(A). Based on this respondent to determine whether is effective May 29, 2020. conviction for health care fraud, the revocation or suspension is appropriate U.S. Department of Health and Human given the particular facts. See 5 U.S.C. Uttam Dhillon, Services, Office of Inspector General 556(d) (‘‘A party is entitled to present Acting Administrator. (‘‘HHS/OIG’’), by letter dated August 31, his case or defense by oral or Paul E. Soeffing, Esq., for the Government. 2016, mandatorily excluded Dr. Delisma documentary evidence.’’); 21 CFR from participation in Medicare, 1301.43(c) (permitting a Respondent to *C The Government correctly argues, and Medicaid, and all federal health care file ‘‘a waiver of an opportunity for a Respondent did not rebut, that the underlying programs for the minimum statutory hearing . . . together with a written conviction forming the basis for a registrant’s period of five years pursuant to 42 statement regarding such person’s mandatory exclusion from participation in federal health care programs need not involve controlled U.S.C. 1320a–7(a), effective September position on the matters of fact and law substances to provide the grounds for revocation 20, 2016. ALJ–1, at 2. Despite the fact pursuant to section 824(a)(5). Stein at 46971–72; see that the underlying conduct for which *B Although the language of 21 U.S.C. 824(a)(5) also Narciso Reyes, M.D., 83 FR 61678, 61681 Dr. Delisma was convicted did not discusses suspension and revocation of a (2018); KK Pharmacy, 64 FR at 49510 (collecting involve controlled substances, his registration, it may also serve as the basis for the cases); Melvin N. Seglin, M.D., 63 FR 70431, 70433 denial of a DEA registration application. Dinorah (1998); Stanley Dubin, D.D.S., 61 FR 60727, 60728 mandatory exclusion from Medicare, Drug Store, Inc., 61 FR 15972–03, 15973 (1996). (1996). Medicaid, and all federal health care

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programs warrants denial of his location. Tr. 20–21, 49. He is the only Southern District of Florida based on his application for DEA registration full-time physician who works at that guilty plea to one count of ‘‘Receipt of pursuant to 21 U.S.C. 824(a)(5). ALJ–1, facility. Tr. 50–51. There have been Kickbacks in Connection with a Federal at 2, paras. 2–3. times when his inmate patients have Health Care Program,’’ in violation of 42 had to wait to obtain prescriptions for U.S.C. 1320a–7b(b)(l)(A). Witnesses controlled substances. Tr. 52–54. 3. HHS/OIG, by letter dated August I. The Government’s Witnesses Dr. Delisma has taken three 31, 2016, mandatorily excluded Because Respondent stipulated to the continuing medical education courses, Respondent from participation in admissibility of all of the Government’s all related to medical ethics. Tr. 39–41, Medicare, Medicaid and all federal Exhibits, the Government called no 44–45. He also accepted responsibility health care programs for the minimum witnesses. Stipulation (‘‘Stip.’’) 12. for his actions, and expressed his statutory period of five years pursuant Rather, the Government moved the remorse. Tr. 29, 42. to 42 U.S.C. 1320a–7a. The exclusion admission of Government Exhibits 1–4, Dr. Delisma presented his testimony was effective September 20, 2016. and upon their admission into the in a clear, candid, and convincing 4. Reinstatement of eligibility to Administrative Record, the Government manner. He impressed me as sincere in participate in Medicare, Medicaid and rested its case. Transcript (‘‘Tr.’’) 14–15. his acceptance of responsibility and his all federal health care programs after remorse. I find his testimony to be exclusion by HHS/OIG is not automatic. II. Respondent’s Witnesses entirely credible. 5. Respondent is currently excluded Respondent presented his case The Respondent’s second witness was from participation in Medicare, through two witnesses. The Respondent Dr. A.D. Tr. 58–70. Dr. A.D. is the Medicaid and all federal health care was the first witness. Tr. 17–57. In his Regional Medical Director for the programs. testimony, Dr. Delisma provided Central Region of the Pennsylvania 6. Since Respondent’s criminal background information about his Department of Corrections. Tr. 59. He conviction, he has satisfied all education and training. Tr. 17–20. He has known Dr. Delisma since shortly assessments, fines, and restitution as of explained that he decided to go into before Dr. Delisma was hired into his August 22, 2017. Tr. 10–11. medicine out of a ‘‘true calling from current job. Id. Dr. A.D. wanted to meet 7. On April 24, 2018, the Florida inside to serve.’’ Tr. 20. As such, after and interview Dr. Delisma upon Board of Medicine settled its case with completing his medical education, he reviewing his ‘‘remarkable’’ credentials. Respondent by issuing a Letter of began his medical practice working at a Tr. 60. Concern and by requiring Respondent to Veteran’s Hospital and a public health Dr. A.D. testified concerning the fine pay a fine. hospital in Miami, Florida. Id. He first quality of work Dr. Delisma has 8. Respondent was issued a medical obtained a DEA Certificate of performed as the medical director at license by the Pennsylvania Bureau of Registration in 2004 and kept it until it Somerset. Tr. 60, 64, 68. He considers Professional and Occupational Affairs as expired in 2016. Tr. 28, 43–44. Dr. Delisma to be ‘‘one of our top of March 22, 2018. Dr. Delisma went into a private, physicians.’’ Tr. 60. Dr. A.D. also 9. Respondent was issued a medical internal medicine practice in 2008–09. testified that Dr. Delisma’s lack of a license by the New York State Tr. 20. While in that private practice, he Certificate of Registration adversely Education Department on July 2, 2018. accepted a kickback of $700. for impacts the quality of medical care he 10. Respondent was issued a medical referring a patient to a home-health is able to provide to the inmates. Tr. 62– license by the Maryland Board of provider. Tr. 28–29. Because of that 64, 67–68. In fact, it was Dr. A.D. who Physicians on June 19, 2018, with terms action, following his guilty plea, Dr. suggested that Dr. Delisma apply for a and conditions. All of those terms and Delisma was convicted in Federal Court Certificate of Registration. Tr. 70; RE– conditions were satisfied as of of a single count of accepting a 10, at 1. November 21, 2018. kickback. Id. For that crime, Dr. Delisma Dr. A.D. presented his testimony in a 11. On January 26, 2018, Respondent was sentenced to eight months clear, candid, and convincing manner. was issued a medical license by the confinement, to pay a $5,000. fine, fees His testimony also corroborated Montana Board of Medical Examiners. of $100., and restitution of $49,000., and substantial portions of Dr. Delisma’s 12. The Government and Respondent following his confinement, he was testimony. Accordingly, I find his stipulate to the admissibility of placed on one year of supervised testimony to be entirely credible. Government Exhibits 1–4. release. Tr. 29. Dr. Delisma has satisfied The Facts II. Findings of Fact all the terms of his sentence. Id. Because of his conviction, Dr. Delisma was I. Stipulations Dr. Delisma’s Background and Training excluded from participation in federal The Parties agree to 12 stipulations, 1. Dr. Delisma was born in Haiti, health care programs. Tr. 33–36. which are accepted as facts in these where he completed high school. Tr. 17. Although Dr. Delisma allowed his proceedings: 2. At age 19, Dr. Delisma went to the Florida medical license to expire, he 1. Respondent applied to DEA for University of Bordeaux in France, where later obtained licenses to practice registration as a practitioner in he studied for six years. Tr. 17. While medicine in Pennsylvania, Montana, Schedules II through V pursuant to DEA in France, Dr. Delisma earned four New York, and Maryland. Tr. 36–39. At control number W18071098C, with a university degrees. Tr. 17–18. the time he applied for a license in each proposed registered address of 1590 3. Dr. Delisma immigrated to the state, he informed the licensing board of Walters Mill Rd., Somerset, PA 15510 United States in 1992, moving to South his conviction and none placed any and a proposed mailing address of 600 Florida. Tr. 18. restrictions on his medical license. Tr. N 12th Street, Lemoyne, PA 17043. 4. Dr. Delisma attended Howard 38–39. He currently works as the Respondent submitted his online University Medical School in Medical Director at the State application on or about July 9, 2018. Washington, DC, from 1997 to 2001. Tr. Correctional Institution in Somerset, 2. On May 31, 2016, judgment was 19. Pennsylvania, and he has requested a entered against Respondent in the 5. From 2001 to 2004, Dr. Delisma Certificate of Registration for that United States District Court for the completed an internship and residency

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in internal medicine at the Yale regarding the quality of the patient care 25. In Dr. A.D.’s opinion, granting a University School of Medicine. Tr. 19. he rendered to his patients. Tr. 31. In Certificate of Registration to Dr. Delisma Dr. Delisma remained at Yale for addition, there were no allegations ‘‘would vastly improve the quality of another year, as an attending physician. concerning prescribing any medications. care that is given’’ at Somerset. Tr. 66. Id. Id. Delaying care to a patient can result in 6. Dr. Delisma had a DEA registration 17. Because of Dr. Delisma’s exclusion pain and suffering by the patient. Tr. from 2004 until it expired in May 2016. from federal health care programs, the 67–68. The Department of Corrections Tr. 28, 43–44. Florida Board of Medicine (‘‘Board’’) strives to avoid that. Id. 7. Dr. Delisma received a scholarship reprimanded him and imposed a $500. 26. The standard of care for inmates to Harvard University in 2005, where he fine, but placed no restrictions on his is no different than the standard of care completed a master’s degree in public practice.2 Tr. 35–36; RE–2, at 4–5. In for any patient who is not in prison. Tr. health and a fellowship in health policy addition, Dr. Delisma was required to 68. in 2006. Tr. 19. reimburse the Board $882.94. to cover 27. The Somerset Correctional the cost of its proceedings against him. Institution is where inmates come from Dr. Delisma’s Medical Practice in RE–2, at 1, 6. all over the State of Pennsylvania for Florida surgical procedures, oncology care, and 8. Dr. Delisma returned to South Dr. Delisma’s Current Medical Position end-of-life care. Tr. 22. Florida in 2006, where he worked as an 18. Dr. Delisma is currently licensed 28. For many inmates their first emergency room physician at the to practice medicine in Pennsylvania, interaction with the medical community Veterans Administration hospital in Montana, New York, and Maryland. Tr. is when they are in prison. Tr. 68. Many Miami for two years, and for a year at 37–39; RE–3, 4, 7, 8. When applying for inmates present with years of Jackson Hospital, a public health a medical license in each of the states, undiagnosed, untreated medical hospital in Miami. Tr. 19–20. Dr. Delisma informed the licensing conditions. Id. 9. In 2008–09, Dr. Delisma began board of each state of his criminal 29. There are about 2,600 inmates at private practice in internal medicine in conviction in Florida. Tr. 38–39. The Somerset, and Dr. Delisma routinely Florida. Tr. 20. He treated about 60% of medical licensing boards of those states provides medical care to about 300 of his patients in hospital settings, and have not placed any restrictions on Dr. them. Tr. 23–24. about 40% were in an outpatient clinic. Delisma’s ability to prescribe 30. On a daily basis, Dr. Delisma sees Tr. 20 medications or to practice medicine. Tr. about 15 patients in the correctional 10. Dr. Delisma let his Florida 39. facility infirmary, where patients are medical license expire and did not 19. Dr. Delisma currently works as the waiting to go to the hospital or have just renew it. Tr. 36. Medical Director at the State returned from the hospital. Tr. 21. In addition, Dr. Delisma sees up to 30 Medicare Exclusion Correctional Institution in Somerset, Pennsylvania. Tr. 20–21. Dr. Delisma is patients a day in the facility’s outpatient 11. Dr. Delisma’s exclusion from seeking a Certificate of Registration for clinic. Id. federal health care programs is the his work at the Somerset Correctional 31. With the patient population at result of his 2016 conviction in Florida Institution, located at 1590 Walters Mill Somerset, it is necessary to prescribe for receiving a $700. kickback for Rd., Somerset, Pennsylvania. Tr. 49. controlled substances up to five times a referring a patient to a home health 20. Dr. A.D. is the regional medical week. Tr. 26. Some inmates may require agency. Tr. 28; Government Exhibit director for the central region of the controlled substances to alleviate pain (‘‘GE–’’) 2, 3. His conviction involved Pennsylvania Department of Corrections following surgery or due to acute only one patient. Tr. 28–29. (‘‘Department of Corrections’’). Tr. 59. injuries. Tr. 26–27. Other patients may 12. Dr. Delisma pled guilty to the 21. At the time Dr. Delisma was hired, require a benzodiazepine or a offense and took responsibility for his Dr. A.D. was aware of Dr. Delisma’s past chemotherapy drug. Tr. 27. Because actions. Tr. 29. Dr. Delisma offered his legal issues. Tr. 60. many of the inmates have some sort of apology, and is deeply sorry for his 22. Due to Dr. Delisma’s remarkable addiction problem, however, the actions. Id. credentials, Dr. A.D. was very interested Department of Corrections is 13. On May 26, 2016, Dr. Delisma was in seeing and interviewing him. Tr. 60. ‘‘extraordinarily careful to limit [their] convicted, and sentenced to eight Although Dr. Delisma had no use of any type of controlled substance months in Federal detention in Miami, correctional medicine experience, he . . . .’’ Tr. 66. Florida, followed by one year of took to it amazingly well and quickly 32. It is consistent with the standard supervised release. Tr. 29; GE–2, at 2– picked-up the nuances required in of care in internal medicine to be able 3. He was also ordered to pay $49,000. correctional medicine. Id. to prescribe necessary medications to a in restitution, a $5,000. fine, and $100. 23. In Dr. A.D.’s opinion, Dr. Delisma patient. Tr. 44. in fees. Tr. 29; GE–2, at 5–6. is one of the top physicians within his 33. When Dr. Delisma evaluates one 14. The restitution that Dr. Delisma organization. Tr. 60. of his inmate patients and determines was required to pay was for the amount 24. Dr. A.D. suggested to Dr. Delisma that the patient needs a controlled of money the home-health care provider that he apply for a Certificate of substance, Dr. Delisma refers the patient had billed Medicare for the patient Dr. Registration for the reasons Dr. A.D. to another physician who has a DEA Delisma had referred to the home health expounded upon in his testimony. Tr. registration. Tr. 47. That physician also care provider. Tr. 50. 70. works at the Somerset facility, but he is 15. Dr. Delisma satisfied all the not assigned there full-time. Tr. 47–49. conditions of his sentence by January 2 Although Dr. Delisma testified that the Florida That physician also works at other 2018.1 Tr. 29; RE–1. Board of Medicine did not impose any restrictions correctional facilities. Tr. 48–49 16. Concerning Dr. Delisma’s on his medical license, he also testified that his 34. When Dr. Delisma refers a patient ‘‘license was reinstated after being suspended for to another doctor for a prescription for conviction, there were no issues one year.’’ Tr. 36. Nothing in the Final Order of the Board, or in the Settlement Agreement with the a controlled substance that doctor 1 The ‘‘Satisfaction of Judgment’’ was entered on Board, however, indicates that the Board suspended independently evaluates the patient August 22, 2017. RE–1. Dr. Delisma’s medical license. RE–2, at 1–14. before issuing a prescription for a

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controlled substance to the patient. Tr. Continuing Education bases that authorize permissive 47. 45. In March 2017, Dr. Delisma exclusion under 42 U.S.C. 1320–7(b). 35. No full-time medical professional completed a continuing education The distinction is important because works at the Somerset facility who has course in ‘‘Legal and Ethical Issues in section 824(a)(5) specifically references a DEA Certificate of Registration. Tr. 50– Healthcare,’’ and in September 2017 he 42 U.S.C. 1320a–7(a), the section 51. In addition to a physician who completed a course in ‘‘Medical Ethics establishing four bases for mandatory works at other correctional facilities, the for Physicians.’’ Tr. 40–41; RE–5, at 44– exclusion. Thus, to carry its burden regional director and a physician’s 45. under section 824(a)(5), the Government assistant will sometimes help at 46. On November 17, 2018, Dr. must prove that the applicant’s Somerset. Id. Delisma attended the ‘‘Medical Ethics exclusion was mandatory (42 U.S.C. 36. There are times when no one at and Professionalism’’ course in Atlanta, 1320a–7(a)) and not permissive (42 the Somerset Correctional Institution Georgia, presented by the University of U.S.C. 1320–7(b)). Exclusion under one has a DEA registration. Tr. 51. California, Irvine School of Medicine. of the 16 permissive grounds listed in 37. If Dr. Delisma determines that an Tr. 39–40; RE–6. section 1320a–7(b) does not provide a inmate requires a controlled substance, basis for sanction. Hoi Y. Kam, M.D., 78 the patient can normally get a Analysis FR 62694, 62697 (2013); Terese, Inc., d/ prescription for that controlled To deny an application for DEA b/a Peach Orchard Drugs, 76 FR 46843, substance in less than 24 hours. Tr. 52. registration, the Government must 46846–47 (2011); James Henry Holmes, Over a weekend, however, it has taken prove, by a preponderance of the M.D., 59 FR 6300, 6301 (1994). up to 72 hours for an inmate to obtain evidence, that the regulatory In addition, DEA has reiterated in a prescription for a controlled requirements for denial are satisfied. numerous final orders that the substance. Tr. 53–54. Steadman v. SEC, 450 U.S. 91, 100–02 underlying conviction that led to 38. Dr. Delisma is the only full-time (1981); 21 CFR 1301.44(e). The sole mandatory exclusion does not need to physician at Somerset. Tr. 63. basis for sanction in this case is the involve controlled substances to support Sometimes the inmates, however, need mandatory exclusion provision of 21 sanction.3 This long held and consistent immediate medical attention. Tr. 63. U.S.C. 824(a)(5). DEA has held that precedent makes it undisputed that the Therefore, it is not in the medical section 824(a)(5) authorizes the denial Government does not need to advance interest of the inmates when their only of applications as well as revocation of any evidence related to controlled full-time physician is unable to deliver existing registrations. Dinorah Drug substances to meet its burden under the expected standard of care because Store, Inc., 61 FR 15972, 15973 (1996); section 824(a)(5). The absence of he does not have a Certificate of Kuen H. Chen, M.D., 58 FR 65401, evidence related to controlled Registration. Tr. 64, 67. 65402 (1993). substances, however, can be considered 39. Even though Dr. Delisma does not Under 21 U.S.C. 824(a)(5), DEA may as mitigation evidence [to show why the have a Certificate of Registration, the deny an application for registration if applicant can be entrusted with a Department of Corrections wants to the applicant ‘‘has been excluded (or registration].*D See Mohammed Asgar, keep him because he has ‘‘already directed to be excluded) from M.D., 83 FR 29569, 29573 (2018) (noting demonstrated himself to be reliable, participation in a program pursuant to respondent’s conviction ‘‘did not talented, well trained, and always section 1320a–7(a) of Title 42.’’ The involve the misuse of his registration to willing to help us out when we need Government can meet its burden under handle controlled substances’’); Kwan him.’’ Tr. 64. section 824(a)(5) simply by advancing Bo Jin, M.D., 77 FR 35021, 35027 (2012) 40. According to Dr. A.D., Dr. Delisma evidence that the applicant has been (highlighting the lack of evidence is valuable to the Department of excluded from a federal health care concerning respondent’s ‘‘prescribing Corrections ‘‘because of his experience program under 42 U.S.C. 1320a–7(a). practices’’); Dinorah Drug Store, Inc., 61 and training in internal medicine, from Johnnie Melvin Turner, M.D., 67 FR FR at 15944 (‘‘[B]alanced against this some of the best institutions in this 71203, 71203–04 (2002); Dinorah Drug basis for denial is . . . the lack of any world.’’ Tr. 68. Store, Inc., 61 FR at 15973. The adverse action or allegations pertaining 41. Respondent’s Exhibit 10 is a letter Administrator has issued sanctions to [respondent’s] conduct related to of recommendation that Dr. A.D. drafted where the Government introduced controlled substances.’’). In the absence on behalf of Dr. Delisma. Tr. 65. evidence of the applicant’s plea of evidence involving controlled 42. The State Medical Director for the agreement and judgment for health care substances, however, sanction is Department of Corrections has endorsed fraud, and the resulting letter from the warranted where the Administrative Dr. Delisma’s application for a U.S. Department of Health and Human Record presents ‘‘serious questions as to Certificate of Registration. Tr. 44–45; Services imposing mandatory exclusion. the’’ registrant’s integrity. Anibal P. RE–11. Richard Hauser, M.D., 83 FR 26308, 26310 (2018); Johnnie Melvin Turner, 3 No Prior Incidents Concerning [Jeffrey Stein, 84 FR at 46971–72 (2019)] M.D., 67 FR at 71203–04. * (citation added); Mohammed Asgar, M.D., 83 FR Controlled Substances Section 1320a–7(a) of Title 42, United 29569, 29571 (2018); Narciso A. Reyes, M.D., 83 FR 61678, 61681 (2018); Richard Hauser, M.D., 83 FR 43. In Dr. Delisma’s entire career as a States Code, establishes four bases for 26308, 26310 (2018); Orlando Ortega-Ortiz, M.D., 70 licensed physician he has never mandatory exclusion that authorize the FR 15122, 15123 (2005); Juan Pillot-Costas, M.D., 69 received any reprimands for improper Secretary of the Department of Health FR 62084, 62085 (2004); Daniel Ortiz-Vargas, M.D., or irresponsible prescribing of any and Human Services to exclude 69 FR 62095, 62095–96 (2004); KK Pharmacy, 64 FR 49507, 49510 (1999); Melvin N. Seglin, M.D., 63 FR medications, to include controlled individuals or entities from Federal 70431, 70433 (1998); Anibal P. Herrera, M.D., 61 FR substances. Tr. 42. health care programs. Those bases 65075, 65078 (1996); Stanley Dubin, D.D.S., 61 FR 44. Dr. Delisma has never been under include conviction of program-related 60727, 60728 (1996); Richard M. Koenig, M.D., 60 investigation by any governmental crimes, patient abuse, health care fraud, FR 65069, 65071 (1995); George D. Osafo, M.D., 58 FR 37508, 37509 (1993); Nelson Ramirez-Gonzalez, agency for any inappropriate or or a felony related to controlled M.D., 58 FR 52787, 52788 (1993); Gilbert L. irresponsible prescribing practices. Tr. substances. 42 U.S.C. 1320a–7(a)(1)–(4). Franklin, D.D.S., 57 FR 3441, 3441 (1992). 42. These 4 bases are different from the 16 *D Language added.

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Herrera, M.D., 61 FR 65075, 65078 Continuing, the Government argues that consistent with public interest.’’ Id. Like (1996). ‘‘[i]t would be incongruous and contrary the Government, the Respondent to the public interest for DEA to grant acknowledges that it is appropriate to I. The Government’s Position Respondent a registration when he has analyze this case under the five factors The Government submitted its not completed the period of his health contained in 21 U.S.C. 823(f). Id. In ‘‘Proposed Findings of Fact and care exclusion ....’’6 Id. at 10. reviewing those factors, the Respondent Conclusions of Law’’ (‘‘Government’s Finally, the Government notes that Dr. argues that all five factors weigh in his Brief’’) on May 17, 2019.4 I have read Delisma did not need a Certificate of favor. Id. at 10–12. and considered the Government’s Brief Registration to be hired into his current The Respondent notes that he has in preparing this Recommended position, or to keep it. ALJ–12, at 10. accepted responsibility for his actions. Decision. Without citation to any authority, the ALJ–13, at 12. The Respondent also In its Brief, the Government’s Government argues that Dr. Delisma’s notes that patients at the correctional proposed findings of fact are essentially application should be denied because facility where he works have had to the same as the findings of fact set forth ‘‘there is no compelling public interest wait, at times up to 72 hours, to obtain in this Recommended Decision. ALJ–12, purpose for Respondent to be granted a needed medication. Id. The Respondent at 1–5. The Government also DEA registration where the public argues that by granting him a acknowledges that it is appropriate to interest is currently being served . . . .’’ registration the inmate patients at analyze this case under the public Id. Somerset will not have to ‘‘suffer interest factors of 21 U.S.C. 823(f).*E Id. needlessly while the facility locates a II. The Respondent’s Position at 6. The Government also provider that (sic) can write a acknowledges that Factors 1–4 of 21 Respondent submitted his ‘‘Closing prescription for a controlled substance.’’ U.S.C. 823(f) are not applicable in this Argument & Proposed Findings of Fact Id. at 13. case, but argues that the Respondent’s and Conclusions of Law’’ (‘‘Respondent’s Brief’’) on May 17, III. 21 U.S.C. 824(a)(5): Mandatory conviction for accepting a kickback and Exclusion From Federal Health Care his exclusion from federal health care 2019.7 I have read and considered the Respondent’s Brief in preparing this Programs Pursuant to 42 U.S.C. 1320a– programs is a Factor 5 consideration. Id. 7(a) at 9. Recommended Decision. Relying on Richard Hauser, M.D., 83 In his Brief, the Respondent’s Mandatory exclusion from a federal FR 26308, 26310 (2018), and cases cited proposed findings of fact are essentially health care program under 42 U.S.C. therein, the Government argues that the same as the findings of fact set forth 1320a–7(a) serves as an independent ‘‘notwithstanding the fact that the in this Recommended Decision. ALJ–13, basis for denying an application for DEA underlying conduct for which at 1–8. While the Respondent notes that registration. 21 U.S.C. 824(a)(5). The Respondent was convicted had no the Government established a prima OSC’s sole allegation is that Dr. nexus to controlled substances’’ his facie case, the Respondent also argues Delisma’s mandatory exclusion from all exclusion ‘‘warrants revocation (sic) of that the Government failed to prove ‘‘by federal health care programs warrants his registration.’’ 5 ALJ–12, at 7. a preponderance of the evidence that denying his application under 21 U.S.C. the Respondent’s application should be 824(a)(5). Specifically, the Government 4 The Government’s Brief has been marked as denied solely based off of the alleges that on May 31, 2016, judgment ALJ–12. Respondent’s exclusion from was entered against Dr. Delisma based *E In its Motion for Summary Judgment, which participation in federal health care on his guilty plea to one count of the ALJ properly denied, the Government argued programs.’’ Id. at 9. The Respondent ‘‘Receipt of Kickbacks in Connection that the five public interest factors were inapplicable to this case because the Government notes that the licensing authorities in with a Federal Health Care Program,’’ in was seeking to deny the application based on four states ‘‘do not perceive Dr. Delisma violation of 42 U.S.C. 1320a–7b(b)(1)(A). section 824(a)(5) (exclusion from federal health care as a threat to public safety and believe ALJ–1, at 2. Based on this conviction, programs) and had not alleged grounds under that [] his unfettered licensure is the HHS/OIG, by letter dated August 31, section 824(a)(4) (registrant has committed acts that would render his registration inconsistent with the 2016, mandatorily excluded Dr. Delisma public interest) in its Order to Show Cause. Govt D.D.S., 61 FR 60727 (1996), the respondent had from participation in Medicare, MSJ at 5, n. 2. In reviewing an application for a been convicted of Medicare fraud, criminal Medicaid, and all federal health care registration, however, section 823(f) instructs the conspiracy, forgery, and tampering with or programs for the minimum statutory Agency to consider the public interest when fabricating evidence. In addition, the period of five years pursuant to 42 determining whether to grant a petitioner’s Administrative Law Judge did not credit a portion application to dispense controlled substances. 21 of Dubin’s testimony and there is no discussion of U.S.C. 1320a–7(a), effective September U.S.C. 823(f). Accordingly, the Respondent acceptance of responsibility. Finally, in Nelson 20, 2016. Id. The Government further appropriately raised, and the ALJ appropriately Ramirez-Gonzalez, M.D., 58 FR 52787 (1993), the alleged that although the underlying considered, the public interest in determining Administrative Law Judge found that the registrant conduct for which Dr. Delisma was whether to grant the Respondent’s application in had been convicted of nine felony counts, to this case. include mail fraud, false claims, and making false convicted did not involve controlled 5 It is accurate to state that Hauser, and the cases statements. There is no mention of acceptance of substances, his mandatory exclusion cited therein, state that where a registrant is responsibility in the decision. from Medicare, Medicaid, and all 6 excluded from Federal health care programs, DEA In my view, this argument is contrary to the federal health care programs warrants may revoke a Certificate of Registration even if the discretion the Administrator has in determining exclusion is unrelated to controlled substances. whether to grant an application for a registration, denial of his application for DEA Having read Hauser and the cases the Government or to revoke one. Dan E. Hale, D.O., 69 FR 69402, registration pursuant to 21 U.S.C. cited, however, all are inapposite to the case before 69406 (2004). It also fails to account for the 824(a)(5). Id. me. For example, in four of the cases cited by the Administrator’s decisions in Kwan Bo Jin, M.D., 77 Neither party disputes that Dr. Government no hearing was held and the FR 35021, 35023 (2012) and Mohammed Asgar, underlying criminal conviction involved fraud M.D., 83 FR 29569, 29572 (2018). In addition, for Delisma was mandatorily excluded from (solicitation) and there is no mention of acceptance the reasons explained in my ‘‘Order Denying federal health care programs under 42 of responsibility: Orlando Ortega-Ortiz, M.D., 70 FR Government’s Motion for Summary Disposition,’’ U.S.C. 1320a–7(a) for the minimum 15122 (2005); Juan Pillot-Costas, M.D., 69 FR 62084 the Government’s reliance on Narciso A. Reyes, period of five years based on Dr. (2004); Daniel Ortiz-Vargas, M.D., 69 FR 62095 M.D., 83 FR 61678 (2018) is also misplaced. ALJ– (2004); and KK Pharmacy, 64 FR 49507 (1999), 12, at 8; ALJ–9, at 4–5. Delisma’s guilty plea to one count of which also involved controlled substances and a 7 The Respondent’s Brief has been marked as receiving a kickback in connection with materially false application. In Stanley Dubin, ALJ–13. a federal health care program. Stips. 2–

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3, 5. The parties also stipulated to the Certification further indicates that when M.D., 62 FR 35527, 35528–29 (1997) admissibility of the Government’s four Dr. Delisma submitted his application, (revoking registration because exhibits. Stip. 12. he disclosed his conviction and Government met its burden and The Government’s evidence shows exclusion from federal health care respondent failed to offer ‘‘any evidence that the United States District Court for programs. Id. of [his] rehabilitation or remorse’’). the Southern District of Florida Evidence of Dr. Delisma’s plea Once the burden shifts to Respondent, (‘‘District Court’’) entered judgment agreement, judgment, and the HHS Respondent may present evidence against Dr. Delisma on May 31, 2016, on exclusion letter are sufficient to sustain showing that despite his conviction, he one count of ‘‘Receipt of Kickbacks in an allegation under 21 U.S.C. 824(a)(5). does not pose a threat to the public Connection with a Federal Health Care Kwan Bo Jin, M.D., 77 FR at 35023; interest. Linda Sue Cheek, M.D., 76 FR Program,’’ in violation of 42 U.S.C. Linda Sue Cheek, M.D., 76 FR 66972, at 66982. Respondent may rebut the 1320a–7b(b)(l)(A). GE–2, at 1; Stip. 2. 66982 (2011). Based on the Government’s prima facie case by The evidence further shows that Dr. Government’s documentary exhibits, accepting responsibility, showing Delisma pled guilty to the offense. Id. and the parties’ joint stipulations, I find remorse, introducing evidence of The judgment form indicates that the that the Administrative Record shows rehabilitation, and satisfying all terms District Court sentenced Dr. Delisma to by a preponderance of the evidence that and conditions of his sentence. Kwan Bo 8 months imprisonment and 1 year of Dr. Delisma was convicted of receiving Jin, M.D., 77 FR at 35026. supervised release. GE–2, at 2–3. The a kickback in connection with a federal Even in cases involving the exclusion District Court also ordered Dr. Delisma health care program. I also find that from federal health care programs, DEA to pay fines of $100. and $5,000., and based on this conviction, he was analyzes the five public interest factors to pay $49,000. in restitution. Id. at 5– mandatorily excluded from in 21 U.S.C. 823(f) in determining 6. participation in Medicare, Medicaid, whether [granting a respondent’s The Government’s evidence also and all federal health care programs for application for] *F registration would be shows that on August 31, 2016, HHS/ five years under 42 U.S.C. 1320a–7(a). inconsistent with the public interest. OIG issued a letter to Dr. Delisma Thus, the Government’s allegation that See Dinorah Drug Store, Inc., 61 FR informing him that HHS was excluding Dr. Delisma’s application for DEA 15972, 15973–74 (1996) (considering all him from participation in Medicare, registration should be denied under 21 five public interest factors); [].*G Those Medicaid, and all federal health care U.S.C. 824(a)(5) because he was factors are: programs under section 1128(a)(1) of the mandatorily excluded from Medicare, (1) The recommendation of the Social Security Act (codified at 42 Medicaid, and all federal health care appropriate State licensing board or U.S.C. 1320a–7(a)). GE–3, at 1; Stip. 3. programs pursuant to 42 U.S.C. 1320a– professional disciplinary authority. The letter states that HHS excluded Dr. 7(a) is SUSTAINED. ALJ–1, at 2, paras. (2) The applicant’s experience in Delisma based on his conviction for ‘‘a 2–3. This allegation weighs in favor of dispensing, or conducting research with criminal offense related to the delivery denying Dr. Delisma’s application for respect to controlled substances. of an item or service under the Medicare DEA registration. or a State health care program.’’ GE–3, (3) The applicant’s conviction record at 1; see 42 U.S.C. 1320a–7(a)(1) Discussion and Conclusions of Law under Federal or State laws relating to (establishing mandatory exclusion based I sustained the Government’s the manufacture, distribution, or on conviction ‘‘of a criminal offense allegation that HHS mandatorily dispensing of controlled substances. related to the delivery of an item or excluded Dr. Delisma from federal (4) Compliance with applicable State, service under subchapter XVIII or under health care programs based on a Federal, or local laws relating to any State health care program’’). The program-related conviction. This controlled substances. letter further states that HHS excluded allegation is supported by a (5) Such other conduct which may Dr. Delisma for the statutory minimum preponderance of the evidence and the threaten the public health and safety. 21 of five years and the exclusion was parties’ joint stipulations. U.S.C. 823(f). effective September 20, 2016. GE–3, at Once the Government makes a prima DEA considers these public interest 1; Stip. 3. The letter also explains that facie case under 21 U.S.C. 824(a)(5), the factors separately. Ajay S. Ahuja, M.D., reinstatement in federal health care burden shifts to respondent to 84 Fed Reg. 5479, 5488 (2019); Robert A. programs is not automatic. Id. at 2; Stip. ‘‘ ‘present[] sufficient mitigating Leslie, M.D., 68 FR 15227, 15230 (2003). 4. evidence to show why he can be Each factor is weighed on a case-by-case The Government’s evidence also entrusted with a registration.’’ basis. Morall v. Drug Enf’t Admin., 412 includes a printout from the HHS/OIG Mohammed Asgar, M.D., 83 FR at F.3d 165, 173–74 (D.C. Cir. 2005). Any website showing that Dr. Delisma was 29572; Kwan Bo Jin, M.D., 77 FR at one factor, or combination of factors, excluded under Section 1128(a)(1) (42 35023; Linda Sue Cheek, M.D., 76 FR at may be decisive. David H. Gillis, M.D., U.S.C. 1320a–7(a)(1)) for a program- 66982. Stated differently, where the 58 FR 37507, 37508 (1993). Thus, there related conviction effective September Government advances substantial is no need to enter findings on each of 20, 2016. GE–4. Lastly, the evidence to prove that exclusion from a the factors. Hoxie v. DEA, 419 F.3d 477, Government’s evidence includes a federal health care program justifies 482 (6th Cir. 2005). Furthermore, there notarized document titled, Certification sanction under section 824(a)(5), the is no requirement to consider a factor in of Registration Non-Registration case is not over, but instead shifts to any given level of detail. Trawick v. (‘‘Certification’’), signed by the respondent to argue that a lesser DEA, 861 F.2d 72, 76–77 (4th Cir. 1988). Associate Chief of the Registration and sanction, or no sanction, is appropriate When deciding whether registration is Program Support Section. GE–1. The in light of mitigating evidence. Id.; see in the public interest, DEA must Certification states that Dr. Delisma KK Pharmacy, 64 FR 49507, 49510 consider the totality of the submitted an application for DEA (1999) (revoking where Government circumstances. See generally Joseph registration on or about July 9, 2018, carried its burden and respondent Gaudio, M.D., 74 FR 10083, 10094–95 and that the Registration and Support introduced ‘‘[n]o evidence of Section assigned his application Control explanation or mitigating *F Language modified. Number W18071098C. Id.; Stip. 1. The circumstances’’); Joseph M. Piacentile, *G Citations omitted for relevance.

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(2009) (basing sanction on all evidence M.D., 77 FR at 35023–24 (noting that a on violations of state and Federal laws of record). state medical board’s determination that and regulations concerning controlled With respect to Factors 1 and 3, it is a registrant could maintain his license substances. Volkman v. Drug Enf’t undisputed that Dr. Delisma holds valid after his Federal conviction for health Admin., 567 F.3d 215, 223–24 (6th Cir. state medical licenses in Pennsylvania, care fraud ‘‘does weigh against a finding 2009) (citing Gonzales v. Oregon, 546 New York, Maryland, and Montana. FF that [r]espondent’s continued U.S. 243, 272, 274 (2006)); Gaudio, 74 18. [].*H However, possession of a state registration would be inconsistent with FR at 10090–91. In this case, however, license does not entitle a holder of that . . . Factor One.’’)*I]. there are no allegations suggesting that license to a DEA registration. Mark De As to Factor 3, there is no evidence Dr. Delisma has any negative experience La Lama, P.A., 76 FR 20011, 20018 that Dr. Delisma has been convicted of in dispensing controlled substances, or (2011). It is well established that a ‘‘state an offense under either federal or state that he has failed to comply with any license is a necessary, but not a law ‘‘relating to the manufacture, state or federal laws concerning sufficient condition for registration.’’ distribution, or dispensing of controlled controlled substances. In my view, the Robert A. Leslie, M.D., 68 FR at 15230. substances.’’ 21 U.S.C. 823(f)(3). absence of such allegations weigh in Dr. The ultimate responsibility to determine However, there are a number of reasons Delisma’s favor. Kwan Bo Jin, M.D., 77 whether a DEA registration is consistent why even a person who has engaged in FR at 35024; see also Dinorah Drug with the public interest resides criminal misconduct may never have Store, Inc., 61 FR at 15973–74 (noting exclusively with the DEA, not to entities been convicted of an offense or even consideration of the fact that the within state government. Edmund prosecuted for one. Dewey C. MacKay, underlying misconduct that led to the Chein, M.D., 72 FR 6580, 6590 (2007), M.D., 75 FR 49956, 49973 (2010), pet. exclusion did not involve controlled aff’d Chien v. DEA, 533 F.3d 828 (D.C. for rev. denied, MacKay v. Drug Enf’t substances). Cir. 2008). Admin., 664 F.3d 808, 822 (10th Cir. Factor 5 allows for consideration of [In determining the public interest 2011). Therefore, DEA has held that other conduct a registrant may have under Factor 1, the ‘‘recommendation of ‘‘the absence of such a conviction is of engaged in that may threaten the public the appropriate State licensing board or considerably less consequence in the health and safety. In this case, the professional disciplinary authority . . . public interest inquiry’’ and is not Government has not alleged any shall be considered.’’ 21 U.S.C. dispositive. Id. Accordingly, Factor 3 conduct other than Dr. Delisma’s 823(f)(1). ‘‘Two forms of weighs neither for nor against conviction of receiving a kickback and recommendations appear in Agency revocation in this case. his resulting exclusion from federal decisions: (1) A recommendation to DEA often analyzes Factors 2 and 4 health care programs as a basis to deny DEA directly from a state licensing together. See, e.g., Fred Samimi, M.D., his application. Thus, in my view, the board or professional disciplinary 79 FR 18698, 18709 (2014); John V. absence of allegations of any other authority (hereinafter, appropriate state Scalera, M.D., 78 FR 12092, 12098 conduct that may threaten the public entity), which explicitly addresses the (2013). Under Factor 2, DEA analyzes a health and safety weighs in Dr. granting or retention of a DEA COR; and registrant’s ‘‘experience in dispensing Delisma’s favor. Kwan Bo Jin, M.D., 77 (2) the appropriate state entity’s action controlled substances.’’ 21 U.S.C. FR at 35025. regarding the licensure under its 823(f)(2). Factor 2 analysis focuses on a Finally, Dr. Delisma has not presented jurisdiction on the same matter that is registrant’s acts that are inconsistent any evidence to rebut the underlying the basis for the DEA OSC.’’ John O. with the public interest, rather than on misconduct, or his exclusion from Dimowo, 85 FR 15800, 15809 (2020). a registrant’s neutral or positive acts and participation in Federal health care See, also, Vincent J. Scolaro, D.O., 67 FR experience. Randall L. Wolff, M.D., 77 programs. Rather, he stipulated to the 42060, 42065 (2002) (‘‘While the State FR 5106, 5121 n.25 (2012) (explaining accuracy of those allegations. In Board did not affirmatively state that the that ‘‘every registrant can undoubtedly addition, he accepted responsibility for Respondent could apply for a DEA point to an extensive body of legitimate his actions. FF 12. He initially did so by registration, [the ALJ] found that the prescribing over the course of [the pleading guilty to the charge in Federal State Board by implication acquiesced registrant’s] professional career’’ Court (Stip. 2; FF 12), by stipulating to to the Respondent’s application because (quoting Jayam Krishna-Iyer, M.D., 74 all the elements of the Government’s the State Board has given state authority FR 459, 463 (2009))). Similarly, under prima facie case in these proceedings, to the Respondent to prescribe Factor 4, DEA analyzes an applicant’s and by candidly accepting controlled substances.’’). Here, compliance with Federal and state responsibility on the record. Id. Based Pennsylvania, where Respondent seeks controlled substance laws. 21 U.S.C. upon my review of the entire registration, acted to grant Respondent a 823(f)(4). The Factor 4 analysis focuses Administrative Record and my medical license after he apprised the evaluation of Dr. Delisma’s candor and licensing authority of his conviction, *I I have replaced the ALJ’s Factor One analysis demeanor under oath, I find that Dr. and the state did not place any in this case to reflect the Factor One legal analysis Delisma’s acceptance of responsibility in John O. Dimowo, 85 FR 15800 (2020), which was restrictions on Respondent’s ability to published after the ALJ issued this RD. As noted in was sincere and unequivocal. prescribe medications or practice Dimowo, a state entity’s actions are distinct from its medicine. FF 18. As the ‘‘appropriate inactions. 85 FR at 15810, n. M. Where the record Sanction State licensing board’’ for the purpose of contains no evidence of a recommendation by a Imposing sanctions under 21 U.S.C. state licensing board, that absence does not weigh Public Interest Factor One determined for or against revocation under Factor 1. See Ajay 824(a)(5) is a matter of discretion. that Respondent should be licensed S. Ahuja, M.D., 84 FR 5479, 5490 (2019) (finding [Stein, 84 FR at 46971;] *J Kwan Bo Jin, with full knowledge of his conviction, that ‘‘where the record contains no evidence of a M.D., 77 FR at 35023. Even when the Factor 1 weighs against denial of his recommendation by a state licensing board that Government meets its burden, the CSA absence does not weigh for or against revocation.’’); application in this matter. See, e.g., see also MacKay v. Drug Enf’t Admin., 664 F.3d provides that issuing a sanction is Tyson D. Quy, M.D., 78 FR 47412, 47417 808, 817–819 (10th Cir. 2011) (noting that the ‘‘discretionary.’’ Dan E. Hale, D.O., 69 (2013); Vincent J. Scolaro, D.O., 67 FR Agency decision found that the lack of action from FR 69402, 69406 (2004). In exercising an appropriate state entity was not a 42060, 42064–65 (2002); Kwan Bo Jin, recommendation under Factor One and holding that that discretion, DEA ‘‘should consider the Deputy Administrator did not misweigh the *H Sentence omitted. public interest factors). *J Citation added.

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all the facts and circumstances of the Registration. ALJ–1, at 2, para. 3. The controlled substances in the future. Id. case.’’ Id.; see also Linda Sue Cheek, Government has not advanced any General deterrence concerns the DEA’s M.D., 76 FR at 66982 (‘‘[D]enial of an evidence under Factors 1–5 of 21 U.S.C. responsibility to deter conduct similar application for registration [under 823(f), other than the exclusion. to the proven allegations against the section 824(a)(5)] is a matter of After the Government presents a respondent for the protection of the discretion.’’); Melvin N. Seglin, M.D., 63 prima facie case for a sanction, the public at large. Id. FR 70431, 70433 (1998) (turning to the Respondent has the burden of With respect to egregiousness, I do issue of whether DEA should exercise production to present ‘‘sufficient not find the Respondent’s conduct to be its discretion to revoke respondent’s mitigating evidence’’ to show why he particularly egregious. Furthermore, the COR after the Government carried its can be entrusted with a DEA burden); Anibal P. Herrera, M.D., 61 FR registration. Med. Shoppe— Government’s reliance on Hauser in the at 65077 (same). Jonesborough, 73 FR at 387 (quoting Order to Show Cause is misplaced. Dr. The Government bears the initial Samuel S. Jackson, D.D.S., 72 FR 23848, Hauser was convicted of two counts of burden of proof, and must justify a 23853 (2007)). To rebut the health care fraud for overbilling a state sanction by a preponderance of the Government’s prima facie case, the Medicaid program. Hauser, 83 FR at evidence. Steadman, 450 U.S. at 100– Respondent must both accept 26309. Dr. Hauser’s fraud involved 03. If the Government makes a prima responsibility for his actions and ‘‘executing a scheme with the intent to facie case for a sanction, the burden of demonstrate that he will not engage in defraud’’ a state Medicaid program for proof shifts to the registrant to show that future misconduct. Patrick W. Stodola, payment of ‘‘services that he did not a sanction would be inappropriate. Med. M.D., 74 FR 20727, 20734–35 (2009). actually perform,’’ a far more egregious Shoppe—Jonesborough, 73 FR 364, 387 The Respondent may accept offense than that of Dr. Delisma. Id. In (2008). A registrant may prevail by responsibility by providing evidence of addition, Dr. Hauser failed to come successfully attacking the veracity of the his remorse, his efforts at rehabilitation, forward with any evidence explaining Government’s allegations or evidence. and his recognition of the severity of his or mitigating his overbilling conduct or Alternatively, a registrant may rebut the misconduct. Robert A. Leslie, M.D., 68 otherwise explaining why his Government’s prima facie case for a FR at 15228. To accept responsibility, a registration should not be revoked, and sanction by accepting responsibility for respondent must show ‘‘true remorse’’ the record reflected no such evidence. wrongful behavior and by taking for wrongful conduct. Michael S. Moore, Id. at 26,310. Furthermore, Dr. Hauser’s remedial measures to ‘‘prevent the re- M.D., 76 FR 45867, 45877 (2011). An fraud conviction is significant because a occurrence of similar acts.’’ Jeri expression of remorse includes fraud conviction suggests that a Hassman, M.D., 75 FR 8194, 8236 (2010) acknowledgment of wrongdoing. Wesley registrant cannot be trusted to tell the (citations omitted). In addition, when G. Harline, M.D., 65 FR 5665, 5671 truth except in cases where the assessing the appropriateness and extent (2000). A respondent must express registrant credibly accepts of sanctioning, DEA considers the remorse for all acts of documented responsibility. Kwan Bo Jin, M.D., 77 FR egregiousness of the offenses and its misconduct. Jeffrey Patrick Gunderson, at 35027. In contrast, Dr. Delisma was interest in specific and general M.D., 61 FR 26208, 26211 (1996). convicted of a single count of receiving deterrence. David A. Ruben, M.D., 78 FR Acceptance of responsibility and a kickback involving only one patient. 38363, 38385 (2013). remedial measures are assessed in the In addition, Dr. Delisma was not context of the ‘‘egregiousness of the convicted of fraudulent activities,8 he Prima Facie Showing and Balancing violations and the [DEA’s] interest in accepted responsibility, he submitted The Government can meet its burden deterring similar misconduct by [the] credible evidence as to why his in a case involving a registrant who has Respondent in the future as well as on been excluded from federal health care the part of others.’’ David A. Ruben, application should be approved, and he programs simply by showing evidence M.D., 78 FR at 38364. In this case, I have submitted some evidence of of the exclusion and the underlying found that Dr. Delisma’s acceptance of remediation. Further, his misconduct conviction. Further, DEA has long held responsibility was both sincere and was not related to controlled substances. that the underlying conviction forming unequivocal. The Administrator has also the basis of a registrant’s mandatory The mere acceptance of considered various circumstances as exclusion from participation in Federal responsibility, however, does not end mitigating factors in past exclusion health care programs need not involve the analysis of whether to issue a cases. Examples of such circumstances controlled substances for DEA to issue sanction. ‘‘[T]here are cases in which, include: The fact that misconduct did a sanction pursuant to 21 U.S.C. notwithstanding a finding that a not involve controlled substances; 9 no 824(a)(5). [Stein, 84 FR at 46971– registrant has credibly accepted evidence that respondent’s registration 71;] *K Hauser, 83 FR at 26310. responsibility, the misconduct is so The Government based its case on Dr. egregious and extensive that the 8 There are four bases for mandatory exclusion Delisma’s conviction of his receipt of protection of the public interest under 42 U.S.C. 1320a–7(a). They are convictions kickbacks in connection with a federal nonetheless warrants the revocation of a for: Program-related crimes, patient abuse, health health care program, and his subsequent registration or the denial of an care fraud, or a felony related to controlled substances. The Government’s evidence shows that exclusion from federal health care application.’’ William J. O’Brien, III, the Respondent’s exclusion was for a ‘‘program- programs by the Department of Health D.O., 82 FR 46527, 46527 (2017) related conviction.’’ GE–4. Further, unlike several and Human Services. ALJ–1, at 2, paras. (quoting Hatem Ataya, M.D., 81 FR of the registrants in cases cited by the Government, 2–3. Citing Hauser, 83 FR at 26308, the 8221, 8244 (2016)) (citation omitted). Dr. Delisma was not convicted of ‘‘soliciting’’ a kickback. Government asserted that even though In addition, consideration must be 9 See Mohammed Asgar, M.D., 83 FR at 29573 Dr. Delisma’s underlying conduct ‘‘had given to both specific and general (declaring it significant ‘‘that Respondent’s no nexus to controlled substances,’’ his deterrence. Daniel A. Glick, D.D.S., 80 criminality did not directly involve his registration exclusion warranted the denial of his FR 74800, 74810 (2015). Specific or controlled substances’’); Dinorah Drug Store, Inc., 61 FR at 15974 (weighing in mitigation ‘‘the application for a Certificate of deterrence is the DEA’s interest in lack of any adverse action or allegations pertaining ensuring that a registrant complies with to [respondent’s] conduct related to controlled *K Citation added. the laws and regulations governing substances’’).

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threatens the public interest; 10 penalties. He has fully satisfied all of 10. The Government cites no authority respondent accepted responsibility; 11 those imposed requirements by both the for this novel proposition. Countering respondent submitted letters and Federal courts and licensing authorities. that argument, Dr. Delisma argues that testimony concerning his good FF 15, 17–18. He has also completed he needs a registration to provide the character; 12 HHS found no aggravating three continuing education courses inmates at Somerset the quality of care factors and therefore excluded concerning medical ethics. FF 45–46. In they deserve. ALJ–13, at 12–13. The respondent for the minimum period; 13 addition, [and importantly,] *L he has Respondent cites no DEA authority for respondent was candid about his demonstrated sincere remorse. FF 12. this novel proposition.16 I reject both background with his employer; 14 and Concerning general deterrence, other arguments because the analysis of 21 respondent satisfied all terms and practitioners would be sufficiently U.S.C. 823(f) focuses on whether conditions of his sentence.15 All of these deterred based upon Dr. Delisma’s granting an application for a registration circumstances are relevant mitigating criminal conviction and punishment, as or revoking a registration is in the factors in the case before me. Stip. 3, 6; well as the fees imposed by state public interest. Jackson, 72 FR at 23853. FF 12, 16, 18, 21, 31, 33–34, 41–44. licensing authorities. [].*M In this case, Nowhere is there a suggestion that an It is frequently noted that proceedings where there is no allegation or evidence application should be approved or concerning an Order to Show Cause are that Dr. Delisma has ever improperly denied based upon an evaluation, or non-punitive in nature. Leo R. Miller, handled controlled substances [or consideration, of whether the applicant M.D., 53 FR 21931, 21932 (1988). ‘‘The engaged in other behaviors that needs the registration.17 Similarly, purpose of this proceeding is not to negatively implicate his potential future while it is commendable that Dr. impose punishment . . . .’’ Jackson, 72 compliance with the CSA and where he Delisma is using his medical talents in FR at 23853. Rather, these proceedings has been held accountable and a public service environment, an are intended to be ‘‘ ‘a remedial expressed sincere remorse],*N denying environment cannot entitle a measure, based upon the public interest his application would not be remedial practitioner to a registration, where and the necessity to protect the public in nature, it would simply be added consideration of the five factors of 21 from those individuals who have punishment. U.S.C. 823(f) might otherwise result in misused controlled substances or their The Administrator has also frequently denial of that practitioner’s application. DEA Certificate of Registration, and who noted that ‘‘past performance is the best Recommendation have not presented sufficient mitigating predictor of future performance.’’ evidence to assure the Administrator Mohammed Asgar, M.D., 83 FR at 29572 I have considered the entire that they can be trusted with the (internal citations and quotations Administrative Record in this case. responsibility carried by such a omitted). In this case, there is absolutely Other than Dr. Delisma’s exclusion from registration.’ ’’ Id. (quoting Miller, 53 FR no evidence that there has ever been any participation in federal health care at 21932) (citing Robert M. Golden, concern about the manner in which Dr. programs and his underlying M.D., 61 FR 24808, 24812 (1996)). Delisma handled controlled substances. conviction, which prompted that I have also considered the issue of While a respondent’s past poor mandatory exclusion, I find absolutely deterrence, both general and specific. performance in handling controlled no evidence that Dr. Delisma poses any With regard to specific deterrence, Dr. substances is often times cited in threat to our public health and safety. Delisma has already been held decisions revoking a Certificate of To the contrary, the evidence suggests accountable for accepting a kickback, Registration or denying an application that granting Dr. Delisma a Certificate of having been sentenced to prison, as well for a Certificate of Registration, the Registration would be in the public as having to pay substantial financial reverse should also be true. In this case, interest. Accordingly, I recommend that I consider Dr. Delisma’s past 16 It would seem the decision in Garrett Howard 10 See Kwan Bo Jin, M.D., 77 FR at 35027 performance to be the best predictor of Smith, M.D., 83 FR 18882 (2018) undercuts the (stressing the lack of any evidence that the continued performance consistent with Respondent’s suggestion. There, the Acting practitioner’s ‘‘registration would be inconsistent Administrator held that testimony about a with the public interest, to include issues with his public health and safety. registrant’s excellent work performance at a medical prescribing practices’’). Finally, I note that the Government facility other than where he held his registration 11 has argued that Dr. Delisma’s See Mohammed Asgar, M.D., 83 FR at 29573 and that he was ‘‘providing a valuable service to the (finding respondent accepted responsibility and the application should be denied because community’’ is not ‘‘relevant in the public interest Government ‘‘put forward no evidence challenging he did not need a registration to secure determination.’’ Id. at 18897 n.23. the sincerity of Respondent’s acceptance of 17 However, in Melvin N. Seglin, M.D., 63 FR at responsibility’’); Kwan Bo Jin, M.D., 77 FR at 35026 his position at Somerset, and does not 70433, the Deputy Administrator found ‘‘it (highlighting the practitioner’s ‘‘full acceptance of need it to retain the position. ALJ–12, at significant that Respondent . . . need[ed] to be able responsibility’’); Melvin N. Seglin, M.D., 63 FR at to handle controlled substances in order to continue 70433 (holding respondent’s attempt to explain *L Language added. treating inmates in the local jail.’’ The Deputy why he overbilled did not negate his acceptance of *M Sentence omitted. Administrator decided Seglin in 1998. In the more responsibility). *N Language added. Although Dr. Delisma’s past recent case of Gregory D. Owens, D.D.S., 74 FR 12 See Anibal P. Herrera, M.D., 61 FR at 65077 history with controlled substances weighs in favor 36751 (2009), however, the Deputy Administrator (considering ‘‘letters of support from patients and of granting his application, certain behaviors that reasoned ‘‘[w]hether a practitioner treats patients other doctors’’); Suresh Gandotra, M.D., 58 FR do not directly involve controlled substances may who come from a medically underserved 64781, 64782 (1993) (considering character still weigh against an application if the behaviors community or who have limited incomes has no testimony). are relevant to the applicant’s potential future bearing on whether he has accepted responsibility 13 See Dinorah Drug Store, Inc., 61 FR at 15974 compliance with the CSA. See Stein, 84 FR 469 and undertaken adequate corrective measures.’’ In (considering the fact that HHS found no aggravating (finding a sanction appropriate for deterrence where 2011, the Administrator upheld this reasoning in factors ‘‘to justify imposing more than the there were no allegations respondent had Linda Sue Cheek, M.D., 76 FR at 66972. If there ever mandatory minimum period of exclusion’’). improperly handled controlled substances but was a suggestion that DEA should consider 14 See Melvin N. Seglin, M.D., 63 FR at 70432–33 respondent had impeded a government whether, and to what extent, an applicant needed (stressing that respondent ‘‘was honest and investigation). Dr. Delisma’s single act of accepting a registration, as DEA considered in Seglin, DEA forthcoming regarding his background with his a kickback does demonstrate a past failure to has since changed course, as illustrated by Owens current employer’’). comply with federal law, which I factor into my and Cheek. Thus, I find no support for the 15 See Kwan Bo Jin, M.D., 77 FR at 35026 (finding determination of trust, but his actions since his proposition that I should recommend denying Dr. it relevant for purposes of mitigation that criminal act have been fully compliant and Delisma’s application because he does not need a respondent ‘‘met all terms and conditions of his transparent and have given me no further reason to COR, or that I should recommend granting his sentence’’). doubt his future compliance with the CSA. application because he might need one.

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the Acting Administrator GRANT the —Evaluate the accuracy of the agency’s Volume 78, Number 18 pages 5757– application for a Certificate of estimate of the burden of the 5760. Registration, Control Number proposed collection of information, 5 An estimate of the total number of W18071098C, submitted by Dr. Kansky including the validity of the respondents and the amount of time J. Delisma, M.D., without further delay. methodology and assumptions used; estimated for an average respondent to Dated: May 23, 2019. —Evaluate whether and if so, how the respond: It is estimated the time burden Charles Wm. Dorman, quality, utility, and clarity of the associated with this collection is 3 U.S. Administrative Law Judge. information to be collected can be minutes per transaction, depending on [FR Doc. 2020–09057 Filed 4–28–20; 8:45 am] enhanced; and the individual circumstance. The total BILLING CODE 4410–09–P —Minimize the burden of the collection annual respondent entities taking of information on those who are to advantage of this disposition process is respond, including through the use of 21,156 CJAs. DEPARTMENT OF JUSTICE appropriate automated, electronic, 6 An estimate of the total public Federal Bureau of Investigation mechanical, or other technological burden (in hours) associated with the collection techniques or other forms collection: It is estimated the burden [OMB Number 1110–0055] of information technology, e.g., associated with this collection is 3 permitting electronic submission of minutes per transaction depending on Agency Information Collection responses. the individual circumstance. If each of Activities; Proposed eCollection Overview of this information the 21,156 respondents conducted 3 eComments Requested; Extension dispositions with this authority per year Without Change, of a Currently collection: 1 Type of Information Collection: at 3 minutes per check, then it is Approved Collection; The National anticipated the business burden would Instant Criminal Background Check Extension of a currently approved collection. be 3,173.4 hours per year. System (NICS) Checks by Criminal If additional information is required Justice Agencies 2 The Title of the Form/Collection: The National Instant Criminal contact: Melody Braswell, Department AGENCY: Federal Bureau of Background Check System (NICS) Clearance Officer, United States Investigation, Department of Justice. Checks by Criminal Justice Agencies Department of Justice, Justice ACTION: 60-Day notice. (CJA). Management Division, Policy and 3 The agency form number, if any, Planning Staff, Two Constitution SUMMARY: The Department of Justice and the applicable component of the Square, 145 N Street NE, 3E.405A, (DOJ), Federal Bureau of Investigation Department sponsoring the collection: Washington, DC 20530. (FBI), Criminal Justice Information The form number is unnumbered. The Dated: April 24, 2020. Services (CJIS) Division, will be applicable component within the Melody Braswell, submitting the following information Department of Justice is the Criminal collection request to the Office of Department Clearance Officer for PRA, U.S. Justice Information Services Division, in Department of Justice. Management and Budget (OMB) for the Federal Bureau of Investigation. review and approval in accordance with [FR Doc. 2020–09088 Filed 4–28–20; 8:45 am] 4 Affected public who will be asked or BILLING CODE 4410–02–P the Paperwork Reduction Act of 1995. required to respond, as well as a brief DATES: Comments are encouraged and abstract: Primary: Federal, State, will be accepted for 60 days until June County, City, Tribal law enforcement DEPARTMENT OF JUSTICE 29, 2020. agencies. FOR FURTHER INFORMATION CONTACT: All Abstract: In November 1993, the [OMB Number 1140–0039] comments, suggestions, or questions Brady Handgun Violence Prevention Agency Information Collection regarding additional information, to Act of 1993 (Brady Act), Public Law Activities; Proposed eCollection include obtaining a copy of the 103–159, was signed into law and eComments Requested; Revision of a proposed information collection required federal firearms licensees (FFL) Currently Approved Collection; Federal instrument with instructions, should be to request background checks on Firearms Licensee Firearms Inventory directed to the Federal Bureau of individuals attempting to purchase or Theft/Loss Report—ATF Form 3310.11 Investigation, Criminal Justice receive a firearm. The permanent Information Services Division, National provisions of the Brady Act, which went AGENCY: Bureau of Alcohol, Tobacco, Instant Criminal Background Check into effect on November 30, 1998, Firearms and Explosives, Department of System Section, Module A–3, 1000 required the United States Attorney Justice. Custer Hollow Road, Clarksburg, West General to establish a NICS that FFLs ACTION: 60-Day notice. Virginia 26306, or email [email protected]. may contact by telephone, or other Attention: OMB PRA 1110–0055 electronic means in addition to the SUMMARY: The Department of Justice SUPPLEMENTARY INFORMATION: Written telephone, for information to be (DOJ), Bureau of Alcohol, Tobacco, comments and suggestions from the supplied immediately as to whether the Firearms and Explosives (ATF), will public and affected agencies concerning receipt of a firearm by a prospective submit the following information the proposed collection of information transferee would violate Section 922 (g) collection request to the Office of are encouraged. Your comments should or (n) of Title 18, United States Code, or Management and Budget (OMB) for address one or more of the following state law. There are additional review and approval in accordance with four points: authorized uses of the NICS found at the Paperwork Reduction Act of 1995. —Evaluate whether the proposed Title 28, Code of Federal Regulations The proposed collection OMB 1140– collection of information is necessary (CFR), Section 25.6(j). The FBI 0039 (Federal Firearms Licensee for the proper performance of the authorized the CJAs to initiate a NICS Firearms Inventory Theft/Loss Report— functions of the agency, including check to assist their transfer of firearms ATF Form 3310.11) is being renamed whether the information will have to private individuals as a change to 28 the Federal Firearms Licensee Firearms practical utility; CFR 25.6(j) in the Federal Register, Inventory/Firearms In Transit Theft/

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Loss Report. Some sections of the form Component: Bureau of Alcohol, helps the public understand the were reformatted and additional fields Tobacco, Firearms and Explosives, U.S. Department’s information collection were included, to improve user Department of Justice. requirements and provide the requested experience when reporting theft or loss 4. Affected public who will be asked data in the desired format. The of inventory. The proposed information or required to respond, as well as a brief Employee Benefits Security collection (IC) is also being published to abstract: Administration (EBSA) is soliciting obtain comments from the public and Primary: Business or other for-profit. comments on the proposed extension of affected agencies. Other (if applicable): Federal the information collection requests DATES: Comments are encouraged and Government. (ICRs) contained in the documents will be accepted for 60 days until June Abstract: The Federal Firearms described below. A copy of the ICRs 29, 2020. Licensee Firearms Inventory Theft/Loss may be obtained by contacting the office Report—ATF Form 3310.11 is used by FOR FURTHER INFORMATION CONTACT: If listed in the ADDRESSES section of this you have additional comments, federal firearms licensees (FFLs) to notice. ICRs also are available at regarding the estimated public burden report theft or loss of inventory or reginfo.gov (http://www.reginfo.gov/ or associated response time, collection to the Attorney General and public/do/PRAMain). other appropriate authorities. suggestions, or need a copy of the DATES: Written comments must be 5. An estimate of the total number of proposed information collection submitted to the office shown in the respondents and the amount of time instrument with instructions, or ADDRESSES section on or before June 29, estimated for an average respondent to additional information, please contact: 2020. Neil Troppman, ATF National Tracing respond: An estimated 4,000 respondents will utilize the form ADDRESSES: Anja Decressin, Department Center either by mail at 244 Needy of Labor, Employee Benefits Security Road, Martinsburg, WV 25405, by email annually, and it will take each respondent approximately 24 minutes to Administration, 200 Constitution at [email protected], or by Avenue NW, Room N–5718, telephone at 304–260–3643. complete their responses. 6. An estimate of the total public Washington, DC 20210, ebsa.opr@ SUPPLEMENTARY INFORMATION: Written burden (in hours) associated with the dol.gov, (202) 693–8410, FAX (202) comments and suggestions from the collection: The estimated annual public 219–4745 (these are not toll-free public and affected agencies concerning burden associated with this collection is numbers). the proposed collection of information 1,600 hours, which is equal to 4,000 (# SUPPLEMENTARY INFORMATION: This are encouraged. Your comments should of respondents) * .4 (24 minutes). notice requests public comment on the address one or more of the following If additional information is required four points: Department’s request for extension of contact: Melody Braswell, Department —Evaluate whether the proposed the Office of Management and Budget’s collection of information is necessary Clearance Officer, United States (OMB) approval of ICRs contained in for the proper performance of the Department of Justice, Justice the rules and prohibited transaction functions of the agency, including Management Division, Policy and exemptions described below. The whether the information will have Planning Staff, Two Constitution Department is not proposing any practical utility; Square, 145 N Street NE, 3E.405A, changes to the existing ICRs at this time. —Evaluate the accuracy of the agency’s Washington, DC 20530. An agency may not conduct or sponsor, estimate of the burden of the Dated: April 24, 2020. and a person is not required to respond proposed collection of information, Melody Braswell, to, an information collection unless it including the validity of the Department Clearance Officer for PRA, U.S. displays a valid OMB control number. A methodology and assumptions used; Department of Justice. summary of the ICRs and the current burden estimates follows: —Evaluate whether and if so how the [FR Doc. 2020–09087 Filed 4–28–20; 8:45 am] quality, utility, and clarity of the Agency: Employee Benefits Security BILLING CODE 4410–02–P information to be collected can be Administration, Department of Labor. enhanced; and Title: Process for Expedited Approval —Minimize the burden of the collection of an Exemption for Prohibited of information on those who are to DEPARTMENT OF LABOR Transaction, Prohibited Transaction Class Exemption 1996–62. respond, including through the use of Employee Benefits Security Type of Review: Extension of a appropriate automated, electronic, Administration mechanical, or other technological currently approved collection of collection techniques or other forms Proposed Extension of Information information. of information technology, e.g., Collection Requests Submitted for OMB Number: 1210–0098. permitting electronic submission of Public Comment Affected Public: Not-for-profit responses. institutions, Businesses or other for- Overview of this information AGENCY: Employee Benefits Security profits. collection: Administration, Department of Labor. Respondents: 5. 1. Type of Information Collection ACTION: Notice. Responses: 3,515. (check justification or form 83): Estimated Total Burden Hours: 88. Revision of a currently approved SUMMARY: The Department of Labor (the Estimated Total Burden Cost collection. Department), in accordance with the (Operating and Maintenance): $20,457. 2. The Title of the Form/Collection: Paperwork Reduction Act, provides the Description: On April 28, 1975, the Federal Firearms Licensee Firearms general public and Federal agencies Department Published ERISA Procedure Inventory Theft/Loss Report. with an opportunity to comment on 75–1 in the Federal Register, which 3. The agency form number, if any, proposed and continuing collections of provided the public with information and the applicable component of the information. This helps the Department regarding the procedure to follow when Department sponsoring the collection: assess the impact of its information requesting an exemption. On August 10, Form number (if applicable): ATF collection requirements and minimize 1990, the Department issued a Form 3310.11. the public’s reporting burden. It also regulation which replaced ERISA

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Procedure 75–1 for applications for the circumstances under which pension Description: This class exemption prohibited transaction exemptions filed plans may suspend pension benefit (PTE 81–8), which was granted on on or after September 10, 1990 (29 CFR payments to retirees who return to work January 23, 1981, exempts from the 2570.30 et seq.). or to participants who continue to work prohibited transaction restrictions the On July 31, 1996, the Department beyond normal retirement age. This investment of plan assets in certain published in the Federal Register, section sets forth the circumstances and short-term investments in debt Prohibited Transaction Class Exemption conditions under which such benefit obligations issued by certain persons 96–62 that provides for accelerated payments may be suspended. who provide services to the plan or are approval of an exemption permitting a This regulation, which was issued on affiliated with such service providers. plan to engage in a transaction which January 27, 1981, amended on PTE 81–8 covers four types of short- might otherwise be prohibited following December 4, 1981, and corrected on term investments: banker’s acceptances, a demonstration to the Department that December 11, 1981, generally describes commercial paper, repurchase the transaction: (1) Is substantially the manner and circumstances under agreements and certificates of deposit similar in all material respects to at least which retirement benefits may be and contains specific conditions for two other transactions for which the suspended during periods of each type of investment. PTE 81–8 was Department recently granted employment subsequent to retirement. amended on April 9, 1985, to add a new administrative relief from the same The rule also clarifies that the normal category of permissible investments- restriction; and (2) presents little, if any, retirement benefit of a participant who securities issued by banks or their opportunity for abuse or risk of loss to continues working beyond the plan’s affiliates in cases where the bank is a a plan’s participants and beneficiaries. normal retirement age may also be party in interest only by reason of the Under the class exemption, a party may considered to be suspended even furnishing of a checking account or proceed with a transaction in as little as though no act of retirement has related services (such as clearing and 78 days from the acknowledgment of occurred. recordkeeping services) to the list of receipt by the Department of a written In order for a plan to suspend benefits acceptable short-term investments in the submission filed in accordance with the pursuant to the regulation, it must existing class exemption. In addition, terms of the class exemption. notify the affected retiree or participant PTE 81–8 was amended to expand the In 2002, the DOL amended the during the first calendar month or category of sellers with whom the plan exemption to clarify that it covers payroll period in which the plan may enter into repurchase agreements to ‘‘plans’’ as described in Code Section withholds payment that benefits are include dealers in bank acceptances 4975(e)(1), such as IRAs and Keogh suspended. Requests for such reviews who report their security positions on a Plans, and that the scope of the may be considered in accordance with daily basis to the Federal Reserve Bank exemption is not limited to Title I the claims procedure adopted by the of New York. The Department has ERISA covered plans. plan pursuant to Section 503 of the Act received approval from OMB for this Additionally, in 2003 the DOL and applicable regulations. The notice ICR under OMB Control No. 1210–0061. amended the exemption to permit must include the specific reasons for The current approval is scheduled to parties to base their submissions on such suspension, a general description expire on December 31, 2020. substantially similar transactions of the plan provisions authorizing the Agency: Employee Benefits Security described either in two individual suspension, a copy of the relevant plan Administration, Department of Labor. exemptions granted within the past 60 provisions, and a statement indicating Title: Prohibited Transaction Class months, or in one individual exemption where the applicable regulations may be Exemption 1998–54 Relating to Certain granted within the last 120 months and found, i.e., 29 CFR 2530.203–3. In Employee Benefit Plan Foreign one transaction that received final addition, the suspension notification Exchange Transactions Executed authorization under the exemption must inform the retiree or participant of Pursuant to Standing Instructions. within the past 60 months. The the plan’s procedure for affording a Type of Review: Extension of a Department has received approval from review of the suspension of benefits. currently approved collection of OMB for this ICR under OMB Control The Department has received approval information. No. 1210–0098. The current approval is from OMB for this ICR under OMB OMB Number: 1210–0111. scheduled to expire on October 31, Control No. 1210–0048. The current Affected Public: Businesses or other 2020. approval is scheduled to expire on for-profits. Agency: Employee Benefits Security December 31, 2020. Respondents: 35. Administration, Department of Labor. Agency: Employee Benefits Security Responses: 420,000. Title: Suspension of Pension Benefits Administration, Department of Labor. Estimated Total Burden Hours: 4,200. Pursuant to Regulations 29 CFR Title: Employee Retirement Income Estimated Total Burden Cost 2530.203–3. Security Act Prohibited Transaction (Operating and Maintenance): $0. Description: The class exemption that Type of Review: Extension of a Class Exemption 1981–8, Investment of is the subject of this submission would currently approved collection of Plan Assets in Certain Types of Short- permit certain foreign exchange information. Term Investment. OMB Number: 1210–0048. Type of Review: Extension of a transactions between employee benefit Affected Public: Businesses or other currently approved collection of plans and certain banks and broker- for-profits. information. dealers that are parties in interest with Respondents: 39,457. OMB Number: 1210–0061. respect to such plans. For purposes of Responses: 171,221. Affected Public: Businesses or other this exemption, a foreign exchange Estimated Total Burden Hours: for-profits, Not-for-profit institutions. transaction is the exchange of currency 132,639. Respondents: 82,664. of one nation for the currency of another Estimated Total Burden Cost Responses: 413,320. nation. Although the Department (Operating and Maintenance): $46,773. Estimated Total Burden Hours: previously granted an exemption for Description: Section 203(a)(3)(B) of 103,330. certain foreign exchange transactions the Employee Retirement Income Estimated Total Burden Cost (PTE 94–20, 59 FR 8022 (OMB Control Security Act of 1974 (ERISA) governs (Operating and Maintenance): $93,770. Number 1210–0085)), that exemption

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did not include relief for those foreign designated place by the date specified Appropriations Act, 2020 waives the exchange transactions executed above. competition requirement, and the pursuant to the advance written Please submit your comments by only Secretary is using the discretionary authorization of a plan fiduciary who is one method. The Department will not formula rationale and methodology for independent of the bank or broker- review comments received by means allocating PY 2020 funds for the dealer engaging in the transaction (a other than those listed above or that it Outlying Areas (American Samoa, ‘‘standing instruction’’). This receives after the comment period has Guam, the Commonwealth of the submission covers the information closed. Northern Mariana Islands, the Republic collection included in the exemption for Comments: The Department will of Palau, and the United States Virgin foreign exchange transactions executed retain all comments on this notice and Islands) that was published in the pursuant to standing instructions, will release them upon request via email Federal Register at 65 FR 8236 (Feb. 17, which was granted on November 13, to any member of the public. The 2000). WIOA specifically included the 1998. The Department has received Department also will make all the Republic of Palau as an Outlying Area, approval from OMB for this ICR under comments it receives available for except during any period for which the OMB Control No. 1210–0111. The public inspection by appointment Secretary of Labor and the Secretary of current approval is scheduled to expire during normal business hours at the Education determine that a Compact of on December 31, 2020. above address. If you need assistance to Free Association is in effect and contains provisions for training and Dated: April 23, 2020. review the comments, the Department will provide you with appropriate aids education assistance prohibiting the Anja Decressin, such as readers or print magnifiers. The assistance provided under WIOA; no Acting Director, Office of Policy and Research, Department will make copies of this such determinations prohibiting Employee Benefits Security Administration. notice available, upon request, in large assistance have been made. The formula [FR Doc. 2020–09026 Filed 4–28–20; 8:45 am] print, Braille, and electronic file. The that the Department of Labor BILLING CODE 4510–29–P Department also will consider providing (Department) used for PY 2020 is the the notice in other formats upon same formula used in PY 2019 and is request. To schedule an appointment to described in the section on Youth DEPARTMENT OF LABOR review the comments and/or obtain the Activities program allotments. The Department invites comments only on Employment and Training notice in an alternative format, contact the formula used to allot funds to the Administration Ms. Harvey using the information provided above. The Department will Outlying Areas. Program Year (PY) 2020 Workforce retain all comments received without The Department is announcing WIOA Innovation and Opportunity Act (WIOA) making any changes to the comments, allotments for PY 2020 for Youth Allotments; PY 2020 Wagner-Peyser including any personal information Activities, Adults and Dislocated Act Allotments and PY 2020 Workforce provided. The Department therefore Worker Activities, Wagner-Peyser Act Information Grants cautions commenters not to include PY 2020 allotments, and PY 2020 their personal information such as Workforce Information Grant AGENCY: Employment and Training Social Security Numbers, personal allotments. This notice provides Administration, Labor. addresses, telephone numbers, and information on the amount of funds ACTION: Notice. email addresses in their comments; this available during PY 2020 to states with information would be released with the an approved WIOA Combined or SUMMARY: This notice announces comment if the comments are requested. Unified State Plan, and information allotments for PY 2020 for WIOA Title It is the commenter’s responsibility to regarding allotments to the Outlying I Youth, Adult and Dislocated Worker safeguard his or her information. Areas. Activities programs; allotments for On December 20, 2019, the Further FOR FURTHER INFORMATION CONTACT: Employment Service (ES) activities Consolidated Appropriations Act, 2020, WIOA Youth Activities allotments— under the Wagner-Peyser Act for PY Public Law 116–94 was signed into law Sara Hastings at (202) 693–3599; WIOA 2020 and the allotments of Workforce (‘‘the Act’’). The Act, Division A, Title Adult and Dislocated Worker Activities Information Grants to States for PY I, Sections 106(b) and 107 of the Act and ES allotments—Andrew Ridgeway 2020. allows the Secretary of Labor (Secretary) at (202) 693–3536; Workforce to set aside up to 0.5 percent of each DATES: The Department must receive Information Grant allotments—Donald discretionary appropriation for activities comments on the formula used to allot Haughton at (202) 693–2784. related to program integrity and 0.75 funds to the Outlying Areas by May 29, Individuals with hearing or speech percent of most operating funds for 2020. impairments may access the telephone evaluations. For 2020, as authorized by ADDRESSES: Submit written comments numbers above via TTY by calling the the Act, the Department has set aside to the Employment and Training toll-free Federal Information Relay $818,000 of the Training and Administration (ETA), Office of Service at 1–877–889–5627 (TTY/TDD). Employment Services (TES) Financial Administration, 200 SUPPLEMENTARY INFORMATION: WIOA appropriation for evaluations. ETA Constitution Avenue NW, Room allotments for states and the state reserved these funds from the WIOA N–4702, Washington, DC 20210, allotments for the Wagner-Peyser Act Adult, Youth, and Dislocated Worker Attention: Ms. Anita Harvey, email: are based on formulas defined in their program budgets. Any funds not utilized [email protected]. respective statutes. WIOA requires for these reserve activities will be Commenters are advised that mail allotments for the Outlying Areas to be provided to the states. We also have delivery in the Washington area may be competitively awarded rather than attached tables listing the PY 2020 delayed due to security concerns. The based on a formula determined by the allotments for programs under WIOA Department will receive hand-delivered Secretary of Labor (Secretary) as Title I Youth Activities (Table A), Adult comments at the above address. All occurred under the Workforce and Dislocated Workers Employment overnight mail will be considered hand- Investment Act (WIA). However, for PY and Training Activities (Tables B and C, delivered and must be received at the 2020, the Further Consolidated respectively), and the PY 2020 Wagner-

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Peyser Act allotments (Table D). We also Commonwealth of the Northern Mariana agencies/eta/budget/formula/ have attached the PY 2020 Workforce Islands, and the United States Virgin disadvantagedyouthadults. Information Grant table (Table E). Islands. For the Republic of Palau, the See TEGL No. 14–17 for further Youth Activities Allotments. The Department used data from Palau’s 2015 information. appropriated level for PY 2020 for Census. The Department will accept Adult Employment and Training WIOA Youth Activities totals comments on this methodology. Activities Allotments. The total $913,130,000. After reducing the After the Department calculated the appropriated funds for Adult Activities appropriation by $224,000 for amount for the Outlying Areas and the in PY 2020 is $854,649,000. After evaluations, $912,906,000, is available Native American program, the amount reducing the appropriated amount by for Youth Activities. Table A includes a available for PY 2020 allotments to the $175,000 for evaluations, $854,474,000 breakdown of the Youth Activities states is $896,964,379. This total remains for Adult Activities, of which program allotments for PY 2020 and amount is below the required $1 billion $852,337,815 is for states and provides a comparison of these threshold specified in WIOA sec. $2,136,185 is for Outlying Areas. Table allotments to PY 2019 Youth Activities 127(b)(1)(C)(iv)(IV); therefore, the B shows the PY 2020 Adult allotments for all States and Outlying Department did not apply the WIOA Employment and Training Activities Areas. For the Native American Youth additional minimum provisions. allotments and a state-by-state program, the total amount available is Instead, as required by WIOA, the comparison of the PY 2020 allotments to 1.5 percent of the total amount for minimums of 90 percent of the prior PY 2019 allotments. Youth Activities (after the evaluations year allotment percentage and 0.25 In accordance with WIOA, the set-aside), in accordance with WIOA percent state minimum floor apply. Department reserved the total available section 127. The total funding available WIOA also provides that no state may for the Outlying Areas at 0.25 percent of for the Outlying Areas was reserved at receive an allotment that is more than the full amount appropriated for Adult 0.25 percent of the amount appropriated 130 percent of the allotment percentage Activities (after the evaluations set- for Youth Activities (after the for the state for the previous year. The aside). As discussed in the Youth evaluations set aside) after the amount three data factors required by WIOA sec. Activities section above, in PY 2020 the reserved for Native American Youth (in 127(b)(1)(C)(ii) for the PY 2020 Youth Department will distribute the Adult accordance with WIOA section Activities state formula allotments are, Activities funding for the Outlying 127(b)(1)(B)(i)). On December 17, 2003, summarized slightly, as follows: Areas, using the same principles, Public Law 108–188, the Compact of (1) The average number of formula, and data as used for outlying Free Association Amendments Act of unemployed individuals in Areas of areas for Youth Activities. The 2003 (‘‘the Compact’’), was signed into Substantial Unemployment (ASUs) for Department will accept comments on law. The Compact specified that the the 12-month period, July 2018–June this methodology. After determining the Republic of Palau remained eligible for 2019 in each state compared to the total amount for the Outlying Areas, the WIA Title I funding. See 48 U.S.C. number of unemployed individuals in Department used the statutory formula 1921d(f)(1)(B)(ix). WIOA sec. 512(g)(1) ASUs in all states; to distribute the remaining amount updated the Compact to refer to WIOA (2) Number of excess unemployed available for allotments to the states. funding. The National Defense individuals or excess unemployed The Department did not apply the Authorization Act for Fiscal Year 2018 individuals in ASUs (depending on WIOA minimum provisions for the PY (Division A, Title XII, Subtitle F, which is higher) averages for the same 2020 allotments because the total Section 1259C(c) of Pub. L. 115–91) 12-month period used for ASU amount available for the states was authorized WIOA Title I funding to unemployed data compared to the total below the $960 million threshold Palau through FY 2024. excess unemployed individuals or ASU required for Adult Activities in WIOA Under WIA, the Secretary had excess number in all states; and sec. 132(b)(1)(B)(iv)(IV). Instead, as discretion for determining the (3) Number of disadvantaged youth required by WIOA, the minimums of 90 methodology for distributing funds to (age 16 to 21, excluding college students percent of the prior year allotment all Outlying Areas. Under WIOA the not in the workforce and military) from percentage and 0.25 percent state Secretary must award the funds through special tabulations of data from the minimum floor apply. WIOA also a competitive process. However, for PY American Community Survey (ACS), provides that no state may receive an 2020, the Further Consolidated which the Department obtained from allotment that is more than 130 percent Appropriations Act, 2020 waives the the Census Bureau in each state of the allotment percentage for the state competition requirement regarding compared to the total number of for the previous year. The three formula funding to Outlying Areas (e.g., disadvantaged youth in all states. ETA data factors for the Adult Activities American Samoa, Guam, the obtained updated data for use in PY program are the same as those used for Commonwealth of the Northern Mariana 2018 and the same data must be used in the Youth Activities formula, except the Islands, the Republic of Palau, and the PY 2020. The Census Bureau collected Department used data for the number of United States Virgin Islands). For PY the data used in the special tabulations disadvantaged adults (age 22 to 72, 2020, the Department used the same for disadvantaged youth between excluding college students not in the methodology used since PY 2000 (i.e., January 1, 2011–December 31, 2015. workforce and military). we distribute funds among the Outlying For purposes of identifying ASUs for Dislocated Worker Employment and Areas by formula based on relative share the Youth Activities allotment formula, Training Activities Allotments. The of the number of unemployed, a the Department continued to use the amount appropriated for Dislocated minimum of 90 percent of the prior year data made available by BLS (as Worker activities in PY 2020 totals allotment percentage, a $75,000 described in the Local Area $1,322,912,000. The total appropriation minimum, and a 130 percent stop gain Unemployment Statistics (LAUS) includes formula funds for the states, of the prior year share). For the relative Technical Memorandum No. S–19–15). while the National Reserve is used for share calculation in PY 2020, the For purposes of determining the number National Dislocated Worker Grants, Department continued to use the data of disadvantaged youth, the Department technical assistance and training, obtained from the 2010 Census for used the special tabulations of ACS data demonstration projects, Workforce American Samoa, Guam, the available at: https://www.dol.gov/ Opportunity for Rural Communities,

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Community College Grants, and the state may receive an allotment that is provided by the BLS for calendar year Outlying Areas’ Dislocated Worker less than 90 percent of the state’s prior 2019. The Department distributed all allotments. After reducing the year allotment percentage (stop loss) or remaining set-aside funds on a pro-rata appropriated amount by $419,000 for more than 130 percent of the state’s basis in Step 2 to all other states evaluations, a total of $1,322,493,000 prior year allotment percentage (stop experiencing reductions in relative remains available for Dislocated Worker gain). share from the prior year but not activities. The amount available for Low unemployment rates in the states meeting the size and density criteria for Outlying Areas is $3,306,233, leaving have impacted the excess Step 1. The distribution of ES funds $267,473,767 for the National Reserve unemployment data factor in the WIOA (Table D) includes $666,423,522 for and a total of $1,051,713,000 available Dislocated Worker formula. The excess states, as well as $1,628,478 for for states. Table C shows the PY 2020 unemployment rate of 4.5 percent and Outlying Areas. low unemployment result in all states Dislocated Worker activities allotments Section 7(a) of the Wagner-Peyser Act triggering either their statutorily and a state-by-state comparison of the (49 U.S.C. 49f(a)) authorizes states to required stop loss or stop gain PY 2020 allotments to PY 2019 use 90 percent of funds allotted to a provision, with some PY 2020 funding allotments. state for labor exchange services and Similar to the Adult Activities undistributed. WIOA specifically prohibits distributing an amount to a other career services such as job search program, the Department reserved the and placement services to job seekers; total available for the Outlying Areas at state that is more than its stop gain limit. Based on this statutory limitation, appropriate recruitment services for 0.25 percent of the full amount employers; program evaluations; appropriated for Dislocated Worker the Department distributed the remaining balance of funds according to developing and providing labor market Activities (after the evaluations set- and occupational information; aside). Similar to Youth and Adult the formula driven relative share of all states triggering the stop loss provision. developing management information funds, instead of competition, in PY systems; and administering the work 2020 the Department will use the same Wagner-Peyser Act ES Allotments. The appropriated level for PY 2020 for test for unemployment insurance pro rata share as the areas received for claimants. Section 7(b) of the Wagner- the PY 2020 WIOA Adult Activities ES grants totals $668,052,000. After determining the funding for Guam and Peyser Act states that 10 percent of the program to distribute the Outlying total sums allotted to each state must be Areas’ Dislocated Worker funds, the the United States Virgin Islands, the Department calculated allotments to reserved for use by the Governor to same methodology used in PY 2019. provide performance incentives for The Department will accept comments states using the formula set forth at section 6 of the Wagner-Peyser Act (29 public ES offices and programs, provide on this methodology. services for groups with special needs, The three data factors required in U.S.C. 49e). The Department based PY and to provide for the extra costs of WIOA sec. 132(b)(2)(B)(ii) for the PY 2020 formula allotments on each state’s exemplary models for delivering 2020 Dislocated Worker state formula share of calendar year 2019 monthly services of the type described in section allotments are, summarized slightly, as averages of the civilian labor force (CLF) 7(a) and models for enhancing follows: and unemployment. Section 6(b)(4) of professional development and career (1) Relative number of unemployed the Wagner-Peyser Act requires the advancement opportunities of state individuals in each state, compared to Secretary to set aside up to three percent agency staff. the total number of unemployed of the total funds available for ES to individuals in all states, for the 12- ensure that each state will have Workforce Information Grants month period, October 2018–September sufficient resources to maintain Allotments. Total PY 2020 funding for 2019; statewide ES activities. In accordance Workforce Information Grants (2) Relative number of excess with this provision, the Department allotments to states is $32,000,000. unemployed individuals in each state, included the three percent set aside Table E contains the allotment figures compared to the total excess number of funds in this total allotment. The for each state and Outlying Area. The unemployed individuals in all states, for Department distributed the set-aside Department distributes the funds by the 12-month period, October 2018– funds in two steps to states that have administrative formula, with a reserve September 2019; and experienced a reduction in their relative of $176,800 for Guam and the United (3) Relative number of long-term share of the total resources available this States Virgin Islands. Guam and the unemployed individuals in each state, year from their relative share of the total United States Virgin Islands allotment compared to the total number of long- resources available the previous year. In amounts are partially based on CLF term unemployed individuals in all Step 1, states that have a CLF below one data. The Department distributes the states, for the 12-month period, October million and are also below the median remaining funds to the states with 40 2018–September 2019. CLF density were maintained at 100 percent distributed equally to all states In PY 2020, under WIOA the percent of their relative share of prior and 60 percent distributed based on Dislocated Worker formula uses year resources. ETA calculated the each state’s share of CLF for the 12 minimum and maximum provisions. No median CLF density based on CLF data months ending September 2019.

TABLE A—U.S. DEPARTMENT OF LABOR EMPLOYMENT AND TRAINING ADMINISTRATION WIOA YOUTH ACTIVITIES STATE ALLOTMENTS COMPARISON OF PY 2020 ALLOTMENTS VS PY 2019 ALLOTMENTS

State PY 2019 PY 2020 Difference % Difference

Total ...... $900,791,000 $912,906,000 $12,115,000 1.34

Alabama ...... 15,149,798 13,818,197 (1,331,601) ¥8.79 Alaska ...... 4,229,167 5,076,190 847,023 20.03 Arizona ...... 25,610,047 33,740,829 8,130,782 31.75 Arkansas ...... 5,911,108 6,222,886 311,778 5.27

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TABLE A—U.S. DEPARTMENT OF LABOR EMPLOYMENT AND TRAINING ADMINISTRATION WIOA YOUTH ACTIVITIES STATE ALLOTMENTS COMPARISON OF PY 2020 ALLOTMENTS VS PY 2019 ALLOTMENTS—Continued

State PY 2019 PY 2020 Difference % Difference

California ...... 119,017,698 134,926,913 15,909,215 13.37 Colorado ...... 8,431,842 7,969,239 (462,603) ¥5.49 Connecticut ...... 10,709,715 9,768,378 (941,337) ¥8.79 Delaware ...... 2,212,652 2,242,411 29,759 1.34 District of Columbia ...... 4,331,649 5,121,772 790,123 18.24 Florida ...... 45,888,161 41,854,792 (4,033,369) ¥8.79 Georgia ...... 23,153,178 21,118,115 (2,035,063) ¥8.79 Hawaii ...... 2,212,652 2,242,411 29,759 1.34 Idaho ...... 2,220,081 2,242,411 22,330 1.01 Illinois ...... 41,773,340 47,902,600 6,129,260 14.67 Indiana ...... 12,866,699 13,241,878 375,179 2.92 Iowa ...... 4,307,514 3,928,902 (378,612) ¥8.79 Kansas ...... 4,660,163 4,250,555 (409,608) ¥8.79 Kentucky ...... 13,375,729 14,588,219 1,212,490 9.06 Louisiana ...... 15,924,333 18,661,916 2,737,583 17.19 Maine ...... 2,419,335 2,242,411 (176,924) ¥7.31 Maryland ...... 14,546,358 13,267,797 (1,278,561) ¥8.79 Massachusetts ...... 12,354,890 11,268,949 (1,085,941) ¥8.79 Michigan ...... 34,878,283 35,039,178 160,895 0.46 Minnesota ...... 9,097,556 8,297,921 (799,635) ¥8.79 Mississippi ...... 10,396,417 12,695,917 2,299,500 22.12 Missouri ...... 12,676,655 11,562,432 (1,114,223) ¥8.79 Montana ...... 2,280,623 2,257,550 (23,073) ¥1.01 Nebraska ...... 2,862,935 3,321,693 458,758 16.02 Nevada ...... 9,921,829 9,330,673 (591,156) ¥5.96 New Hampshire ...... 2,212,652 2,242,411 29,759 1.34 New Jersey ...... 24,036,015 21,923,354 (2,112,661) ¥8.79 New Mexico ...... 9,124,699 9,451,630 326,931 3.58 New York ...... 62,137,502 56,675,887 (5,461,615) ¥8.79 North Carolina ...... 27,582,642 26,247,804 (1,334,838) ¥4.84 North Dakota ...... 2,212,652 2,242,411 29,759 1.34 Ohio ...... 41,626,582 45,496,637 3,870,055 9.30 Oklahoma ...... 8,631,298 7,872,645 (758,653) ¥8.79 Oregon ...... 8,626,626 10,563,715 1,937,089 22.45 Pennsylvania ...... 36,515,461 34,144,371 (2,371,090) ¥6.49 Puerto Rico ...... 29,825,410 28,606,753 (1,218,657) ¥4.09 Rhode Island ...... 3,395,462 3,097,016 (298,446) ¥8.79 South Carolina ...... 11,731,447 10,700,304 (1,031,143) ¥8.79 South Dakota ...... 2,212,652 2,242,411 29,759 1.34 Tennessee ...... 15,774,815 14,388,278 (1,386,537) ¥8.79 Texas ...... 68,455,626 62,438,675 (6,016,951) ¥8.79 Utah ...... 3,538,726 3,227,687 (311,039) ¥8.79 Vermont ...... 2,212,652 2,242,411 29,759 1.34 Virginia ...... 11,859,006 10,816,651 (1,042,355) ¥8.79 Washington ...... 21,151,649 25,394,224 4,242,575 20.06 West Virginia ...... 6,472,612 7,298,882 826,270 12.77 Wisconsin ...... 10,091,692 9,204,676 (887,016) ¥8.79 Wyoming ...... 2,212,652 2,242,411 29,759 1.34

State Total ...... 885,060,937 896,964,379 11,903,442 1.34

American Samoa ...... 237,085 240,385 3,300 1.39 Guam ...... 804,738 815,939 11,201 1.39 Northern Marianas ...... 439,677 445,798 6,121 1.39 Palau ...... 75,000 75,000 0 0.00 Virgin Islands ...... 661,698 670,909 9,211 1.39

Outlying Areas Total ...... 2,218,198 2,248,031 29,833 1.34

Native Americans ...... 13,511,865 13,693,590 181,725 1.34

TABLE B—U.S. DEPARTMENT OF LABOR EMPLOYMENT AND TRAINING ADMINISTRATION WIOA ADULT ACTIVITIES STATE ALLOTMENTS COMPARISON OF PY 2020 ALLOTMENTS VS PY 2019 ALLOTMENTS

State PY 2019 PY 2020 Difference % Difference

Total ...... $843,487,000 $854,474,000 $10,987,000 1.30

Alabama ...... 14,711,809 13,413,096 (1,298,713) ¥8.83 Alaska ...... 3,957,007 4,769,805 812,798 20.54

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TABLE B—U.S. DEPARTMENT OF LABOR EMPLOYMENT AND TRAINING ADMINISTRATION WIOA ADULT ACTIVITIES STATE ALLOTMENTS COMPARISON OF PY 2020 ALLOTMENTS VS PY 2019 ALLOTMENTS—Continued

State PY 2019 PY 2020 Difference % Difference

Arizona ...... 24,282,345 31,978,231 7,695,886 31.69 Arkansas ...... 5,650,246 6,015,408 365,162 6.46 California ...... 114,617,248 129,604,863 14,987,615 13.08 Colorado ...... 7,841,113 7,246,878 (594,235) ¥7.58 Connecticut ...... 9,742,854 8,882,785 (860,069) ¥8.83 Delaware ...... 2,103,446 2,130,845 27,399 1.30 District of Columbia ...... 3,886,654 4,645,239 758,585 19.52 Florida ...... 46,351,320 42,259,570 (4,091,750) ¥8.83 Georgia ...... 22,242,515 20,279,015 (1,963,500) ¥8.83 Hawaii ...... 2,103,446 2,130,845 27,399 1.30 Idaho ...... 2,103,446 2,130,845 27,399 1.30 Illinois ...... 39,309,891 45,085,051 5,775,160 14.69 Indiana ...... 11,700,755 12,047,106 346,351 2.96 Iowa ...... 3,057,346 2,787,453 (269,893) ¥8.83 Kansas ...... 3,925,813 3,579,254 (346,559) ¥8.83 Kentucky ...... 13,357,433 14,497,419 1,139,986 8.53 Louisiana ...... 15,462,994 18,045,995 2,583,001 16.70 Maine ...... 2,203,404 2,130,845 (72,559) ¥3.29 Maryland ...... 13,998,991 12,763,204 (1,235,787) ¥8.83 Massachusetts ...... 10,518,739 9,590,178 (928,561) ¥8.83 Michigan ...... 32,076,546 32,197,079 120,533 0.38 Minnesota ...... 7,633,654 6,959,779 (673,875) ¥8.83 Mississippi ...... 10,003,654 12,175,423 2,171,769 21.71 Missouri ...... 11,806,230 10,764,013 (1,042,217) ¥8.83 Montana ...... 2,103,446 2,130,845 27,399 1.30 Nebraska ...... 2,135,850 2,566,912 431,062 20.18 Nevada ...... 9,719,349 9,151,271 (568,078) ¥5.84 New Hampshire ...... 2,103,446 2,130,845 27,399 1.30 New Jersey ...... 23,630,205 21,544,204 (2,086,001) ¥8.83 New Mexico ...... 8,848,216 9,150,968 302,752 3.42 New York ...... 60,652,953 55,298,700 (5,354,253) ¥8.83 North Carolina ...... 26,199,337 24,910,558 (1,288,779) ¥4.92 North Dakota ...... 2,103,446 2,130,845 27,399 1.30 Ohio ...... 38,782,006 42,414,320 3,632,314 9.37 Oklahoma ...... 8,176,426 7,454,637 (721,789) ¥8.83 Oregon ...... 8,279,404 10,257,412 1,978,008 23.89 Pennsylvania ...... 33,593,768 31,312,217 (2,281,551) ¥6.79 Puerto Rico ...... 30,891,828 29,717,827 (1,174,001) ¥3.80 Rhode Island ...... 2,907,668 2,650,988 (256,680) ¥8.83 South Carolina ...... 11,326,204 10,326,362 (999,842) ¥8.83 South Dakota ...... 2,103,446 2,130,845 27,399 1.30 Tennessee ...... 15,335,341 13,981,585 (1,353,756) ¥8.83 Texas ...... 64,789,931 59,070,478 (5,719,453) ¥8.83 Utah ...... 2,759,043 2,515,483 (243,560) ¥8.83 Vermont ...... 2,103,446 2,130,845 27,399 1.30 Virginia ...... 11,057,427 10,081,312 (976,115) ¥8.83 Washington ...... 19,943,123 23,947,398 4,004,275 20.08 West Virginia ...... 6,366,593 7,145,102 778,509 12.23 Wisconsin ...... 8,714,035 7,944,787 (769,248) ¥8.83 Wyoming ...... 2,103,446 2,130,845 27,399 1.30

State Total ...... 841,378,282 852,337,815 10,959,533 1.30

American Samoa ...... 224,974 228,013 3,039 1.35 Guam ...... 763,630 773,943 10,313 1.35 Northern Marianas ...... 417,217 422,852 5,635 1.35 Palau ...... 75,000 75,000 0 0.00 Virgin Islands ...... 627,897 636,377 8,480 1.35

Outlying Areas Total ...... 2,108,718 2,136,185 27,467 1.30

TABLE C—U.S. DEPARTMENT OF LABOR EMPLOYMENT AND TRAINING ADMINISTRATION WIOA DISLOCATED WORKER ACTIVITIES STATE ALLOTMENTS COMPARISON OF PY 2020 ALLOTMENTS VS PY 2019 ALLOTMENTS

State PY 2019 PY 2020 Difference % Difference

Total ...... $1,258,639,000 $1,322,493,000 $63,854,000 5.07

Alabama ...... 18,299,000 17,387,399 (911,601) ¥4.98 Alaska ...... 6,395,952 8,421,655 2,025,703 31.67

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TABLE C—U.S. DEPARTMENT OF LABOR EMPLOYMENT AND TRAINING ADMINISTRATION WIOA DISLOCATED WORKER ACTIVITIES STATE ALLOTMENTS COMPARISON OF PY 2020 ALLOTMENTS VS PY 2019 ALLOTMENTS—Continued

State PY 2019 PY 2020 Difference % Difference

Arizona ...... 30,250,131 39,830,842 9,580,711 31.67 Arkansas ...... 6,217,966 6,061,513 (156,453) ¥2.52 California ...... 147,573,118 142,073,567 (5,499,551) ¥3.73 Colorado ...... 10,043,592 9,986,612 (56,980) ¥0.57 Connecticut ...... 14,161,792 13,611,948 (549,844) ¥3.88 Delaware ...... 2,402,111 2,343,949 (58,162) ¥2.42 District of Columbia ...... 8,437,913 11,110,338 2,672,425 31.67 Florida ...... 52,121,208 50,853,493 (1,267,715) ¥2.43 Georgia ...... 38,491,175 36,871,224 (1,619,951) ¥4.21 Hawaii ...... 1,604,310 1,618,611 14,301 0.89 Idaho ...... 1,956,691 1,962,590 5,899 0.30 Illinois ...... 59,425,694 56,663,539 (2,762,155) ¥4.65 Indiana ...... 13,659,352 13,347,305 (312,047) ¥2.28 Iowa ...... 4,116,302 4,077,392 (38,910) ¥0.95 Kansas ...... 4,618,755 4,595,051 (23,704) ¥0.51 Kentucky ...... 16,788,605 16,051,059 (737,546) ¥4.39 Louisiana ...... 21,209,720 20,371,329 (838,391) ¥3.95 Maine ...... 2,598,431 2,562,857 (35,574) ¥1.37 Maryland ...... 15,260,868 15,019,525 (241,343) ¥1.58 Massachusetts ...... 15,766,252 15,428,753 (337,499) ¥2.14 Michigan ...... 28,882,600 28,103,101 (779,499) ¥2.70 Minnesota ...... 8,618,483 8,623,882 5,399 0.06 Mississippi ...... 12,818,139 16,877,853 4,059,714 31.67 Missouri ...... 13,726,081 13,271,254 (454,827) ¥3.31 Montana ...... 1,585,502 1,589,906 4,404 0.28 Nebraska ...... 2,404,721 2,430,569 25,848 1.07 Nevada ...... 14,008,800 13,341,178 (667,622) ¥4.77 New Hampshire ...... 1,775,681 1,776,875 1,194 0.07 New Jersey ...... 31,152,114 29,962,189 (1,189,925) ¥3.82 New Mexico ...... 17,787,817 18,082,636 294,819 1.66 New York ...... 50,806,192 50,005,712 (800,480) ¥1.58 North Carolina ...... 29,098,556 28,414,511 (684,045) ¥2.35 North Dakota ...... 825,249 827,550 2,301 0.28 Ohio ...... 38,603,870 37,181,539 (1,422,331) ¥3.68 Oklahoma ...... 7,577,124 7,437,134 (139,990) ¥1.85 Oregon ...... 11,249,816 11,019,838 (229,978) ¥2.04 Pennsylvania ...... 51,039,332 48,858,998 (2,180,334) ¥4.27 Puerto Rico ...... 57,872,849 76,202,126 18,329,277 31.67 Rhode Island ...... 3,963,193 3,806,076 (157,117) ¥3.96 South Carolina ...... 14,897,573 14,268,943 (628,630) ¥4.22 South Dakota ...... 1,177,194 1,190,973 13,779 1.17 Tennessee ...... 18,162,357 17,478,205 (684,152) ¥3.77 Texas ...... 61,014,319 59,820,885 (1,193,434) ¥1.96 Utah ...... 4,316,698 4,261,672 (55,026) ¥1.27 Vermont ...... 865,748 843,187 (22,561) ¥2.61 Virginia ...... 13,818,609 13,694,749 (123,860) ¥0.90 Washington ...... 26,634,849 26,957,248 322,399 1.21 West Virginia ...... 9,760,842 12,852,260 3,091,418 31.67 Wisconsin ...... 11,431,285 11,212,132 (219,153) ¥1.92 Wyoming ...... 1,086,469 1,069,268 (17,201) ¥1.58

State Total ...... 1,038,361,000 1,051,713,000 13,352,000 1.29 American Samoa ...... 335,703 352,902 17,199 5.12 Guam ...... 1,139,477 1,197,853 58,376 5.12 Northern Marianas ...... 622,565 654,460 31,895 5.12 Palau ...... 111,914 116,080 4,166 3.72 Virgin Islands ...... 936,939 984,938 47,999 5.12

Outlying Areas Total ...... 3,146,598 3,306,233 159,635 5.07

National Reserve ...... 217,131,402 267,473,767 50,342,365 23.19

TABLE D—U.S. DEPARTMENT OF LABOR EMPLOYMENT AND TRAINING ADMINISTRATION EMPLOYMENT SERVICE (WAGNER- PEYSER) PY 2020 VS PY 2019 ALLOTMENTS

State PY 2019 PY 2020 Difference % Difference

Total ...... $661,187,000 $668,052,000 $6,865,000 1.04

Alabama ...... 8,774,005 8,738,446 (35,559) ¥0.41

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TABLE D—U.S. DEPARTMENT OF LABOR EMPLOYMENT AND TRAINING ADMINISTRATION EMPLOYMENT SERVICE (WAGNER- PEYSER) PY 2020 VS PY 2019 ALLOTMENTS—Continued

State PY 2019 PY 2020 Difference % Difference

Alaska ...... 7,187,418 7,262,044 74,626 1.04 Arizona ...... 13,793,435 14,853,978 1,060,543 7.69 Arkansas ...... 5,116,418 5,159,694 43,276 0.85 California ...... 77,508,834 77,981,894 473,060 0.61 Colorado ...... 10,914,395 11,048,709 134,314 1.23 Connecticut ...... 7,518,868 7,546,033 27,165 0.36 Delaware ...... 1,850,977 1,869,496 18,519 1.00 District of Columbia ...... 1,955,175 1,957,284 2,109 0.11 Florida ...... 37,920,561 38,224,509 303,948 0.80 Georgia ...... 19,757,815 19,810,511 52,696 0.27 Hawaii ...... 2,320,867 2,337,828 16,961 0.73 Idaho ...... 5,988,398 6,050,575 62,177 1.04 Illinois ...... 26,812,565 26,795,752 (16,813) ¥0.06 Indiana ...... 12,501,804 12,606,524 104,720 0.84 Iowa ...... 6,002,803 6,039,407 36,604 0.61 Kansas ...... 5,426,648 5,473,903 47,255 0.87 Kentucky ...... 8,154,547 8,261,970 107,423 1.32 Louisiana ...... 8,888,286 8,923,122 34,836 0.39 Maine ...... 3,561,244 3,598,220 36,976 1.04 Maryland ...... 12,406,916 12,493,848 86,932 0.70 Massachusetts ...... 13,762,091 13,843,578 81,487 0.59 Michigan ...... 19,803,803 19,905,550 101,747 0.51 Minnesota ...... 10,851,240 11,396,826 545,586 5.03 Mississippi ...... 5,398,062 5,563,013 164,951 3.06 Missouri ...... 11,705,550 11,734,062 28,512 0.24 Montana ...... 4,893,749 4,944,560 50,811 1.04 Nebraska ...... 5,021,790 4,966,813 (54,977) ¥1.09 Nevada ...... 6,023,666 6,071,412 47,746 0.79 New Hampshire ...... 2,571,759 2,621,526 49,767 1.94 New Jersey ...... 18,217,995 18,145,531 (72,464) ¥0.40 New Mexico ...... 5,491,649 5,548,668 57,019 1.04 New York ...... 37,872,846 38,073,537 200,691 0.53 North Carolina ...... 19,119,367 19,795,653 676,286 3.54 North Dakota ...... 4,983,302 5,035,043 51,741 1.04 Ohio ...... 23,078,213 23,265,564 187,351 0.81 Oklahoma ...... 6,983,784 7,003,623 19,839 0.28 Oregon ...... 8,080,992 8,221,924 140,932 1.74 Pennsylvania ...... 25,709,054 25,924,310 215,256 0.84 Puerto Rico ...... 6,488,984 6,422,165 (66,819) ¥1.03 Rhode Island ...... 2,292,037 2,277,052 (14,985) ¥0.65 South Carolina ...... 9,007,952 8,979,979 (27,973) ¥0.31 South Dakota ...... 4,605,717 4,653,537 47,820 1.04 Tennessee ...... 12,200,903 12,323,307 122,404 1.00 Texas ...... 52,111,078 52,616,735 505,657 0.97 Utah ...... 5,842,022 5,837,153 (4,869) ¥0.08 Vermont ...... 2,157,579 2,179,981 22,402 1.04 Virginia ...... 15,583,311 15,677,914 94,603 0.61 Washington ...... 15,040,605 15,891,995 851,390 5.66 West Virginia ...... 5,271,697 5,326,432 54,735 1.04 Wisconsin ...... 11,469,141 11,531,892 62,751 0.55 Wyoming ...... 3,573,339 3,610,440 37,101 1.04

State Total ...... 659,575,256 666,423,522 6,848,266 1.04

Guam ...... 309,385 312,597 3,212 1.04 Virgin Islands ...... 1,302,359 1,315,881 13,522 1.04

Outlying Areas Total ...... 1,611,744 1,628,478 16,734 1.04

TABLE E—U.S. DEPARTMENT OF LABOR EMPLOYMENT AND TRAINING ADMINISTRATION WORKFORCE INFORMATION GRANTS TO STATES PY 2020 VS PY 2019 ALLOTMENTS

State PY 2019 PY 2020 Difference % Difference

Total ...... $31,915,000 $32,000,000 $85,000 0.27

Alabama ...... 499,846 505,028 5,182 1.04 Alaska ...... 286,283 285,803 (480) ¥0.17 Arizona ...... 638,657 655,740 17,083 2.67 Arkansas ...... 402,114 403,034 920 0.23

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TABLE E—U.S. DEPARTMENT OF LABOR EMPLOYMENT AND TRAINING ADMINISTRATION WORKFORCE INFORMATION GRANTS TO STATES PY 2020 VS PY 2019 ALLOTMENTS—Continued

State PY 2019 PY 2020 Difference % Difference

California ...... 2,511,591 2,510,120 (1,471) ¥0.06 Colorado ...... 603,421 610,933 7,512 1.24 Connecticut ...... 466,938 467,544 606 0.13 Delaware ...... 300,696 301,515 819 0.27 District of Columbia ...... 291,586 292,370 784 0.27 Florida ...... 1,438,980 1,451,110 12,130 0.84 Georgia ...... 845,383 839,565 (5,818) ¥0.69 Hawaii ...... 324,383 322,394 (1,989) ¥0.61 Idaho ...... 343,625 346,492 2,867 0.83 Illinois ...... 1,003,089 999,994 (3,095) ¥0.31 Indiana ...... 637,315 639,931 2,616 0.41 Iowa ...... 440,689 444,844 4,155 0.94 Kansas ...... 417,133 417,466 333 0.08 Kentucky ...... 485,469 485,412 (57) ¥0.01 Louisiana ...... 493,089 488,811 (4,278) ¥0.87 Maine ...... 326,438 325,566 (872) ¥0.27 Maryland ...... 621,902 620,310 (1,592) ¥0.26 Massachusetts ...... 682,901 691,549 8,648 1.27 Michigan ...... 817,191 820,200 3,009 0.37 Minnesota ...... 606,323 605,649 (674) ¥0.11 Mississippi ...... 394,080 393,383 (697) ¥0.18 Missouri ...... 601,213 601,906 693 0.12 Montana ...... 305,519 306,629 1,110 0.36 Nebraska ...... 362,694 365,116 2,422 0.67 Nevada ...... 419,001 423,009 4,008 0.96 New Hampshire ...... 332,496 334,281 1,785 0.54 New Jersey ...... 769,792 763,266 (6,526) ¥0.85 New Mexico ...... 353,927 356,282 2,355 0.67 New York ...... 1,378,366 1,358,016 (20,350) ¥1.48 North Carolina ...... 827,448 834,449 7,001 0.85 North Dakota ...... 292,004 291,832 (172) ¥0.06 Ohio ...... 920,161 920,499 338 0.04 Oklahoma ...... 461,245 458,826 (2,419) ¥0.52 Oregon ...... 492,174 491,128 (1,046) ¥0.21 Pennsylvania ...... 992,172 998,348 6,176 0.62 Puerto Rico ...... 372,142 370,188 (1,954) ¥0.53 Rhode Island ...... 309,656 309,298 (358) ¥0.12 South Carolina ...... 514,950 519,836 4,886 0.95 South Dakota ...... 297,815 298,948 1,133 0.38 Tennessee ...... 623,186 631,278 8,092 1.30 Texas ...... 1,853,513 1,875,706 22,193 1.20 Utah ...... 429,719 430,227 508 0.12 Vermont ...... 284,761 285,048 287 0.10 Virginia ...... 751,857 754,617 2,760 0.37 Washington ...... 684,703 696,101 11,398 1.66 West Virginia ...... 335,764 336,997 1,233 0.37 Wisconsin ...... 615,121 608,159 (6,962) ¥1.13 Wyoming ...... 277,883 278,447 564 0.20

State Total ...... 31,738,404 31,823,200 84,796 0.27 Guam ...... 92,976 93,090 114 0.12 Virgin Islands ...... 83,620 83,710 90 0.11

Outlying Areas Total ...... 176,596 176,800 204 0.12

Signed at Washington, DC. DEPARTMENT OF LABOR SUMMARY: The Department of Labor’s John Pallasch, (DOL) Employment and Training Assistant Secretary for Employment and Employment and Training Administration (ETA) is soliciting Training. Administration comments concerning a proposed [FR Doc. 2020–09059 Filed 4–28–20; 8:45 am] extension for the authority to conduct Agency Information Collection the information collection request (ICR) BILLING CODE 4510–FN–P Activities; Comment Request; titled, ‘‘Unemployment Insurance (UI) Unemployment Insurance (UI) State State Quality Service Plan (SQSP) Quality Service Plan (SQSP) Planning and Reporting Guidelines Planning and Reporting Guidelines.’’ This comment request is part of continuing Departmental efforts to ACTION: Notice. reduce paperwork and respondent

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burden in accordance with the SQSP links program performance with Type of Review: Extension without Paperwork Reduction Act of 1995 the budget and planning process. The changes. (PRA). Secretary of Labor is authorized to Title of Collection: Unemployment DATES: Consideration will be given to all provide funds to administer the UI Insurance (UI) State Quality Service written comments received by June 29, program and to govern the expenditures Plan (SQSP) Planning and Reporting 2020. of those funds. Social Security Act Guidelines. Form: ET Handbook No. 336, 18th ADDRESSES: A copy of this ICR with sections 302, and 303(a)(8) and (9), authorize this information collection. Edition. applicable supporting documentation, OMB Control Number: OMB 1205– including a description of the likely This information collection is subject to the PRA. A Federal agency generally 0132. respondents, proposed frequency of Affected Public: State Workforce response, and estimated total burden, cannot conduct or sponsor a collection of information, and the public is Agencies. may be obtained free by contacting Estimated Number of Respondents: Delores Ferrell by telephone at 202– generally not required to respond to an information collection, unless it is 53. 693–3183 (this is not a toll-free Frequency: Biannual, Annual, and approved by OMB under the PRA and number), TTY 1–877–889–5627 (this is Quarterly. displays a currently valid OMB Control not a toll-free number) or by email at Total Estimated Annual Responses: Number. In addition, notwithstanding [email protected]. 1257. Submit written comments about, or any other provisions of law, no person Estimated Average Time per requests for a copy of, this ICR by mail shall generally be subject to penalty for Response: 3.58 hours. or courier to the U.S. Department of failing to comply with a collection of Estimated Total Annual Burden Labor, Employment and Training information that does not display a Hours: 4,496 hours. Administration, Office of valid Control Number. See 5 CFR Total Estimated Annual Other Cost Unemployment Insurance, 200 1320.5(a) and 1320.6. Burden: $0. Constitution Avenue NW, Room S– Interested parties are encouraged to 4519, Washington, DC 20210; by email: provide comments to the contact shown John Pallasch, [email protected]; or by Fax: 202– in the ADDRESSES section. Comments Assistant Secretary for Employment and 693–3975. must be written to receive Training. FOR FURTHER INFORMATION CONTACT: consideration, and they will be [FR Doc. 2020–09061 Filed 4–28–20; 8:45 am] Delores Ferrell by telephone at 202– summarized and included in the request BILLING CODE 4510–FW–P 693–3183 (this is not a toll-free number) for OMB approval of the final ICR. In or by email at [email protected]. order to help ensure appropriate DEPARTMENT OF LABOR SUPPLEMENTARY INFORMATION: DOL, as consideration, comments should mention OMB control number 1205– part of continuing efforts to reduce Employment and Training 0132. paperwork and respondent burden, Administration conducts a pre-clearance consultation Submitted comments will also be a program to provide the general public matter of public record for this ICR and Employment and Training and Federal agencies an opportunity to posted on the internet, without Administration (ETA) Program Year comment on proposed and/or redaction. DOL encourages commenters 2020 Workforce Innovation and continuing collections of information not to include personally identifiable Opportunity Act (WIOA) Section 167, before submitting them to the Office of information, confidential business data, National Farmworker Jobs Program Management and Budget (OMB) for final or other sensitive statements/ Grantee Allotments approval. This program helps to ensure information in any comments. requested data can be provided in the DOL is particularly interested in AGENCY: Employment and Training desired format, reporting burden (time comments that: Administration, Labor. and financial resources) is minimized, • Evaluate whether the proposed ACTION: Notice. collection instruments are clearly collection of information is necessary SUMMARY: This Notice announces understood, and the impact of collection for the proper performance of the allotments for Program Year (PY) 2020 requirements can be properly assessed. functions of the agency, including for the WIOA Title I Section 167 SQSP is an approach to the whether the information will have National Farmworker Jobs Program, as unemployment insurance performance practical utility; required under Section 182(d) of the management and planning process that • Evaluate the accuracy of the Workforce Innovation and Opportunity allows for an exchange of information agency’s estimate of the burden of the Act of 2014. The Further Consolidated between the Federal and state partners proposed collection of information, Appropriations Act, 2020, enacted to enhance the ability of the program to including the validity of the December 20, 2019, provides reflect the joint commitment to methodology and assumptions used; $85,229,000 for formula grants and performance excellence and client- • Enhance the quality, utility, and another $6,122,000 for migrant and centered services. As part of UI clarity of the information to be seasonal farmworker housing (of which Performs, a comprehensive performance collected; and not less than 70 percent shall be for management system implemented in • Minimize the burden of the permanent housing). Another $545,000 1995 for the UI program, SQSP is the collection of information on those who will be set aside for discretionary principal vehicle that state UI agencies are to respond, including through the purposes. use to plan, record, and manage use of appropriate automated, program improvement efforts as they electronic, mechanical, or other DATES: The PY 2020 National strive for excellence in service. SQSP technological collection techniques or Farmworker Jobs Program allotments also serves as the state plan for the UI other forms of information technology, become effective for the grant period program and serves as the grant (e.g., permitting electronic submission that begins July 1, 2020. document through which states receive of responses). ADDRESSES: Questions on this notice can Federal UI administrative funding. Agency: DOL–ETA. be submitted to the Employment and

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Training Administration, Office of Congress provided $85,229,000 for provision was implemented specifically Workforce Investment, 200 Constitution Career Services and Training grants; as follows: Ave. NW, Room C4510, Washington, DC $6,122,000 for Housing grants; and (1) In PY 2018, state service areas 20210, Attention: Laura Iban˜ ez, Unit $545,000 for discretionary purposes. received an amount equal to 95 percent Chief, (202) 693–3645 or Steven Rietzke, Included below is the table listing the of their PY 2017 allotment percentage Division Chief at (202) 693–3912, or at PY 2020 allotments for the NFJP Career share, as applied to the PY 2018 formula [email protected]. Individuals with hearing Services and Training grants. Individual funds available; or speech impairments may access the grants are awarded for Housing as a (2) In PY 2019, state service areas telephone numbers above via TTY by result of the grants competition and are received an amount equal to 90 percent calling the toll-free Federal Information further distributed according to of their PY 2018 allotment percentage Relay Service at 1–877–889–5627 (TTY– language in the appropriations law share, as applied to the PY 2019 formula TDD). requiring that of the total amount funds available; SUPPLEMENTARY INFORMATION: This available, not less than 70 percent shall (3) In PY 2020, state service areas will notice is published pursuant to Section be allocated to permanent housing receive an amount equal to at least 85 182(d) of the WIOA, Prompt Allotment activities, leaving not more than 30 percent of their PY 2019 allotment of Funds. percent to temporary housing activities. percentage share, as applied to the PY ETA developed the formula for the II. Description of Data Files and Review 2020 formula funds available. purpose of distributing funds In PY 2019 and 2020, the hold- geographically by state service area, on of PY 2018 Modifications to the Allotment Formula harmless provision also provides that no the basis of each state service area’s state service area will receive an amount relative share of persons eligible for the As with all state planning estimates that is more than 150 percent of their program. The formula’s original since 1999, the PY 2020 estimates are previous year’s allotment percentage methodology was described in a notice based on four data sources: (1) State- share. published in the Federal Register on level, 2012 hired farm labor expenditure In PY 2021, since the Department has May 19, 1999 (64 FR 27390). That data from the United States Department a responsibility to use the most current information is accessible at https:// of Agriculture’s (USDA) Census of and reliable data available, amounts for www.federalregister.gov/. Agriculture (COA); (2) regional-level, Beginning with PY 2018, ETA the new awards will be based on 2012 average hourly earnings data from updated data from the sources described incorporated two modifications to the the USDA’s Farm Labor Survey; (3) allotment formula, with the goal of in Section II, pending their availability. regional-level, 2006–2014 demographic At that time, the Department will providing more accurate estimates of data from the ETA’s National each state service area’s relative share of determine whether the changes to state Agricultural Workers Survey (NAWS); allotments are significant enough to persons eligible for the program. The and, (4) 2010–2014 (5-year file) Lower formula also used updated data from warrant another hold-harmless Living Standard Income Level data from provision. Otherwise, allotments to each each of the four data files serving as the the United States Census Bureau’s basis of the formula since 1999. The state service area will be for an amount American Community Survey. A resulting from a direct allotment of the revised formula is available at https:// detailed description of how each data www.federalregister.gov/documents/ proposed funding formula without source is used within the formula is in adjustment. 2018/07/11/2018-14747/employment- the May 19, 1999 FR (pages 27396 to and-training-administration-eta- 27399). IV. Minimum Funding Provisions program-year-py-2018-workforce- innovation-and-opportunity. Based on Two modifications were incorporated A state area which would receive less the new estimates, the Department of into the formula in PY 2018, and the than $60,000 by application of the Labor (DOL or Department) instituted a formula for PY 2020 retains those formula will, at the option of the DOL, hold-harmless provision for PY 2018 modifications. Additional information receive no allotment or, if practical, be and two following years. The hold- regarding these modifications is located combined with another adjacent state harmless provision is designed to in the May 23, 2018 FR 83 (pages 23937 area. Funding below $60,000 is deemed provide a staged transition from old to to 23940) and the July 11, 2018 FR 83 insufficient for sustaining an new funding levels for state service (pages 32151 to 32155). independently administered program. areas and minimize the impact on those III. Description of the Hold-Harmless However, if practical, a state jurisdiction states incurring significant change. Provision which would receive less than $60,000 may be combined with another adjacent I. Background For PY 2020, the Department will state area. The Department is announcing final continue the hold-harmless provision to V. Program Year 2020 State Allotments PY 2020 allotments for the National the allotment formula in order to allow Farmworker Jobs Program (NFJP). This a staged transition from the application For PY 2020, ETA based estimated notice provides information on the of the previous formula to the modified funding on the funding levels provided amount of funds available during PY formula. The hold-harmless provision in the Act for the migrant and seasonal 2020 to state service areas awarded provides for a stop loss/stop gain limit farmworker program, of which grants through the PY 2020 Funding to transition to the use of the updated $85,229,000 was allotted to Career Opportunity Announcement (FOA) for data. Due to the length of time between Services and Training grants and the NFJP Career Services and Training updates, there were significant changes $6,122,000 was allotted to Housing grants and Housing grants. The for a few states, necessitating the stop grants on the basis of the formula. The allotments are based on the funds loss/stop gain approach. This approach state service area allotment table shows appropriated in the Further is based on a state service area’s the application of the third-year (85 Consolidated Appropriations Act, 2020, previous year’s allotment percentage percent) hold-harmless and minimum Public Law 116–94 (from this point share, which is its relative share of the funding provisions versus what was forward will be referred to as the ‘‘the total formula allotments. The staged allotted in PY 2019, followed by the Act’’). In appropriating these funds, transition of the hold-harmless difference in dollar amounts from PY

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2019, and the total percentage change Signed at Washington, DC. (positive or negative). John Pallasch Assistant Secretary, Employment and Training Administration.

U.S. DEPARTMENT OF LABOR EMPLOYMENT AND TRAINING ADMINISTRATION NATIONAL FARMWORKER JOBS PROGRAM— CAREER SERVICES AND TRAINING GRANTS PY 2020 ALLOCATIONS TO STATE SERVICE AREAS

PY 2019 PY 2020 90 85 State StopLoss/ StopLoss/ $ Difference Difference 150 150 StopGain StopGain

Total ...... $82,447,000 $85,229,000 $2,782,000 3.37

Alabama ...... 751,290 801,605 50,315 6.70 Alaska ...... 0.00 Arizona ...... 2,378,836 2,538,153 159,317 6.70 Arkansas ...... 1,072,255 1,144,067 71,812 6.70 California ...... 21,868,660 23,333,261 1,464,601 6.70 Colorado ...... 1,262,507 1,347,060 84,553 6.70 Connecticut ...... 377,130 402,388 25,258 6.70 Delaware ...... 146,081 155,864 9,783 6.70 Dist of Columbia ...... 0.00 Florida ...... 3,734,826 3,763,684 28,858 0.77 Georgia ...... 1,566,766 1,671,697 104,931 6.70 Hawaii ...... 301,846 322,061 20,215 6.70 Idaho ...... 1,666,122 1,777,707 111,585 6.70 Illinois ...... 1,637,247 1,746,897 109,650 6.70 Indiana ...... 1,073,815 1,145,731 71,916 6.70 Iowa ...... 1,488,387 1,588,068 99,681 6.70 Kansas ...... 1,143,620 1,220,211 76,591 6.70 Kentucky ...... 1,090,762 1,044,219 (46,543) ¥4.27 Louisiana ...... 820,452 798,040 (22,412) ¥2.73 Maine ...... 308,242 328,886 20,644 6.70 Maryland ...... 362,410 386,681 24,271 6.70 Massachusetts ...... 341,568 364,444 22,876 6.70 Michigan ...... 1,995,828 2,129,494 133,666 6.70 Minnesota ...... 1,527,595 1,629,902 102,307 6.70 Mississippi ...... 1,168,525 1,026,761 (141,764) 12.13 Missouri ...... 923,513 985,363 61,850 6.70 Montana ...... 589,076 628,528 39,452 6.70 Nebraska ...... 1,214,215 1,295,534 81,319 6.70 Nevada ...... 178,911 190,893 11,982 6.70 New Hampshire ...... 108,334 115,590 7,256 6.70 New Jersey ...... 627,196 602,990 (24,206) ¥3.86 New Mexico ...... 983,177 1,049,022 65,845 6.70 New York ...... 1,492,399 1,574,968 82,569 5.53 North Carolina ...... 2,472,721 2,638,326 165,605 6.70 North Dakota ...... 776,042 828,016 51,974 6.70 Ohio ...... 1,328,722 1,417,710 88,988 6.70 Oklahoma ...... 1,146,469 1,007,381 (139,088) ¥12.13 Oregon ...... 2,293,830 2,447,454 153,624 6.70 Pennsylvania ...... 1,392,650 1,485,920 93,270 6.70 Puerto Rico ...... 2,755,037 2,420,800 (334,237) ¥12.13 Rhode Island ...... 56,902 60,713 3,811 6.70 South Carolina ...... 871,010 811,276 (59,734) ¥6.86 South Dakota ...... 572,272 610,598 38,326 6.70 Tennessee ...... 838,575 894,737 56,162 6.70 Texas ...... 6,011,223 5,281,950 (729,273) ¥12.13 Utah ...... 437,588 466,894 29,306 6.70 Vermont ...... 174,107 185,768 11,661 6.70 Virginia ...... 939,663 1,002,595 62,932 6.70 Washington ...... 4,234,704 4,518,313 283,609 6.70 West Virginia ...... 176,865 155,408 (21,457) ¥12.13 Wisconsin ...... 1,536,848 1,639,775 102,927 6.70 Wyoming ...... 230,181 245,597 15,416 6.70

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[FR Doc. 2020–09060 Filed 4–28–20; 8:45 am] in conformance with applicable ANSI collection request (ICR) to the Office of BILLING CODE 4510–FN–P standards and that the equipment is as Management and Budget (OMB) for safe as it was prior to the modification. review and approval in accordance with For additional substantive information the Paperwork Reduction Act of 1995 DEPARTMENT OF LABOR about this ICR, see the related notice (PRA). Public comments on the ICR are published in the Federal Register on invited. Office of the Secretary February 26, 2020 (85 FR 11110). DATES: The OMB will consider all This information collection is subject Agency Information Collection written comments that agency receives to the PRA. A Federal agency generally Activities; Submission for OMB on or before May 29, 2020. cannot conduct or sponsor a collection Review; Comment Request; Aerial Lifts ADDRESSES: Written comments and of information, and the public is Standard recommendations for the proposed generally not required to respond to an information collection should be sent ACTION: Notice of availability; request information collection, unless the OMB within 30 days of publication of this for comments. approves it and displays a currently notice to www.reginfo.gov/public/do/ valid OMB Control Number. In addition, PRAMain. Find this particular SUMMARY: The Department of Labor notwithstanding any other provisions of information collection by selecting (DOL) is submitting this Occupational law, no person shall generally be subject ‘‘Currently under 30-day Review—Open Safety and Health Administration to penalty for failing to comply with a for Public Comments’’ or by using the (OSHA)-sponsored information collection of information that does not search function. collection request (ICR) to the Office of display a valid OMB Control Number. Comments are invited on: (1) Whether Management and Budget (OMB) for See 5 CFR 1320.5(a) and 1320.6. the collection of information is review and approval in accordance with DOL seeks PRA authorization for this necessary for the proper performance of the Paperwork Reduction Act of 1995 information collection for three (3) the functions of the Department, (PRA). Public comments on the ICR are years. OMB authorization for an ICR including whether the information will invited. cannot be for more than three (3) years have practical utility; (2) if the DATES: The OMB will consider all without renewal. The DOL notes that information will be processed and used written comments that agency receives information collection requirements in a timely manner; (3) the accuracy of on or before May 29, 2020. submitted to the OMB for existing ICRs the agency’s estimates of the burden and ADDRESSES: Written comments and receive a month-to-month extension cost of the collection of information, recommendations for the proposed while they undergo review. including the validity of the information collection should be sent Agency: DOL–OSHA. methodology and assumptions used; (4) within 30 days of publication of this Title of Collection: Aerial Lifts ways to enhance the quality, utility and notice to www.reginfo.gov/public/do/ Standard. clarity of the information collection; and PRAMain. Find this particular OMB Control Number: 1218–0216. (5) ways to minimize the burden of the information collection by selecting Affected Public: Private Sector: collection of information on those who ‘‘Currently under 30-day Review—Open Business or other for-profits. are to respond, including the use of Total Estimated Number of for Public Comments’’ or by using the automated collection techniques or Respondents: 10. search function. Total Estimated Number of other forms of information technology. Comments are invited on: (1) Whether Responses: 10. FOR FURTHER INFORMATION CONTACT: the collection of information is Total Estimated Annual Time Burden: Frederick Licari by telephone at 202– necessary for the proper performance of 1 hours. 693–8073, TTY 202–693–8064, (these the functions of the Department, Total Estimated Annual Other Costs are not toll-free numbers) or by email at including whether the information will Burden: $0. [email protected]. have practical utility; (2) if the Authority: 44 U.S.C. 3507(a)(1)(D). SUPPLEMENTARY INFORMATION: The information will be processed and used Crawler, Locomotive, and Truck Cranes in a timely manner; (3) the accuracy of Dated: April 23, 2020. Standard requires that monthly the agency’s estimates of the burden and Frederick Licari, inspections be performed on cranes and cost of the collection of information, Departmental Clearance Officer. running ropes and that a certification including the validity of the [FR Doc. 2020–09029 Filed 4–28–20; 8:45 am] record be prepared. Ropes which have methodology and assumptions used; (4) BILLING CODE 4510–25–P been idle for a month or more are ways to enhance the quality, utility and required to undergo a thorough clarity of the information collection; and inspection and that a certification (5) ways to minimize the burden of the DEPARTMENT OF LABOR record be generated. For additional collection of information on those who substantive information about this ICR, are to respond, including the use of Office of the Secretary see the related notice published in the automated collection techniques or Federal Register on February 26, 2020 Agency Information Collection other forms of information technology. (85 FR 11112). FOR FURTHER INFORMATION CONTACT: Activities; Submission for OMB This information collection is subject Frederick Licari by telephone at 202– Review; Comment Request; Crawler, to the PRA. A Federal agency generally 693–8073, TTY 202–693–8064, (these Locomotive, and Truck Cranes cannot conduct or sponsor a collection are not toll-free numbers) or by email at Standard of information, and the public is [email protected]. ACTION: Notice of availability; request generally not required to respond to an SUPPLEMENTARY INFORMATION: Employers for comments. information collection, unless the OMB who modify an aerial lift for uses other approves it and displays a currently than those provided by the SUMMARY: The Department of Labor valid OMB Control Number. In addition, manufacturer must obtain a certificate (DOL) is submitting this Occupational notwithstanding any other provisions of from the manufacturer or equivalent Safety and Health Administration law, no person shall generally be subject entity certifying that the modification is (OSHA)-sponsored information to penalty for failing to comply with a

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collection of information that does not ADDRESSES: Please refer to Docket ID II. General Consideration display a valid OMB Control Number. NRC–2020–0087 when contacting the The withdrawal of RG 5.43 does not See 5 CFR 1320.5(a) and 1320.6. NRC about the availability of alter any prior or existing NRC licensing DOL seeks PRA authorization for this information regarding this document. approvals, or the acceptability of information collection for three (3) You may obtain publicly-available licensee commitments made regarding years. OMB authorization for an ICR information related to this document the withdrawn guidance. Although RG cannot be for more than three (3) years using any of the following methods: 5.43 is withdrawn, current licensees without renewal. The DOL notes that • Federal Rulemaking website: Go to referencing this RG may continue to do information collection requirements https://www.regulations.gov and search so, and withdrawal does not affect any submitted to the OMB for existing ICRs for Docket ID NRC–2020–0087. Address existing licenses or agreements. receive a month-to-month extension questions about NRC docket IDs in However, by withdrawing RG 5.43, the while they undergo review. regulations.gov to Jennifer Borges; NRC no longer approves use of the Agency: DOL–OSHA. telephone: 301–287–9127; email: Title of Collection: Crawler, guidance in future requests or [email protected]. For technical applications for NRC licensing actions. Locomotive, and Truck Cranes questions, contact the individuals listed Standards. in the FOR FURTHER INFORMATION Dated: April 23, 2020. OMB Control Number: 1218–0221. CONTACT section of this document. For the Nuclear Regulatory Commission. Affected Public: Private Sector: • NRC’s Agencywide Documents Thomas H. Boyce, Business or other for-profits. Access and Management System Chief, Regulatory Guidance and Generic Total Estimated Number of (ADAMS): You may obtain publicly- Issues Branch, Division of Engineering, Office Respondents: 3,499. available documents online in the of Nuclear Regulatory Research. Total Estimated Number of ADAMS Public Documents collection at [FR Doc. 2020–09053 Filed 4–28–20; 8:45 am] Responses: 80,896. https://www.nrc.gov/reading-rm/ BILLING CODE 7590–01–P Total Estimated Annual Time Burden: adams.html. To begin the search, select 30,511 hours. ‘‘Begin Web-based ADAMS Search.’’ For Total Estimated Annual Other Costs NUCLEAR REGULATORY Burden: $0. problems with ADAMS, please contact the NRC’s Public Document Room (PDR) COMMISSION (Authority: 44 U.S.C. 3507(a)(1)(D)) reference staff at 1–800–397–4209, 301– [NRC–2020–0040] Dated: April 23, 2020. 415–4737, or by email to pdr.resource@ Frederick Licari, nrc.gov. The ADAMS accession number Information Collection: DOE/NRC Form Departmental Clearance Officer. for each document referenced (if it 740M, Concise Note; DOE/NRC Form [FR Doc. 2020–09062 Filed 4–28–20; 8:45 am] available in ADAMS) is provided the 741, Nuclear Material Transaction first time that a document is referenced. BILLING CODE 4510–26–P Report; DOE/NRC Form 742, Material The basis for withdrawal of RG 5.43 is Balance Report; and DOE/NRC Form available in ADAMS under Accession 742C, Physical Inventory Listing No. ML20048A081. NUCLEAR REGULATORY AGENCY: Nuclear Regulatory COMMISSION FOR FURTHER INFORMATION CONTACT: Joseph Willis, Office of Nuclear Security Commission. [NRC–2020–0087] Incident Response, telephone: 301–287– ACTION: Renewal of existing information 3667, email: [email protected], and collection; request for comment. Plant Security Force Duties Mekonen Bayssie, Office of Nuclear SUMMARY: The U.S. Nuclear Regulatory AGENCY: Nuclear Regulatory Regulatory Research, telephone: 301– Commission. 415–1669, email: Mekonen.Bayssie@ Commission (NRC) invites public comment on the renewal of Office of ACTION: Regulatory guide; withdrawal. nrc.gov. Both are staff of the U.S. Nuclear Regulatory Commission, Management and Budget (OMB) SUMMARY: The U.S. Nuclear Regulatory Washington, DC 20555–0001. approval for an existing collection of information. The information Commission (NRC) is withdrawing SUPPLEMENTARY INFORMATION: Regulatory Guide (RG) 5.43, ‘‘Plant collections are entitled, ‘‘DOE/NRC Security Force Duties.’’ RG 5.43 was I. Background Form 740M, Concise Note; DOE/NRC published in January 1975 to provide The NRC is withdrawing RG 5.43, Form 741, Nuclear Material Transaction guidance to applicants and licensees ‘‘Plant Security Force Duties,’’ because Report; DOE/NRC Form 742, Material subject to NRC regulations on the the guide no longer provides NRC staff- Balance Report; and DOE/NRC Form organization of plant security forces and preferred methods for certain applicants 742C, Physical Inventory Listing.’’ the duties of guards, watchmen, and and licensees to meet the NRC’s DATES: Submit comments by June 29, other individuals responsible for regulatory requirements in section 73.50 2020. Comments received after this date security, as described in their facilities’ of title 10 of the Code of Federal will be considered if it is practical to do security plans. RG 5.43 is being Regulations (CFR), ‘‘Requirements for so, but the Commission is able to ensure withdrawn because it contains physical protection of licensed consideration only for comments regulatory guidance that is out of date activities,’’ and 73.60, ‘‘Additional received on or before this date. and is no longer the preferred method requirements for physical protection at ADDRESSES: You may submit comments for these applicants and licensees to use nonpower reactors.’’ Furthermore, the by any of the following methods: to meet the requirements. Future NRC staff has issued several other more • Federal Rulemaking website: Go to applicants and licensees may use relevant regulatory guidance documents https://www.regulations.gov and search several other more relevant regulatory that applicants and licensees may use to for Docket ID NRC–2020–0040. For guidance documents to meet those meet 10 CFR 73.50 and 73.60. The basis technical questions, contact the regulatory requirements. for withdrawal of RG 5.43 is available in individual listed in the FOR FURTHER DATES: The withdrawal of RG 5.43 takes ADAMS under Accession No. INFORMATION CONTACT section of this effect on April 29, 2020. ML20048A081. document.

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• Mail comments to: David Cullison, that the NRC is able to make your Agreement (INFCIRC/366) are required Office of the Chief Information Officer, comment submission available to the to respond as follows: Mail Stop: T–6 A10M, U.S. Nuclear public in this docket. Any licensee who ships, receives, or Regulatory Commission, Washington, The NRC cautions you not to include otherwise undergoes an inventory DC 20555–0001. identifying or contact information in change of nuclear material is required to For additional direction on obtaining comment submissions that you do not submit a DOE/NRC Form 741 to information and submitting comments, want to be publicly disclosed in your document the change. Additional see ‘‘Obtaining Information and comment submission. The NRC will information regarding these transactions Submitting Comments’’ in the post all comment submissions at https:// shall be submitted through Form 740M, SUPPLEMENTARY INFORMATION section of www.regulations.gov as well as enter the with Safeguards Information identified this document. comment submissions into ADAMS, and handled in accordance with section FOR FURTHER INFORMATION CONTACT: and the NRC does not routinely edit 73.21 of title 10 of the Code of Federal David Cullison, Office of the Chief comment submissions to remove Regulations (10 CFR), ‘‘Requirements for Information Officer, U.S. Nuclear identifying or contact information. the Protection of Safeguards Regulatory Commission, Washington, If you are requesting or aggregating Information.’’ DC 20555–0001; telephone: 301–415– comments from other persons for Any licensee who had possessed in 2084; email: Infocollects.Resource@ submission to the NRC, then you should the previous reporting period, at any nrc.gov. inform those persons not to include one time and location, nuclear material identifying or contact information that in a quantity totaling one gram or more SUPPLEMENTARY INFORMATION: they do not want to be publicly shall complete DOE/NRC Form 742. In I. Obtaining Information and disclosed in their comment submission. addition, each licensee, Federal or State, Submitting Comments Your request should state that the NRC who is authorized to possess, at any one does not routinely edit comment A. Obtaining Information time or location, one kilogram of foreign submissions to remove such information obligated source material, is required to Please refer to Docket ID NRC–2020– before making the comment file with the NRC an annual statement 0040 when contacting the NRC about submissions available to the public or of source material inventory which is the availability of information for this entering the comment into ADAMS. foreign obligated. action. You may obtain publicly- Any licensee, who had possessed in II. Background available information related to this the previous reporting period, at any action by any of the following methods: In accordance with the Paperwork one time and location, special nuclear • Federal Rulemaking website: Go to Reduction Act of 1995 (44 U.S.C. material in a quantity totaling one gram http://www.regulations.gov and search Chapter 35), the NRC is requesting or more shall complete DOE/NRC Form for Docket ID NRC–2020–0040. A copy public comment on its intention to 742C. of the collection of information and request the OMB’s approval for the 7. The estimated number of annual related instructions may be obtained information collection summarized responses: without charge by accessing Docket ID below. DOE/NRC Form 740M: 175. NRC–2020–0040 on this website. 1. The title of the information DOE/NRC Form 741: 11,143. • NRC’s Agencywide Documents collection: DOE/NRC Form 740M, DOE/NRC Form 742: 344. Access and Management System Concise Note; DOE/NRC Form 741, DOE/NRC Form 742C: 385. (ADAMS): You may obtain publicly- Nuclear Material Transaction Report; 8. The estimated number of annual available documents online in the DOE/NRC Form 742, Material Balance respondents: ADAMS Public Documents collection at Report; and DOE/NRC Form 742C, DOE/NRC Form 740M: 40. https://www.nrc.gov/reading-rm/ Physical Inventory Listing. DOE/NRC Form 741: 344. adams.html. To begin the search, select 2. OMB approval number: DOE/NRC DOE/NRC Form 742: 344. ‘‘Begin Web-based ADAMS Search.’’ For Form 740M: 3150–0057. DOE/NRC DOE/NRC Form 742C: 385. problems with ADAMS, please contact Form 741: 3150–0003. DOE/NRC Form 9. The estimated number of hours the NRC’s Public Document Room (PDR) 742: 3150–0004. DOE/NRC Form 742C: needed annually to comply with the reference staff at 1–800–397–4209, 301– 3150–0058. information collection requirement or 415–4737, or by email to pdr.resource@ 3. Type of submission: Extension. request: nrc.gov. For the convenience of the 4. The form number, if applicable: DOE/NRC Form 740M: 131. reader, instructions about obtaining DOE/NRC Forms 740M, 741, 742, and DOE/NRC Form 741: 13,928. materials referenced in this document 742C. DOE/NRC Form 742: 1,204. are provided in the ‘‘Availability of 5. How often the collection is required DOE/NRC Form 742C: 1,490. Documents’’ section. or requested: DOE/NRC Form 741, 10. Abstract: Persons licensed to • NRC’s Clearance Officer: A copy of Nuclear Material Transaction Reports possess specified quantities of nuclear the collection of information and related will be collected whenever nuclear material currently report inventory and instructions may be obtained without material is shipped or received into the transaction of material to the Nuclear charge by contacting NRC’s Clearance Material Balance Area; DOE/NRC Form Materials Management and Safeguards Officer, David Cullison, Office of the 742, Material Balance Report will be System via the DOE/NRC Forms: DOE/ Chief Information Officer, U.S. Nuclear collected on an annual basis; DOE/NRC NRC Form 740M, Concise Note; DOE/ Regulatory Commission, Washington, Form 742C, Physical Inventory Listing NRC Form 741, Nuclear Material DC 20555–0001; telephone: 301–415– will be collected on an annual basis; Transaction Report; DOE/NRC Form 2084; email: Infocollects.Resource@ DOE/NRC Form 740M, Concise Note 742, Material Balance Report; and DOE/ nrc.gov. Forms are used when needed. NRC Form 742C, Physical Inventory 6. Who will be required or asked to Listing. This collection is being revised B. Submitting Comments respond: Persons licensed to possess to include approximately 25 entities Please include Docket ID NRC–2020– specified quantities of nuclear material subject to the U.S.-IAEA Caribbean 0040 in the subject line of your and entities subject to the U.S.-IAEA Territories Safeguards Agreement comment submission, in order to ensure Caribbean Territories Safeguards (INFCIRC/366). Part 75 requires

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licensees to provide reports of nuclear Management and Safeguards System, 3. Is there a way to enhance the material inventory and flow for entities collected under OMB clearance quality, utility, and clarity of the under the U.S.-IAEA Caribbean numbers 3150–0003, 3150–0004, 3150– information to be collected? Territories Safeguards Agreement 0057, and 3150–0058.) The NRC needs 4. How can the burden of the (INFCIRC/366), permit inspections by this information to implement its information collection on respondents Agreement (INFCIRC/366). The IAEA international obligations under the U.S.- be minimized, including the use of inspectors, give immediate notice to the IAEA Caribbean Territories Safeguards. NRC in specified situations involving automated collection techniques or the possibility of loss of nuclear III. Specific Requests for Comments other forms of information technology? material, and give notice for imports The NRC is seeking comments that IV. Availability of Documents and exports of specified amounts of address the following questions: nuclear material. These licensees will 1. Is the proposed collection of The supplemental documents related also follow written material accounting information necessary for the NRC to to each information collections are and control procedures. Reporting of properly perform its functions? Does the identified in the following table and are transfer and material balance records to information have practical utility? available to interested persons in the IAEA will be done through the U.S. 2. Is the estimate of the burden of the ADAMS. State system (Nuclear Materials information collection accurate?

Documents ADAMS Accession No.

Supporting statement and DOE/NRC Form 740M, ‘‘Concise Note’’ ML20106F197 and ML20021A120. (3150–0057). Supporting statement and DOE/NRC Form 741, ‘‘Nuclear Material ML20021A123 and ML20021A121. Transaction Report’’ (3150–0003). Supporting statement and DOE/NRC Form 742, ‘‘Material Balance Re- ML20024D131 and ML20024D128. port’’ (3150–0004). Supporting statement and DOE/NRC Form 742C, ‘‘Physical Inventory ML20106F177 and ML20024D129. Listing’’. (3150–0058) ...... NUREG/BR–0006, Revision 8 (3150–0003; 3150–0057) ...... ML18123A473. NUREG/BR–0007, Revision 7 (3150–0004; 3150–0058) ...... ML18123A462. D–24 Personal Computer Data Input for Nuclear Regulatory Commis- ML20092K107. sion Licensees.

Dated: April 23, 2020. 2020, New York Stock Exchange LLC II. Self-Regulatory Organization’s For the Nuclear Regulatory Commission. (‘‘NYSE’’ or the ‘‘Exchange’’) filed with Statement of the Purpose of, and David C. Cullison, the Securities and Exchange Statutory Basis for, the Proposed Rule NRC Clearance Officer, Office of the Chief Commission (the ‘‘Commission’’) the Change Information Officer. proposed rule change as described in In its filing with the Commission, the [FR Doc. 2020–09041 Filed 4–28–20; 8:45 am] Items I, II, and III below, which Items self-regulatory organization included BILLING CODE 7590–01–P have been prepared by the self- statements concerning the purpose of, regulatory organization. The and basis for, the proposed rule change Commission is publishing this notice to and discussed any comments it received SECURITIES AND EXCHANGE solicit comments on the proposed rule on the proposed rule change. The text COMMISSION change from interested persons. of those statements may be examined at the places specified in Item IV below. [Release No. 34–88734; File No. SR–NYSE– I. Self-Regulatory Organization’s 2020–15] The Exchange has prepared summaries, Statement of the Terms of Substance of set forth in sections A, B, and C below, Self-Regulatory Organizations; New the Proposed Rule Change of the most significant parts of such York Stock Exchange LLC; Notice of statements. The Exchange proposes to amend Filing and Immediate Effectiveness of Section 902.02 of the NYSE Listed A. Self-Regulatory Organization’s Proposed Rule Change To Amend Statement of the Purpose of, and the Section 902.02 of the NYSE Listed Company Manual (the ‘‘Manual’’) to Statutory Basis for, the Proposed Rule Company Manual To Waive Initial waive initial listing fees and the first Change Listing Fees and First Partial Year partial year annual fee for any company Annual Fees for Certain Companies not listed on a national securities 1. Purpose Listing Upon Closing of an Acquisition exchange that is listing upon closing of its acquisition of a special purpose The Exchange proposes to amend of a Special Purpose Acquisition Section 902.02 of the Manual to waive acquisition company listed on another Company initial listing fees and the first partial national securities exchange. The year annual fee for any company not April 23, 2020. proposed rule change is available on the Pursuant to Section 19(b)(1) 1 of the listed on a national securities exchange Exchange’s website at www.nyse.com, at that is listing upon closing of its Securities Exchange Act of 1934 (the the principal office of the Exchange, and ‘‘Act’’) 2 and Rule 19b–4 thereunder,3 acquisition of a special purpose at the Commission’s Public Reference notice is hereby given that on April 13, acquisition company (‘‘SPAC’’) listed on Room. another national securities exchange. 1 15 U.S.C. 78s(b)(1). When a SPAC consummates its 2 15 U.S.C. 78a. business combination, it may choose a 3 17 CFR 240.19b–4. new listing venue for its post-business

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combination existence as an operating exchange the requirement to pay annual demonstrates that issuers can choose company. In most such cases, the SPAC fees with respect to that primary class different listing markets in response to is the legal acquirer in the business of common shares or any other class of fee changes. Accordingly, competitive combination transaction and thus the securities transferred in conjunction forces constrain exchange listing fees. company transferring its listing to the therewith for the remainder of the Stated otherwise, changes to exchange NYSE is the same entity as was listed on calendar year in which the transfer listing fees can have a direct effect on the other national securities exchange occurs. The decision whether to the ability of an exchange to compete for prior to the acquisition (i.e., the SPAC). structure a business combination with new listings and retain existing listings. When a SPAC that is the legal acquirer the SPAC as the legal acquirer rather Given this competitive environment, transfers its listing to the NYSE than the other party does not result in the Exchange believes that the proposed following the business combination, the the listing of a substantively different fee waivers are reasonable because the initial listing fee and first partial year entity. Accordingly, the Exchange cost of paying initial listing fees and the annual fee are waived. Specifically, believes there is no basis for charging first part year of annual fees to the Section 902.02 of the Manual provides fees purely on the basis of the structure NYSE acts as a disincentive to listing on that any company listing any class of of the business combination chosen by the Exchange. equity securities upon transfer from the parties. The Proposal Is an Equitable Allocation another market will not be subject to The Exchange does not expect there to of Fees any initial listing fees in connection be a significant number of listings in with such listing (including, if which this proposed fee waiver will be The Exchange believes that the applicable, the one-time special charge applicable. Consequently, the proposed proposed fee waivers are equitable as it of $50,000 payable in connection with rule change would not affect the being implemented solely to avoid an the listing of any new class of common Exchange’s commitment of resources to anomalous fee outcome arising from the shares). Similarly, Section 902.02 also its regulatory oversight of the listing manner in which a SPAC business provides that issuers transferring the process or its regulatory programs. combination has been structured. listing of their primary class of common 2. Statutory Basis The Proposal Is Not Unfairly shares from another national securities Discriminatory exchange are not required to pay annual The Exchange believes that the fees with respect to that primary class proposed rule change is consistent with The Exchange believes that the of common shares or any other class of Section 6(b) of the Act,4 in general, and proposal is not unfairly discriminatory, securities transferred in conjunction furthers the objectives of Section because the proposed waivers are solely therewith for the remainder of the 6(b)(4) 5 of the Act, in particular, in that intended to avoid the impact on a small calendar year in which the transfer it is designed to provide for the group of issuers of an anomalous fee occurs. equitable allocation of reasonable dues, outcome arising from the manner in However, in fulfilling the fees, and other charges. The Exchange which a SPAC business combination requirements for a SPAC to complete an also believes that the proposed rule has been structured and not to provide acquisition under applicable exchange change is consistent with Section 6(b)(5) them with any benefit that would place rules, occasionally the SPAC is not the of the Act,6 in that it is designed to them in a more favorable position than legal acquirer in the business promote just and equitable principles of other newly-listed companies, including combination and, instead, the business trade, to foster cooperation and specifically other previously unlisted combination is structured so that the coordination with persons engaged in companies that list upon completion of SPAC is acquired by the operating regulating, clearing, settling, processing an acquisition of a company listed on company. Under the current NYSE information with respect to, and the NYSE or another national securities 7 rules, a company listing in connection facilitating transactions in securities, to exchange. with its acquisition of a SPAC listed on remove impediments to and perfect the A SPAC is a shell company with no another national securities exchange mechanism of a free and open market business operations. Consequently, the would not benefit from a similar waiver and a national market system, and, in parties to a business combination of listing fees. general, to protect investors and the between a SPAC and an operating To address this disparity, the public interest and is not designed to company have significant flexibility in Exchange proposes to amend the fee permit unfair discrimination between how they choose to structure the waiver provisions of Section 902.02 of customers, issuers, brokers, or dealers. business combination, including in the Manual. Specifically, the Exchange determining which entity will be the proposes to extend the waiver of the The Proposed Change Is Reasonable legal acquirer. Accordingly, the initial listing fee applicable to transfers he [sic] Exchange operates in a highly Exchange is proposing to amend its fee to any company that was unlisted competitive marketplace for the listing structure to reflect the incidental nature immediately prior to the initial listing of equity securities. The Commission of the resulting SPAC business on the Exchange of any class of equity has repeatedly expressed its preference combination and to avoid treating securities upon closing of its acquisition for competition over regulatory companies undergoing similar business of a SPAC that had a class of equity intervention in determining prices, combinations disparately securities listed on another national products, and services in the securities By contrast to a SPAC business securities exchange prior to the closing markets. combination, there are typically more of such acquisition. Similarly, the The Exchange believes that the ever significant limitations on the ability of Exchange proposes to extend to any shifting market share among the the parties to a merger between two company that is not listed immediately exchanges with respect to new listings operating companies to make decisions prior to listing its primary class of and the transfer of existing listings common shares upon closing of its between competitor exchanges 7 Section 902.03 of the Manual includes separate acquisition of a SPAC the benefits of the fee limitations that benefit a company that is not listed on a national securities exchange provision in Section 902.02 that waives 4 15 U.S.C. 78f(b). immediately prior to the time that it lists in for companies transferring their primary 5 15 U.S.C. 78f(b)(4). connection with its acquisition of an NYSE listed class of common shares from another 6 15 U.S.C. 78f(b)(5). company.

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about which entity will be the acquirer, III. Date of Effectiveness of the Commission and any person, other than including, for example, the desire to Proposed Rule Change and Timing for those that may be withheld from the maintain the acquirer’s SEC registration Commission Action public in accordance with the and concerns about how to present the The foregoing rule change is effective provisions of 5 U.S.C. 552, will be combined entity to the market. As such, upon filing pursuant to Section available for website viewing and it is much more likely that the listing fee 19(b)(3)(A) 8 of the Act and printing in the Commission’s Public implications of how the transaction is subparagraph (f)(2) of Rule 19b–4 9 Reference Room, 100 F Street, NE, structured would be a major thereunder, because it establishes a due, Washington, DC 20549, on official consideration for the parties to a SPAC fee, or other charge imposed by the business days between the hours of business combination than would be the Exchange. 10:00 a.m. and 3:00 p.m. Copies of the case in a merger between two operating At any time within 60 days of the filing also will be available for companies. As the implications of the filing of such proposed rule change, the inspection and copying at the principal proposed fee waivers for decisions Commission summarily may office of the Exchange. All comments relating to the transaction structures temporarily suspend such rule change if received will be posted without change. utilized by unlisted companies listing in it appears to the Commission that such Persons submitting comments are connection with the acquisition of a action is necessary or appropriate in the cautioned that we do not redact or edit SPAC are typically greater than for other public interest, for the protection of personal identifying information from companies listing in conjunction with investors, or otherwise in furtherance of comment submissions. You should merger transactions, the proposed the purposes of the Act. If the submit only information that you wish waivers are not unfairly discriminatory. Commission takes such action, the to make available publicly. All Finally, the Exchange believes that it Commission shall institute proceedings submissions should refer to File is subject to significant competitive under Section 19(b)(2)(B) 10 of the Act to Number SR–NYSE–2020–15 and should forces, as described below in the determine whether the proposed rule be submitted on or before May 20, 2020. Exchange’s statement regarding the change should be approved or For the Commission, by the Division of burden on competition. disapproved. Trading and Markets, pursuant to delegated 11 For the foregoing reasons, the IV. Solicitation of Comments authority. Exchange believes that the proposal is J. Matthew DeLesDernier, Interested persons are invited to consistent with the Act. Assistant Secretary. submit written data, views, and B. Self-Regulatory Organization’s arguments concerning the foregoing, [FR Doc. 2020–09036 Filed 4–28–20; 8:45 am] Statement on Burden on Competition including whether the proposed rule BILLING CODE 8011–01–P The Exchange does not believe that change is consistent with the Act. Comments may be submitted by any of the proposed rule change will impose SECURITIES AND EXCHANGE the following methods: any burden on competition that is not COMMISSION necessary or appropriate in furtherance Electronic Comments Sunshine Act Meetings of the purposes of the Act. • Use the Commission’s internet Intramarket Competition comment form (http://www.sec.gov/ DATES AND TIMES: Notice is hereby given, rules/sro.shtml); or pursuant to the provisions of the The proposed waiver will be available • Send an email to rule-comments@ to all similarly situated issuers on the Government in the Sunshine Act, Public sec.gov. Please include File Number SR– Law 94–409, that the Securities and same basis. The Exchange does not NYSE–2020–15 on the subject line. believe that the proposed waivers will Exchange Commission Investor have any meaningful effect on the Paper Comments Advisory Committee will hold a public meeting on Thursday May 4, 2020, by competition among issuers listed on the • Send paper comments in triplicate remote means and/or at the Exchange. to Secretary, Securities and Exchange Commission’s headquarters, 100 F St Commission, 100 F Street NE, Intermarket Competition NE, Washington, DC 20549. Washington, DC 20549–1090. The Exchange operates in a highly The meeting will begin at 2:00 p.m. All submissions should refer to File (ET) and will be open to the public. competitive market in which issuers can Number SR–NYSE–2020–15. This file PLACE: The meeting will be conducted readily choose to list new securities on number should be included on the by remote means and/or at the other exchanges and transfer listings to subject line if email is used. To help the Commission’s headquarters, 100 F St other exchanges if they deem fee levels Commission process and review your NE, Washington, DC 20549. Members of at those other venues to be more comments more efficiently, please use the public may watch the webcast of the favorable. Because competitors are free only one method. The Commission will meeting on the Commission’s website at to modify their own fees in response, post all comments on the Commission’s www.sec.gov. and because issuers may change their internet website (http://www.sec.gov/ listing venue, the Exchange does not rules/sro.shtml). Copies of the STATUS: This Sunshine Act notice is believe its proposed fee change can submission, all subsequent being issued because a majority of the impose any burden on intermarket amendments, all written statements Commission may attend the meeting. competition with respect to the proposed rule MATTER TO BE CONSIDERED: The agenda C. Self-Regulatory Organization’s change that are filed with the for the meeting includes welcome Statement on Comments on the Commission, and all written remarks, discussion of public company Proposed Rule Change Received From communications relating to the disclosure considerations in the Members, Participants, or Others proposed rule change between the COVID–19 pandemic context, and discussion of public company No written comments were solicited 8 15 U.S.C. 78s(b)(3)(A). shareholder engagement/virtual or received with respect to the proposed 9 17 CFR 240.19b–4(f)(2). rule change. 10 15 U.S.C. 78s(b)(2)(B). 11 17 CFR 200.30–3(a)(12).

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shareholder meetings in the COVID–19 used. To help us process and review proposed rule change as described in pandemic context. your statement more efficiently, please Items I and II below, which Items have CONTACT PERSON FOR MORE INFORMATION: use only one method. The Commission been prepared by the self-regulatory For further information and to ascertain will post all statements on the SEC’s organization. The Commission is what, if any, matters have been added, website at www.sec.gov. publishing this notice to solicit deleted or postponed; please contact Statements also will be available for comments on the proposed rule change Vanessa A. Countryman from the Office website viewing and printing in the from interested persons. of the Secretary at (202) 551–5400. Commission’s Public Reference Room, 100 F Street NE, Washington, DC 20549, I. Self-Regulatory Organization’s Dated: April 27, 2020. on official business days between the Statement of the Terms of Substance of Vanessa A. Countryman, hours of 10 a.m. and 3 p.m. (ET). All the Proposed Rule Change Secretary. statements received will be posted The Exchange proposes to modify its [FR Doc. 2020–09224 Filed 4–27–20; 4:15 pm] without change; we do not edit personal application of the proxy delivery BILLING CODE 8011–01–P identifying information from requirements of NYSE Rule 451(b)(1) submissions. You should submit only through and including May 31, 2020. information that you wish to make The proposed rule change is available SECURITIES AND EXCHANGE available publicly. on the Exchange’s website at COMMISSION FOR FURTHER INFORMATION CONTACT: Julie www.nyse.com, at the principal office of [Release Nos. 33–10776; 34–88742; File No. Z. Davis, Senior Special Counsel, Office the Exchange, and at the Commission’s 265–32] of the Advocate for Small Business Public Reference Room. Capital Formation, at (202) 551–5407, II. Self-Regulatory Organization’s SEC Small Business Capital Formation Securities and Exchange Commission, Advisory Committee Statement of the Purpose of, and 100 F Street NE, Washington, DC Statutory Basis for, the Proposed Rule AGENCY: Securities and Exchange 20549–3628. Change SUPPLEMENTARY INFORMATION: The Commission. In its filing with the Commission, the ACTION: Notice of meeting. meeting will be open to the public. Persons needing special self-regulatory organization included statements concerning the purpose of, SUMMARY: The Securities and Exchange accommodations because of a disability Commission Small Business Capital should notify the contact person listed and basis for, the proposed rule change and discussed any comments it received Formation Advisory Committee, in the section above entitled FOR on the proposed rule change. The text established pursuant to Section 40 of FURTHER INFORMATION CONTACT. The the Securities Exchange Act of 1934 as agenda for the meeting includes matters of those statements may be examined at added by the SEC Small Business relating to rules and regulations the places specified in Item IV below. Advocate Act of 2016, is providing affecting small and emerging companies The Exchange has prepared summaries, notice that it will hold a public meeting under the federal securities laws. set forth in sections A, B, and C below, by videoconference. The public is of the most significant parts of such Dated: April 24, 2020. statements. invited to submit written statements to Vanessa A. Countryman, the Committee. A. Self-Regulatory Organization’s Secretary. DATES: The meeting will be held on Statement of the Purpose of, and the [FR Doc. 2020–09083 Filed 4–28–20; 8:45 am] Friday, May 8, 2020, from 1 p.m. to 4 Statutory Basis for, the Proposed Rule p.m. (ET) and will be open to the public. BILLING CODE 8011–01–P Change Written statements should be received 1. Purpose on or before May 8, 2020. SECURITIES AND EXCHANGE NYSE Rule 452 provides for limited ADDRESSES: The meeting will be COMMISSION conducted by remote means circumstances in which a member (videoconference). Members of the [Release No. 34–88736; File No. SR–NYSE– organization may vote shares it holds on public may attend the meeting by 2020–38] behalf of its ‘‘street’’ name customers when the beneficial owner has not viewing the webcast on the Self-Regulatory Organizations; New Commission’s website at www.sec.gov. provided voting instructions with York Stock Exchange LLC; Notice of respect to certain ‘‘routine’’ matters. Written statements may be submitted by Filing and Immediate Effectiveness of any of the following methods: This ability on the part of member Proposed Rule Change To Modify Its organizations is subject to certain Electronic Statements Application of the Proxy Delivery limitations, including the requirement Requirements of NYSE Rule 451(b)(1) • Use the Commission’s internet of Rule 451(b)(1) that the proxy Through and Including May 31, 2020 submission form (https://www.sec.gov/ materials mailed to beneficial holders rules/submitcomments.htm); or April 23, 2020. include the following disclosure: • Send an email message to rule- Pursuant to Section 19(b)(1) 1 of the A request for voting instructions and, as to [email protected]. Please include File Securities Exchange Act of 1934 matters which may be voted without Number 265–32 on the subject line; or (‘‘Act’’) 2 and Rule 19b–4 thereunder,3 instructions under Rule 452, a statement to the effect that, if such instructions are not Paper Statements notice is hereby given that on April 23, 2020, New York Stock Exchange LLC received by the tenth day before the meeting, • the proxy may be given at discretion by the Send paper statements to Vanessa (‘‘NYSE’’ or the ‘‘Exchange’’) filed with A. Countryman, Secretary, Securities owner of record of the stock; provided, the Securities and Exchange however, that such statement may be made and Exchange Commission, 100 F Street Commission (‘‘Commission’’) the NE, Washington, DC 20549–1090. only when the proxy soliciting material is transmitted to the beneficial owner of the All submissions should refer to File No. 1 15 U.S.C. 78s(b)(1). stock or to the beneficial owner’s designated 265–32. This file number should be 2 15 U.S.C. 78a. investment adviser, at least fifteen days included on the subject line if email is 3 17 CFR 240.19b–4. before the meeting. When the proxy soliciting

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material is transmitted to the beneficial been the practice since at least the 1990s the normal time frames provided by the owner of the stock or to the beneficial to apply Rule 451(b)(1) on the basis that rule. owner’s designated investment adviser member organizations may not vote any In order to rely on the proposed relief, twenty-five days or more before the meeting, uninstructed shares if the mailing of any the intermediary acting as agent for the the statement accompanying such material shall be to the effect that the proxy may be of the required physical proxy materials member organization will be required to given fifteen days before the meeting at the is made later than 15 days before the post prominently on its website the discretion of the owner of record of the stock. meeting, including shares whose following disclosures: • that it is experiencing operational The ability of member organizations beneficial owner opted for electronic challenges as a result of the disruptive to vote on ‘‘routine’’ matters serves an delivery and to whom the materials are effects of COVID–19 and is therefore important purpose for many public transmitted electronically on a timely 4 experiencing difficulty in some cases in companies. The low level of voting basis. Consequently, many companies transmitting proxy materials to response from ‘‘street’’ name account may have difficulty meeting applicable beneficial owners at least 15 days prior holders to proxy solicitations means quorum requirements for their to shareholder meeting dates; that it is often difficult for companies to scheduled shareholder meetings. • as a consequence, it is relying on meet applicable quorum requirements The primary intermediary has relief provided by the NYSE to shorten under state law, the company’s informed the Exchange that it would from 15 days to 10 days the period constitutive documents or stock need to undertake significant systems required under Rule 451(b)(1) that proxy exchange rules. However, the ability of development work to be able to materials must be transmitted to member organizations to vote on routine differentiate for voting purposes those beneficial owners in order for the items in the absence of beneficial owner shares whose beneficial owners are sent member organization to be permitted to proxy voting instructions enables timely electronic distributions from vote its customers’ uninstructed shares beneficial owners to be counted as those shares whose beneficial owners on routine matters; 5 present for quorum purposes for the are sent physical distributions that are • a list of the companies whose proxy meeting as a whole even if they do not mailed fewer than fifteen days before a distributions are affected, including the submit voting instructions and therefore shareholder meeting. As this meeting date and the date on which the enables companies to conduct all development work would likely take transmission was completed; and required business at their shareholder months to complete, it is not possible • during the upcoming proxy season, a statement encouraging beneficial meetings. Generally, Rule 452 does not owners to submit their voting allow member organizations to vote occurring during the current crisis, to allow the voting of uninstructed shares instructions through the electronic or uninstructed shares on nonroutine telephonic means, if any, described in matters, so the voting of those shares by of a company where the materials are transmitted no later than 15 days in the request for voting instructions sent member organizations with respect to by the member organization to ensure routine matters does not generally affect advance of the meeting and to disallow the voting on uninstructed shares where that such instructions are received in the outcome of any vote of any advance of the shareholder meeting. importance to the company and its the materials were transmitted past that deadline. While the Exchange believes that the shareholders, while facilitating the proposed temporary modification of To alleviate the problem described effective conduct of shareholder Rule 451(b)(1) would provide significant above, the Exchange proposes to modify meetings. relief to issuers during the ongoing The Exchange has been made aware its application of Rule 451(b)(1) COVID–19 crisis by enabling them to that the recent ongoing spread of the temporarily for shareholder meetings conduct their shareholder meetings as COVID–19 virus throughout the United occurring on or before May 31, 2020. As planned, it does not believe that it States and the social distancing and proposed, the Exchange would permit would have a significant effect on the stay-at-home measures imposed by member organizations to vote voting right of beneficial owners or the many state and local governments has uninstructed shares as long as proxy outcome of any material proposals voted severely disrupted the operations of the materials are transmitted to beneficial on at those meetings. First, a high primary intermediary responsible for owners no later than 10 days prior to the percentage of ‘‘street’’ name distributing proxy materials on behalf of shareholder meeting, rather than the shareholders of most public companies member organizations. The primary fifteen day period required by the text elect to receive electronic delivery of intermediary has informed the Exchange of the rule. All of the other requirements proxy materials and vote by electronic that it is having difficulty in some cases and limitations associated with voting means. The electronic distributions to meeting the specification of Rule by member organizations would those shareholders would not be 451(b)(1) to transmit proxy materials to continue to be applied during this delayed as a result of the proposed beneficial owners at least 15 days prior period. The Exchange expects that best accommodation. Second, a significant to shareholder meetings, due to delays efforts will be made to ensure that percentage of shareholders who receive in receiving the printed materials from transmissions of proxy materials will physical distributions of proxy materials issuers for distribution and also because continue to be made prior to the and vote, vote through the internet or by its own processing times have been fifteenth day before the meeting phone,6 so the Exchange believes that slowed down by reduced staffing levels whenever possible, either in whole or in the rule as modified would continue to caused by the disruption associated part. In particular, the Exchange expects provide adequate time for most with the spread of COVID–19. electronic transmissions of proxy The Exchange is concerned about the materials to continue to be made within 5 The intermediary should provide a link on its effect on the ability of companies to website to this filing as posted on nyse.com. hold shareholder meetings that may 4 The Exchange understands that proxy materials 6 Based on information provided by the primary arise out of the current difficulties being are delivered electronically to the beneficial owners intermediary for the 12 months ended December 24, experienced in transmitting proxy of approximately 84% of all shares and 2019, the Exchange understands that approximately approximately 43% of shares held by retail 30% of the shares owned by retail shareholders are materials no later than the 15 days in investors, according to data provided by the voted. Of the voted amount, 26% are voted by paper advance of the meeting specified in Rule primary intermediary with respect to the 12 months vote instruction form and 74% are voted by 451(b)(1). The Exchange notes that it has ended June 30, 2018. electronic methods including internet or phone.

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beneficial owners to review their proxy in facilitating transactions in securities, III. Date of Effectiveness of the materials and vote on a timely basis. and to remove impediments to and Proposed Rule Change and Timing for The Exchange also notes that Rule 452 perfect the mechanism of a free and Commission Action generally prohibits member open market and a national market organizations from voting material system. Because the foregoing proposed rule matters such as director elections (other The proposed rule change is designed change does not: (i) Significantly affect than an uncontested election of a to provide significant relief to issuers the protection of investors or the public director of an investment company during the ongoing COVID–19 crisis by interest; (ii) impose any significant registered under the Investment enabling them to conduct their burden on competition; and (iii) become Company Act of 1940 (the ‘‘Investment shareholder meetings as planned. The operative for 30 days from the date on Company Act’’)) 7 and equity Exchange believes that the proposed which it was filed, or such shorter time compensation plans and that member rule change is consistent with the as the Commission may designate, it has organizations can vote only on routine protection of investors because it would become effective pursuant to Section 10 matters such as the ratification of not have a significant effect on the 19(b)(3)(A) of the Act and Rule 19b– 11 auditors (which is generally included on voting rights of beneficial owners or the 4(f)(6) thereunder. a meeting agenda precisely to ensure the outcome of any material proposals voted A proposed rule change filed presence of all shares held in brokerage on at shareholder meetings. The pursuant to Rule 19b–4(f)(6) under the accounts for quorum purposes). Exchange notes that a high percentage of Act 12 normally does not become Rule 451(b) provides that the member ‘‘street’’ name shareholders of most operative for 30 days after the date of its organization as record holder may give public companies elect to receive filing. However, Rule 19b–4(f)(6)(iii) 13 a proxy to vote shares if the beneficial electronic delivery of proxy materials permits the Commission to designate a owner has not provided voting and vote by electronic means. Electronic shorter time if such action is consistent instructions before the tenth day distributions to those shareholders with the protection of investors and the preceding the shareholder meeting. would not be delayed as a result of the public interest. The Exchange has asked However, the number of shares included proposed accommodation. In addition, a the Commission to waive the 30-day in the member organization’s proxy is significant percentage of shareholders operative delay so that the proposed adjusted over the period right up to the who receive physical distributions of rule change may become operative time of the meeting to reflect the ability proxy materials and vote, vote through immediately upon filing. According to of beneficial owners to continue to the internet or by phone, so the the Exchange, the proposed rule change provide instructions throughout that Exchange believes that the rule as would provide significant relief to period. Supplementary Material .20 to modified would continue to provide issuers during the ongoing COVID–19 Rule 451 includes forms of letters to be adequate time for beneficial owners to crisis by enabling them to conduct their sent to beneficial owners when review their proxy materials and vote on shareholder meetings as planned given soliciting voting instructions. The forms a timely basis. The Exchange also notes the current difficulties being of letters provided include the following that Rule 452 generally prohibits experienced transmitting proxy provision: member organizations from voting materials. As noted above, the proposed material matters such as director If we do not hear from you by the tenth day rule change would temporarily permit elections and equity compensation member organizations until May 31, before the meeting, we may vote your shares plans and that member organizations in our discretion to the extent permitted by 2020 to vote uninstructed shares on the rules of the Exchange. If you are unable can vote only on routine matters such as routine matters pursuant to NYSE Rule to communicate with us by such date, we the ratification of auditors (which is 452 provided that such materials are will, nevertheless follow your voting generally included on a meeting agenda transmitted to beneficial owners no later instructions, even if our discretionary vote precisely to ensure the presence of all than 10 days prior to the shareholder has already been given, provided your shares held in brokerage accounts for meeting, instead of 15 days in advance instructions are received prior to the quorum purposes). stockholders’ meeting. of a meeting. The Exchange stated, B. Self-Regulatory Organization’s among other things, that member During the period of the proposed Statement on Burden on Competition organizations can only vote on routine relief from the 15-day requirement, the matters under its rules and that the forms of letters included in proxy The Exchange does not believe that the proposed rule change would impose proposal would not have a significant mailings must clearly emphasize the effect on the outcome of any material ability of beneficial owners to provide any burden on competition that is not necessary or appropriate in furtherance proposals voted on at shareholder voting instructions right up to the time meetings. The Exchange further stated of the meeting. of the purposes of the Act. The proposed rule change is not designed to that the waiver of the 30-day operative 2. Statutory Basis address any competitive issues but delay will help companies plan, and rather is designed to provide limited meet quorum requirements, for The proposed rule change is shareholder meetings during the 8 relief to member organizations and consistent with Section 6(b) of the Act, upcoming proxy season. in general, and furthers the objectives of issuers in relation to difficulties Section 6(b)(5) of the Act,9 in particular, experienced in distributing proxy materials during the current ongoing 10 15 U.S.C. 78s(b)(3)(A). in that it is designed to prevent 11 17 CFR 240.19b–4(f)(6). In addition, Rule 19b– fraudulent and manipulative acts and COVID–19 crisis. 4(f)(6)(iii) requires a self-regulatory organization to practices, to promote just and equitable C. Self-Regulatory Organization’s give the Commission written notice of its intent to principles of trade, to foster cooperation file the proposed rule change, along with a brief Statement on Comments on the description and text of the proposed rule change, and coordination with persons engaged Proposed Rule Change Received From at least five business days prior to the date of filing Members, Participants, or Others of the proposed rule change, or such shorter time 7 See Rule 452, Supplementary Material .11, as designated by the Commission. The Exchange subsections (2) and (19). No written comments were solicited has satisfied this requirement. 8 15 U.S.C. 78f(b). or received with respect to the proposed 12 17 CFR 240.19b–4(f)(6). 9 15 U.S.C. 78f(b)(5). rule change. 13 17 CFR 240.19b–4(f)(6)(iii).

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The Commission notes that while the At any time within 60 days of the cautioned that we do not redact or edit proposed rule change provides filing of the proposed rule change, the personal identifying information from temporary relief in the event that there Commission summarily may comment submissions. You should are delays in distributing proxy temporarily suspend such rule change if submit only information that you wish materials as a result of COVID–19, the it appears to the Commission that such to make available publicly. All Exchange and the Commission expect action is necessary or appropriate in the submissions should refer to File that best efforts will be made to ensure public interest, for the protection of Number SR–NYSE–2020–38 and should that transmissions of proxy materials investors, or otherwise in furtherance of be submitted on or before May 20, 2020. will continue to be made prior to the the purposes of the Act. If the For the Commission, by the Division of 15th day before the meeting. To the Commission takes such action, the Trading and Markets, pursuant to delegated extent that materials cannot be Commission shall institute proceedings authority.17 distributed prior to the 15th day, the to determine whether the proposed rule J. Matthew DeLesDernier, Commission notes that the conditions change should be approved or Assistant Secretary. set forth above requiring, in part, the disapproved. [FR Doc. 2020–09050 Filed 4–28–20; 8:45 am] intermediary acting on behalf of a IV. Solicitation of Comments BILLING CODE 8011–01–P member organization to disclose prominently on its website that it is Interested persons are invited to experiencing operational challenges as a submit written data, views, and SECURITIES AND EXCHANGE result of COVID–19, identify the arguments concerning the foregoing, COMMISSION companies whose proxy distributions including whether the proposed rule change is consistent with the Act. [Investment Company Act Release No. are affected, and encourage beneficial 33852; File No. 812–15117] owners to submit their vote by Comments may be submitted by any of the following methods: electronic or telephone means to ensure The Alger ETF Trust, et al. their instructions are received in Electronic Comments: April 23, 2020. advance of the shareholder meeting • Use the Commission’s internet should help to ensure beneficial owners AGENCY: Securities and Exchange comment form (http://www.sec.gov/ Commission (‘‘Commission’’). have adequate time to review their rules/sro.shtml); or proxy material and vote on a timely • Send an email to rule-comments@ ACTION: Notice. basis. sec.gov. Please include File Number SR– Notice of an application for an order Moreover, the Commission notes that, NYSE–2020–38 on the subject line. under section 6(c) of the Investment as discussed above, proxy materials are Paper Comments Company Act of 1940 (‘‘Act’’) for an delivered electronically to the beneficial exemption from sections 2(a)(32), 14 • owners of 84% of all shares, and that Send paper comments in triplicate 5(a)(1), and 22(d) of the Act and rule the Exchange expects electronic to Secretary, Securities and Exchange 22c–1 under the Act, under sections 6(c) transmissions of proxy materials to Commission, 100 F Street NE, and 17(b) of the Act for an exemption continue to be made within the normal Washington, DC 20549–1090. from sections 17(a)(1) and 17(a)(2) of the time frames provided by its rule. In All submissions should refer to File Act, and under section 12(d)(1)(J) of the addition, according to the Exchange, a Number SR–NYSE–2020–38. This file Act for an exemption from sections significant percentage of shareholders number should be included on the 12(d)(1)(A) and 12(d)(1)(B) of the Act. who receive physical distributions of subject line if email is used. To help the Applicants: The Alger ETF Trust (the proxy materials and vote, vote through Commission process and review your ‘‘Trust’’), Fred Alger Management, LLC the internet or by phone, so the rule as comments more efficiently, please use (the ‘‘Adviser’’) and Fred Alger & modified would continue to provide only one method. The Commission will Company, LLC (the ‘‘Distributor’’). adequate time for most beneficial post all comments on the Commission’s Summary of Application: Applicants owners to review their proxy materials internet website (http://www.sec.gov/ request an order (‘‘Order’’) that permits: and vote on a timely basis.15 The rules/sro.shtml). Copies of the (a) ActiveShares ETFs (as described in proposal also only continues to allow submission, all subsequent the Reference Order (as defined below)) member organizations to vote amendments, all written statements to issue shares (‘‘Shares’’) redeemable in uninstructed shares on routine matters with respect to the proposed rule large aggregations only (‘‘creation in accordance with Exchange Rule 452. change that are filed with the units’’); (b) secondary market The Commission also notes that the Commission, and all written transactions in Shares to occur at proposal is a temporary measure communications relating to the negotiated market prices rather than at designed to respond to current, unusual proposed rule change between the net asset value; (c) certain affiliated market conditions. For these reasons, Commission and any person, other than persons of an ActiveShares ETF to the Commission believes that waiver of those that may be withheld from the deposit securities into, and receive the 30-day operative delay is consistent public in accordance with the securities from, the ActiveShares ETF in with the protection of investors and the provisions of 5 U.S.C. 552, will be connection with the purchase and public interest. Therefore, the available for website viewing and redemption of creation units; and (d) Commission hereby waives the printing in the Commission’s Public certain registered management operative delay and designates the Reference Room, 100 F Street NE, investment companies and unit proposal as operative upon filing.16 Washington, DC 20549, on official investment trusts outside of the same business days between the hours of group of investment companies as the 14 See supra note 4. 10:00 a.m. and 3:00 p.m. Copies of the ActiveShares ETFs to acquire Shares of 15 See supra note 6 and accompanying text. filing also will be available for the ActiveShares ETFs. The Order 16 For purposes only of waiving the 30-day inspection and copying at the principal would incorporate by reference terms operative delay, the Commission also has considered the proposed rule’s impact on office of the Exchange. All comments and conditions of a previous order efficiency, competition, and capital formation. See received will be posted without change. 15 U.S.C. 78c(f). Persons submitting comments are 17 17 CFR 200.30–3(a)(12).

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granting the same relief sought by as ActiveShares ETFs as described in series thereof that: (a) Is advised by the applicants, as that order may be the Reference Order.2 Adviser or any entity controlling, amended from time to time (‘‘Reference 2. The Adviser, a Delaware limited controlled by, or under common control Order’’).1 liability company, will be the with the Adviser (any such entity Filing Date: The application was filed investment adviser to the Initial Fund. included in the term ‘‘Adviser’’); (b) on March 27, 2020. An Adviser (as defined below) will operates as an ActiveShares ETF as serve as investment adviser to each Hearing or Notification of Hearing: An described in the Reference Order; and Fund. The Adviser is, and any other (c) complies with the terms and order granting the requested relief will Adviser will be, registered as an conditions of the Order and of the be issued unless the Commission orders investment adviser under the Reference Order, which is incorporated a hearing. Interested persons may Investment Advisers Act of 1940 by reference into the Order (each such request a hearing by emailing the (‘‘Advisers Act’’). The Adviser may Commission’s Secretary at Secretarys- enter into sub-advisory agreements with company or series and the Initial Fund, 4 [email protected] and serving applicants other investment advisers to act as sub- a ‘‘Fund’’). with a copy of the request, personally or advisers with respect to the Funds (each 6. Section 6(c) of the Act provides that by mail. Hearing requests should be a ‘‘Sub-Adviser’’). Any Sub-Adviser will the Commission may exempt any received by the Commission by 5:30 be registered under the Advisers Act. person, security or transaction, or any p.m. on May 18, 2020, and should be 3. The Distributor is a Delaware class of persons, securities or accompanied by proof of service on limited liability company and a broker- transactions, from any provisions of the applicants, in the form of an affidavit or, dealer registered under the Securities Act, if and to the extent that such for lawyers, a certificate of service. Exchange Act of 1934, as amended, and exemption is necessary or appropriate Pursuant to rule 0–5 under the Act, will act as the principal underwriter of in the public interest and consistent hearing requests should state the nature Shares of the Funds. Applicants request with the protection of investors and the of the writer’s interest, any facts bearing that the requested relief apply to any upon the desirability of a hearing on the purposes fairly intended by the policy distributor of Shares, whether affiliated and provisions of the Act. Section 17(b) matter, the reason for the request, and or unaffiliated with the Adviser and/or of the Act authorizes the Commission to the issues contested. Persons who wish Sub-Adviser (included in the term exempt a proposed transaction from to be notified of a hearing may request ‘‘Distributor’’). Any Distributor will section 17(a) of the Act if evidence notification by emailing the comply with the terms and conditions Commission’s Secretary at Secretarys- of the Order. establishes that the terms of the [email protected]. Applicants’ Requested Exemptive transaction, including the consideration to be paid or received, are reasonable ADDRESSES: The Commission: Relief: and fair and do not involve [email protected]. Applicants: 4. Applicants seek the requested overreaching on the part of any person The Alger ETF Trust, Fred Alger Order under section 6(c) of the Act for concerned, and the transaction is Management, LLC and Fred Alger & an exemption from sections 2(a)(32), Company, LLC, 360 Park Avenue South, 5(a)(1), and 22(d) of the Act and rule consistent with the policies of the New York, New York 10010. 22c–1 under the Act, under sections 6(c) registered investment company and the and 17(b) of the Act for an exemption general purposes of the Act. Section FOR FURTHER INFORMATION CONTACT: from sections 17(a)(1) and 17(a)(2) of the 12(d)(1)(J) of the Act provides that the Marc Mehrespand, Senior Counsel, at Act, and under section 12(d)(1)(J) of the Commission may exempt any person, (202) 551–8453 or Trace Rakestraw, Act for an exemption from sections security, or transaction, or any class of Branch Chief, at (202) 551–6825 12(d)(1)(A) and 12(d)(1)(B) of the Act. persons, securities or transactions, from (Division of Investment Management, The requested Order would permit any provision of section 12(d)(1) if the Chief Counsel’s Office). applicants to offer ActiveShares ETFs. exemption is consistent with the public SUPPLEMENTARY INFORMATION: The Because the relief requested is the same interest and the protection of investors. following is a summary of the as the relief granted by the Commission Applicants submit that for the reasons application. The complete application under the Reference Order and because stated in the Reference Order the the Adviser has entered into a licensing may be obtained via the Commission’s requested relief meets the exemptive agreement with Precidian Funds LLC in website by searching for the file standards under sections 6(c), 17(b) and order to offer ActiveShares ETFs,3 the number, or for an applicant using the 12(d)(1)(J) of the Act. Company name box, at http:// Order would incorporate by reference www.sec.gov/search/search.htm or by the terms and conditions of the For the Commission, by the Division of calling (202) 551–8090. Reference Order. Investment Management, pursuant to 5. Applicants request that the Order delegated authority. Applicants: apply to the Initial Fund and to any J. Matthew DeLesDernier, 1. The Trust is a business trust other existing or future open-end Assistant Secretary. organized under Massachusetts law and management investment company or will consist of one or more series [FR Doc. 2020–09035 Filed 4–28–20; 8:45 am] operating as ActiveShares ETFs. The 2 To facilitate arbitrage, an ActiveShares ETF BILLING CODE 8011–01–P Trust will be registered as an open-end disseminates a ‘‘verified intraday indicative value’’ or ‘‘VIIV,’’ reflecting the value of its portfolio management investment company holdings, calculated every second during the under the Act. Applicants seek relief trading day. To protect the identity and weightings with respect to Funds (as defined of its portfolio holdings, an ActiveShares ETF sells and redeems its Shares in creation units to below), including an initial Fund (the 4 authorized participants only through an unaffiliated All entities that currently intend to rely on the ‘‘Initial Fund’’). The Funds will operate broker-dealer acting on an agency basis. Order are named as applicants. Any other entity 3 Aspects of the Funds are covered by intellectual that relies on the Order in the future will comply 1 Precidian ETFs Trust, et al., Investment property rights, including but not limited to those with the terms and conditions of the Order and of Company Act Rel. Nos. 33440 (April 8, 2019) which are described in one or more patent the Reference Order, which is incorporated by (notice) and 33477 (May 20, 2019) (order). applications. reference into the Order.

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SMALL BUSINESS ADMINISTRATION ACTION: Notice of a modified system of In accordance with 5 U.S.C. 552a(r), records. we provided a report to OMB and Data Collection Available for Public Congress on this modified system of Comments SUMMARY: In accordance with the records. Privacy Act, we are issuing public ACTION: 60 Day notice and request for notice of our intent to modify an Matthew Ramsey, comments. existing system of records entitled, Executive Director, Office of Privacy and Parking Management Record System, Disclosure, Office of the General Counsel. SUMMARY: In accordance with the 60–0230, last published in full January SYSTEM NAME AND NUMBER: Paperwork Reduction Act of 1995, this 11, 2006. This notice publishes details notice announces the Small Business of the modified system as set forth Social Security Administration (SSA), Administration’s intentions to request under the caption, SUPPLEMENTARY Parking Management Record System, approval on a new and/or currently INFORMATION. 60–0230 approved information collection. DATES: The system of records notice SECURITY CLASSIFICATION: DATES: Submit comments on or before (SORN) is applicable upon its June 29, 2020. Unclassified. publication in today’s Federal Register, ADDRESSES: Send all comments with the exception of the new routine SYSTEM LOCATION: regarding whether this information uses, which are effective May 29, 2020. Social Security Administration, Office collection is necessary for the proper We invite public comment on the of Security and Emergency performance of the function of the routine uses or other aspects of this Preparedness, Parking and Credentialing agency, whether the burden estimates SORN. In accordance with 5 U.S.C. Office, 1501 Robert M. Ball Building, are accurate, and if there are ways to 552a(e)(4) and (e)(11), the public is 6401 Security Boulevard, Baltimore, minimize the estimated burden and given a 30-day period in which to Maryland 21235–6401. enhance the quality of the collection, to submit comments. Therefore, please Information is also located in Mary Frias, Loan Specialist, Office of submit any comments by May 29, 2020. additional locations in connection with Financial Assistance, Small Business ADDRESSES: The public, Office of cloud-based services and kept at an Administration, 409 3rd Street, 8th Management and Budget (OMB), and additional location as backup for Floor, Washington, DC 20416. Congress may comment on this business continuity purposes. FOR FURTHER INFORMATION CONTACT: publication by writing to the Executive Mary Frias, Loan Specialist, 202–401– Director, Office of Privacy and SYSTEM MANAGER(S): 2012 [email protected] Curtis B. Rich, Disclosure, Office of the General Director, Office of Security Management Analyst, 202–205–7030 Counsel, Social Security Administration and Project [email protected] Administration, Room G–401 West High Management, Social Security SUPPLEMENTARY INFORMATION: The Small Rise, 6401 Security Boulevard, Administration, 1501 Robert M. Ball Business Administration requires Baltimore, Maryland 21235–6401, or Building, 6401 Security Boulevard, information to be disclosed to the buyer through the Federal e-Rulemaking Portal Baltimore, Maryland 21235–6401, (410) when a secondary market loan is at http://www.regulations.gov, please 966–5855. transferred from one investor to another. reference docket number SSA–2019– AUTHORITY FOR MAINTENANCE OF THE SYSTEM: This information includes a constant 0043. All comments we receive will be annual prepayment rate based upon the available for public inspection at the Federal Property and Administrative seller’s analysis of prepayment histories above address and we will post them to Services Act of 1949, as amended, (see of SBA guaranteed loans with similar http://www.regulations.gov. 40 U.S.C. 101, 121, and 41 CFR 102– 74.265–310 and 41 CFR 102–74.430) maturities. Additionally, information is FOR FURTHER INFORMATION CONTACT: required on the terms, conditions and Elizabeth Boorstein, Government PURPOSE(S) OF THE SYSTEM: yield of the security being transferred. Information Specialist, Privacy Title: ‘‘Form of Detached Assignment The purpose of the SSA Parking Implementation Division, Office of Management System is to facilitate and for U.S. Small Business Administration Privacy and Disclosure, Office of the Loan Pool or Guarantee Interest enforce SSA parking policies. The SSA General Counsel, SSA, Room G–401 Parking Management System will Certificate’’. West High Rise, 6401 Security Form Number: 1088. capture vehicle and owner information Annual Responses: 856. Boulevard, Baltimore, Maryland 21235– on SSA employees, contractors, interns, Annual Burden: 733. 6401, telephone: (410) 966–5855, email: and visitors to SSA facilities who apply [email protected]. for a parking permit, who have Curtis Rich, SUPPLEMENTARY INFORMATION: We are assignment of space for parking, and Management Analyst. modifying the existing system of record who park on SSA-controlled property [FR Doc. 2020–09030 Filed 4–28–20; 8:45 am] notice to reflect changes to the process and on property assigned to SSA by the BILLING CODE 8026–03–P for applying for parking on SSA General Services Administration or any properties; the categories and types of other agency. This system will also records captured within this system; capture information about those who SOCIAL SECURITY ADMINISTRATION and for the storage and retrieval of violate SSA Parking Policy, including parking policy violations. parking violation citations. [Docket No. SSA–2019–0043] We are also modifying the notice throughout to correct miscellaneous CATEGORIES OF INDIVIDUALS COVERED BY THE Privacy Act of 1974; System of SYSTEM: Records stylistic formatting and typographical errors of the previously published All Headquarters SSA employees as AGENCY: Office of Privacy and notice, and to ensure the language reads well as any visitors, carpool members, Disclosure, Office of the General consistently across multiple systems. contractors, vendors or building tenants Counsel, Social Security Administration We are republishing the entire notice for utilizing SSA Headquarters parking (SSA). ease of reference. facilities.

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CATEGORIES OF RECORDS IN THE SYSTEM: has confirmed that there has been a Panel, or an arbitrator when information This system includes all breach of this system of records; (b) SSA is requested in connection with documentation in support of parking has determined that as a result of the investigations of allegations of unfair applications or assignment of parking, suspected or confirmed breach there is practices, matters before an arbitrator or such as vehicle owner name, Social a risk of harm to individuals, SSA the Federal Service Impasses Panel. Security number (SSN), vehicle (including its information systems, 11. To officials of labor organizations registration number (license plate), state programs, and operations), the Federal recognized under 5 U.S.C. Chapter 71 of vehicle registration, vehicle make, Government, or national security; and when relevant and necessary to their model, color. For those that received a (c) the disclosure made to such duties of exclusive representation parking citation by violating SSA agencies, entities, and persons is concerning personnel policies, Parking Policy, this also includes reasonably necessary to assist in practices, and matters affecting vehicle owner home address. connection with SSA’s efforts to conditions of employment. respond to the suspected or confirmed RECORD SOURCE CATEGORIES: breach or to prevent, minimize, or POLICIES AND PRACTICES FOR STORAGE OF RECORDS: Records are developed from the remedy such harm. individual during the parking 6. To another Federal agency or Initial parking applications (form assignment application process or at the Federal entity, when SSA determines SSA–391) are maintained in paper form; issuance of parking citations due to that information from this system of these forms are used by employees and parking infractions. records is reasonably necessary to assist contractors who have yet to access SSA systems and are completed prior to their ROUTINE USES OF RECORDS MAINTAINED IN THE the recipient agency or entity in: (a) official duty start date. Parking citation SYSTEM, INCLUDING CATEGORIES OF USERS AND Responding to a suspected or confirmed THE PURPOSES OF SUCH USES: breach; or (b) preventing, minimizing, or records are maintained in an electronic Disclosure may be made for routine remedying the risk of harm to format using the parking citation use as indicated below: individuals, the recipient agency or system. 1. To a congressional office in entity (including its information POLICIES AND PRACTICES FOR RETRIEVAL OF response to an inquiry from that office systems, programs, and operations), the RECORDS: made on behalf of, and at the request of, Federal Government, or national Records are retrieved by vehicle the subject of the record or a third party security resulting from a suspected or owner name, vehicle registration acting on the subject’s behalf. confirmed breach. number (license plate), state of vehicle 7. To Federal, State, and local law 2. To the Department of Justice (DOJ), registration, vehicle make, model, or enforcement agencies and private a court or other tribunal, or another color. party before such tribunal, when: security contractors, as appropriate, a. SSA, or any component thereof; or information necessary: (a) To enable POLICIES AND PRACTICES FOR RETENTION AND b. any SSA employee in his/her them to protect the safety of SSA DISPOSAL OF RECORDS: official capacity; or employees and customers, the security Superseded materials are maintained c. any SSA employee in his/her of the SSA workplace and the operation by the SSA Office of Security individual capacity where DOJ (or SSA of SSA facilities; or (b) to assist Administration and Project Management where it is authorized to do so) has investigations or prosecutions with for historical purposes and the control agreed to represent the employee; or respect to activities that affect such purpose has been met and the records d. the United States or any agency safety and security, or activities that are then destroyed per General Records thereof where SSA determines that there disrupt the operation of SSA facilities. Schedule 01–1 (001): The record is litigation likely to affect the 8. To the Office of Personnel retention is temporary—destroy when 3 operations of SSA or any of its Management, the Merit Systems years old, but longer retention is components, is a party to the litigation Protection Board, or the Office of the authorized if needed for business use. or has an interest in such litigation, and Special Counsel when information is Superseded materials are maintained by SSA determines that the use of such requested in connection with appeals, the SSA Protective Security Officer for records by DOJ, a court or other special studies of the civil service and historical purposes and the control tribunal, or another party before other merit systems, review of those purpose has been met and the records tribunal, is relevant and necessary to the agencies’ rules and regulations, are then destroyed. litigation, provided, however, that in investigation of alleged or possible each case, SSA determines that such prohibited personnel practices, and for ADMINISTRATIVE, TECHNICAL, AND PHYSICAL disclosure is compatible with the such other function of these agencies as SAFEGUARDS: purpose(s) for which the records were may be authorized by law, e.g., 5 U.S.C. We retain electronic and paper files collected. 1205 and 1206. with personal identifiers in secure 3. To student volunteers, individuals 9. To the Equal Employment storage areas accessible only by our working under a personal services Opportunity Commission when authorized employees and contractors contract, and other workers who requested in connection with who have a need for the information technically do not have the status of investigations into alleged or possible when performing their official duties. Federal employees, when they are discriminatory practices in the Federal Security measures include the use of performing work for SSA, as authorized sector, examination of Federal codes and profiles, personal by law, and they need access to affirmative employment programs, identification number and password, personally identifiable information (PII) compliance by Federal agencies with and personal identification verification in SSA records in order to perform their the Uniform Guidelines on Employee cards. Further, management grants assigned agency functions. Selection Procedures, or other functions specific personnel access authority to 4. To the National Archives Records vested in the Commission. the parking citation system; parking Administration under 44 U.S.C. 2904 10. To the Federal Labor Relations enforcement officers are the only and 2906. Authority, its General Counsel, the personnel allowed to electronically 5. To appropriate agencies, entities, Federal Mediation and Conciliation upload parking citations. We keep paper and persons when: (a) SSA suspects or Service, the Federal Service Impasses records in locked cabinets within secure

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areas, with access limited to only those requesting notification of records in DEPARTMENT OF STATE employees who have an official need for person should provide the same [Public Notice 11085] access in order to perform their duties. information, as well as provide an We annually provide our employees and identity document, preferably with a 60-Day Notice of Proposed Information contractors with appropriate security photograph, such as a driver’s license or Collection: Statement of Non-Receipt awareness training that includes some other means of identification. If an of a U.S. Passport reminders about the need to protect PII individual does not have any and the criminal penalties that apply to identification documents sufficient to ACTION: Notice of request for public unauthorized access to, or disclosure of, establish his/her identity, the individual comment. PII (e.g., 5 U.S.C. 552a(i)(1)). must certify in writing that he/she is the Furthermore, employees and contractors person claimed to be and that he/she SUMMARY: The Department of State is with access to databases maintaining PII understands that the knowing and seeking Office of Management and must sign a sanctions document willful request for, or acquisition of, a Budget (OMB) approval for the annually, acknowledging their record pertaining to another individual information collection described below. accountability for inappropriately under false pretenses is a criminal In accordance with the Paperwork accessing or disclosing such offense. Reduction Act of 1995, we are information. If notification is requested by requesting comments on this collection from all interested individuals and RECORD ACCESS PROCEDURES: telephone, an individual must verify his/her identity by providing identifying organizations. The purpose of this Individuals requesting notification of, information that parallels information in notice is to allow 60 days for public or access to, a record by mail must the record to which notification is being comment preceding submission of the include a notarized statement to us to requested. If it is determined that the collection to OMB. verify their identity or must certify in identifying information provided by DATES: The Department will accept the request that they are the individual telephone is insufficient, the individual comments from the public up to June they claim to be and that they will be required to submit a request in 29, 2020. understand that the knowing and willful writing or in person. If an individual is ADDRESSES: You may submit comments request for, or acquisition of, a record requesting information by telephone on by any of the following methods: pertaining to another individual under behalf of another individual, the subject • Web: Persons with access to the false pretenses is a criminal offense. individual must be connected with SSA internet may comment on this notice by Individuals requesting notification of, and the requesting individual in the going to www.regulations.gov. You can or access to, records in person must same phone call. SSA will establish the search for the document by entering provide their name, SSN, or other subject individual’s identity (his/her ‘‘Docket Number: DOS–2020–0014’’ in information that may be in this system name, SSN, address, date of birth and the Search field. Then click the of records that will identify them, as place of birth, along with one other ‘‘Comment Now’’ button and complete well as provide an identity document, piece of information, such as mother’s the comment form. preferably with a photograph, such as a maiden name) and ask for his/her • Email: [email protected]. driver’s license. Individuals lacking • consent in providing information to the Regular Mail: Send written identification documents sufficient to requesting individual. comments to: PPT Forms Officer, U.S. establish their identity must certify in Department of State, Bureau of Consular If a request for notification is writing that they are the individual they Affairs, Passport Services, Office of submitted by mail, an individual must claim to be and that they understand Program Management and Operational include a notarized statement to SSA to that the knowing and willful request for, Support, 44132 Mercure Cir., P.O. Box verify his/her identity or must certify in or acquisition of, a record pertaining to 1199, Sterling, VA 20166–1199. another individual under false pretenses the request that he/she is the person You must include the DS form is a criminal offense. These procedures claimed to be and that he/she number (if applicable), information are in accordance with our regulations understands that the knowing and collection title, and the OMB control at 20 CFR 401.40 and 401.45. willful request for, or acquisition of, a number in any correspondence. record pertaining to another individual SUPPLEMENTARY INFORMATION: CONTESTING RECORD PROCEDURES: under false pretenses is a criminal • Title of Information Collection: offense. These procedures are in Same as Notification procedures. Statement of Non-receipt of a U.S. accordance with SSA regulations (20 Also, requesters should reasonably Passport. identify the record, specify the CFR 401.40). • OMB Control Number: 1405–0146. information they are contesting and the • Type of Request: Revision of a EXEMPTIONS PROMULGATED FOR THE SYSTEM: corrective action sought, and the Currently Approved Collection. reasons for the correction, with None. • Originating Office: Department of supporting justification showing how State, Bureau of Consular Affairs, the record is incomplete, untimely, HISTORY: Passport Services, Office of Program inaccurate or irrelevant. These 17 FR 1846, Social Security Management and Operational Support procedures are in accordance with SSA Administration Parking Management (CA/PPT/S/PMO/CR). • regulations (20 CFR 401.65(a)). Record System. Form Number: DS–86. • Respondents: Individuals. NOTIFICATION PROCEDURES: 72 FR 69723, Social Security • Estimated Number of Respondents: An individual can determine if this Administration Parking Management 22,868. system contains a record about him/her Record System. • Estimated Number of Responses: by writing to the system manager(s) at 83 FR 54969, Social Security 22,868. the above address and providing his/her Administration Parking Management • Average Time per Response: 15 name, SSN or other information that Record System. minutes. may be in the system of records that will [FR Doc. 2020–09074 Filed 4–28–20; 8:45 am] • Total Estimated Burden Time: 5,717 identify him/her. An individual BILLING CODE 4191–02–P hours.

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• Frequency: On Occasion. DEPARTMENT OF STATE instrument and supporting documents to Andrea Battista, [email protected], • Obligation to Respond: Required to [Public Notice 11096] Obtain a Benefit. who may be reached on 202–663–3136. Notice of Information Collection Under SUPPLEMENTARY INFORMATION: We are soliciting public comments to • Title of Information Collection: permit the Department to: OMB Emergency Review: Request To Change End-User, End-Use and/or Request to Change End-User, End-Use • Evaluate whether the proposed Destination of Hardware and/or Destination of Hardware. information collection is necessary for • OMB Control Number: 1405–0173. the proper functions of the Department. ACTION: Notice of request for emergency • Type of Request: Emergency • Evaluate the accuracy of our OMB approval and public comment. Review. • Originating Office: Directorate of estimate of the time and cost burden for SUMMARY: The Department of State has Defense Trade Controls (DDTC). this proposed collection, including the submitted the information collection • Form Number: DS–6004. validity of the methodology and request described below to the Office of • Respondents: Business or Nonprofit assumptions used. Management and Budget (OMB) for Organizations. • Enhance the quality, utility, and review and approval in accordance with • Estimated Number of Respondents: clarity of the information to be the emergency review procedures of the 1,563. collected. Paperwork Reduction Act of 1995. The • Estimated Number of Responses: purpose of this notice is to allow for 1,563. • Minimize the reporting burden on public comment from all interested • Average Time Per Response: 1 hour. those who are to respond, including the individuals and organizations. • Total Estimated Burden Time: use of automated collection techniques Emergency review and approval of this 1,563. or other forms of information collection has been requested from OMB • Frequency: On occasion. technology. by April 30, 2020. If granted, the • Obligation to respond: Voluntary. Please note that comments submitted emergency approval is only valid for We are soliciting public comments to in response to this notice are public 180 days. The Department plans to permit the Department to: • record. Before including any detailed follow this emergency request with a Evaluate whether the proposed personal information, you should be submission for a 3 year approval information collection is necessary for through OMB’s normal PRA clearance the proper functions of the Department. aware that your comments as submitted, • including your personal information, process. Evaluate the accuracy of our estimate of the time and cost burden of will be available for public review. DATES: All public comments must be this proposed collection, including the received by April 29, 2020. Abstract of Proposed Collection validity of the methodology and ADDRESSES: Direct any comments on assumptions used. The Statement of Non-receipt of a this emergency request to both the • Enhance the quality, utility, and U.S. Passport, form DS–86, is used by Department of State Desk Officer in the clarity of the information to be the U.S. Department of State to collect Office of Information and Regulatory collected. information for the purpose of issuing a Affairs at the Office of Management and • Minimize the reporting burden on replacement passport to customers Budget (OMB) and to The Bureau of those who are to respond, including the whose passports have been issued but Political and Military Affairs, The use of automated collection techniques who have not received their passport Directorate of Defense Trade Controls. or other forms of information documents in the mail. You may submit comments by the technology. following methods: Please note that comments submitted • Methodology Web: Persons with access to the in response to this Notice are public internet may comment on this notice by record. Before including any detailed The information collected on form going to www.Regulations.gov. You can personal information, you should be DS–86 is used by the Department of search for the document by entering aware that your comments as submitted, State to help ensure that no person bears ‘‘Docket Number: DOS–2020–0016’’ in including your personal information, more than one valid or potentially valid the Search field. Then click the will be available for public review. U.S. passport book of the same type ‘‘Comment Now’’ button and complete and/or passport card at any one time, the comment form. Abstract of Proposed Collection except as authorized by the Department. • Email: Andrea Battista battistaal@ The Request to Change End-User, The information on the form is also state.gov. End-Use and/or Destination of used to address passport fraud and You must include Emergency Hardware information collection is used misuse. Submission Comment on ‘‘Request to to request DDTC approval prior to any Change End-User, End-Use and/or When needed, the Statement of Non- sale, transfer, transshipment, or Destination of Hardware’’ in the subject receipt of a U.S. Passport is either disposal, whether permanent or line of your message. temporary, of classified or unclassified provided by the Department to the • _ Email: oira submission@ defense articles to any end-user, end-use passport applicant or accessed online omb.eop.gov. from the Department’s website at or destination other than as stated on a You must include the DS form license or other approval. www.eforms.state.gov or as a printable number (if applicable), information PDF at www.travel.state.gov. collection title, and the OMB control Methodology Zachary Parker, number in any correspondence. Applicants are referred to ITAR 123.9 FOR FURTHER INFORMATION CONTACT: Director. for guidance on information to submit Direct requests for additional regarding the request to change end- [FR Doc. 2020–09105 Filed 4–28–20; 8:45 am] information regarding the collection user, end-use and/or destination of BILLING CODE 4710–06–P listed in this notice, including requests hardware. A DS–6004 may be submitted for copies of the proposed collection electronically through DDTC’s case

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management system, The Defense aeronautical purposes or are otherwise proposals submitted by member Export Control and Compliance System inaccessible by aircraft. The land will countries in advance of each meeting. (DECCS). remain under the Port of Friday Harbor DATES: Each public meeting will take ownership and will be leased at fair Neal Kringel, place approximately two weeks market value for non-aeronautical preceding the international meeting. Director of Management, Directorate of revenue generation. The revenue will Defense Trade Controls, Department of State. Specific information for each meeting support the Airports aviation needs, will be posted when available on the [FR Doc. 2020–09037 Filed 4–28–20; 8:45 am] including upcoming projects associated PHMSA website at https:// BILLING CODE 4710–25–P with the pending B–II classification. www.phmsa.dot.gov/international- The proposed use of this property is program/international-program- considered compatible with other overview under ‘‘Upcoming Events.’’ DEPARTMENT OF TRANSPORTATION airport operations in accordance with ADDRESSES: Each public meeting will FAA’s Policy and Procedures Federal Aviation Administration take place at DOT Headquarters, West Concerning the Use of Airport Revenue, Building, 1200 New Jersey Avenue SE, Public Notice for Waiver of published in Federal Register on Washington, DC 20590–0001. Specific Aeronautical Land Use Assurance February 16, 1999. information for each meeting will be Friday Harbor Airport, Friday Harbor, Issued in Des Moines, Washington on April posted when available on the PHMSA WA 23, 2020. website at https://www.phmsa.dot.gov/ Joelle Briggs, international-program/international- AGENCY: Federal Aviation Manager, Seattle Airports District Office, program-overview under ‘‘Upcoming Administration, (FAA), DOT. Manager, Seattle Airports District, SEA–630. Events.’’ This information will include ACTION : Notice. [FR Doc. 2020–09025 Filed 4–28–20; 8:45 am] the public meeting date, time, conference call-in number, and details SUMMARY: Notice is being given that the BILLING CODE 4910–13–P for advanced registration. FAA is considering a request from the Port of Friday Harbor Executive Director FOR FURTHER INFORMATION CONTACT: DEPARTMENT OF TRANSPORTATION to change certain portions of the airport Steven Webb or Aaron Wiener, PHMSA, from aeronautical use to non- U.S. Department of Transportation. Pipeline and Hazardous Materials Telephone: (202) 366–8553. aeronautical use at the Friday Harbor Safety Administration Airport, Friday Harbor, WA. The request SUPPLEMENTARY INFORMATION: The purpose of PHMSA’s public consists of 24 parcels, or portions [Docket No. PHMSA–2019–0224; Notice No. thereof that are depicted on the 2020–02] meetings held in advance of certain Airport’s current Exhibit A—Airport international meetings is to allow the Property Map. Hazardous Materials: Notice of Public public to give input on the current meeting proposals. DATES: Meetings in 2020 for International Comments are due within 30 The 57th and 58th sessions of the days of the date of the publication of Standards on the Transport of Dangerous Goods UNSCOE TDG will represent the third this notice in the Federal Register. and fourth meetings scheduled for the Written comments can be provided to AGENCY: Pipeline and Hazardous 2019–2020 biennium. The UNSCOE Ms. Cayla D. Morgan, Environmental Materials Safety Administration TDG will consider proposals for the Protection Specialist, Seattle Airports (PHMSA), Office of Hazardous Materials 22nd Revised Edition of the United District Office, 2220 S 216th Street, Des Safety, Department of Transportation Nations Recommendations on the Moines, WA 98198, (206) 231–4130. (DOT). Transport of Dangerous Goods: Model FOR FURTHER INFORMATION CONTACT: Mr. ACTION: Notice of 2020 public meetings. Regulations (Model Regulations), which Todd Nicholson, Executive Director, may be implemented into relevant Port of Friday Harbor, P.O. Box 889, SUMMARY: This notice announces that domestic, regional, and international Friday Harbor, Washington 98250 or PHMSA’s Office of Hazardous Materials regulations starting January 1, 2023. Ms. Cayla D. Morgan, Environmental Safety will host three public meetings Copies of working documents, informal Protection Specialist, Seattle Airports during 2020 in advance of certain documents, the agenda, and the post- District Office, 2220 S 216th Street, Des international meetings. The first meeting final report may be obtained Moines, WA 98198, (206) 231–4130. meeting will be held in preparation of from the United Nations Transport Documents reflecting this FAA action the 57th session of the United Nations Division’s website at: http:// may be reviewed at the above locations. Sub-Committee of Experts on the www.unece.org/trans/danger/ SUPPLEMENTARY INFORMATION: Under the Transport of Dangerous Goods danger.html. provisions of Title 49, U.S.C. 47153(c), (UNSCOE TDG), held June 29 to July 8, The ICAO WG/20 meeting will and 47107(h)(2), the FAA is considering 2020, in Geneva, Switzerland. The represent the first meeting of the 2020– a proposal from the Executive Director, second meeting will be held in 2021 biennium. The ICAO DGP will Port of Friday Harbor, to change a preparation of the International Civil consider proposals for the 2023–2024 portion of the Friday Harbor Airport Aviation Organization’s (ICAO) edition of the Technical Instructions for from aeronautical use to non- Dangerous Goods Panel (DGP) Working the Safe Transport of Dangerous Goods aeronautical use. A total of 24 parcels Group 20 (WG/20) meeting held by Air (Doc 9284). Copies of working were included in the request. The FAA September 21–25, 2020, in Montreal, papers, information papers, the agenda, has reviewed the request and Canada. The third meeting will be held and the post-meeting final report may be determined that all of the parcels or in preparation of the 58th session of the obtained from the ICAO DGP website at: portions thereof in the request package UNSCOE TDG held November 30 to https://www.icao.int/safety/Dangerous except for parcels 44, 55 and 57 can be December 8, 2020, in Geneva, Goods/Pages/DGPMeetings.aspx. released from aeronautical use. The Switzerland. For each of these meetings, These meetings will be open to the FAA concurs that the other parcels in PHMSA will solicit public input on U.S. public on a first-come, first served basis, the package are no longer needed for government positions regarding as space is limited. Advanced meeting

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registration information will be posted Alcohol and Tobacco Tax and Trade certain international agreements, as well on the PHMSA website. DOT is Bureau (TTB) as for such wine imported by an owner committed to providing equal access to 1. Title: Usual and Customary or affiliate of a domestic winery. In this meeting for all participants. If you Business Records Relating to Tax-Free addition, the Federal Alcohol need alternative formats or services Alcohol. Administration Act at 27 U.S.C. 201 et because of a disability, such as sign OMB Control Number: 1513–0059. seq. (FAA Act) vests the Secretary with language, interpretation, or other Type of Review: Extension without authority to prescribe regulations ancillary aids, please contact the person change of a currently approved regarding the identity and quality of listed in the FOR FURTHER INFORMATION collection. alcohol beverages. Under those CONTACT section. Description: In general, the IRC at 26 authorities, the TTB wine regulations in U.S.C. 5001 imposes a Federal excise 27 CFR part 4 and its alcohol beverage Signed in Washington, DC, on April 24, import regulations in 27 CFR part 27 2020. tax on distilled spirits produced or imported into the United States. implement the IRC’s proper cellar William S. Schoonover, However, under the IRC at 26 U.S.C. treatment certification requirement for Associate Administrator, Hazardous 5214, distilled spirits may be withdrawn imported natural wine. Materials Safety, Pipeline and Hazardous free of tax for nonbeverage purposes for Form: None. Materials Safety Administration. Affected Public: Business or other for- use by Federal, State, and local profits. [FR Doc. 2020–09076 Filed 4–28–20; 8:45 am] governments, certain educational BILLING CODE 4910–60–P Estimated Number of Respondents: organizations and institutions, research 50. laboratories, hospitals, blood banks, Frequency of Response: Once. sanitariums, and nonprofit clinics, Estimated Total Number of Annual subject to regulations prescribed by the DEPARTMENT OF THE TREASURY Responses: 50. Secretary. Under that IRC authority, the Estimated Time per Response: 0.33 TTB regulations in 27 CFR part 22 hours (20 minutes). Agency Information Collection require tax-free alcohol users to Activities; Submission for OMB Estimated Total Annual Burden maintain certain usual and customary Hours: 17 hours. Review; Comment Request; Multiple shipment, loss, consignment, return, 3. Title: Tax Class Statement Required Alcohol and Tobacco Tax and Trade and inventory records, which are kept on Hard Cider Labels. Bureau Information Collection during the normal course of business, in OMB Control Number: 1513–0138. Requests order to maintain accountability over Type of Review: Extension without tax-free spirits. change of a currently approved AGENCY: Departmental Offices, U.S. Form: None. collection. Department of the Treasury. Affected Public: Business or other for- Description: The IRC at 26 U.S.C. ACTION: Notice. profit; Federal government, State, local, 5041 imposes six Federal excise tax and tribal governments. rates on wine, the lowest of which is the hard cider tax rate listed in section SUMMARY: The Department of the Estimated Number of Respondents: 5041(b)(6), while the IRC at 26 U.S.C. Treasury will submit the following 5,600. 5368(b) provides that wine can only be information collection requests to the Frequency of Response: Once. removed in containers bearing the Office of Management and Budget Estimated Total Number of Annual marks and labels evidencing compliance (OMB) for review and clearance in Responses: 5,600. Estimated Time per Response: None. with chapter 51 of the IRC as the accordance with the Paperwork (Under the OMB regulations 5 CFR Secretary may by regulation prescribe. Reduction Act of 1995, on or after the 1320.3(b)(2), regulatory requirements to Also, section 335(a) of the Protecting date of publication of this notice. The maintain usual and customary records Americans from Tax Hikes Act of 2015 public is invited to submit comments on kept during the normal course of (PATH Act, Pub. L. 144–113) recently these requests. business place no burden on modified the definition of hard cider in DATES: Comments should be received on respondents as defined in the the IRC at 26 U.S.C. 5041(g) to broaden or before May 29, 2020 to be assured of Paperwork Reduction Act.). the range of products eligible for the consideration. Estimated Total Annual Burden hard cider tax rate. In addition, TTB’s Hours: None. FAA Act-based wine labeling ADDRESSES: Written comments and 2. Title: Certification of Proper Cellar regulations in 27 CFR part 4 allow the recommendations for the proposed Treatment for Imported Natural Wine. term ‘‘hard cider’’ to appear on wine information collection should be sent OMB Control Number: 1513–0119. labels even if the product does not meet within 30 days of publication of this Type of Review: Extension without the definition of ‘‘hard cider’’ for tax notice to www.reginfo.gov/public/do/ change of a currently approved purposes under the IRC. In light of this, PRAMain. Find this particular collection. in order to adequately identify products information collection by selecting Description: Under the IRC at 26 eligible for the hard cider tax rate, the ‘‘Currently under 30-day Review—Open U.S.C. 5382(a)(3), importers of natural TTB regulations in 27 CFR parts 24 and for Public Comments’’ or by using the wine produced after December 31, 2004, 27 require the tax class statement, ‘‘Tax search function. must provide the Secretary with a class 5041(b)(6),’’ to appear on FOR FURTHER INFORMATION CONTACT: certification, accompanied by an containers of domestic and imported Copies of the submissions may be affirmed laboratory analysis, that the wines, respectively, for which that tax obtained from Molly Stasko by emailing practices and procedures used to rate is claimed. The placement of the hard cider tax class statement on such [email protected], calling (202) 622– produce the wine constitute proper cellar treatment. That IRC section also wine labels is necessary to protect the 8922, or viewing the entire information contains alternative certification revenue as it evidences compliance with collection request at www.reginfo.gov. requirements or exemptions for natural the IRC’s statutory requirements and SUPPLEMENTARY INFORMATION: wine produced and imported under identifies products for which the

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taxpayer is claiming the hard cider tax Description: Form 5227 is used to SUPPLEMENTARY INFORMATION: rate. report the financial activities of a split- Fiscal Service (FS) Form: None. interest trust described in Internal Affected Public: Business or other for- Revenue Code section 4947(a)(2), and to 1. Title: Minority Bank Deposit profits. determine whether the trust is treated as Program (MBDP) Certification Form for Estimated Number of Respondents: a private foundation and is subject to Admission. 820. the excise taxes under Chapter 42 of the OMB Control Number: 1530–0001. Frequency of Response: Once. Code. Type of Review: Extension without Estimated Total Number of Annual Form: 5227. change of a currently approved Responses: 820. Affected Public: Business or other for- collection. Estimated Time per Response: 1 hour. profits. Description: The information Estimated Total Annual Burden Estimated Number of Respondents: collected on this form is used by Hours: 820 hours. 199,900. financial institutions to apply for (Authority: 44 U.S.C. 3501 et seq.) Frequency of Response: Annually. participation in the Minority Bank Estimated Total Number of Annual Dated: April 23, 2020. Deposit Program. Institutions approved Responses: 199,900. for acceptance in the program are Spencer W. Clark, Estimated Time per Response: 45 Treasury PRA Clearance Officer. entitled to special assistance and hours, 24 minutes. guidance from Federal agencies, State [FR Doc. 2020–09065 Filed 4–28–20; 8:45 am] Estimated Total Annual Burden and local governments, and private BILLING CODE 4810–31–P Hours: 9,076,744 hours. sector organizations. (Authority: 44 U.S.C. 3501 et seq.) Form: FS Form 3144. DEPARTMENT OF THE TREASURY Dated: April 23, 2020. Affected Public: Business or other for- Spencer W. Clark, profits. Agency Information Collection Treasury PRA Clearance Officer. Estimated Number of Respondents: 85. Activities; Submission for OMB [FR Doc. 2020–09067 Filed 4–28–20; 8:45 am] Frequency of Response: Annually. Review; Comment Request; Split- BILLING CODE 4830–01–P Interest Trust Information Return Estimated Total Number of Annual Responses: 85. AGENCY: Departmental Offices, U.S. DEPARTMENT OF THE TREASURY Estimated Time per Response: 45 Department of the Treasury. minutes. ACTION: Notice. Agency Information Collection Estimated Total Annual Burden Hours: 64 hours. SUMMARY: The Department of the Activities; Submission for OMB Review; Comment Request; Multiple 2. Title: Request to Reissue U.S. Treasury will submit the following Savings Bonds to a Personal Trust. information collection requests to the Fiscal Service Information Collection Requests OMB Control Number: 1530–0036. Office of Management and Budget Type of Review: Extension without (OMB) for review and clearance in AGENCY: Departmental Offices, U.S. change of a currently approved accordance with the Paperwork Department of the Treasury. collection. Reduction Act of 1995, on or after the ACTION: Notice. Description: The information is date of publication of this notice. The necessary to support a request for SUMMARY: public is invited to submit comments on The Department of the reissue of savings bonds in the name of these requests. Treasury will submit the following the trustee of a personal trust estate. DATES: Comments should be received on information collection requests to the Form: FS Form 1851. or before May 29, 2020 to be assured of Office of Management and Budget Affected Public: Individuals or consideration. (OMB) for review and clearance in Households. ADDRESSES: Written comments and accordance with the Paperwork Estimated Number of Respondents: recommendations for the proposed Reduction Act of 1995, on or after the 10,600. information collection should be sent date of publication of this notice. The Frequency of Response: Occasionally. within 30 days of publication of this public is invited to submit comments on Estimated Total Number of Annual notice to www.reginfo.gov/public/do/ these requests. Responses: 10,600. PRAMain. Find this particular DATES: Comments should be received on Estimated Time per Response: 15 information collection by selecting or before May 29, 2020 to be assured of minutes. ‘‘Currently under 30-day Review—Open consideration. Estimated Total Annual Burden for Public Comments’’ or by using the ADDRESSES: Written comments and Hours: 2,650 hours. search function. recommendations for the proposed 3. Title: Application By Survivors for FOR FURTHER INFORMATION CONTACT: information collection should be sent Payment of Bond or Check Issued Under Copies of the submissions may be within 30 days of publication of this the Armed Forces Leave Act of 1946, as obtained from Molly Stasko by emailing notice to www.reginfo.gov/public/do/ amended. [email protected], calling (202) 622– PRAMain. Find this particular OMB Control Number: 1530–0038. 8922, or viewing the entire information information collection by selecting Type of Review: Extension without collection request at www.reginfo.gov. ‘‘Currently under 30-day Review—Open change of a currently approved for Public Comments’’ or by using the SUPPLEMENTARY INFORMATION: collection. search function. Description: The information is Internal Revenue Services (IRS) FOR FURTHER INFORMATION CONTACT: requested to support payment of an Title: Split-Interest Trust Information Copies of the submissions may be Armed Forces Leave Bond or check Return. obtained from Molly Stasko by emailing issued under Section 6 of the Armed OMB Control Number: 1545–0196. [email protected], calling (202) 622– Forces Leave Act of 1946, as amended, Type of Review: Revision of a 8922, or viewing the entire information where the owner died without assigning currently approved collection. collection request at www.reginfo.gov. the bond to the Administrator of

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Veterans Affairs prior to payment, or [email protected], calling (202) 622– aggregate recipient reporting time by without presenting the check for 8922, or viewing the entire information 3,066 hours. Third, the CDFI/NACA payment. collection request at www.reginfo.gov. Transaction Level Report (TLR) Form: FS Form 2066. SUPPLEMENTARY INFORMATION: requirements were substantially Affected Public: Individuals or reduced by 70% by limiting Households. Community Development Financial transactional reporting to only newly Estimated Number of Respondents: Institutions Fund (CDFIF) originated and closed loans and 100. Title: CDFI Program and NMTC investments and eliminating reporting Frequency of Response: Occasionally. Program Annual Report including on outstanding loans and investments. Estimated Total Number of Annual AMIS. For NMTC Program allocatees, the Responses: 100. OMB Control Number: 1559–0027. reporting structure remained the same. Estimated Time per Response: 30 Type of Review: Revision of a Each allocatee must submit an Annual minutes. currently approved collection. Report that comprises: (i) A financial Estimated Total Annual Burden Description: This collection captures statement that has been audited by an Hours: 50 hours. quantitative information from independent certified public (Authority: 44 U.S.C. 3501 et seq.) Community Development Financial accountant; (ii) an Institution Level Institutions (CDFIs) and Community Report (ILR) (including the IRS Dated: April 23, 2020. Development Entities (CDEs) at the Spencer W. Clark, Compliance Questions section), if the institution and transaction levels. This allocatee has issued any Qualified Treasury PRA Clearance Officer. information is used to assess: (1) The Equity Investments; and (iii) a [FR Doc. 2020–09066 Filed 4–28–20; 8:45 am] recipient’s/allocatee’s activities as Transaction Level Report (TLR) if the detailed in its application materials; (2) BILLING CODE 4810–AS–P allocatee has issued any Qualified Low- the recipient’s/allocatee’s approved use Income Community Investments in the of the assistance; (3) the recipient’s/ form of loans or investments. The DEPARTMENT OF THE TREASURY allocatee’s financial condition; (4) the components that comprise an allocatee’s socio-economic characteristics of Annual Report are set forth in the Agency Information Collection recipient’s/allocatee’s borrowers/ allocation agreement that the allocate Activities; Submission for OMB investees, loan and investment terms, enters into with the CDFI Fund in order Review; Comment Request; repayment status, and community to receive a NMTC Program allocation. Community Development Financial development outcomes; and (5) overall These NMTC requirements can be found Institutions Program and New Markets compliance with the terms and Tax Credit Program Annual Report conditions of the assistance/allocation in the allocation agreement templates including Awards Management and agreement entered into by the CDFI located on the CDFI Fund website at Information System Fund and the recipient/allocatee. A www.cdfifund.gov. With the efficiency CDFI Program or Native American CDFI gains from the implementation of AMIS, AGENCY: Departmental Offices, U.S. the average NMTC reporting time has Department of the Treasury. Assistance Program (NACA Program) recipient must submit an Annual Report gone down slightly, while the total ACTION: Notice. that is comprised of several sections that number of reporting entities has remained the same so there is a slight SUMMARY: The Department of the depend on the program and the type of award. The specific components that net reduction in total burden. Treasury will submit the following Altogether, the total annual burden for information collection requests to the comprise a recipient’s Annual Report are set forth in the assistance agreement both CDFI/NACA and NMTC annual Office of Management and Budget reporting has decreased substantially (OMB) for review and clearance in that the recipient enters into with the CDFI Fund in order to receive a CDFI from 51,645 hours in 2017 to 34,000 accordance with the Paperwork hours in 2020. Reduction Act of 1995, on or after the Program or a NACA Program award. The Affected Public: Business or other for- date of publication of this notice. The current CDFI/NACA reporting profits, non-profits, State, local and public is invited to submit comments on requirements can be found in the tribal entities. these requests. assistance agreement templates located on the CDFI Fund website at Estimated Number of Respondents: DATES: Comments should be received on www.cdfifund.gov. For CDFI/NACA or before May 29, 2020 to be assured of 575. recipients, three significant changes Frequency of Response: Annually. consideration. were made to annual reporting. First, as Estimated Total Number of Annual ADDRESSES: Written comments and part of its IT modernization strategy, the Responses: 575. recommendations for the proposed CDFI Fund developed a unified information collection should be sent technology platform called the Awards Estimated Time per Response: 120 within 30 days of publication of this Management Information System hours. notice to www.reginfo.gov/public/do/ (AMIS) that facilitates better data Estimated Total Annual Burden PRAMain. Find this particular collection and efficiency for users, Hours: 34,000 hours. information collection by selecting improves data validations, and (Authority: 44 U.S.C. 3501 et seq.) ‘‘Currently under 30-day Review—Open enhances computing capacity. Second, for Public Comments’’ or by using the in developing the AMIS-based Dated: April 23, 2020. search function. Compliance and Performance Reporting Spencer W. Clark, FOR FURTHER INFORMATION CONTACT: platform (ACPR), we sought to reduce Treasury PRA Clearance Officer. Copies of the submissions may be the reporting burden by eliminating the [FR Doc. 2020–09063 Filed 4–28–20; 8:45 am] obtained from Molly Stasko by emailing Institution Level Report (ILR) which cut BILLING CODE 4810–70–P

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Part II

The President

Proclamation 10015—World Intellectual Property Day, 2020

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Federal Register Presidential Documents Vol. 85, No. 83

Wednesday, April 29, 2020

Title 3— Proclamation 10015 of April 24, 2020

The President World Intellectual Property Day, 2020

By the President of the United States of America

A Proclamation Our Nation’s history is defined by discovery, ingenuity, and innovation. Americans are known for their resourcefulness and ability to find solutions to a wide range of challenges, including the development of technologies that advance our security, health, and prosperity. This resourcefulness has been a driving force of economic growth and human development since the founding of our Nation, and our future depends on the continued protec- tion of our intellectual property. On World Intellectual Property Day, we renew our resolve to protect and secure the works and innovations of Amer- ican artists, inventors, and other creators who continually push the bound- aries of human knowledge and understanding. Our Founding Fathers recognized the vital role that intellectual property plays in society and in supporting a robust economy. The Intellectual Prop- erty Clause of the Constitution reflects their understanding that laws must be in place to ‘‘promote the progress of science and useful arts, by securing for limited times to authors and inventors the exclusive right to their respec- tive writings and discoveries.’’ More than two centuries later, we remain committed to this idea, upholding and strengthening an intellectual property system that encourages greater American innovation and advances our global competitiveness. My Administration is building on our Nation’s history of securing intellectual property rights. In the United States, intellectual property-intensive industries account for nearly one-third of all employment and approximately 40 percent of our country’s gross domestic product, an estimated $6.6 trillion. To support these industries, in January of this year I signed the United States-Mexico- Canada Agreement (USMCA) into law, replacing the outdated and unbalanced North American Free Trade Agreement. USMCA furthers my Administration’s pro-growth agenda by establishing ground-breaking protections for trade se- crets, strengthening border security, and enhancing trademark, copyright, and patent provisions. These are the most comprehensive intellectual prop- erty standards ever included in a free trade agreement. Additionally, earlier this year I signed an Executive Order on Ensuring Safe and Lawful E-Commerce for United States Consumers, Businesses, Government Supply Chains, and Intellectual Property Rights Holders, which is aimed at finding improved ways to protect intellectual property rights holders from an increas- ing amount of counterfeit and pirated goods marketed online. The importance of intellectual property has never been more apparent than it is now, as we continue the ongoing battle against the coronavirus. To respond to this national and international emergency, the Federal, State, and local Governments have partnered with the private sector to develop new and powerful tools to combat the spread of the virus and provide care to those in need, focusing every available resource on the fight against the invisible enemy. Relying on strong intellectual property protections, these industries are able to act boldly to invent new tests, begin developing experimental treatments and vaccines, and rapidly produce and reengineer medical equipment to help win this war. These efforts are saving tens

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of thousands of lives and reflect the unrivaled power of American industry and innovation. This month, we pay tribute to our Nation’s long history of ingenuity and advancement, and we recommit to protecting, promoting, and prioritizing a business and economic environment that supports those who carry on this legacy. The pioneering spirit of these artists, authors, inventors, and other creators has improved our lives and the lives of millions of people around the world, and will continue to propel us toward a better future. NOW, THEREFORE, I, DONALD J. TRUMP, President of the United States of America, by virtue of the authority vested in me by the Constitution and the laws of the United States, do hereby proclaim April 26, 2020, as World Intellectual Property Day. I encourage Americans to observe this day to celebrate the benefits of intellectual property to our economy and our country. IN WITNESS WHEREOF, I have hereunto set my hand this twenty-fourth day of April, in the year of our Lord two thousand twenty, and of the Independence of the United States of America the two hundred and forty- fourth.

[FR Doc. 2020–09263 Filed 4–28–20; 11:15 am] Billing code 3295–F0–P

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Reader Aids Federal Register Vol. 85, No. 83 Wednesday, April 29, 2020

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Federal Register/Code of Federal Regulations At the end of each month the Office of the Federal Register General Information, indexes and other finding 202–741–6000 publishes separately a List of CFR Sections Affected (LSA), which aids lists parts and sections affected by documents published since Laws 741–6000 the revision date of each title. Presidential Documents 3 CFR 52...... 19378 205...... 22664 Executive orders and proclamations 741–6000 Proclamations: 986...... 19651 The United States Government Manual 741–6000 10000...... 18847 1719...... 18413 10001...... 19361 Other Services 1775...... 23208 10002...... 19363 Electronic and on-line services (voice) 741–6020 1776...... 23208 10003...... 19365 Privacy Act Compilation 741–6050 1778...... 23208 10004...... 19367 10005...... 19369 1779...... 19655 ELECTRONIC RESEARCH 10006...... 19375 1784...... 23208 10007...... 19641 1951...... 22009 World Wide Web 10008...... 20385 3575...... 19655 Full text of the daily Federal Register, CFR and other publications 10009...... 21309 4287...... 19655 is located at: www.govinfo.gov. 10010...... 22943 Proposed Rules: Federal Register information and research tools, including Public 10011...... 22945 205...... 22664 Inspection List and electronic text are located at: 10012...... 22947 800...... 18155 www.federalregister.gov. 10013...... 22949 982...... 20202 10014...... 23441 985...... 23243 E-mail 10015...... 23891 1200...... 23246 FEDREGTOC (Daily Federal Register Table of Contents Electronic Executive Orders: 1210...... 23248 Mailing List) is an open e-mail service that provides subscribers 13911...... 18403 8 CFR with a digital form of the Federal Register Table of Contents. The 13912...... 18407 digital form of the Federal Register Table of Contents includes 13913...... 19643 214...... 21739 HTML and PDF links to the full text of each document. 13914...... 20381 274a...... 21739 1003...... 18105 To join or leave, go to https://public.govdelivery.com/accounts/ 13915...... 21733 USGPOOFR/subscriber/new, enter your email address, then 13916...... 22951 9 CFR follow the instructions to join, leave, or manage your Administrative Orders: Proposed Rules: subscription. Memorandums: Memorandum of March 57...... 18471 PENS (Public Law Electronic Notification Service) is an e-mail 161...... 18471 service that notifies subscribers of recently enacted laws. 28, 2020 ...... 18409 To subscribe, go to http://listserv.gsa.gov/archives/publaws-l.html Memorandum of March 10 CFR 30, 2020 ...... 18411 and select Join or leave the list (or change settings); then follow 72...... 18857 the instructions. Memorandum of March 30, 2020 ...... 18849 430...... 21745 FEDREGTOC and PENS are mailing lists only. We cannot Memorandum of March 431...... 22958 respond to specific inquiries. 31, 2020 ...... 22343 Proposed Rules: Reference questions. Send questions and comments about the Memorandum of April Ch. I...... 18477, 19907 Federal Register system to: [email protected] 2, 2020...... 19637, 19639 35...... 20430 The Federal Register staff cannot interpret specific documents or Memorandum of April 50...... 19701 regulations. 7, 2020 ...... 20383 72...... 18876 Memorandum of April 430...... 20886, 21104 FEDERAL REGISTER PAGES AND DATE, APRIL 10, 2020 ...... 21735 431 ...... 20886, 21104, 22677 Memorandum of April 12 CFR 18105–18412...... 1 13, 2020 ...... 21737 18413–18856...... 2 Memorandum of April 3 ...... 20387, 22923, 22930 18857–19076...... 3 20, 2020 ...... 23203 34...... 21312 19077–19374...... 6 Notices: Ch. II...... 19077, 23448 19375–19640...... 7 Notice of April 1, 204...... 23445 19641–19874...... 8 2020 ...... 18855 215...... 22345 19875–20150...... 9 Notice of April 3, 217 ...... 20387, 20578, 22923, 20151–20384...... 10 2020 ...... 19373 22930 20385–20574...... 13 225...... 18427, 21312 20575–20810...... 14 5 CFR 238...... 18427 20811–21072...... 15 532...... 19377 323...... 21312 21073–21310...... 16 831...... 20575 324 ...... 20387, 22009, 22923, 21311–21738...... 17 842...... 20575 22930 21739–22008...... 20 1650...... 21311 600...... 20586 22009–22342...... 21 604...... 20586 22343–22580...... 22 6 CFR 701...... 22010 22581–22952...... 23 5...... 22581 702...... 23212 22953–23204...... 24 37...... 23205 722...... 22014 23205–23444...... 27 723...... 23212 23445–23730...... 28 7 CFR 725...... 23731 23731–23892...... 29 51...... 19378 1005...... 23217

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1238...... 23219 17 CFR 126...... 18445 Proposed Rules: Proposed Rules: 23...... 19878 129...... 18445 100 ...... 18157, 19709, 22049, 5...... 18728 210...... 21940 708...... 20423 23264 261a...... 18156 117...... 20454 229...... 19884, 21940 26 CFR 303...... 19706 230...... 19884, 21940 165...... 20226, 22049 337...... 19706 1...... 19802, 23172 239...... 21940 34 CFR 704...... 19908, 20431 240...... 19884, 21940 301...... 19802 708a...... 20618 249...... 19884, 21940 602...... 23172 Proposed Rules: Ch. II ...... 20455 741...... 20618 Proposed Rules: Proposed Rules: 1 ...... 18496, 19082, 19858, Ch. III...... 18508, 19908, 22972, 13 CFR Ch. I ...... 22690 23...... 21339 21129, 22049 23266, 23270 120 ...... 18107, 20811, 21747, 43...... 21339, 21516 300...... 21126 600...... 18638, 20895 23450 45...... 21339, 21578 301...... 18496, 21129 668...... 18638, 20895 121...... 20817, 23450 46...... 21578 27 CFR 36 CFR Proposed Rules: 49...... 21339, 21578 124...... 23487 4...... 18704, 20423 251...... 19660 125...... 23487 18 CFR 5...... 18704, 20423 Proposed Rules: 126...... 23487 35...... 20152 7...... 18704, 20423 1...... 19711 375...... 19384 19...... 18704, 20423 4...... 19711 14 CFR 327...... 20460 Proposed Rules: 29 CFR 25...... 18108 35...... 18784 1192...... 20228 39 ...... 18428, 18431, 18435, 103...... 18366, 20156 18862, 19077, 19080, 19381, 19 CFR 826...... 19326, 20156 37 CFR 19656, 19875, 20151, 20394, Ch. I...... 22352, 22353 1473...... 21770 201...... 19666 20396, 20399, 20402, 20405, 24...... 22349 4022...... 20829 202...... 19666 20408, 20411, 20586, 20589, Proposed Rules: Proposed Rules: 30 CFR 21073, 21318, 21752, 21754, 361...... 23748 Ch. II ...... 19919 21757, 21759, 21762, 21764, 56...... 19391 210 ...... 22518, 22549, 22559, 22584, 22953, 22956, 23452 20 CFR 57...... 19391 22568 61...... 18110 327...... 19386 723...... 20830 71 ...... 18869, 18870, 19384, 724...... 20830 39 CFR 20413, 20592, 21075, 22586, 21 CFR 845...... 20830 501...... 21774 23454, 23456, 23458 5...... 18439 846...... 20830 113...... 23745 97 ...... 20414, 20416, 20419, 500...... 18114 Proposed Rules: 31 CFR 20420 510...... 18114 3050...... 21130 Proposed Rules: 520...... 18114, 18125 501...... 19884 21...... 20431 522...... 18114, 18125 510...... 19884, 20158 40 CFR 36...... 20431 524...... 18114 535...... 19884 9...... 22587 39 ...... 18478, 19110, 19113, 526...... 18114, 18125 536...... 19884 52 ...... 18126, 18872, 19087, 19399, 19707, 20203, 20206, 556...... 18114 539...... 19884 19089, 19093, 19096, 19668, 20209, 20211, 20213, 20216, 558...... 18114 541...... 19884 19670, 19674, 19888, 20165, 20447, 20618, 21115, 21334, 801...... 18439 542...... 19884 20178, 20424, 20426, 20427, 21336, 21791, 22684, 22686, 803...... 18439 544...... 19884 20836, 21325, 21329, 21777, 22688, 22970, 23252, 23255, 807...... 18439 546...... 19884 22355, 22593, 23700 23257, 23259, 23262, 23489, 814...... 18439 547...... 19884 60...... 18448 23492 820...... 18439 548...... 19884 63...... 20838, 20855 71 ...... 20450, 20451, 21793, 821...... 18439 549...... 19884 70...... 21329 22047, 23495 822...... 18439 560...... 19884 75...... 22362 382...... 20889 830...... 18439 561...... 19884 81...... 19096, 22977 860...... 18439 566...... 19884 86...... 22609 15 CFR 862...... 18444 576...... 19884 110...... 22250 732...... 18438, 23459 866...... 18444 583...... 19884 112...... 22250 734...... 18438, 23459 884...... 18439 584...... 19884 116...... 22250 738...... 23459 900...... 18439 588...... 19884 117...... 22250 740...... 23470 1002...... 18439 592...... 19884 120...... 22250 742...... 23459 1300...... 22018 594...... 19884 122...... 22250 744...... 23459 1304...... 22018 597...... 19884 127...... 20873 758...... 23459 1306...... 22018 598...... 19884 180...... 20185 774...... 23459, 23470 1308 ...... 19387, 20155, 21320 800...... 23736 230...... 22250 Proposed Rules: 1310...... 20822 802...... 23736 232...... 22250 4...... 18481 1311...... 22018 261...... 19676 32 CFR 740...... 23496 Proposed Rules: 272...... 20187 1...... 19114 114...... 23473 300...... 22250 16 CFR 11...... 19114 172...... 19392 302...... 22250 1228...... 21766 16...... 19114 716...... 18126 401...... 22250 1232...... 18111 129...... 19114 Proposed Rules: 711...... 19890, 20122 Proposed Rules: 130...... 21795 68...... 20893 721...... 22587 Ch. I ...... 20889 133...... 20891 Proposed Rules: 255...... 19709 886...... 18483, 18490 33 CFR 30...... 21340 305...... 20218 1308...... 19401 100...... 23220 52 ...... 18160, 18509, 19116, 453...... 20453 110...... 21773 19408, 20896, 21341, 21351, 1015...... 21118 22 CFR 117...... 19658, 19659 21796, 21797, 22378, 22381, 1112...... 18878 121...... 18445 165 ...... 18446, 19087, 20163, 22384, 22693, 22700, 23272, 1130...... 18878 123...... 18445 20593, 20596 23274, 23498 1240...... 18878 124...... 18445 328...... 22250 63...... 19412, 20342

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81 ...... 18509, 20896, 21351, 8340...... 20229 2...... 19117, 20967 842...... 21811 21797, 23274 4...... 20649 852...... 21811 147...... 20621, 20909 44 CFR 15...... 18901 180...... 20910, 22065 18...... 19117, 20967 64...... 18129, 21783 49 CFR 257...... 20625 328 ...... 20195, 22021, 22622 27...... 23287 320...... 21366 64...... 22099 Proposed Rules: 721 ...... 18173, 18179, 21366 45 CFR 76 ...... 18527, 20649, 21131 190...... 21140 191...... 21820 42 CFR 160...... 19392, 22024 48 CFR 164...... 19392, 22024 192...... 21820 24...... 21780 1168...... 22025 201...... 19681 194...... 21140 84...... 20598 202...... 19681 195...... 21140 Proposed Rules: 400...... 19230 204...... 19681, 19691 273...... 20466 1610...... 20648 405...... 19230 212...... 19681, 19692 299...... 21159 1630...... 20648 409...... 19230 229...... 19698 382...... 23670 410...... 19230 46 CFR 232 ...... 19681, 19692, 19699 383...... 23670 412...... 19230 252 ...... 19681, 19691, 19692, 384...... 23670 414...... 19230 30...... 21660 19698, 19699 390...... 23670 415...... 19230 150...... 21660 555...... 19393 392...... 23670 153...... 21660 417...... 19230 Proposed Rules: 1548...... 20234 418...... 19230 401...... 20088 5...... 23299 421...... 19230 403...... 20088 7...... 23299 50 CFR 422...... 19230 404...... 20088 10...... 21139 423...... 19230 530...... 23227 12...... 18181 10...... 21282 425...... 19230 17...... 22653 47 CFR 36...... 18181 440...... 19230 43...... 18181 92...... 18455 482...... 19230 1 ...... 18131, 22028, 22622, 52...... 18181 217...... 18459, 20201 510...... 19230 22804, 23486 203...... 19716 229...... 21079 Proposed Rules: 2...... 18131, 22804 204...... 19719 622 ...... 19396, 20611, 22043 409...... 20914 15...... 18131 205...... 19716 635 ...... 18152, 18153, 18812, 412...... 20625, 22065 18...... 18131 211 ...... 19716, 19721, 19722 21789 413...... 20914 22...... 18131 212...... 19716 648 ...... 18873, 20615, 22046, 418...... 20949 24...... 18131 217...... 19716 22374, 23229, 23240 431...... 21811 25...... 18131, 22804 219...... 19716 679...... 19397, 23746 433...... 21811 27...... 18131, 22804 225...... 19716 Proposed Rules: 435...... 21811 54...... 19892, 20429 228...... 19716 17 ...... 20967, 23302, 23608 441...... 21811 64...... 21785, 22029 232...... 19719 20...... 18532 482...... 20625 73 ...... 18131, 21076, 23486 236...... 19716 27...... 19418 483...... 21811 76 ...... 21076, 22642, 22652 237...... 19716 32...... 20030 510...... 22978 90...... 18131 246...... 19716 36...... 20030 1003...... 22979 95...... 18131 250...... 19716 71...... 20030 1005...... 22979 96...... 22622 252 ...... 19716, 19719, 19721, 622...... 20970, 22118 97...... 18131 19722 635...... 23315 43 CFR 101...... 18131, 22804 802...... 21811 648...... 19126, 19129 Proposed Rules: Proposed Rules: 809...... 21811 660...... 21372 420...... 20463 1 ...... 19117, 20967, 23287 841...... 21811 679...... 20657, 22703

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