Vol. 85 Thursday, No. 20 January 30, 2020
Pages 5299–5554
OFFICE OF THE FEDERAL REGISTER
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Contents Federal Register Vol. 85, No. 20
Thursday, January 30, 2020
Agricultural Marketing Service Defense Department RULES See Engineers Corps Fees for Rice Inspection Services and Removal of Specific NOTICES Fee References, 5299–5302 Meetings: Defense Science Board, 5403–5404 Agriculture Department Drug Enforcement Administration See Agricultural Marketing Service See Food and Nutrition Service RULES NOTICES Schedules of Controlled Substances: Agency Information Collection Activities; Proposals, Extension of Temporary Placement of cyclopentyl Submissions, and Approvals: fentanyl, isobutyryl fentanyl, para-chloroisobutyryl Improving Customer Experience, 5367–5368 fentanyl, para-methoxybutyryl fentanyl, and valeryl fentanyl in Schedule I of the Controlled Substances Antitrust Division Act, 5321–5323 PROPOSED RULES NOTICES Schedules of Controlled Substances: Changes under the National Cooperative Research and Placement of cyclopentyl fentanyl, isobutyryl fentanyl, Production Act: para-chloroisobutyryl fentanyl, para-methoxybutyryl CHEDE–8, 5477 fentanyl, and valeryl fentanyl into Schedule I, 5356– Digital Manufacturing Design Innovation Institute, 5478 5361 Integrated Photonics Institute for Manufacturing Innovation Operating under the Name of the Education Department American Institute for Manufacturing Integrated NOTICES Photonics, 5477–5478 Agency Information Collection Activities; Proposals, National Fire Protection Association, 5477 Submissions, and Approvals: Application and Employment Certification for Public Centers for Disease Control and Prevention Service Loan Forgiveness, 5405–5406 NOTICES Credit Enhancement for Charter School Facilities Meetings: Program, 5405 Community Preventive Services Task Force, 5439–5440 Applications for New Awards: Disease, Disability, and Injury Prevention and Control Alaska Native and Native Hawaiian-Serving Institutions Special Emphasis Panel, 5438–5441 Program, 5407–5411 National Center for Health Statistics, ICD–10 Meetings: Coordination and Maintenance Committee, 5440– National Advisory Council on Indian Education, 5406– 5441 5407
Children and Families Administration Employment and Training Administration RULES NOTICES Secretarial Determination to Lower Head Start Center-Based Agency Information Collection Activities; Proposals, Service Duration Requirement, 5332–5334 Submissions, and Approvals: NOTICES Interstate Arrangement for Combining Employment and Agency Information Collection Activities; Proposals, Wages, 5478–5479 Submissions, and Approvals: National Human Trafficking Training and Technical Energy Department Assistance Center Evaluation Package, 5442–5443 See Federal Energy Regulatory Commission Engineers Corps Commerce Department NOTICES See Foreign-Trade Zones Board Meetings: See International Trade Administration Inland Waterways Users Board, 5404–5405 See National Oceanic and Atmospheric Administration See Patent and Trademark Office Environmental Protection Agency RULES Commodity Futures Trading Commission Air Quality State Implementation Plans; Approvals and NOTICES Promulgations: Agency Information Collection Activities; Proposals, Montana; State Implementation Plan Revisions for Open Submissions, and Approvals, 5401–5403 Burning, 5327–5330 NOTICES Community Living Administration Agency Information Collection Activities; Proposals, NOTICES Submissions, and Approvals: Agency Information Collection Activities; Proposals, Fine Particulate Matter (PM2.5) National Ambient Air Submissions, and Approvals: Quality Standards State Implementation Plan Development Disabilities State Plan, 5443 Requirements Rule, 5428–5429
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NSPS for Phosphate Rock Plants, 5427 Gridflex Energy, LLC, 5425–5426 Meetings: Iroquois Gas Transmission System, L.P., 5423–5424 Mobile Sources Technical Review Subcommittee, 5427– Upper Peninsula Power Co., 5416–5417 5428 Combined Filings, 5411–5412, 5417–5418, 5425 Release of a Final Document Related to the Review of the Environmental Impact Statements; Availability, etc.: National Ambient Air Quality Standards for Particulate Magnolia LNG, LLC; Magnolia LNG Production Capacity Matter, 5429–5430 Amendment, 5424–5425 Environmental Review: Federal Aviation Administration Rover Pipeline, LLC; Wick Meter and Regulator Station RULES Project, 5415 Airworthiness Directives: Initial Market-Based Rate Filings Including Requests for Airbus SAS Airplanes, 5308–5313 Blanket Section 204 Authorizations: Dassault Aviation Airplanes, 5313–5316 Outlaw Wind Project, LLC, 5423 The Boeing Company Airplanes, 5304–5307 Order on Intent to Revoke Market-Based Rate Authority: Amendment of Class E Airspace: Electric Quarterly Reports; Mint Energy, LLC; Huntsville, AL, 5318–5320 Westmoreland Partners; et al., 5414–5415 Amendment of the Class D and Class E Airspace: Staff Attendance: Meridian, MS, 5316–5318 North American Electric Reliability Corp., 5426 Amendment of VOR Federal Airways V–148, V–177, and Termination of License by Implied Surrender: V–345: PB Energy, Inc., 5415–5416 Vicinity of Ely, MN, and Hayward, WI, 5320–5321 PROPOSED RULES Federal Maritime Commission Amendment of Class D and E Airspace: NOTICES Dallas-Fort Worth, Fort Worth, and Stephenville, TX, Agreements Filed, 5437–5438 5343–5346 Federal Motor Carrier Safety Administration Amendment of Class E Airspace: NOTICES Ada, OK, 5352–5354 Hours of Service of Drivers; Exemption Applications: Cadiz, Caldwell, and Cambridge, OH, 5342–5343 McKee Foods Transportation, LLC, 5532–5533 Coffeyville, KS, 5349–5350 Parts and Accessories Necessary for Safe Operation; Ely, MN, 5354–5355 Exemption Applications: McAlester, Henryetta, and Poteau, OK, 5350–5352 Robert Bosch, LLC and Mekra Lang North America, LLC, Sweetwater, TX, 5346–5347 5534–5535 Establishment of Class E Airspace: Qualification of Drivers; Exemption Applications: Owyhee, NV, 5348–5349 Hearing, 5533–5534 Federal Communications Commission Federal Railroad Administration PROPOSED RULES NOTICES Petitions for Reconsideration of Action in Rulemaking Petition for Waiver of Compliance, 5535–5538 Proceeding, 5366 Program Approval: NOTICES Norfolk Southern Railway Co., 5536 Agency Information Collection Activities; Proposals, Submissions, and Approvals, 5430–5431, 5436–5437 Federal Reserve System Connect America Fund; Developing a Unified Intercarrier NOTICES Compensation Regime, 5431–5436 Change in Bank Control: Meetings: Acquisitions of Shares of a Bank or Bank Holding Disability Advisory Committee, 5431 Company, 5438 Federal Deposit Insurance Corporation Federal Transit Administration RULES NOTICES Regulatory Capital Rule: Fiscal Year 2020 Competitive Funding Opportunity: Capital Simplification for Qualifying Community Banking Grants for Buses and Bus Facilities Program, 5538–5544 Organizations; Corrections, 5303–5304 Passenger Ferry Grant Program, 5544–5549
Federal Emergency Management Agency Food and Drug Administration NOTICES NOTICES Agency Information Collection Activities; Proposals, Agency Information Collection Activities; Proposals, Submissions, and Approvals: Submissions, and Approvals, 5446–5447 Public Assistance Customer Satisfaction Surveys, 5461– Guidance: 5462 Chemistry, Manufacturing, and Control Information for Human Gene Therapy Investigational New Drug Federal Energy Regulatory Commission Applications, 5447–5448 NOTICES Human Gene Therapy for Hemophilia, 5444–5445 Agency Information Collection Activities; Proposals, Human Gene Therapy for Rare Diseases, 5451–5452 Submissions, and Approvals, 5418–5423 Human Gene Therapy for Retinal Disorders, 5454–5455 Application: Interpreting Sameness of Gene Therapy Products Under Cornell Engineers for a Sustainable World, 5426–5427 the Orphan Drug Regulations, 5445–5446 Cornell University, 5412–5413 Long Term Follow-Up After Administration of Human Duke Energy Carolinas, LLC, 5413–5414 Gene Therapy Products, 5452–5454
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Testing of Retroviral Vector-Based Human Gene Therapy Interior Department Products for Replication Competent Retrovirus See Indian Affairs Bureau During Product Manufacture and Patient Follow-up, See National Park Service 5448–5450 Requests for Nominations: Internal Revenue Service Voting Members for the Patient Engagement Advisory RULES Committee, 5450–5451 Return Due Date and Extended Due Date Changes, 5323– 5327 Food and Nutrition Service NOTICES International Trade Administration Request for Information: NOTICES Special Supplemental Nutrition Program for Women, Antidumping or Countervailing Duty Investigations, Orders, Infants and Children National Universal Product or Reviews: Code Database Next Steps, 5368–5369 Carbazole Violet Pigment 23 from India, 5394–5396 Summer Food Service Program: Certain Fabricated Structural Steel from Canada, 5387– 2020 Reimbursement Rates, 5369–5372 5390 Certain Fabricated Structural Steel from Mexico, 5381– Foreign-Trade Zones Board 5384 NOTICES Certain Fabricated Structural Steel from the People’s Authorization of Production Activity: Republic of China, 5384–5387 Caterpillar, Inc., Foreign-Trade Zone 151, Calhoun/ Determination of Sales at Less Than Fair Value: Victoria Counties, TX, 5372 Certain Fabricated Structural Steel from Canada, 5373– Proposed Production Activity: 5376 PPC Broadband, Inc., Foreign-Trade Zone 90, Syracuse, Certain Fabricated Structural Steel from Mexico, 5390– NY, 5372–5373 5394 Reorganization under Alternative Site Framework: Certain Fabricated Structural Steel from the People’s Foreign-Trade Zone 280, Caldwell, ID, 5372 Republic of China, 5376–5381
General Services Administration International Trade Commission RULES NOTICES Rules of Procedure of the Civilian Board of Contract Investigations; Determinations, Modifications, and Rulings, Appeals; Technical Amendment, 5334–5335 etc.: Certain Blow-Molded Bag-In Container Devices, Government Accountability Office Associated Components, and End Products NOTICES Containing or Using Same, 5476–5477 Request for Nominations: Physician-Focused Payment Model Technical Advisory Justice Department Committee, 5438 See Antitrust Division See Drug Enforcement Administration Health and Human Services Department See Centers for Disease Control and Prevention Labor Department See Children and Families Administration See Employment and Training Administration See Community Living Administration NOTICES See Food and Drug Administration Agency Information Collection Activities; Proposals, See Health Resources and Services Administration Submissions, and Approvals: See National Institutes of Health Labor Standards for the Registration of Apprenticeship RULES Program, 5480–5481 Guidelines for Determining the Probability of Causation Section 503 of the Rehabilitation Act of 1973, as under the Energy Employees Occupational Illness Amended, 5479–5480 Compensation Program Act of 2000; Technical VETS/USERRA/VP (VETS–1010 Form), 5481–5482 Amendments, 5330–5332 Vietnam Era Veterans’ Readjustment Assistance Act, as Amended, 5482–5483 Health Resources and Services Administration NOTICES Management and Budget Office Agency Information Collection Activities; Proposals, NOTICES Submissions, and Approvals: Agency Information Collection Activities; Proposals, Nurse Corps Loan Repayment Program, 5455–5456 Submissions, and Approvals: Improving and/or Reforming Regulatory Enforcement and Homeland Security Department Adjudication, 5483–5484 See Federal Emergency Management Agency National Aeronautics and Space Administration Indian Affairs Bureau NOTICES NOTICES Intent to Grant Partially Exclusive License, 5484–5485 Environmental Impact Statements; Availability, etc.: Arrow Canyon Solar Project on the Moapa River Indian National Credit Union Administration Reservation, Clark County, NV, 5467–5469 PROPOSED RULES Indian Entities Recognized and Eligible to Receive Services, Combination Transactions with Non-Credit Unions; Credit 5462–5467 Union Asset Acquisitions, 5336–5342
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National Institutes of Health Railroad Retirement Board NOTICES NOTICES Meetings: Agency Information Collection Activities; Proposals, Center for Scientific Review, 5459–5460 Submissions, and Approvals, 5488–5489 National Cancer Institute, 5456–5457, 5459 National Eye Institute, 5458 Securities and Exchange Commission National Institute of Allergy and Infectious Diseases, NOTICES 5457–5460 Self-Regulatory Organizations; Proposed Rule Changes: National Institute of Arthritis and Musculoskeletal and Financial Industry Regulatory Authority, Inc., 5516–5519 Skin Diseases, 5460–5461 LCH SA, 5489–5491 National Institute of Dental and Craniofacial Research, Nasdaq PHLX, LLC, 5525–5531 5458 New York Stock Exchange, LLC, 5511–5513 National Institute on Aging, 5457 NYSE Arca, Inc., 5493–5500 National Institute on Alcohol Abuse and Alcoholism, Securities Investor Protection Corp., 5513–5516, 5519– 5458–5459 5525 National Institute on Drug Abuse, 5457, 5460 The Nasdaq Stock Market, LLC, 5500 The Options Clearing Corp., 5491–5493, 5500–5511 National Oceanic and Atmospheric Administration NOTICES Small Business Administration Endangered and Threatened Species: RULES Recovery Plans, 5396–5397 National Defense Authorization Acts, Recovery Take of Anadromous Fish, 5397–5401 Improvements for Small Entities after Disaster Act, and Other Small Business Government Contracting; National Park Service Correction, 5304 NOTICES Tennessee Valley Authority Agency Information Collection Activities; Proposals, Submissions, and Approvals: NOTICES Historic Preservation Certification Application, 5474– Environmental Impact Statements; Availability, etc.: 5476 North Alabama Utility-Scale Solar, 5531–5532 National Park Service Background Clearance Initiation Transportation Department Request, 5472–5473 National Park Service Concessions, 5469–5472 See Federal Aviation Administration National Park Service Lost and Found Report, 5473–5474 See Federal Motor Carrier Safety Administration See Federal Railroad Administration See Federal Transit Administration National Science Foundation See Pipeline and Hazardous Materials Safety NOTICES Administration Agency Information Collection Activities; Proposals, Submissions, and Approvals, 5485–5486 Treasury Department Meetings; Sunshine Act, 5486–5487 See Internal Revenue Service NOTICES Nuclear Regulatory Commission Agency Information Collection Activities; Proposals, NOTICES Submissions, and Approvals, 5550–5554 Agency Information Collection Activities; Proposals, Agency Information Collection Activities; Proposals, Submissions, and Approvals: Submissions, and Approvals: Request for Contractor Assignments, 5487–5488 Treasury International Capital Forms BC, BL–1, BL–2, BQ–1, BQ–2, and BQ–3, 5552–5553 Patent and Trademark Office PROPOSED RULES Facilitating the Use of WIPO’s ePCT System to Prepare Reader Aids International Applications for Filing with the United Consult the Reader Aids section at the end of this issue for States Receiving Office, 5362–5366 phone numbers, online resources, finding aids, and notice of recently enacted public laws. Pipeline and Hazardous Materials Safety Administration To subscribe to the Federal Register Table of Contents NOTICES electronic mailing list, go to https://public.govdelivery.com/ Meetings: accounts/USGPOOFR/subscriber/new, enter your e-mail Pipeline Research and Pipeline Research Forum, 5549– address, then follow the instructions to join, leave, or 5550 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.
7 CFR 868...... 5299 12 CFR 324...... 5303 Proposed Rules: 708a...... 5336 741...... 5336 13 CFR 126...... 5304 14 CFR 39 (4 documents) ...5304, 5308, 5310, 5313 71 (3 documents) ...5316, 5318, 5320 Proposed Rules: 71 (8 documents) ...5342, 5343, 5346, 5348, 5349, 5350, 5352, 5354 21 CFR 1308...... 5321 Proposed Rules: 1308...... 5356 26 CFR 1...... 5323 31...... 5323 37 CFR Proposed Rules: 5...... 5362 40 CFR 52...... 5327 42 CFR 81...... 5330 45 CFR 1302...... 5332 47 CFR Proposed Rules: 54...... 5366 48 CFR 6101...... 5334 6103...... 5334 6104...... 5334 6105...... 5334
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Rules and Regulations Federal Register Vol. 85, No. 20
Thursday, January 30, 2020
This section of the FEDERAL REGISTER user-fee calculations used in other AMS calculate the fee rates also includes the contains regulatory documents having general programs for rice inspection services cost of building and maintaining an applicability and legal effect, most of which beginning in FY 2022. operating reserve, as required by AMS. are keyed to and codified in the Code of DATES: Effective January 30, 2020, and Reserves are held to meet financial Federal Regulations, which is published under obligations in case of program closure or 50 titles pursuant to 44 U.S.C. 1510. applicable beginning January 1, 2020. FOR FURTHER INFORMATION CONTACT: other unexpected events. The Code of Federal Regulations is sold by Denise Ruggles, FGIS Executive Program AMS invited comments on the the Superintendent of Documents. Analyst, AMS, USDA; Telephone: (816) proposed rule identifying changes to the 659–8406; Email: Denise.M.Ruggles@ FGIS user fees for rice inspection and DEPARTMENT OF AGRICULTURE usda.gov. weighing services (84 FR 45439). AMS SUPPLEMENTARY INFORMATION: The AMA received no comments. Agricultural Marketing Service (7 U.S.C. 1621–1638) authorizes the The fees for rice inspection services Federal Grain Inspection Service (FGIS) were last revised in 2007 (72 FR 1931). 7 CFR Part 868 to provide official inspection and The fee schedule at 7 CFR 868.91 [Doc. No. AMS–FGIS–18–0088] weighing services—on a user-fee basis— provides for fee increases at set for rice (7 U.S.C. 1622(h)). The AMA intervals, the most recent taking effect RIN 0581–AD85 provides for the assessment and in October 2010 for the 2011 fiscal year collection of reasonable fees from the and beyond. Although fees have not Fees for Rice Inspection Services and users of the services to cover, as nearly increased since then, the current fee Removal of Specific Fee References as practicable, the costs of the services structure has generated a recurring AGENCY: Agricultural Marketing Service, rendered. AMS receives no directly annual operating surplus for several USDA. appropriated funds to provide years, resulting in an estimated reserve ACTION: Final rule. inspection and weighing services. AMS balance at the end of FY 2019 that ability to provide these services depend would cover 21 months of rice SUMMARY: This final rule revises the on user fees. inspection program expenses, exceeding regulations governing the sampling, The fees reflect direct and indirect AMS’s target of maintaining funds to inspection, weighing, and certification costs of providing services. Direct costs cover 3 to 6 months’ expenses. of rice performed under authority of the include employee salaries and benefits, Estimated monthly costs to operate the Agricultural Marketing Act of 1946 and certain operating expenses, such as rice inspection program in FY 2019 are (AMA), as amended, by decreasing fees travel. Indirect overhead costs include $457,000. Thus, AMS would consider by 20 percent for fiscal year (FY) 2020 expenses related to FGIS and AMS an operating reserve of between $1.37 and by another 20 percent for FY 2021. activities supporting the services million and $2.74 million (3 and 6 times These revisions are necessary to lower provided to the industry, including the monthly operating cost, the balance in the program’s operating administrative and supervisory respectively) at the end of FY 2019 to be reserve to a level adequate to cover three expenses, rent, communication, appropriate. Financial data for the rice to six months’ expenses. AMS is utilities, contractual services, supplies, inspection program for fiscal years 2015 implementing the standardized AMS and equipment. The formula used to through 2019 is reviewed in Table 1.
TABLE 1—RICE PROGRAM FINANCIAL ANALYSIS [Millions of Dollars] *
FY 15 FY 16 FY 17 FY 18 FY 19 **
Revenue ...... $6.93 $5.79 $5.84 $5.50 $5.49 Obligations ...... 5.13 5.36 5.44 5.39 5.48 Annual Surplus or (Deficit) ...... 1.80 0.43 0.40 0.11 0.01 Operating Reserve—running balance ...... 8.45 8.88 9.28 9.38 9.39 * Figures may not sum due to rounding and adjustments of prior year obligations. ** FY 2019 values are projections.
As illustrated by Table 1, even though AMS addresses the surplus by Department of Agriculture (USDA) revenues have generally declined due to reducing fees for rice inspection goals. varying requests for service and services by 20 percent across the board The rates in this rule are for Federal increased efficiencies, and obligations for FY 2020 and by another 20 percent inspection services only. Third-party for FY 2021. AMS expects that reducing have generally increased over the last inspection service providers establish five years due to inflation and costs of fees in this manner would gradually their rates independently. living adjustments, year-after-year reduce the balance in the reserve fund surpluses have continued to increase. while also allowing FGIS to continue Fees for fiscal years 2020 and 2021 are The result is an operating reserve making strategic operational shown in Tables 2 and 3 below: running balance exceeding the range expenditures to meet industry AMS deems appropriate. expectations and achieve United States
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TABLE 2—HOURLY RATES/UNIT RATE PER CWT
Regular Nonregular 1 workday workday Service (Monday– (Sunday and Saturday) Holiday)
FY 2020 (Effective 01/01/2020): Contract (per hour per Service representative) ...... $49.40 $68.50 Noncontract (per hour per Service representative) ...... 60.20 82.90
Export Port Services (per hundredweight) 2 ...... 0.059
FY 2021 (Effective 10/01/2020): Contract (per hour per Service representative) ...... 39.50 54.80 Noncontract (per hour per Service representative) ...... 48.20 66.30
Export Port Services (per hundredweight) 2 ...... 0.047
TABLE 3—UNIT RATES SERVICE 3
FY 2020 FY 2021 Inspection for quality (per lot, sublot, or sample inspection) effective effective 01/01/2020 10/01/2020
(a) Rough rice ...... $37.80 $30.20 (b) Brown rice for processing ...... 32.50 26.00 (c) Milled rice ...... 23.40 18.70 Factor analysis for any single factor (per factor): (a) Milling yield (per sample) (Rough or Brown rice) ...... 29.30 23.40 (b) All other factors (per factor) (all rice) ...... 14.10 11.30 Total free and fatty acid ...... 45.80 36.60 Stowage Examination (service-on-request): (a) Ship (per stowage space) (minimum 5 spaces per ship) ...... 40.40 32.30 (b) Subsequent ship examination (same as original) (minimum 3 spaces per ship) ...... 40.40 32.30 (c) Barge (per examination) ...... 32.40 25.90 (d) All other carriers (per examination) ...... 12.40 9.90
For FY 2022 and beyond, AMS will during the year. AMS believes this programs, AMS would perform financial determine rice inspection service fees action for rice would help FGIS adjust analyses each year to determine whether by using the standardized formulas the rice inspection reserve account as the current fees are adequate to recover AMS has established for calculating necessary and provide its customers the costs incurred by providing rice user fees for Cotton, Dairy, Fruits and with information they need for planning inspection services. AMS would use Vegetables, Meat and Livestock, Poultry, purposes. Once the reserve balance has historical or prior year cost and Science and Technology, and Tobacco. reached an appropriate level, AMS workload data, along with applicable Established in 2014 (79 FR 67313), the anticipates that the standardized projections to generate estimates of standardized method enables AMS to formula for fee rates will appropriately future obligations and revenues. On the use current information about resource account for increases in the actual costs bases of these analyses and formulas, needs and projected costs of providing of providing inspection services. AMS would determine the rates services to update rates for services on Currently, 7 CFR 868.91—Fees for necessary to sustain rice inspection an annual basis, thus better avoiding certain Federal rice inspection program services. Using the formulas to unexpected financial shortfalls or services—provides the fees for rice calculate the fees, and reviewing the unintended reserve surpluses. AMS inspections. Section 868.91 lists the fees fees on an annual basis, would more announces the fees pertaining to all the in two tables: Hourly rates or per unit accurately reflect the actual cost of AMS inspection-related services for the rates per hundredweight for contract providing inspection services each year coming year annually through a notice and noncontract services, and unit rates and would provide greater transparency in the Federal Register by the preceding for inspecting, analyzing, or providing and predictability to the rice industry. June 1. AMS posts the fees on the other related services. The tables give AMS would publish the fees for each Agency’s website for customer reference annual rates effective in 2007, 2008, upcoming fiscal year in the annual AMS 2009, and 2010. The current rates have user-fee notice in the Federal Register 1 Original and appeal inspection services include: by the preceding June 1. The yearly Sampling, grading, weighing, and other services not been adjusted since October 1, 2010. requested by the applicant when performed at the AMS is removing the two tables from notice would include both the per-hour applicant’s facility. § 868.91 for FY 2020. AMS will publish rates and the per-unit rates. Updated 2 Services performed at export port locations on instead reduced fees—as described in fees schedules would no longer appear lots at rest. Tables 2 and Table 3 above—on the in the Code of Federal Regulations but 3 Fees apply to determinations (original or appeals) for kind, class, grade, factor analysis, equal AMS website for FY 2020 and FY 2021. would be available on the AMS website. to type, milling yield, or any other quality For FY 2022 and beyond, AMS adds Calculations designation as defined in the U.S. Standards for a new § 868.91(b) specifying the Rice or applicable instructions, whether performed singly or in combination at other than the formulas for calculating rice inspection AMS will base salary, hours, and most applicant’s facility. fees on an annual basis. As with other factors used in the calculations on the
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prior year’s actual costs, workload data, As a conforming change, AMS a larger fee rate decrease for FY 2020 projection of expenses impacting removes the language in § 868.92(a)(2)— only. Ultimately, AMS determined that program costs, cost of living increase, Explanation of service fees and the approach of making smaller—but and inflation. AMS would base cost of additional fees, which makes specific still significant—reductions two years in living increase and inflation factors on reference to the inclusion of travel a row before transitioning to the the most recent economic data released expenses in the current rice inspection standardized fee calculations would be by the Office of Management and fee calculations, as that language would the alternative least disruptive to the Budget (OMB) for budget development be obsolete. industry while moving toward desirable reserve levels. AMS expects the changes purposes. AMS would round the final Effective Date rates up to make the amounts divisible to benefit the rice industry by reducing by the quarter hour (15 minutes). Under This is a substantive rule that relieves rates by 20% for each of the next two the rate formulas, the minimum charge restrictions and, pursuant to the years and then adjusting rates as needed for services covered by the inspection provisions of 5 U.S.C. 553, may be made annually thereafter to reflect actual fee rates would be for 15 minutes. As effective less than 30 days after expenses related to rice inspections. explained later in this document, the publication in the Federal Register. Under the rule, rice inspection service applicant requesting inspection service Retroactive implementation of this rule users would likely enjoy further savings would be charged travel costs on an is necessary to provide relief to those since most inspection sites are near actual basis. AMS chose to use these persons who are adversely affected by FGIS field offices and charges for travel formulas for rice inspection fees, so they being assessed a user fee rate higher will be based on actual expenses rather would be consistent with the formulas than would be collected under this rule. than the standard flat amount used agency wide in other AMS Making this rule effective retroactively incorporated into the current fee rates. programs. will allow interested producers and AMS does not expect the rule to provide others in the marketing chain to benefit Currently, some rice inspection any environmental, public health, or from the reduced user fee assessment service fees are charged on a per hour safety benefits. AMS has not identified immediately. Therefore, the basis, and some are charged on a per any costs related to this action. Administrator of the Agricultural unit basis. AMS will continue providing Marketing Service has determined that Executive Order 12988 costs on both bases to maintain this rule should be effective continuity. As well, AMS would This rule has been reviewed under retroactively starting January 1, 2020. provide the specific amounts used to Executive Order 12988—Civil Justice calculate each year’s rates upon request. Executive Orders 12866, 13563, and Reform. This rule is not intended to have retroactive effect. This rule will AMS adds a new paragraph 13771 not preempt any State or local laws, § 868.91(b)(1) to include the formulas Executive Orders 12866—Regulatory regulations, or policies, unless they for calculating regular, overtime, and Planning and Review, and 13563— present an irreconcilable conflict with holiday fee rates for FY 2022 and Improving Regulation and Regulatory this rule. No administrative proceedings succeeding fiscal years. AMS further Review, direct agencies to assess all would be required before parties could adds a new paragraph § 868.91(b)(2) to costs and benefits of available regulatory file suit in court challenging the include the component formulas for alternatives and, if regulation is provisions of this rule. benefits, operating, and allowance for necessary, to select regulatory bad debt rates. approaches that maximize net benefits Congressional Review Act Finally, AMS adds a new (including potential economic, Pursuant to the Congressional Review § 868.91(b)(3), which specifies that AMS environmental, public health and safety Act (5 U.S.C. 801 et seq.), the Office of will use the most recently released OMB effects, distributive impacts, and Information and Regulatory Affairs economic data to generate the cost of equity). Executive Order 13563 designated this rule as not a major rule, living and inflation factors used in the emphasizes the importance of as defined by 5 U.S.C. 804(2). above formulas. quantifying both costs and benefits of reducing costs, harmonizing rules, and Regulatory Flexibility Analysis Travel Expense promoting flexibility. This rule does not Pursuant to the requirements set forth One factor that may have contributed meet the criteria of a significant in the Regulatory Flexibility Act (RFA) to the operating reserve buildup over regulatory action under Executive Order (5 U.S.C. 601–602), AMS has considered time is the incorporation of an 12866 as supplemented by Executive the economic impact of this action on allowance for travel expenses in the Order 13563. Therefore, OMB has not small entities. The purpose of the RFA current rice inspection fee rates that reviewed this rule under those Orders. is to fit regulatory actions to the scale of may not have reflected actual travel Additionally, because this rule does not businesses subject to such actions in costs. AMS addresses this by specifying meet the definition of a significant order that small businesses will not be in the fee calculation formulas that regulatory action under Executive Order unduly or disproportionately burdened. travel expenses related to providing 12866, it does not trigger the There are approximately 169 inspection services, such as commercial requirements contained in Executive applicants who receive rice inspection transportation costs, mileage, and per Order 13771. See OMB’s memorandum services. AMS estimates 42 percent of diem, will be based on actual travel titled ‘‘Interim Guidance Implementing these users would be considered small costs incurred to perform the service. Section 2 of the E.O. of January 30, businesses based on criteria established The fee rate calculations in § 868.91(b) 2017, titled ‘Reducing Regulation and by the Small Business Administration will specify that actual travel expenses Controlling Regulatory Costs’’’ (13 CFR 121.201) to differentiate for rice inspection services may be (February 2, 2017). between large and small business added to the cost of providing the AMS considered several alternatives entities. SBA uses the North American service, consistent with current practice to the changes in this rule, including Industry Classification System (NAICS) under most other AMS programs. This making larger decreases to the FY 2020 to categorize various industry change will be applicable to fee rates and FY 2021 rates to bring the reserve businesses. SBA defines small rice beginning in FY 2022. balance down more quickly or making farmers, NAICS code 111160, as those
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whose annual receipts do not exceed Paperwork Reduction Act and E- divided by direct hours, which is then $750,000 and small rice millers, NAICS Government Act multiplied by the next year’s percentage code 311212, as those with no more In compliance with the Paperwork of cost of living increase and then than 500 employees. Reduction Act of 1995 (44 U.S.C. multiplied by 1.5, plus the benefits rate, When the current rice inspection fees Chapter 35), the information collection plus the operating rate, plus an allowance for bad debt. If applicable, were set in 2007, an 18 percent increase and record keeping requirements of the actual travel expenses may also be was implemented to cover program rice inspection program have previously added to the cost of providing the deficits caused by increases in employee been approved by OMB under control number 0580–0013. No additional service. salaries and benefits, the replacement of (iii) Holiday rate. The Service’s total aging rice inspection equipment, and reporting, record keeping, or other compliance requirements would be inspection program personnel direct pay upgrading the information technology imposed as a result of this rule. divided by direct hours, which is then system used to generate certificates. The AMS is committed to complying with multiplied by the next year’s percentage increase also was intended to create the the E-Government Act (44 U.S.C. 3601, of cost of living increase and then operating reserve. However, as et seq.), to promote the use of the multiplied by 2, plus the benefits rate, explained earlier in this document, internet and other information plus the operating rate, plus an revenues have continued to exceed technologies to provide increased allowance for bad debt. If applicable, expenditures, indicating that an opportunities for citizen access to actual travel expenses may also be adjustment to the fee schedule is now Government information and services, added to the cost of providing the warranted. In addition, travel expenses and for other purposes. service. were built into the hourly and unit fees (2) For each year, based on previous List of Subjects in 7 CFR Part 868 currently charged by the program, year/historical actual costs, the resulting in higher than necessary Administrative practice and Administrator will calculate the revenues to cover the actual service procedure, Agricultural commodities. benefits, operating, and allowance for provided. For the reasons set out in the bad debt components of the regular, preamble, AMS amends 7 CFR part 868 overtime, and holiday rates as follows: Changes to the fees will reduce the as follows: (i) Benefits rate. The Service’s total cost of rice inspections by 20 percent for inspection program direct benefits costs all services in FY 2020 across the board, PART 868—GENERAL REGULATIONS divided by the total hours (regular, regardless of the business entity’s size, AND STANDARDS FOR CERTAIN overtime, holiday) worked, which is for a projected savings of approximately AGRICULTURAL COMMODITIES then multiplied by the next year’s $1.17 million to the industry. A further percentage of cost of living increase. ■ 20 percent reduction for FY 2021 will 1. The authority citation for part 868 Some examples of direct benefits are net approximately $2.13 million in continues to read as follows: health insurance, retirement, life savings to the industry. All entities Authority: 7 U.S.C. 1621–1627. insurance, and Thrift Savings Plan using rice inspection services, large and ■ 2. Revise § 868.91 to read as follows: (TSP) retirement basic and matching small, would be expected to benefit contributions. from reduced expenses for these § 868.91 Fees for certain Federal rice (ii) Operating rate. The Service’s total services. Savings would be inspection services. inspection program operating costs proportionate to the number of The fees for services in paragraph (a) divided by total hours (regular, inspection services an entity requests apply to Federal inspection services. overtime, and holiday) worked, which is each year. Use of standardized AMS Starting with fiscal year 2022, then multiplied by the percentage of user-fee rate calculations for FY 2022 calculations provided in paragraph (b) inflation. and beyond would benefit all inspection will be used to determine annual fee (iii) Allowance for bad debt rate. Total applicants, regardless of size, as fees rates. allowance for bad debt, divided by total (a) Fees for services are published on would more closely reflect the current hours (regular, overtime, holiday) the Service’s website. cost of inspections, and the fee worked. (b) For each fiscal year, starting with (3) The Administrator will use the calculation process would be more 2022, the Administrator will calculate transparent. Through its annual review, most recent economic factors released the rates for services, issue a public by the Office of Management and AMS would be able to monitor the notice, and publish fees on the Service’s Budget for budget development financial status of the rice inspection website with an effective date of purposes to derive the cost of living program to determine whether further October 1 of each year. expenses and percentage of inflation adjustments are necessary. (1) For each year, the Administrator factors used in the formulas in this AMS has determined this rule would will calculate the rates for services, per section. not have a significant economic impact hour per inspection program employee on a substantial number of entities as using the following formulas: § 868.92 [Amended] defined under the RFA because fewer (i) Regular rate. The Service’s total ■ 3. Amend § 868.92 by removing than half the applicants for rice inspection program personnel direct pay paragraph (a)(2) and redesignating inspection services meet the definition divided by direct hours, which is then paragraphs (a)(3) through (5) as of small entities. Further, rice multiplied by the next year’s percentage paragraphs (a)(2) through (4), inspection and weighing services are of cost of living increase, plus the respectively. benefits rate, plus the operating rate, provided upon request, and rice plus the allowance for bad debt rate. If Dated: January 21, 2020. industry businesses are under no applicable, actual travel expenses may Bruce Summers, obligation to use these services. also be added to the cost of providing Administrator, Agricultural Marketing Finally, USDA has not identified any the service. Service. relevant Federal rules that duplicate, (ii) Overtime rate. The Service’s total [FR Doc. 2020–01205 Filed 1–29–20; 8:45 am] overlap, or conflict with this rule. inspection program personnel direct pay BILLING CODE 3410–02–P
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FEDERAL DEPOSIT INSURANCE will be eligible to opt into the (D) The FDIC-supervised institution CORPORATION community bank leverage ratio has a leverage ratio of 5.0 percent or framework. Instruction 61 of the Federal greater; and 12 CFR Part 324 Register document resulted in the (E) The FDIC-supervised institution is RIN 3064–AE91 amendment of the entirety of paragraph not subject to any written agreement, (b) of 12 CFR 324.403, rather than order, capital directive, or prompt Regulatory Capital Rule: Capital modifying only § 324.403(b)(1), corrective action directive issued by the Simplification for Qualifying consistent with the intent of the FDIC pursuant to section 8 of the FDI Community Banking Organizations; agencies. Therefore, for the reasons set Act (12 U.S.C. 1818), the International Corrections out in the preamble of the Federal Lending Supervision Act of 1983 (12 Register document for the November 13, U.S.C. 3907), or the Home Owners’ Loan AGENCY: Federal Deposit Insurance 2019, final rule and in this document, Act (12 U.S.C. 1464(t)(6)(A)(ii)), or Corporation. the FDIC hereby makes the following section 38 of the FDI Act (12 U.S.C. ACTION: Correcting amendments. correcting amendments to 12 CFR 1831o), or any regulation thereunder, to 324.403(b). meet and maintain a specific capital SUMMARY: The Federal Deposit level for any capital measure. Insurance Corporation (FDIC) is List of Subjects in 12 CFR Part 324 (ii) Beginning on January 1, 2018 and correcting an interagency final rule that Administrative practice and thereafter, an FDIC-supervised appeared in the Federal Register on procedure, Banks, Banking, Capital institution that is a subsidiary of a Wednesday, November 13, 2019, adequacy, Reporting and recordkeeping covered BHC will be deemed to be well regarding Capital Simplification for requirements, State non-member banks, capitalized if the FDIC-supervised Qualifying Community Banking Savings associations. institution satisfies paragraphs Organizations. These corrections are Therefore, for the reasons set out in (b)(1)(i)(A) through (E) of this section necessary to standardize the language in the preamble, the FDIC hereby makes and has a supplementary leverage ratio the FDIC regulations with the the following correcting amendments to of 6.0 percent or greater. For purposes regulations of the other agencies that 12 CFR part 324: of this paragraph (b)(1)(ii), a covered issued the final rule. BHC means a U.S. top-tier bank holding DATES: Effective January 30, 2020. PART 324—CAPITAL ADEQUACY OF company with more than $700 billion in FOR FURTHER INFORMATION CONTACT: FDIC-SUPERVISED INSTITUTIONS total assets as reported on the FDIC: Benedetto Bosco, Chief, Capital company’s most recent Consolidated Policy Section, [email protected]; ■ 1. The authority citation for part 324 Financial Statement for Bank Holding Stephanie Lorek, Senior Capital Markets continues to read as follows: Companies (Form FR Y–9C) or more Policy Analyst, [email protected]; Dushan Authority: 12 U.S.C. 1815(a), 1815(b), than $10 trillion in assets under custody Gorechan, Financial Analyst, 1816, 1818(a), 1818(b), 1818(c), 1818(t), as reported on the company’s most [email protected]; Kyle McCormick, 1819(Tenth), 1828(c), 1828(d), 1828(i), recent Banking Organization Systemic Financial Analyst, kmccormick@ 1828(n), 1828(o), 1831o, 1835, 3907, 3909, Risk Report (Form FR Y–15). fdic.gov; Capital Markets Branch, 4808; 5371; 5412; Pub. L. 102–233, 105 Stat. (iii) A qualifying community banking Division of Risk Management 1761, 1789, 1790 (12 U.S.C. 1831n note); Pub. organization, as defined under § 324.12, L. 102–242, 105 Stat. 2236, 2355, as amended that has elected to use the community Supervision, (202) 898–6888; or Michael by Pub. L. 103–325, 108 Stat. 2160, 2233 (12 Phillips, Counsel, [email protected]; bank leverage ratio framework under U.S.C. 1828 note); Pub. L. 102–242, 105 Stat. § 324.12 shall be considered to have met Catherine Wood, Counsel, cawood@ 2236, 2386, as amended by Pub. L. 102–550, fdic.gov; Supervision Branch, Legal 106 Stat. 3672, 4089 (12 U.S.C. 1828 note); the capital ratio requirements for the Division, Federal Deposit Insurance Pub. L. 111–203, 124 Stat. 1376, 1887 (15 well capitalized capital category in Corporation, 550 17th Street NW, U.S.C. 78o–7 note). paragraph (b)(1)(i)(A) through (D) of this Washington, DC 20429. ■ section. 2. Section 324.403(b) is revised as (2) ‘‘Adequately capitalized’’ if it: SUPPLEMENTARY INFORMATION: On follows: (i) Has a total risk-based capital ratio November 13, 2019, the Office of the of 8.0 percent or greater; and Comptroller of the Currency (OCC), § 324.403 Capital measures and capital category definitions. (ii) Has a Tier 1 risk-based capital Board of Governors of the Federal ratio of 6.0 percent or greater; and Reserve System (Board), and the FDIC * * * * * (iii) Has a common equity tier 1 (collectively, the agencies) published a (b) Capital categories. For purposes of capital ratio of 4.5 percent or greater; final rule ‘‘Regulatory Capital Rule: section 38 of the FDI Act and this and Capital Simplification for Qualifying subpart, an FDIC-supervised institution (iv) Has a leverage ratio of 4.0 percent Community Banking Organizations.’’ 1 shall be deemed to be: or greater; and The final rule provides for a simple (1)(i) ‘‘Well capitalized’’ if: (v) Does not meet the definition of measure of capital adequacy for certain (A) Total Risk-Based Capital Measure: ‘‘well capitalized’’ in this section. community banking organizations, The FDIC-supervised institution has a (vi) Beginning January 1, 2018, an consistent with section 201 of the total risk-based capital ratio of 10.0 advanced approaches FDIC-supervised Economic Growth, Regulatory Relief, percent or greater; and institution will be deemed to be and Consumer Protection Act. Under (B) Tier 1 Risk-Based Capital Measure: ‘‘adequately capitalized’’ if it satisfies the final rule, depository institutions The FDIC-supervised institution has a paragraphs (b)(2)(i) through (v) of this and depository institution holding tier 1 risk-based capital ratio of 8.0 section and has a supplementary companies that have less than $10 percent or greater; and leverage ratio of 3.0 percent or greater, billion in total consolidated assets and (C) Common Equity Tier 1 Capital as calculated in accordance with meet other qualifying criteria, including Measure: The FDIC-supervised § 324.11. a leverage ratio of greater than 9 percent, institution has a common equity tier 1 (3) ‘‘Undercapitalized’’ if it: risk-based capital ratio of 6.5 percent or (i) Has a total risk-based capital ratio 1 84 FR 61776 (Nov. 13, 2019). greater; and that is less than 8.0 percent; or
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(ii) Has a Tier 1 risk-based capital DATES: Effective January 30, 2020. DEPARTMENT OF TRANSPORTATION ratio that is less than 6.0 percent; or FOR FURTHER INFORMATION CONTACT: (iii) Has a common equity tier 1 Federal Aviation Administration capital ratio that is less than 4.5 percent; Brenda Fernandez, Office of Policy, or Planning and Liaison, 409 Third Street 14 CFR Part 39 (iv) Has a leverage ratio that is less SW, Washington, DC 20416; (202) 205– than 4.0 percent. 7337; [email protected]. [Docket No. FAA–2019–0525; Product (v) Beginning January 1, 2018, an SUPPLEMENTARY INFORMATION: This is a Identifier 2019–NM–076–AD; Amendment advanced approaches FDIC-supervised correction to a final rule published 39–19824; AD 2020–01–18] institution will be deemed to be November 29, 2019 (84 FR 65647). ‘‘undercapitalized’’ if it has a RIN 2120–AA64 supplementary leverage ratio of less List of Subjects in 13 CFR Part 126 than 3.0 percent, as calculated in Airworthiness Directives; The Boeing accordance with § 324.11. Administrative practice and Company Airplanes (4) ‘‘Significantly undercapitalized’’ if procedure, Government procurement, it has: Penalties, Reporting and recordkeeping AGENCY: Federal Aviation (i) A total risk-based capital ratio that requirements, Small businesses. Administration (FAA), DOT. is less than 6.0 percent; or Correction ACTION: Final rule. (ii) A Tier 1 risk-based capital ratio that is less than 4.0 percent; or In FR Doc. 2019–25517, appearing on SUMMARY: The FAA is superseding (iii) A common equity tier 1 capital page 65647 in the Federal Register of Airworthiness Directive (AD) 2006–11– ratio that is less than 3.0 percent; or Friday, November 29, 2019, the 11, which applied to all The Boeing Company Model 757 airplanes. AD (iv) A leverage ratio that is less than following correction is made: 3.0 percent. 2006–11–11 required incorporating a (5) ‘‘Critically undercapitalized’’ if the § 126.601 [Corrected] new revision to the Airworthiness insured depository institution has a Limitations section of the Instructions ratio of tangible equity to total assets ■ 1. On page 65664, in the third column, for Continued Airworthiness to mandate that is equal to or less than 2.0 percent. remove instructions 17.a. and b. for certain repetitive inspections for fatigue * * * * * § 126.601(h)(1)(i) and (ii). cracking of principal structural elements Accordingly, 13 CFR part 126 is (PSEs). This AD retains those actions Federal Deposit Insurance Corporation. and requires revising the existing Dated at Washington, DC, on January 14, corrected by making the following correcting amendments: maintenance or inspection program, as 2020. applicable, to incorporate additional Annmarie H. Boyd, PART 126—HUBZONE PROGRAM new or more restrictive airworthiness Assistant Executive Secretary. limitations. This AD was prompted by [FR Doc. 2020–00776 Filed 1–29–20; 8:45 am] ■ 1. The authority citation for part 126 a determination that new or more BILLING CODE 6714–01–P continues to read as follows: restrictive airworthiness limitations are necessary. The FAA is issuing this AD Authority: 15 U.S.C. 632(a), 632(j), 632(p), to address the unsafe condition on these SMALL BUSINESS ADMINISTRATION 644 and 657a; Pub. L. 111–240, 24 Stat. 2504. products. § 126.601 [Amended] DATES: This AD is effective March 5, 13 CFR Part 126 2020. RIN 3245–AG86 ■ 2. In § 126.601: The Director of the Federal Register ■ a. Redesignate paragraph (i) as approved the incorporation by reference National Defense Authorization Acts of paragraph (d); of a certain publication listed in this AD 2016 and 2017, Recovery as of March 5, 2020. ■ b. Remove the paragraph heading Improvements for Small Entities After The Director of the Federal Register Disaster Act of 2015, and Other Small from newly redesignated paragraph (d); approved the incorporation by reference Business Government Contracting; and of certain other publications listed in Correction ■ c. Remove reserved paragraphs (e) this AD as of June 30, 2006 (71 FR through (h). AGENCY: U.S. Small Business 30278, May 26, 2006). Administration. § 126.619 [Amended] ADDRESSES: For service information ACTION: Final rule; correction; correcting identified in this final rule, contact amendment. ■ 3. In § 126.619, amend paragraphs Boeing Commercial Airplanes, (a)(3) and (4) by removing the phrase Attention: Contractual & Data Services SUMMARY: The U.S. Small Business ‘‘HUBZone contract’’ and adding in its (C&DS), 2600 Westminster Blvd., MC Administration (SBA or Agency) is place the word ‘‘contract’’. 110–SK57, Seal Beach, CA 90740–5600; correcting a final rule that appeared in phone: 562–797–1717; internet: https:// the Federal Register on November 29, Dated: January 9, 2020. www.myboeingfleet.com. You may view 2019. The final rule amended SBA’s Robb N. Wong, this service information at the FAA, regulations to implement several Associate Administrator, Government Transport Standards Branch, 2200 provisions of the National Defense Contracting and Business Development. South 216th St., Des Moines, WA. For Authorization Acts (NDAA) of 2016 and [FR Doc. 2020–00756 Filed 1–29–20; 8:45 am] information on the availability of this 2017 and the Recovery Improvements BILLING CODE 8026–03–P material at the FAA, call 206–231–3195. for Small Entities After Disaster Act of It is also available on the internet at 2015 (RISE Act), as well as to clarify https://www.regulations.gov by existing regulations. This document searching for and locating Docket No. corrects the final regulations. FAA–2019–0525.
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Examining the AD Docket no issues with the proposed AD. The FAA has not changed this AD requirements of the NPRM. in this regard. You may examine the AD docket on the internet at https:// Request To Clarify the Requirements of Request To Clarify the Alternative www.regulations.gov by searching for Paragraph (i) of the Proposed AD Method of Compliance (AMOC) and locating Docket No. FAA–2019– Provisions Delta Airlines (DAL) requested that 0525; or in person at Docket Operations American Airlines (AAL) requested between 9 a.m. and 5 p.m., Monday the FAA clarify the requirements of paragraph (i) of the proposed AD. DAL that, due to differences in verbiage through Friday, except Federal holidays. between the requirements of paragraphs The AD docket contains this final rule, mentioned that it had complied with the requirements of AD 2006–11–11 in the (i) and (j) of the proposed AD, and the regulatory evaluation, any paragraph (l) of the proposed AD, the comments received, and other year 2006. DAL then pointed out that it interprets the requirements of paragraph FAA clarify whether The Boeing information. The address for Docket Company ODA may approve alternative Operations is U.S. Department of (i) of the proposed AD to mean that once the NPRM is adopted as a final rule, any actions (e.g., inspections), intervals, or Transportation, Docket Operations, M– CDCCLs. 30, West Building Ground Floor, Room alternative actions, intervals, or critical design configuration control limitations The FAA agrees that clarification is W12–140, 1200 New Jersey Avenue SE, necessary. The Boeing Company ODA is (CDCCLs) will require approval of an Washington, DC 20590. able to approve AMOCs if they are AMOC. DAL expressed concern that within the authority delegated to them FOR FURTHER INFORMATION CONTACT: parties other than the FAA ACO branch by the FAA. It is likely that the FAA Chandraduth Ramdoss, Aerospace or the Boeing Company Organization will delegate some AMOC authority to Engineer, Airframe Section, FAA, Los Designation Authorization (ODA) might the Boeing Company ODA for this AD. Angeles ACO Branch, 3960 Paramount not be aware that AD 2006–11–11 had The FAA does not delegate AMOC Boulevard, Lakewood, CA 90712–4137; been superseded. Additionally, DAL authority for CDCCLs. The FAA has not phone: 562–627–5239; fax: 562–627– mentioned that the period of time changed this AD in this regard. 5210; email: chandraduth.ramdoss@ between adoption of a new rule and the faa.gov. effective date of a new rule is typically Request To Revise the Applicability for SUPPLEMENTARY INFORMATION: used to get all required documentation Supplemental Type Certificate (STC) updated. DAL then pointed out that ST01518SE Discussion operators attempt to incorporate newly Aviation Partners Boeing (APB) The FAA issued a notice of proposed adopted rules by the effective date of the requested that the FAA revise the rulemaking (NPRM) to amend 14 CFR new rule and would not be able to have proposed applicability to specify that part 39 to revise AD 2006–11–11, all of the related documentation STC ST01518SE affects the ability to Amendment 39–14615 (71 FR 30278, updated immediately upon adoption of accomplish the proposed actions. APB May 26, 2006) (‘‘AD 2006–11–11’’). AD the new rule. DAL recommended that a pointed out that STC ST01518SE 2006–11–11 applied to all The Boeing ‘‘grace period’’ be included in paragraph requires alternative actions or Company Model 757 airplanes. The (i) of the proposed AD by revising to inspection intervals for some of the new NPRM published in the Federal state that ‘‘. . . no alternative actions or updated tasks in Boeing 757 Register on July 25, 2019 (84 FR 35840). (e.g., inspections), intervals, or CDCCLs Maintenance Planning Data (MPD) The NPRM was prompted by a may be used after the effective date of Document, Section 9, Airworthiness determination that new or more this AD unless. . . .’’ Limitations (AWLs) and Certification restrictive airworthiness limitations are The FAA agrees to clarify. AMOCs Maintenance Requirements (CMRs), necessary. The NPRM proposed to provide an alternative method of D622N001–9, Revision October 2018. continue to require incorporating a new compliance to the methods required to APB also stated that certain inspections revision to the Airworthiness be used in the associated AD. An AMOC and inspection intervals for the Limitations section of the Instructions may only be approved after an AD has structural significant items (SSIs) for Continued Airworthiness to mandate been published and only after data are contained in APB 757–200 MPD certain repetitive inspections for fatigue provided to show that the proposed Supplements AP57.2–0604.2 and cracking of PSEs. The NPRM also solution is complete and addresses the AP57.2–0604.2–DTR, and for the SSIs proposed to require revising the existing unsafe condition. Therefore, once this contained in APB 757–300 MPD maintenance or inspection program, as AD is published, any person may Supplements AP57.3–0604.2 and applicable, to incorporate new or more request approval of an AMOC under the AP57.3–0604.2–DTR, are alternative to restrictive airworthiness limitations. provisions of paragraph (l) of this AD. those contained in the Boeing 757 The FAA is issuing this AD to address The FAA understands the operator’s Maintenance Planning Data (MPD) fatigue cracking of various PSEs; such choice to comply with the AD Document, Section 9, Airworthiness fatigue cracking could adversely affect requirements by the effective date, Limitations (AWLs) and Certification the structural integrity of these however, the effective date is not a Maintenance Requirements (CMRs), airplanes. deadline. The compliance time of the D622N001–9, Revision October 2018. required actions is within 18 months APB mentioned that it will revise the Comments after the effective date of this AD, which affected APB MPD supplements and The FAA gave the public the means that the compliance time starts apply for new AMOC(s) in accordance opportunity to participate in developing on the effective date. The operator’s with paragraph (l) of the proposed AD. this AD. The following presents the choice to do the required actions early APB also suggested that paragraph (c) of comments received on the NPRM and is commendable, but does not the proposed AD be redesignated as the FAA’s response to each comment. necessitate a grace period. Additionally, paragraph (c)(1) of this AD and add paragraph (l)(4) of this AD specifically paragraph (c)(2) to this AD to state that Support for the NPRM authorizes the use of previously installation of STC ST01518SE affects Boeing and United Airlines concurred approved AMOCs for AD 2006–11–11 the ability to accomplish the actions with the NPRM. FedEx stated that it has for the corresponding provisions of this required by this AD.
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The FAA concurs with the • Boeing 757 Maintenance Planning develop on products identified in this commenter. The FAA has redesignated Data (MPD) Document, Section 9, rulemaking action. paragraph (c) of the proposed AD as ‘‘Airworthiness Limitations and Regulatory Findings paragraph (c)(1) of this AD and added Certification Maintenance paragraph (c)(2) to this AD to state that Requirements,’’ Subsection B. of Boeing We have determined that this AD will installation of STC ST01518SE affects Document D622N001–9, Revision ‘‘May not have federalism implications under the ability to accomplish the actions 2003.’’ Executive Order 13132. This AD will required by this AD. Therefore, for • Boeing 757 Maintenance Planning not have a substantial direct effect on airplanes on which STC ST01518SE is Data (MPD) Document, Section 9, the States, on the relationship between installed, a ‘‘change in product’’ AMOC ‘‘Airworthiness Limitations and the national government and the States, approval request is necessary to comply Certification Maintenance or on the distribution of power and with the requirements of 14 CFR 39.17. Requirements,’’ Subsection B. of Boeing responsibilities among the various The FAA has also redesignated Document D622N001–9, Revision ‘‘June levels of government. paragraph (h) of the proposed AD as 2005.’’ For the reasons discussed above, I paragraph (h)(1) of this AD and added This service information is reasonably certify that this AD: paragraph (h)(2) of this AD to require available because the interested parties (1) Is not a ‘‘significant regulatory that, within 18 months after the have access to it through their normal action’’ under Executive Order 12866, effective date of this AD, airplanes with course of business or by the means (2) Will not affect intrastate aviation STC ST01518SE installed, must revise identified in the ADDRESSES section. in Alaska, and the existing maintenance or inspection (3) Will not have a significant program, as applicable, to incorporate a Costs of Compliance economic impact, positive or negative, supplemental program to address the The FAA estimates that this AD on a substantial number of small entities effect of STC ST01518SE, approved in affects 561 airplanes of U.S. registry. under the criteria of the Regulatory accordance with the procedures The FAA estimates the following costs Flexibility Act. specified in paragraph (l) of this AD. to comply with this AD. List of Subjects in 14 CFR Part 39 Additionally, the FAA emphasizes The retained and new actions Air transportation, Aircraft, Aviation that for any airplane that is modified by specified in this AD have the same cost safety, Incorporation by reference, an STC that affects any SSI inspections, for revising the existing maintenance or Safety. an AMOC approval request is necessary inspection program. The FAA has to comply with the requirements of 14 determined that revising the existing Adoption of the Amendment CFR 39.17. maintenance or inspection program Accordingly, under the authority Conclusion takes an average of 90 work-hours per delegated to me by the Administrator, operator, although the agency The FAA reviewed the relevant data, the FAA amends 14 CFR part 39 as recognizes that this number may vary considered the comments received, and follows: from operator to operator. In the past, determined that air safety and the the FAA has estimated that this action public interest require adopting this AD PART 39—AIRWORTHINESS takes 1 work-hour per airplane. Since with the changes described previously, DIRECTIVES operators incorporate maintenance or and minor editorial changes. We have inspection program changes for their ■ determined that these minor changes: 1. The authority citation for part 39 • Are consistent with the intent that affected fleet(s), the FAA has continues to read as follows: was proposed in the NPRM for determined that a per-operator estimate Authority: 49 U.S.C. 106(g), 40113, 44701. addressing the unsafe condition; and is more accurate than a per-airplane • Do not add any additional burden estimate. Therefore, the FAA estimates § 39.13 [Amended] the total cost per operator to be $7,650 ■ 2. The FAA amends § 39.13 by upon the public than was already × proposed in the NPRM. (90 work-hours $85 per work-hour). removing Airworthiness Directive (AD) The FAA also determined that these Authority for This Rulemaking 2006–11–11, Amendment 39–14615 (71 changes will not increase the economic FR 30278, May 26, 2006), and adding burden on any operator or increase the Title 49 of the United States Code the following new AD: specifies the FAA’s authority to issue scope of this AD. 2020–01–18 The Boeing Company: rules on aviation safety. Subtitle I, Related Service Information Under 1 Amendment 39–19824; Docket No. Section 106, describes the authority of FAA–2019–0525; Product Identifier CFR Part 51 the FAA Administrator. Subtitle VII, 2019–NM–076–AD. The FAA reviewed Boeing 757 Aviation Programs, describes in more (a) Effective Date Maintenance Planning Data (MPD) detail the scope of the Agency’s Document, Section 9, Airworthiness authority. This AD is effective March 5, 2020. Limitations (AWLs) and Certification The FAA is issuing this rulemaking (b) Affected ADs Maintenance Requirements (CMRs), under the authority described in This AD replaces AD 2006–11–11, D622N001–9, Revision October 2018. Subtitle VII, Part A, Subpart III, Section Amendment 39–14615 (71 FR 30278, May 26, This service information describes 44701, ‘‘General requirements.’’ Under 2006) (‘‘AD 2006–11–11’’). procedures for airworthiness limitations that section, Congress charges the FAA (c) Applicability for structural inspections, fuel tank with promoting safe flight of civil systems, safe life limits, and aircraft in air commerce by prescribing (1) This AD applies to all The Boeing certification maintenance requirements. regulations for practices, methods, and Company Model 757–200, –200PF, –200CB, and –300 series airplanes, certificated in any This AD also requires the following procedures the Administrator finds category. service information, which the Director necessary for safety in air commerce. (2) Installation of Supplemental Type of the Federal Register approved for This regulation is within the scope of Certificate (STC) ST01518SE affects the incorporation by reference as of June 30, that authority because it addresses an ability to accomplish the actions required by 2006 (71 FR 30278, May 26, 2006). unsafe condition that is likely to exist or this AD. Therefore, for airplanes on which
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STC ST01518SE is installed, a ‘‘change in ST01518SE, in accordance with the (m) Related Information product’’ alternative method of compliance procedures specified in paragraph (l) of this For more information about this AD, (AMOC) approval request is necessary to AD. contact Chandraduth Ramdoss, Aerospace comply with the requirements of 14 CFR Engineer, Airframe Section, FAA, Los 39.17. (i) No Alternative Actions, Intervals, or Critical Design Configuration Control Angeles ACO Branch, 3960 Paramount (d) Subject Limitations (CDCCLs) for Paragraph (g) of Boulevard, Lakewood, CA 90712–4137; Air Transport Association (ATA) of This AD phone: 562–627–5239; fax: 562–627–5210; America Code 28, Fuel; 53, Fuselage; 57, Except as required by paragraph (h) of this email: [email protected]. Wings. AD: After the existing maintenance or (n) Material Incorporated by Reference (e) Unsafe Condition inspection program has been revised as required by paragraph (g) of this AD, no (1) The Director of the Federal Register This AD was prompted by a determination alternative actions (e.g., inspections), approved the incorporation by reference that new or more restrictive airworthiness intervals, or CDCCLs may be used unless the (IBR) of the service information listed in this limitations are necessary. The FAA is issuing actions, intervals, and CDCCLs are approved paragraph under 5 U.S.C. 552(a) and 1 CFR this AD to address fatigue cracking of various as an alternative method of compliance part 51. principal structural elements (PSEs); such (AMOC) in accordance with the procedures (2) You must use this service information fatigue cracking could adversely affect the specified in paragraph (l) of this AD. as applicable to do the actions required by structural integrity of these airplanes. this AD, unless this AD specifies otherwise. (j) No Alternative Actions, Intervals, or (f) Compliance CDCCLs for Paragraph (h) of This AD (3) The following service information was approved for IBR on March 5, 2020. Comply with this AD within the After the existing maintenance or compliance times specified, unless already (i) Boeing 757 Maintenance Planning Data inspection program has been revised as done. (MPD) Document, Section 9, Airworthiness required by paragraph (h) of this AD, no Limitations (AWLs) and Certification (g) Retained Revision to the Maintenance or alternative actions (e.g., inspections), Maintenance Requirements (CMRs), Inspection Program, With No Changes intervals, or CDCCLs may be used unless the D622N001–9, Revision October 2018. actions, intervals, and CDCCLs are approved This paragraph restates the requirements of (ii) [Reserved] paragraph (h) of AD 2006–11–11, with no as an AMOC in accordance with the procedures specified in paragraph (l) of this (4) The following service information was changes. Within 36 months after June 30, approved for IBR on June 30, 2006 (71 FR 2006 (the effective date of AD 2006–11–11), AD. 30278, May 26, 2006). revise Section 9, ‘‘Airworthiness Limitations (k) Terminating Action for the Requirements (i) Boeing 757 Maintenance Planning Data and CMRs’’ of the Boeing 757 Maintenance of Paragraph (g) of This AD Planning Data (MPD) Document to Document, Section 9, ‘‘Airworthiness incorporate Subsection B. of Boeing Accomplishing the revision required by Limitations and Certification Maintenance Document D622N001–9, Revision ‘‘May paragraph (h) of this AD terminates the Requirements,’’ Subsection B. of Boeing 2003;’’ or Revision ‘‘June 2005;’’ as revision required by paragraph (g) of this AD. Document D622N001–9, Revision ‘‘May applicable. (l) Alternative Methods of Compliance 2003.’’ (ii) Boeing 757 Maintenance Planning Data (h) New Maintenance or Inspection Program (AMOCs) Document, Section 9, ‘‘Airworthiness Revision (1) The Manager, Los Angeles ACO Branch, Limitations and Certification Maintenance FAA, has the authority to approve AMOCs (1) Except for airplanes identified in Requirements,’’ Subsection B. of Boeing paragraph (h)(2) of this AD: Within 18 for this AD, if requested using the procedures found in 14 CFR 39.19. In accordance with Document D622N001–9, Revision ‘‘June months after the effective date of this AD, 2005.’’ revise the existing maintenance or inspection 14 CFR 39.19, send your request to your (5) For service information identified in program, as applicable, to incorporate the principal inspector or local Flight Standards this AD, contact Boeing Commercial information specified in Boeing 757 District Office, as appropriate. If sending Maintenance Planning Data (MPD) information directly to the manager of the Airplanes, Attention: Contractual & Data Document, Section 9, Airworthiness certification office, send it to the attention of Services (C&DS), 2600 Westminster Blvd., Limitations (AWLs) and Certification the person identified in paragraph (m) of this MC 110–SK57, Seal Beach, CA 90740–5600; Maintenance Requirements (CMRs), AD. Information may be emailed to: 9-ANM- phone: 562–797–1717; internet: https:// D622N001–9, Revision October 2018. The [email protected]. www.myboeingfleet.com. initial compliance time for doing the new or (2) Before using any approved AMOC, (6) You may view this service information updated tasks is at the time specified in notify your appropriate principal inspector, at the FAA, Transport Standards Branch, Boeing 757 Maintenance Planning Data or lacking a principal inspector, the manager 2200 South 216th St., Des Moines, WA. For (MPD) Document, Section 9, Airworthiness of the local flight standards district office/ information on the availability of this Limitations (AWLs) and Certification certificate holding district office. material at the FAA, call 206–231–3195. Maintenance Requirements (CMRs), (3) An AMOC that provides an acceptable (7) You may view this service information D622N001–9, Revision October 2018, or level of safety may be used for any repair, that is incorporated by reference at the within 18 months after the effective date of modification, or alteration required by this National Archives and Records AD if it is approved by The Boeing Company this AD, whichever occurs later. The Administration (NARA). For information on compliance time for doing the unchanged Organization Designation Authorization the availability of this material at NARA, tasks is at the time specified in Boeing 757 (ODA) that has been authorized by the email [email protected], or go to: https:// Maintenance Planning Data (MPD) Manager, Los Angeles ACO Branch, FAA, to www.archives.gov/federal-register/cfr/ibr- Document, Section 9, Airworthiness make those findings. To be approved, the Limitations (AWLs) and Certification repair method, modification deviation, or locations.html. Maintenance Requirements (CMRs), alteration deviation must meet the Issued on January 21, 2020. D622N001–9, Revision October 2018. certification basis of the airplane, and the Gaetano A. Sciortino, (2) For airplanes with STC ST01518SE approval must specifically refer to this AD. installed: Within 18 months after the (4) AMOCs approved previously for AD Deputy Director for Strategic Initiatives, Compliance & Airworthiness Division, effective date of this AD, revise the existing 2001–20–12, Amendment 39–12460 (66 FR Aircraft Certification Service. maintenance or inspection program, as 52492, October 16, 2001) and AD 2006–11– applicable, to incorporate a supplemental 11 are approved as AMOCs for the [FR Doc. 2020–01636 Filed 1–29–20; 8:45 am] program to address the effect of STC corresponding provisions of this AD. BILLING CODE 4910–13–P
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DEPARTMENT OF TRANSPORTATION and 5 p.m., Monday through Friday, Procedures relating to the undue except Federal holidays. activation of Alpha Protection (Alpha Federal Aviation Administration For the material incorporated by Prot) in the existing AFM after reference (IBR) in this AD, contact the accomplishing the modification or 14 CFR Part 39 EASA, Konrad-Adenauer-Ufer 3, 50668 replacement specified in AD 2017–16– Cologne, Germany; telephone +49 221 [Docket No. FAA–2019–1077; Product 12, Amendment 39–18989 (82 FR Identifier 2019–NM–204–AD; Amendment 89990 1000; email [email protected]; 40675, August 28, 2017) (‘‘AD 2017–16– 39–19818; AD 2020–01–12] internet www.easa.europa.eu. You may 12’’). The FAA is issuing this AD to find this IBR material on the EASA address this condition, which, under RIN 2120–AA64 website at https://ad.easa.europa.eu. certain conditions, could lead to the You may view this IBR material at the Airworthiness Directives; Airbus SAS incorrect application of the procedure FAA, Transport Standards Branch, 2200 by the flight crew, possibly resulting in Airplanes South 216th St., Des Moines, WA. For increased flight crew workload and AGENCY: Federal Aviation information on the availability of this consequent reduced control of the Administration (FAA), DOT. material at the FAA, call 206–231–3195. airplane. See the MCAI for additional ACTION: Final rule; request for It is also available in the AD docket on background information. comments. the internet at https:// www.regulations.gov by searching for Relationship Between This AD and AD 2017–16–12 SUMMARY: The FAA is adopting a new and locating Docket No. FAA–2019– airworthiness directive (AD) for all 1077. AD 2017–16–12 requires, among other actions, revising the AFM to incorporate Airbus SAS Model A318 series Examining the AD Docket airplanes; Model A319–111, –112, –113, procedures to advise the flight crew of –114, –115, –131, –132, and –133 You may examine the AD docket on emergency procedures for abnormal airplanes; Model A320–211, –212, –214, the internet at https:// Alpha Prot; and replacement of certain –216, –231, –232, and –233 airplanes; www.regulations.gov by searching for angle of attack (AOA) sensors with and Model A321–111, –112, –131, –211, and locating Docket No. FAA–2019– certain Thales C16291AA or C16291AB –212, –213, –231, and –232 airplanes. 1077; or in person at Docket Operations AOA sensors. AD 2017–16–12 also This AD was prompted by the absence between 9 a.m. and 5 p.m., Monday allows certain future approved of a requirement to remove a certain through Friday, except Federal holidays. acceptable parts as a method of Emergency Procedure in the existing The AD docket contains this AD, the compliance for certain actions. This AD Aircraft Flight Manual (AFM) after regulatory evaluation, any comments requires, for airplanes on which a accomplishing a certain modification or received, and other information. The certain modification or replacement is replacement. This AD requires, for street address for Docket Operations is done, revising the AFM by removing listed above. Comments will be airplanes on which a certain Emergency Procedures relating to the available in the AD docket shortly after modification or replacement is done, undue activation of Alpha Prot from the receipt. revising the AFM by removing a certain existing AFM. Accomplishment of this Emergency Procedure in the AFM, as FOR FURTHER INFORMATION CONTACT: AD terminates the AFM revision specified in a European Union Aviation Sanjay Ralhan, Aerospace Engineer, required by paragraph (j) of AD 2017– Safety Agency (EASA) AD, which is International Section, Transport 16–12 for that airplane only. incorporated by reference. The FAA is Standards Branch, FAA, 2200 South 216th St., Des Moines, WA 98198; Related IBR Material Under 1 CFR Part issuing this AD to address the unsafe 51 condition on these products. telephone and fax 206–231–3223; email [email protected]. EASA AD 2019–0309 describes DATES: This AD becomes effective SUPPLEMENTARY INFORMATION: procedures, for airplanes on which a February 14, 2020. certain modification or replacement The Director of the Federal Register Discussion (installation or replacement of certain approved the incorporation by reference The EASA, which is the Technical AOA sensors) is done, for revising the of a certain publication listed in this AD Agent for the Member States of the existing AFM by removing Emergency as of February 14, 2020. European Union, has issued EASA AD Procedures relating to the undue The FAA must receive comments on 2019–0309, dated December 19, 2019 activation of Alpha Prot from the this AD by March 16, 2020. (‘‘EASA AD 2019–0309’’) (also referred existing AFM. This material is ADDRESSES: You may send comments, to as the Mandatory Continuing reasonably available because the using the procedures found in 14 CFR Airworthiness Information, or ‘‘the interested parties have access to it 11.43 and 11.45, by any of the following MCAI’’), to correct an unsafe condition through their normal course of business methods: for all Airbus SAS Model A318 series or by the means identified in the • Federal eRulemaking Portal: Go to airplanes; Model A319–111, –112, –113, ADDRESSES section. https://www.regulations.gov. Follow the –114, –115, –131, –132, and –133 instructions for submitting comments. airplanes; Model A320–211, –212, –214, FAA’s Determination • Fax: 202–493–2251. –215, –216, –231, –232, and –233 This product has been approved by • Mail: U.S. Department of airplanes; and Model A321–111, –112, the aviation authority of another Transportation, Docket Operations, M– –131, –211, –212, –213, –231, and –232 country, and is approved for operation 30, West Building Ground Floor, Room airplanes. Model A320–215 airplanes in the United States. Pursuant to the W12–140, 1200 New Jersey Avenue SE, are not certified by the FAA and are not FAA’s bilateral agreement with the State Washington, DC 20590. included on the U.S. type certificate of Design Authority, the FAA has been • Hand Delivery: U.S. Department of data sheet; this AD therefore does not notified of the unsafe condition Transportation, Docket Operations, M– include those airplanes in the described in the MCAI referenced 30, West Building Ground Floor, Room applicability. above. The FAA is issuing this AD W12–140, 1200 New Jersey Avenue SE, This AD was prompted by the absence because the FAA evaluated all pertinent Washington, DC 20590, between 9 a.m. of a requirement to remove Emergency information and determined the unsafe
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condition exists and is likely to exist or this AD requirement is not limited to reasons stated above, the FAA finds that develop on other products of the same the section titled ‘‘Required Action(s) good cause exists for making this type design. and Compliance Time(s)’’ in the EASA amendment effective in less than 30 AD. Service information specified in days. Requirements of This AD EASA AD 2019–0309 that is required for Comments Invited This AD requires accomplishing the compliance with EASA AD 2019–0309 actions specified in EASA AD 2019– will be available on the internet at This AD is a final rule that involves 0309 described previously, as https://www.regulations.gov by requirements affecting flight safety, and incorporated by reference, except for searching for and locating Docket No. the FAA did not precede it by notice any differences identified as exceptions FAA–2019–1077 after the FAA final and opportunity for public comment. in the regulatory text of this AD. rule is published. The FAA invites you to send any Explanation of Required Compliance FAA’s Justification and Determination written relevant data, views, or Information of the Effective Date arguments about this AD. Send your comments to an address listed under the In the FAA’s ongoing efforts to An unsafe condition exists that ADDRESSES section. Include ‘‘Docket No. improve the efficiency of the AD requires the immediate adoption of this FAA–2019–1077; Product Identifier process, the FAA initially worked with AD without providing an opportunity 2019–NM–204–AD’’ at the beginning of Airbus and EASA to develop a process for public comments prior to adoption. your comments. The FAA specifically to use certain EASA ADs as the primary The FAA has found that the risk to the invites comments on the overall source of information for compliance flying public justifies waiving notice regulatory, economic, environmental, with requirements for corresponding and comment prior to adoption of this and energy aspects of this AD. The FAA FAA ADs. The FAA has since rule because it has been determined that will consider all comments received by coordinated with other manufacturers for airplanes on which a certain and civil aviation authorities (CAAs) to modification or replacement is done, the the closing date and may amend this AD use this process. As a result, EASA AD AFM procedure required by AD 2017– based on those comments. 2019–0309 will be incorporated by 16–12 if not removed, could, under The FAA will post all comments, reference in the FAA final rule. This certain conditions, lead to the incorrect without change, to https:// AD, therefore, requires compliance with application of the procedure by the www.regulations.gov, including any EASA AD 2019–0309 in its entirety, flight crew, possibly resulting in personal information you provide. The through that incorporation, except for increased flight crew workload and FAA will also post a report any differences identified as exceptions consequent reduced control of the summarizing each substantive verbal in the regulatory text of this AD. Using airplane. In addition, the removal of contact the agency receives about this common terms that are the same as the these AFM emergency procedures for AD. heading of a particular section in the applicable airplanes is relieving on the Costs of Compliance EASA AD does not mean that operators flight crew workload during an need comply only with that section. For emergency situation. Therefore, the The FAA estimates that this AD example, where the AD requirement FAA find good cause that notice and affects 1,553 airplanes of U.S. registry. refers to ‘‘all required actions and opportunity for prior public comment The FAA estimates the following costs compliance times,’’ compliance with are impracticable. In addition, for the to comply with this AD:
ESTIMATED COSTS FOR REQUIRED ACTIONS
Cost per Cost on U.S. Labor cost Parts cost product operators
1 work-hour × $85 per hour = $85 ...... $0 $85 $132,005
Authority for This Rulemaking unsafe condition that is likely to exist or under Executive Order 13132. This AD Title 49 of the United States Code develop on products identified in this will not have a substantial direct effect specifies the FAA’s authority to issue rulemaking action. on the States, on the relationship rules on aviation safety. Subtitle I, This AD is issued in accordance with between the national government and section 106, describes the authority of authority delegated by the Executive the States, or on the distribution of the FAA Administrator. Subtitle VII: Director, Aircraft Certification Service, power and responsibilities among the Aviation Programs, describes in more as authorized by FAA Order 8000.51C. various levels of government. detail the scope of the Agency’s In accordance with that order, issuance For the reasons discussed above, I of ADs is normally a function of the authority. certify that this AD: The FAA is issuing this rulemaking Compliance and Airworthiness under the authority described in Division, but during this transition (1) Is not a ‘‘significant regulatory Subtitle VII, Part A, Subpart III, Section period, the Executive Director has action’’ under Executive Order 12866, 44701: ‘‘General requirements.’’ Under delegated the authority to issue ADs (2) Will not affect intrastate aviation that section, Congress charges the FAA applicable to transport category in Alaska, and with promoting safe flight of civil airplanes and associated appliances to (3) Will not have a significant aircraft in air commerce by prescribing the Director of the System Oversight economic impact, positive or negative, regulations for practices, methods, and Division. procedures the Administrator finds on a substantial number of small entities Regulatory Findings necessary for safety in air commerce. under the criteria of the Regulatory This regulation is within the scope of The FAA determined that this AD Flexibility Act. that authority because it addresses an will not have federalism implications
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List of Subjects in 14 CFR Part 39 accordance with, EASA AD 2019–0309, changes to procedures or tests identified as dated December 19, 2019 (‘‘EASA AD 2019– RC require approval of an AMOC. Air transportation, Aircraft, Aviation 0309’’). safety, Incorporation by reference, (k) Related Information Safety. (h) Exceptions to EASA AD 2019–0309 For more information about this AD, (1) Where EASA AD 2019–0309 refers to its contact Sanjay Ralhan, Aerospace Engineer, Adoption of the Amendment effective date, this AD requires using the International Section, Transport Standards Accordingly, under the authority effective date of this AD. Branch, FAA, 2200 South 216th St., Des delegated to me by the Administrator, (2) The ‘‘Remarks’’ section of EASA AD Moines, WA 98198; telephone and fax 206– the FAA amends 14 CFR part 39 as 2019–0309 does not apply to this AD. 231–3223; email [email protected]. (3) Where EASA AD 2019–0309 specifies follows: (l) Material Incorporated by Reference paragraph (19) of EASA AD 2015–0135R3, for PART 39—AIRWORTHINESS this AD, use paragraph (r) of AD 2017–16– (1) The Director of the Federal Register approved the incorporation by reference DIRECTIVES 12, except where paragraph (r) of AD 2017– 16–12 refers to ‘‘the effective date of this (IBR) of the service information listed in this ■ 1. The authority citation for part 39 AD,’’ use June 1, 2015 (the effective date of paragraph under 5 U.S.C. 552(a) and 1 CFR EASA AD 2015–0087). part 51. continues to read as follows: (2) You must use this service information Authority: 49 U.S.C. 106(g), 40113, 44701. (i) Terminating Action for AD 2017–16–12 as applicable to do the actions required by Accomplishing the actions required by this this AD, unless this AD specifies otherwise. § 39.13 [Amended] AD on an airplane terminates all (i) European Union Aviation Safety Agency ■ 2. The FAA amends § 39.13 by adding requirements of paragraph (j) of AD 2017–16– (EASA) AD 2019–0309, dated December 19, the following new airworthiness 12 for that airplane only. 2019. directive (AD): (ii) [Reserved] (j) Other FAA AD Provisions (3) For information about EASA AD 2019– 2020–01–12 Airbus SAS: Amendment 39– The following provisions also apply to this 0309, contact the EASA, Konrad-Adenauer- 19818; Docket No. FAA–2019–1077; AD: Ufer 3, 50668 Cologne, Germany; telephone Product Identifier 2019–NM–204–AD. (1) Alternative Methods of Compliance +49 221 89990 6017; email ADs@ (AMOCs): The Manager, International easa.europa.eu; internet (a) Effective Date Section, Transport Standards Branch, FAA, www.easa.europa.eu. You may find this This AD becomes effective February 14, has the authority to approve AMOCs for this EASA AD on the EASA website at https:// 2020. AD, if requested using the procedures found ad.easa.europa.eu. (b) Affected ADs in 14 CFR 39.19. In accordance with 14 CFR (4) You may view this material at the FAA, 39.19, send your request to your principal Transport Standards Branch, 2200 South This AD affects AD 2017–16–12, inspector or local Flight Standards District 216th St., Des Moines, WA. For information Amendment 39–18989 (82 FR 40675, August Office, as appropriate. If sending information on the availability of this material at the 28, 2017) (‘‘AD 2017–16–12’’). directly to the International Section, send it FAA, call 206–231–3195. This material may (c) Applicability to the attention of the person identified in be found in the AD docket on the internet at paragraph (k) of this AD. Information may be https://www.regulations.gov by searching for This AD applies to all Airbus SAS emailed to: 9-ANM-116-AMOC-REQUESTS@ and locating Docket No. FAA–2019–1077. airplanes identified in paragraphs (c)(1) faa.gov. Before using any approved AMOC, (5) You may view this material that is through (4), certificated in any category. notify your appropriate principal inspector, incorporated by reference at the National (1) Model A318–111, –112, –121, and –122 or lacking a principal inspector, the manager Archives and Records Administration airplanes. of the local flight standards district office/ (NARA). For information on the availability (2) Model A319–111, –112, –113, –114, certificate holding district office. Before of this material at NARA, email fedreg.legal@ –115, –131, –132, and –133 airplanes. using any approved AMOC, notify your nara.gov, or go to: https://www.archives.gov/ (3) Model A320–211, –212, –214, –216, appropriate principal inspector, or lacking a federal-register/cfr/ibr-locations.html. –231, –232, and –233 airplanes. principal inspector, the manager of the local (4) Model A321–111, –112, –131, –211, Issued on January 15, 2020. flight standards district office/certificate –212, –213, –231, and –232 airplanes. holding district office. Michael Kaszycki, (d) Subject (2) Contacting the Manufacturer: For any Acting Director, System Oversight Division, Aircraft Certification Service. Air Transport Association (ATA) of requirement in this AD to obtain instructions America Code 34, Navigation. from a manufacturer, the instructions must [FR Doc. 2020–01633 Filed 1–29–20; 8:45 am] be accomplished using a method approved BILLING CODE 4910–13–P (e) Reason by the Manager, International Section, This AD was prompted by the absence of Transport Standards Branch, FAA; or EASA; a requirement to remove a certain Emergency or Airbus SAS’s EASA Design Organization DEPARTMENT OF TRANSPORTATION Procedure in the existing Aircraft Flight Approval (DOA). If approved by the DOA, Manual (AFM) after accomplishing a certain the approval must include the DOA– Federal Aviation Administration modification or replacement. The FAA is authorized signature. (3) Required for Compliance (RC): For any issuing this AD to address this condition, 14 CFR Part 39 which, under certain conditions, could lead service information referenced in EASA AD to the incorrect application of the procedure 2019–0309 that contains RC procedures and [Docket No. FAA–2019–1080; Product by the flight crew, possibly resulting in tests: Except as required by paragraph (j)(2) Identifier 2020–NM–002–AD; Amendment increased flight crew workload and of this AD, RC procedures and tests must be 39–19823; AD 2020–01–17] consequent reduced control of the airplane. done to comply with this AD; any procedures or tests that are not identified as RC are RIN 2120–AA64 (f) Compliance recommended. Those procedures and tests Comply with this AD within the that are not identified as RC may be deviated Airworthiness Directives; Airbus SAS compliance times specified, unless already from using accepted methods in accordance Airplanes done. with the operator’s maintenance or inspection program without obtaining AGENCY: Federal Aviation (g) Requirements approval of an AMOC, provided the Administration (FAA), DOT. Except as specified in paragraph (h) of this procedures and tests identified as RC can be ACTION: Final rule; request for AD: Comply with all required actions and done and the airplane can be put back in an comments. compliance times specified in, and in airworthy condition. Any substitutions or
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SUMMARY: The FAA is adopting a new the internet at https:// Related IBR Material Under 1 CFR Part airworthiness directive (AD) for all www.regulations.gov by searching for 51 Airbus SAS Model A318 series and locating Docket No. FAA–2019– EASA AD 2019–0316 describes airplanes; Model A319 series airplanes; 1080. procedures for repetitive checks of the Model A320 series airplanes; and Model Examining the AD Docket pressure gauge on the inflation reservoir A321 series airplanes. This AD was of each emergency escape slide/slide You may examine the AD docket on prompted by a report that during raft to determine the amount of the internet at https:// airplane boarding a loud bang was pressure, and applicable corrective www.regulations.gov by searching for heard. A subsequent inspection revealed actions. The corrective actions include, and locating Docket No. FAA–2019– that one emergency escape slide/raft among other things, replacement of any 1080; or in person at Docket Operations was found with zero reservoir pressure, affected emergency escape slide/raft or between 9 a.m. and 5 p.m., Monday due to a burst rupture disk assembly in inflation reservoir. the inflation reservoir, which was through Friday, except Federal holidays. This material is reasonably available probably caused by a manufacturing The AD docket contains this AD, the because the interested parties have defect. This AD requires repetitive regulatory evaluation, any comments access to it through their normal course checks of the pressure gauges on the received, and other information. The of business or by the means identified street address for Docket Operations is inflation reservoir of each emergency in the ADDRESSES section. escape slide/raft to determine the listed above. Comments will be amount of pressure and, depending on available in the AD docket shortly after FAA’s Determination findings, accomplishment of applicable receipt. This product has been approved by corrective actions, as specified in a FOR FURTHER INFORMATION CONTACT: the aviation authority of another European Union Aviation Safety Agency Sanjay Ralhan, Aerospace Engineer, country, and is approved for operation (EASA) AD, which is incorporated by International Section, Transport in the United States. Pursuant to the reference. The FAA is issuing this AD Standards Branch, FAA, 2200 South FAA’s bilateral agreement with the State to address the unsafe condition on these 216th St., Des Moines, WA 98198; of Design Authority, the FAA has been products. telephone and fax 206–231–3223; email notified of the unsafe condition [email protected]. DATES: This AD becomes effective described in the MCAI referenced February 14, 2020. SUPPLEMENTARY INFORMATION: above. The FAA is issuing this AD because the FAA evaluated all pertinent The Director of the Federal Register Discussion approved the incorporation by reference information and determined the unsafe The EASA, which is the Technical of a certain publication listed in this AD condition exists and is likely to exist or Agent for the Member States of the as of February 14, 2020. develop on other products of the same European Union, has issued EASA AD The FAA must receive comments on type design. 2019–0316, dated December 23, 2019 this AD by March 16, 2020. (‘‘EASA AD 2019–0316’’) (also referred Requirements of This AD ADDRESSES: You may send comments, to as the Mandatory Continuing This AD requires accomplishing the using the procedures found in 14 CFR Airworthiness Information, or ‘‘the actions specified in EASA AD 2019– 11.43 and 11.45, by any of the following MCAI’’), to correct an unsafe condition 0316 described previously, as methods: for all Airbus SAS Model A318 series incorporated by reference, except for • Federal eRulemaking Portal: Go to airplanes; Model A319–111, –112, –113, any differences identified as exceptions https://www.regulations.gov. Follow the –114, –115, –131, –132, –133, –151N, in the regulatory text of this AD. instructions for submitting comments. –153N, and –171N airplanes; Model • Explanation of Required Compliance Fax: 202–493–2251. A320–211, –212, –214, –215, –216, • Information Mail: U.S. Department of –231, –232, –233, –251N, –252N, Transportation, Docket Operations, M– –253N, –271N, –272N and –273N In the FAA’s ongoing efforts to 30, West Building Ground Floor, Room airplanes; and Model A321 series improve the efficiency of the AD W12–140, 1200 New Jersey Avenue SE, airplanes. Model A319–153N and process, the FAA initially worked with Washington, DC 20590. A320–215 airplanes are not certified by Airbus and EASA to develop a process • Hand Delivery: U.S. Department of the FAA and are not included on the to use certain EASA ADs as the primary Transportation, Docket Operations, M– U.S. type certificate data sheet; this AD source of information for compliance 30, West Building Ground Floor, Room therefore does not include those with requirements for corresponding W12–140, 1200 New Jersey Avenue SE, airplanes in the applicability. FAA ADs. The FAA has since Washington, DC 20590, between 9 a.m. This AD was prompted by a report coordinated with other manufacturers and 5 p.m., Monday through Friday, that during airplane boarding a loud and civil aviation authorities (CAAs) to except Federal holidays. bang was heard. A subsequent use this process. As a result, EASA AD For the material incorporated by inspection revealed that one emergency 2019–0316 will be incorporated by reference (IBR) in this AD, contact the escape slide/raft was found with zero reference in the FAA final rule. This EASA, Konrad-Adenauer-Ufer 3, 50668 reservoir pressure, due to a burst AD, therefore, requires compliance with Cologne, Germany; telephone +49 221 rupture disk assembly in the inflation EASA AD 2019–0316 in its entirety, 89990 1000; email [email protected]; reservoir, which was probably caused through that incorporation, except for internet www.easa.europa.eu. You may by a manufacturing defect. The FAA is any differences identified as exceptions find this IBR material on the EASA issuing this AD to address insufficient in the regulatory text of this AD. Using website at https://ad.easa.europa.eu. reservoir pressure in an emergency common terms that are the same as the You may view this IBR material at the escape slide/raft, which would prevent heading of a particular section in the FAA, Transport Standards Branch, 2200 the deployment of the emergency escape EASA AD does not mean that operators South 216th St., Des Moines, WA. For slide/raft during an emergency, possibly need comply only with that section. For information on the availability of this resulting in injury to the occupants. See example, where the AD requirement material at the FAA, call 206–231–3195. the MCAI for additional background refers to ‘‘all required actions and It is also available in the AD docket on information. compliance times,’’ compliance with
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this AD requirement is not limited to be inspected to ensure proper ADDRESSES section. Include ‘‘Docket No. the section titled ‘‘Required Action(s) deployment using a shorter compliance FAA–2019–1080; Product Identifier and Compliance Time(s)’’ in the EASA interval than is practical through the 2020–NM–002–AD’’ at the beginning of AD. Service information specified in notice and comment rulemaking your comments. The FAA specifically EASA AD 2019–0316 that is required for process. Therefore, the FAA finds good invites comments on the overall compliance with EASA AD 2019–0316 cause that notice and opportunity for regulatory, economic, environmental, will be available on the internet at prior public comment are impracticable. and energy aspects of this AD. The FAA https://www.regulations.gov by In addition, for the reasons stated above, will consider all comments received by searching for and locating Docket No. the FAA finds that good cause exists for the closing date and may amend this AD FAA–2019–1080 after the FAA final making this amendment effective in less based on those comments. rule is published. than 30 days. The FAA will post all comments, FAA’s Justification and Determination Regulatory Flexibility Act (RFA) without change, to https:// www.regulations.gov, including any of the Effective Date The requirements of the RFA do not personal information you provide. The An unsafe condition exists that apply when an agency finds good cause FAA will also post a report requires the immediate adoption of this pursuant to 5 U.S.C. 553 to adopt a rule summarizing each substantive verbal AD without providing an opportunity without prior notice and comment. contact the agency receives about this for public comments prior to adoption. Because the FAA has determined that it AD. The FAA has found that the risk to the has good cause to adopt this rule flying public justifies waiving notice without notice and comment, RFA Interim Action and comment prior to adoption of this analysis is not required. rule because if a rupture disk assembly The FAA considers this AD interim in the inflation reservoir of an Comments Invited action. If final action is later identified, emergency escape slide/slide raft burst This AD is a final rule that involves the FAA might consider further it would result in a sudden loss of requirements affecting flight safety, and rulemaking at that time. reservoir pressure and prevent the the FAA did not precede it by notice Costs of Compliance deployment of the emergency escape and opportunity for public comment. slide/raft during an emergency, possibly The FAA invites you to send any The FAA estimates that this AD resulting in injury to the occupants. Due written relevant data, views, or affects 1,553 airplanes of U.S. registry. to the severity of this problem, the arguments about this AD. Send your The FAA estimates the following costs emergency escape slide/slide raft must comments to an address listed under the to comply with this AD:
ESTIMATED COSTS FOR REQUIRED ACTIONS
Cost per Cost on U.S. Labor cost Parts cost product operators
1 work-hour × $85 per hour = $85 ...... $0 $85 $132,005
The FAA has received no definitive Regulatory Findings PART 39—AIRWORTHINESS data that would enable the agency to DIRECTIVES provide cost estimates for the on- The FAA determined that this AD condition actions specified in this AD. will not have federalism implications ■ 1. The authority citation for part 39 under Executive Order 13132. This AD continues to read as follows: Authority for This Rulemaking will not have a substantial direct effect on the States, on the relationship Authority: 49 U.S.C. 106(g), 40113, 44701. Title 49 of the United States Code between the national government and specifies the FAA’s authority to issue § 39.13 [Amended] the States, or on the distribution of rules on aviation safety. Subtitle I, ■ 2. The FAA amends § 39.13 by adding power and responsibilities among the section 106, describes the authority of the following new airworthiness various levels of government. the FAA Administrator. Subtitle VII: directive (AD): Aviation Programs, describes in more For the reasons discussed above, I certify that this AD: 2020–01–17 Airbus SAS: Amendment 39– detail the scope of the Agency’s 19823; Docket No. FAA–2019–1080; authority. (1) Is not a ‘‘significant regulatory Product Identifier 2020–NM–002–AD. action’’ under Executive Order 12866, The FAA is issuing this rulemaking (a) Effective Date under the authority described in and Subtitle VII, Part A, Subpart III, Section (2) Will not affect intrastate aviation This AD becomes effective February 14, 2020. 44701: ‘‘General requirements.’’ Under in Alaska. (b) Affected ADs that section, Congress charges the FAA List of Subjects in 14 CFR Part 39 with promoting safe flight of civil None. aircraft in air commerce by prescribing Air transportation, Aircraft, Aviation (c) Applicability regulations for practices, methods, and safety, Incorporation by reference, procedures the Administrator finds Safety. This AD applies all Airbus SAS airplanes, necessary for safety in air commerce. certificated in any category, as identified in Adoption of the Amendment paragraphs (c)(1) through (4) of this AD. This regulation is within the scope of (1) Model A318–111, –112, –121, and –122 that authority because it addresses an Accordingly, under the authority airplanes. unsafe condition that is likely to exist or delegated to me by the Administrator, (2) Model A319–111, –112, –113, –114, develop on products identified in this the FAA amends 14 CFR part 39 as –115, –131, –132, –133, –151N and –171N rulemaking action. follows: airplanes.
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(3) Model A320–211, –212, –214, –216, from a manufacturer, the instructions must Issued on January 21, 2020. –231, –232, –233, –251N, –252N, –253N, be accomplished using a method approved Gaetano A. Sciortino, –271N, –272N and –273N airplanes. by the Manager, International Section, Deputy Director for Strategic Initiatives, (4) Model A321–111, –112, –131, –211, Transport Standards Branch, FAA; or EASA; Compliance & Airworthiness Division, –212, –213, –231, –232, –251N, –252N, or Airbus SAS’s EASA Design Organization Aircraft Certification Service. –253N, –271N, –272N, –251NX, –252NX, Approval (DOA). If approved by the DOA, –253NX, 271NX, and –272NX airplanes. [FR Doc. 2020–01634 Filed 1–29–20; 8:45 am] the approval must include the DOA- BILLING CODE 4910–13–P (d) Subject authorized signature. Air Transport Association (ATA) of (3) Required for Compliance (RC): For any America Code 25, Equipment/furnishings. service information referenced in EASA AD DEPARTMENT OF TRANSPORTATION 2019–0316 that contains RC procedures and (e) Reason tests: Except as required by paragraph (i)(2) Federal Aviation Administration This AD was prompted by a report that of this AD, RC procedures and tests must be during airplane boarding a loud bang was done to comply with this AD; any procedures 14 CFR Part 39 heard. A subsequent inspection revealed that or tests that are not identified as RC are one emergency escape slide/raft was found recommended. Those procedures and tests [Docket No. FAA–2019–0857; Product with zero reservoir pressure, due to a burst that are not identified as RC may be deviated Identifier 2019–NM–124–AD; Amendment rupture disk assembly in the inflation 39–19819; AD 2020–01–13] reservoir, which was probably caused by a from using accepted methods in accordance manufacturing defect. The FAA is issuing with the operator’s maintenance or RIN 2120–AA64 this AD to address insufficient reservoir inspection program without obtaining pressure in an emergency escape slide/raft, approval of an AMOC, provided the Airworthiness Directives; Dassault which would prevent the deployment of the procedures and tests identified as RC can be Aviation Airplanes emergency escape slide/raft during an done and the airplane can be put back in an emergency, possibly resulting in injury to the airworthy condition. Any substitutions or AGENCY: Federal Aviation occupants. changes to procedures or tests identified as Administration (FAA), Department of (f) Compliance RC require approval of an AMOC. Transportation (DOT). ACTION: Final rule. Comply with this AD within the (j) Related Information compliance times specified, unless already SUMMARY: done. For more information about this AD, The FAA is superseding contact Sanjay Ralhan, Aerospace Engineer, Airworthiness Directive (AD) 2018–19– (g) Requirements International Section, Transport Standards 26, which applied to all Dassault Except as specified in paragraph (h) of this Branch, FAA, 2200 South 216th St., Des Aviation Model MYSTERE–FALCON AD: Comply with all required actions and Moines, WA 98198; telephone and fax 206– 200 airplanes. AD 2018–19–26 required compliance times specified in, and in 231–3223; email [email protected]. revising the existing maintenance or accordance with, European Union Aviation (k) Material Incorporated by Reference inspection program, as applicable, to Safety Agency (EASA) AD 2019–0316, dated incorporate new or more restrictive December 23, 2019 (‘‘EASA AD 2019–0316’’). (1) The Director of the Federal Register maintenance requirements and (h) Exceptions to EASA AD 2019–0316 approved the incorporation by reference airworthiness limitations. This AD (IBR) of the service information listed in this (1) Where EASA AD 2019–0316 refers to its continues to require revising the effective date, this AD requires using the paragraph under 5 U.S.C. 552(a) and 1 CFR existing maintenance or inspection effective date of this AD. part 51. program, as applicable, to incorporate (2) You must use this service information (2) The ‘‘Remarks’’ section of EASA AD new or more restrictive airworthiness as applicable to do the actions required by 2019–0316 does not apply to this AD. limitations. This AD was prompted by (3) Where EASA AD 2019–0316 specifies this AD, unless this AD specifies otherwise. to comply with ‘‘the instructions of the (i) European Union Aviation Safety Agency a determination that new or more AOT,’’ this AD requires compliance with the (EASA) AD 2019–0316, dated December 23, restrictive airworthiness limitations are procedures marked as required for 2019. necessary. The FAA is issuing this AD compliance (RC) in the Alert Operators (ii) [Reserved] to address the unsafe condition on these Transmission (AOT). (3) For information about EASA AD 2019– products. (i) Other FAA AD Provisions 0316, contact the EASA, Konrad-Adenauer- DATES: This AD is effective March 5, The following provisions also apply to this Ufer 3, 50668 Cologne, Germany; telephone 2020. AD: +49 221 89990 6017; email ADs@ The Director of the Federal Register (1) Alternative Methods of Compliance easa.europa.eu; internet approved the incorporation by reference (AMOCs): The Manager, International www.easa.europa.eu. You may find this of a certain publication listed in this AD Section, Transport Standards Branch, FAA, EASA AD on the EASA website at https:// as of March 5, 2020. has the authority to approve AMOCs for this ad.easa.europa.eu. The Director of the Federal Register AD, if requested using the procedures found (4) You may view this material at the FAA, approved the incorporation by reference in 14 CFR 39.19. In accordance with 14 CFR Transport Standards Branch, 2200 South of a certain other publication listed in 39.19, send your request to your principal 216th St., Des Moines, WA. For information inspector or local Flight Standards District this AD as of November 5, 2018 (83 FR on the availability of this material at the 49275, October 1, 2018). Office, as appropriate. If sending information FAA, call 206–231–3195. This material may directly to the International Section, send it be found in the AD docket on the internet at ADDRESSES: For service information to the attention of the person identified in https://www.regulations.gov by searching for identified in this final rule, contact paragraph (j) of this AD. Information may be and locating Docket No. FAA–2019–1080. Dassault Falcon Jet Corporation, emailed to: 9-ANM-116-AMOC-REQUESTS@ (5) You may view this material that is Teterboro Airport, P.O. Box 2000, South faa.gov. Before using any approved AMOC, Hackensack, NJ 07606; telephone 201– notify your appropriate principal inspector, incorporated by reference at the National or lacking a principal inspector, the manager Archives and Records Administration 440–6700; internet https:// of the local flight standards district office/ (NARA). For information on the availability www.dassaultfalcon.com. You may certificate holding district office. of this material at NARA, email fedreg.legal@ view this referenced service information (2) Contacting the Manufacturer: For any nara.gov, or go to: https://www.archives.gov/ at the FAA, Transport Standards requirement in this AD to obtain instructions federal-register/cfr/ibr-locations.html. Branch, 2200 South 216th St., Des
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Moines, WA. For information on the fatigue cracking, damage, and corrosion takes 1 work-hour per airplane. Since availability of this material at the FAA, in principal structural elements; such operators incorporate maintenance or call 206–231–3195. It is also available fatigue cracking, damage, and corrosion inspection program changes for their on the internet at https:// could result in reduced structural affected fleet(s), the FAA has www.regulations.gov by searching for integrity of the airplane. See the MCAI determined that a per-operator estimate and locating Docket No. FAA–2019– for additional background information. is more accurate than a per-airplane 0857. estimate. Therefore, the FAA estimates Comments the total cost per operator to be $7,650 Examining the AD Docket The FAA gave the public the (90 work-hours × $85 per work-hour). You may examine the AD docket on opportunity to participate in developing the internet at https:// this final rule. The FAA received no Authority for This Rulemaking www.regulations.gov by searching for comments on the NPRM or on the Title 49 of the United States Code and locating Docket No. FAA–2019– determination of the cost to the public. specifies the FAA’s authority to issue 0857; or in person at Docket Operations Conclusion rules on aviation safety. Subtitle I, between 9 a.m. and 5 p.m., Monday section 106, describes the authority of through Friday, except Federal holidays. The FAA reviewed the relevant data the FAA Administrator. Subtitle VII: The AD docket contains this final rule, and determined that air safety and the Aviation Programs, describes in more the regulatory evaluation, any public interest require adopting this detail the scope of the Agency’s comments received, and other final rule as proposed, except for minor authority. information. The address for Docket editorial changes. The FAA has The FAA is issuing this rulemaking Operations is U.S. Department of determined that these minor changes: under the authority described in • Transportation, Docket Operations, M– Are consistent with the intent that Subtitle VII, Part A, Subpart III, Section 30, West Building Ground Floor, Room was proposed in the NPRM for 44701: ‘‘General requirements.’’ Under W12–140, 1200 New Jersey Avenue SE, addressing the unsafe condition; and • that section, Congress charges the FAA Washington, DC 20590. Do not add any additional burden with promoting safe flight of civil upon the public than was already FOR FURTHER INFORMATION CONTACT: Tom aircraft in air commerce by prescribing proposed in the NPRM. Rodriguez, Aerospace Engineer, regulations for practices, methods, and International Section, Transport Related Service Information Under 1 procedures the Administrator finds Standards Branch, FAA, 2200 South CFR Part 51 necessary for safety in air commerce. This regulation is within the scope of 216th St., Des Moines, WA 98198; Dassault Aviation has issued Chapter that authority because it addresses an telephone and fax 206–231–3226; email 5–40–00, Airworthiness Limitations, unsafe condition that is likely to exist or [email protected]. Revision 18, dated January 15, 2019, of develop on products identified in this SUPPLEMENTARY INFORMATION: the Dassault Falcon 200 Maintenance rulemaking action. Discussion Manual. This service information describes mandatory maintenance tasks This AD is issued in accordance with The European Union Aviation Safety that operators must perform at specified authority delegated by the Executive Agency (EASA), which is the Technical intervals. Director, Aircraft Certification Service, Agent for the Member States of the This AD also requires Chapter 5–40– as authorized by FAA Order 8000.51C. European Union, has issued EASA AD 00, Airworthiness Limitations, Revision In accordance with that order, issuance 2019–0153, dated July 3, 2019 (‘‘EASA 17, dated December 20, 2017, of the of ADs is normally a function of the AD 2019–0153’’) (also referred to as the Dassault Falcon 200 Maintenance Compliance and Airworthiness Mandatory Continuing Airworthiness Manual, which the Director of the Division, but during this transition Information, or ‘‘the MCAI’’), to correct Federal Register approved for period, the Executive Director has an unsafe condition for all Dassault incorporation by reference as of delegated the authority to issue ADs Aviation Model MYSTERE–FALCON November 5, 2018 (83 FR 49275, applicable to transport category 200 airplanes. You may examine the October 1, 2018). airplanes and associated appliances to MCAI in the AD docket on the internet This service information is reasonably the Director of the System Oversight at https://www.regulations.gov by available because the interested parties Division. searching for and locating Docket No. have access to it through their normal Regulatory Findings FAA–2019–0857. course of business or by the means The FAA has determined that this AD The FAA issued a notice of proposed identified in the ADDRESSES section. rulemaking (NPRM) to amend 14 CFR will not have federalism implications part 39 to supersede AD 2018–19–26, Costs of Compliance under Executive Order 13132. This AD Amendment 39–19427 (83 FR 49275, The FAA estimates that this AD will not have a substantial direct effect October 1, 2018) (‘‘AD 2018–19–26’’). affects 9 airplanes of U.S. registry. The on the States, on the relationship AD 2018–19–26 applied to all Dassault FAA estimates the following costs to between the national government and Aviation Model MYSTERE–FALCON comply with this AD: the States, or on the distribution of 200 airplanes. The NPRM published in The FAA estimates the total cost per power and responsibilities among the the Federal Register on October 30, operator for the retained actions from various levels of government. 2019 (84 FR 58070). The NPRM was AD 2018–19–26 to be $7,650 (90 work- For the reasons discussed above, I prompted by a determination that new hours × $85 per work-hour). certify that this AD: or more restrictive airworthiness The FAA has determined that revising (1) Is not a ‘‘significant regulatory limitations are necessary. The NPRM the existing maintenance or inspection action’’ under Executive Order 12866, proposed to require revising the existing program takes an average of 90 work- (2) Will not affect intrastate aviation maintenance or inspection program, as hours per operator, although the FAA in Alaska, and applicable, to incorporate new or more recognizes that this number may vary (3) Will not have a significant restrictive airworthiness limitations. from operator to operator. In the past, economic impact, positive or negative, The FAA is issuing this AD to address the FAA has estimated that this action on a substantial number of small entities
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under the criteria of the Regulatory revise the existing maintenance or inspection to the attention of the person identified in Flexibility Act. program, as applicable, to incorporate paragraph (m)(2) of this AD. Information may Chapter 5–40–00, Airworthiness Limitations, be emailed to: 9-ANM-116-AMOC- List of Subjects in 14 CFR Part 39 Revision 17, dated December 20, 2017, of the [email protected]. Air transportation, Aircraft, Aviation Dassault Falcon 200 Maintenance Manual. (i) Before using any approved AMOC, safety, Incorporation by reference, The initial compliance time for notify your appropriate principal inspector, accomplishing the actions is at the applicable or lacking a principal inspector, the manager Safety. time specified in Chapter 5–40–00, of the local flight standards district office/ Adoption of the Amendment Airworthiness Limitations, Revision 17, certificate holding district office. dated December 20, 2017, of the Dassault (ii) AMOCs approved previously for AD Accordingly, under the authority Falcon 200 Maintenance Manual; or within 2018–19–26, are approved as AMOCs for the delegated to me by the Administrator, 90 days after November 5, 2018; whichever corresponding provisions of this AD. the FAA amends 14 CFR part 39 as occurs later. (2) Contacting the Manufacturer: For any follows: (h) Retained No Alternative Actions or requirement in this AD to obtain corrective Intervals, With a New Exception actions from a manufacturer, the action must PART 39—AIRWORTHINESS be accomplished using a method approved DIRECTIVES This paragraph restates the requirements of by the Manager, International Section, paragraph (h) of AD 2018–19–26, with a new Transport Standards Branch, FAA; or the ■ 1. The authority citation for part 39 exception. Except as required by paragraph European Union Aviation Safety Agency continues to read as follows: (i) of this AD, after the existing maintenance (EASA); or Dassault Aviation’s EASA Design or inspection program has been revised as Organization Approval (DOA). If approved by Authority: 49 U.S.C. 106(g), 40113, 44701. required by paragraph (g) of this AD, no the DOA, the approval must include the alternative actions (e.g., inspections) or DOA-authorized signature. § 39.13 [Amended] intervals may be used unless the actions or ■ 2. The FAA amends § 39.13 by intervals are approved as an alternative (m) Related Information removing Airworthiness Directive (AD) method of compliance (AMOC) in (1) Refer to Mandatory Continuing 2018–19–26, Amendment 39–19427 (83 accordance with the procedures specified in Airworthiness Information (MCAI) EASA AD paragraph (l)(1) of this AD. FR 49275, October 1, 2018), and adding 2019–0153, dated July 3, 2019, for related the following new AD: (i) New Maintenance or Inspection Program information. This MCAI may be found in the Revision AD docket on the internet at https:// 2020–01–13 Dassault Aviation: www.regulations.gov by searching for and Amendment 39–19819; Docket No. Within 90 days after the effective date of locating Docket No. FAA–2019–0857. FAA–2019–0857; Product Identifier this AD, revise the existing maintenance or (2) For more information about this AD, 2019–NM–124–AD. inspection program, as applicable, to contact Tom Rodriguez, Aerospace Engineer, incorporate the information specified in (a) Effective Date International Section, Transport Standards Chapter 5–40–00, Airworthiness Limitations, Branch, FAA, 2200 South 216th St., Des Revision 18, dated January 15, 2019, of the This AD is effective March 5, 2020. Moines, WA 98198; telephone and fax 206– Dassault Falcon 200 Maintenance Manual. 231–3226; email [email protected]. (b) Affected ADs The initial compliance time for doing the (1) This AD replaces AD 2018–19–26, tasks is at the time specified in Chapter 5– (n) Material Incorporated by Reference Amendment 39–19427 (83 FR 49275, October 40–00, Airworthiness Limitations, Revision (1) The Director of the Federal Register 1, 2018) (‘‘AD 2018–19–26’’). 18, dated January 15, 2019, of the Dassault approved the incorporation by reference (2) This AD affects AD 2010–26–05, Falcon 200 Maintenance Manual, or within (IBR) of the service information listed in this Amendment 39–16544 (75 FR 79952, 90 days after the effective date of this AD, paragraph under 5 U.S.C. 552(a) and 1 CFR December 21, 2010) (‘‘AD 2010–26–05’’). whichever occurs later. part 51. (c) Applicability (j) New No Alternative Actions or Intervals (2) You must use this service information as applicable to do the actions required by This AD applies to all Dassault Aviation After the existing maintenance or this AD, unless this AD specifies otherwise. Model MYSTERE–FALCON 200 airplanes, inspection program has been revised as (3) The following service information was certificated in any category. required by paragraph (i) of this AD, no alternative actions (e.g., inspections) or approved for IBR on March 5, 2020. (d) Subject intervals may be used unless the actions or (i) Chapter 5–40–00, Airworthiness Air Transport Association (ATA) of intervals are approved as an AMOC in Limitations, Revision 18, dated January 15, America Code 05, Time Limits/Maintenance accordance with the procedures specified in 2019, of the Dassault Falcon 200 Checks. paragraph (l)(1) of this AD. Maintenance Manual. (ii) [Reserved] (e) Reason (k) Terminating Action for Certain Actions (4) The following service information was This AD was prompted by a determination in AD 2010–26–05 approved for IBR on November 5, 2018 (83 that new or more restrictive airworthiness Accomplishing the actions required by FR 49275, October 1, 2018). limitations are necessary. The FAA is issuing paragraph (g) or (i) of this AD terminates the (i) Chapter 5–40–00, Airworthiness this AD to address fatigue cracking, damage, requirements of paragraph (g)(1) of AD 2010– Limitations, Revision 17, dated December 20, and corrosion in principal structural 26–05, for Dassault Aviation Model 2017, of the Dassault Falcon 200 elements; such fatigue cracking, damage, and MYSTERE–FALCON 200 airplanes. Maintenance Manual. corrosion could result in reduced structural (ii) [Reserved] (l) Other FAA AD Provisions integrity of the airplane. (5) For service information identified in The following provisions also apply to this this AD, contact Dassault Falcon Jet (f) Compliance AD: Corporation, Teterboro Airport, P.O. Box Comply with this AD within the (1) Alternative Methods of Compliance 2000, South Hackensack, NJ 07606; compliance times specified, unless already (AMOCs): The Manager, International telephone 201–440–6700; internet https:// done. Section, Transport Standards Branch, FAA, www.dassaultfalcon.com. has the authority to approve AMOCs for this (6) You may view this service information (g) Retained Revision of Maintenance or AD, if requested using the procedures found at the FAA, Transport Standards Branch, Inspection Program, With No Changes in 14 CFR 39.19. In accordance with 14 CFR 2200 South 216th St., Des Moines, WA. For This paragraph restates the requirements of 39.19, send your request to your principal information on the availability of this paragraph (g) of AD 2018–19–26, with no inspector or local Flight Standards District material at the FAA, call 206–231–3195. changes. Within 90 days after November 5, Office, as appropriate. If sending information (7) You may view this service information 2018 (the effective date of AD 2018–19–26), directly to the International Section, send it that is incorporated by reference at the
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National Archives and Records Points, and subsequent amendments can NOLF, and NAS Meridian/McCain Administration (NARA). For information on be viewed online at https:// Field. Interested parties were invited to the availability of this material at NARA, www.faa.gov/air_traffic/publications/. participate in this rulemaking effort by email [email protected], or go to: https:// For further information, you can contact submitting written comments on the www.archives.gov/federal-register/cfr/ibr- locations.html. the Airspace Policy Group, Federal proposal to the FAA. One comment was Aviation Administration, 800 received supporting the proposal. No Issued on January 15, 2020. Independence Avenue SW, Washington, response is provided. Dionne Palermo, DC 20591; telephone: (202) 267–8783. Class D and E airspace designations Acting Director, System Oversight Division, The Order is also available for are published in paragraph 5000, 6004, Aircraft Certification Service. inspection at the National Archives and and 6005, respectively, of FAA Order [FR Doc. 2020–01638 Filed 1–29–20; 8:45 am] Records Administration (NARA). For 7400.11D, dated August 8, 2019, and BILLING CODE 4910–13–P information on the availability of FAA effective September 15, 2019, which is Order 7400.11D at NARA, email incorporated by reference in 14 CFR [email protected] or go to https:// 71.1. The Class D and E airspace DEPARTMENT OF TRANSPORTATION www.archives.gov/federal-register/cfr/ designations listed in this document ibr-locations.html. will be published subsequently in the Federal Aviation Administration FOR FURTHER INFORMATION CONTACT: Order. 14 CFR Part 71 Jeffrey Claypool, Federal Aviation Differences From the NPRM Administration, Operations Support [Docket No. FAA–2019–0598; Airspace Group, Central Service Center, 10101 Subsequent to publication of the Docket No. 19–ASO–16] Hillwood Parkway, Fort Worth, TX NPRM, the FAA discovered a RIN 2120–AA66 76177; telephone (817) 222–5711. typographic error in the airspace legal SUPPLEMENTARY INFORMATION: description for the Class E airspace Amendment of the Class D and Class extending upward from 700 feet above E Airspace; Meridian, MS Authority for This Rulemaking the surface at Key Field, Meridian, MS. The FAA’s authority to issue rules The extension from the Meridian AGENCY: Federal Aviation regarding aviation safety is found in VORTAC 141° to the southeast should Administration (FAA), DOT. Title 49 of the United States Code. extend from the 7-mile radius of Key ACTION: Final rule. Subtitle I, Section 106 describes the Field vice the 4.5-mile radius. That authority of the FAA Administrator. typographic error is corrected in this SUMMARY: This action amends the Class Subtitle VII, Aviation Programs, action. D airspace at Joe Williams NOLF, describes in more detail the scope of the Additionally, the FAA discovered that Meridian, MS; Key Field, Meridian, MS; agency’s authority. This rulemaking is the proposed airspace legal description and NAS Meridian/McCain Field, promulgated under the authority for the Class E airspace extending Meridian, MS; the Class E airspace area described in Subtitle VII, Part A, upward from 700 feet above the surface designated as an extension to Class D Subpart I, Section 40103. Under that at Meridian, MS, left gaps in the airspace at Key Field; and the Class E section, the FAA is charged with continuity of the airspace. To make the airspace extending upward from 700 prescribing regulations to assign the use airspace continuous, the following feet above the surface at Key Field, Joe of airspace necessary to ensure the changes are being made: The first Williams NOLF, and NAS Meridian/ safety of aircraft and the efficient use of extension reading, ‘‘. . . and within 1 McCain Field. This action is due to an airspace. This regulation is within the mile each side of the 009° bearing from airspace review caused by the scope of that authority as it amends the Key Field extending from the 7-mile decommissioning of the Kewanee VHF Class D airspace at Joe Williams NOLF, radius of Key Field to 12.5 miles north omnidirectional range (VOR) navigation Meridian, MS; Key Field, Meridian, MS; of Key Field . . .’’ is being changed to, aid, which provided navigation and NAS Meridian/McCain Field, ‘‘. . . and within 1 mile west and 1.6 information for the instrument Meridian, MS; the Class E airspace area miles east of the 009° bearing from Key procedures at these airports, as part of designated as an extension to Class D Field extending from the 7-mile radius the VOR Minimum Operational airspace at Key Field; and the Class E of Key Field to 12.5 miles north of Key Network (MON) Program. The names airspace extending upward from 700 Field . . .’’ in this action; and the third and geographic coordinates of NAS feet above the surface at Key Field, Joe extension reading, ‘‘. . . and within 2 Meridian/McCain Field and Joe Williams NOLF, and NAS Meridian/ miles each side of the 044° bearing from Williams NOLF, and the geographic McCain Field to support IFR operations Key Field extending from the 7-mile coordinates of Key Field are also being at these airports. radius of Key Field to 11.6 miles updated to coincide with the FAA’s northeast of Key Field. . .’’ is being aeronautical database. Airspace redesign History changed to, ‘‘. . . and within 2.2 miles is necessary for the safety and The FAA published a notice of west and 2 miles east of the 044° bearing management of instrument flight rules proposed rulemaking in the Federal from Key Field extending from the 7- (IFR) operations at these airports. Register (84 FR 47909; September 11, mile radius of Key Field to 11.6 miles DATES: Effective 0901 UTC, May 21, 2019) for Docket No. FAA–2019–0598 to northeast of Key Field . . .’’ in this 2020. The Director of the Federal amend the Class D airspace at Joe action. These changes only fill the gaps Register approves this incorporation by Williams NOLF, Meridian, MS; Key and complete the continuity of the Class reference action under Title 1 Code of Field, Meridian, MS; and NAS E airspace extending upward from 700 Federal Regulations part 51, subject to Meridian/McCain Field, Meridian, MS; feet above the surface at Meridian, MS, the annual revision of FAA Order the Class E airspace area designated as and do not expand the airspace; 7400.11 and publication of conforming an extension to Class D airspace at Key therefore, these amendments to the amendments. Field; and the Class E airspace Class E airspace extending upward from ADDRESSES: FAA Order 7400.11D, extending upward from 700 feet above 700 feet above the surface at Meridian, Airspace Designations and Reporting the surface at Key Field, Joe Williams MS, are included in this action.
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Availability and Summary of replaces the outdated term ‘‘Airport/ side of the 189° bearing from the Key Documents for Incorporation by Facility Directory’’ with ‘‘Chart Field: RWY 01–LOC extending from the Reference Supplement’’; 7-mile radius of the airport to 11.2 miles Amends the Class E airspace area This document amends FAA Order south of the Key Field: RWY 01–LOC; designated as an extension to a Class D 7400.11D, Airspace Designations and amends the extension northwest of the airspace at Key Field by updating the Reporting Points, dated August 8, 2019, Meridian VORTAC to within 1.5 miles city in the airspace legal description to and effective September 15, 2019. FAA (reduced from 2.5 miles) each side of Meridian, MS, (previously Meridian/ ° Order 7400.11D is publicly available as the Meridian VORTAC 311 (previously Key Field, MS) to comply with changes 315°) radial extending from the 7-mile listed in the ADDRESSES section of this to FAA Order 7400.2M; removes the city radius of the airport to 14.3 miles document. FAA Order 7400.11D lists listed with the airport in the airspace (increased from 7 miles) northwest of Class A, B, C, D, and E airspace areas, legal description to comply with the Meridian VORTAC; within a 6.7 air traffic service routes, and reporting changes to FAA Order 7400.2M; updates mile radius (decreased from a 7.4-mile points. the geographic coordinates of Key Field radius) of Joe Williams NOLF, Meridian, The Rule and the Meridian VORTAC to coincide MS; within a 7.8-mile radius (decreased with the FAA’s aeronautical database; This amendment to Title 14 Code of from an 8-mile radius) of NAS adds an extension 1 mile each side of Federal Regulations (14 CFR) part 71: Meridian/McCain Field; removes the the 009° bearing from the airport Amends the Class D airspace at Joe extension ‘‘. . . within 4 miles each extending from the 4.5-mile radius to ° Williams NOLF, Meridian, MS, by side of the 020 bearing from lat. 4.9-miles north of the airport; adds an ° ′ ″ ° ′ ″ updating the geographic coordinates of 32 33 28 N, long, 88 33 33 W, extension 1 mile each side of the 044° Joe Williams NOLF to coincide with the extending from the 8-mile radius to 20 bearing from the airport extending from FAA’s aeronautical database, and miles north of Meridian TACAN, and the 4.5-mile radius to 4.6 miles within a 25-mile radius of the Meridian replaces the outdated term ‘‘Airport/ northeast of the airport; adds an VORTAC, extending clockwise from the Facility Directory’’ with ‘‘Chart extension 2.9 miles each side of the 341° radial to the 040° radial, and Supplement’’; Amends the Class D Meridian VORTAC 141° radial within 8 miles north and 6 miles south airspace to within a 4.5-mile radius extending from the 4.5-mile radius to 11 of the Kewanee VORTAC 273° radial, (reduced from a 5.3-mile radius) of Key miles southeast of the Meridian extending from the VORTAC to long. Field, Meridian, MS; updates the city in VORTAC; adds an extension 1 mile each 88°45′00″ W’’; adds an extension 6.7 the airspace legal description to side of the 189° bearing from the airport miles either side of a line from Joe Meridian, MS, (previously Meridian Key extending from the 4.5-mile radius to William NOLF to NAS Meridian/ Field, MS) to comply with changes to 4.6 miles south of the airport; adds an McCain Field; updates the names of Joe FAA Order 7400.2M, Procedures for extension 1 mile each side of the 224° William NOLF (previously Joe Williams Handling Airspace Matters; removes the bearing from the airport extending from OLF), and NAS Meridian/McCain Field city listed with the airport in the the 4.5-mile radius to 4.6 miles (previously NAS-McCain Field) and the airspace legal description to comply southwest of the airport; removes the geographic coordinates of Key Field, Joe with changes to FAA Order 7400.2M; extension northwest of the VORTAC; Williams NOLF and NAS Meridian/ updates the geographic coordinates of and replaces the outdated term McCain Field to coincide with the Key Field to coincide with the FAA’s ‘‘Airport/Facility Directory’’ with ‘‘Chart FAA’s aeronautical database; and aeronautical database; and replaces the Supplement’’; removes the Meridian TACAN and outdated term ‘‘Airport/Facility And amends the Class E airspace Kewanee VORTAC from the airspace Directory’’ with ‘‘Chart Supplement’’; extending upward from 700 feet above legal description. Amends the Class D airspace to the surface to within a 7-mile radius This action is the result of an airspace within a 5.3-mile radius (reduced from (reduced from an 8-mile radius) of Key review caused by the decommissioning a 5.8-mile radius) of NAS Meridian/ Field; adds an extension within 1 mile of the Kewanee VOR, which provided McCain Field, Meridian, MS; updates west and 1.6 miles east (previously 1 navigation information for the the city in the airspace legal description mile each side) of the 009° bearing from instrument procedures at these airports, to Meridian, MS, (previously Meridian Key Field extending from the 7-mile as part of the VOR MON Program. NAS-McCain Field, MS) to comply with radius to 12.5 miles north of the airport; FAA Order 7400.11, Airspace changes to FAA Order 7400.2M; adds an extension within 3.4 miles each Designations and Reporting Points, is removes the city listed with the airport side of the 009° bearing from the Key published yearly and effective on in the airspace legal description to Field: RWY 19–LOC extending from the September 15. comply with changes to FAA Order 7-mile radius of the airport to 11.1 miles Regulatory Notices and Analyses 7400.2M; updates the name and north of the Key Field: RWY 19–LOC; geographic coordinates of NAS adds an extension within 2.2 miles west The FAA has determined that this Meridian/McCain Field (previously and 2 miles east (previously 2 miles regulation only involves an established NAS-McCain Field) to coincide with the each side) of the 044° bearing from the body of technical regulations for which FAA’s aeronautical database; adds an airport extending from the 7-mile radius frequent and routine amendments are extension 1 mile each side of the 009° of the airport to 11.6 miles northeast of necessary to keep them operationally bearing from the airport extending from the airport; adds an extension within 3.6 current, is non-controversial and the 5.3-mile radius to 5.5 miles north of miles each side of the Meridian unlikely to result in adverse or negative the airport; adds an extension 1.5 miles VORTAC 141° radial extending from the comments. It, therefore: (1) Is not a each side of the 189° bearing from the 7-mile radius of the airport to 13.9 miles ‘‘significant regulatory action’’ under airport extending from the 5.3-mile southeast of the Meridian VORTAC; Executive Order 12866; (2) is not a radius to 6 miles from the airport; adds adds an extension within 1 mile each ‘‘significant rule’’ under DOT an extension 1.6 miles each side of the side of the 189° bearing from the airport Regulatory Policies and Procedures (44 Meridian TACAN 331° radial extending extending from the 7-mile radius of the FR 11034; February 26, 1979); and (3) from the 5.3-mile radius to 5.6 miles airport to 12.6 miles south of the airport; does not warrant preparation of a northwest of the Meridian TACAN; and adds an extension within 3.4 miles each regulatory evaluation as the anticipated
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impact is so minimal. Since this is a within a 4.5-mile radius of Key Field. This Meridian VORTAC routine matter that only affects air traffic Class D airspace area is effective during the (Lat. 32°22′42″ N, long. 88°48′15″ W) specific dates and times established in Key Field: RWY 01–LOC procedures and air navigation, it is ° ′ ″ ° ′ ″ certified that this rule, when advance by a Notice to Airmen. The effective (Lat. 32 20 52 N, long. 88 45 02 W) date and time will thereafter be continuously Joe Williams NOLF, MS promulgated, does not have a significant published in the Chart Supplement. (Lat. 32°47′56″ N, long. 88°50′04″ W) economic impact on a substantial NAS Meridian/McCain Field, MS number of small entities under the ASO MS D Meridian, MS [Amended] (Lat. 32°33′13″ N, long. 88°33′19″ W) criteria of the Regulatory Flexibility Act. NAS Meridian/McCain Field, MS ° ′ ″ ° ′ ″ That airspace extending upward from 700 (Lat. 32 33 13 N, long. 88 33 19 W) feet above the surface within a 7-mile radius Environmental Review Meridian TACAN ° ′ ″ ° ′ ″ of Key Field, and within 1 mile west and 1.6 The FAA has determined that this (Lat. 32 34 42 N, long. 88 32 43 W) miles of the 009° bearing from Key Field action qualifies for categorical exclusion That airspace extending upward from the extending from the 7-mile radius of Key Field under the National Environmental surface to and including 2,800 feet MSL to 12.5 miles north of Key Field, and within Policy Act in accordance with FAA within a 5.3-mile radius of NAS Meridian/ 3.4 miles each side of the 009° bearing from McCain Field, and within 1 mile each side the Key Field: RWY 19–LOC extending from Order 1050.1F, ‘‘Environmental ° Impacts: Policies and Procedures,’’ of the 009 bearing from the airport extending the 7-mile radius of Key Field to 11.1 miles paragraph 5–6.5.a. This airspace action from the 5.3 mile radius to 5.5 miles north north of the Key Field: RWY 19–LOC, and of the airport, and within 1.5 miles each side within 2.2 miles west and 2 miles east of the is not expected to cause any potentially of the 189° bearing from the airport extending 044° bearing from Key Field extending from significant environmental impacts, and from the 5.3-mile radius to 6 miles south of the 7-mile radius of Key Field to 11.6 miles no extraordinary circumstances exist the airport, and within 1.6 miles each side of northeast of Key Field, and within 3.6 miles that warrant preparation of an the Meridian TACAN 331° radial extending each side of the Meridian VORTAC 141° environmental assessment. from the 5.3-mile radius to 5.6 miles radial extending from the 7-mile radius of northwest the Meridian TACAN. This Class Key Field to 13.9 miles southeast of the Lists of Subjects in 14 CFR Part 71 D airspace area is effective during the Meridian VORTAC, and within 1 mile each Airspace, Incorporation by reference, specific dates and times established in side of the 189° bearing from Key Field Navigation (air). advance by a Notice to Airmen. The effective extending from the 7-mile radius of Key Field date and time will thereafter be continuously to 12.6 miles south of Key Field, and within Adoption of the Amendment published in the Chart Supplement. 3.4 miles each side of the 189° bearing from the Key Field: RWY 01–LOC extending from In consideration of the foregoing, the Paragraph 6004 Class E Airspace Areas Federal Aviation Administration the 7-mile radius of Key Field to 11.2 miles Designated as an Extension to a Class D or south of the Key Field: RWY 01–LOC, and amends 14 CFR part 71 as follows: Class E Surface Area. within 1.5 miles each side of the Meridian * * * * * VORTAC 311° radial extending from the 7- PART 71—DESIGNATION OF CLASS A, mile radius of Key Field to 14.3 miles ASO MS E4 Meridian, MS [Amended] B, C, D, AND E AIRSPACE AREAS; AIR northwest of the Meridian VORTAC, and TRAFFIC SERVICE ROUTES; AND Key Field, MS within a 6.7-mile radius of Joe Williams REPORTING POINTS (Lat. 32°19′57″ N, long. 88°45′07″ W) NOLF, and within a 7.8-mile radius of NAS Meridian VORTAC Meridian/McCain Field, and within 6.7 miles ■ 1. The authority citation for part 71 (Lat. 32°22′42″ N, long. 88°48′15″ W) each side of a line from Joe Williams NOLF continues to read as follows: That airspace extending upward from the to NAS Meridian/McCain Field. ° Authority: 49 U.S.C. 106(f), 106(g); 40103, surface within 1 mile each side of the 009 Issued in Fort Worth, Texas, on January 22, 40113, 40120; E.O. 10854, 24 FR 9565, 3 CFR, bearing from Key Field extending from the 1959–1963 Comp., p. 389. 4.5-mile radius of Key Field to 4.9 miles 2020. north of Key Field, and within 1 mile each Steve Szukula, ° § 71.1 [Amended] side of the 044 bearing from Key Field Acting Manager, Operations Support Group, ■ extending from the 4.5-mile radius of Key ATO Central Service Center. 2. The incorporation by reference in Field to 4.6 miles northeast of Key Field, and 14 CFR 71.1 of FAA Order 7400.11D, within 2.9 miles each side of the Meridian [FR Doc. 2020–01568 Filed 1–29–20; 8:45 am] Airspace Designations and Reporting VORTAC 141° radial extending from the 4.5- BILLING CODE 4910–13–P Points, dated August 8, 2019, and mile radius of Key Field to 11 miles effective September 15, 2019, is southeast of the Meridian VORTAC, and amended as follows: within 1 mile each side of the 189° bearing DEPARTMENT OF TRANSPORTATION from Key Field extending from the 4.5-mile Paragraph 5000 Class D Airspace. radius of Key Field to 4.6 miles south of Key Federal Aviation Administration * * * * * Field, and within 1 mile each side of the 224° bearing from Key Field extending from the ASO MS D Meridian, MS [Amended] 14 CFR Part 71 4.5-mile radius of Key Field to 4.6 miles Joe Williams NOLF, MS southwest of Key Field. This Class E airspace [Docket No. FAA–2019–1011; Airspace ° ′ ″ ° ′ ″ (Lat. 32 47 56 N, long. 88 50 04 W) area is effective during the specific dates and Docket No. 19–ASO–25] That airspace extending upward from the times established in advance by a Notice to RIN 2120–AA66 surface to and including 3,000 feet MSL Airmen. The effective date and time will within a 4.2-mile radius of Joe Williams thereafter be continuously published in the Amendment of Class E Airspace; NOLF. This Class D airspace area is effective Chart Supplement. during the specific dates and times Huntsville, AL established by a Notice to Airmen. The Paragraph 6005 Class E Airspace Areas Extending Upward From 700 feet or More AGENCY: Federal Aviation effective date and time will thereafter be Administration (FAA), DOT. continuously published in the Chart Above the Surface of the Earth. Supplement. * * * * * ACTION: Final rule. ASO MS D Meridian, MS [Amended] ASO MS E5 Meridian, MS [Amended] SUMMARY: This action amends the Class Key Field, MS Key Field, MS E surface airspace and the Class E (Lat. 32°19′57″ N, long. 88°45′07″ W) (Lat. 32°19′57″ N, long. 88°45′07″ W) airspace extending upward from 700 That airspace extending upward from the Key Field: RWY 19–LOC feet above the surface airspace legal surface to and including 2,800 feet MSL (Lat. 32°18′54″ N, long. 88°45′25″ W) descriptions for Huntsville, AL, by
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updating the airport reference for History that these procedures are Redstone AAF, AL, to include the state The FAA published a Final Rule in ‘‘impracticable, unnecessary, or contrary identifier ‘‘AL’’ to coincide with the the Federal Register (84 FR 49012; to the public interest.’’ This is an FAA’s aeronautical database and September 18, 2019) for Docket No. administrative change amending the comply with FAA Order 7400.2M, FAA–2019–0530 amending the Class E name of Redstone AAF, AL, to coincide Procedures for Handling Airspace surface airspace and the Class E airspace with the FAA’s aeronautical database Matters. This action does not change the extending upward from 700 feet above and comply with FAA Order 7400.2M boundaries, altitudes, or operating the surface and establishing a Class E and does not affect the boundaries, requirements of the airspace. airspace area designated as an extension altitudes, or operating requirements of DATES: Effective 0901 UTC, March 26, to a Class C surface area at Huntsville the airspace; therefore, notice and 2020. The Director of the Federal International-Carl T. Jones Field, public procedure under 5 U.S.C. 553(b) Register approves this incorporation by Huntsville, AL. In that action, the state are unnecessary. reference action under Title 1 Code of identifier ‘‘AL’’ associated with FAA Order 7400.11, Airspace Federal Regulations part 51, subject to Redstone AAF was inadvertently Designations and Reporting Points, is omitted from the airspace legal the annual revision of FAA Order published yearly and effective on descriptions. This action corrects that 7400.11 and publication of conforming September 15. amendments. error. This is an administrative change Regulatory Notices and Analyses ADDRESSES: FAA Order 7400.11D, updating the airport reference for Airspace Designations and Reporting Redstone AAF to include the state The FAA has determined that this Points, and subsequent amendments can identified ‘‘AL’’ in the airspace legal regulation only involves an established be viewed online at https:// body of technical regulations for which _ descriptions to coincide with the FAA’s www.faa.gov/air traffic/publications/. aeronautical database and comply with frequent and routine amendments are For further information, you can contact FAA Order 7400.2M, and does not affect necessary to keep them operationally the Airspace Policy Group, Federal the boundaries, altitudes, or operating current, is non-controversial and Aviation Administration, 800 requirements of the airspace. unlikely to result in adverse or negative Independence Avenue SW, Washington, Class E airspace designations are comments. It, therefore: (1) Is not a DC 20591; telephone: (202) 267–8783. published in paragraph 6002 and 6005 ‘‘significant regulatory action’’ under The Order is also available for of FAA Order 7400.11D dated August 8, Executive Order 12866; (2) is not a inspection at the National Archives and 2019, and effective September 15, 2019, ‘‘significant rule’’ under DOT Records Administration (NARA). For which is incorporated by reference in 14 information on the availability of FAA Regulatory Policies and Procedures (44 CFR part 71.1. The Class E airspace FR 11034; February 26, 1979); and (3) Order 7400.11D at NARA, email designations listed in this document [email protected] or go to https:// does not warrant preparation of a will be published subsequently in the regulatory evaluation as the anticipated www.archives.gov/federal-register/cfr/ Order. ibr-locations.html. impact is so minimal. Since this is a Availability and Summary of routine matter that only affects air traffic FOR FURTHER INFORMATION CONTACT: Documents for Incorporation by procedures and air navigation, it is Jeffrey Claypool, Federal Aviation Reference certified that this rule, when Administration, Operations Support promulgated, does not have a significant This document amends FAA Order Group, Central Service Center, 10101 economic impact on a substantial 7400.11D, Airspace Designations and Hillwood Parkway, Fort Worth, TX number of small entities under the Reporting Points, dated August 8, 2019, 76177; telephone (817) 222–5711. criteria of the Regulatory Flexibility Act. and effective September 15, 2019. FAA SUPPLEMENTARY INFORMATION: Order 7400.11D is publicly available as Environmental Review Authority for This Rulemaking listed in the ADDRESSES section of this document. FAA Order 7400.11D lists The FAA has determined that this The FAA’s authority to issue rules Class A, B, C, D, and E airspace areas, action qualifies for categorical exclusion regarding aviation safety is found in air traffic service routes, and reporting under the National Environmental Title 49 of the United States Code. points. Policy Act in accordance with FAA Subtitle I, Section 106 describes the Order 1050.1F, ‘‘Environmental The Rule authority of the FAA Administrator. Impacts: Policies and Procedures,’’ Subtitle VII, Aviation Programs, This action amends Title 14 Code of paragraph 5–6.5.a. This airspace action describes in more detail the scope of the Federal Regulations (14 CFR) part 71 by is not expected to cause any potentially agency’s authority. This rulemaking is amending the Class E surface airspace significant environmental impacts, and promulgated under the authority and the Class E airspace extending no extraordinary circumstances exist described in Subtitle VII, Part A, upward from 700 feet above the surface that warrant preparation of an Subpart I, Section 40103. Under that airspace legal descriptions for environmental assessment. section, the FAA is charged with Huntsville, AL, by updating the airport prescribing regulations to assign the use references for Redstone AAF to include Lists of Subjects in 14 CFR Part 71 of airspace necessary to ensure the the state identifier ‘‘AL’’ to coincide safety of aircraft and the efficient use of with the FAA’s aeronautical database Airspace, Incorporation by reference, airspace. This regulation is within the and comply with FAA Order 7400.2M. Navigation (Air). scope of that authority as it amends the Section 553(b)(3)(B) of the Adoption of the Amendment Class E surface airspace and the Class E Administrative Procedures Act (5. airspace extending upward from 700 U.S.C.) authorizes agencies to dispense In consideration of the foregoing, the feet above the surface airspace legal with notice and comment procedure Federal Aviation Administration descriptions for Huntsville, AL when the agency for ‘‘good cause’’ finds amends 14 CFR part 71 as follows:
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PART 71—DESIGNATION OF CLASS A, Pryor Field Regional Airport, and within a Order 7400.11D at NARA, email B, C, D, AND E AIRSPACE AREAS; AIR 6.3-mile radius of Huntsville Executive Tom [email protected] or go to https:// TRAFFIC SERVICE ROUTES; AND Sharp Jr. Field. www.archives.gov/federal-register/cfr/ REPORTING POINTS Issued in Fort Worth, Texas, on January 22, ibr-locations.html. 2020. FOR FURTHER INFORMATION CONTACT: ■ 1. The authority citation for Part 71 Steve Szukala, Colby Abbott, Rules and Regulations continues to read as follows: Acting Manager, Operations Support Group, Group, Office of Policy, Federal Authority: 49 U.S.C. 106(f), 106(g); 40103, ATO Central Service Center. Aviation Administration, 800 40113, 40120; E.O. 10854, 24 FR 9565, 3 CFR, [FR Doc. 2020–01567 Filed 1–29–20; 8:45 am] Independence Avenue SW, Washington, 1959–1963 Comp., p. 389. BILLING CODE 4910–13–P DC 20591; telephone: (202) 267–8783. § 71.1 [Amended] SUPPLEMENTARY INFORMATION: ■ 2. The incorporation by reference in DEPARTMENT OF TRANSPORTATION Authority for This Rulemaking 14 CFR 71.1 of FAA Order 7400.11D, The FAA’s authority to issue rules Airspace Designations and Reporting Federal Aviation Administration regarding aviation safety is found in Points, dated August 8, 2019, effective Title 49 of the United States Code. September 15, 2019, is amended as 14 CFR Part 71 Subtitle I, Section 106 describes the follows: [Docket No. FAA–2019–0476; Airspace authority of the FAA Administrator. Paragraph 6002 Class E Airspace Areas Docket No. 19–AGL–7] Subtitle VII, Aviation Programs, Designated as a Surface Area. describes in more detail the scope of the RIN 2120–AA66 * * * * * agency’s authority. This rulemaking is promulgated under the authority Amendment of VOR Federal Airways ASO AL E2 Huntsville, AL [Amended] described in Subtitle VII, Part A, V–148, V–177, and V–345 in the Vicinity Subpart I, Section 40103. Under that Huntsville International-Carl T. Jones Field, of Ely, MN, and Hayward, WI AL section, the FAA is charged with ° ′ ″ ° ′ ″ (Lat. 34 38 14 N, long. 86 46 30 W) AGENCY: Federal Aviation prescribing regulations to assign the use Redstone AAF, AL Administration (FAA), DOT. of the airspace necessary to ensure the (Lat. 34°40′43″ N, long. 86°41′05″ W) ACTION: Final rule. safety of aircraft and the efficient use of Within a 5-mile radius of the Huntsville airspace. This regulation is within the International-Carl T. Jones Field, excluding SUMMARY: This action amends VHF scope of that authority as it modifies the that airspace within a 1-mile radius of the Omnidirectional Range (VOR) Federal air traffic service route structure in the Redstone AAF. This Class E airspace area is effective during the specific dates and times airways V–148 and V–345 in the National Airspace System as necessary established in advance by a Notice to vicinity of Hayward, WI, and removes to preserve the safe and efficient flow of Airmen. The effective date and time will V–177 in the vicinity of Ely, MN, and air traffic. thereafter be continuously published in the Hayward, WI. The VOR Federal airways History Chart Supplement. modifications and removal are The FAA published a notice of Paragraph 6005 Class E Airspace Areas necessary due to the planned decommissioning of the Ely, MN, and proposed rulemaking for Docket No. Extending Upward From 700 Feet or More FAA–2019–0476 in the Federal Register Above the Surface of the Earth. Hayward, WI, VOR navigation aids (84 FR 34078; July 17, 2019) amending * * * * * (NAVAIDs), which provide navigation guidance for portions of the affected air VOR Federal airways V–148 and V–345, ASO AL E5 Huntsville, AL [Amended] traffic service (ATS) routes. The Ely and and removing V–177. Interested parties Huntsville International-Carl T. Jones Field, Hayward VORs are being were invited to participate in this AL decommissioned as part of the FAA’s rulemaking effort by submitting written (Lat. 34°38′14″ N, long. 86°46′30″ W) VOR Minimum Operational Network comments on the proposal. No Huntsville International-Carl T. Jones Field: (MON) program. comments were received. RWY 36L–LOC VOR Federal airways are published in DATES: Effective date 0901 UTC, March (Lat. 34°39′20″ N, long. 86°46′55″ W) paragraph 6010(a) of FAA Order 26, 2020. The Director of the Federal Redstone AAF, AL 7400.11D dated August 8, 2019, and ° ′ ″ ° ′ ″ Register approves this incorporation by (Lat. 34 40 43 N, long. 86 41 05 W) effective September 15, 2019, which is Pryor Field Regional Airport, AL reference action under Title 1 Code of incorporated by reference in 14 CFR (Lat. 34°39′15″ N, long. 86°56′43″ W) Federal Regulations part 51, subject to 71.1. The VOR Federal airway listed in Huntsville Executive Tom Sharp Jr. Field, AL the annual revision of FAA Order ° ′ ″ ° ′ ″ this document will be subsequently (Lat. 34 51 34 N, long. 86 33 27 W) 7400.11 and publication of conforming published in the Order. That airspace extending upward from 700 amendments. feet above the surface within a 7.5-mile FAA Order 7400.11, Airspace ADDRESSES: radius of Huntsville International-Carl T. FAA Order 7400.11D, Designations and Reporting Points, is Jones Field, and within 3 miles each side of Airspace Designations and Reporting published yearly and effective on the 001° bearing from Huntsville Points, and subsequent amendments can September 15. International-Carl T. Jones Field extending be viewed online at https:// from the 7.5-mile radius to 12.3 miles north www.faa.gov/air_traffic/publications/. Availability and Summary of of Huntsville International-Carl T. Jones For further information, you can contact Documents for Incorporation by Field, and within 1.3 miles each side of the the Rules and Regulations Group, Reference ° 181 bearing from the Huntsville Federal Aviation Administration, 800 This document amends FAA Order International-Carl T. Jones Field: RWY 36L– Independence Avenue SW, Washington, 7400.11D, Airspace Designations and LOC extending from the 7.5 mile radius of Huntsville International-Carl T. Jones Field DC 20591; telephone: (202) 267–8783. Reporting Points, dated August 8, 2019, to 8.3 miles south of the Huntsville The Order is also available for and effective September 15, 2019. FAA International-Carl T. Jones Field: RWY 36L– inspection at the National Archives and Order 7400.11D is publicly available as LOC, and within a 9.5-mile radius of Records Administration (NARA). For listed in the ADDRESSES section of this Redstone AAF, and within a 7-mile radius of information on the availability of FAA document. FAA Order 7400.11D lists
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Class A, B, C, D, and E airspace areas, environmental impacts, and no V–148 [Amended] air traffic service routes, and reporting extraordinary circumstances exist that From Falcon, CO; Thurman, CO; 65 MSL points. warrant preparation of an INT Thurman 067° and Hayes Center, NE, environmental assessment. Therefore, 246° radials; Hayes Center; North Platte, NE; The Rule this airspace action has been O’Neill, NE; Sioux Falls, SD; Redwood Falls, The FAA is amending Title 14 Code categorically excluded from further MN; to Gopher, MN. From Ironwood, MI; to of Federal Regulations (14 CFR) part 71 environmental impact review in Houghton, MI. by modifying VOR Federal airways V– accordance with the National * * * * * 148 and V–345, and removing VOR Environmental Policy Act (NEPA) and V–177 [Removed] Federal airway V–177. The planned its implementing regulations at 40 CFR * * * * * decommissioning of the Ely, MN, and parts 1500–1508, and in accordance Hayward, WI, VORs has made these with FAA Order 1050.1F, V–345 [Amended] actions necessary. The VOR Federal Environmental Impacts: Policies and From Dells, WI; INT Dells 321° and Eau airway changes are outlined below. Procedures, paragraph 5–6.5a, which Claire, WI, 134° radials; to Eau Claire. V–148: V–148 extends between the categorically excludes from further * * * * * Falcon, CO, VORTAC and the environmental impact review Houghton, MI, VOR/DME. The airway Issued in Washington, DC, on January 23, rulemaking actions that designate or 2020. segment between the Gopher, MN, modify classes of airspace areas, VORTAC and the Ironwood, MI, VOR/ Rodger A. Dean, Jr., airways, routes, and reporting points Manager, Rules and Regulations Group. DME is removed. The unaffected (see 14 CFR part 71, Designation of [FR Doc. 2020–01569 Filed 1–29–20; 8:45 am] portions of the existing airway would Class A, B, C, D, and E Airspace Areas; remain as charted. Air Traffic Service Routes; and BILLING CODE 4910–13–P V–177: V–177 extends between the Reporting Points). In accordance with Joliet, IL, VOR/DME and the Ely, MN, FAA Order 1050.1F, paragraph 5–2 VORTAC. The airway is removed in its regarding Extraordinary Circumstances, DEPARTMENT OF JUSTICE entirety. V–345: V–345 extends between the the FAA has reviewed this action for Drug Enforcement Administration Dells, WI, VORTAC and the Hayward, factors and circumstances in which a WI, VOR/DME. The airway segment normally categorically excluded action 21 CFR Part 1308 may have a significant environmental between the Eau Claire, WI, VORTAC [Docket No. DEA–565] and the Hayward, WI, VOR/DME is impact requiring further analysis. The FAA has determined no extraordinary removed. The unaffected portions of the Schedules of Controlled Substances: existing airway would remain as circumstances exist that warrant preparation of an environmental Extension of Temporary Placement of charted. cyclopentyl fentanyl, isobutyryl All radials in the route descriptions assessment or environmental impact study. fentanyl, para-chloroisobutyryl below are unchanged and stated in True fentanyl, para-methoxybutyryl fentanyl, degrees. List of Subjects in 14 CFR Part 71 and valeryl fentanyl in Schedule I of Regulatory Notices and Analyses the Controlled Substances Act Airspace, Incorporation by reference, The FAA has determined that this Navigation (air). AGENCY: Drug Enforcement proposed regulation only involves an Administration, Department of Justice. Adoption of the Amendment established body of technical ACTION: Temporary rule; temporary regulations for which frequent and In consideration of the foregoing, the scheduling order; extension. routine amendments are necessary to Federal Aviation Administration SUMMARY: The Acting Administrator of keep them operationally current. It, amends 14 CFR part 71 as follows: therefore: (1) Is not a ‘‘significant the Drug Enforcement Administration is regulatory action’’ under Executive PART 71—DESIGNATION OF CLASS A, issuing this temporary scheduling order Order 12866; (2) is not a ‘‘significant B, C, D, AND E AIRSPACE AREAS; AIR to extend the temporary schedule I rule’’ under Department of TRAFFIC SERVICE ROUTES; AND status of cyclopentyl fentanyl (N-(1- Transportation (DOT) Regulatory REPORTING POINTS phenethylpiperidin-4-yl)-N- Policies and Procedures (44 FR 11034; phenylcyclopentanecarboxamide), isobutyryl fentanyl (N-(1- February 26, 1979); and (3) does not ■ 1. The authority citation for part 71 phenethylpiperidin-4-yl)-N- warrant preparation of a regulatory continues to read as follows: evaluation as the anticipated impact is phenylisobutyramide), para- so minimal. Since this is a routine Authority: 49 U.S.C. 106(f), 106(g); 40103, chloroisobutyryl fentanyl (N-(4- matter that only affects air traffic 40113, 40120; E.O. 10854, 24 FR 9565, 3 CFR, chlorophenyl)-N-(1-phenethylpiperidin- procedures and air navigation, it is 1959–1963 Comp., p. 389. 4-yl)isobutyramide), para- methoxybutyryl fentanyl (N-(4- certified that this rule, when § 71.1 [Amended] promulgated, does not have a significant methoxyphenyl)-N-(1- economic impact on a substantial ■ 2. The incorporation by reference in phenethylpiperidin-4-yl)butyramide), number of small entities under the 14 CFR 71.1 of FAA Order 7400.11D, and valeryl fentanyl (N-(1- criteria of the Regulatory Flexibility Act. Airspace Designations and Reporting phenethylpiperidin-4-yl)-N- phenylpentanamide) including their Environmental Review Points, dated August 8, 2019, and effective September 15, 2019, is isomers, esters, ethers, salts, and salts of The FAA has determined that this amended as follows: isomers, esters and ethers. The schedule airspace action of modifying VOR I status of cyclopentyl fentanyl, Federal airways V–148 and V–345, and Paragraph 6010(a) Domestic VOR Federal isobutyryl fentanyl, para- removing VOR Federal airway V–177 Airways. chloroisobutyryl fentanyl, para- has no potential to cause any significant * * * * * methoxybutyryl fentanyl, and valeryl
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fentanyl currently is in effect until fentanyl, and the two other substances 2019, the HHS submitted to the Acting February 1, 2020. This temporary order was necessary to avoid an imminent Administrator its scientific and medical will extend the temporary scheduling of hazard to the public safety pursuant to evaluation and scheduling cyclopentyl fentanyl, isobutyryl 21 U.S.C. 811(h)(1). recommendation for cyclopentyl fentanyl, para-chloroisobutyryl Section 201(h)(2) of the CSA, 21 fentanyl, isobutyryl fentanyl, para- fentanyl, para-methoxybutyryl fentanyl, U.S.C. 811(h)(2), provides that the chloroisobutyryl fentanyl, para- and valeryl fentanyl for one year, or temporary control of these substances methoxybutyryl fentanyl, and valeryl until the permanent scheduling action expires two years from the effective date fentanyl.3 Upon receipt of the scientific for these substances is completed, of the scheduling order, i.e., on and medical evaluation and scheduling whichever occurs first. February 1, 2020. However, the CSA recommendation from the HHS, in DATES: This temporary scheduling also provides that during the pendency accordance with 21 U.S.C. 811(c) the order, which extends the order (83 FR of proceedings under 21 U.S.C. 811(a)(1) DEA reviewed the documents and all 4580, February 1, 2018), is effective for permanent scheduling of a other relevant data, and conducted its February 1, 2020, and expires on substance, DEA can extend the own eight-factor analysis of the abuse February 1, 2021. If this order is made temporary scheduling 2 of that substance potential of cyclopentyl fentanyl, permanent, the DEA will publish a for up to one year. Proceedings for the isobutyryl fentanyl, para- document in the Federal Register on or permanent scheduling of a substance chloroisobutyryl fentanyl, para- before February 1, 2021. under 21 U.S.C. 811(a) may be initiated methoxybutyryl fentanyl, and valeryl FOR FURTHER INFORMATION CONTACT: by the Attorney General (delegated to fentanyl. DEA published a notice of Scott A. Brinks, Diversion Control the Administrator of DEA pursuant to proposed rulemaking for the permanent Division, Drug Enforcement 28 CFR 0.100) on his own motion, at the placement of cyclopentyl fentanyl, Administration; Mailing Address: 8701 request of the Secretary of Health and isobutyryl fentanyl, para- Morrissette Drive, Springfield, Virginia Human Services, or on the petition of chloroisobutyryl fentanyl, para- 22152; Telephone: (202) 598–6812. any interested party. methoxybutyryl fentanyl, and valeryl The Acting Administrator, on his own fentanyl in schedule I elsewhere in this SUPPLEMENTARY INFORMATION: motion pursuant to 21 U.S.C. 811(a), has issue of the Federal Register. If that Background and Legal Authority initiated proceedings under 21 U.S.C. proposed rule is finalized, the DEA will 811(a)(1) to permanently schedule On February 1, 2018, the former publish a final rule in the Federal cyclopentyl fentanyl, isobutyryl Acting Administrator of the Drug Register. fentanyl, para-chloroisobutyryl Enforcement Administration (DEA) Pursuant to 21 U.S.C. 811(h)(2), the fentanyl, para-methoxybutyryl fentanyl, published a temporary scheduling order Acting Administrator orders that the and valeryl fentanyl. The DEA has in the Federal Register (83 FR 4580) temporary scheduling of cyclopentyl gathered and reviewed the available placing cyclopentyl fentanyl (N-(1- fentanyl, isobutyryl fentanyl, para- information regarding the phenethylpiperidin-4-yl)-N- chloroisobutyryl fentanyl, para- pharmacology, chemistry, trafficking, methoxybutyryl fentanyl, and valeryl phenylcyclopentanecarboxamide), actual abuse, pattern of abuse, and the fentanyl, including their isomers, esters, isobutyryl fentanyl (N-(1- relative potential for abuse for these ethers, salts, and salts of isomers, esters, phenethylpiperidin-4-yl)-N- substances. On November 5, 2018, the and ethers, be extended for one year, or phenylisobutyramide), para- DEA submitted a request to the until the permanent scheduling chloroisobutyryl fentanyl (N-(4- Department of Health and Human proceeding is completed, whichever chlorophenyl)-N-(1-phenethylpiperidin- Services (HHS) to provide the DEA with occurs first. 4-yl)isobutyramide), para- a scientific and medical evaluation of methoxybutyryl fentanyl (N-(4- available information and a scheduling Regulatory Matters methoxyphenyl)-N-(1- recommendation for cyclopropyl The CSA provides for issuance of an phenethylpiperidin-4-yl)butyramide), fentanyl, para-fluorobutyryl fentanyl, expedited temporary scheduling order and valeryl fentanyl (N-(1- cyclopentyl fentanyl, isobutyryl to schedule a substance in schedule I on phenethylpiperidin-4-yl)-N- fentanyl, para-chloroisobutyryl a temporary basis, where such action is phenylpentanamide), along with two fentanyl, para-methoxybutyryl fentanyl, necessary to avoid an imminent hazard other substances, in schedule I of the and valeryl fentanyl in accordance with to the public safety. (21 U.S.C. 811(h)). Controlled Substances Act (CSA) 21 U.S.C. 811(b) and (c). In a letter dated That section also provides that the pursuant to the temporary scheduling September 6, 2019, DEA notified the temporary scheduling of a substance 1 provisions of 21 U.S.C. 811(h). That HHS that it no longer needed scientific shall expire at the end of two years from order was effective on the date of and medical evaluations and scheduling the date of the issuance of the order publication, and was based on findings recommendations for cyclopropyl scheduling such substance, except that by the former Acting Administrator of fentanyl and para-fluorobutyryl the Attorney General may, during the DEA (Acting Administrator) that the fentanyl. Subsequently, the DEA pendency of proceedings to temporary scheduling of cyclopentyl permanently placed those two permanently schedule the substance, fentanyl, isobutyryl fentanyl, para- substances in schedule I of the CSA on extend the temporary scheduling for up chloroisobutyryl fentanyl, para- October 25, 2019, pursuant to a different to one year. methoxybutyryl fentanyl, valeryl scheduling authority in 21 U.S.C. Inasmuch as 21 U.S.C. 811(h) directs 811(d)(1). See 84 FR 57323. that temporary scheduling actions be 1 The order also temporarily placed ocfentanil (N- After evaluating the scientific and issued by order and sets forth the (2-fluorophenyl)-2-methoxy-N-(phenethylpiperidin- procedures by which such orders are to 4-yl)acetamide) and para-fluorobutyryl fentanyl (N- medical evidence, on November 12, (4-fluorophenyl)-N-(1-phenethylpiperidin-4- be issued and extended, DEA believes yl)butyramide) in schedule I. DEA issued a final 2 Though DEA has used the term ‘‘final order’’ order to permanently place ocfentanil and para- with respect to temporary scheduling orders in the 3 Although HHS also provided information on fluorobutyryl fentanyl in schedule I on November past, this notice adheres to the statutory language cyclopropyl fentanyl and para-fluorobutyryl 29, 2018 (83 FR 61320) and October 25, 2019 (84 of 21 U.S.C. 811(h), which refers to a ‘‘temporary fentanyl, those two substances will not be discussed FR 57327), respectively, pursuant to 21 U.S.C. scheduling order.’’ No substantive change is further in this temporary scheduling order, because 811(d)(1). intended. they have already been permanently controlled.
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that the notice and comment fentanyl, isobutyryl fentanyl, para- Tax Hikes Act of 2015. Additionally, the requirements of section 553 of the chloroisobutyryl fentanyl, para- regulations remove a provision for Administrative Procedure Act (APA), 5 methoxybutyryl fentanyl, and valeryl electing large partnerships that was U.S.C. 553, which are applicable to fentanyl in schedule I because they pose made obsolete by section 1101(b)(1) of rulemaking, do not apply to this an imminent public health risk. The the Bipartisan Budget Act of 2015. extension of the temporary scheduling temporary scheduling action was taken These regulations affect taxpayers who order. Under 21 U.S.C. 811(h), pursuant to 21 U.S.C. 811(h), which is file Form W–2 (series, except Form W– temporary scheduling orders are not specifically designed to enable the DEA 2G), Form W–3, Form 990 (series), Form subject to notice and comment to act in an expeditious manner to avoid 1099–MISC, Form 1041, Form 1041–A, rulemaking procedures. In the an imminent hazard to the public safety. Form 1065, Form 1065–B, Form 1120 alternative, even assuming that this The DEA understands that the CSA (series), Form 4720, Form 5227, Form action might be subject to section 553 of frames temporary scheduling actions as 6069, Form 8804, or Form 8870. the APA, the Acting Administrator finds orders rather than rules to ensure that DATES: Effective Date: These regulations that there is good cause to forgo the the process moves swiftly, and this are effective January 30, 2020. notice and comment requirements of extension of the temporary scheduling Applicability Date: For dates of section 553, as any further delays in the order continues to serve that purpose. applicability, see §§ 1.1446–3(g), process for extending the temporary For the same reasons that underlie 21 1.6012–6(c), 1.6031(a)–1(f), 1.6032–1(b), scheduling order would be U.S.C. 811(h), that is, the need to place 1.6033–2(k), 1.6041–2(d), 1.6041–6(c), impracticable and contrary to the public these substances in schedule I because 1.6072–2(g), 1.6081–1(c), 1.6081–2(h), interest in view of the manifest urgency they pose an imminent hazard to public 1.6081–3(g), 1.6081–5(f), 1.6081–6(g), to avoid an imminent hazard to the safety, it would be contrary to the public 1.6081–9(f), and 31.6071(a)–1(g). public safety. Further, DEA believes that interest to delay implementation of this FOR FURTHER INFORMATION CONTACT: this order extending the temporary extension of the temporary scheduling Isaac Brooks Fishman, (202) 317–6845 scheduling action is not a ‘‘rule’’ as order. Therefore, in accordance with (not a toll-free number). defined by 5 U.S.C. 601(2), and, section 808(2) of the CRA, this order SUPPLEMENTARY INFORMATION: accordingly, is not subject to the extending the temporary scheduling requirements of the Regulatory order shall take effect immediately upon Background Flexibility Act (RFA). The requirements its publication. The DEA has submitted This document contains final for the preparation of a regulatory a copy of this temporary order to both flexibility analysis in 5 U.S.C. 603(a) regulations that reflect changes in tax Houses of Congress and to the return due dates enacted by section and 604(a) are not applicable where, as Comptroller General, although such here, DEA is not required by section 553 2006 of the Surface Transportation and filing is not required under the Veterans Health Care Choice of the APA or any other law to publish Congressional Review Act, 5 U.S.C. a general notice of proposed Improvement Act of 2015, Public Law 801–808, because, as noted above, this 114–41, 129 Stat. 443 (2015), as well as rulemaking. action is an order, not a rule. Additionally, this action is not a changes to information return due dates significant regulatory action as defined Dated: January 23, 2020. enacted by section 201 of the Protecting by Executive Order 12866 (Regulatory Uttam Dhillon, Americans from Tax Hikes Act of 2015, Planning and Review), and section 3(f), Acting Administrator. Public Law 114–113, Div. Q, 129 Stat. and, accordingly, this action has not [FR Doc. 2020–01683 Filed 1–29–20; 8:45 am] 2242 (2015). On July 20, 2017, the IRS been reviewed by the Office of BILLING CODE 4410–09–P published in the Federal Register Management and Budget (OMB). temporary regulations (TD 9821 (82 FR This action will not have substantial 33441)) that conformed the due dates and the available extensions of time to direct effects on the States, on the DEPARTMENT OF THE TREASURY relationship between the national file various tax returns and information government and the States, or on the Internal Revenue Service returns to those provided by statute. The distribution of power and temporary regulations were applicable responsibilities among the various 26 CFR Parts 1 and 31 for tax returns and information returns levels of government. Therefore, in filed after July 20, 2017, with an accordance with Executive Order 13132 [TD 9892] expiration date of July 17, 2020. (Federalism) it is determined that this The IRS published a notice of RIN 1545–BN12 action does not have sufficient proposed rulemaking (REG–128483–15 federalism implications to warrant the Return Due Date and Extended Due (82 FR 33467)) cross-referencing the preparation of a Federalism Assessment. Date Changes temporary regulations in the Federal As noted above, this action is an Register the same day it published the order, not a rule. Accordingly, the AGENCY: Internal Revenue Service (IRS), temporary regulations. The IRS received Congressional Review Act (CRA) is Treasury. no comments on the notice of proposed inapplicable, as it applies only to rules. ACTION: Final regulations. rulemaking, and no public hearing was However, even if this were a rule, requested or held. pursuant to the CRA, ‘‘any rule for SUMMARY: This document contains final This Treasury Decision removes the which an agency for good cause finds regulations that update the due dates temporary regulations and adopts the that notice and public procedure and available extensions of time to file proposed regulations as final regulations thereon are impracticable, unnecessary, certain tax returns and information with only nonsubstantive revisions. The or contrary to the public interest, shall returns. The dates are updated to reflect revisions are discussed in the take effect at such time as the federal the statutory requirements set by section Explanation of Provisions. agency promulgating the rule 2006 of the Surface Transportation and determines.’’ (5 U.S.C. 808(2)). It is in Veterans Health Care Choice Explanation of Provisions the public interest to maintain the Improvement Act of 2015 and section A detailed explanation of these temporary placement of cyclopentyl 201 of the Protecting Americans from regulations can be found in the
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preamble to the temporary regulations. information that affect small entities for § 1.1446–3T [Removed] One additional provision of these the convenience of the reader. ■ Par. 3. Section 1.1446–3T is removed. regulations that is not discussed in the Pursuant to section 7805(f) of the ■ Par. 4. Revise paragraph (a)(1) and preamble to the temporary regulations is Code, the notice of proposed rulemaking add paragraph (c) to § 1.6012–6 to read explained below. preceding these regulations was as follows: Section 1.6081–2(a)(1) of the submitted to the Chief Counsel for proposed regulations addresses the Advocacy of the Small Business § 1.6012–6 Returns by political extension of time for a partnership to Administration for comment on their organizations. file Form 1065, ‘‘U.S. Partnership impact on small business. No comments (a) * * * (1) In general. For taxable Return of Income,’’ or Form 8804, were received from the Small Business years beginning after December 31, ‘‘Annual Return for Partnership Administration. 1974, every political organization Withholding Tax.’’ Similarly, § 1.6081– Drafting Information described in section 527(e)(1), and every 2(a)(2) of the final regulations in place fund described in section 527(f)(3) or prior to the publication of this Treasury The principal author of these section 527(g), and every organization Decision addressed the extension of regulations is Jonathan R. Black described in section 501(c) and exempt time to file Form 1065–B, ‘‘U.S. Return formerly of the Office of the Associate from taxation under section 501(a) shall, of Income for Electing Large Chief Counsel (Procedure and if a tax is imposed on such an Partnerships.’’ Section 1101(b)(1) of the Administration). organization or fund by section 527(b), Bipartisan Budget Act of 2015, Public List of Subjects make a return of income on or before the Law 114–74, 129 Stat. 625 (2015), fifteenth day of the fourth month repealed part IV of subchapter K of 26 CFR Part 1 following the close of the taxable year. chapter 1 of subtitle A of the Internal Income taxes, Reporting and * * * * * Revenue Code (Code), which, prior to recordkeeping requirements. (c) Applicability date. This section repeal, provided in former sections 771 applies to returns filed on or after through 777 for the treatment of certain 26 CFR Part 31 January 30, 2020. Section 1.6012–6T (as partnerships as electing large Employment taxes, Income taxes, contained in 26 CFR part 1, revised partnerships. The amendment was Penalties, Pensions, Railroad retirement, April 2019) applies to returns filed effective for returns filed for partnership Reporting and recordkeeping before January 30, 2020. taxable years beginning after December requirements, Social security, § 1.6012–6T [Removed] 31, 2017. As a consequence, electing Unemployment compensation. large partnerships do not exist and ■ Par. 5. Section 1.6012–6T is removed. Amendments to the Regulations Forms 1065–B will not be filed for ■ Par. 6. Revise paragraphs (e)(2) and (f) taxable years beginning after December Accordingly, 26 CFR parts 1 and 31 of § 1.6031(a)–1 to read as follows: 31, 2017. are amended as follows: Because § 1.6081–2(a)(2) is therefore § 1.6031(a)–1 Return of partnership obsolete, and the only remaining PART 1—INCOME TAXES income. effective provision in § 1.6081–2(a) was * * * * * § 1.6081–2(a)(1), this Treasury Decision ■ Paragraph 1. The authority citation (e) * * * removes § 1.6081–2(a)(2) and for part 1 continues to read in part as (2) Time for filing. The return of a redesignates proposed § 1.6081–2(a)(1) follows: partnership must be filed on or before as § 1.6081–2(a). This change is purely Authority: 26 U.S.C. 7805 * * * the date prescribed by section 6072(b). ministerial and has no substantive * * * * * effect. Accordingly, the IRS finds good ■ Par. 2. Revise paragraphs (b)(2)(v)(C) (f) Applicability date. This section cause for dispensing with notice and and (g) of § 1.1446–3 to read as follows: applies to returns filed on or after public comment pursuant to 5 U.S.C. § 1.1446–3 Time and manner of calculating January 30, 2020. Section 1.6031(a)–1T 553(b) and (c) and with a delayed and paying over the 1446 tax. (as contained in 26 CFR part 1, revised effective date pursuant to 5 U.S.C. * * * * * April 2019) applies to returns filed 553(d) for this change. before January 30, 2020. (b) * * * Special Analyses (2) * * * § 1.6031(a)–1T [Removed] These regulations are not subject to (v) * * * ■ Par. 7. Section 1.6031(a)–1T is review under section 6(b) of Executive (C) Period of underpayment. The removed. Order 12866 pursuant to the period of the underpayment set forth in ■ section 6655(b)(2) shall end on the Par. 8. Revise § 1.6032–1 to read as Memorandum of Agreement (April 11, follows: 2018) between the Department of the earlier of the date the partnership is Treasury and the Office of Management required to file Form 8804 (as provided § 1.6032–1 Returns of banks with respect and Budget regarding review of tax in paragraph (d)(1)(iii) of this section to common trust funds. regulations. and without regard to extensions), or (a) Every bank (as defined in section Pursuant to the Regulatory Flexibility with respect to any portion of the 581) maintaining a common trust fund Act (5 U.S.C. chapter 6) it is hereby underpayment, the date on which such shall make a return of income of the certified that this final rule will not portion is paid. common trust fund, regardless of the have a significant economic impact on * * * * * amount of its taxable income. Member a substantial number of small entities. (g) Applicability date. This section banks of an affiliated group that serve as These regulations only update the due applies to returns filed on or after co-trustees with respect to a common dates and extensions of time to file January 30, 2020. Section 1.1446–3T (as trust fund must act jointly in making a certain collections of information and contained in 26 CFR part 1, revised return for the fund. If a bank maintains include some existing regulatory April 2019) applies to returns filed more than one common trust fund, a language concerning collections of before January 30, 2020. separate return shall be made for each.
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No particular form is prescribed for (e) Time and place for filing. The name and address of the recipient of the making the return under this section, annual return required by this section payment shall be stated on Form 1099. but Form 1065 may be used if it is shall be filed on or before the 15th day If the present address of the recipient is designated by the bank as the return of of the fifth month following the close of not available, the last known post office a common trust fund. The return shall the period for which the return is address must be given. See section 6109 be made for the taxable year of the required to be filed. The annual return and the regulations in part 301 of this common trust fund and shall be filed on on Form 1065 required to be filed by a title under section 6109 for rules or before the date prescribed by section religious or apostolic association or requiring the inclusion of identifying 6072(b) with the service center corporation shall be filed on or before numbers in Form 1099. prescribed in the relevant Internal the date prescribed by section 6072(b). (b) Exception. Returns made on Form Revenue Service revenue procedure, Each such return shall be filed in 1099 reporting nonemployee publication, form, or instructions to the accordance with the instructions compensation shall be filed on or before form (see § 601.601(d)(2) of this applicable thereto. January 31 of the year following the chapter). Such return shall state * * * * * calendar year to which such returns specifically with respect to the fund the (k) Applicability date. This section relate. (c) Applicability date. This section items of gross income and the applies to returns filed on or after applies to returns filed on or after deductions allowed by subtitle A of the January 30, 2020. Section 1.6033–2T (as January 30, 2020. Section 1.6041–6T (as Internal Revenue Code, shall include contained in 26 CFR part 1, revised contained in 26 CFR part 1, revised each participant’s name and address, April 2019) applies to returns filed April 2019) applies to returns filed the participant’s proportionate share of before January 30, 2020. taxable income or net loss (exclusive of before January 30, 2020. § 1.6033–2T [Removed] gains and losses from sales or exchanges § 1.6041–6T [Removed] of capital assets), the participant’s ■ Par. 11. Section 1.6033–2T is ■ Par. 15. Section 1.6041–6T is proportionate share of gains and losses removed. from sales or exchanges of capital assets, removed. and the participant’s share of items ■ Par. 12. Revise paragraph (a)(3)(ii) and ■ Par. 16. Revise paragraphs (a) and which enter into the determination of add paragraph (d) to § 1.6041–2 to read (d)(1) and (2) and add paragraph (g) to the tax imposed by section 56. See as follows: § 1.6072–2 to read as follows: §§ 1.584–2 and 1.58–5. If the common § 1.6041–2 Return of information as to § 1.6072–2 Time for filing returns of trust fund is maintained by two or more payments to employees. corporations. banks that are members of the same (a) * * * (a) Domestic and certain foreign affiliated group, the return must also (3) * * * corporations—(1) In general—(i) C identify the member bank in the group (ii) Exception. In a case where an corporations. Except as provided in that has contributed each participant’s employer is not required to file Forms paragraph (a)(2) of this section, the property or money to the fund. A copy W–3 and W–2 under § 31.6011(a)–4 or income tax return required under of the plan of the common trust fund § 31.6011(a)–5 of this chapter, returns section 6012 of a domestic C must be filed with the return. If, on Forms W–3 and W–2 required under corporation (as defined in section however, a copy of such plan has once this paragraph (a) for any calendar year 1361(a)(2)) or of a foreign C corporation been filed with a return, it need not shall be filed on or before January 31 of having an office or place of business in again be filed if the return contains a the following year. the United States shall be filed on or statement showing when and where it * * * * * before the fifteenth day of the fourth was filed. If the plan is amended in any month following the close of the taxable way after such copy has been filed, a (d) Applicability date. This section applies to returns filed on or after year. copy of the amendment must be filed (ii) S corporations. The income tax with the return for the taxable year in January 30, 2020. Section 1.6041–2T (as contained in 26 CFR part 1, revised return required under sections 6012 and which the amendment was made. For 6037 of an S corporation (as defined in the signing of a return of a bank with April 2019) applies to returns filed before January 30, 2020. section 1361(a)(1)) shall be filed on or respect to common trust funds, see before the fifteenth day of the third § 1.6062–1, relating to the manner § 1.6041–2T [Removed] month following the close of the taxable prescribed for the signing of a return of ■ year. a corporation. Par. 13. Section 1.6041–2T is removed. (2) Exception. For taxable years (b) This section applies to returns beginning before January 1, 2026, the ■ Par. 14. Revise § 1.6041–6 to read as filed on or after January 30, 2020. income tax return of a C corporation follows: Section 1.6032–1T (as contained in 26 described in paragraph (a)(1)(i) of this CFR part 1, revised April 2019) applies § 1.6041–6 Returns made on Forms 1096 section that has a taxable year that ends to taxable years beginning before and 1099 under section 6041; contents and on June 30 shall be filed on or before the January 30, 2020. time and place for filing. fifteenth day of the third month § 1.6032–1T [Removed] (a) In general. Except as provided in following the close of the taxable year. paragraph (b) of this section, returns For purposes of this paragraph (a)(2), ■ Par. 9. Section 1.6032–1T is removed. made under section 6041 on Forms 1096 the return for a short period (within the ■ Par. 10. Revise paragraphs (e) and (k) and 1099 for any calendar year shall be meaning of section 443) that ends on of § 1.6033–2 to read as follows: filed on or before February 28 (March 31 any day in June shall be treated as the § 1.6033–2 Returns by exempt if filed electronically) of the following return for a taxable year that ends on organizations (taxable years beginning after year with any of the Internal Revenue June 30. December 31, 1969) and returns by certain Service Centers, the addresses of which * * * * * nonexempt organizations (taxable years are listed in the instructions for such (d) * * * beginning after December 31, 1980). forms. The name and address of the (1) Section 521 associations. A * * * * * person making the payment and the farmers’, fruit growers’, or like
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association, organized and operated in to file returns on or after January 30, January 1, 2026, the first sentence of compliance with the requirements of 2020. Section 1.6081–1T (as contained paragraph (a) of this section shall be section 521 and § 1.521–1; and in 26 CFR part 1, revised April 2019) applied by substituting ‘‘7-month’’ for (2) Section 1381 corporations. For a applies to requests for extension of time ‘‘6-month.’’ For purposes of this taxable year beginning after December to file returns before January 30, 2020. paragraph (e), the return for a short 31, 1962, a corporation described in period (within the meaning of section section 1381(a)(2), which is under a § 1.6081–1T [Removed] 443) that ends on any day in June shall valid enforceable written obligation to ■ Par. 19. Section 1.6081–1T is be treated as the return for a taxable year pay patronage dividends (as defined in removed. that ends on June 30. section 1388(a) and § 1.1388–1(a)) in an ■ Par. 20. Revise paragraphs (a) and (h) (f) Cross reference. For provisions amount equal to at least 50 percent of of § 1.6081–2 to read as follows: relating to extensions of time to file its net earnings from business done with Form 1120–POL, ‘‘U.S. Income Tax or for its patrons, or which paid § 1.6081–2 Automatic extension of time to Return for Certain Political patronage dividends in such an amount file certain returns filed by partnerships. Organizations,’’ see § 1.6081–9. out of the net earnings from business (a) In general. A partnership required (g) Applicability date. This section done with or for patrons during the to file Form 1065, ‘‘U.S. Partnership applies to requests for extension of time most recent taxable year for which it Return of Income,’’ or Form 8804, to file corporation income tax returns on had such net earnings. Net earnings for ‘‘Annual Return for Partnership or after January 30, 2020. Section purposes of this paragraph (d)(2) shall Withholding Tax,’’ for any taxable year 1.6081–3T (as contained in 26 CFR part not be reduced by any taxes imposed by will be allowed an automatic six-month 1, revised April 2019) applies to subtitle A of the Internal Revenue Code extension of time to file the return after applications for an automatic extension and shall not be reduced by dividends the date prescribed for filing the return of time to file before January 30, 2020. paid on capital stock or other if the partnership files an application § 1.6081–3T [Removed] proprietary interest. under this section in accordance with ■ * * * * * paragraph (b) of this section. No Par. 23. Section 1.6081–3T is (g) Applicability date. This section additional extension will be allowed removed. applies to returns filed on or after pursuant to § 1.6081–1(b) beyond the ■ Par. 24. Revise paragraphs (a)(1) and January 30, 2020. Section 1.6072–2T (as automatic six-month extension provided (f) of § 1.6081–5 to read as follows: contained in 26 CFR part 1, revised by this section. In the case of a partnership described in § 1.6081– § 1.6081–5 Extensions of time in the case April 2019) applies to returns before of certain partnerships, corporations and January 30, 2020. 5(a)(1), the automatic extension of time U.S. citizens and residents. to file allowed under this section runs § 1.6072–2T [Removed] concurrently with an extension of time (a) * * * (1) Partnerships, which are required to file granted pursuant to § 1.6081–5. ■ Par. 17. Section 1.6072–2T is under section 6072(b) to file returns on removed. * * * * * the fifteenth day of the third month ■ Par. 18. Revise paragraphs (a) and (c) (h) Applicability date. This section following the close of the taxable year of § 1.6081–1 to read as follows: applies to applications for an automatic of the partnership, that keep their extension of time to file the partnership records and books of account outside § 1.6081–1 Extension of time for filing returns listed in paragraph (a) of this the United States and Puerto Rico; returns. section on or after January 30, 2020. (a) In general. The Commissioner is * * * * * Section 1.6081–2T (as contained in 26 (f) This section applies to returns filed authorized to grant a reasonable CFR part 1, revised April 2019) applies on or after January 30, 2020. Section extension of time for filing any return, to applications for an automatic 1.6081–5T (as contained in 26 CFR part declaration, statement, or other extension of time to file before January 1, revised April 2019) applies to document that relates to any tax 30, 2020. applications for an automatic extension imposed by subtitle A of the Internal of time to file returns before January 30, Revenue Code (Code) and that is § 1.6081–2T [Removed] 2020. required under the provisions of subtitle ■ Par. 21. Section 1.6081–2T is A or F of the Code. However, other than removed. § 1.6081–5T [Removed] in the case of taxpayers who are abroad ■ Par. 22. Revise paragraphs (a) ■ Par. 25. Section 1.6081–5T is or as specified in section 6081(b), such introductory text and (e) through (g) of removed. extensions of time shall not be granted § 1.6081–3 to read as follows: ■ for more than six months, and the Par. 26. Revise paragraphs (a)(1) and extension of time for filing the return of § 1.6081–3 Automatic extension of time for (g) of § 1.6081–6 to read as follows: a DISC (as defined in section 992(a)), as filing corporation income tax returns. § 1.6081–6 Automatic extension of time to specified in section 6072(b), shall not be (a) In general. Except as provided in file estate or trust income tax return. granted. Except in the case of an paragraphs (e) and (f) of this section, a (a) * * * (1) Except as provided in extension of time pursuant to § 1.6081– corporation or an affiliated group of paragraph (a)(2) of this section, any 5, an extension of time for filing an corporations filing a consolidated return estate, including but not limited to an income tax return shall not operate to will be allowed an automatic 6-month estate defined in section 2031, or trust extend the time for the payment of the extension of time to file its income tax required to file an income tax return on tax unless specified to the contrary in return after the date prescribed for filing Form 1041, ‘‘U.S. Income Tax Return for the extension. For rules relating to the return if the following requirements Estates and Trusts,’’ will be allowed an extensions of time for paying tax, see are met. automatic five and one-half month § 1.6161–1. * * * * * extension of time to file the return after * * * * * (e) Exception. In the case of any return the date prescribed for filing the return (c) Applicability date. This section for a taxable year of a C corporation that if the estate or trust files an application applies to requests for extension of time ends on June 30 and begins before under this section in accordance with
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paragraph (b) of this section. No time to file any other return listed in is made, except that, if a tax return additional extension will be allowed paragraph (a) of this section), or in any under § 31.6011(a)–5(a) is filed as a final pursuant to § 1.6081–1(b) beyond the other manner as may be prescribed by return for a period ending prior to automatic five and one-half month the Commissioner; December 31, the information return extension provided by this section. * * * * * must be filed on or before the last day * * * * * (3) Show the full amount properly of the first month following the period (g) Applicability date. This section estimated as tentative tax for the entity for which the tax return is filed. applies to applications for an automatic for the taxable year; and (ii) Expedited filing. If an employer who is required to make a return extension of time to file an estate or * * * * * trust income tax return on or after (c) Termination of automatic pursuant to § 31.6011(a)–1 or January 30, 2020. Section 1.6081–6T (as extension. The Commissioner may § 31.6011(a)–4 is required to make a contained in 26 CFR part 1, revised terminate an automatic extension at any final return on Form 941, or a variation April 2019) applies to applications for time by mailing to the entity a notice of thereof, under § 31.6011(a)–6(a)(1) an automatic extension of time to file a termination. The notice must be mailed (relating to the final return for Federal return before January 30, 2020. at least 10 days prior to the termination Insurance Contributions Act taxes and income tax withholding from wages), § 1.6081–6T [Removed] date designated in such notice. The notice of termination must be mailed to the return which is required to be made ■ Par. 27. Section 1.6081–6T is the address shown on the application under § 31.6051–2 must be filed on or removed. for extension or to the entity’s last before the last day of the first month ■ Par. 28. Revise paragraphs (a), (b)(1) known address. For further guidance following the period for which the final and (3), and (c) through (f) of § 1.6081– regarding the definition of last known return is filed. The requirements set 9 to read as follows: address, see § 301.6212–2 of this forth in this paragraph (a)(3)(ii) do not chapter. apply to employers with respect to § 1.6081–9 Automatic extension of time to employees whose wages are for file exempt or political organization returns. (d) Penalties. See sections 6651 and 6652(c) for failure to file a return or domestic service in the private home of (a) In general. An entity required to the employer. See § 31.6011(a)–1(a)(3). file a return on a form in the Form 990 failure to pay the amount shown as tax series (Form 990, ‘‘Return of on the return. * * * * * (g) Applicability date. This section Organization Exempt From Income (e) Coordination with § 1.6081–1. No applies to returns filed on or after Tax,’’ Form 990–BL, ‘‘Information and extension of time will be granted under January 30, 2020. Section 31.6071(a)–1T Initial Excise Tax Return for Black Lung § 1.6081–1 for filing a return listed in (as contained in 26 CFR part 31, revised Benefit Trusts and Certain Related paragraph (a) of this section until an April 2019) applies to returns filed Persons,’’ Form 990–EZ, ‘‘Short Form automatic extension has been allowed Return of Organization Exempt From pursuant to this section. before January 30, 2020. Income Tax,’’ Form 990–PF, ‘‘Return of (f) Applicability date. This section § 31.6071(a)–1T [Removed] Private Foundation,’’ and Form 990–T, applies to requests for extensions of ■ Par. 32. Section 31.6071(a)–1T is ‘‘Exempt Organization Business Tax time to file returns listed in paragraph removed. Return’’), Form 1041–A, ‘‘U.S. (a) of this section on or after January 30, Information Return-Trust Accumulation 2020. Sections 1.6081–3T and 1.6081– Sunita Lough, of Charitable Amounts,’’ Form 1120– 9T (as contained in 26 CFR part 1, Deputy Commissioner for Services and POL, ‘‘U.S. Income Tax Return for revised April 2019) apply to requests for Enforcement. Certain Political Organizations,’’ Form extensions before January 30, 2020. Approved: November 25, 2019. 4720, ‘‘Return of Certain Excise Taxes § 1.6081–9T [Removed] David J. Kautter, Under Chapters 41 and 42 of the ■ Assistant Secretary of the Treasury (Tax Internal Revenue Code,’’ Form 5227, Par. 29. Section 1.6081–9T is Policy). removed. ‘‘Split-Interest Trust Information [FR Doc. 2020–00467 Filed 1–29–20; 8:45 am] Return,’’ Form 6069, ‘‘Return of Excise BILLING CODE 4830–01–P Tax on Excess Contributions to Black PART 31—EMPLOYMENT TAXES AND Lung Benefit Trust Under Section 4953 COLLECTION OF INCOME TAX AT THE and Computation of Section 192 SOURCE ENVIRONMENTAL PROTECTION Deduction,’’ and Form 8870, ■ Par. 30. The authority citation for part AGENCY ‘‘Information Return for Transfers 31 continues to read in part as follows: Associated With Certain Personal 40 CFR Part 52 Benefit Contracts,’’ will be allowed an Authority: 26 U.S.C. 7805 * * * automatic six-month extension of time ■ Par. 31. Revise paragraph (a)(3) and [EPA–R08–OAR–2019–0163; FRL–10003– 37–Region 8] to file the return after the date add paragraph (g) to § 31.6071(a)–1 to prescribed for filing if the entity files an read as follows: Approval and Promulgation of application in accordance with Implementation Plans; State of paragraph (b) of this section. § 31.6071(a)–1 Time for filing returns and (b) * * * other documents. Montana; State Implementation Plan (1) Be submitted on Form 7004, (a) * * * Revisions for Open Burning ‘‘Application for Automatic Extension (3) Information returns—(i) General AGENCY: Environmental Protection of Time to File Certain Business Income rule. Each information return in respect Agency (EPA). Tax, Information, and Other Returns’’ of wages as defined in the Federal ACTION: Final rule. (in the case of an extension of time to Insurance Contributions Act or of file Form 1120–POL), Form 8868, income tax withheld from wages as SUMMARY: The Environmental Protection ‘‘Application for Automatic Extension required under § 31.6051–2 must be Agency (EPA) is approving a State of Time to File an Exempt Organization filed on or before January 31 of the year Implementation Plan (SIP) revision Return’’ (in the case of an extension of following the calendar year for which it submitted by the State of Montana on
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May 24, 2018. The revisions remove a II. Response to Comments that Montana is not removing the prohibition on the open burning of Comment: The first commenter burning prohibitions from state law and asbestos and asbestos-containing discusses the general physical and this action does not exempt any sources materials located in the SIP-approved chemical characteristics of asbestos and from compliance with the national Administrative Rules of Montana (ARM) the consequences to human health emission standards for asbestos in Title 17, chapter 8, subchapter 6 and the when inhaled. In addition, the Subpart M. similar provision in the SIP-approved commenter provides a brief discussion Comment: The second commenter Lincoln County Air Pollution Control on where asbestos has been banned and discusses the general health effects of Program. The revisions also remove a that only a few developed countries, asbestos reported from the World Health corresponding cross-reference located in including the United States, currently Organization and that, even though the NESHAP have in place regulations on SIP-approved ARM Title 17, chapter 8, have no ban. The commenter briefly burning of asbestos materials, the EPA subchapter 3 (concerning wood-waste mentions that the EPA has attempted to should have as many regulations as burners). The EPA is taking this action ban asbestos but has faced lawsuits possible to discourage burning of this pursuant to the Clean Air Act (CAA). against this prohibition. Additionally, material. Additionally, the commenter DATES: This rule is effective on March 2, the commenter provides brief discusses that the safety of the City of 2020. information from a July 1, 2019 Reuters Libby, neighboring states, and the ADDRESSES: The EPA has established a article that claimed that several states nation of Canada should have been docket for this action under Docket ID filed a lawsuit against the EPA to enact considered to verify that these No. EPA–R08–OAR–2019–0163. All stricter requirements for asbestos. The populations were protected from documents in the docket are listed on commenter cites Libby, Montana as a harmful asbestos particulates. the http://www.regulations.gov website. prime example of the consequences of Furthermore, the commenter mentions Although listed in the index, some having asbestos in the air and provides that particles from asbestos will not information is not publicly available, a quote from the Asbestos.com website remain as air pollution but could e.g., CBI or other information whose that describes Libby, Montana as ‘‘the contaminate local water systems (lakes, disclosure is restricted by statute. site of one of America’s worst man- rivers, reservoirs, and groundwater). Certain other material, such as made environmental disasters.’’ The commenter concludes that the EPA copyrighted material, is not placed on Furthermore, the commenter reiterates should reject the revisions. the internet and will be publicly that the EPA even declared a Public Response: As discussed above, available only in hard copy form. Health Emergency in 2008 in Libby, asbestos is regulated under several EPA- Publicly available docket materials are Montana, due to the asbestos dust from administered laws and regulations, available through http:// the mining of vermiculite and only including the CAA’s air toxics program. www.regulations.gov, or please contact recently (2018) announced a decline in The NESHAP regulates hazardous air the person identified in the ‘‘FOR clean-up efforts. The commenter pollutants (HAPs), which are pollutants FURTHER INFORMATION CONTACT’’ section concludes that the EPA should not that are known or suspected to cause for additional availability information. approve the revisions. cancer or other serious health effects; to FOR FURTHER INFORMATION CONTACT: Response: The EPA is concerned that end, EPA has established national Crystal Ostigaard, Air and Radiation about the potential for adverse health emission standards for asbestos and Division, EPA, Region 8, Mailcode effects of asbestos based on established certain asbestos-containing materials in 8ARD–IO, 1595 Wynkoop Street, sound scientific data indicating that 40 CFR part 61, subpart M. Denver, Colorado, 80202–1129, (303) asbestos is a known human carcinogen. Nevertheless, the comment does not 312–6602, [email protected]. Indeed, the Agency administers several identify any CAA provisions that the SUPPLEMENTARY INFORMATION: laws and regulations pertaining to commenter believes either the EPA or Throughout this document ‘‘we,’’ ‘‘us,’’ asbestos, see https://www.epa.gov/ the State failed to address with respect and ‘‘our’’ means the EPA. asbestos/asbestos-laws-and-regulations, to interstate emissions, international including the CAA. For example, the emissions, or water pollution, nor does I. Background CAA requires that the EPA establish the comment identify any material On October 15, 2019 (84 FR 55104), national emission standards for issues pertaining to the EPA’s review of the EPA proposed to approve revisions hazardous air pollutants (NESHAP), a SIP revision under the NAAQS to the State of Montana’s SIP that would including asbestos. To that end, asbestos program. Accordingly, the EPA is remove a prohibition on the open was one of the first hazardous air finalizing its approval of Montana’s SIP burning of asbestos and asbestos- pollutants regulated under the air toxics revision. containing materials located in the SIP- program, currently found at 40 CFR part Comment: The third commenter approved ARM Title 17, chapter 8, 61, subpart M. That regulation has been discusses the general consequences to subchapter 6 (ARM located at amended several times, see https:// human health when asbestos is inhaled. 17.8.604(1)(w)) and the similar www.epa.gov/stationary-sources-air- The commenter also provides provision in the SIP-approved Lincoln pollution/asbestos-national-emission- information from the World Health County Air Pollution Control Program standards-hazardous-air-pollutants. Organization and the International (located at 75.1.405(2)(w)). The revision Nevertheless, while the commenter Labor Organization about global would also remove a corresponding raises concerns with asbestos generally estimates that 125 million are exposed cross-reference located in SIP-approved and with asbestos mining in Libby, to asbestos each year and 107,000 ARM Title 17, chapter 8, subchapter 3 Montana, specifically, the comment workers die every year from (concerning wood-waste burners) does not identify any material issues occupational exposure to airborne (reference located at 17.8.320(9)). pertaining to the EPA’s review of a SIP asbestos, respectively. The commenter We received four comments on our revision under the National Ambient concludes that the EPA should not proposed rule. Section II of this final Air Quality Standards (NAAQS) approve the revisions. rule provides a summary of the program. Accordingly, the EPA is Response: As discussed above, the comments that were received and our finalizing its approval of Montana’s SIP EPA is concerned about the potential corresponding responses. revision. The EPA notes, nonetheless, health risks associated with asbestos
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and administers several laws and person identified in the FOR FURTHER Technology Transfer and Advancement regulations pertaining to asbestos. INFORMATION CONTACT section of this Act of 1995 (15 U.S.C. 272 note) because Nonetheless, the comment does not preamble for more information). application of those requirements would identify any material issues pertaining Therefore, these materials have been be inconsistent with the CAA; and to the EPA’s review of a SIP revision approved by the EPA for inclusion in • Does not provide EPA with the under the NAAQS program. the State implementation plan, have discretionary authority to address, as Accordingly, the EPA is finalizing its been incorporated by reference by the appropriate, disproportionate human approval of Montana’s SIP revision. EPA into that plan, are fully federally health or environmental effects, using Comment: The fourth commenter enforceable under sections 110 and 113 practicable and legally permissible briefly discusses the consequences to of the CAA as of the effective date of the methods, under Executive Order 12898 human health when asbestos is inhaled final rulemaking of the EPA’s approval, (59 FR 7629, February 16, 1994). and provides a quote from the American and will be incorporated by reference in In addition, the SIP is not approved Cancer Society that the U.S. the next update to the SIP compilation.1 to apply on any Indian reservation land Occupational Health and Safety or in any other area where EPA or an Administration estimates that over a V. Statutory and Executive Order Reviews Indian tribe has demonstrated that a million American employees in tribe has jurisdiction. In those areas of construction and general industries face Under the CAA, the Administrator is Indian country, the rule does not have asbestos exposure on the job. required to approve a SIP submission tribal implications and will not impose Additionally, the commenter provides a that complies with the provisions of the substantial direct costs on tribal quote from an article discussion on Act and applicable Federal regulations. governments or preempt tribal law as mesothelioma settlements that the mass 42 U.S.C. 7410(k); 40 CFR 52.02(a). specified by Executive Order 13175 (65 asbestos exposure from the vermiculite Thus, in reviewing SIP submissions, the FR 67249, November 9, 2000). mines in Libby resulted in two payouts: EPA’s role is to approve state choices, The Congressional Review Act, 5 (1) 2011, $43 million settlement provided that they meet the criteria of U.S.C. 801 et seq., as added by the Small covering more than 1,300 miners and the Clean Air Act. Accordingly, this Business Regulatory Enforcement their estates; and, (2) 2017, $25 million action merely approves state law as Fairness Act of 1996, generally provides settlement to more than 1,000 people. meeting Federal requirements and does that before a rule may take effect, the The commenter concludes that the State not impose additional requirements agency promulgating the rule must of Montana and the EPA are not beyond those imposed by state law. For submit a rule report, which includes a concerned with the dangers of asbestos, that reason, this action: copy of the rule, to each House of the nor the consequences on public health; • Is not a ‘‘significant regulatory Congress and to the Comptroller General therefore, the EPA should not approve action’’ subject to review by the Office of the United States. EPA will submit a the revisions. of Management and Budget under Response: As discussed above, the report containing this action and other Executive Orders 12866 (58 FR 51735, required information to the U.S. Senate, EPA is concerned about the potential October 4, 1993) and 13563 (76 FR 3821, health risks associated with asbestos the U.S. House of Representatives, and January 21, 2011); the Comptroller General of the United and administers several laws and • Is not an Executive Order 13771 (82 States prior to publication of the rule in regulations pertaining to asbestos. FR 9339, February 2, 2017) regulatory the Federal Register. A major rule Nonetheless, the comment does not action because SIP approvals are cannot take effect until 60 days after it identify any material issues pertaining exempted under Executive Order 12866; to the EPA’s review of a SIP revision • Does not impose an information is published in the Federal Register. under the NAAQS program. collection burden under the provisions This action is not a ‘‘major rule’’ as Accordingly, the EPA is finalizing its of the Paperwork Reduction Act (44 defined by 5 U.S.C. 804(2). approval of Montana’s SIP revision. U.S.C. 3501 et seq.); Under section 307(b)(1) of the Clean • Is certified as not having a Air Act, petitions for judicial review of III. Final Action significant economic impact on a this action must be filed in the United We are finalizing our approval of the substantial number of small entities States Court of Appeals for the following revisions to the Montana SIP under the Regulatory Flexibility Act (5 appropriate circuit by March 30, 2020. that were submitted on May 24, 2018: U.S.C. 601 et seq.); Filing a petition for reconsideration by (1) Removal of ARM 17.8.604(1)(w); (2) • Does not contain any unfunded the Administrator of this final rule does removal of the reference to mandate or significantly or uniquely not affect the finality of this action for ARM17.8.604(1)(w) in ARM 17.8.320(9); affect small governments, described in the purposes of judicial review nor does and (3) removal of 75.1.405(2)(w) in the the Unfunded Mandates Reform Act of it extend the time within which a Lincoln County Air Pollution Control 1995 (Pub. L. 104–4); petition for judicial review may be filed, Program. • Does not have Federalism and shall not postpone the effectiveness implications as specified in Executive of such rule or action. This action may IV. Incorporation by Reference Order 13132 (64 FR 43255, August 10, not be challenged later in proceedings to In this document, the EPA is 1999); enforce its requirements. (See section finalizing regulatory text that includes • Is not an economically significant 307(b)(2).) incorporation by reference. In regulatory action based on health or List of Subjects in 40 CFR Part 52 accordance with requirements of 1 CFR safety risks subject to Executive Order 51.5, the EPA is finalizing the 13045 (62 FR 19885, April 23, 1997); Environmental protection, Air incorporation by reference of the SIP • Is not a significant regulatory action pollution control, Carbon monoxide, amendments described in Section I and subject to Executive Order 13211 (66 FR Greenhouse gases, Incorporation by III of this preamble. The EPA has made, 28355, May 22, 2001); reference, Intergovernmental relations, and will continue to make, these • Is not subject to requirements of Lead, Nitrogen dioxide, Ozone, materials generally available through section 12(d) of the National Particulate matter, Reporting and www.regulations.gov and at the EPA recordkeeping requirements, Sulfur Region 8 Office (please contact the 1 62 FR 27968 (May 22, 1997). oxides, Volatile organic compounds.
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Dated: December 31, 2019. Authority: 42 U.S.C. 7401 et seq. § 52.1370 Identification of plan. Debra Thomas, * * * * * Subpart BB—Montana Acting Regional Administrator, Region 8. (c) * * * 40 CFR part 52 is amended as follows: ■ 2. In § 52.1370, the table in paragraph PART 52—APPROVAL AND (c) is amended by revising the entries PROMULGATION OF for ‘‘17.8.320,’’ ‘‘17.8.604,’’ and ‘‘1660 IMPLEMENTATION PLANS Resolution.’’ ■ 1. The authority citation for part 52 The revisions read as follows: continues to read as follows:
State effective EPA final rule State citation Rule title date date Final rule citation Comments
******* 17.8.320 ...... Wood-waste Burners ...... 1/30/2020 [Insert Federal Reg- Removed (1)(w). ister citation].
******* 17.8.604 ...... Materials Prohibited ...... 1/30/2020 [Insert Federal Reg- Removed cross-reference to from Open Burning. ister citation]. ARM17.8.604(1)(w).
******* 1660 Resolution ...... Lincoln County Health ...... 1/30/2020 [Insert Federal Reg- Removed 75.1.405(2)(w). and Environment ister citation]. Regulations.
*******
* * * * * dose reconstruction from NIOSH. Thus, docket stating its concurrence with the [FR Doc. 2020–00196 Filed 1–29–20; 8:45 am] no eligible claimant will be adversely interim final rule as published. BILLING CODE 6560–50–P impacted by the rulemaking finalized in this document. III. Background DATES: This rule is effective on January As described in the August 2019 DEPARTMENT OF HEALTH AND 30, 2020. interim final rule, EEOICPA was HUMAN SERVICES FOR FURTHER INFORMATION CONTACT: established to provide financial Rachel Weiss, Program Analyst; 1090 compensation and prospective medical 42 CFR Part 81 Tusculum Ave., MS: C–48, Cincinnati, benefits to employees for illness caused [Docket Number CDC–2019–0050; NIOSH– OH 45226; telephone (855) 818–1629 by exposure to radiation, beryllium, 329] (this is a toll-free number); email silica, and toxic substances during their [email protected]. employment at facilities of the RIN 0920–AA74 SUPPLEMENTARY INFORMATION: Department of Energy, its predecessor agencies, and certain of its contractors Guidelines for Determining the I. Public Participation Probability of Causation Under the and vendors. It is administered by the Energy Employees Occupational Interested persons or organizations Department of Labor’s Office of Illness Compensation Program Act of were invited to participate in this Workers’ Compensation Programs 2000; Technical Amendments rulemaking by submitting written views, (OWCP) with radiation dose arguments, recommendations, and data. reconstructions for claims involving AGENCY: Centers for Disease Control and Comments were invited on any topic radiogenic cancers provided by CDC’s Prevention, HHS. related to this rulemaking. National Institute for Occupational ACTION: Final rule. HHS received one public comment for Safety and Health (NIOSH). HHS this rulemaking from a professional regulations in 42 CFR part 81 govern the SUMMARY: In August 2019, the organization of health physicists. Department of Health and Human NIOSH dose reconstructions. II. Review by the Advisory Board on Services (HHS) published an interim IV. Summary of Final Rule final rule to revise its regulations to Radiation and Worker Health update references to the International As discussed in the August 2019 In the August 2019 interim final rule, Classification of Disease (ICD) codes interim final rule (84 FR 37587), the HHS updated the International from ICD–9–CM to ICD–10–CM, and Energy Employees Occupational Illness Classification of Disease (ICD) codes remove outdated references to chronic Compensation Program Act of 2000 required to identify specific cancer lymphocytic leukemia from Energy (EEOICPA) 1 requires that HHS obtain a types used in determining the Employees Occupational Illness review by of that rulemaking the likelihood that an individual’s cancer is Compensation Program regulations. Advisory Board on Radiation and associated with workplace radiation These technical amendments have no Worker Health. The Board conducted its exposures using a number of factors, effect on the cancer eligibility review and submitted a letter to the including the radiation doses estimated requirement under the Program because by NIOSH. Both the public commenter all cancer types are eligible to receive a 1 42 U.S.C. 7384n(c). and the Board concurred with updating
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references from ICD–9–CM to ICD–10– tables of ICD–10 codes and their cancer to consider the potential impact of its CM. descriptions, are readily available regulations on small entities including Although supportive of the online. small businesses, small governmental rulemaking, the public commenter units, and small not-for-profit V. Regulatory Assessment objected to HHS’s explanation in the organizations. The rule affects only Requirements interim final rule preamble that ‘‘the Federal agencies and certain individuals definition of the term ‘non-radiogenic A. Executive Orders 12866 (Regulatory covered by EEOICPA. Therefore, HHS cancer’ is removed because all cancers Planning and Review) and 13563 certifies that this final rule will not have are considered radiogenic.’’ According (Improving Regulation and Regulatory a significant economic impact on a to the commenter, Review) substantial number of small entities. [t]his is a very claimant-favorable policy Executive Orders 12866 and 13563 D. Paperwork Reduction Act decision which is not supported by scientific direct agencies to assess all costs and The Paperwork Reduction Act, 44 evidence. According to UNSCEAR [citation benefits of available regulatory omitted], ‘. . . for about 30% of tumour types U.S.C. 3501 et seq., requires an agency . . . there is only a weak or no relationship alternatives and, if regulation is to invite public comment on and to between radiation exposure and risk at any necessary, to select regulatory obtain OMB approval of any rule of age of exposure.’ To be consistent with approaches that maximize net benefits general applicability that requires scientific evidence we recommend a revision (including potential economic, recordkeeping, reporting, or disclosure to remove the assertion that there are no non- environmental, public health and safety requirements. radiogenic [cancers]. effects, distributive impacts, and NIOSH has obtained approval from HHS agrees that the explanation equity). E.O. 13563 emphasizes the OMB to collect information from should properly have stated that the importance of quantifying both costs claimants under ‘‘Energy Employees definition is being removed because and benefits, of reducing costs, of Occupational Illness Compensation there are no types of cancer ineligible harmonizing rules, and of promoting Program Act Dose Reconstruction for NIOSH dose reconstruction; flexibility. Interviews and Forms (EEOICPA)’’ accordingly, the revision is accepted This final rule is not being treated as (OMB Control No. 0920–0530, exp. and the explanation for the removal of a ‘‘significant’’ action under E.O. 12866. January 31, 2022), which covers the definition is revised below. No other It updates references and ICD codes in information collected under 42 CFR part changes are made to the rulemaking existing 42 CFR part 81 to allow better 81. This rulemaking does not change the preamble or regulatory text. administrative efficiency in the reporting burden on any respondents. With this final rule, and for the processing of dose reconstruction reasons discussed in the August 2019 claims. The rule does not result in costs E. Small Business Regulatory interim final rule, HHS adopts as final to the Program, claimants, or any other Enforcement Fairness Act amendments to the regulations in 42 interested parties. Accordingly, HHS As required by Congress under the CFR part 81 allowing NIOSH to update has not prepared an economic analysis Small Business Regulatory Enforcement references and ICD codes. No and the Office of Management and Fairness Act of 1996 (5 U.S.C. 801 et substantive changes are made to part 81. Budget (OMB) has not reviewed this seq.), the Department will report the In the existing definitions section, rulemaking. promulgation of this rule to Congress § 81.4, the term ‘‘specified cancer’’ The rule does not interfere with State, prior to its effective date. The report includes a reference to a corresponding local, or tribal governments in the will state that the Department has DOL regulation (i.e., 20 CFR 30.5(dd)). exercise of their governmental concluded that this rule is not a ‘‘major DOL has recently conducted a functions. rule’’ because it is not likely to result in rulemaking to revise 20 CFR part 30 that B. Executive Order 13771 (Reducing an annual effect on the economy of $100 resulted in the reordering of this Regulation and Controlling Regulatory million or more. reference from 20 CFR 30.5(dd) to 20 Costs) CFR 30.5(gg).2 Therefore, in § 81.4, HHS F. Unfunded Mandates Reform Act of has revised the reference to read ‘‘20 Executive Order 13771 requires 1995 CFR 30.5(gg).’’ In addition, the executive departments and agencies to Title II of the Unfunded Mandates definition of the term ‘‘non-radiogenic eliminate at least two existing Reform Act of 1995 (2 U.S.C. 1531 et cancer’’ is removed because there are no regulations for every new significant seq.) directs agencies to assess the longer any types of cancer ineligible for regulation that imposes costs. HHS has effects of Federal regulatory actions on receiving a dose reconstruction from determined that this rulemaking is cost- State, local, and tribal governments, and NIOSH. Finally, § 81.4 is revised by neutral because it does not require any the private sector ‘‘other than to the adding a new definition of ‘‘ICD–10– new action by stakeholders. The extent that such regulations incorporate CM,’’ to include a reference and web rulemaking ensures that the dose requirements specifically set forth in link. reconstructions developed by the law.’’ For purposes of the Unfunded In existing § 81.5(b), the term ‘‘ICD–9’’ Program can be conducted efficiently. Mandates Reform Act, this rule does not is replaced with ‘‘ICD–10–CM.’’ In Because OMB has determined that include any Federal mandate that may §§ 81.21, 81.23, and 81.24, all references this rulemaking is not significant, result in increased annual expenditures to ICD–9 codes are changed to ICD–10– pursuant to E.O. 12866, and because it in excess of $100 million by State, local, CM codes. In §§ 81.21(a) and 81.24(a), does not impose costs, OMB has or tribal governments in the aggregate, outdated references to chronic determined that this rulemaking is or by the private sector. lymphocytic leukemia are also removed. exempt from the requirements of E.O. Finally, Appendix A is removed in its 13771. Thus it has not been reviewed by G. Executive Order 12988 (Civil Justice) entirety because it is a glossary of ICD– OMB. This rule has been drafted and 9 codes and their cancer descriptions, reviewed in accordance with Executive C. Regulatory Flexibility Act and such reference tables, including Order 12988, ‘‘Civil Justice Reform,’’ The Regulatory Flexibility Act, 5 and will not unduly burden the Federal 2 84 FR 3026 (February 8, 2019). U.S.C. 601 et seq., requires each agency court system. This rule has been
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reviewed carefully to eliminate drafting PART 81—GUIDELINES FOR acf.hhs.gov, (202) 358–3263 (not a toll- errors and ambiguities. DETERMINING PROBABILITY OF free call). Deaf and hearing impaired CAUSATION UNDER THE ENERGY individuals may call the Federal Dual H. Executive Order 13132 (Federalism) EMPLOYEES OCCUPATIONAL Party Relay Service at 1–800–877–8339 The Department has reviewed this ILLNESS COMPENSATION PROGRAM between 8 a.m. and 7 p.m. Eastern rule in accordance with Executive Order ACT OF 2000 Standard Time. SUPPLEMENTARY INFORMATION: 13132 regarding federalism, and has ■ 1. The authority citation for part 81 determined that it does not have continues to read as follows: I. Background ‘‘federalism implications.’’ The rule does not ‘‘have substantial direct effects Authority: 42 U.S.C. 7384n(c); E.O. 13179, Head Start Duration Requirements 65 FR 77487, 3 CFR, 2000 Comp., p. 321. on the States, on the relationship The Office of Head Start (OHS) has between the national government and Appendix A to Part 81—[Removed] long established performance the States, or on the distribution of ■ 2. Amend part 81 by removing requirements for Head Start programs in power and responsibilities among the Appendix A. regulation, including duration various levels of government.’’ requirements. For more than two Dated: January 10, 2020. decades, Head Start programs have been I. Executive Order 13045 (Protection of Alex M. Azar II, required to meet a minimum service Children From Environmental Health Secretary, Department of Health and Human duration of 3.5 hours per day, 4 days per Risks and Safety Risks) Services. week, for 128 days per year for center- [FR Doc. 2020–00636 Filed 1–29–20; 8:45 am] 1 In accordance with Executive Order based funded slots. 45 CFR BILLING CODE 4163–18–P 1302.21(c)(2((i). However, in September 13045, HHS has evaluated the 2016, OHS revised the regulations environmental health and safety effects governing the Head Start program, of this rule on children. HHS has DEPARTMENT OF HEALTH AND known as the Head Start Program determined that the rule would have no HUMAN SERVICES Performance Standards. See 81 FR effect on children. 61293 (Sept. 6, 2016). Those standards Administration for Children and required Head Start programs 2 to J. Executive Order 13211 (Actions Families Concerning Regulations That provide, (1) By August 1, 2019, 1,020 annual Significantly Affect Energy Supply, 45 CFR Part 1302 Distribution, or Use) hours of planned class operations over RIN 0970–AC63 the course of at least eight months per In accordance with Executive Order year for at least 50 percent of its Head 13211, HHS has evaluated the effects of Secretarial Determination To Lower Start center-based funded enrollment; this rule on energy supply, distribution Head Start Center-Based Service and or use, and has determined that the rule Duration Requirements (2) By August 1, 2021, a program must will not have a significant adverse AGENCY: Office of Head Start (OHS), provide 1,020 annual hours of planned effect. Administration for Children and class operations over the course of at Families (ACF), Department of Health least eight months per year for all of its K. Plain Writing Act of 2010 and Human Services (HHS). Head Start center-based funded enrollment. See 45CFR 1302.21(c)(2). Under Public Law 111–274 (October ACTION: Notification; Head Start center- Under the new regulations, this 13, 2010), executive Departments and based service duration requirements. requirement is a minimum; programs Agencies are required to use plain SUMMARY: The Secretary of Health and can choose to operate some or all slots language in documents that explain to Human Services has the authority, on or at a greater number of annual hours. The the public how to comply with a before February 1, 2020, to lower the 1,020 hours requirement represents an requirement the Federal Government percentage of center-based funded increase from the existing minimum administers or enforces. HHS has enrollment slots for which Head Start requirement of 3.5 hours per day, 4 days attempted to use plain language in programs must provide 1,020 annual per week, for 128 days per year, which promulgating the final rule consistent hours of planned class operations, based is equivalent to 448 annual hours. The with the Federal Plain Writing Act on an assessment of the availability of regulation, however, authorized the guidelines. sufficient funding to mitigate a Secretary to reduce those requirements, by February 1, 2018 and February 1, List of Subjects in 42 CFR Part 81 substantial reduction in funded enrollment. The Secretary hereby gives 2020, respectively, based on an Cancer, Government employees, notice of his exercise of that authority assessment of the availability of Nuclear materials, Occupational safety to reduce the percentage from 100 sufficient funding to mitigate a and health, Radiation protection, percent (all) of a Head Start program’s substantial reduction in funded Radioactive materials, Workers’ center-based slots, to 45 percent of a enrollment. See 45 CFR 1302.21(c)(3). compensation. Head Start program’s center-based slots. As noted, the 100 percent service DATES: This action is effective January duration standard is one of two Final Rule 30, 2020. requirements OHS included in the ADDRESSES: Office of Head Start, Mary performance standards to phase-in full For the reasons discussed in the day, full school year services for all preamble, the Department of Health and Switzer Bldg., 330 C Street SW, Washington, DC 20201. Human Services adopts as final the 1 FOR FURTHER INFORMATION CONTACT: ‘‘Center-based slots’’ refers to Head Start-funded interim final rule published on August slots. Colleen Rathgeb, Division Director for 1, 2019, at 84 FR 37587 and further 2 In this notice, ‘‘Head Start’’ refers to programing amends 42 CFR part 81 as follows: Planning, Oversight and Policy, Office services to preschool-age children, and does not of Head Start, OHS_duration@ refer to Early Head Start services.
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Head Start center-based slots over five this requirement may be too prescriptive percentage described in paragraph years. OHS based its decision to require to afford programs flexibility to design (c)(2)(iv) of this section [establishing the Head Start programs to provide 1,020 and operate service models that best 100 percent service duration annual hours of service to all center- meet the needs of the families they requirement], based on an assessment of based slots, by August 1, 2021, on a serve, especially in light of insufficient the availability of sufficient funding to body of research that suggests children federal appropriations for all programs mitigate a substantial reduction in in poverty benefit from longer exposure to meet this requirement. Although funded enrollment. 45 CFR to high-quality early learning programs research points to the benefits of 1302.21(c)(3)(ii). than what is provided by part-day and/ increased service duration for an In the January 2018 Federal Register or part-year programs. Research on full- individual child and family, research document, HHS and OHS removed the day programs, instructional time, cannot answer whether the population parallel provision that required at least summer learning loss, and attendance as a whole benefits more when fewer 50 percent of a Head Start program’s all indicate longer service duration is children are served for a longer period center-based slots provide 1,020 hours linked with improved child outcomes 3 of time in high-quality early education of classroom operations per year— and increased parental workforce programs as compared to more children meaning that Head Start grantees did participation.4 Moreover, increased being served for a shorter time in high- not have to significantly reduce slots in service duration allows teachers more quality early education programs. order to meet this requirement. time to provide individualized and Therefore, OHS issued a Notice of Funding Assessment content-rich learning that is important Proposed Rulemaking (NPRM) on March for positive child outcomes, and also 26, 2019, that proposed to remove the Based on the information and the better supports working families who 100 percent service duration standard. Head Start program assessment need a safe, nurturing care environment OHS issued the NPRM with the goals of provided to him, the Secretary for their children during the day. reducing regulatory burden and concludes that Head Start restoring flexibility to Head Start appropriations are not sufficient to The January 2018 Notice grantees to design programs that best allow the requirement at 45 CFR On January 19, 2018, the Secretary meet the needs of their local 1302.21(c)(2)(iv), for 100 percent of each issued a document, under 45 CFR communities. The public comment Head Start program’s center-based slots 1302.(c)(3)(i), reducing to zero the period has since ended, and OHS is to operate for 1,020 annual hours, to go percent of Head Start center-based slots currently reviewing the comments and into effect without resulting in a required to provide 1,020 annual hours considering its next steps. substantial reduction in Head Start of service by August 1, 2019. See 83 FR In the meantime, if the 100 percent center-based slots. 2743 (Jan. 19, 2018). As explained at the service duration standard were to go In fiscal year (FY) 2016, Congress time, the decision was made due to into effect without additional funding appropriated $294 million to support an insufficient funding to support the from Congress to support it, Head Start increase in hours of program operations implementation of the 50 percent programs would be required to decrease, across Head Start and Early Head Start. service duration requirement without significantly, the number of center- At that time, the 100 percent service significant slot loss. based slots available in Head Start duration standard was not in effect. programs because they would have to However, eligible programs that wished The March 2019 Notice of Proposed to voluntarily increase hours of program Rulemaking extend the number of hours for which they provide classroom services. The operations for their Head Start or Early OHS has also revisited the merits of performance standards regulation Head Start center-based slots could the 100 percent service duration authorizes the Secretary to lower this submit an application to receive standard and became concerned that requirement by February 1, 2020, based supplemental funds. Head Start on an assessment of available funding, programs operating less than 40 percent 3 Advisory Committee on Head Start Research to avoid significant slots loss in Head of their center-based slots for 1,020 and Evaluation: Final Report. (2012). Washington, hours were eligible to apply for funding. DC: Office of Head Start, Administration for Start due to this requirement. As OHS Children and Families, U.S. Department of Health considers the next steps for the overall Due to the limited availability of and Human Services.; Li, W. (2012). Effects of Head policy direction on service duration, funding, OHS used the 40 percent Start hours on children’s cognitive, pre-academic, OHS needs to consider the impact that threshold to prioritize those Head Start and behavioral outcomes: An instrumental variable programs operating the fewest full day, analysis. Presented at Fall 2012 Conference of the the 100 percent service duration Association for Public Policy Analysis and standard would have on the number of full school year slots and to help ensure Management.; Robin, K.B., Frede, E.C., Barnett, children that each Head Start grantee all Head Start programs had at least 40 W.S. (2006.) NIEER Working Paper—Is More Better? services and address any significant slot percent of their slots operating at 1,020 The Effects of Full-Day vs Half-Day Preschool on annual hours. Over 600 Head Start Early School Achievement. NIEER.; Walston, J.T., loss in those Head Start programs. programs were able to increase service and West, J. (2004). Full-day and Half-day Authority Kindergarten in the United States: Findings from duration for their center-based slots the Early Childhood Longitudinal Study, The requirements under 45 CFR through this funding opportunity. Kindergarten Class of 1998–99 (NCES 2004–078). 1302.21(c)(3)(ii) of the Head Start Subsequently, in FY 2018, Congress U.S. Department of Education, National Center for Education Statistics. Washington, DC: U.S. Program Performance Standards allows appropriated an additional $260 million Government Printing Office.; Wasik, B. & Snell, E. the Secretary to lower the 100 percent to further support an increase in hours (2015). Synthesis of Preschool Dosage: Unpacking service duration requirement described of operation for Head Start programs. How Quantity, Quality and Content Impacts Child in 45 CFR 1302.21(c)(2)(iv), on or before Head Start programs that operated less Outcomes. Temple University, Philadelphia, PA. 4 Gibbs, C.R. (2014). A Matter of Time? Impact of February 1, 2020, based on an than 45 percent of their center-based Statewide Full-day Kindergarten Expansions on assessment of the availability of slots at 1,020 hours, and wished to Later Academic Skills and Maternal Employment. sufficient funding to mitigate a increase hours of program operation, The Department of Labor 2013–2014 Scholars substantial reduction in funded were eligible to submit an application to Program, 2.; Morrissey, T.W. (2017). Child care and parent labor force participation: A review of the enrollment in Head Start. That section receive funds. Over 500 programs were research literature. Review of Economics of the provides, On or before February 1, 2020, able to increase service duration for 45 Household, 15(1), 1–24. the Secretary may lower the required percent of their Head Start center-based
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slots to 1,020 hours per year. Some 1,020 hours on an annual basis) would percent to 45 percent. This eligible programs chose not to apply for apply for and receive a waiver of this determination is effective immediately. one or both rounds of additional requirement.5 This would leave 120 Because the performance standards funding to support longer service programs (representing 6,600 center- govern the Secretary’s discretion in this duration. based slots) that would likely need to matter, and authorize the Secretary to OHS has conducted an assessment of increase duration for some of their slots take this action, no public comment available funding and the percentages of in order to meet a requirement to process is required. slots individual programs currently operation 45 percent of their center- The service duration requirements for operate at 1,020 annual hours. based slots at 1,020 hours per year. OHS Head Start center-based programs Approximately 30 percent of Head Start estimates that it would cost $25.5 described in 45 CFR 1302.21(c)(2)(i) and center-based programs currently operate million for these programs to meet such (ii) also remain in effect for those slots all of their slots for 1,020 hours or a requirement; to meet the requirement, not operating at 1,020 annual hours. longer per year. Conversely, without an increase in funding, would Under these requirements, a Head Start approximately 10 percent of Head Start require such programs to decrease the center-based program must provide, at a center-based programs do not operate number of center-based Head Start slots minimum, at least 160 days per year of any of their slots for 1,020 hours per by less than 1 percent or approximately planned class operations if it operates year. Approximately 78 percent of Head 2,600 Head Start slots. for five days per week, or at least 128 Start center-based programs operate at OHS believes lowering the 1,020 days per year if it operates four days per least 45 percent of their slots at 1,020 annual hour requirement from 100 week. Classes must operate for a hours per year. Approximately 59 percent to 45 percent reflects prior minimum of 3.5 hours per day. These percent of Head Start center-based Congressional appropriations because requirements are minimums, and programs operate at least 50 percent of the most recent appropriations allowed programs can choose to operate some their slots at 1,020 hours per year. programs to increase the percentage of slots longer each day and/or for more Based on this assessment, ACF/OHS slots that operate for 1,020 hours up to days per year. Additionally, the estimates that full implementation of 45 percent. This will mitigate the requirement that Early Head Start the requirement at 45 CFR chance of substantial slot loss that programs provide 1,380 annual hours of 1302.21(c)(2)(iv) for the remaining would likely occur under a 100 percent planned class operations for all center- programs to operate 100 percent of their requirement. based enrollment remains in effect. Head Start center-based slots for 1,020 Based on this assessment presented annual hours would cost approximately by OHS, the Secretary of Health and Dated: December 19, 2019. $730 million in additional funding. In Human Services determines that there is Alex M. Azar II, the absence of additional appropriations insufficient funding for Head Start Secretary, Department of Health and Human to support longer duration, Head Start programs to implement a 100 percent Services. programs would have to adjust (reduce) service duration requirement of 1,020 [FR Doc. 2020–00635 Filed 1–29–20; 8:45 am] the number of slots available, in order hours per year, without a substantial BILLING CODE 4181–01–P to be able to operate the remaining slots reduction in funded enrollment. at 1,020 hours per year. The Accordingly, the Secretary exercises his requirement would result in a loss of authority to lower the required GENERAL SERVICES approximately 73,800 Head Start slots, percentage from 100 percent to 45 ADMINISTRATION which represents roughly 11 percent of percent, based on the assessment that existing Head Start slots. This loss there is sufficient Head Start funding 48 CFR Parts 6101, 6103, 6104, and would constitute a substantial reduction available such that a requirement that 6105 in Head Start funded enrollment, and 45% of center-funded slots operate at [CBCA–TA–2020–01; Docket No. 2020–0007; therefore makes lowering the 100 1,020 hours per year would not result in Sequence No. 1] percent requirement necessary. a substantial reduction in funded The FY 2020 President’s Budget did enrollment. Accordingly, by this notice, Rules of Procedure of the Civilian not request an increase in HHS lowers the 100 percent duration Board of Contract Appeals; Technical appropriations to support longer service requirement to 45 percent. Amendment duration in Head Start. OHS does not expect sufficient funding to become Conclusion AGENCY: Civilian Board of Contract available for Head Start programs to In accordance with 45 CFR Appeals; General Services meet the Head Start Program 1302.21(c)(3)(ii), the Secretary Administration (GSA). Performance Standards 100 percent determines that there is not sufficient ACTION: Final rule. duration standard by August 2021. funding available to mitigate a SUMMARY: This document makes However, currently 78 percent of Head substantial reduction in funded amendments to the Rules of Procedure Start programs (1,050 programs) operate enrollment resulting from the of the Civilian Board of Contract at least 45 percent of their center-based requirement described in 45 CFR Appeals. slots at 1,020 hours. In contrast, 410 1302.21(c)(2)(iv), that 100 percent of a Head Start programs operate less than Head Start program’s center-based DATES: Effective: January 30, 2020. 45 percent of their center-based slots at funded enrollment operate for 1,020 FOR FURTHER INFORMATION CONTACT: Mr. 1,020 hours. If OHS were to require all annual hours of planned classroom James Johnson, Chief Counsel, Civilian Head Start programs to operate at least operations by August 1, 2021, and Board of Contract Appeals, 1800 M 45 percent of their center-based slots at hereby lowers that percentage from 100 Street NW, Suite 600, Washington, DC 1,020, OHS assumes that approximately 20036; at 202–606–8788; or email at 20 percent of all Head Start center-based 5 In order to receive a waiver of the 100 percent [email protected], for programs (290 programs, or duration requirement, a program would have to clarification of content. For information demonstrate the their proposed program design approximately 70 percent of Head Start effectively supports children’s development and on status or publication schedules, programs that operate less than 45 progress in early learning outcomes and better contact the Regulatory Secretariat percent of their center-based slots at meets the needs of parents. Division at 202–501–4755.
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SUPPLEMENTARY INFORMATION: that require approval of the Office of revising the new second sentence of Management and Budget. paragraph (b) to read as follows: A. Background E. Congressional Review Act The Civilian Board of Contract 6103.302 Filing claims [Rule 302]. Appeals was established within the The final rule is exempt from * * * * * General Services Administration (GSA) Congressional review under Pub. L. (b) * * * The Board will accept hand- by Section 847 of the National Defense 104–121 because it relates solely to delivered and mailed filings during Authorization Act for Fiscal Year 2006, agency organization, procedure, and business hours at 1800 M Street NW, Pub. L. 109–163 (now codified at 41 practice and does not substantially 6th Floor, Washington, DC 20036. * * * U.S.C. 7105(b)). This document updates affect the rights or obligations of non- * * * * * the CFR to reflect a change in the agency parties. PART 6104—TRAVEL AND Board’s mailing address. This final rule F. Executive Order 13771 amends sections 6101.1(e), 6103.302(b), RELOCATION EXPENSES CASES 6104.402(a)(3), and 6105.502(a)(2)(iv) to This final rule is not an E.O. 13771 ■ provide that the physical location and regulatory action because this rule is not 5. The authority citation for 48 CFR mailing address for the Board are the significant under E.O. 12866. part 6104 continues to read as follows: same. List of Subjects in 48 CFR Parts 6101, Authority: Secs. 202(n), 204, Pub. L. 104– 6103, 6104, and 6105 316, 110 Stat. 3826; Sec. 211, Pub. L. 104– B. Regulatory Flexibility Act 53, 109 Stat. 535; 31 U.S.C. 3702; 41 U.S.C. Administrative practice and The General Services Administration 7101–7109. procedure, Freight forwarders, certifies that this final rule will not have ■ 6. Amend section 6104.402 by Government procurement, Travel and a significant economic impact on a removing the second sentence and relocation expenses. substantial number of small entities revising the new second sentence of within the meaning of the Regulatory Jeri Kaylene Somers, paragraph (a)(3) to read as follows: Flexibility Act, 5 U.S.C. 601, et seq., Chair, Civilian Board of Contract Appeals, 6104.402 Filing claims [Rule 402]. because the rule does not impose any General Services Administration. additional costs on large or small Therefore, GSA amends 48 CFR parts (a) * * * businesses. 6101, 6103, 6104, and 6105 as set forth (3) * * * The Board will accept hand- below: delivered and mailed filings during C. Executive Orders 12866 and 13563 business hours at 1800 M Street NW, Executive Orders 12866 and 13563 PART 6101—CONTRACT DISPUTE 6th Floor, Washington, DC 20036. * * * direct agencies to assess all costs and CASES * * * * * benefits of available regulatory ■ alternatives and, if regulation is 1. The authority citation for 48 CFR PART 6105—DECISIONS AUTHORIZED necessary, to select regulatory part 6101 continues to read as follows: UNDER 31 U.S.C. 3529 approaches that maximize net benefits Authority: 41 U.S.C. 7101–7109. ■ 7. The authority citation for 48 CFR (including potential economic, ■ 2. Amend section 6101.1 by revising part 6105 continues to read as follows: environmental, public health and safety the first sentence of paragraph (e) to effects, distributive impacts, and read as follows: Authority: 31 U.S.C. 3529; 31 U.S.C. 3702; equity). Executive Order 13563 41 U.S.C. 7101–7109; Secs. 202(n), 204, Pub. emphasizes the importance of 6101.1 General information; definitions L. 104–316, 110 Stat. 3826; Sec. 211, Pub. L. quantifying both costs and benefits, of [Rule 1]. 104–53, 109 Stat. 535. reducing costs, of harmonizing rules, * * * * * ■ 8. Amend section 6105.502 by and of promoting flexibility. This is not (e) * * * The Board’s physical and removing the second sentence and a significant regulatory action and, mailing address is 1800 M Street NW, revising the new second sentence of therefore, was not subject to review 6th Floor, Washington, DC 20036. * * * paragraph (a)(2)(iv) to read as follows: under Section 6(b) of Executive Order * * * * * 12866, Regulatory Planning and Review, 6105.502 Request for decision [Rule 502]. dated September 30, 1993. This rule is PART 6103—TRANSPORTATION RATE (a) * * * not a major rule under 5 U.S.C. 804. CASES (2) * * * (iv) * * * The Board will accept D. Paperwork Reduction Act ■ 3. The authority citation for 48 CFR hand-delivered and mailed filings part 6103 continues to read as follows: The Paperwork Reduction Act does during business hours at 1800 M Street not apply because the changes do not Authority: 31 U.S.C. 3726(i)(1); 41 U.S.C. NW, 6th Floor, Washington, DC 20036. impose recordkeeping or information 7101–7109; Sec. 201(o), Pub. L. 104–316, 110 *** collection requirements, or otherwise Stat. 3826. * * * * * collect information from offerors, ■ 4. Amend section 6103.302 by [FR Doc. 2020–00762 Filed 1–29–20; 8:45 am] contractors, or members of the public removing the second sentence and BILLING CODE 6820–AL–P
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Proposed Rules Federal Register Vol. 85, No. 20
Thursday, January 30, 2020
This section of the FEDERAL REGISTER before a FICU may purchase loans or inspected in NCUA’s law library, at contains notices to the public of the proposed assume an assignment of deposits, 1775 Duke Street, Alexandria, Virginia issuance of rules and regulations. The shares, or liabilities from any institution 22314, by appointment weekdays purpose of these notices is to give interested that is not insured by the National between 9:00 a.m. and 3:00 p.m. To persons an opportunity to participate in the Credit Union Share Insurance Fund make an appointment, call (703) 518– rule making prior to the adoption of the final rules. (NCUSIF). 6540 or send an email to OGCMail@ DATES: Comments must be received by ncua.gov. March 30, 2020. FOR FURTHER INFORMATION CONTACT: NATIONAL CREDIT UNION ADDRESSES: You may submit comments Elizabeth Wirick, Senior Staff Attorney, ADMINISTRATION by any of the following methods (Please Office of General Counsel, 1775 Duke send comments by one method only). 12 CFR Parts 708a and 741 Street, Alexandria, Virginia 22314, or by Please note that the NCUA is now telephone at (703) 518–6540. RIN 3313–AF10 accepting electronic comments only through the Federal eRulemaking portal, SUPPLEMENTARY INFORMATION: Combination Transactions With Non- Regulations.gov: I. Background Credit Unions; Credit Union Asset • Federal eRulemaking Portal: http:// II. Legal Authority III. Summary of the Proposed Rule Acquisitions www.regulations.gov. Follow the IV. Section-by-Section Analysis instructions for submitting comments. V. Regulatory Procedures AGENCY: National Credit Union • Fax: (703) 518–6319. Use the Administration (NCUA). subject line ‘‘[Your name] Comments on I. Background ACTION: Proposed rule. Combination Transactions’’ on the The NCUA has historically seen a transmission cover sheet. SUMMARY: The NCUA Board (Board) • Mail: Address to Gerard Poliquin, relatively small but consistent number proposes to add subpart D to part 708a Secretary of the Board, National Credit of applications from FICUs seeking to of its regulations. This will clarify and Union Administration, 1775 Duke engage in merger or purchase and make transparent the procedures and Street, Alexandria, Virginia 22314– assumption transactions with banks or requirements currently in place related 3428. other types of financial institutions. As to combination transactions. • Hand Delivery/Courier: Same as the table below shows, the number of Combination transactions include those mail address. these transactions the NCUA approved where a federally insured credit union Public inspection: All public each year 1 was small and fairly constant (FICU) proposes to assume liabilities comments are available on the agency’s from 2013 to 2017 with a modest uptick from a non-credit union, including a website at http://www.ncua.gov/ in 2018 and 2019. bank. They also include a FICU’s merger RegulationsOpinionsLaws/comments as NCUA-approved transactions between or consolidation with a non-credit submitted, except as may not be FICUs and other types of institutions for union entity. Further, the proposed rule possible for technical reasons. Public calendar years 2013–2019 are as clarifies the scope of section 741.8 of the comments will not be edited to remove follows. None of these transactions NCUA’s regulations, which currently any identifying or contact information. involve the purchase of, or operation requires the NCUA to grant approval Paper copies of comments may be under, a bank’s charter.
Transactions that include all of a non-FICU’s assets Transactions that include part of a non-FICU’s assets and liabilities and liabilities 2
2020 ...... 0 approved, 9 pending ...... 0 approved, 8 pending. 2019 ...... 11 ...... 4. 2018 ...... 7 ...... 1. 2017 ...... 3 ...... 1. 2016 ...... 2 ...... 4. 2015 ...... 2 ...... 1. 2014 ...... 1 ...... 1. 2013 ...... 2 ...... 3.
Because these transactions occur in increase over the past two years, these Nevertheless, because of a desire to add relatively small numbers, the Board has transactions still constitute only a small even more transparency, and the not previously promulgated a detailed fraction of merger and acquisition questions the NCUA has received rule addressing them.3 Even with the transactions involving banks.4 recently from FICUs, the Board believes
1 The numbers reported in this table are based on the loans and deposits of only certain branches of 4 See Robert Klingler, ‘‘The So-Called Rise of the date of the NCUA’s approval of the transaction, a bank. Credit Union Buyers’’ (Sept. 24, 2019), https:// not the closing date. Accordingly, other publicly 3 The NCUA’s only regulation on point states that bankbclp.com/2019/09/the-so-called-rise-of-credit- reported data may have slightly different figures by the NCUA’s approval is required before an FICU union-buyers. year, if they track by transaction close date. can purchase loans or assume liabilities or deposits 2 These are transactions where the non-FICU of a noninsured credit union or another type of remains in business, such as when a FICU acquires financial institution. 12 CFR 741.8.
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it would be beneficial to clarify the accounts in, or similar liabilities of, any also includes provisions ensuring that processes and requirements related to noninsured credit union or institution; 7 the directors of a FICU proposing a FICU applications for these transactions. transfer assets to any noninsured credit combination transaction understand the This increased transparency will assist union or institution in consideration of nature and ramifications of the FICUs seeking to engage in these the assumption of liabilities for any proposed transaction. Finally, the transactions to meet the NCUA’s portion of the member accounts in such proposed rule amends § 741.8 of the requirements. insured credit union; or convert into a NCUA’s regulations. The proposed The experience the NCUA has gained noninsured credit union or institution.8 amendments to § 741.8 make the in recent years while considering each In granting or withholding this regulation’s provisions applicable to all of these transactions on a case-by-case approval, the Board must consider six asset purchases and list the other NCUA basis informs this rulemaking. This factors, which are the history, financial regulations that apply to each particular experience has allowed the agency to condition, and management policies of type of transaction. the credit union; the adequacy of the identify the various issues most Section-by-Section Summary frequently presented in these credit union’s reserves; the economic transactions and develop processes for advisability of the transaction; the 708a.401, Definitions considering these applications. general character and fitness of the This section defines several terms Accordingly, the Board has determined credit union’s management; the used in subpart D. The term to formalize some of these requirements convenience and needs of the members ‘‘combination transaction’’ includes in this rulemaking. to be served by the credit union; and several of the types of transactions During the process of developing this whether the credit union is a authorized by Section 205(b)(1) of the new regulatory language, the Board has cooperative association organized for FCU Act including the following: (1) A determined that § 741.8 of the NCUA’s the purpose of promoting thrift among merger or consolidation with anon- regulations also needs to be revised to its members and creating a source of credit union; (2) the assumption of update its scope and improve its clarity. credit for provident or productive 9 liabilities from anon-credit union; or (3) The Board is proposing to apply § 741.8 purposes. the transfer of assets to anon-credit Under the authority of this section, to all asset purchases, not only loan union in consideration of the the NCUA has already issued detailed purchases and liability assumptions. assumption of certain of its liabilities. regulations governing the merger of a The Board adopted the regulatory The use of the distinct term FICU into a bank other than a mutual language currently in § 741.8 primarily ‘‘combination transaction’’ differentiates savings bank 10 and conversion of a to address concerns about loan these transactions from other types of FICU into a noninsured credit union.11 purchases from institutions not insured transactions such as mergers between The Board has delegated some authority by the NCUSIF; at the time it believed FICUs, mergers between FICUs and to approve and disapprove certain that encompassing all assets would be noninsured credit unions, FICU combination transactions to Regional unnecessarily burdensome.5 In the conversions to banks, and FICU Directors and the Director of the Office course of reviewing combination purchases of loans that are not part of of National Examinations and 13 transactions with non-FICUs, however, 12 a merger or consolidation. agency staff have occasionally identified Supervision. The Board has determined to exclude non-loan assets that are problematic, III. Summary of the Proposed Rule mergers where one party is a FICU and either because they are impermissible The proposed rule adds new subpart one party is a noninsured credit union for FICUs or because they would pose D to part 708a. The new subpart from the definition of combination undue risk to the FICU. In light of this specifies the basic requirements transaction because part 708b of the experience, and the potential for risk to applicable to the above-referenced NCUA’s regulations already addresses the FICU or the NCUSIF, the Board combination transactions between a these mergers. proposes to extend the scope of § 741.8 FICU and another type of financial 13 to all assets purchased from entities institution. All transactions require New Subpart D does not address the other than FICUs. When impermissible requirements for FICU purchases of loan assets from NCUA approval, and state-chartered institutions that are not FICUs when the proposed assets are identified, the FICU proposing FICUs must also obtain their state purchase is not part of a merger or consolidation. the transaction must explain how the regulator’s approval. The proposed rule Section 205(b)(1) of the Act does not include parties to the transaction plan to authority to purchase assets, such as loans, other than as part of a merger or consolidation. A merger exclude the assets from the purchase 7 The FCU Act defines a ‘‘noninsured credit or consolidation generally means that at least one transaction. union’’ as a credit union not insured by the entity’s charter is extinguished in the transaction. NCUSIF. 12 U.S.C. 1752(1). The NCUA interprets Accordingly, FICUs seeking to purchase loans from II. Legal Authority the similar phrase ‘‘noninsured credit union or entities other than FICUs, where the other entity is institution’’ to mean one not insured by the not merging or consolidating with the FICU, must Section 205 of the Federal Credit NCUSIF. do so under other authorities. For FISCUs, state law Union Act (FCU Act) permits FICUs to 8 12 U.S.C. 1785(b)(1). or regulation may permit these purchases. For engage in merger and purchase and 9 Id. 1785(c). FCUs, this authority would be the NCUA’s eligible assumption transactions with other 10 12 CFR part 708a, subpart C. obligations rule, 12 CFR 701.23. Generally, if an 11 FCU is purchasing loans from an entity other than types of financial institutions, as Id. part 708b, subparts B–C. a FICU, the eligible obligations rule requires the follows: Except as provided in a 12 The Board has delegated approval and borrower to be a member of the purchasing credit separate paragraph,6 no FICU shall, disapproval authority to Regional Directors and the union before the purchase is made. Id. Just as in the Director of the Office of National Examinations and deposit context, the NCUA has historically without the prior approval of the Board Supervision for transactions in which both the fair interpreted this provision to mean that the borrower merge or consolidate with any market value of the acquired shares or deposits and must have taken some affirmative action to join the noninsured credit union or institution; the fair market value of the purchased loans and FCU before the transaction closes. Purchases of assume liability to pay any member other assets are each less than $500 million. If the student loans or mortgages to complete a pool of fair market value of the acquired shares or deposits loans for sale on the secondary market are exempt and the fair market value of the purchased loans from the membership requirement. The eligible 5 56 FR 35808, 35809 (July 29, 1991). and other assets are each greater than $100 million, obligations rule also allows FCUs to purchase 6 This paragraph, added to the Act in 1998, the Director of the Office of Examination and eligible obligations from FICUs ‘‘without regard to governs the process for FICUs to convert to mutual Insurance must concur. NCUA Delegations of whether they are obligations of its members.’’ Id. savings banks. Authority, SUP 24. 701.23(a)(2)(i).
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The term ‘‘credit union’’ means any the list also includes other 708a.403, Submission to the NCUA credit union insured by the NCUSIF, so considerations. In particular, the last This section highlights critical the rule generally applies to both two factors on the list require the NCUA elements of the application package. In federally insured state-chartered credit to consider the proposed transaction’s particular, it addresses requirements unions (FISCUs) and federal credit effect on FICU members and potential related to features that distinguish 14 unions (FCUs). The rule text in the FICU members and whether the FICUs from other types of financial proposal uses this term and definition to proposed transaction is in keeping with institutions. These features include be consistent with the rest of Part 708a, the FICU’s mission. Accordingly, the FICU membership, permissible powers, but it has the same meaning as FICU as NCUA reserves the right to object to a and the duties of FICU boards. used in other parts of the NCUA’s transaction, or portions of a transaction, The applying FICU must specify how regulations. even absent safety and soundness it plans to make non-credit union The term ‘‘non-credit union’’ means concerns. customers FICU members. Membership any institution that is not an FCU or a Paragraph (c) of this section clarifies is important because, with limited state credit union (whether or not that the FICU’s board of directors must exceptions, FICUs may only serve federally insured), as those terms are vote to approve a proposed combination members. The Board determined to defined in the FCU Act. Most of the transaction before the FICU submits its include this reminder in the regulatory combination transactions contemplated application package. While board of text so that FICUs do not lose sight of under this proposal have been between directors’ votes are a common practice the importance of membership, FICUs and other depository institutions, in these transactions, the NCUA particularly in light of NCUSIF such as banks. In a few cases, however, believes that an explicit requirement insurance coverage limitations FICUs have proposed a transaction with will ensure that FICU management discussed later in this proposal. Even a non-depository financial company, continues to keep the FICU’s directors where the FCU Act would permit such as a mortgage bank. The plain informed. In similar circumstances, the service to non-members, such as the language of the FCU Act does not limit FICU-to-FICU merger rule in part 708b acceptance of public unit deposits or the the types of institutions with which requires a vote of the board of directors acceptance of non-member deposits by FICUs can combine, but allows of the continuing credit union.16 The low-income designated FICUs, the transactions with any ‘‘noninsured Board believes a proposed transaction FICU’s goal should always be to make credit union or institution.’’ 15 with an institution other than a FICU the customers of the other institution Accordingly, as long as such should receive at least the same level of members.17 acquisitions comply with all other legal review from a credit union’s board of The applying FICU must provide standards and limitations, there is no directors as a proposed merger with a basic information about the transaction legal bar to, for example, a combination FICU. that enables NCUA staff to evaluate it. transaction between a FICU and a The proposal does not impose a limit NCUA Regional Office staff involved in mortgage bank. on the length of time the NCUA may evaluating these transactions have The Board invites comments on the take to consider combination observed that an application often lacks terms it proposes to use to address the transactions. While the agency a succinct summary of very basic transactions and the parties to these continues to gain experience with these information. The NCUA’s National transactions under Section 205(b) of the transactions, it may be preferable to Supervision and Policy Manual will FCU Act. The Board particularly solicits approach each transaction without a detail more specific requirements in this comments regarding the deadline that could impede the NCUA’s regard, but the Board agrees with NCUA comprehensiveness and scope of the full understanding of the transaction’s staff that the regulation should list the various terms, and whether commenters potential consequences. In this regard, minimum information required to be would recommend alternative, or the Board notes there is also no deadline disclosed in connection with every additional, defined terms. for agency action in the FICU-to-FICU transaction. This information includes 708a.402, Approval Required for merger rule. Because, however, the the balance sheet and income Combination Transactions Board is also aware that a specified statements for both institutions; a Paragraph (a) of this section requires timeline can be helpful for planning combined financial statement showing the NCUA’s advance approval of purposes, the Board seeks comment on the transaction’s potential impact on the combination transactions, and it whether there should be a deadline for FICU’s net worth; information about the requires a FICU proposing a agency action after receipt of a complete FICU’s due diligence assessment of the combination transaction to submit its application package and, if so, what proposed transaction, including analysis request to the Regional Director. FISCUs would be the appropriate period for to support the proposed transaction must obtain the advance approval of agency action. price; a delinquent loan summary; their state regulator in addition to the The Board also invites comment on analysis of the adequacy of the FICU’s NCUA’s approval. the other requirements for approval of a allowance for loan and lease losses; and Paragraph (b) of this section recites combination transaction. In particular, a list of the other institution’s assets that the statutory factors the NCUA must the Board asks commenters to consider would be impermissible for the FICU to weigh in its consideration of a whether the proposed requirements hold under the FCU Act or state law, combination transaction application. provide sufficient detail for applicants with the plan for excluding these assets. While the first four of the six statutory to understand the process and the This section also includes a factors relate to safety and soundness, criteria by which the NCUA evaluates requirement that each member of the applications. FICU’s board of directors that votes in 14 Section 708a.405 of the proposed rule applies favor of the combination transaction to FCUs only, because it addresses FCU 16 12 CFR 708b.104(a)(2). Additionally, the other membership requirements. The state supervisory rules promulgated under the authority of section 17 The NCUA’s Chartering and Field of agencies, not the NCUA, determine membership 205 of the FCU Act require board of directors’ votes. Membership Manual discusses FCU membership eligibility and status for state-chartered credit 12 CFR 708a.103, 303 (board of credit union requirements. In addition, the Office of Credit unions. converting to bank); 12 CFR 708b.202(a) (board of Union Resources and Expansion can provide 15 12 U.S.C. 1785(b)(1)(A)–(D). directors of FICU converting to noninsured status). additional guidance on membership for FCUs.
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must certify that the FICU’s membership and that they have taken requires the NCUA to consider these management has explained how the action to become members of the FCU. factors when evaluating transactions combination transaction will affect the authorized under § 205(b) of the FCU 708a.405, Federal Credit Union FICU’s net worth and balance sheet, as Act. The loan and asset purchase Membership well as how the FICU determined the transactions addressed in § 741.8, which purchase price. This board member This section reiterates the two-step are authorized by the investment and certification must also state that process for joining an FCU. The first eligible obligations authority of the FCU management explained to the board of step, covered in paragraph (a), is Act, do not currently require analysis of directors how the transaction would determining that a potential member these factors. Nonetheless, these factors benefit the current members of the FICU falls within the FCU’s field of address the two major issues at stake in as well as the prospective members to membership. The second step, covered any transaction: (1) Whether it is safe be gained in the transaction. Finally, the in paragraph (b), is how the potential and sound, and (2) whether it helps the board member certification mirrors the member becomes an actual member. credit union serve its members. conflict of interest provision of the FCU The NCUA’s long held position has Accordingly, the Board has determined bylaws and requires directors to certify generally required that to become a that it is prudent and appropriate to use that they do not have a personal or member of the FCU the other entity’s these factors in evaluating all pecuniary interest in the transaction. customer must affirmatively act through transactions under § 741.8. an authoritative vote or individual The Board seeks comment on all The Board seeks comment on all consent before the closing of a aspects of the requirements for aspects of the proposed amendments to combination transaction. In the case of combination transaction applications set § 741.8, including whether additional a vote, the other entity’s regulator, forth in this section. The Board amendments to § 741.8 would improve charter and bylaws must permit such a transparency or clarity. particularly solicits commenters’ views process, whereby the vote of a certain on whether it would be helpful to have percentage of customers will V. Regulatory Procedures more detailed information in the demonstrate affirmative approval for all A. Regulatory Flexibility Act regulation. affected customers and thereby meet the The Regulatory Flexibility Act requirement to subscribe to FCU 708a.404, Insurance of Deposits requires the NCUA to prepare an membership. This approach is analysis to describe any significant Paragraph (a) of this section requires analogous to the voting required in a FICU proposing a combination economic impact a regulation may have FICU-to-FICU merger transactions, on a substantial number of small transaction to demonstrate that any where a majority vote of the whole customer deposits it assumes will be entities.19 For purposes of this analysis, allows the transaction to proceed the Board considers small credit unions insured by the NCUSIF as of the without an affirmative act by each transaction close. With certain limited to be those having under $100 million individual. The Board invites comments in assets.20 This rule will affect only exceptions, FICUs do not have authority on this aspect of the proposed rule. to hold non-insured deposits. Further, those FICUs that propose to engage in the NCUA understands that the Federal Section 741.8 certain transactions with non-FICUs. Deposit Insurance Corporation will not Section 741.8 is the implementing The NCUA’s records indicate none of approve a transaction in which a bank regulation for some of the transactions the FICUs proposing such transactions transfers customer deposits to a FICU permitted by § 205(b) of the FCU Act. from 2013 to the present had less than unless it ascertains that the deposits Section 741.8 also addresses loan $100 million in assets. In fact, the transferred will have immediate purchases, as permitted for FCUs under smallest FICU making such a request NCUSIF coverage. The availability of § 107(13) of the FCU Act. The proposal had $258 million in assets. Accordingly, federal insurance is a critical amends paragraph (a) to include the NCUA certifies the rule will not consideration in determining whether a purchases of assets other than loans to have a significant economic impact on proposed transaction meets the the list of authorized transactions. The a substantial number of small credit ‘‘convenience and needs of the proposal also revises paragraph (c) to unions. members.’’ delineate the other NCUA regulations B. Paperwork Reduction Act Paragraph (b) of this section describes that apply to each particular type of The Paperwork Reduction Act of 1995 methods by which a FICU proposing a transaction. The NCUA’s longstanding (PRA) 21 applies to rulemakings in combination transaction can ensure position is that § 741.8, on its own, is which an agency by rule creates a new consumer deposits will have NCUSIF not additional or separate authority, but paperwork burden on regulated entities coverage. First, a FICU with a low- simply states that the NCUA must or modifies an existing burden. For income designation may hold non- approve certain types of transactions purposes of the PRA, a paperwork member deposits from any source and that are otherwise permitted by the FCU burden may take the form of a reporting, they are insured up to applicable limits. 18 Act and other NCUA regulations. The recordkeeping, or a third-party FICUs may also hold public unit revisions to § 741.8(c) will make it clear disclosure requirement, referred to as an deposits that are insured up to to FICUs considering a transaction information collection. applicable limits, to the extent which additional regulations may apply. NCUA proposes to add new Subpart permitted by state law for state- The proposal also adds a paragraph D to Part 708a to clarify and make chartered FICUs. Also, the state (d) to § 741.8 to enumerate the statutory transparent the procedures and regulator of a state-chartered FICU can factors the NCUA must consider when requirement currently related to provide a statement confirming that the evaluating transactions. The FCU Act combination transactions with an customers of the institution will become institution other than a FICU and members of the FICU, pursuant to state 18 As stated in a previous rulemaking regarding law, at the transaction close. Finally, an Part 741.8, ‘‘other regulations may limit or otherwise regulate those transactions, for example, 19 5 U.S.C. 603(a). FCU that does not have a low-income the member business lending rule, the fixed asset 20 Interpretive Ruling and Policy Statement 15–1, designation must demonstrate that the rule, the eligible obligations rule, and so forth.’’ 70 80 FR 57512 (Sept. 24, 2015). depositors are within its field of FR 75723 (Dec. 21, 2005). 21 44 U.S.C. 3501 et seq.
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specifies the basic requirements for maintenance, and purchase of services Authority: 12 U.S.C. 1766, 1785(b), and these type of transactions. All to provide information. 1785(c). transactions require NCUA approval, All comments are a matter of public ■ 2. Add subpart D, consisting of and state-chartered FICUs must also record. Comments regarding the §§ 708a.401 through 708a.405, to read as obtain their state regulator’s approval. information collection requirements of follows: The NCUA estimates there will be this rule should be sent to (1) Dawn approximately 20 transactions under Wolfgang, NCUA PRA Clearance Subpart D—Combinations of Credit this rule every year. While the NCUA Officer, 1775 Duke Street, Suite 6032, Unions and Other Types of Financial currently requires affected FICUs to Alexandria, VA 22314, or email at Institutions submit all of the information required in [email protected] and the (1) the rule as part of an application, the Office of Information and Regulatory Sec. 708a.401 Definitions. NCUA is requesting a new OMB control Affairs, Office of Management and 708a.402 Approval Required for number to cover information collection Budget, Attention: Desk Officer for Combination Transactions. requirements proposed by new Subpart NCUA, New Executive Office Building, 708a.403 Submission to the NCUA. D to Part 708a. Room 10235, Washington, DC 20503, or 708a.404 Assumption of Deposits; Federal Current § 741.8 prescribes that a email at OIRA_Submission@ Share Insurance Required. credit union must submit a request to OMB.EOP.gov. 708a.405 Federal Credit Union Membership NCUA for approval to purchase assets C. Executive Order 13132 § 708a.401 Definitions. and assumption of liabilities. This section is being revised to delineate the Executive Order 13132 encourages As used in this subpart D: other NCUA regulations that apply to independent regulatory agencies to Combination transaction means any each particular type of transaction. The consider the impact of their actions on transaction in which a credit union does information collection requirements state and local interests. The NCUA, an one or more of the following: Merges or associated the submission of a request independent regulatory agency as consolidates with any non-credit union; under subpart D will be covered by the defined in 44 U.S.C. 3502(5), voluntarily assumes liability to pay any deposits in, new OMB control number. The complies with the Executive Order to or similar liabilities of, any non-credit information collection requirements adhere to fundamental federalism union; or transfers assets to any non- currently cleared under OMB control principles. The proposed rule does not credit union in consideration of the number 3133–0169 will continue to have substantial direct effects on the assumption of liabilities for any portion address of the reporting requirement states, on the relationship between the of the member accounts in the insured outside of those covered by subpart D, national government and the states, or credit union. with no changes at this time. on the distribution of power and Credit union has the same meaning as This is a request for a new OMB responsibilities among the various insured credit union in section 101 of control number to cover the information levels of government. The NCUA has, the Federal Credit Union Act, 12 U.S.C. collection requirements of Subpart D to therefore, determined that this rule does 1752. Non-credit union means any financial Part 708a. not constitute a policy that has institution that is not a Federal credit OMB Control Number: 3133–NEW. federalism implications for purposes of union or a State credit union, as those Title of information collection: the Executive Order. terms are defined in section 101 of the Combinations of Credit Unions and D. Assessment of Federal Regulations Federal Credit Union Act, 12 U.S.C. Other Types of Financial Institutions, and Policies on Families 1752. Subpart D to Part 708a. Regional director means the director Estimated number of respondents: 20. The NCUA has determined that this of the NCUA Regional Office for the Estimated number of responses per rule will not affect family well-being within the meaning of § 654 of the region where a natural person credit respondent: 2.7. union’s main office is located. For Estimated total annual responses: 54. Treasury and General Government Appropriations Act, 1999, Public Law corporate credit unions and natural Estimated burden per response: 74.37. 105–277, 112 Stat. 2681 (1998). person credit unions with $10 billion or Estimated total annual burden: 4,016. more in assets at the time of application, The NCUA invites comments on: (a) List of Subjects Regional Director means the Director of Whether the proposed collection of 12 CFR Part 708a NCUA’s Office of National information is necessary for the proper Examinations and Supervision. performance of the functions of the Charter conversions, Credit unions. agency, including whether the 12 CFR Part 741 § 708a.402 Approval Required for information will have practical utility; Combination Transactions. (b) the accuracy of the agency’s estimate Bank deposit insurance, Credit (a) General. The NCUA’s prior of the burden of the proposed collection unions. approval is required before a credit of information, including the validity of By the National Credit Union union may engage in a combination the methodology and assumptions used; Administration Board on January 23, 2020. transaction. A state-chartered credit (c) ways to enhance the quality, utility Gerard Poliquin, union must also obtain the prior and clarity of the information to be Secretary of the Board. approval of its State Supervisory collected; and (d) ways to minimize the For the reasons stated above, the Authority to engage in a combination burden of the collection of information NCUA proposes to amend 12 CFR parts transaction. on those who are to respond, including 708a and 741 as follows: (b) Factors. The NCUA will assess through the use of appropriate each of the below factors in considering automated, electronic, mechanical, or PART 708a—BANK CONVERSIONS applications for combination other technological collection AND MERGERS transactions: techniques or other forms of information (1) The history, financial condition, technology; and (e) estimates of capital ■ 1. The authority citation for part 708a and management policies of the credit or start-up costs and cost of operation, continues to read as follows: union;
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(2) The adequacy of the credit union’s proposed transaction, that contains the § 708a.405 Federal Credit Union reserves; following: Membership. (3) The economic advisability of the (1) A statement that each director Requirements. The following transaction; signing the certification supports the requirements apply to federal credit (4) The general character and fitness proposed combination transaction and union membership: of the credit union’s management; believes the proposed combination (a) Eligibility. The federal credit union (5) The convenience and needs of the transaction is in the best interests of the must confirm that each customer of the members to be served by the credit current and potential members of the non-credit union involved in the union; and credit union; proposed transaction is within the (6) How the transaction fits into the (2) A statement that credit union federal credit union’s field of credit union’s purpose as a cooperative management has adequately explained membership. A federal credit union may association organized for the purpose of the transaction’s expected effect on the not assume the deposits of a customer promoting thrift among its members and credit union’s net worth and balance that is outside the federal credit union’s creating a source of credit for provident sheet, as well as how the purchase price field of membership, except as or productive purposes. was determined; permitted by § 701.32 of this chapter (c) Credit union board of directors. A (3) A description of all materials and § 708a.404(b)(1) and (2). A federal credit union proposing a combination submitted to the Regional Director with credit union may not acquire the loans transaction must conduct a vote of its the notice and certification; of a customer that is outside the federal board of directors on the proposed (4) A statement that each director credit union’s field of membership, transaction before submitting a request signing the certification had the except as permitted by § 701.23 of this under paragraph (a) of this section. opportunity to review all relevant facts chapter. about the transaction before voting on it; (b) Consent to federal credit union § 708a.403 Submission to the NCUA. and (a) General. A credit union proposing membership. The federal credit union (5) A statement that each director must confirm that the customers of the a combination transaction must submit signing the certification, as well as any its request to the Regional Director. non-credit union who are within the corporation, partnership or association federal credit union’s field of (b) Credit union membership. The (other than the credit union) in which request to the NCUA must explain the membership have consented to become the director has a direct or indirect members of the federal credit union. credit union’s plan for obtaining credit interest, does not have a pecuniary or union membership for the customers of personal interest in the transaction. PART 741—REQUIREMENTS FOR the non-credit union. INSURANCE (c)(1) Information required. The § 708a.404 Assumption of Deposits; request to the NCUA must, at a Federal Share Insurance Required. ■ 3. The authority citation for part 741 minimum, include the following items: (a) Share insurance required. A credit continues to read as follows: (i) A balance sheet and income union proposing to engage in a combination transaction under this Authority: 12 U.S.C. 1757, 1766(a), 1781– statement for each institution; 1790, and 1790d; 31 U.S.C. 3717. (ii) A combined financial statement subpart must demonstrate to the NCUA showing the transaction’s potential that any customer deposits that the ■ 4. Amend § 741.8 by revising impact on the credit union’s net worth; credit union is seeking to assume will paragraph (a) introductory text, (iii) A summary of the credit union’s qualify for coverage up to applicable paragraph (c) and adding paragraph (d) due diligence assessment process for the limits under the National Credit Union to read as follows: proposed transaction, including analysis Share Insurance Fund (NCUSIF) § 741.8 Purchase of assets and to support the proposed transaction immediately upon the transaction close. assumption of liabilities. price; (b) Qualifications for share insurance. (a) Except as provided in paragraph (iv) A delinquent loan summary for Deposits that the credit union is seeking (b) of this section, any credit union any assets involved in the transaction; to assume qualify for NCUSIF coverage insured by the National Credit Union (v) An analysis of the adequacy of the up to applicable limits in any of the Share Insurance Fund (NCUSIF) must credit union’s allowance for loan and following instances: lease losses; (1) The credit union has a low-income receive approval from the NCUA before (vi) A list of the other institution’s designation, as permitted by § 701.34 of purchasing assets, including loans, or assets that would be impermissible for this chapter. assuming an assignment of deposits, a credit union to hold under the Act (2) The deposits are from a public unit shares, or liabilities from: and, for state-chartered credit unions, or a political subdivision thereof, as * * * * * state law, and an explanation of the plan those terms are defined in § 745.1 of this (c) General. A credit union proposing to dispose of these assets in advance of, chapter. a transaction under paragraph (a) of this or separately from, the transaction; and (3) The State Supervisory Authority of section must submit its request to the (vii) A list of bank shareholders. a state-chartered credit union provides a Regional Director. A credit union must (2) Other information. written statement confirming, subject to also comply with all requirements of Notwithstanding paragraph (c)(1) of this the NCUA’s satisfaction, that the other applicable portions of this section the Regional director may also depositors will be credit union members chapter, as noted below. A state- request any additional information the at the transaction close under the chartered federally insured credit union Regional director, in his or her relevant state law. must also comply with any applicable discretion, deems necessary to evaluate (4) A federal credit union state law or regulations. the proposed transaction. demonstrates, pursuant to § 708a.405, (1) For a transaction that is a merger (d) Certification of board of directors. that the depositors are within the or consolidation with an institution of The request to the Regional director federal credit union’s field of the type listed in paragraph (a)(2) of this must include a certification, signed by membership and that the depositors section, the credit union must comply each member of the credit union’s board have consented to become members of with subpart D of part 708a of this of directors that voted in favor of the the federal credit union. chapter.
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(2) For a transaction that is a merger SUMMARY: This action proposes to SUPPLEMENTARY INFORMATION: or consolidation with an institution of amend the Class E airspace extending Authority for This Rulemaking the type listed in paragraph (a)(1) of this upward from 700 feet above the surface section, the credit union must comply at Harrison County Airport, Cadiz, OH; The FAA’s authority to issue rules with part 708b of this chapter. Noble County Airport, Caldwell, OH; regarding aviation safety is found in (3) For assumptions of deposits or and Cambridge Municipal Airport, Title 49 of the United States Code. other liabilities, not part of a merger or Cambridge, OH. The FAA is proposing Subtitle I, Section 106 describes the consolidation, from an institution of the these actions as the result of airspace authority of the FAA Administrator. type listed in paragraph (a)(2) of this reviews caused by the decommissioning Subtitle VII, Aviation Programs, section, the credit union must comply of the Newcomerstown VHF describes in more detail the scope of the with subpart D of part 708a. omnidirectional range (VOR) navigation agency’s authority. This rulemaking is (4) For purchases of loans, not part of aid, which provided navigation promulgated under the authority a merger or consolidation, from an information for the instrument described in Subtitle VII, Part A, institution of the type listed in procedures at these airports, as part of Subpart I, Section 40103. Under that paragraphs (a)(1) and (a)(2) of this the VOR Minimum Operational section, the FAA is charged with section, the credit union must comply Network (MON) Program. The prescribing regulations to assign the use with § 701.23 of this chapter. geographic coordinates of Harrison of airspace necessary to ensure the (5) For purchase of other assets, not County Airport and Noble County safety of aircraft and the efficient use of part of a merger or consolidation, from Airport would also be updated to airspace. This regulation is within the an institution of the type listed in coincide with the FAA’s aeronautical scope of that authority as it would paragraphs (a)(1) and (a)(2) of this database. Airspace redesign is necessary amend the Class E airspace extending section, the credit union must comply for the safety and management of upward from 700 feet above the surface with parts 703 or 721 of this chapter, as instrument flight rules (IFR) operations at Harrison County Airport, Cadiz, OH; applicable. at these airports. Noble County Airport, Caldwell, OH; (d) Factors. The NCUA will assess DATES: Comments must be received on and Cambridge Municipal Airport, each of the below factors in considering or before March 16, 2020. Cambridge, OH, to support IFR operations at these airports. applications for transactions under this ADDRESSES: Send comments on this section: proposal to the U.S. Department of Comments Invited (1) The history, financial condition, Transportation, Docket Operations, Interested parties are invited to and management policies of the credit West Building Ground Floor, Room participate in this proposed rulemaking union; W12–140, 1200 New Jersey Avenue SE, by submitting such written data, views, (2) The adequacy of the credit union’s Washington, DC 20590; telephone (202) or arguments, as they may desire. reserves; 366–9826, or (800) 647–5527. You must Comments that provide the factual basis (3) The economic advisability of the identify FAA Docket No. FAA–2019– supporting the views and suggestions transaction; 1041/Airspace Docket No. 19–AGL–27, presented are particularly helpful in (4) The general character and fitness at the beginning of your comments. You developing reasoned regulatory of the credit union’s management; may also submit comments through the decisions on the proposal. Comments (5) The convenience and needs of the internet at https://www.regulations.gov. are specifically invited on the overall members to be served by the credit You may review the public docket regulatory, aeronautical, economic, union; and containing the proposal, any comments environmental, and energy-related (6) How the transaction fits into the received, and any final disposition in aspects of the proposal. credit union’s purpose as a cooperative person in the Dockets Office between Communications should identify both association organized for the purpose of 9:00 a.m. and 5:00 p.m., Monday docket numbers and be submitted in promoting thrift among its members and through Friday, except federal holidays. triplicate to the address listed above. creating a source of credit for provident FAA Order 7400.11D, Airspace Commenters wishing the FAA to or productive purposes. Designations and Reporting Points, and acknowledge receipt of their comments [FR Doc. 2020–01538 Filed 1–29–20; 8:45 am] subsequent amendments can be viewed _ on this notice must submit with those BILLING CODE 7535–01–P online at https://www.faa.gov/air comments a self-addressed, stamped traffic/publications/. For further postcard on which the following information, you can contact the statement is made: ‘‘Comments to DEPARTMENT OF TRANSPORTATION Airspace Policy Group, Federal Aviation Docket No. FAA–2019–1041/Airspace Administration, 800 Independence Docket No. 19–AGL–27.’’ The postcard Federal Aviation Administration Avenue SW, Washington, DC 20591; will be date/time stamped and returned telephone: (202) 267–8783. The Order is to the commenter. 14 CFR Part 71 also available for inspection at the All communications received before National Archives and Records the specified closing date for comments [Docket No. FAA–2019–1041; Airspace Administration (NARA). For Docket No. 19–AGL–27] will be considered before taking action information on the availability of FAA on the proposed rule. The proposal RIN 2120–AA66 Order 7400.11D at NARA, email contained in this notice may be changed [email protected] or go to https:// Proposed Amendment of Class E in light of the comments received. A www.archives.gov/federal-register/cfr/ report summarizing each substantive Airspace; Cadiz, Caldwell, and ibr-locations.html. Cambridge, OH public contact with FAA personnel FOR FURTHER INFORMATION CONTACT: concerned with this rulemaking will be AGENCY: Federal Aviation Jeffrey Claypool, Federal Aviation filed in the docket. Administration (FAA), DOT. Administration, Operations Support Group, Central Service Center, 10101 Availability of NPRMs ACTION: Notice of proposed rulemaking Hillwood Parkway, Fort Worth, TX An electronic copy of this document (NPRM). 76177; telephone (817) 222–5711. may be downloaded through the
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internet at https://www.regulations.gov. And amending the Class E airspace PART 71—DESIGNATION OF CLASS A, Recently published rulemaking extending upward from 700 feet above B, C, D, AND E AIRSPACE AREAS; AIR documents can also be accessed through the surface to within a 6.4-mile radius TRAFFIC SERVICE ROUTES; AND the FAA’s web page at https:// (decreased from a 7.5-mile radius) of REPORTING POINTS www.faa.gov/air_traffic/publications/ Cambridge Municipal Airport, airspace_amendments/. Cambridge, OH. ■ 1. The authority citation for 14 CFR You may review the public docket These actions are the result of an part 71 continues to read as follows: containing the proposal, any comments airspace review caused by the Authority: 49 U.S.C. 106(f), 106(g); 40103, received, and any final disposition in decommissioning of the 40113, 40120; E.O. 10854, 24 FR 9565, 3 CFR, person in the Dockets Office (see the Newcomerstown VOR, which provided 1959–1963 Comp., p. 389. ADDRESSES navigation information for the ‘‘ ’’ section for the address § 71.1 [Amended] and phone number) between 9:00 a.m. instrument procedures at these airports, ■ and 5:00 p.m., Monday through Friday, as part of the VOR MON Program. 2. The incorporation by reference in except federal holidays. An informal Class E airspace designations are 14 CFR 71.1 of FAA Order 7400.11D, docket may also be examined during published in paragraph 6005 of FAA Airspace Designations and Reporting normal business hours at the Federal Order 7400.11D, dated August 8, 2019, Points, dated August 8, 2019, and Aviation Administration, Air Traffic and effective September 15, 2019, which effective September 15, 2019, is Organization, Central Service Center, is incorporated by reference in 14 CFR amended as follows: Operations Support Group, 10101 71.1. The Class E airspace designation Paragraph 6005 Class E Airspace Areas Hillwood Parkway, Fort Worth, TX listed in this document will be Extending Upward From 700 Feet or More 76177. published subsequently in the Order. Above the Surface of the Earth. FAA Order 7400.11, Airspace * * * * * Availability and Summary of Designations and Reporting Points, is Documents for Incorporation by published yearly and effective on AGL OH E5 Cadiz, OH [Amended] Reference September 15. Harrison County Airport, OH (Lat. 40°14′18″ N, long. 81°00′46″ W) This document proposes to amend Regulatory Notices and Analyses FAA Order 7400.11D, Airspace That airspace extending upward from 700 The FAA has determined that this feet above the surface within a 6.4-mile Designations and Reporting Points, radius of the Harrison County Airport. dated August 8, 2019, and effective regulation only involves an established September 15, 2019. FAA Order body of technical regulations for which AGL OH E5 Caldwell, OH [Amended] frequent and routine amendments are 7400.11D is publicly available as listed Noble County Airport, OH in the ADDRESSES section of this necessary to keep them operationally (Lat. 39°48′03″ N, long. 81°32′11″ W) current, is non-controversial and document. FAA Order 7400.11D lists That airspace extending upward from 700 Class A, B, C, D, and E airspace areas, unlikely to result in adverse or negative feet above the surface within a 6.3-mile air traffic service routes, and reporting comments. It, therefore: (1) Is not a radius of Noble County Airport. points. ‘‘significant regulatory action’’ under Executive Order 12866; (2) is not a AGL OH E5 Cambridge, OH [Amended] The Proposal ‘‘significant rule’’ under DOT Cambridge Municipal Airport, OH (Lat. 39°58′30″ N, long. 81°34′39″ W) The FAA is proposing an amendment Regulatory Policies and Procedures (44 FR 11034; February 26, 1979); and (3) That airspace extending upward from 700 to Title 14 Code of Federal Regulations feet above the surface within a 6.4-mile (14 CFR) part 71 by: does not warrant preparation of a regulatory evaluation as the anticipated radius of the Cambridge Municipal Airport. Amending the Class E airspace impact is so minimal. Since this is a Issued in Fort Worth, Texas, on January 22, extending upward from 700 feet above routine matter that will only affect air 2020. the surface to within a 6.4-mile radius traffic procedures and air navigation, it Steve Szukala, (decreased from a 7-mile radius) of the is certified that this rule, when Harrison County Airport, Cadiz, OH; Acting Manager, Operations Support Group, promulgated, would not have a ATO Central Service Center. removing the city associated with the significant economic impact on a [FR Doc. 2020–01582 Filed 1–29–20; 8:45 am] airport to comply with a change to FAA substantial number of small entities Order 7400.2M, Procedures for BILLING CODE 4910–13–P under the criteria of the Regulatory Handling Airspace Matters; updating Flexibility Act. the geographic coordinates of the airport DEPARTMENT OF TRANSPORTATION to coincide with the FAA’s aeronautical Environmental Review database; and removing the This proposal will be subject to an Federal Aviation Administration exclusionary language from the airspace environmental analysis in accordance legal description as it is no longer with FAA Order 1050.1F, 14 CFR Part 71 required; ‘‘Environmental Impacts: Policies and Amending the Class E airspace [Docket No. FAA–2019–1030; Airspace Procedures’’ prior to any FAA final Docket No. 19–ASW–17] extending upward from 700 feet above regulatory action. the surface at Noble County Airport, RIN 2120–AA66 Caldwell, OH, by updating the List of Subjects in 14 CFR Part 71 geographic coordinates of the airport to Airspace, Incorporation by reference, Proposed Amendment of Class D and coincide with the FAA’s aeronautical Navigation (air). E Airspace; Dallas-Fort Worth, Fort database; removing the city associated Worth, and Stephenville, TX The Proposed Amendment with the airport to comply with a AGENCY: Federal Aviation change to FAA Order 7400.2M; and Accordingly, pursuant to the Administration (FAA), DOT. removing the exclusionary language authority delegated to me, the Federal ACTION: Notice of proposed rulemaking from the airspace legal description as it Aviation Administration proposes to (NPRM). is no longer required; amend 14 CFR part 71 as follows:
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SUMMARY: This action proposes to Administration (NARA). For Docket No. FAA–2019–1030, Airspace amend the Class D airspace at Fort information on the availability of FAA Docket No. 19–ASW–17.’’ The postcard Worth Spinks Airport, Fort Worth, TX, Order 7400.11D at NARA, email will be date/time stamped and returned and the Class E airspace extending [email protected] or go to https:// to the commenter. upward from 700 feet above the surface www.archives.gov/federal-register/cfr/ All communications received before at Bourland Field, Fort Worth, TX, and ibr-locations.html. the specified closing date for comments Mesquite Metro Airport, Mesquite, TX, FOR FURTHER INFORMATION CONTACT: will be considered before taking action which are contained within the Dallas- Jeffrey Claypool, Federal Aviation on the proposed rule. The proposal Fort Worth, TX, airspace legal Administration, Operations Support contained in this notice may be changed description, and Stephenville Clark Group, Central Service Center, 10101 in light of the comments received. A Regional Airport, Stephenville, TX. The Hillwood Parkway, Fort Worth, TX report summarizing each substantive FAA is proposing these actions as the 76177; telephone (817) 222–5711. public contact with FAA personnel concerned with this rulemaking will be result of airspace reviews caused by the SUPPLEMENTARY INFORMATION: decommissioning of the Glen Rose VHF filed in the docket. Authority for This Rulemaking omnidirectional range (VOR) navigation Availability of NPRMs aid, which provided navigation The FAA’s authority to issue rules An electronic copy of this document information for the instrument regarding aviation safety is found in procedures at Bourland Field and may be downloaded through the Title 49 of the United States Code. internet at http://www.regulations.gov. Stephenville Clark Regional Airport, as Subtitle I, Section 106 describes the part of the VOR Minimum Operational Recently published rulemaking authority of the FAA Administrator. documents can also be accessed through Network (MON) Program, and to bring Subtitle VII, Aviation Programs, the airspace legal description for the FAA’s web page at https:// describes in more detail the scope of the _ Mesquite Metro Airport into compliance www.faa.gov/air traffic/publications/ agency’s authority. This rulemaking is _ with FAA Order 7400.2M, Procedures airspace amendments/. promulgated under the authority You may review the public docket for Handling Airspace Matters. The described in Subtitle VII, Part A, geographic coordinates for Fort Worth containing the proposal, any comments Subpart I, Section 40103. Under that received, and any final disposition in Spinks Airport; Bridgeport Municipal section, the FAA is charged with Airport, Bridgeport, TX; and person in the Dockets Office (see the prescribing regulations to assign the use ADDRESSES section for the address and Stephenville Clark Regional Airport and of airspace necessary to ensure the the names of Dallas-Fort Worth phone number) between 9:00 a.m. and safety of aircraft and the efficient use of 5:00 p.m., Monday through Friday, International Airport, Dallas-Fort Worth, airspace. This regulation is within the TX; Lancaster Regional Airport, except federal holidays. An informal scope of that authority as it would docket may also be examined during Lancaster, TX; Bourland Field, and amend the Class D airspace at Fort Stephenville Clark Regional Airport normal business hours at the Federal Worth Spinks Airport, Fort Worth, TX, Aviation Administration, Air Traffic would also be updated to coincide with and the Class E airspace extending the FAA’s aeronautical database. Organization, Central Service Center, upward from 700 feet above the surface Operations Support Group, 10101 DATES: Comments must be received on at Bourland Field, Fort Worth, TX, and Hillwood Parkway, Fort Worth, TX or before March 16, 2020. Mesquite Metro Airport, Mesquite, TX, 76177. ADDRESSES: Send comments on this which are contained in the Dallas-Fort proposal to the U.S. Department of Worth, TX, airspace legal description, Availability and Summary of Transportation, Docket Operations, and Stephenville Clark Regional Documents for Incorporation by West Building Ground Floor, Room Airport, Stephenville, TX, to support Reference W12–140, 1200 New Jersey Avenue SE, instrument flight rule operations at This document proposes to amend Washington, DC 20590; telephone (202) these airports. FAA Order 7400.11D, Airspace 366–9826, or (800) 647–5527. You must Comments Invited Designations and Reporting Points, identify FAA Docket No. FAA–2019– dated August 8, 2019, and effective 1030, Airspace Docket No. 19–ASW–17 Interested parties are invited to September 15, 2019. FAA Order at the beginning of your comments. You participate in this proposed rulemaking 7400.11D is publicly available as listed may also submit comments through the by submitting such written data, views, in the ADDRESSES section of this internet at https://www.regulations.gov. or arguments, as they may desire. document. FAA Order 7400.11D lists You may review the public docket Comments that provide the factual basis Class A, B, C, D, and E airspace areas, containing the proposal, any comments supporting the views and suggestions air traffic service routes, and reporting received, and any final disposition in presented are particularly helpful in points. person in the Dockets Office between developing reasoned regulatory 9:00 a.m. and 5:00 p.m., Monday decisions on the proposal. Comments The Proposal through Friday, except federal holidays. are specifically invited on the overall The FAA is proposing an amendment FAA Order 7400.11D, Airspace regulatory, aeronautical, economic, to Title 14 Code of Federal Regulations Designations and Reporting Points, and environmental, and energy-related (14 CFR) part 71 by: subsequent amendments can be viewed aspects of the proposal. Amending the Class D airspace at Fort online at https://www.faa.gov/air_ Communications should identify both Worth Spinks Airport, Fort Worth, TX, traffic/publications/. For further docket numbers and be submitted in by updating the header of the airspace information, you can contact the triplicate to the address listed above. legal description from ‘‘Fort Worth Airspace Policy Group, Federal Aviation Commenters wishing the FAA to Spinks Airport, TX’’ to ‘‘Fort Worth, Administration, 800 Independence acknowledge receipt of their comments TX’’ to coincide with the FAA’s Avenue SW, Washington, DC 20591; on this notice must submit with those aeronautical database and comply with telephone: (202) 267–8783. The Order is comments a self-addressed, stamped FAA Order 7400.2M; updating the also available for inspection at the postcard on which the following geographic coordinates of the airport; National Archives and Records statement is made: ‘‘Comments to and replacing the outdated term
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‘‘Airport/Facility Directory’’ with ‘‘Chart 7400.2M; removing the cities associated promulgated, would not have a Supplement;’’ with Granbury Regional Airport, significant economic impact on a Amending the Class E airspace Granbury, TX, and Parker County substantial number of small entities extending upward from 700 feet above Airport, Weatherford, TX, contained in under the criteria of the Regulatory the surface for Dallas-Fort Worth, TX, by the Dallas-Fort Worth, TX, airspace legal Flexibility Act. description to comply with FAA Order updating the header of the airspace legal Environmental Review description from ‘‘Dallas/Fort Worth, 7400.2M; removing the city associated TX’’ to ‘‘Dallas-Fort Worth, TX’’ to with Bridgeport Municipal Airport, This proposal will be subject to an coincide with the FAA’s aeronautical Bridgeport, TX, contained in the Dallas- environmental analysis in accordance database; updating the name of Dallas- Fort Worth, TX, airspace legal with FAA Order 1050.1F, Fort Worth International Airport description to comply with FAA Order ‘‘Environmental Impacts: Policies and (previously Dallas/Fort Worth 7400.2M and updating the geographic Procedures’’ prior to any FAA final International Airport), Dallas-Fort coordinates of the airport to coincide regulatory action. Worth, TX, to coincide with the FAA’s with the FAA’s aeronautical database; List of Subjects in 14 CFR Part 71 aeronautical database; removing the and removing the city associated with the Decatur Municipal Airport, Decatur, Airspace, Incorporation by reference, cities associated with McKinney Navigation (air). National Airport, McKinney, TX; Ralph TX, contained in the Dallas-Fort Worth, M. Hall/Rockwall Municipal Airport, TX, airspace legal description to comply The Proposed Amendment Rockwall, TX; and Mesquite Metro with FAA Order 7400.2M; And updating the Class E airspace Accordingly, pursuant to the Airport, Mesquite, TX, contained in the extending upward from 700 feet above authority delegated to me, the Federal Dallas-Fort Worth, TX, airspace legal the surface at Stephenville Clark Aviation Administration proposes to description to comply with FAA Order Regional Airport (previously Clark Field amend 14 CFR part 71 as follows: 7400.2M; removing the Mesquite NDB Municipal Airport), Stephenville, TX, and the associated extension from the PART 71—DESIGNATION OF CLASS A, by updating the name and geographic airspace legal description as the B, C, D, AND E AIRSPACE AREAS; AIR coordinates of the airport to coincide associated instrument procedure has TRAFFIC SERVICE ROUTES; AND with the FAA’s aeronautical database; been cancelled and the extension is no REPORTING POINTS removing the city associated with the longer needed; updating the name of the airport in the airspace legal description Mesquite Metro: RWY 18–LOC ■ 1. The authority citation for 14 CFR to comply with FAA Order 7400.2M; part 71 continues to read as follows: (previously Mesquite Metro ILS and adding an extension 4 miles each Localizer) to coincide with the FAA’s side of the 329° bearing from the airport Authority: 49 U.S.C. 106(f), 106(g); 40103, aeronautical database; removing the 40113, 40120; E.O. 10854, 24 FR 9565, 3 CFR, extending from the 6.4-mile radius to 1959–1963 Comp., p. 389. extension south of the airport associated 10.5 miles northwest of the airport. with the Mesquite Metro ILS Localizer; Class D and E airspace designations § 71.1 [Amended] adding an extension 4 miles west and are published in paragraph 5000 and ■ 2. The incorporation by reference in 7.9 miles east of the 001° bearing from 6005, respectively, of FAA Order 14 CFR 71.1 of FAA Order 7400.11D, the Mesquite Metro: RWY 18–LOC 7400.11D, dated August 8, 2019, and Airspace Designations and Reporting extending from the 6.5-mile radius of effective September 15, 2019, which is Points, dated August 8, 2019, and the Mesquite Metro Airport to 10 miles incorporated by reference in 14 CFR effective September 15, 2019, is north of the Mesquite Metro: RWY 18– 71.1. The Class D and E airspace amended as follows: LOC; updating the name of Lancaster designations listed in this document Regional Airport (previously Lancaster will be published subsequently in the Paragraph 5000 Class D Airspace. Airport), Lancaster, TX, to coincide with Order. * * * * * the FAA’s aeronautical database and FAA Order 7400.11, Airspace ASW TX D Fort Worth, TX [Amended] removing the city associated with Designations and Reporting Points, is Lancaster Regional Airport contained in Fort Worth Spinks Airport, TX published yearly and effective on (Lat. 32°33′55″ N, long. 97°18′30″ W) the Dallas-Fort Worth, TX, airspace legal September 15. description to comply with FAA Order That airspace extending upward from the 7400.2M; removing the city associate Regulatory Notices and Analyses surface up to but not including 3,000 feet MSL within a 4.1-mile radius of Fort Worth with Fort Worth Spinks Airport, Fort The FAA has determined that this Spinks Airport, and within 1 mile each side Worth, TX, contained in the Dallas-Fort regulation only involves an established of the 173° bearing from the airport extending Worth, TX, airspace legal description to body of technical regulations for which from the 4.1-mile radius to 4.8 miles south comply with FAA Order 7400.2M and frequent and routine amendments are of the airport. This Class D airspace area is updating the geographic coordinates of necessary to keep them operationally effective during the specific dates and times the airport to coincide with the FAA’s current, is non-controversial and established in advance by a Notice to aeronautical database; removing the city unlikely to result in adverse or negative Airmen. The effective dates and times will associated with Cleburne Regional comments. It, therefore: (1) Is not a thereafter be continuously published in the Chart Supplement. Airport, Cleburne, TX, contained in the ‘‘significant regulatory action’’ under Dallas-Fort Worth, TX, airspace legal Executive Order 12866; (2) is not a Paragraph 6005 Class E Airspace Areas description to comply with FAA Order ‘‘significant rule’’ under DOT Extending Upward From 700 Feet or More 7400.2M; updating the name of Regulatory Policies and Procedures (44 Above the Surface of the Earth. Bourland Field (previously Bourland FR 11034; February 26, 1979); and (3) * * * * * Field Airport), Fort Worth, TX, to does not warrant preparation of a ASW TX E5 Dallas-Fort Worth, TX coincide with the FAA’s aeronautical regulatory evaluation as the anticipated [Amended] database and removing the city impact is so minimal. Since this is a Dallas-Fort Worth International Airport, TX associated with the airport contained in routine matter that will only affect air (Lat. 32°53′50″ N, long. 97°02′16″ W) the Dallas-Fort Worth, TX, airspace legal traffic procedures and air navigation, it McKinney National Airport, TX description to comply with FAA Order is certified that this rule, when (Lat. 33°10′37″ N, long. 96°35′20″ W)
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Ralph M. Hall/Rockwall Municipal Airport, extending from the 6.3-mile radius to 10.6 West Building Ground Floor, Room TX miles northeast of the airport, and within 4 W12–140, 1200 New Jersey Avenue SE, ° ′ ″ ° ′ ″ ° (Lat. 32 55 50 N, long. 96 26 08 W) miles each side of the 001 bearing from Washington, DC 20590, telephone (202) Mesquite Metro Airport, TX Bridgeport Municipal Airport extending from 366–9826, or (800) 647–5527. You must (Lat. 32°44′49″ N, long. 96°31′50″ W) the 6.3-mile radius to 10.7 miles north of the Mesquite Metro: RWY 18–LOC airport, and within a 6.3-mile radius of identify FAA Docket No. FAA–2019– (Lat. 32°44′03″ N, long. 96°31′50″ W) Decatur Municipal Airport, and within 1.5 0787; Airspace Docket No. 19–ASW–11, Lancaster Regional Airport, TX miles each side of the 263° bearing from at the beginning of your comments. You (Lat. 32°34′39″ N, long. 96°43′03″ W) Decatur Municipal Airport extending from may also submit comments through the Point of Origin the 6.3-mile radius to 9.2 miles west of the internet at https://www.regulations.gov. (Lat. 32°51′57″ N, long. 97°01′41″ W) airport. You may review the public docket Fort Worth Spinks Airport, TX ° ′ ″ ° ′ ″ * * * * * containing the proposal, any comments (Lat. 32 33 55 N, long. 97 18 30 W) received, and any final disposition in Cleburne Regional Airport, TX ASW TX E5 Stephenville, TX [Amended] (Lat. 32°21′14″ N, long. 97°26′02″ W) person in the Dockets Office between Stephenville Clark Regional Airport, TX 9:00 a.m. and 5:00 p.m., Monday Bourland Field, TX (Lat. 32°12′55″ N, long. 98°10′40″ W) (Lat. 32°34′55″ N, long. 97°35′27″ W) through Friday, except federal holidays. That airspace extending upward from 700 Granbury Regional Airport, TX FAA Order 7400.11D, Airspace feet above the surface within a 6.4-mile (lat. 32°26′40″ N, long. 97°49′01″ W) radius of Stephenville Clark Regional Designations and Reporting Points, and Parker County Airport, TX Airport, and within 4 miles each side of the subsequent amendments can be viewed (Lat. 32°44′47″ N, long. 97°40′57″ W) 329° bearing from the airport extending from online at https://www.faa.gov/air_ Bridgeport Municipal Airport, TX the 6.4-mile radius to 10.5 miles northwest traffic/publications/. For further (Lat. 33°10′26″ N, long. 97°49′42″ W) of the airport. Decatur Municipal Airport, TX information, you can contact the (Lat. 33°15′15″ N, long. 97°34′50″ W) Issued in Fort Worth, Texas, on January 22, Airspace Policy Group, Federal Aviation That airspace extending upward from 700 2020. Administration, 800 Independence feet above the surface within a 30-mile radius Steve Szukala, Avenue SW, Washington, DC 20591; of Dallas-Fort Worth International Airport, Acting Manager, Operations Support Group, telephone: (202) 267–8783. The Order is and within a 6.6-mile radius of McKinney ATO Central Service Center. also available for inspection at the National Airport, and within 1.8 miles each [FR Doc. 2020–01587 Filed 1–29–20; 8:45 am] National Archives and Records side of the 002° bearing from McKinney Administration (NARA). For BILLING CODE 4910–13–P National Airport extending from the 6.6-mile information on the availability of FAA radius to 9.2 miles north of the airport, and Order 7400.11D at NARA, email within a 6.3-mile radius of Ralph M. Hall/ Rockwall Municipal Airport, and within 1.6 DEPARTMENT OF TRANSPORTATION [email protected] or go to https:// miles each side of the 010° bearing from www.archives.gov/federal-register/cfr/ Ralph M. Hall/Rockwall Municipal Airport Federal Aviation Administration ibr-locations.html. extending from the 6.3-mile radius to 10.8 FOR FURTHER INFORMATION CONTACT: miles north of the airport, and within a 6.5- 14 CFR Part 71 Rebecca Shelby, Federal Aviation mile radius of Mesquite Metro Airport, and Administration, Operations Support within 4 miles west and 7.9 miles east of the [Docket No. FAA–2019–0787; Airspace 001° bearing from the Mesquite Metro: RWY Docket No. 19–ASW–11] Group, Central Service Center, 10101 Hillwood Parkway, Fort Worth, TX 18–LOC extending from the 6.5-mile radius RIN 2120–AA66 of the Mesquite Metro Airport to 10 miles 76177; telephone (817) 222–5857. north of the Mesquite Metro: RWY 18–LOC, Proposed Amendment of Class E SUPPLEMENTARY INFORMATION: and within a 6.6-mile radius of Lancaster Airspace; Sweetwater, TX Regional Airport, and within 1.9 miles each Authority for This Rulemaking ° side of the 140 bearing from Lancaster AGENCY: Federal Aviation The FAA’s authority to issue rules Regional Airport extending from the 6.6-mile Administration (FAA), DOT. regarding aviation safety is found in radius to 9.2 miles southeast of the airport, and within 8 miles northeast and 4 miles ACTION: Notice of proposed rulemaking Title 49 of the United States Code. southwest of the 144° bearing from the Point (NPRM). Subtitle I, Section 106 describes the of Origin extending from the 30-mile radius authority of the FAA Administrator. SUMMARY: of Dallas-Fort Worth International Airport to This action proposes to Subtitle VII, Aviation Programs, 35 miles southeast of the Point of Origin, and amend Class E airspace areas extending describes in more detail the scope of the within a 6.5-mile radius of Fort Worth Spinks upward from 700 feet or more above the agency’s authority. This rulemaking is Airport, and within 8 miles east and 4 miles surface of the earth at Avenger Field promulgated under the authority ° west of the 178 bearing from Fort Worth Airport, Sweetwater, TX. The FAA is described in Subtitle VII, Part A, Spinks Airport extending from the 6.5-mile proposing this action as the result of an Subpart I, Section 40103. Under that radius to 21 miles south of the airport, and airspace review caused by the section, the FAA is charged with within a 6.9-mile radius of Cleburne Regional decommissioning of the Sweetwater Airport, and within 3.6 miles each side of the prescribing regulations to assign the use ° non-directional radio beacon (NDB). of airspace necessary to ensure the 292 bearing from the Cleburne Regional The geographic coordinates for the Airport extending from the 6.9-mile radius to safety of aircraft and the efficient use of 12.2 miles northwest of airport, and within airport and the name of the airport airspace. This regulation is within the a 6.5-mile radius of Bourland Field, and would be updated to coincide with the scope of that authority as it would within a 6.3-mile radius of Granbury FAA’s aeronautical database. Airspace amend Class E airspace at Avenger Field Regional Airport, and within a 6.3-mile redesign is necessary for the safety and Airport, in support of standard radius of Parker County Airport, and within management of instrument flight rules instrument approach procedures for IFR 8 miles east and 4 miles west of the 177° (IFR) operations at these airports. bearing from Parker County Airport operations at the airport. DATES: Comments must be received on extending from the 6.3-mile radius to 21.4 Comments Invited miles south of the airport, and within a 6.3- or before March 16, 2020. mile radius of Bridgeport Municipal Airport, ADDRESSES: Send comments on this Interested parties are invited to and within 1.6 miles each side of the 040° proposal to the U.S. Department of participate in this proposed rulemaking bearing from Bridgeport Municipal Airport Transportation, Docket Operations, by submitting such written data, views,
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or arguments, as they may desire. dated August 8, 2019, and effective only affect air traffic procedures and air Comments that provide the factual basis September 15, 2019. FAA Order navigation, it is certified that this supporting the views and suggestions 7400.11D is publicly available as listed proposed rule, when promulgated, presented are particularly helpful in in the ADDRESSES section of this would not have a significant economic developing reasoned regulatory document. FAA Order 7400.11D lists impact on a substantial number of small decisions on the proposal. Comments Class A, B, C, D, and E airspace areas, entities under the criteria of the are specifically invited on the overall air traffic service routes, and reporting Regulatory Flexibility Act. regulatory, aeronautical, economic, points. Environmental Review environmental, and energy-related The Proposal aspects of the proposal. This proposal will be subject to an Communications should identify both The FAA is proposing an amendment environmental analysis in accordance docket numbers and be submitted in to Title 14 Code of Federal Regulations with FAA Order 1050.1F, triplicate to the address listed above. (14 CFR) part 71 by amending Class E ‘‘Environmental Impacts: Policies and Commenters wishing the FAA to airspace extending upward from 700 Procedures’’ prior to any FAA final acknowledge receipt of their comments feet above the surface within a 6.6-mile regulatory action. on this notice must submit with those radius of the Avenger Field Airport, List of Subjects in 14 CFR Part 71 comments a self-addressed, stamped Sweetwater, TX, and within 2 miles postcard on which the following each side of the 174° bearing from the Airspace, Incorporation by reference, statement is made: ‘‘Comments to airport extending from the 6.6-mile Navigation (air). Docket No. FAA–2019–0787; Airspace radius to 12.1 miles southeast of the The Proposed Amendment Docket No. 19–ASW–11.’’ The postcard airport, and by removing the will be date/time stamped and returned Sweetwater NDB and associated Accordingly, pursuant to the to the commenter. extension from the airspace legal authority delegated to me, the Federal All communications received before description; and removing the city Aviation Administration proposes to the specified closing date for comments associated with the airport from the amend 14 CFR part 71 as follows: will be considered before taking action airspace legal description to comply on the proposed rule. The proposal with FAA Order 7400.2L, Procedures for PART 71—DESIGNATION OF CLASS A, contained in this notice may be changed Handling Airspace Matters and B, C, D, AND E AIRSPACE AREAS; AIR in light of the comments received. A updating the geographic coordinates of TRAFFIC SERVICE ROUTES; AND report summarizing each substantive the airport to coincide with the FAA’s REPORTING POINTS public contact with FAA personnel aeronautical database. This action ■ concerned with this rulemaking will be would enhance safety and the 1. The authority citation for 14 CFR filed in the docket. management of IFR operations at the part 71 continues to read as follows: airport. Authority: 49 U.S.C. 106(f), 106(g); 40103, Availability of NPRMs Class E airspace designations are 40113, 40120; E.O. 10854, 24 FR 9565, 3 CFR, An electronic copy of this document published in paragraph 6005 of FAA 1959–1963 Comp., p. 389. may be downloaded through the Order 7400.11D, dated August 8, 2019, § 71.1 [Amended] internet at https://www.regulations.gov. and effective September 15, 2019, which Recently published rulemaking is incorporated by reference in 14 CFR ■ 2. The incorporation by reference in documents can also be accessed through 71.1. The Class E airspace designation 14 CFR 71.1 of FAA Order 7400.11D, the FAA’s web page at https:// listed in this document will be Airspace Designations and Reporting www.faa.gov/air-traffic/publications/ published subsequently in the Order. Points, dated August 8, 2019, and airspace-amendments/. FAA Order 7400.11, Airspace effective September 15, 2019, is You may review the public docket Designations and Reporting Points, is amended as follows: containing the proposal, any comments published yearly and effective on Paragraph 6005 Class E Airspace Areas received, and any final disposition in September 15. Extending Upward from 700 Feet or More person in the Dockets Office (see the Above the Surface of the Earth. Regulatory Notices and Analyses ADDRESSES section for the address and * * * * * phone number) between 9:00 a.m. and The FAA has determined that this ASW TX E5 Sweetwater, TX [Amended] 5:00 p.m., Monday through Friday, proposed regulation only involves an except federal holidays. An informal established body of technical Avenger Field Airport, TX ° ′ ″ ° ′ ″ docket may also be examined during regulations for which frequent and (Lat. 32 28 03 N, long 100 27 00 W) normal business hours at the Federal routine amendments are necessary to That airspace extending upward from 700 Aviation Administration, Air Traffic keep them operationally current, is non- feet above the surface within a 6.6-mile Organization, Central Service Center, controversial and unlikely to result in radius of the Avenger Field Airport, and within 2 miles each side of the 174° bearing Operations Support Group, 10101 adverse or negative comments. It, from the airport extending from the 6.6-mile therefore: (1) Is not a ‘‘significant Hillwood Parkway, Fort Worth, TX radius to 12.1 miles southeast of the airport. 76177. regulatory action’’ under Executive Order 12866; (2) is not a ‘‘significant Issued in Fort Worth, Texas, on January 23, Availability and Summary of rule’’ under DOT Regulatory Policies 2020. Documents for Incorporation by and Procedures (44 FR 11034; February Steve Szukala, Reference 26, 1979); and (3) does not warrant Acting Manager, Operations Support Group, This document proposes to amend preparation of a regulatory evaluation as ATO Central Service Center. FAA Order 7400.11D, Airspace the anticipated impact is so minimal. [FR Doc. 2020–01586 Filed 1–29–20; 8:45 am] Designations and Reporting Points, Since this is a routine matter that will BILLING CODE 4910–13–P
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DEPARTMENT OF TRANSPORTATION FOR FURTHER INFORMATION CONTACT: Availability of NPRMs Matthew Van Der Wal, Federal Aviation An electronic copy of this document Federal Aviation Administration Administration, Western Service Center, may be downloaded through the Operations Support Group, 2200 S. internet at https://www.regulations.gov. 14 CFR Part 71 216th Street, Des Moines, WA 98198; Recently published rulemaking [Docket No. FAA–2020–0012; Airspace telephone (206) 231–3695. documents can also be accessed through Docket No. 19–AWP–86] SUPPLEMENTARY INFORMATION: the FAA’s web page at https:// www.faa.gov//air_traffic/publications/ RIN 2120–AA66 Authority for This Rulemaking airspace_amendments/. Proposed Establishment of Class E The FAA’s authority to issue rules You may review the public docket Airspace; Owyhee, NV regarding aviation safety is found in containing the proposal, any comments Title 49 of the United States Code. received, and any final disposition in AGENCY: Federal Aviation Subtitle I, Section 106 describes the person in the Dockets Office (see the Administration (FAA), DOT. authority of the FAA Administrator. ADDRESSES section for the address and ACTION: Notice of proposed rulemaking Subtitle VII, Aviation Programs, phone number) between 9:00 a.m. and (NPRM). describes in more detail the scope of the 5:00 p.m., Monday through Friday, agency’s authority. This rulemaking is except federal holidays. An informal SUMMARY: This action proposes to promulgated under the authority docket may also be examined during establish Class E airspace extending described in Subtitle VII, Part A, normal business hours, except federal upward from 700 feet or more above the Subpart I, Section 40103. Under that holidays, at the Northwest Mountain surface at Owyhee Airport, Owyhee, section, the FAA is charged with Regional Office of the Federal Aviation NV. The establishment of airspace prescribing regulations to assign the use Administration, Air Traffic facilitates the airport’s transition from of airspace necessary to ensure the Organization, Western Service Center, visual flight rules to instrument flight safety of aircraft and the efficient use of Operations Support Group, 2200 S rules (IFR) operations. The airspace, to airspace. This regulation is within the 216th Street, Des Moines, WA 98198. the extent possible, contains a new IFR scope of that authority as it would Availability and Summary of area navigation (RNAV) approach and establish Class E airspace to support a IFR departure procedures at the airport. Documents for Incorporation by new RNAV procedure and IFR Reference The first proposed area extends upward departures at Owyhee Airport, Owyhee, from 700 feet above the surface. The NV. This document proposes to amend second proposed area extends upward FAA Order 7400.11D, Airspace from 1,200 feet above the surface. This Comments Invited Designations and Reporting Points, action would ensure the safety and Interested parties are invited to dated August 8, 2019, and effective management of IFR operations at the participate in this proposed rulemaking September 15, 2019. FAA Order airport. by submitting such written data, views, 7400.11D is publicly available as listed ADDRESSES DATES: Comments must be received on or arguments, as they may desire. in the section of this or before March 16, 2020. Comments that provide the factual basis document. FAA Order 7400.11D lists Class A, B, C, D, and E airspace areas, ADDRESSES: Send comments on this supporting the views and suggestions presented are particularly helpful in air traffic service routes, and reporting proposal to the U.S. Department of points. Transportation, Docket Operations, 1200 developing reasoned regulatory New Jersey Avenue SE, West Building decisions on the proposal. Comments The Proposal Ground Floor, Room W12–140, are specifically invited on the overall The FAA is proposing an amendment Washington, DC 20590–0001; telephone: regulatory, aeronautical, economic, to Title 14 Code of Federal Regulations 1(800) 647–5527, or (202) 366–9826. environmental, and energy-related (14 CFR) Part 71 by establishing Class E You must identify FAA Docket No. aspects of the proposal. airspace extending upward from 700 FAA–2020–0012; Airspace Docket No. Communications should identify both feet or more above the surface at the 19–AWP–86, at the beginning of your docket numbers and be submitted in Owyhee Airport, Owyhee, NV. The comments. You may also submit triplicate to the address listed above. establishment of airspace facilitates the comments through the internet at Persons wishing the FAA to airport’s transition from VFR to IFR https://www.regulations.gov. acknowledge receipt of their comments operations. Specifically, to the extent FAA Order 7400.11D, Airspace on this notice must submit with those possible, it will contain IFR departures Designations and Reporting Points, and comments a self-addressed, stamped until reaching 1,200 feet above the subsequent amendments can be viewed postcard on which the following surface and IFR arrivals descending _ online at https://www.faa.gov/air statement is made: ‘‘Comments to below 1,500 feet above the surface. traffic/publications/. For further Docket No. FAA–2020–0012; Airspace The first proposed airspace area information, you can contact the Docket No. 19–AWP–86’’. The postcard extends upward from 700 feet above the Airspace Policy Group, Federal Aviation will be date/time stamped and returned surface within a 6.5-mile radius of the Administration, 800 Independence to the commenter. airport, and within 2 miles each side of Avenue SW, Washington, DC 20591; All communications received before the 241° bearing from the airport, telephone: (202) 267–8783. The Order is the specified closing date for comments extending from the 6.5-mile radius to also available for inspection at the will be considered before taking action 9.4 miles southwest of the Owyhee National Archives and Records on the proposed rule. The proposal Airport. Administration (NARA). For contained in this notice may be changed The second proposed airspace area information on the availability of FAA in light of the comments received. A extends upward from 1,200 feet above Order 7400.11D at NARA, email report summarizing each substantive the surface within a 15-mile radius of [email protected] or go to https:// public contact with FAA personnel the Owyhee Airport. www.archives.gov/federal-register/cfr/ concerned with this rulemaking will be Class E airspace designations are ibr_locations.html. filed in the docket. published in paragraph 6005 of FAA
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Order 7400.11D, dated August 8, 2019, Points, dated August 8, 2019, and West Building Ground Floor, Room and effective September 15, 2019, which effective September 15, 2019, is W12–140, 1200 New Jersey Avenue SE, is incorporated by reference in 14 CFR amended as follows: Washington, DC 20590; telephone (202) 71.1. The Class E airspace designation Paragraph 6005 Class E Airspace Areas 366–9826, or (800) 647–5527. You must listed in this document will be Extending Upward from 700 Feet or More identify FAA Docket No. FAA–2019– published subsequently in the Order. Above the Surface of the Earth. 1039/Airspace Docket No. 19–ACE–15 FAA Order 7400.11, Airspace * * * * * at the beginning of your comments. You Designations and Reporting Points, is may also submit comments through the published yearly and effective on AWP NV E5 Owyhee, NV [New] internet at https://www.regulations.gov. September 15. Owyhee Airport, NV You may review the public docket ° ′ ″ ° ′ ″ Regulatory Notices and Analyses (Lat. 41 57 13 N, long. 116 10 55 W) containing the proposal, any comments That airspace extending upward from 700 received, and any final disposition in The FAA has determined that this feet above the surface within a 6.5-mile person in the Dockets Office between regulation only involves an established radius of the airport, and within 2.0 miles ° 9:00 a.m. and 5:00 p.m., Monday body of technical regulations for which each side of the 241 bearing from the airport, through Friday, except federal holidays. extending from the 6.5-mile radius to 9.4 frequent and routine amendments are FAA Order 7400.11D, Airspace necessary to keep them operationally miles southwest of the airport; and that airspace extending upward from 1,200 feet Designations and Reporting Points, and current, is non-controversial and subsequent amendments can be viewed unlikely to result in adverse or negative above the surface within a 15-mile radius of the Owyhee Airport. online at https://www.faa.gov/air_ comments. It, therefore: (1) Is not a Issued in Seattle, Washington, on January traffic/publications/. For further ‘‘significant regulatory action’’ under information, you can contact the Executive Order 12866; (2) is not a 23, 2020. Shawn M. Kozica, Airspace Policy Group, Federal Aviation ‘‘significant rule’’ under DOT Administration, 800 Independence Regulatory Policies and Procedures (44 Group Manager, Operations Support Group, Western Service Center Avenue SW, Washington, DC 20591; FR 11034; February 26, 1979); and (3) telephone: (202) 267–8783. The Order is [FR Doc. 2020–01534 Filed 1–29–20; 8:45 am] does not warrant preparation of a also available for inspection at the regulatory evaluation as the anticipated BILLING CODE 4910–13–P National Archives and Records impact is so minimal. Since this is a Administration (NARA). For routine matter that will only affect air DEPARTMENT OF TRANSPORTATION information on the availability of FAA traffic procedures and air navigation, it Order 7400.11D at NARA, email is certified that this rule, when Federal Aviation Administration [email protected], or go to https:// promulgated, would not have a www.archives.gov/federal-register/cfr/ significant economic impact on a 14 CFR Part 71 ibr-locations.html. substantial number of small entities under the criteria of the Regulatory [Docket No. FAA–2019–1039; Airspace FOR FURTHER INFORMATION CONTACT: Flexibility Act. Docket No. 19–ACE–15] Jeffrey Claypool, Federal Aviation Administration, Operations Support Environmental Review RIN 2120–AA66 Group, Central Service Center, 10101 This proposal will be subject to an Proposed Amendment of Class E Hillwood Parkway, Fort Worth, TX environmental analysis in accordance Airspace; Coffeyville, KS 76177; telephone (817) 222–5711. with FAA Order 1050.1F, SUPPLEMENTARY INFORMATION: ‘‘Environmental Impacts: Policies and AGENCY: Federal Aviation Authority for This Rulemaking Procedures’’ prior to any FAA final Administration (FAA), DOT. regulatory action. ACTION: Notice of proposed rulemaking The FAA’s authority to issue rules (NPRM). regarding aviation safety is found in List of Subjects in 14 CFR Part 71 Title 49 of the United States Code. Airspace, Incorporation by reference, SUMMARY: This action proposes to Subtitle I, Section 106 describes the Navigation (air). amend the Class E airspace extending authority of the FAA Administrator. upward from 700 feet above the surface The Proposed Amendment Subtitle VII, Aviation Programs, at Coffeyville Municipal Airport, describes in more detail the scope of the Accordingly, pursuant to the Coffeyville, KS. The FAA is proposing agency’s authority. This rulemaking is authority delegated to me, the Federal this action as the result of an airspace promulgated under the authority Aviation Administration proposes to review caused by the decommissioning described in Subtitle VII, Part A, amend 14 CFR part 71 as follows: of the Coffeyville non-directional Subpart I, Section 40103. Under that beacon (NDB), which provided section, the FAA is charged with PART 71—DESIGNATION OF CLASS A, navigation information for the B, C, D, AND E AIRSPACE AREAS; AIR prescribing regulations to assign the use instrument procedures at this airport. of airspace necessary to ensure the TRAFFIC SERVICE ROUTES; AND The name and geographic coordinates of REPORTING POINTS safety of aircraft and the efficient use of the airport would also be updated to airspace. This regulation is within the coincide with the FAA’s aeronautical ■ 1. The authority citation for 14 CFR scope of that authority as it would database. Airspace redesign is necessary part 71 continues to read as follows: amend the Class E airspace extending for the safety and management of upward from 700 feet above the surface Authority: 49 U.S.C. 106(f), 106(g), 40103, instrument flight rules (IFR) operations at Coffeyville Municipal Airport, 40113, 40120; E.O. 10854, 24 FR 9565, 3 CFR, at this airport. 1959–1963 Comp., p. 389. Coffeyville, KS, to support IFR DATES: Comments must be received on operations at this airport. § 71.1 [Amended] or before March 16, 2020. ■ 2. The incorporation by reference in ADDRESSES: Send comments on this Comments Invited 14 CFR 71.1 of FAA Order 7400.11D, proposal to the U.S. Department of Interested parties are invited to Airspace Designations and Reporting Transportation, Docket Operations, participate in this proposed rulemaking
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by submitting such written data, views, in the ADDRESSES section of this Procedures’’ prior to any FAA final or arguments, as they may desire. document. FAA Order 7400.11D lists regulatory action. Comments that provide the factual basis Class A, B, C, D, and E airspace areas, List of Subjects in 14 CFR Part 71 supporting the views and suggestions air traffic service routes, and reporting presented are particularly helpful in points. Airspace, Incorporation by reference, developing reasoned regulatory Navigation (air). The Proposal decisions on the proposal. Comments The Proposed Amendment are specifically invited on the overall The FAA is proposing an amendment regulatory, aeronautical, economic, to Title 14 Code of Federal Regulations Accordingly, pursuant to the environmental, and energy-related (14 CFR) part 71 by amending the Class authority delegated to me, the Federal aspects of the proposal. E airspace extending upward from 700 Aviation Administration proposes to Communications should identify both feet above the surface to within a 6.6- amend 14 CFR part 71 as follows: docket numbers and be submitted in mile radius (decreased from a 7.6-mile triplicate to the address listed above. radius) of the Coffeyville Municipal PART 71—DESIGNATION OF CLASS A, Commenters wishing the FAA to Airport, Coffeyville, KS; and updating B, C, D, AND E AIRSPACE AREAS; AIR acknowledge receipt of their comments the name (previously Coffeeyville TRAFFIC SERVICE ROUTES; AND on this notice must submit with those Municipal Airport) and geographic REPORTING POINTS coordinates of the airport to coincide comments a self-addressed, stamped ■ postcard on which the following with the FAA’s aeronautical database. 1. The authority citation for 14 CFR statement is made: ‘‘Comments to This action is necessary due to an part 71 continues to read as follows: Docket No. FAA–2019–1039/Airspace airspace review caused by the Authority: 49 U.S.C. 106(f), 106(g); 40103, Docket No. 19–ACE–15.’’ The postcard decommissioning of the Coffeyville 40113, 40120; E.O. 10854, 24 FR 9565, 3 CFR, will be date/time stamped and returned NDB, which provided navigation 1959–1963 Comp., p. 389. to the commenter. information for the instrument § 71.1 [Amended] All communications received before procedures at this airport. ■ the specified closing date for comments Class E airspace designations are 2. The incorporation by reference in will be considered before taking action published in paragraph 6005 of FAA 14 CFR 71.1 of FAA Order 7400.11D, on the proposed rule. The proposal Order 7400.11D, dated August 8, 2019, Airspace Designations and Reporting contained in this notice may be changed and effective September 15, 2019, which Points, dated August 8, 2019, and in light of the comments received. A is incorporated by reference in 14 CFR effective September 15, 2019, is report summarizing each substantive 71.1. The Class E airspace designation amended as follows: public contact with FAA personnel listed in this document will be Paragraph 6005 Class E Airspace Areas concerned with this rulemaking will be published subsequently in the Order. Extending Upward From 700 Feet or More filed in the docket. FAA Order 7400.11, Airspace Above the Surface of the Earth. Designations and Reporting Points, is * * * * * Availability of NPRMs published yearly and effective on ACE KS E5 Coffeyville, KS [Amended] An electronic copy of this document September 15. may be downloaded through the Coffeyville Municipal Airport, KS ° ′ ″ ° ′ ″ internet at https://www.regulations.gov. Regulatory Notices and Analyses (Lat. 37 05 38 N, long. 95 34 19 W) Recently published rulemaking The FAA has determined that this That airspace extending upward from 700 documents can also be accessed through regulation only involves an established feet above the surface within a 6.6-mile the FAA’s web page at https:// body of technical regulations for which radius of Coffeyville Municipal Airport. www.faa.gov/air_traffic/publications/ frequent and routine amendments are Issued in Fort Worth, Texas, on January 22, airspace_amendments/. necessary to keep them operationally 2020. You may review the public docket current, is non-controversial and Steve Szukala, containing the proposal, any comments unlikely to result in adverse or negative Acting Manager, Operations Support Group, received, and any final disposition in comments. It, therefore: (1) Is not a ATO Central Service Center. person in the Dockets Office (see the ‘‘significant regulatory action’’ under [FR Doc. 2020–01589 Filed 1–29–20; 8:45 am] ADDRESSES section for the address and Executive Order 12866; (2) is not a BILLING CODE 4910–13–P phone number) between 9:00 a.m. and ‘‘significant rule’’ under DOT 5:00 p.m., Monday through Friday, Regulatory Policies and Procedures (44 except federal holidays. An informal FR 11034; February 26, 1979); and (3) DEPARTMENT OF TRANSPORTATION docket may also be examined during does not warrant preparation of a normal business hours at the Federal regulatory evaluation as the anticipated Federal Aviation Administration Aviation Administration, Air Traffic impact is so minimal. Since this is a Organization, Central Service Center, routine matter that will only affect air 14 CFR Part 71 Operations Support Group, 10101 traffic procedures and air navigation, it [Docket No. FAA–2019–1044; Airspace Hillwood Parkway, Fort Worth, TX is certified that this rule, when Docket No. 19–ASW–19] 76177. promulgated, would not have a significant economic impact on a RIN 2120–AA66 Availability and Summary of substantial number of small entities Documents for Incorporation by Proposed Amendment of Class E under the criteria of the Regulatory Reference Airspace; McAlester, Henryetta, and Flexibility Act. This document proposes to amend Poteau, OK Environmental Review FAA Order 7400.11D, Airspace AGENCY: Federal Aviation Designations and Reporting Points, This proposal will be subject to an Administration (FAA), DOT. dated August 8, 2019, and effective environmental analysis in accordance ACTION: Notice of proposed rulemaking September 15, 2019. FAA Order with FAA Order 1050.1F, (NPRM). 7400.11D is publicly available as listed ‘‘Environmental Impacts: Policies and
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SUMMARY: This action proposes to Authority for This Rulemaking Availability of NPRMs amend the Class E surface area airspace The FAA’s authority to issue rules An electronic copy of this document at McAlester Regional Airport, may be downloaded through the McAlester, OK, and the Class E airspace regarding aviation safety is found in Title 49 of the United States Code. internet at https://www.regulations.gov. extending upward from 700 feet above Recently published rulemaking Subtitle I, Section 106 describes the the surface at Henryetta Municipal documents can also be accessed through authority of the FAA Administrator. Airport, Henryetta, OK; McAlester the FAA’s web page at https:// Regional Airport; and Robert S. Kerr Subtitle VII, Aviation Programs, www.faa.gov/air_traffic/publications/ Airport, Poteau, OK. The FAA is describes in more detail the scope of the airspace_amendments/. proposing this action as the result of agency’s authority. This rulemaking is You may review the public docket airspace reviews caused by the promulgated under the authority containing the proposal, any comments decommissioning of the McAlester VHF described in Subtitle VII, Part A, received, and any final disposition in omnidirectional range (VOR) navigation Subpart I, Section 40103. Under that person in the Dockets Office (see the aid, which provided navigation section, the FAA is charged with ADDRESSES section for the address and information for the instrument prescribing regulations to assign the use phone number) between 9:00 a.m. and procedures at these airports. The of airspace necessary to ensure the geographic coordinates of the McAlester 5:00 p.m., Monday through Friday, safety of aircraft and the efficient use of except federal holidays. An informal Regional Airport would also be updated airspace. This regulation is within the to coincide with the FAA’s aeronautical docket may also be examined during scope of that authority as it would database. Airspace redesign is necessary normal business hours at the Federal amend the Class E surface area airspace for the safety and management of Aviation Administration, Air Traffic at McAlester Regional Airport, instrument flight rules (IFR) operations Organization, Central Service Center, at these airports. McAlester, OK, and the Class E airspace Operations Support Group, 10101 extending upward from 700 feet above Hillwood Parkway, Fort Worth, TX DATES: Comments must be received on the surface at Henryetta Municipal 76177. or before March 16, 2020. Airport, Henryetta, OK; McAlester ADDRESSES: Send comments on this Availability and Summary of Regional Airport; and Robert S. Kerr proposal to the U.S. Department of Documents for Incorporation by Airport, Poteau, OK, to support IFR Transportation, Docket Operations, Reference operations at these airports. West Building Ground Floor, Room This document proposes to amend W12–140, 1200 New Jersey Avenue SE, Comments Invited FAA Order 7400.11D, Airspace Washington, DC 20590; telephone (202) Designations and Reporting Points, 366–9826, or (800) 647–5527. You must Interested parties are invited to dated August 8, 2019, and effective identify FAA Docket No. FAA–2019– participate in this proposed rulemaking September 15, 2019. FAA Order 1044/Airspace Docket No. 19–ASW–19 by submitting such written data, views, 7400.11D is publicly available as listed at the beginning of your comments. You or arguments, as they may desire. in the ADDRESSES section of this may also submit comments through the Comments that provide the factual basis document. FAA Order 7400.11D lists internet at https://www.regulations.gov. supporting the views and suggestions Class A, B, C, D, and E airspace areas, You may review the public docket presented are particularly helpful in air traffic service routes, and reporting containing the proposal, any comments developing reasoned regulatory points. received, and any final disposition in decisions on the proposal. Comments person in the Dockets Office between are specifically invited on the overall The Proposal 9:00 a.m. and 5:00 p.m., Monday regulatory, aeronautical, economic, The FAA is proposing an amendment through Friday, except federal holidays. environmental, and energy-related to Title 14 Code of Federal Regulations FAA Order 7400.11D, Airspace aspects of the proposal. (14 CFR) part 71 by: Designations and Reporting Points, and Communications should identify both Amending the Class E surface area subsequent amendments can be viewed docket numbers and be submitted in airspace at McAlester Regional Airport, _ online at https://www.faa.gov/air triplicate to the address listed above. McAlester, OK, by adding an extension traffic/publications/. For further Commenters wishing the FAA to within 1 mile each side of the 020° information, you can contact the acknowledge receipt of their comments bearing from the airport extending from Airspace Policy Group, Federal Aviation on this notice must submit with those the 4-mile radius to 4.1 miles north of Administration, 800 Independence comments a self-addressed, stamped the airport; and updating the geographic Avenue SW, Washington, DC 20591; postcard on which the following coordinates of the airport to coincide telephone: (202) 267–8783. The Order is statement is made: ‘‘Comments to with the FAA’s aeronautical database; also available for inspection at the Amending the Class E airspace area National Archives and Records Docket No. FAA–2019–1044/Airspace Docket No. 19–ASW–19.’’ The postcard extending upward from 700 feet above Administration (NARA). For the surface to within a 6.3-mile radius information on the availability of FAA will be date/time stamped and returned to the commenter. (decreased from a 7.1-mile radius) at Order 7400.11D at NARA, email Henryetta Municipal Airport, Henryetta, [email protected] or go to https:// All communications received before OK; and removing the Henryetta www.archives.gov/federal-register/cfr/ the specified closing date for comments Medical Center Heliport and associated ibr-locations.html. will be considered before taking action airspace from the Henryetta, OK, FOR FURTHER INFORMATION CONTACT: on the proposed rule. The proposal airspace legal description as the Jeffrey Claypool, Federal Aviation contained in this notice may be changed instrument procedures at the heliport Administration, Operations Support in light of the comments received. A have been cancelled and the airspace is Group, Central Service Center, 10101 report summarizing each substantive no longer required; Hillwood Parkway, Fort Worth, TX public contact with FAA personnel Amending the Class E airspace area 76177; telephone (817) 222–5711. concerned with this rulemaking will be extending upward from 700 feet above SUPPLEMENTARY INFORMATION: filed in the docket. the surface at McAlester Regional
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Airport, McAlester, OK, by removing Regulatory Notices and Analyses Within a 4-mile radius of McAlester the McAlester VORTAC and associated Regional Airport, and within 1 mile each side The FAA has determined that this of the 020° degree bearing from the airport extensions from the airspace legal regulation only involves an established description; removing the Wampa LOM extending from the 4-mile radius to 4.1 miles body of technical regulations for which north of the airport. and associated extension from the frequent and routine amendments are airspace legal description as it is no necessary to keep them operationally Paragraph 6005 Class E Airspace Areas longer required; removing the McAlester Extending Upward From 700 Feet or More current, is non-controversial and Above the Surface of the Earth. Regional Health Center Heliport and unlikely to result in adverse or negative associated airspace contained within the comments. It, therefore: (1) Is not a * * * * * McAlester, OK, airspace legal ‘‘significant regulatory action’’ under ASW OK E5 Henryetta, OK [Amended] description as the instrument Executive Order 12866; (2) is not a Henryetta Municipal Airport, OK procedures at the heliport have been ‘‘significant rule’’ under DOT (Lat. 35°24′25″ N, long. 96°00′57″ W) cancelled and the airspace is no longer Regulatory Policies and Procedures (44 That airspace extending upward from 700 required; removing the exclusionary FR 11034; February 26, 1979); and (3) feet above the surface within a 6.3-mile language from the airspace legal does not warrant preparation of a radius of Henryetta Municipal Airport. description as it is no longer required; regulatory evaluation as the anticipated * * * * * adding an extension 2 miles each side impact is so minimal. Since this is a of the 020° bearing from the airport routine matter that will only affect air ASW OK E5 McAlester, OK [Amended] extending from the 6.5-mile radius to traffic procedures and air navigation, it McAlester Regional Airport, OK ° ′ ″ ° ′ ″ 10.4 miles north of the airport; and is certified that this rule, when (Lat. 34 52 57 N, long. 95 47 01 W) adding an extension 2 miles each side promulgated, would not have a That airspace extending upward from 700 of the 200° bearing from the airport significant economic impact on a feet above the surface within a 6.5-mile substantial number of small entities radius of McAlester Regional Airport, and extending from the 6.5-mile radius to within 2 miles each side of the 020° bearing 10.5 miles south of the airport; and under the criteria of the Regulatory from the airport extending from the 6.5-mile updating the geographic coordinates of Flexibility Act. radius to 10.4 miles north of the airport, and ° the airport to coincide with the FAA’s Environmental Review within 2 miles each side of the 200 bearing aeronautical database; from the airport extending from the 6.5-mile This proposal will be subject to an radius to 10.5 miles south of the airport. And amending the Class E airspace environmental analysis in accordance * * * * * area extending upward from 700 feet with FAA Order 1050.1F, above the surface at Robert S. Kerr ‘‘Environmental Impacts: Policies and ASW OK E5 Poteau, OK [Amending] Airport, Poteau, OK, by removing the Procedures’’ prior to any FAA final Robert S. Kerr Airport, OK Rich Mountain VORTAC and associated regulatory action. (Lat. 35°01′18″ N, long. 94°37′17″ W) extension from the airspace legal That airspace extending upward from 700 description as it is no longer required; List of Subjects in 14 CFR Part 71 feet above the surface within a 6.4-mile removing the Eastern Oklahoma Airspace, Incorporation by reference, radius of Robert S. Kerr Airport. Medical Center Heliport and associated Navigation (air). Issued in Fort Worth, Texas, on January 22, airspace contained within the Poteau, The Proposed Amendment 2020. OK, airspace legal description as the Steve Szukala, Accordingly, pursuant to the instrument procedures at the heliport Acting Manager, Operations Support Group, have been cancelled and the airspace is authority delegated to me, the Federal ATO Central Service Center. Aviation Administration proposes to no longer required; and removing the [FR Doc. 2020–01575 Filed 1–29–20; 8:45 am] amend 14 CFR part 71 as follows: city associated with Robert S. Kerr BILLING CODE 4910–13–P Airport in the header of the airspace PART 71—DESIGNATION OF CLASS A, legal description to comply with B, C, D, AND E AIRSPACE AREAS; AIR changes to FAA Order 7400.2M, TRAFFIC SERVICE ROUTES; AND DEPARTMENT OF TRANSPORTATION Procedures for Handling Airspace REPORTING POINTS Matters. Federal Aviation Administration These actions are the result of ■ 1. The authority citation for 14 CFR airspace reviews caused by the part 71 continues to read as follows: 14 CFR Part 71 decommissioning of the McAlester Authority: 49 U.S.C. 106(f), 106(g); 40103, [Docket No. FAA–2019–1040; Airspace VOR, which provided navigation 40113, 40120; E.O. 10854, 24 FR 9565, 3 CFR, Docket No. 19–ASW–18] information for the instrument 1959–1963 Comp., p. 389. RIN 2120–AA66 procedures at these airports. § 71.1 [Amended] Class E airspace designations are ■ Proposed Amendment of Class E 2. The incorporation by reference in Airspace; Ada, OK published in paragraph 6002 and 6005, 14 CFR 71.1 of FAA Order 7400.11D, respectively, of FAA Order 7400.11D, Airspace Designations and Reporting AGENCY: Federal Aviation dated August 8, 2019, and effective Points, dated August 8, 2019, and Administration (FAA), DOT. September 15, 2019, which is effective September 15, 2019, is ACTION: Notice of proposed rulemaking incorporated by reference in 14 CFR amended as follows: 71.1. The Class E airspace designations (NPRM). listed in this document will be Paragraph 6002 Class E Airspace Areas Designated as a Surface Area. SUMMARY: This action proposes to published subsequently in the Order. amend Class E airspace extending * * * * * FAA Order 7400.11, Airspace upward from 700 feet above the surface Designations and Reporting Points, is ASW OK E2 McAlester, OK [Amended] at Ada Regional Airport, Ada, OK. The published yearly and effective on McAlester Regional Airport, OK FAA is proposing this action as the September 15. (Lat. 34°52′57″ N, long. 95°47′01″ W) result of the decommissioning of the
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Ada VHF omnidirectional range (VOR) section, the FAA is charged with Aviation Administration, Air Traffic navigation aid, which provided prescribing regulations to assign the use Organization, Central Service Center, navigation information for the of airspace necessary to ensure the Operations Support Group, 10101 instrument procedures at this airport. safety of aircraft and the efficient use of Hillwood Parkway, Fort Worth, TX The name of the airport would also be airspace. This regulation is within the 76177. updated to coincide with the FAA’s scope of that authority as it would Availability and Summary of aeronautical database. Airspace redesign amend the Class E airspace extending Documents for Incorporation by is necessary for the safety and upward from 700 feet above the surface Reference management of instrument flight rules at Ada Regional Airport, Ada, OK, to (IFR) operations at this airport. support instrument flight rule This document proposes to amend DATES: Comments must be received on operations at this airport. FAA Order 7400.11D, Airspace or before March 16, 2020. Designations and Reporting Points, Comments Invited dated August 8, 2019, and effective ADDRESSES: Send comments on this Interested parties are invited to September 15, 2019. FAA Order proposal to the U.S. Department of participate in this proposed rulemaking Transportation, Docket Operations, 7400.11D is publicly available as listed by submitting such written data, views, in the ADDRESSES section of this West Building Ground Floor, Room or arguments, as they may desire. W12–140, 1200 New Jersey Avenue SE, document. FAA Order 7400.11D lists Comments that provide the factual basis Class A, B, C, D, and E airspace areas, Washington, DC 20590; telephone (202) supporting the views and suggestions 366–9826, or (800) 647–5527. You must air traffic service routes, and reporting presented are particularly helpful in points. identify FAA Docket No. FAA–2019– developing reasoned regulatory 1040/Airspace Docket No. 19–ASW–18 decisions on the proposal. Comments The Proposal at the beginning of your comments. You are specifically invited on the overall The FAA is proposing an amendment may also submit comments through the regulatory, aeronautical, economic, to Title 14 Code of Federal Regulations internet at https://www.regulations.gov. environmental, and energy-related (14 CFR) part 71 by amending the Class You may review the public docket aspects of the proposal. E airspace area extending upward from containing the proposal, any comments Communications should identify both 700 feet above the surface to within a received, and any final disposition in docket numbers and be submitted in 6.6-mile radius (increased from a 6.5- person in the Dockets Office between triplicate to the address listed above. mile radius) at Ada Regional Airport, 9:00 a.m. and 5:00 p.m., Monday Commenters wishing the FAA to Ada, OK; updating the name of the through Friday, except federal holidays. acknowledge receipt of their comments airport (previously Ada Municipal FAA Order 7400.11D, Airspace on this notice must submit with those Airport) to coincide with the FAA’s Designations and Reporting Points, and comments a self-addressed, stamped aeronautical database; extending the subsequent amendments can be viewed postcard on which the following extension to the north of the airport to online at https://www.faa.gov/air_ statement is made: ‘‘Comments to 10.4 miles north of the airport traffic/publications/. For further Docket No. FAA–2019–1040/Airspace (increased from 10.3 miles); and information, you can contact the Docket No. 19–ASW–18.’’ The postcard removing the Ada VOR and associated Airspace Policy Group, Federal Aviation will be date/time stamped and returned extension from the airspace legal Administration, 800 Independence to the commenter. description. Avenue SW, Washington, DC 20591; All communications received before These actions are the result of telephone: (202) 267–8783. The Order is the specified closing date for comments airspace review caused by the also available for inspection at the will be considered before taking action decommissioning of the Ada VOR, National Archives and Records on the proposed rule. The proposal which provided navigation information Administration (NARA). For contained in this notice may be changed for the instrument procedures at this information on the availability of FAA in light of the comments received. A airport. Order 7400.11D at NARA, email report summarizing each substantive Class E airspace designations are [email protected] or go to https:// public contact with FAA personnel published in paragraph 6005 of FAA www.archives.gov/federal-register/cfr/ concerned with this rulemaking will be Order 7400.11D, dated August 8, 2019, ibr-locations.html. filed in the docket. and effective September 15, 2019, which FOR FURTHER INFORMATION CONTACT: is incorporated by reference in 14 CFR Availability of NPRMs Jeffrey Claypool, Federal Aviation 71.1. The Class E airspace designations Administration, Operations Support An electronic copy of this document listed in this document will be Group, Central Service Center, 10101 may be downloaded through the published subsequently in the Order. Hillwood Parkway, Fort Worth, TX internet at https://www.regulations.gov. FAA Order 7400.11, Airspace 76177; telephone (817) 222–5711. Recently published rulemaking Designations and Reporting Points, is SUPPLEMENTARY INFORMATION: documents can also be accessed through published yearly and effective on the FAA’s web page at https:// September 15. Authority for This Rulemaking www.faa.gov/air_traffic/publications/ The FAA’s authority to issue rules airspace_amendments/. Regulatory Notices and Analyses regarding aviation safety is found in You may review the public docket The FAA has determined that this Title 49 of the United States Code. containing the proposal, any comments regulation only involves an established Subtitle I, Section 106 describes the received, and any final disposition in body of technical regulations for which authority of the FAA Administrator. person in the Dockets Office (see the frequent and routine amendments are Subtitle VII, Aviation Programs, ADDRESSES section for the address and necessary to keep them operationally describes in more detail the scope of the phone number) between 9:00 a.m. and current, is non-controversial and agency’s authority. This rulemaking is 5:00 p.m., Monday through Friday, unlikely to result in adverse or negative promulgated under the authority except federal holidays. An informal comments. It, therefore: (1) Is not a described in Subtitle VII, Part A, docket may also be examined during ‘‘significant regulatory action’’ under Subpart I, Section 40103. Under that normal business hours at the Federal Executive Order 12866; (2) is not a
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‘‘significant rule’’ under DOT Issued in Fort Worth, Texas, on January 22, FAA Order 7400.11D, Airspace Regulatory Policies and Procedures (44 2020. Designations and Reporting Points, and FR 11034; February 26, 1979); and (3) Steve Szukala, subsequent amendments can be viewed does not warrant preparation of a Acting Manager, Operations Support Group, online at https://www.faa.gov/air_ regulatory evaluation as the anticipated ATO Central Service Center. traffic/publications/. For further impact is so minimal. Since this is a [FR Doc. 2020–01584 Filed 1–29–20; 8:45 am] information, you can contact the routine matter that will only affect air BILLING CODE 4910–13–P Airspace Policy Group, Federal Aviation traffic procedures and air navigation, it Administration, 800 Independence is certified that this rule, when Avenue SW, Washington, DC 20591; promulgated, would not have a DEPARTMENT OF TRANSPORTATION telephone: (202) 267–8783. The Order is significant economic impact on a also available for inspection at the substantial number of small entities Federal Aviation Administration National Archives and Records under the criteria of the Regulatory Administration (NARA). For Flexibility Act. 14 CFR Part 71 information on the availability of FAA Order 7400.11D at NARA, email Environmental Review [Docket No. FAA–2019–1043; Airspace Docket No. 19–AGL–29] [email protected] or go to https:// This proposal will be subject to an www.archives.gov/federal-register/cfr/ environmental analysis in accordance RIN 2120–AA66 ibr-locations.html. with FAA Order 1050.1F, FOR FURTHER INFORMATION CONTACT: ‘‘Environmental Impacts: Policies and Proposed Amendment of Class E Jeffrey Claypool, Federal Aviation Procedures’’ prior to any FAA final Airspace; Ely, MN Administration, Operations Support regulatory action. Group, Central Service Center, 10101 AGENCY: Federal Aviation Hillwood Parkway, Fort Worth, TX List of Subjects in 14 CFR Part 71 Administration (FAA), DOT. 76177; telephone (817) 222–5711. ACTION: Notice of proposed rulemaking SUPPLEMENTARY INFORMATION: Airspace, Incorporation by reference, (NPRM). Navigation (air). Authority for This Rulemaking The Proposed Amendment SUMMARY: This action proposes to amend the Class E surface area airspace The FAA’s authority to issue rules Accordingly, pursuant to the and the Class E airspace extending regarding aviation safety is found in authority delegated to me, the Federal upward from 700 feet above the surface Title 49 of the United States Code. Aviation Administration proposes to at Ely Municipal Airport, Ely, MN. The Subtitle I, Section 106 describes the amend 14 CFR part 71 as follows: FAA is proposing these actions as the authority of the FAA Administrator. result of an airspace review caused by Subtitle VII, Aviation Programs, PART 71—DESIGNATION OF CLASS A, the decommissioning of the Ely VHF describes in more detail the scope of the B, C, D, AND E AIRSPACE AREAS; AIR omnidirectional range (VOR) navigation agency’s authority. This rulemaking is TRAFFIC SERVICE ROUTES; AND aid, which provided navigation promulgated under the authority REPORTING POINTS information for the instrument described in Subtitle VII, Part A, procedures at this airport, as part of the Subpart I, Section 40103. Under that ■ 1. The authority citation for 14 CFR VOR Minimum Operational Network section, the FAA is charged with part 71 continues to read as follows: (MON) Program. The name and prescribing regulations to assign the use of airspace necessary to ensure the Authority: 49 U.S.C. 106(f), 106(g); 40103, geographic coordinates of the airport would also be updated to coincide with safety of aircraft and the efficient use of 40113, 40120; E.O. 10854, 24 FR 9565, 3 CFR, airspace. This regulation is within the 1959–1963 Comp., p. 389. the FAA’s aeronautical database. Airspace redesign is necessary for the scope of that authority as it would § 71.1 [Amended] safety and management of instrument amend the Class E surface area airspace and the Class E airspace extending ■ 2. The incorporation by reference in flight rules (IFR) operations at this airport. upward from 700 feet above the surface 14 CFR 71.1 of FAA Order 7400.11D, at Ely Municipal Airport, Ely, MN, to Airspace Designations and Reporting DATES: Comments must be received on support IFR operations at this airport. Points, dated August 8, 2019, and or before March 16, 2020. effective September 15, 2019, is ADDRESSES: Send comments on this Comments Invited amended as follows: proposal to the U.S. Department of Interested parties are invited to Paragraph 6005 Class E Airspace Areas Transportation, Docket Operations, participate in this proposed rulemaking Extending Upward From 700 Feet or More West Building Ground Floor, Room by submitting such written data, views, Above the Surface of the Earth. W12–140, 1200 New Jersey Avenue SE, or arguments, as they may desire. * * * * * Washington, DC 20590; telephone (202) Comments that provide the factual basis 366–9826, or (800) 647–5527. You must supporting the views and suggestions ASW OK E5 Ada, OK [Amended] identify FAA Docket No. FAA–2019– presented are particularly helpful in Ada Regional Airport, OK 1043/Airspace Docket No. 19–AGL–29 developing reasoned regulatory ° ′ ″ ° ′ ″ (Lat. 34 48 15 N, long. 96 40 16 W) at the beginning of your comments. You decisions on the proposal. Comments That airspace extending upward from 700 may also submit comments through the are specifically invited on the overall feet above the surface within a 6.6-mile internet at https://www.regulations.gov. regulatory, aeronautical, economic, radius of Ada Regional Airport, and within You may review the public docket environmental, and energy-related 4 miles each side of the 000° bearing from the airport extending from the 6.6-mile radius to containing the proposal, any comments aspects of the proposal. 10.4 miles north of the airport, and within 4 received, and any final disposition in Communications should identify both miles each side of the 180° bearing from the person in the Dockets Office between docket numbers and be submitted in airport extending from the 6.6-mile radius to 9:00 a.m. and 5:00 p.m., Monday triplicate to the address listed above. 10.9 miles south of the airport. through Friday, except federal holidays. Commenters wishing the FAA to
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acknowledge receipt of their comments database; removing the Ely VOR/DME Procedures’’ prior to any FAA final on this notice must submit with those and all associated extensions from the regulatory action. comments a self-addressed, stamped airspace legal description; adding an List of Subjects in 14 CFR Part 71 postcard on which the following extension 1 mile each side of the 120° statement is made: ‘‘Comments to bearing from the airport extending from Airspace, Incorporation by reference, Docket No. FAA–2019–1043/Airspace the 4-mile radius to 4.6 miles southeast Navigation (air). Docket No. 19–AGL–29.’’ The postcard of the airport; and updating the will be date/time stamped and returned outdated term ‘‘Airport/Facility The Proposed Amendment to the commenter. Directory’’ with ‘‘Chart Supplement;’’ Accordingly, pursuant to the All communications received before And amending the Class E airspace authority delegated to me, the Federal the specified closing date for comments extending upward from 700 feet above Aviation Administration proposes to will be considered before taking action the surface to within a 6.5-mile radius amend 14 CFR part 71 as follows: on the proposed rule. The proposal (decreased from a 7.7-mile radius) of the contained in this notice may be changed Ely Municipal Airport; and updating the PART 71—DESIGNATION OF CLASS A, in light of the comments received. A geographic coordinates of the airport to B, C, D, AND E AIRSPACE AREAS; AIR report summarizing each substantive coincide with the FAA’s aeronautical TRAFFIC SERVICE ROUTES; AND public contact with FAA personnel database. REPORTING POINTS concerned with this rulemaking will be These actions are the result of an filed in the docket. airspace review caused by the ■ 1. The authority citation for 14 CFR Availability of NPRMs decommissioning of the Ely VOR, which part 71 continues to read as follows: provided navigation information for the An electronic copy of this document instrument procedures at these airports, Authority: 49 U.S.C. 106(f), 106(g); 40103, 40113, 40120; E.O. 10854, 24 FR 9565, 3 CFR, may be downloaded through the as part of the VOR MON Program. internet at https://www.regulations.gov. 1959–1963 Comp., p. 389. Class E airspace designations are Recently published rulemaking published in paragraph 6002 and 6005, § 71.1 [Amended] documents can also be accessed through respectively, of FAA Order 7400.11D, the FAA’s web page at https:// ■ 2. The incorporation by reference in dated August 8, 2019, and effective www.faa.gov/air_traffic/publications/ 14 CFR 71.1 of FAA Order 7400.11D, September 15, 2019, which is airspace_amendments/. Airspace Designations and Reporting You may review the public docket incorporated by reference in 14 CFR Points, dated August 8, 2019, and containing the proposal, any comments 71.1. The Class E airspace designation effective September 15, 2019, is received, and any final disposition in listed in this document will be amended as follows: person in the Dockets Office (see the published subsequently in the Order. FAA Order 7400.11, Airspace Paragraph 6002 Class E Airspace Areas ADDRESSES section for the address and Designated as Surface Areas. phone number) between 9:00 a.m. and Designations and Reporting Points, is * * * * * 5:00 p.m., Monday through Friday, published yearly and effective on except federal holidays. An informal September 15. AGL MN E2 Ely, MN [Amended] docket may also be examined during Regulatory Notices and Analyses Ely Municipal Airport, MN normal business hours at the Federal (Lat. 47°49′26″ N, long. 91°49′46″ W) Aviation Administration, Air Traffic The FAA has determined that this regulation only involves an established Within a 4-mile radius of the Ely Organization, Central Service Center, Municipal Airport and within 1 mile each Operations Support Group, 10101 body of technical regulations for which side of the 120° bearing from the airport Hillwood Parkway, Fort Worth, TX frequent and routine amendments are extending from the 4-mile radius to 4.6 miles 76177. necessary to keep them operationally southeast of the airport. This Class E airspace current, is non-controversial and area is effective during the specific dates and Availability and Summary of unlikely to result in adverse or negative times established in advance by Notice to Documents for Incorporation by comments. It, therefore: (1) Is not a Airmen. The effective date and time will Reference ‘‘significant regulatory action’’ under thereafter the continuously published in the This document proposes to amend Executive Order 12866; (2) is not a Chart Supplement. FAA Order 7400.11D, Airspace ‘‘significant rule’’ under DOT Paragraph 6005 Class E Airspace Areas Designations and Reporting Points, Regulatory Policies and Procedures (44 Extending Upward From 700 Feet or More dated August 8, 2019, and effective FR 11034; February 26, 1979); and (3) Above the Surface of the Earth. September 15, 2019. FAA Order does not warrant preparation of a * * * * * regulatory evaluation as the anticipated 7400.11D is publicly available as listed AGL MN E5 Ely, MN [Amended] in the ADDRESSES section of this impact is so minimal. Since this is a document. FAA Order 7400.11D lists routine matter that will only affect air Ely Municipal Airport, MN (Lat. 47°49′26″ N, long. 91°49′46″ W) Class A, B, C, D, and E airspace areas, traffic procedures and air navigation, it air traffic service routes, and reporting is certified that this rule, when That airspace extending upward from 700 feet above the surface within a 6.5-mile points. promulgated, would not have a significant economic impact on a radius of the Ely Municipal Airport, The Proposal substantial number of small entities excluding that airspace within Prohibited Area P–204. The FAA is proposing an amendment under the criteria of the Regulatory to Title 14 Code of Federal Regulations Flexibility Act. Issued in Fort Worth, Texas, on January 22, (14 CFR) part 71 by: 2020. Environmental Review Amending the Class E surface area Steve Szukala, airspace at Ely Municipal Airport, Ely, This proposal will be subject to an Acting Manager, Operations Support Group, MN, by updating the name and environmental analysis in accordance ATO Central Service Center. geographic coordinates of the airport to with FAA Order 1050.1F, [FR Doc. 2020–01577 Filed 1–29–20; 8:45 am] coincide with the FAA’s aeronautical ‘‘Environmental Impacts: Policies and BILLING CODE 4910–13–P
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DEPARTMENT OF JUSTICE Commenters should be aware that the They will, unless reasonable cause is electronic Federal Docket Management given, be made available by the Drug Drug Enforcement Administration System will not accept comments after Enforcement Administration (DEA) for 11:59 p.m. Eastern Time on the last day public inspection online at http:// 21 CFR Part 1308 of the comment period. To ensure www.regulations.gov. Such information proper handling of comments, please includes personal identifying [Docket No. DEA–565] reference ‘‘Docket No. DEA–565’’ on all information such as your name, address, Schedules of Controlled Substances: electronic and written correspondence, etc. voluntarily submitted by the Placement of cyclopentyl fentanyl, including any attachments. commenter. The Freedom of • isobutyryl fentanyl, para- Electronic comments: Drug Information Act (FOIA) applies to all chloroisobutyryl fentanyl, para- Enforcement Administration encourages comments received. If you want to methoxybutyryl fentanyl, and valeryl that all comments be submitted submit personal identifying information fentanyl Into Schedule I electronically through the Federal (such as your name, address, etc.) as eRulemaking Portal which provides the part of your comment, but do not want AGENCY: Drug Enforcement ability to type short comments directly it to be made publicly available, you Administration, Department of Justice. into the comment field on the web page must include the phrase ‘‘PERSONAL ACTION: Notice of proposed rulemaking. or to attach a file for lengthier IDENTIFYING INFORMATION’’ in the comments. Please go to http:// first paragraph of your comment. You SUMMARY: The Drug Enforcement www.regulations.gov and follow the must also place all of the personal Administration proposes placing online instructions at that site for identifying information you do not want cyclopentyl fentanyl (N-(1- submitting comments. Upon completion made publicly available in the first phenethylpiperidin-4-yl)-N- of your submission you will receive a paragraph of your comment and identify phenylcyclopentanecarboxamide), Comment Tracking Number for your what information you want redacted. isobutyryl fentanyl (N-(1- comment. Please be aware that If you want to submit confidential phenethylpiperidin-4-yl)-N- submitted comments are not business information as part of your phenylisobutyramide), para- instantaneously available for public comment, but do not want it to be made chloroisobutyryl fentanyl (N-(4- view on Regulations.gov. If you have publicly available, you must include the chlorophenyl)-N-(1-phenethylpiperidin- received a Comment Tracking Number, phrase ‘‘CONFIDENTIAL BUSINESS 4-yl)isobutyramide), para- your comment has been successfully INFORMATION’’ in the first paragraph methoxybutyryl fentanyl (N-(4- submitted and there is no need to of your comment. You must also methoxyphenyl)-N-(1- resubmit the same comment. prominently identify confidential phenethylpiperidin-4-yl)butyramide), • Paper comments: Paper comments business information to be redacted and valeryl fentanyl (N-(1- that duplicate the electronic submission within the comment. phenethylpiperidin-4-yl)-N- are not necessary. Should you wish to Comments containing personal phenylpentanamide), including their mail a paper comment in lieu of an identifying information and confidential isomers, esters, ethers, salts, and salts of electronic comment, it should be sent business information identified as directed above will be made publicly isomers, esters and ethers whenever the via regular or express mail to: Drug available in redacted form. If a comment existence of such isomers, esters, ethers Enforcement Administration, Attn: DEA has so much confidential business and salts is possible, in schedule I of the Federal Register Representative/DRW, information or personal identifying Controlled Substances Act. If finalized, 8701 Morrissette Drive, Springfield, information that it cannot be effectively this action would make permanent the Virginia 22152. redacted, all or part of that comment existing regulatory controls and • Hearing requests: All requests for may not be made publicly available. administrative, civil, and criminal hearing and waivers of participation Comments posted to http:// sanctions applicable to schedule I must be sent to: Drug Enforcement www.regulations.gov may include any controlled substances on persons who Administration, Attn: Administrator, personal identifying information such as handle (manufacture, distribute, import, 8701 Morrissette Drive, Springfield, name, address, and phone number export, engage in research, conduct Virginia 22152. All requests for hearing included in the text of your electronic instructional activities or chemical and waivers of participation should be submission that is not identified as analysis, or possess), or propose to sent to: Drug Enforcement directed above as confidential. handle cyclopentyl fentanyl, isobutyryl Administration, Attn: Hearing Clerk/LJ, An electronic copy of this document fentanyl, para-chloroisobutyryl 8701 Morrissette Drive, Springfield, and supplemental information to this fentanyl, para-methoxybutyryl fentanyl, Virginia 22152; and (2) Drug proposed rule are available at http:// and valeryl fentanyl. Enforcement Administration, Attn: DEA www.regulations.gov for easy reference. DATES: Comments must be submitted Federal Register Representative/DRW, electronically or postmarked on or 8701 Morrissette Drive, Springfield, Request for Hearing or Waiver of before March 2, 2020. Virginia 22152. Participation in a Hearing Interested persons may file a request FOR FURTHER INFORMATION CONTACT: Pursuant to 21 U.S.C. 811(a), this for hearing or waiver of hearing Scott A. Brinks, Diversion Control action is a formal rulemaking ‘‘on the pursuant to 21 CFR 1308.44 and in Division, Drug Enforcement record after opportunity for a hearing.’’ accordance with 21 CFR 1316.45 and/or Administration; Mailing Address: 8701 Such proceedings are conducted 1316.47, as applicable. Requests for Morrissette Drive, Springfield, Virginia pursuant to the provisions of the hearing and waivers of an opportunity 22152; Telephone: (202) 598–6812. Administrative Procedure Act (APA), 5 for a hearing or to participate in a SUPPLEMENTARY INFORMATION: U.S.C. 551–559. (21 CFR 1308.41– hearing must be received on or before 1308.45; 21 CFR part 1316, subpart D). March 2, 2020. Posting of Public Comments Such requests or notices must conform ADDRESSES: Interested persons may file Please note that all comments to the requirements of 21 CFR written comments on this proposal in received in response to this docket are 1308.44(a) or (b), and 1316.47 or accordance with 21 CFR 1308.43(g). considered part of the public record. 1316.48, as applicable, and include a
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statement of the person’s interests in the other substances,2 in schedule I of the cyclopentyl fentanyl, isobutyryl proposed scheduling action, whether CSA pursuant to the temporary fentanyl, para-chloroisobutyryl the person is adversely affected or scheduling provisions of 21 U.S.C. fentanyl, para-methoxybutyryl fentanyl, aggrieved, and the objections or issues, 811(h). 83 FR 4580. That temporary and valeryl fentanyl, in accordance with if any, concerning which the person scheduling order was effective on the 21 U.S.C. 811(b) and (c). desires to be heard at a hearing. Any date of publication, and was based on In a letter dated September 6, 2019, waiver must conform to the findings by the former Acting DEA notified HHS that it no longer requirements of 21 CFR 1308.44(c) and Administrator of DEA (Acting needed scientific and medical may include a written statement Administrator) that the temporary evaluations for cyclopropyl fentanyl and regarding the interested person’s scheduling of these seven substances para-fluorobutyryl fentanyl. position on the matters of fact and law was necessary to avoid an imminent Subsequently, DEA permanently placed involved in any hearing. hazard to public safety pursuant to 21 these two substances in schedule I of U.S.C. 811(h)(1). Section 201(h)(2) of the the CSA on October 25, 2019, pursuant Legal Authority CSA, 21 U.S.C. 811(h)(2), requires that to 21 U.S.C. 811(d)(1). (84 FR 57323). The Controlled Substances Act (CSA) the temporary control of these On November 12, 2019, the Assistant provides that proceedings for the substances expire two years from the Secretary submitted HHS’s scientific issuance, amendment, or repeal of the effective date of the scheduling order, and medical evaluation and scheduling scheduling of any drug or other which was February 1, 2018. However, recommendation 4 for cyclopropyl substance may be initiated by the the CSA also provides that during the fentanyl and para-fluorobutyryl Attorney General (1) on his own motion; pendency of proceedings under 21 fentanyl, cyclopentyl fentanyl, (2) at the request of the Secretary of the U.S.C. 811(a)(1) with respect to the isobutyryl fentanyl, para- Department of Health and Human substance, the temporary scheduling of chloroisobutyryl fentanyl, para- Services (HHS),1 or (3) on the petition that substance could be extended for up methoxybutyryl fentanyl, and valeryl of any interested party. 21 U.S.C. 811(a). to one year. Proceedings for the fentanyl to the Acting Administrator. This proposed action is supported by a scheduling of a substance under 21 Upon receipt of the scientific and recommendation from the Assistant U.S.C. 811(a) may be initiated by the medical evaluation and scheduling Secretary for Health of the HHS Attorney General (delegated to the recommendation from the HHS, in (Assistant Secretary) and an evaluation Administrator of the DEA pursuant to accordance with 21 U.S.C. 811(c), the of all other relevant data by the DEA. If 28 CFR 0.100) on his own motion, at the DEA reviewed the documents and all finalized, this action would make request of the Secretary of HHS,3 or on other relevant data, and conducted its permanent the existing temporary the petition of any interested party. An own eight-factor analysis of the abuse regulatory controls and administrative, extension of the existing temporary potential of cyclopentyl fentanyl, civil, and criminal sanctions of schedule order is being ordered by the Acting isobutyryl fentanyl, para- I controlled substances on any person Administrator in a separate action, and chloroisobutyryl fentanyl, para- who handles or proposes to handle is published elsewhere in this issue of methoxybutyryl fentanyl, and valeryl cyclopentyl fentanyl, isobutyryl the Federal Register. fentanyl. fentanyl, para-chloroisobutyryl The Acting Administrator, on his own Proposed Determination to fentanyl, para-methoxybutyryl fentanyl, motion pursuant to 21 U.S.C. 811(a), is Permanently Schedule Cyclopentyl and valeryl fentanyl. initiating proceedings under 21 U.S.C. fentanyl, Isobutyryl fentanyl, para- Background 811(a)(1) to permanently schedule Chloroisobutyryl fentanyl, para- cyclopentyl fentanyl, isobutyryl On February 1, 2018, DEA published Methoxybutyryl fentanyl, and Valeryl fentanyl, para-chloroisobutyryl an order in the Federal Register fentanyl fentanyl, para-methoxybutyryl fentanyl, amending 21 CFR 1308.11(h) to As discussed in the background and valeryl fentanyl. DEA has gathered temporarily place cyclopentyl fentanyl section, the Acting Administrator is and reviewed the available information (N-(1-phenethylpiperidin-4-yl)-N- initiating proceedings, pursuant to 21 regarding the pharmacology, chemistry, phenylcyclopentanecarboxamide), U.S.C. 811(a)(1), to add cyclopentyl trafficking, actual abuse, pattern of isobutyryl fentanyl (N-(1- fentanyl, isobutyryl fentanyl, para- abuse, and the relative potential for phenethylpiperidin-4-yl)-N- chloroisobutyryl fentanyl, para- abuse for these substances. On phenylisobutyramide), para- methoxybutyryl fentanyl, and valeryl November 5, 2018, the Acting chloroisobutyryl fentanyl (N-(4- fentanyl permanently to schedule I. Administrator submitted a request to the chlorophenyl)-N-(1-phenethylpiperidin- DEA has reviewed the scientific and Assistant Secretary to provide DEA with 4-yl)isobutyramide), para- medical evaluation and scheduling a scientific and medical evaluation of methoxybutyryl fentanyl (N-(4- recommendation received from HHS, available information and a scheduling methoxyphenyl)-N-(1- and all other relevant data and recommendation for cyclopropyl phenethylpiperidin-4-yl)butyramide), conducted its own eight-factor analysis fentanyl, para-fluorobutyryl fentanyl, and valeryl fentanyl (N-(1- of the abuse potential of these five phenethylpiperidin-4-yl)-N- substances pursuant to 21 U.S.C. 811(c). 2 Those two other substances, ocfentanil (N-(2- phenylpentanamide), along with two fluorophenyl)-2-methoxy-N-(phenethylpiperidin-4- Included below is a brief summary of yl)acetamide) and para-fluorobutyryl fentanyl (N- each factor as analyzed by the HHS and 1 As discussed in a memorandum of (4-fluorophenyl)-N-(1-phenethylpiperidin-4- the DEA, and as considered by the DEA understanding entered into by the Food and Drug yl)butyramide, were subsequently permanently in its proposed scheduling action. Administration (FDA) and the National Institute on placed in schedule I on November 29, 2018 (83 FR Please note that both DEA 8-Factor and Drug Abuse (NIDA), the FDA acts as the lead agency 61320) and October 25, 2019 (84 FR 57327), within the HHS in carrying out the Secretary’s respectively, pursuant to 21 U.S.C. 811(d)(1). HHS 8-Factor analysis and the Assistant scheduling responsibilities under the CSA, with the 3 Because the Secretary of HHS has delegated to concurrence of NIDA. 50 FR 9518, Mar. 8, 1985. the Assistant Secretary the authority to make 4 Although HHS provided information on The Secretary of the HHS has delegated to the domestic drug scheduling recommendations, for cyclopropyl fentanyl and para-fluorobutyryl Assistant Secretary for Health of the HHS the purposes of this proposed rulemaking, all fentanyl, these two substances will not be discussed authority to make domestic drug scheduling subsequent references to ‘‘Secretary’’ have been in this notice of proposed rulemaking because they recommendations. 58 FR 35460, July 1, 1993. replaced with ‘‘Assistant Secretary.’’ are already permanently controlled.
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Secretary’s November 12, 2019, letter fentanyl, isobutyryl fentanyl, para- enforcement encounters for para- are available in their entirety under the chloroisobutyryl fentanyl, para- chloroisobutyryl fentanyl thus far, this tab ‘‘Supporting Documents’’ of the methoxybutyryl fentanyl, and valeryl substance poses the same qualitative public docket for this action at http:// fentanyl has been associated with public health risks as heroin, fentanyl, www.regulations.gov under Docket adverse outcomes to include and other opioid analgesic substances. Number ‘‘DEA–565.’’ intoxications for para-chloroisobutyryl 2. Scientific Evidence of the Drug’s 1. The Drug’s Actual or Relative fentanyl and para-methoxybutyryl Pharmacological Effects, if Known: Potential for Abuse: The term ‘‘abuse’’ is fentanyl. Because these five substances Cyclopentyl fentanyl, isobutyryl not defined in the CSA. However, the are not Food and Drug Administration fentanyl, para-chloroisobutyryl legislative history of the CSA suggests (FDA) approved drug products, a fentanyl, para-methoxybutyryl fentanyl, DEA consider the following criteria practitioner may not legally prescribe and valeryl fentanyl are when determining whether a particular them, and these substances cannot be pharmacologically similar to other drug or substance has a potential for dispensed to an individual. Therefore, schedule I and schedule II mu-opioid abuse:5 the use of cyclopentyl fentanyl, receptor agonist substances. Non- (a) There is evidence that individuals are isobutyryl fentanyl, para- clinical and clinical studies conducted taking the drug or drugs containing such a chloroisobutyryl fentanyl, para- on abuse potential of mu-opioid substance in amounts sufficient to create a methoxybutyryl fentanyl, and valeryl receptor agonists such as morphine and hazard to their health or to the safety of other fentanyl is without medical advice, and fentanyl indicate that these substances individuals or to the community; or accordingly, leads to the conclusion that share discriminative stimulus effects (b) There is significant diversion of the these five substances are abused for and have reinforcing properties. Similar drug or drugs containing such a substance their opioid-like properties. There are to schedule I and II opioid analgesics, from legitimate drug channels; or no legitimate channels for these five cyclopentyl fentanyl, isobutyryl (c) Individuals are taking the drug or drugs substances to be marketed as FDA- fentanyl, para-chloroisobutyryl containing such a substance on their own approved drug products but they are fentanyl, para-methoxybutyryl fentanyl, initiative rather than on the basis of medical advice from a practitioner licensed by law to available for purchase from legitimate and valeryl fentanyl bind to and activate administer such drugs in the course of his chemical companies to be used in the mu-opioid receptor. Additionally, professional practice; or scientific research. However, despite the behavioral studies in animals (d) The drug or drugs containing such a limited legitimate use of these demonstrate that similar to fentanyl and substance are new drugs so related in their substances, reports from public health morphine, cyclopentyl fentanyl, action to a drug or drugs already listed as and law enforcement indicate that isobutyryl fentanyl, para- having a potential for abuse to make it likely cyclopentyl fentanyl, isobutyryl chloroisobutyryl fentanyl, para- that the drug will have the same potentiality fentanyl, para-chloroisobutyryl methoxybutyryl fentanyl, and valeryl for abuse as such drugs, thus making it fentanyl, para-methoxybutyryl fentanyl, fentanyl produce analgesic effects. Pre- reasonable to assume that there may be and valeryl fentanyl are being abused treatment with naltrexone, an opioid significant diversions from legitimate channels, significant use contrary to or and taken in amounts sufficient to antagonist, attenuated analgesic effects without medical advice, or that it has a create a hazard to an individual’s of cyclopentyl fentanyl, isobutyryl substantial capability of creating hazards to health. Data from forensic databases can fentanyl, para-chloroisobutyryl the health of the user or to the safety of the be used as an indicator of illicit activity fentanyl, para-methoxybutyryl fentanyl, community. with drugs and abuse 6 within the valeryl fentanyl, fentanyl, and The abuse potential of cyclopentyl United States. According to drug seizure morphine. Thus, it is concluded from in fentanyl, isobutyryl fentanyl, para- data from STRIDE and STARLiMS 7 and vitro and in vivo pharmacological chloroisobutyryl fentanyl, para- the National Forensic Laboratory studies that effects of cyclopentyl methoxybutyryl fentanyl, and valeryl Information System (NFLIS),8 fentanyl, isobutyryl fentanyl, para- fentanyl is associated with its cyclopentyl fentanyl, isobutyryl chloroisobutyryl fentanyl, para- pharmacological similarity to other fentanyl, para-methoxybutyryl fentanyl, methoxybutyryl fentanyl, and valeryl schedule I and II mu-opioid receptor and valeryl fentanyl are being fentanyl are similar to that of fentanyl and morphine and mediated by mu- agonist substances which have a high encountered in the United States. opioid receptor agonism. potential for abuse. Similar to Although there have been no law 3. The State of Current Scientific morphine, fentanyl and several 6 Knowledge Regarding the Drug or Other schedule I opioid substances that are While law enforcement data is not direct evidence of abuse, it can lead to an inference that Substance: Cyclopentyl fentanyl, structurally related to fentanyl, a drug has been diverted and abused. See 76 FR isobutyryl fentanyl, para- cyclopentyl fentanyl, isobutyryl 77330, 77332, Dec. 12, 2011. chloroisobutyryl fentanyl, para- 7 fentanyl, para-chloroisobutyryl October 1, 2014, the DEA implemented methoxybutyryl fentanyl, and valeryl fentanyl, para-methoxybutyryl fentanyl, STARLiMS (a web-based, commercial laboratory information management system) to replace the fentanyl are synthetic opioids in the 4- and valeryl fentanyl have been shown to System to Retrieve Information from Drug Evidence anilidopiperidine structural class which bind and act as mu-opioid receptor (STRIDE) as its laboratory drug evidence data includes fentanyl. These five substances agonists. system of record. DEA laboratory data submitted differ in chemical structure from after September 30, 2014, are reposited in Cyclopentyl fentanyl, isobutyryl fentanyl by modification at the acyl fentanyl, para-chloroisobutyryl STARLiMS. STRIDE/STARLiMS data were queried on 11/20/2019. group. Fentanyl is substituted with an fentanyl, para-methoxybutyryl fentanyl, 8 NFLIS is a DEA program and a national forensic ethyl group at this position. and valeryl fentanyl have no approved laboratory reporting system that systematically Modifications of this group include medical use in the United States and collects results from drug chemistry analyses cycloalkyl groups (cyclopentyl have been encountered on the illicit conducted by state and local forensic laboratories in the United States. The NFLIS database also fentanyl), branched alkyl groups drug market. The use of cyclopentyl contains Federal data from U.S. Customs and (isobutyryl fentanyl and para- Border Protection (CBP). NFLIS only includes drug chloroisobutyryl fentanyl), or other 5 Comprehensive Drug Abuse Prevention and chemistry results from completed analyses. NFLIS Control Act of 1970, H.R. Rep. No. 91–1444, 91st data were queried 11/20/2019. NFLIS is still linear alkyl groups by adding one Cong., Sess. 1 (1970); reprinted in 1970 reporting data from 2018–2019 due to normal lag methylene group to give a propyl group U.S.C.C.A.N. 4566, 4603. time in reporting. (para-methoxybutyryl fentanyl) or two
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methylene groups to give a butyl group isobutyryl fentanyl and valeryl fentanyl vomiting, depression, agitation, anxiety, (valeryl fentanyl). In addition to have increased over the years, with craving, sweats, hypertension, diarrhea, modification of the acyl group, para- valeryl fentanyl nearly doubling from and fever. These five substances act as methoxybutyryl fentanyl and para- 2018 to 2019. Cyclopentyl fentanyl was agonists at the mu-opioid receptors and chloroisobutyryl fentanyl are found in three exhibits in 2017 and exhibit a full and dose-dependent substituted at the para-position of the para-methoxybutyryl fentanyl was substitution for the discriminative N-phenyl ring with a methoxy group or found in one exhibit in 2016; these two stimulus effects produced by morphine. a chlorine atom, respectively. No study substances haven’t been reported since. Thus, the pharmacological similarity has been undertaken to evaluate the para-Chloroisobutyryl fentanyl has not and pattern of abuse of cyclopentyl efficacy, toxicology, and safety of been found in any drug seizure reports. fentanyl, isobutyryl fentanyl, para- cyclopentyl fentanyl, isobutyryl DEA notes that the data from chloroisobutyryl fentanyl, para- fentanyl, para-chloroisobutyryl pharmacological testing of cyclopentyl methoxybutyryl fentanyl, and valeryl fentanyl, para-methoxybutyryl fentanyl, fentanyl, isobutyryl fentanyl, para- fentanyl to fentanyl are indicative of or valeryl fentanyl in humans. It can be chloroisobutyryl fentanyl, para- their potential to possess a psychic and inferred from medical examiner reports methoxybutyryl fentanyl, and valeryl physiological dependence liability and data obtained from animal studies fentanyl are consistent with those of similar to that of other mu-opioid that these five substances have other opioids such as fentanyl and other receptor agonist substances, such as sufficient distribution to the brain to related opioid agonists. Thus, it can be heroin and fentanyl. produce depressant effects similar to inferred that the abuse potential of these 8. Whether the Substance is an that of mu-opioid receptor agonists. substances is similar to mu-opioid Immediate Precursor of a Substance There are no FDA-approved receptor agonists such as fentanyl and Already Controlled Under the CSA: marketing applications for drug morphine. Cyclopentyl fentanyl, isobutyryl products containing cyclopentyl 6. What, if Any, Risk There is to the fentanyl, para-chloroisobutyryl fentanyl, isobutyryl fentanyl, para- Public Health: Available evidence on fentanyl, para-methoxybutyryl fentanyl, chloroisobutyryl fentanyl, para- the overall public health risks and valeryl fentanyl are not immediate methoxybutyryl fentanyl, or valeryl associated with cyclopentyl fentanyl, precursors of any controlled substance fentanyl for any therapeutic indication isobutyryl fentanyl, para- of the CSA as defined by 21 U.S.C. in the United States. Moreover, there are chloroisobutyryl fentanyl, para- 802(23). no clinical studies or petitioners which methoxybutyryl fentanyl, and valeryl Conclusion: After considering the have claimed an accepted medical use fentanyl can be measured by scientific and medical evaluation in the United States for these hospitalization or fatalities associated conducted by the HHS, the HHS’s substances. with the use of such substances. Other recommendation, and the DEA’s own 4. Its History and Current Pattern of countries have identified fatal and non- eight-factor analysis, the DEA finds that Abuse: Cyclopentyl fentanyl, isobutyryl fatal intoxications from toxicological the facts and all relevant data constitute fentanyl, para-chloroisobutyryl samples for para-methoxybutyryl substantial evidence of the potential for fentanyl, para-methoxybutyryl fentanyl, fentanyl and para-chloroisobutyryl abuse of cyclopentyl fentanyl, and valeryl fentanyl have recently been fentanyl. Abusers of these substances isobutyryl fentanyl, para- encountered by law enforcement and/or may not know the origin, identity, or chloroisobutyryl fentanyl, para- public health officials in the United purity of these substances, thus posing methoxybutyryl fentanyl, and valeryl States or elsewhere. Evidence suggests significant adverse health risks when fentanyl. As such, DEA hereby proposes that the pattern of abuse of these five compared to abuse of pharmaceutical to permanently schedule cyclopentyl substances parallels that of prescription preparations of opioid analgesics, such fentanyl, isobutyryl fentanyl, para- opioid analgesics. The first reports of as morphine and oxycodone. The abuse chloroisobutyryl fentanyl, para- cyclopentyl fentanyl and valeryl of cyclopentyl fentanyl, isobutyryl methoxybutyryl fentanyl, and valeryl fentanyl in the United States were in fentanyl, para-chloroisobutyryl fentanyl as schedule I controlled 2015. Para-methoxybutyryl fentanyl fentanyl, para-methoxybutyryl fentanyl, substances under the CSA. followed in 2016 and isobutyryl and valeryl fentanyl leads to the same Proposed Determination of Appropriate fentanyl was first reported in 2017. qualitative public health risks as heroin, Schedule While there are no drug seizure reports fentanyl and other opioid analgesic for para-chloroisobutyryl fentanyl, one substances. Taken together, evidence The CSA establishes five schedules of intoxication was associated with this posits that individuals experimenting controlled substances known as substance in Sweden. with substances with unknown potency schedules I, II, III, IV, and V. The CSA 5. The Scope, Duration, and are at high risk of adverse health also outlines the findings required to Significance of Abuse: Cyclopentyl outcomes. place a drug or other substance in any fentanyl, isobutyryl fentanyl, para- 7. Its Psychic or Physiological particular schedule. (21 U.S.C. 812(b)). chloroisobutyryl fentanyl, para- Dependence Liability: There are no pre- After consideration of the analysis and methoxybutyryl fentanyl, and valeryl clinical or clinical studies that have recommendation of the Assistant fentanyl, similar to other substances evaluated the psychic or physiologic Secretary for HHS and review of all structurally related to fentanyl, are often dependence of cyclopentyl fentanyl, other available data, the Acting used as recreational drugs. The isobutyryl fentanyl, para- Administrator of the DEA, pursuant to recreational use of these substances chloroisobutyryl fentanyl, para- 21 U.S.C. 811(a) and 21 U.S.C. 812(b)(1), continues to be of significant concern in methoxybutyryl fentanyl, and valeryl finds that: the United States. These substances are fentanyl. Several studies have shown 1. Cyclopentyl fentanyl, isobutyryl distributed to users often with that due to fentanyl’s short duration of fentanyl, para-chloroisobutyryl unpredictable outcomes. Currently, the action, more frequent dosing is often fentanyl, para-methoxybutyryl fentanyl, United States is in the midst of an illicit required that can lead to a fast induction and valeryl fentanyl have a high opioid abuse epidemic. of tolerance, dependence and opiate potential for abuse as indicated either NFLIS and STARLiMS data indicate withdrawal syndrome. Opioid by law enforcement data, intoxications that law enforcement encounters for withdrawal includes nausea and reported by scientific literature, or
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pharmacological testing of these 1. Registration. Any person who 6. Records and Reports. Every DEA substances; handles, manufactures, distributes, registrant is required to maintain 2. Cyclopentyl fentanyl, isobutyryl dispenses, imports, exports, engages in records and submit reports with respect fentanyl, para-chloroisobutyryl research, or conducts instructional to cyclopentyl fentanyl, isobutyryl fentanyl, para-methoxybutyryl fentanyl, activities or chemical analysis with, or fentanyl, para-chloroisobutyryl and valeryl fentanyl have no currently possesses cyclopentyl fentanyl, fentanyl, para-methoxybutyryl fentanyl, accepted medical use in treatment in the isobutyryl fentanyl, para- and valeryl fentanyl, pursuant to 21 United States; 9 and chloroisobutyryl fentanyl, para- U.S.C. 827 and 958(e), and in 3. There is a lack of accepted safety methoxybutyryl fentanyl, and valeryl accordance with 21 CFR parts 1304 and for use of cyclopentyl fentanyl, fentanyl, or who desires to handle 1312. isobutyryl fentanyl, para- cyclopentyl fentanyl, isobutyryl 7. Order Forms. Every DEA registrant chloroisobutyryl fentanyl, para- fentanyl, para-chloroisobutyryl who distributes cyclopentyl fentanyl, methoxybutyryl fentanyl, and valeryl fentanyl, para-methoxybutyryl fentanyl, isobutyryl fentanyl, para- fentanyl under medical supervision. and valeryl fentanyl, is required to be chloroisobutyryl fentanyl, para- Based on these findings, Acting registered with the DEA to conduct such methoxybutyryl fentanyl, and valeryl Administrator of DEA concludes that activities pursuant to 21 U.S.C. 822, fentanyl is required to comply with the cyclopentyl fentanyl, isobutyryl 823, 957, and 958, and in accordance order form requirements, pursuant to 21 fentanyl, para-chloroisobutyryl with 21 CFR parts 1301 and 1312. U.S.C. 828, and 21 CFR part 1305. 2. Security. Cyclopentyl fentanyl, fentanyl, para-methoxybutyryl fentanyl, 8. Importation and Exportation. All and valeryl fentanyl, including their isobutyryl fentanyl, para- chloroisobutyryl fentanyl, para- importation and exportation of isomers, esters, ethers, salts, and salts of cyclopentyl fentanyl, isobutyryl isomers, esters and ethers whenever the methoxybutyryl fentanyl, and valeryl fentanyl are subject to schedule I fentanyl, para-chloroisobutyryl existence of such isomers, esters, ethers fentanyl, para-methoxybutyryl fentanyl, and salts is possible, warrant continued security requirements and must be handled and stored pursuant to 21 and valeryl fentanyl must be in control in schedule I of the CSA. (21 compliance with 21 U.S.C. 952, 953, U.S.C. 812(b)(1)). U.S.C. 821, 823, and in accordance with 21 CFR 1301.71–1301.93. 957, and 958, and in accordance with 21 Requirements for Handling cyclopentyl 3. Labeling and Packaging. All labels CFR part 1312. fentanyl, isobutyryl fentanyl, para- and labeling for commercial containers 9. Liability. Any activity involving chloroisobutyryl fentanyl, para- of cyclopentyl fentanyl, isobutyryl cyclopentyl fentanyl, isobutyryl methoxybutyryl fentanyl, and valeryl fentanyl, para-chloroisobutyryl fentanyl, para-chloroisobutyryl fentanyl fentanyl, para-methoxybutyryl fentanyl, fentanyl, para-methoxybutyryl fentanyl, If this rule is finalized as proposed, and valeryl fentanyl must be in and valeryl fentanyl not authorized by, cyclopentyl fentanyl, isobutyryl compliance with 21 U.S.C. 825 and or in violation of, the CSA or its fentanyl, para-chloroisobutyryl 958(e), and be in accordance with 21 implementing regulations is unlawful, fentanyl, para-methoxybutyryl fentanyl, CFR part 1302. and could subject the person to 4. Quota. Only registered and valeryl fentanyl would continue 10 administrative, civil, and/or criminal manufacturers are permitted to to be subject to the CSA’s schedule I sanctions. manufacture cyclopentyl fentanyl, regulatory controls and administrative, isobutyryl fentanyl, para- Regulatory Analyses civil, and criminal sanctions applicable chloroisobutyryl fentanyl, para- to the manufacture, distribution, Executive Orders 12866, 13563, and methoxybutyryl fentanyl, and valeryl dispensing, importing, exporting, 13771, Regulatory Planning and Review, fentanyl in accordance with a quota research, and conduct of instructional Improving Regulation and Regulatory assigned pursuant to 21 U.S.C. 826 and activities, including the following: Review, and Reducing Regulation and in accordance with 21 CFR part 1303. Controlling Regulatory Costs 5. Inventory. Any person registered 9 Although there is no evidence suggesting that with DEA to handle cyclopentyl In accordance with 21 U.S.C. 811(a), cyclopentyl fentanyl, isobutyryl fentanyl, para- this proposed scheduling action is chloroisobutyryl fentanyl, para-methoxybutyryl fentanyl, isobutyryl fentanyl, para- fentanyl, and valeryl fentanyl have a currently chloroisobutyryl fentanyl, para- subject to formal rulemaking procedures accepted medical use in treatment in the United methoxybutyryl fentanyl, and valeryl done ‘‘on the record after opportunity States, it bears noting that a drug cannot be found fentanyl must have an initial inventory for a hearing,’’ which are conducted to have such medical use unless DEA concludes pursuant to the provisions of 5 U.S.C. that it satisfies a five-part test. Specifically, with of all stocks of controlled substances respect to a drug that has not been approved by the including these substances on hand on 556 and 557. The CSA sets forth the FDA, to have a currently accepted medical use in the date the registrant first engages in criteria for scheduling a drug or other treatment in the United States, all of the following the handling of controlled substances substance. Such actions are exempt must be demonstrated: from review by the Office of i. The drug’s chemistry must be known and pursuant to 21 U.S.C. 827 and 958, and reproducible; in accordance with 21 CFR 1304.03, Management and Budget (OMB) ii. there must be adequate safety studies; 1304.04, and 1304.11. pursuant to section 3(d)(1) of Executive iii. there must be adequate and well-controlled After the initial inventory, every DEA Order 12866 and the principles studies proving efficacy; registrant must take a new inventory of reaffirmed in Executive Order 13563. iv. the drug must be accepted by qualified all stocks of controlled substances This proposed rule does not meet the experts; and definition of an Executive Order 13771 v. the scientific evidence must be widely (including cyclopentyl fentanyl, available. isobutyryl fentanyl, para- regulatory action, and the repeal and 57 FR 10499 (1992). chloroisobutyryl fentanyl, para- cost offset requirements of Executive 10 Cyclopentyl fentanyl, isobutyryl fentanyl, para- methoxybutyryl fentanyl, and valeryl Order 13771 have not been triggered. chloroisobutyryl fentanyl, para-methoxybutyryl fentanyl) on hand every two years OMB has previously determined that fentanyl, and valeryl fentanyl are currently subject to schedule I controls on a temporary basis, pursuant to 21 U.S.C. 827 and 958, and formal rulemaking actions concerning pursuant to 21 U.S.C. 811(h). 83 FR 4580, February in accordance with 21 CFR 1304.03, the scheduling of controlled substances, 1, 2018. 1304.04, and 1304.11. such as this rule, are not significant
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regulatory actions under Section 3(f) of following substances: Cyclopentyl For the reasons set out above, DEA Executive Order 12866. fentanyl, isobutyryl fentanyl, para- proposes to amend 21 CFR part 1308 as chloroisobutyryl fentanyl, para- follows: Executive Order 12988, Civil Justice methoxybutyryl fentanyl, or valeryl Reform fentanyl, as well as a number of PART 1308—SCHEDULES OF This proposed regulation meets the registered analytical labs that are CONTROLLED SUBSTANCES applicable standards set forth in authorized to handle schedule I sections 3(a) and 3(b)(2) of Executive controlled substances generally. These ■ 1. The authority citation for 21 CFR Order 12988 to eliminate drafting errors 34 registrations represent 26 entities, of part 1308 continues to read as follows: and ambiguity, minimize litigation, which 8 are small entities. Therefore, Authority: 21 U.S.C. 811, 812, 871(b), provide a clear legal standard for DEA estimates 8 small entities are 956(b), unless otherwise noted. affected conduct, and promote affected by this proposed rule. A review simplification and burden reduction. of the 34 registrations indicates that all ■ 2. In § 1308.11: entities that currently handle Executive Order 13132, Federalism ■ cyclopentyl fentanyl, isobutyryl a. Redesignate paragraphs (b)(56) This proposed rulemaking does not fentanyl, para-chloroisobutyryl through (70) as (b)(60) through (74); have federalism implications warranting fentanyl, para-methoxybutyryl fentanyl, ■ b. Redesignate paragraphs (b)(54) and the application of Executive Order or valeryl fentanyl also handle other (55) as (b)(57) and (58); 13132. The proposed rule does not have schedule I controlled substances and ■ substantial direct effects on the States, c. Redesignate paragraphs (b)(39) have established and implemented (or through (53) as (b)(41) through (55); on the relationship between the national maintain) the systems and processes government and the States, or the required to handle these substances. ■ d. Redesignate paragraphs (b)(22) distribution of power and Therefore, the DEA anticipates that this through (38) as (b)(23) through (39); responsibilities among the various proposed rule will impose minimal or ■ e. Add new paragraphs (b)(22), (40), levels of government. no economic impact on any affected (56), (59), and (75); and entities; and thus, will not have a Executive Order 13175, Consultation ■ significant economic impact on any of f. Remove and reserve paragraphs and Coordination With Indian Tribal (h)(23), and (h)(25) through (28). Governments the eight affected small entities. Therefore, DEA has concluded that this The additions read as follows: This proposed rule does not have proposed rule will not have a significant tribal implications warranting the economic impact on a substantial § 1308.11 Schedule I. application of Executive Order 13175. It number of small entities. * * * * * does not have substantial direct effects on one or more Indian tribes, on the Unfunded Mandates Reform Act of 1995 (b) * * * relationship between the Federal In accordance with the Unfunded Government and Indian tribes, or on the (22) Cyclopentyl fentanyl (N-(1- Mandates Reform Act (UMRA) of 1995, phenethylpiperidin-4-yl)-N- distribution of power and 2 U.S.C. 1501 et seq., DEA has phenylcyclopentanecarboxami- responsibilities between the Federal determined and certifies that this action de) ...... (9847) Government and Indian tribes. would not result in any Federal Regulatory Flexibility Act mandate that may result ‘‘in the ***** expenditure by State, local, and tribal (40) Isobutyryl fentanyl (N-(1- The Administrator, in accordance governments, in the aggregate, or by the phenethylpiperidin-4-yl)-N- with the Regulatory Flexibility Act private sector, of $100,000,000 or more phenylisobutyramide) ...... (9827) (RFA), 5 U.S.C. 601–602, has reviewed (adjusted annually for inflation) in any this proposed rule and by approving it, 1 year. . . .’’ Therefore, neither a Small ***** certifies that it will not have a Government Agency Plan nor any other (56) para-Chloroisobutyryl fentanyl (N-(4-chlorophenyl)-N- significant economic impact on a action is required under UMRA of 1995. substantial number of small entities. On (1-phenethylpiperidin-4- February 1, 2018, the DEA published an Paperwork Reduction Act of 1995 yl)isobutyramide ...... (9826) order to temporarily place cyclopentyl This action does not impose a new ***** fentanyl, isobutyryl fentanyl, para- collection of information under the (59) para-Methoxybutyryl chloroisobutyryl fentanyl, para- Paperwork Reduction Act of 1995. (44 fentanyl (N-(4-methoxyphenyl)- methoxybutyryl fentanyl, and valeryl U.S.C. 3501–3521). This action would N-(1-phenethylpiperidin-4- fentanyl in schedule I of the CSA not impose recordkeeping or reporting yl)butyramide) ...... (9837) pursuant to the temporary scheduling requirements on State or local provisions of 21 U.S.C. 811(h). DEA governments, individuals, businesses, or ***** estimates that all entities handling or organizations. An agency may not (75) Valeryl fentanyl (N-(1- planning to handle cyclopentyl conduct or sponsor, and a person is not phenethylpiperidin-4-yl)-N- fentanyl, isobutyryl fentanyl, para- required to respond to, a collection of phenylpentanamide) ...... (9804) chloroisobutyryl fentanyl, para- information unless it displays a * * * * * methoxybutyryl fentanyl, and valeryl currently valid OMB control number. Dated: January 23, 2020. fentanyl have already established and implemented the systems and processes List of Subjects in 21 CFR Part 1308 Uttam Dhillon, required to handle these substances. Administrative practice and Acting Administrator. There are currently 34 registrations procedure, drug traffic control, reporting [FR Doc. 2020–01681 Filed 1–29–20; 8:45 am] authorized to handle one or more of the and recordkeeping requirements. BILLING CODE 4410–09–P
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DEPARTMENT OF COMMERCE Federal eRulemaking Portal website validation features to help applicants (http://www.regulations.gov) for properly complete the PCT Request. The Patent and Trademark Office additional instructions on providing provisions of 37 CFR 5.11(b) are comments via the Federal eRulemaking proposed to be amended to provide that 37 CFR Part 5 Portal. a foreign filing license from the [Docket No. PTO–P–2019–0033] Although comments may be Commissioner for Patents would submitted by postal mail, the USPTO authorize the export of technical data RIN 0651–AD43 prefers to receive comments by email. abroad for purposes relating to the use Emailed comments are preferred to be of WIPO’s online service for preparing Facilitating the Use of WIPO’s ePCT submitted in plain text, but also may be an international application for filing System To Prepare International submitted in Adobe® portable document with the USPTO as a Receiving Office. Applications for Filing With the United format or Microsoft Word® format. Costs and Benefits: This rulemaking is States Receiving Office Comments not submitted by email or via not economically significant under AGENCY: United States Patent and the Federal eRulemaking Portal should Executive Order 12866 (Sept. 30, 1993). Trademark Office, Department of be submitted on paper in a format that Background: On June 1, 2016, the Commerce. facilitates convenient digital scanning United States Receiving Office (RO/US) ® began accepting international ACTION: Notice of proposed rulemaking. into Adobe portable document format. The comments will be available for applications filed electronically with SUMMARY: The United States Patent and viewing via the USPTO’s website zip files created by the World Trademark Office (USPTO or Office) is (https://www.uspto.gov/patent/laws- Intellectual Property Organization’s proposing to amend the foreign filing and-regulations/comments-public- (WIPO) online service, ePCT. See Use of license rules to facilitate use of ePCT (a response-specific-requests-uspto). WIPO’s ePCT System for Preparing the World Intellectual Property Because comments will be made PCT Request for Filing as Part of an Organization (WIPO) online web-based available for public inspection, International Application with the service) to prepare an international information that the submitter does not USPTO as Receiving Office, 81 FR application for filing with the USPTO in desire to make public, such as an 27417 (May 6, 2016). ePCT is a web- its capacity as a Receiving Office under address or phone number, should not be based service that provides for the Patent Cooperation Treaty (PCT). included in the comments. electronic filing of international applications with certain PCT Receiving ePCT offers many benefits to users, FOR FURTHER INFORMATION CONTACT: Offices and includes validation features including real time up-to-date Michael Neas, Deputy Director, to help users properly complete the PCT validation features to help users International Patent Legal properly complete the PCT Request. Request. ePCT also provides for secure Administration, at (571) 272–3289, or electronic access, file management, and ePCT resides on WIPO’s servers abroad Boris Milef, Senior Legal Examiner, and is accessed via an internet browser document submissions for international International Patent Legal applications held by the International on the user’s system. While the current Administration, at (571) 272–3288. foreign filing license rules would Bureau (IB). ePCT is accessed via an SUPPLEMENTARY INFORMATION: internet browser on the user’s system, authorize the export of technical data to Executive Summary: Purpose: The and all information input into ePCT is ePCT for purposes of preparing an rules of practice in 37 CFR part 5 are stored securely on WIPO’s servers. international application for filing in a proposed to be amended to expand the Detailed information on ePCT can be foreign PCT Receiving Office, the scope of a foreign filing license from the found at https://pct.eservices.wipo.int/ current rules do not authorize the export USPTO to allow U.S. applicants to use direct.aspx?T=EN&UG=4. of technical data to ePCT for purposes WIPO’s ePCT web-based service to help WIPO also makes available and of preparing an international prepare their international applications maintains PCT Secure Applications application for filing with the USPTO as for filing with the USPTO acting as a Filed Electronically (PCT–SAFE) a Receiving Office. The USPTO is thus PCT Receiving Office. software, which must be installed on the proposing to amend the foreign filing Summary of Major Provisions: Under user’s system. Both PCT–SAFE and license rules to provide that a foreign current 37 CFR 5.11(b), a foreign filing ePCT include validation features to help filing license from the USPTO would license from the Commissioner for users properly complete the PCT authorize the export of technical data Patents authorizes the export of Request. Since the PCT–SAFE abroad for purposes relating to the use technical data abroad for purposes validation can only be made against the of ePCT to prepare an international relating to the preparation, filing or version of the software installed on the application for filing with the USPTO in possible filing and prosecution of a user’s system, the most up-to-date its capacity as a Receiving Office under foreign application, including an version of PCT–SAFE is required in the PCT. international application for filing in a order to ensure accurate validation. In DATES: Written comments must be PCT Receiving Office other than the contrast to PCT–SAFE, validation in the received on or before March 30, 2020. USPTO acting as a Receiving Office. See ePCT system is made in real time and ADDRESSES: Comments should be sent 37 CFR 5.1(b)(2). 37 CFR 5.11 does not does not require software updates. by email addressed to: authorize the export of technical data Furthermore, like PCT–SAFE, the zip [email protected]. Comments abroad for purposes relating to the file generated by ePCT, which contains also may be submitted by postal mail preparation of an international a PCT Request in character coded addressed to: Mail Stop Comments— application for filing with the USPTO format, also entitles the applicant to the Patents, Commissioner for Patents, P.O. acting as a Receiving Office. WIPO’s same reduction in international filing Box 1450, Alexandria, VA 22313–1450, ePCT web-based service, residing on fees as indicated in item 4(b) of the PCT marked to the attention of Boris Milef, servers abroad, offers many benefits to Schedule of Fees (http://www.wipo.int/ Senior Legal Examiner, International U.S. applicants seeking to prepare and pct/en/texts/rules/rtax.htm#_S). The use Patent Legal Administration. file an international application with of the ePCT zip file would still require Comments further may be sent via the the USPTO as a Receiving Office, all other documents and application Federal eRulemaking Portal. Visit the including real time up-to-date parts to be prepared and loaded
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separately in EFS-Web for filing of the Discussion of Specific Rules filed abroad on an invention made in international application. The following is a discussion of the United States but which comes to By using ePCT, an international proposed amendments to Title 37 of the the United States for examination, for application will be associated with the Code of Federal Regulations, part 5. example, in the case of an international user’s ePCT account, even before the Section 5.1: Section 5.1(b)(2) is design application designating the application is filed, thereby allowing proposed to be amended to change the United States that is filed abroad, would users to share access rights with others text ‘‘foreign patent office, foreign not be considered to include a petition prior to filing, if needed. In addition, patent agency, or international agency’’ for a foreign filing license. Where an after the record copy is received by the to ‘‘foreign or international intellectual application was filed abroad through IB, the application file may be viewed property authority,’’ for consistency, as error without the required license under online via ePCT without the need to the term ‘‘intellectual property § 5.11 first having been obtained, applicants should consider filing a separately request access rights. authority’’ is generally used in the petition for retroactive license under Applicants who are residents and/or patent statutes and other patent rules. § 5.25. nationals of the United States and its See, e.g., 35 U.S.C. 111(c) and 119(b)(1) territories can file international Section 5.15: Section 5.15(a) is and (b)(3), and 37 CFR 1.55, 1.57(a), and proposed to be amended for clarity to applications directly with the Receiving 1.76(b)(6). Office of the IB via ePCT or other include a reference to § 5.11(b) Section 5.11: Section 5.11(a) is concerning the export of technical data. means, provided that any national proposed to be amended to change the security provisions have been met prior In addition, ‘‘foreign patent agency or text ‘‘foreign patent office, foreign international patent agency’’ is changed to filing, including obtaining any patent agency, or any international required foreign filing license. See 37 to ‘‘foreign or international intellectual agency’’ to ‘‘foreign or international property authority.’’ See discussion of CFR 5.11 and MPEP 140. The current intellectual property authority,’’ provisions of 37 CFR 5.11(b) authorize § 5.1(b)(2), supra. Section 5.15(a) also is consistent with the change to § 5.1(b)(2). proposed to be amended to clarify that U.S. applicants having a foreign filing Section 5.11(b) is proposed to be the grant of the license also covers license to export technical data abroad amended to provide that a license from material submitted under § 5.13, where to servers located outside the United the Commissioner of Patents under 35 there is no corresponding U.S. States hosting ePCT to prepare U.S.C. 184 referred to in § 5.11(a) application. international applications for filing with (‘‘foreign filing license’’) would Sections 5.15(b) and 5.15(e) are the IB as a Receiving Office, without additionally authorize the export of proposed to be amended consistent with having to separately comply with the technical data abroad for purposes the proposed amendments to § 5.15(a). regulations contained in 22 CFR parts relating to the use of a World 120 through 130 (International Traffic in Intellectual Property Organization Rulemaking Considerations Arms Regulations of the Department of (WIPO) online service for preparing an A. Administrative Procedure Act: This State), 15 CFR parts 730 through 774 international application for filing with document proposes changes to the rules (Export Administration Regulations of the USPTO as a Receiving Office (RO/ of practice to facilitate use of WIPO’s the Bureau of Industry and Security, US) under the Patent Cooperation ePCT system to prepare international Department of Commerce), and 10 CFR Treaty. applications for filing with the United part 810 (Assistance to Foreign Atomic The proposed amendment would States Receiving Office. The changes Energy Activities Regulations of the authorize applicants having a foreign being proposed in this document do not Department of Energy). Id. The current filing license from the USPTO to use change the substantive criteria of provisions of 37 CFR 5.11(b), however, ePCT to prepare an international patentability. These proposed changes do not authorize the export of technical application for filing with the RO/US involve rules of agency practice and data to such servers for the purpose of without having to separately comply procedure, and/or interpretive rules. See preparing international applications for with the regulations identified in Bachow Commc’ns Inc. v. FCC, 237 F.3d filing with the USPTO as a Receiving § 5.11(b), i.e., the regulations contained 683, 690 (D.C. Cir. 2001) (rules Office (RO/US). Applicants wishing to in 22 CFR parts 120 through 130 governing an application process are use ePCT to prepare an international (International Traffic in Arms procedural under the Administrative application for filing with the RO/US Regulations of the Department of State), Procedure Act); Inova Alexandria Hosp. currently must ensure compliance with 15 CFR parts 730 through 774 (Export v. Shalala, 244 F.3d 342, 350 (4th Cir. the regulations set forth in 37 CFR Administration Regulations of the 2001) (rules for handling appeals are 5.11(b). Bureau of Industry and Security, procedural where they do not change The changes to the regulations Department of Commerce), and 10 CFR the substantive standard for reviewing proposed in this document would part 810 (Assistance to Foreign Atomic claims); Nat’l Org. of Veterans’ permit applicants having a foreign filing Energy Activities Regulations of the Advocates v. Sec’y of Veterans Affairs, license from the USPTO to use ePCT to Department of Energy). 260 F.3d 1365, 1375 (Fed. Cir. 2001) prepare an international application for Section 5.11(e)(3) is proposed to be (rule that clarifies interpretation of a filing with the RO/US without having to amended to change ‘‘foreign patent statute is interpretive). separately comply with the regulations application’’ to ‘‘foreign application’’ for Accordingly, prior notice and set forth in 37 CFR 5.11(b). In addition, consistency with the definition of opportunity for public comment for the information that the USPTO collects foreign application in § 5.1(b)(2). these proposed changes are not required from a PCT Request form electronically Section 5.12: Section 5.12(a) is pursuant to 5 U.S.C. 553(b) or (c) (or any prepared via ePCT is the same proposed to be amended to clarify that other law). See Cooper Techs. Co. v. information that it collects from the for an application on an invention made Dudas, 536 F.3d 1330, 1336–37 (Fed. paper PCT Request form, which has in the United States to be considered to Cir. 2008) (stating that 5 U.S.C. 553, and been reviewed and previously approved include a petition for license under 35 thus 35 U.S.C. 2(b)(2)(B), does not by the Office of Management and U.S.C. 184, the application must be filed require notice and comment rulemaking Budget (OMB) under control number in the United States Patent and for ‘‘interpretative rules, general 0651–0021. Trademark Office. An application that is statements of policy, or rules of agency
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organization, procedure, or practice’’) choice for the public; and (9) ensured Accountability Office. The changes in (quoting 5 U.S.C. 553(b)(A)). The the objectivity of scientific and this document are not expected to result USPTO, however, is publishing these technological information and in an annual effect on the economy of proposed changes for comment as it processes. 100 million dollars or more, a major seeks the benefit of the public’s views E. Executive Order 13771 (Reducing increase in costs or prices, or significant on the USPTO’s proposed Regulation and Controlling Regulatory adverse effects on competition, implementation of the proposed rule Costs): This proposed rule is not employment, investment, productivity, changes. expected to be an Executive Order innovation, or the ability of United B. Regulatory Flexibility Act: For the 13771 regulatory action because the rule States-based enterprises to compete reasons set forth herein, the Senior as proposed would not be significant with foreign-based enterprises in Counsel for Regulatory and Legislative under Executive Order 12866. domestic and export markets. Therefore, Affairs in the Office of General Law of F. Executive Order 13132 this document is not expected to result the United States Patent and Trademark (Federalism): This rulemaking does not in a ‘‘major rule’’ as defined in 5 U.S.C. Office has certified to the Chief Counsel contain policies with federalism 804(2). for Advocacy of the Small Business implications sufficient to warrant M. Unfunded Mandates Reform Act of Administration that changes proposed preparation of a Federalism Assessment 1995: The changes set forth in this in this document will not have a under Executive Order 13132 (Aug. 4, document do not involve a Federal significant economic impact on a 1999). intergovernmental mandate that will substantial number of small entities. See G. Executive Order 13175 (Tribal result in the expenditure by State, local, 5 U.S.C. 605(b). Consultation): This rulemaking will not: and tribal governments, in the aggregate, The changes proposed in this (1) Have substantial direct effects on one of 100 million dollars (as adjusted) or document will facilitate use of WIPO’s or more Indian tribes; (2) impose more in any one year, or a Federal ePCT system to prepare international substantial direct compliance costs on private sector mandate that will result applications for filing with the United Indian tribal governments; or (3) in the expenditure by the private sector States Receiving Office and will apply preempt tribal law. Therefore, a tribal of 100 million dollars (as adjusted) or to any entity, including a small or micro summary impact statement is not more in any one year, and will not entity, that uses ePCT to prepare an required under Executive Order 13175 significantly or uniquely affect small international patent application under (Nov. 6, 2000). governments. Therefore, no actions are the PCT for filing with the RO/US. The H. Executive Order 13211 (Energy necessary under the provisions of the changes proposed in this document will Effects): This rulemaking is not a Unfunded Mandates Reform Act of not result in a change in the burden significant energy action under 1995. See 2 U.S.C. 1501 et seq. imposed on any patent applicant, Executive Order 13211 because this N. National Environmental Policy including a small entity. rulemaking is not likely to have a For the foregoing reasons, the changes significant adverse effect on the supply, Act: This rulemaking will not have any proposed in this document will not distribution, or use of energy. Therefore, effect on the quality of the environment have a significant economic impact on a Statement of Energy Effects is not and is thus categorically excluded from a substantial number of small entities. required under Executive Order 13211 review under the National C. Executive Order 12866 (Regulatory (May 18, 2001). Environmental Policy Act of 1969. See Planning and Review): This rulemaking I. Executive Order 12988 (Civil Justice 42 U.S.C. 4321 et seq. has been determined to be not Reform): This rulemaking meets O. National Technology Transfer and significant for purposes of Executive applicable standards to minimize Advancement Act: The requirements of Order 12866 (Sept. 30, 1993). litigation, eliminate ambiguity, and section 12(d) of the National D. Executive Order 13563 (Improving reduce burden as set forth in sections Technology Transfer and Advancement Regulation and Regulatory Review): The 3(a) and 3(b)(2) of Executive Order Act of 1995 (15 U.S.C. 272 note) are not USPTO has complied with Executive 12988 (Feb. 5, 1996). applicable because this rulemaking does Order 13563. Specifically, the USPTO J. Executive Order 13045 (Protection not contain provisions that involve the has, to the extent feasible and of Children): This rulemaking does not use of technical standards. applicable: (1) Made a reasoned concern an environmental risk to health P. Paperwork Reduction Act: The determination that the benefits justify or safety that may disproportionately Paperwork Reduction Act of 1995 (44 the costs of the rule; (2) tailored the rule affect children under Executive Order U.S.C. 3501 et seq.) requires that the to impose the least burden on society 13045 (Apr. 21, 1997). Office consider the impact of paperwork consistent with obtaining the regulatory K. Executive Order 12630 (Taking of and other information collection objectives; (3) selected a regulatory Private Property): This rulemaking will burdens imposed on the public. This approach that maximizes net benefits; not affect a taking of private property or rulemaking involves information (4) specified performance objectives; (5) otherwise have taking implications collection requirements which are identified and assessed available under Executive Order 12630 (Mar. 15, subject to review by OMB under the alternatives; (6) involved the public in 1988). Paperwork Reduction Act of 1995 (44 an open exchange of information and L. Congressional Review Act: Under U.S.C. 3501–3549). The collection of perspectives among experts in relevant the Congressional Review Act information involved in this rulemaking disciplines, affected stakeholders in the provisions of the Small Business has been reviewed and previously private sector and the public as a whole, Regulatory Enforcement Fairness Act of approved by OMB under control and provided on-line access to the 1996 (5 U.S.C. 801 et seq.), prior to number 0651–0021. This rulemaking rulemaking docket; (7) attempted to issuing any final rule, the United States does not impose any additional promote coordination, simplification, Patent and Trademark Office will collection requirements under the and harmonization across government submit a report containing the final rule Paperwork Reduction Act which are agencies and identified goals designed and other required information to the subject to further review by OMB. The to promote innovation; (8) considered United States Senate, the United States collections of information already approaches that reduce burdens and House of Representatives, and the approved under control number 0651– maintain flexibility and freedom of Comptroller General of the Government 0021 support the actions proposed in
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this rulemaking. Therefore, no changes § 5.11 License for filing in, or exporting to, U.S.C. 184 for the subject matter of the are required in the collection. a foreign country an application on an application. The filing receipt or other invention made in the United States or official notice will indicate if a license Notwithstanding any other provision technical data relating thereto. of law, no person is required to respond is granted. If the initial automatic (a) A license from the Commissioner petition is not granted, a subsequent to, nor shall any person be subject to a for Patents under 35 U.S.C. 184 is penalty for failure to comply with a petition may be filed under paragraph required before filing any application (b) of this section. collection of information subject to the for patent including any modifications, * * * * * requirements of the Paperwork amendments, or supplements thereto or Reduction Act unless that collection of divisions thereof or for the registration ■ 5. Section 5.15 is amended by revising information displays a currently valid of a utility model, industrial design, or the introductory text of paragraph (a) OMB control number. model, in a foreign country or in a and paragraphs (a)(1), (b) and (e) to read List of Subjects in 37 CFR Part 5 foreign or international intellectual as follows: property authority (other than the § 5.15 Scope of license. Classified information, Exports, United States Patent and Trademark Foreign relations, Inventions and Office acting as a Receiving Office for (a) Applications or other materials patents. international applications (35 U.S.C. reviewed pursuant to §§ 5.12 through 361, 37 CFR 1.412) or as an office of 5.14, which were not required to be For the reasons set forth in the indirect filing for international design made available for inspection by preamble, 37 CFR part 5 is proposed to applications (35 U.S.C. 382, 37 CFR defense agencies under 35 U.S.C. 181, be amended as follows: 1.1002)), if the invention was made in will be eligible for a license of the scope PART 5—SECRECY OF CERTAIN the United States, and: provided in this paragraph. This license INVENTIONS AND LICENSES TO (1) An application on the invention permits subsequent modifications, EXPORT AND FILE APPLICATIONS IN has been filed in the United States less amendments, and supplements FOREIGN COUNTRIES than six months prior to the date on containing additional subject matter to, which the application is to be filed; or or divisions of, a foreign application, if (2) No application on the invention such changes to the application do not ■ 1. The authority citation for 37 CFR has been filed in the United States. alter the general nature of the invention part 5 is revised to read as follows: (b) The license from the in a manner that would require the Authority: 35 U.S.C. 2(b)(2), 41, 181–188, Commissioner for Patents referred to in United States application to have been as amended by the Patent Law Foreign Filing paragraph (a) of this section would also made available for inspection under 35 Amendments Act of 1988, Pub. L. 100–418, authorize the export of technical data U.S.C. 181. Grant of this license 102 Stat. 1567; the Arms Export Control Act, abroad for purposes relating to (i) the authorizes the export of technical data as amended, 22 U.S.C. 2751 et seq.; the preparation, filing or possible filing and pursuant to § 5.11(b) and the filing of an Atomic Energy Act of 1954, as amended, 42 prosecution of a foreign application and U.S.C. 2011 et seq.; the Nuclear Non application in a foreign country or to Proliferation Act of 1978, 22 U.S.C. 3201 et (ii) the use of a World Intellectual any foreign or international intellectual seq.; and the delegations in the regulations Property Organization online service for property authority when the technical under these Acts to the Director (15 CFR preparing an international application data and the subject matter of the 370.10(j), 22 CFR 125.04, and 10 CFR 810.7). for filing with the United States Patent foreign application corresponds to that and Trademark Office acting as a of the application or other materials ■ 2. Section 5.1 is amended by revising Receiving Office (35 U.S.C. 361, 37 CFR reviewed pursuant to §§ 5.12 through paragraph (b)(2) to read as follows: 1.412) without separately complying 5.14 upon which the license was with the regulations contained in 22 § 5.1 Applications and correspondence granted. This license includes authority: involving national security. CFR parts 120 through 130 (1) To export and file all duplicate (International Traffic in Arms * * * * * and formal application papers in foreign Regulations of the Department of State), countries or with foreign or (b) * * * 15 CFR parts 730 through 774 (Export international intellectual property (2) Foreign application as used in this Administration Regulations of the authorities; Bureau of Industry and Security, part includes, for filing in a foreign * * * * * country or in a foreign or international Department of Commerce), and 10 CFR (b) Applications or other materials intellectual property authority (other part 810 (Assistance to Foreign Atomic which were required to be made than the United States Patent and Energy Activities Regulations of the available for inspection under 35 U.S.C. Trademark Office acting as a Receiving Department of Energy). 181 will be eligible for a license of the Office for international applications (35 * * * * * scope provided in this paragraph. Grant U.S.C. 361, 37 CFR 1.412) or as an office (e) * * * of this license authorizes the export of of indirect filing for international design (3) For subsequent modifications, technical data pursuant to § 5.11(b) and applications (35 U.S.C. 382, 37 CFR amendments and supplements the filing of an application in a foreign 1.1002)) any of the following: An containing additional subject matter to, country or to any foreign or application for patent, international or divisions of, a foreign application if: international intellectual property application, international design * * * * * authority. Further, this license includes application, or application for the ■ 4. Section 5.12 is amended by revising authority to export and file all duplicate registration of a utility model, industrial paragraph (a) to read as follows: and formal papers in foreign countries design, or model. § 5.12 Petition for license. or with foreign or international * * * * * (a) Filing of an application in the intellectual property authorities and to ■ 3. Section 5.11 is amended by revising United States Patent and Trademark make amendments, modifications, and paragraphs (a), (b) and the introductory Office on an invention made in the supplements to, file divisions of, and text of paragraph (e)(3) to read as United States will be considered to take any action in the prosecution of the follows: include a petition for license under 35 foreign application, provided subject
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matter additional to that covered by the FEDERAL COMMUNICATIONS viewing and copying at the FCC license is not involved. COMMISSION Reference Information Center, 445 12th * * * * * Street SW, Room CY–A257, (e) Any paper filed abroad or 47 CFR Part 54 Washington, DC 20554. Petitions also transmitted to a foreign or international [WC Docket Nos. 19–195 and 11–10; FRS may be accessed online via the intellectual property authority following 16419] Commission’s Electronic Comment the filing of a foreign application that Filing System at: http://apps.fcc.gov/ changes the general nature of the subject Petitions for Reconsideration of Action ecfs/. The Commission will not send a matter disclosed at the time of filing in in Rulemaking Proceeding Congressional Review Act (CRA) a manner that would require such AGENCY: Federal Communications submission to Congress or the application to have been made available Commission. Government Accountability Office for inspection under 35 U.S.C. 181 or ACTION: Petition for reconsideration. pursuant to the CRA, 5 U.S.C. 801 that involves the disclosure of subject because no rules are being adopted by matter listed in paragraph (a)(3)(i) or (ii) SUMMARY: Petitions for Reconsideration the Commission. of this section must be separately (Petitions) have been filed in the Subject: Establishing the Digital licensed in the same manner as a foreign Commission’s proceeding listed below Opportunity Data Collection; application. Further, if no license has by Angie Kronenberg, on behalf of been granted under § 5.12(a) on filing INCOMPAS, and Paula Boyd, on behalf Modernizing the FCC Form 477 Data the corresponding United States of Microsoft Corporation. Program, WC Docket Nos. 19–195 and 11–10, Report and Order and Second application, any paper filed abroad or DATES: Oppositions to the Petitions Further Notice of Proposed Rulemaking, with a foreign or international must be filed on or before February 14, intellectual property authority that 2020. Replies to an opposition must be FCC 19–79, published at 84 FR 43705, involves the disclosure of additional filed on or before February 10, 2020. August 22, 2019. This document is subject matter must be licensed in the being published pursuant to 47 CFR ADDRESSES: Federal Communications same manner as a foreign application. Commission, 445 12th Street SW, 1.429(e). See also 47 CFR 1.4(b)(1) and * * * * * Washington, DC 20554. 1.429(f), (g). Dated: January 21, 2020. FOR FURTHER INFORMATION CONTACT: Number of Petitions Filed: 2. Andrei Iancu, Michael Ray, Attorney Advisor, Federal Communications Commission. Under Secretary of Commerce for Intellectual Wireline Competition Bureau, Marlene Dortch, Property and Director of the United States Competition Policy Division, (202) 418– Secretary, Office of the Secretary. Patent and Trademark Office. 0357. [FR Doc. 2020–01657 Filed 1–29–20; 8:45 am] [FR Doc. 2020–01765 Filed 1–29–20; 8:45 am] SUPPLEMENTARY INFORMATION: The full BILLING CODE 6712–01–P BILLING CODE 3510–16–P text of the Petitions are available for
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Notices Federal Register Vol. 85, No. 20
Thursday, January 30, 2020
This section of the FEDERAL REGISTER three business days after submission to and other matters that are commonly contains documents other than rules or verify posting (except allow 30 days for considered private. proposed rules that are applicable to the posting of comments submitted by Department of Agriculture will only public. Notices of hearings and investigations, mail). submit collections if they meet the committee meetings, agency decisions and FOR FURTHER INFORMATION CONTACT: following criteria. rulings, delegations of authority, filing of • The collections are voluntary; Requests for additional information petitions and applications and agency • The collections are low-burden for statements of organization and functions are should be directed to Ruth Brown, respondents (based on considerations of examples of documents appearing in this Office of the Chief Information Officer, total burden hours or burden-hours per section. Information Resources Management respondent) and are low-cost for both Center, 1200 Independence Avenue SW, the respondents and the Federal Washington, DC 20250 or via email to: DEPARTMENT OF AGRICULTURE Government; [email protected]. • The collections are non- [OMB Control No. 0503–XXXX] SUPPLEMENTARY INFORMATION: controversial and do not raise issues of Title: Improving Customer Experience concern to other Federal agencies; Information Collection; Improving (OMB Circular A–11, Section 280 • Any collection is targeted to the Customer Experience (OMB Circular Implementation). solicitation of opinions from A–11, Section 280 Implementation) Abstract: A modern, streamlined and respondents who have experience with responsive customer experience means: AGENCY: Department of Agriculture. the program or may have experience Raising government-wide customer with the program in the near future; ACTION: Notice and request for experience to the average of the private • comments. Personally identifiable information sector service industry; developing (PII) is collected only to the extent indicators for high-impact Federal SUMMARY: As part of the necessary and is not retained; Administration’s commitment to programs to monitor progress towards • Information gathered is intended to improving customer service delivery, excellent customer experience and be used for general service improvement the Department of Agriculture, has mature digital services; and providing and program management purposes • under OMB review the following the structure (including increasing Upon agreement between OMB and proposed Information Collection transparency) and resources to ensure the agency all or a subset of information Request ‘‘Improving Customer customer experience is a focal point for may be released as part of A–11, Section Experience (OMB Circular A–11, agency leadership. 280 requirements only on This proposed information collection Section 280 Implementation)’’ for performance.gov. Summaries of activity provides a means to garner approval under the Paperwork customer research and user testing customer and stakeholder feedback in Reduction Act (PRA). activities may be included in public- an efficient, timely manner in facing customer journey maps. DATES: Submit comments on or before: accordance with the Administration’s • Additional release of data must be March 2, 2020. commitment to improving customer done coordinated with OMB. ADDRESSES: Submit comments service delivery as discussed in Section These collections will allow for identified by Information Collection 280 of OMB Circular A–11 at https:// ongoing, collaborative and actionable 0503–XXXX, Improving Customer www.whitehouse.gov/wp-content/ communications between the Agency, Experience (OMB Circular A–11, uploads/2018/06/s280.pdf. its customers and stakeholders, and Section 280 Implementation), by any of As discussed in OMB guidance, OMB as it monitors agency compliance the following methods: agencies should identify their highest- on Section 280. These responses will • Federal eRulemaking portal: impact customer journeys (using inform efforts to improve or maintain https://www.regulations.gov. Follow the customer volume, annual program cost, the quality of service offered to the instructions for submitting comments. and/or knowledge of customer priority public. If this information is not Comments submitted electronically, as weighting factors) and select collected, vital feedback from customers including attachments to https:// touchpoints/transactions within those and stakeholders on services will be www.regulations.gov, will be posted to journeys to collect feedback. unavailable. the docket unchanged. These results will be used to improve Current Action: New Collection of • Mail: Departmental Clearance the delivery of Federal services and Information. Office, USDA, OCIO, Mail Stop 7602, programs. It will also provide Type of Review: New. Washington, DC 20250–7602, Improving government-wide data on customer Affected Public: Individuals and Customer Experience (OMB Circular A– experience that can be displayed on Households, Businesses and 11, Section 280 Implementation). www.performance.gov to help build Organizations, State, Local or Tribal Instructions: Please submit comments transparency and accountability of Government. only and cite Information Collection Federal programs to the customers they Estimated Number of Respondents: 0503–XXXX, Improving Customer serve. Below is a preliminary estimate of the Experience (OMB Circular As a general matter, these information aggregate burden hours for this new A–11, Section 280 Implementation) in collections will not result in any new collection. Department of Agriculture all correspondence related to this system of records containing privacy will provide refined estimates of burden collection. To confirm receipt of your information and will not ask questions in subsequent notices. comment(s), please check of a sensitive nature, such as sexual Average Expected Annual Number of regulations.gov, approximately two-to- behavior and attitudes, religious beliefs, Activities: Approximately 2,040,000
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customer experience activities such as Dated: January 27, 2020. nutrition education, including feedback surveys, focus groups, user Ruth Brown, breastfeeding promotion and support, testing, and interviews. Departmental Information Collection and referrals to health and social Average Number of Respondents per Clearance Officer. services. The program is administered by USDA FNS. FNS provides grant Activity: 1 response per respondent per [FR Doc. 2020–01651 Filed 1–29–20; 8:45 am] funds which are used by WIC State activity. BILLING CODE 3410–KR–P agencies to operate the WIC Program Annual Responses: 2,040,000. and distribute benefits through local Average Minutes per Response: 2 DEPARTMENT OF AGRICULTURE WIC clinics. The program operates minutes—120 minutes, dependent upon throughout the 50 States, the District of activity. Food and Nutrition Service Columbia, Guam, Puerto Rico, American Samoa, the Commonwealth of the Burden Hours: Department of Request for Information: WIC National Northern Mariana Islands, the U.S. Agriculture requests approximately Universal Product Code Database Next Virgin Islands, and through 33 Indian 240,000 burden hours. Steps Tribal Organizations. The Healthy, Hunger-Free Kids Act of Request for Comments: Comments AGENCY: Food and Nutrition Service submitted in response to this notice will (FNS), USDA. 2010 (HHFKA, Pub. L. 111–296) requires all WIC State agencies to be summarized and/or included in the ACTION: Notice. request for OMB approval. Comments implement EBT systems by October 1, are invited on: (a) Whether the SUMMARY: The U.S. Department of 2020, or seek an exemption. To collection of information is necessary Agriculture (USDA), Food and Nutrition implement EBT, some State agencies for the proper performance of the Service (FNS), Special Supplemental must update their management information systems to issue benefits via functions of the agency, including Nutrition Program for Women, Infants and Children (WIC Program or WIC) is EBT and must ensure the necessary EBT whether the information shall have infrastructure is in place for clinics and practical utility; (b) the accuracy of the issuing this Request for Information to obtain input from WIC State agencies, vendors. To date, over half of all WIC agency’s estimate of the burden of the State agencies have implemented EBT collection of information; (c) ways to authorized vendors, food manufacturers, technology partners, and other statewide, with the remaining State enhance the quality, utility, and clarity agencies engaged in the EBT planning of the information to be collected; (d) interested stakeholders regarding the direction of the National Universal and implementation processes pursuant ways to minimize the burden of the to the statutory mandate. Product Code (NUPC) database. The collection of information on Section 352(e) of the HHFKA directed NUPC database can be used by WIC respondents, including through the use the Secretary of Agriculture to establish State agencies delivering benefits via of automated collection techniques or an NUPC database for use by all WIC Electronic Benefit Transfer (EBT) to other forms of information technology; State agencies in implementing EBT. develop, update and maintain their HHFKA provides $1 million each fiscal and (e) estimates of capital or start-up Authorized Product Lists (APLs). FNS is costs and costs of operation, year, to remain available until specifically interested in obtaining expended, for NUPC database maintenance, and purchase of services stakeholder perspectives on the role of to provide information. development, hosting, hardware and the NUPC database to the program software configuration, and database Burden means the total time, effort, or community, and different options for support. Program regulations at 7 CFR financial resources expended by persons operating, maintaining, and/or 246.12(cc) require WIC State agencies to generate, maintain, retain, disclose or enhancing the database. FNS welcomes with EBT to use the NUPC database. provide information to or for a Federal comments from all interested The NUPC database is intended to be agency. This includes the time needed stakeholders. used by WIC State agencies with EBT as to review instructions; to develop, DATES: Written comments must be a tool to help create and manage their acquire, install and utilize technology received on or before March 30, 2020. APLs. Only State agencies have access and systems for the purpose of ADDRESSES: Comments are accepted to the NUPC database. The database collecting, validating and verifying through the Federal eRulemaking Portal. provides a source of information about information, processing and Go to http://www.regulations.gov, and WIC-authorized foods which other State maintaining information, and disclosing follow the online instructions for agencies may use in creating their APLs. and providing information; to train submitting comments electronically. Each WIC State agency is responsible personnel and to be able to respond to Comments may also be submitted via for developing a list of food items a collection of information, to search email to [email protected]. available for WIC participants for data sources, to complete and review Please enter ‘‘NUPC Database Public purchase consistent with Program requirements defined in 7 CFR 246.10. the collection of information; and to Comment’’ in the subject line to the WIC State agencies determine the types, transmit or otherwise disclose the email. brands, and physical forms of WIC- information. FOR FURTHER INFORMATION CONTACT: eligible foods. State agencies may also All written comments will be Dana Rasmussen, Senior Technical consider State-specific nutrition criteria available for public inspection Advisor, Supplemental Food Programs (e.g., only low sodium canned Regulations.gov. Division, at (703) 305–1628. vegetables), packaging methods (e.g., An agency may not conduct or SUPPLEMENTARY INFORMATION: The WIC pouch, can, jar) and packaging sizes sponsor, and a person is not required to Program, authorized under the Child (e.g., single container, multi-pack case). respond to, a collection of information Nutrition Act of 1966, as amended (Pub. For WIC State agencies using EBT, the L. 89–642), provides low-income State agency-approved foods are set unless it displays a currently valid pregnant, breastfeeding, and postpartum forth on an electronic APL, which lists Office of Management and Budget women, infants, and children up to age the WIC food item, food category, size, control number. five with nutritious supplemental foods, Universal Product Code (UPC), and
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other technical details. The APL is State agencies achieve statewide EBT, that State agency. Some of these fields unique to each State agency. There is no FNS seeks input regarding the use of the (Product Size through Benefit Unit Federal or national APL. NUPC database by the program Description Type) may be adopted from a WIC State agencies update their APLs community and different options for national entry or an entry by another State on a regular basis. Consistent with 7 agency and then edited to reflect current operating, maintaining, and/or State-specific authorized foods. These fields CFR 246.12 and per WIC EBT operating enhancing the database. FNS poses the generally do not have any national rules, WIC-authorized vendors are questions below to prompt stakeholder attributes—they are specific to each State required to retrieve a State agency’s APL responses. agency. The only State agency field that and apply it to their cash register USDA FNS is seeking information cannot be edited by the WIC State agency is systems at least every 48 hours, but from stakeholders on the following the Product Unit of Measure (UOM). Most most do so on a nightly basis. questions: fields, e.g., price, are optional. WIC State agencies send a copy of 1. For WIC State agency input only, is WIC State Agency Fields their individual APLs to the NUPC the current NUPC database useful in its database. After passing a screening and current form in creating and managing Product Size once additional nutritional product Product UOM * APLs and implementing EBT? Please Product Name information is gathered, the individual explain. Benefit Unit Description Type products on the State agency’s APL are 2. Within HHFKA statutory Short Product Name added to the NUPC database. A State requirements, should USDA FNS re- Benefit Unit Description agency’s raw APL file is not available envision its approach to the NUPC Container Size for download via the NUPC database. database to the benefit of program Container Type The NUPC database currently stakeholders? Please explain. Price includes but is not limited to the 3. Given currently available NUPC Price Type following information by food item from database information, what are the Broadband Flag WIC EBT State agencies, as applicable: advantages and disadvantages of Agency Effective Date Agency End Date UPC or Price Lookup Code (PLU), the providing NUPC database access to, or latter for fresh fruits and vegetables; Package Size sharing WIC State agency NUPC-related Rebate Flag product category (e.g., Bread/Whole information with, other entities such as Manual Voucher Indicator Grains) and subcategory (e.g., 100% food manufacturers and/or WIC Filter for State Agency Search Whole Wheat); nutrition information authorized vendors? [FR Doc. 2020–01696 Filed 1–29–20; 8:45 am] and ingredients; package images 4. Although current statute requires BILLING CODE 3410–30–P including product labels; the USDA to operate an NUPC database for manufacturer name; manufacturer data use by WIC EBT States, do WIC State sheets when needed; and the State agencies prefer to create and manage DEPARTMENT OF AGRICULTURE agency authorizing the product. An their APLs without the use of the optional free form comments field is Federal NUPC database? Please explain. Food and Nutrition Service available to State agencies. For fresh FNS appreciates your thoughtful and fruits and vegetables, a State agency responsive replies to all questions. Your Summer Food Service Program 2020 may submit PLUs or UPCs. Appendix A feedback is essential to help FNS ensure Reimbursement Rates lists current NUPC database elements. administration of the WIC Program is AGENCY: Food and Nutrition Service, WIC State agencies may optionally effective and efficient as possible. USDA. choose to submit pricing data into the Together, we can strive to improve ACTION: Notice. NUPC database, but this data is for operations and outcomes to best serve individual State agency use only. Most participants, stakeholders, and SUMMARY: This notice informs the public State agencies do not enter pricing data, American taxpayers. of the annual adjustments to the due to the significant effort required to Dated: January 10, 2020. reimbursement rates for meals served in enter and maintain it given pricing the Summer Food Service Program for fluctuations, coupled with the limited Pamilyn Miller, Administrator, Food and Nutrition Service. Children. These adjustments address benefit of use. Most prices are sensitive changes in the Consumer Price Index, as to local market conditions. Appendix A: Current NUPC Database required under the Richard B. Russell A WIC State agency can use the NUPC Elements National School Lunch Act. The 2020 database to obtain product information 1. National UPC Database Core Fields reimbursement rates are presented as a helpful in developing or modifying its combined set of rates to highlight The Core Fields contain information that is APL. The NUPC database reduces the simplified cost accounting procedures. need to separately gather this same set on the National level and cannot be edited at the WIC State Agency level. Only The 2020 rates are also presented information from manufacturers, food individually, as separate operating and retailers, food distributors or industry FNS staff or the FNS contractor may edit these fields. administrative rates of reimbursement, food databases. to show the effect of the Consumer Price NUPC does not: (1) Represent a National Core Fields Index adjustment on each rate. complete/combined listing of all State- UPC/PLU Number specific APLs, but rather contains Manufacturer Code DATES: Implementation date: January 1, individual APL-related data submitted Manufacturer Name 2020. by WIC EBT States (and supplemented [Food] Category FOR FURTHER INFORMATION CONTACT: J. with other nutrition-related [Food] Subcategory Kevin Maskornick, Program Monitoring information); (2) set forth a Federal or Default Filtered and Operational Support Division, Comments national WIC APL; or (3) include up-to- Child Nutrition Programs, Food and date pricing information. 2. WIC State Agency Fields, including Nutrition Service, United States The original intent of the NUPC Editable Fields Department of Agriculture, 1320 database was to support statewide These fields are generally specific to each implementation of EBT. As more WIC WIC State Agency and can only be edited by * Cannot be edited by State agency.
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Braddock Place, Suite 401, Alexandria, highlight simplified cost accounting from the calculations of operational and Virginia 22314. procedures. Reimbursement is based administrative payments, which are SUPPLEMENTARY INFORMATION: The solely on a ‘‘meals times rates’’ further explained in this notice. The Summer Food Service Program (SFSP) calculation, without comparison to total amount of payments to State is listed in the Catalog of Federal actual or budgeted costs. agencies for disbursement to SFSP Domestic Assistance under No. 10.559 Sponsors receive reimbursement that sponsors will be based upon these and is subject to the provisions of is determined by the number of adjusted combined rates and the Executive Order 12372, which requires reimbursable meals served, multiplied number of meals of each type served. intergovernmental consultation with by the combined rates for food service These adjusted rates will be in effect State and local officials. (See 2 CFR, 415 operations and administration. from January 1, 2020 through December and final rule-related notice published However, the combined rate is based on 31, 2020. separate operating and administrative at 48 FR 29114, June 24, 1983.) These changes are reflected below. In accordance with the Paperwork rates of reimbursement, each of which is Reduction Act of 1995, 44 U.S.C. 3501– adjusted differently for inflation. All States except Alaska and Hawaii—Rural or Self-prep Sites— 3520, no new recordkeeping or Calculation of Rates reporting requirements have been Breakfast—2 dollars and 37.50 cents included that are subject to approval The combined rates are constructed (7.75 cent increase from the 2019 from the Office of Management and from individually authorized operating reimbursement rate), Lunch or Supper— Budget. and administrative reimbursements. 4 dollars and 15.25 cents (12 cent This notice is not a rule as defined by Simplified procedures provide increase), Snack—97.75 cents (2.5 cent the Regulatory Flexibility Act, 5 U.S.C. flexibility, enabling sponsors to manage increase); All Other Types of Sites— 601–612, and thus is exempt from the their reimbursements to pay for any Breakfast—2 dollars and 33 cents (7.5 provisions of that Act. Additionally, this allowable cost, regardless of the cost cent increase), Lunch or Supper—4 notice has been determined to be category. Sponsors remain responsible, dollars and 8.75 cents (12 cent increase), exempt from formal review by the Office however, for ensuring proper Snack—95.5 cents (2.25 cent increase). administration of the Program, while of Management and Budget under Alaska—Rural or Self-prep Sites— providing the best possible nutrition Executive Order 12866. Breakfast—3 dollars and 84.75 cents benefit to children. (12.25 cent increase), Lunch or Definitions The operating and administrative Supper—6 dollars and 73.75 cents (21 rates are calculated separately. The terms used in this notice have the cent increase), Snack—1 dollar and However, the calculations of meaning ascribed to them under 7 CFR 59.25 cents (4.5 cent increase); All Other adjustments for both cost categories are part 225 of the SFSP regulations. Types of Sites—Breakfast—3 dollars and based on the same set of changes in the 77.5 cents (12 cent increase), Lunch or Background Food Away From Home series of the Supper—6 dollars and 63 cents (20.75 This notice informs the public of the Consumer Price Index for All Urban cent increase), Snack—1 dollar and annual adjustments to the Consumers, published by the Bureau of 55.75 cents (4.5 cent increase). reimbursement rates for meals served in Labor Statistics of the United States SFSP. In accordance with sections 12(f) Department of Labor. They represent a Hawaii—Rural or Self-prep Sites— and 13, 42 U.S.C. 1760(f) and 1761, of 3.2 percent increase in this series for the Breakfast—2 dollars and 77 cents (8.75 the Richard B. Russell National School 12-month period, from November 2018 cent increase), Lunch or Supper—4 Lunch Act (NSLA) and SFSP regulations through November 2019 (from 278.306 dollars and 86 cents (14.5 cent increase), under 7 CFR part 225, the United States in November 2017 to 287.255 in Snack—1 dollar and 14.5 cents (3.25 Department of Agriculture announces November 2019). cent increase); All Other Types of the adjustments in SFSP payments for Sites—Breakfast—2 dollars and 71.75 meals served to participating children Table of 2020 Reimbursement Rates cents (8.5 cent increase), Lunch or during calendar year 2020. Presentation of the 2020 maximum Supper—4 dollars and 78.25 cents The 2020 reimbursement rates are per meal rates for meals served to (14.25 cent increase), Snack—1 dollar presented as a combined set of rates to children in SFSP combines the results and 12 cents (3.5 cent increase).
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Operating Rates These changes are reflected below. Supper—6 dollars and 10 cents (19 All States except Alaska and cents increase), Snack—1 dollar and 42 The portion of the SFSP rates for Hawaii—Breakfast—2 dollars and 16 cents (4 cents increase). operating costs is based on payment cents (7 cents increase from the 2019 Hawaii—Breakfast—2 dollars and 52 amounts set in section 13(b)(1) of the reimbursement rate), Lunch or Supper— cents (8 cents increase), Lunch or NSLA, 42 U.S.C. 1761(b)(1). They are 3 dollars and 76 cents (11 cents rounded down to the nearest whole increase), Snack—87 cents (2 cents Supper—4 dollars and 40 cents (13 cent, as required by section increase). cents increase), Snack—1 dollar and 2 11(a)(3)(B)(iii) of the NSLA, 42 U.S.C. Alaska—Breakfast—3 dollars and 50 cents (3 cents increase). 1759a(a)(3)(B)(iii). cents (11 cents increase), Lunch or
Administrative Rates All States except Alaska and (0.5 cent increase); All Other Types of Hawaii—Rural or Self-prep Sites— Sites—Breakfast—27.50 cents (1 cent The administrative cost component of Breakfast—21.50 cents (0.75 cent increase), Lunch or Supper—53 cents the reimbursement is authorized under increase from the 2019 reimbursement (1.75 cent increase), Snack—13.75 cents section 13(b)(3) of the NSLA, 42 U.S.C. rate), Lunch or Supper—39.25 cents (1 (0.5 cent increase). 1761(b)(3). Rates are higher for sponsors cent increase), Snack—10.75 cents (0.5 of sites located in rural areas and for Hawaii—Rural or Self-prep Sites— cent increase); All Other Types of ‘‘self-prep’’ sponsors that prepare their Breakfast—25 cents (0.75 cent increase), Sites—Breakfast—17 cents (0.5 cent own meals at the SFSP site or at a Lunch or Supper—46 cents (1.5 cent increase), Lunch or Supper—32.75 cents central facility instead of purchasing increase), Snack—12.50 cents (0.25 cent (1 cent increase), Snack 8.5 cents (0.25 them from vendors. The administrative increase); All Other Types of Sites— cent increase). portion of SFSP rates are adjusted, Breakfast—19.75 cents (0.5 cent either up or down, to the nearest Alaska—Rural or Self-prep Sites— increase), Lunch or Supper—38.25 cents quarter-cent. Breakfast—34.75 cents (1.25 cent (1.25 cent increase), Snack—10 cents increase), Lunch or Supper—63.75 cents (0.5 cent increase). These changes are reflected below. (2 cent increase), Snack—17.25 cents
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Authority: Sections 9, 13, and 14, Richard authority to expand the service area of grantee of FTZ 155, submitted a B. Russell National School Lunch Act, 42 the zone to include Elmore County, notification of proposed production U.S.C. 1758, 1761, and 1762a, respectively. Idaho, as described in the application, activity to the FTZ Board on behalf of Dated: January 14, 2020. adjacent to the Boise, Idaho Customs Caterpillar, Inc., within FTZ 155, in Pamilyn Miller, and Border Protection port of entry; Victoria, Texas. Administrator, USDA Food and Nutrition Whereas, notice inviting public The notification was processed in Service. comment was given in the Federal accordance with the regulations of the [FR Doc. 2020–01607 Filed 1–29–20; 8:45 am] Register (84 FR 31021, June 28, 2019) FTZ Board (15 CFR part 400), including BILLING CODE 3410–30–P and the application has been processed notice in the Federal Register inviting pursuant to the FTZ Act and the Board’s public comment (84 FR 53673, October regulations; and 8, 2019). On January 27, 2020, the DEPARTMENT OF COMMERCE Whereas, the Board adopts the applicant was notified of the FTZ findings and recommendations of the Board’s decision that no further review Foreign-Trade Zones Board examiner’s report, and finds that the of the activity is warranted at this time. requirements of the FTZ Act and the The production activity described in the [Order No. 2092] Board’s regulations are satisfied; notification was authorized, subject to Now, therefore, the Board hereby the FTZ Act and the FTZ Board’s Reorganization of Foreign-Trade Zone orders: regulations, including Section 400.14. 280 (Expansion of Service Area) Under The application to reorganize FTZ 280 Alternative Site Framework, Caldwell, Dated: January 27, 2020. to expand the service area under the Idaho Andrew McGilvray, ASF is approved, subject to the FTZ Act Executive Secretary. Pursuant to its authority under the and the Board’s regulations, including [FR Doc. 2020–01726 Filed 1–29–20; 8:45 am] Foreign-Trade Zones Act of June 18, Section 400.13, and to the Board’s 1934, as amended (19 U.S.C. 81a–81u), standard 2,000-acre activation limit for BILLING CODE 3510–DS–P the Foreign-Trade Zones Board (the the zone. Board) adopts the following Order: Dated: January 24, 2020. DEPARTMENT OF COMMERCE Whereas, the Foreign-Trade Zones Jeffrey I. Kessler, (FTZ) Act provides for ‘‘. . . the Assistant Secretary for Enforcement and Foreign-Trade Zones Board establishment . . . of foreign-trade Compliance, Alternate Chairman Foreign- [B–03–2020] zones in ports of entry of the United Trade Zones Board. States, to expedite and encourage [FR Doc. 2020–01727 Filed 1–29–20; 8:45 am] Foreign-Trade Zone (FTZ) 90— foreign commerce, and for other BILLING CODE 3510–DS–P Syracuse, New York; Notification of purposes,’’ and authorizes the Board to Proposed Production Activity; PPC grant to qualified corporations the Broadband, Inc. (Hardline Coaxial privilege of establishing foreign-trade DEPARTMENT OF COMMERCE Cables); Dewitt, New York zones in or adjacent to U.S. Customs and Border Protection ports of entry; Foreign-Trade Zones Board PPC Broadband, Inc. (PPC Broadband) Whereas, the Board adopted the submitted a notification of proposed alternative site framework (ASF) (15 [B–61–2019] production activity to the FTZ Board for CFR Sec. 400.2(c)) as an option for the Foreign-Trade Zone (FTZ) 151— its facility in Dewitt, New York. The establishment or reorganization of Calhoun/Victoria Counties, Texas; notification conforming to the zones; Authorization of Production Activity; requirements of the regulations of the Whereas, the Southwest Idaho Caterpillar, Inc. (Tractors and Forestry FTZ Board (15 CFR 400.22) was Manufacturers’ Alliance, grantee of Machines); Victoria, Texas received on January 22, 2020. Foreign-Trade Zone 280, submitted an PPC Broadband already has authority application to the Board (FTZ Docket B– On September 27, 2019, the Calhoun/ to produce coaxial cable connectors 39–2019, docketed June 18, 2019) for Victoria Foreign Trade Zone, Inc., within FTZ 90. The current request
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would add a finished product and DEPARTMENT OF COMMERCE Memorandum is a public document and foreign status components to the scope is on file electronically via Enforcement of authority. Pursuant to 15 CFR International Trade Administration and Compliance’s Antidumping and 400.14(b), additional FTZ authority [A–122–864] Countervailing Duty Centralized would be limited to the specific foreign- Electronic Service System (ACCESS). status components and the specific Certain Fabricated Structural Steel ACCESS is available to registered users finished product described in the From Canada: Final Determination of at https://access.trade.gov, and it is submitted notification (as described Sales at Less Than Fair Value available to all parties in the Central Records Unit, room B8024 of the main below) and subsequently authorized by AGENCY: Enforcement and Compliance, the FTZ Board. Commerce building. In addition, a International Trade Administration, complete version of the Issues and Production under FTZ procedures Department of Commerce. Decision Memorandum can be accessed could exempt PPC Broadband from SUMMARY: The Department of Commerce directly at http://enforcement.trade.gov/ customs duty payments on the foreign- (Commerce) determines that certain frn/index.html. The signed and status components used in export fabricated structural steel (fabricated electronic versions of the Issues and production. On its domestic sales, for structural steel) from Canada is being, or Decision Memorandum are identical in the foreign-status components noted is likely to be, sold in the United States content. below and in the existing scope of at less than fair value (LTFV). The Scope of the Investigation authority, PPC Broadband would be able period of investigation (POI) is January to choose the duty rates during customs 1, 2018 through December 31, 2018. The The product covered by this entry procedures that apply to hardline final dumping margins of sales at LTFV investigation is fabricated structural coaxial cables, without connectors (duty are listed below in the ‘‘Final steel from Canada. For a complete rate—5.3%). PPC Broadband would be Determination’’ section of this notice. description of the scope of the able to avoid duty on foreign-status DATES: Applicable January 30, 2020. investigation, see Appendix I. components which become scrap/waste. FOR FURTHER INFORMATION CONTACT: Scope Comments Customs duties also could possibly be David Goldberger or Ajay Menon, AD/ In accordance with the preamble to deferred or reduced on foreign-status CVD Operations, Office II, Enforcement Commerce’s regulations,3 the Initiation production equipment. and Compliance, International Trade Notice set aside a period of time for Administration, U.S. Department of The components sourced from abroad parties to raise issues regarding product Commerce, 1401 Constitution Avenue include: Polyethylene jacket foam; coverage (i.e., scope).4 Certain interested NW, Washington, DC 20230; telephone: copper clad aluminum wire (10% parties commented on the scope of the (202) 482–4136 or (202) 482–1993, investigation as it appeared in the copper by area); aluminum tape; and, respectively. copper clad steel center conductors Initiation Notice. Commerce addressed (duty rate ranges from duty-free to SUPPLEMENTARY INFORMATION: these comments in the Preliminary Determination, wherein Commerce 6.5%). The request indicates that the Background components are subject to special duties preliminarily modified the scope On September 10, 2019, Commerce under Section 301 of the Trade Act of language. published the Preliminary In addition, certain interested parties 1974 (Section 301), depending on the Determination of sales at LTFV of commented on Commerce’s preliminary country of origin. The applicable fabricated structural steel from Canada, scope decisions. For a summary of the Section 301 decisions require subject in which we also postponed the final product coverage comments and merchandise to be admitted to FTZs in determination to January 23, 2020.1 The rebuttal comments submitted to the privileged foreign status (19 CFR petitioner in this investigation is the record for this final determination, and 146.41). American Institute of Steel Construction accompanying discussion and analysis Public comment is invited from Full Member Subgroup. The mandatory of all comments timely received, see the interested parties. Submissions shall be respondents in this investigation are Les Final Scope Decision Memorandum.5 addressed to the Board’s Executive Constructions Beauce-Atlas, Inc. Based on the comments received, Secretary and sent to: [email protected]. The (Beauce-Atlas) and Canatal Industries, Commerce is modifying the scope closing period for their receipt is March Inc. (Canatal). language as it appeared in the 10, 2020. A summary of the events that Preliminary Determination. See the occurred since Commerce published the revised scope in Appendix I to this A copy of the notification will be Preliminary Determination, as well as a notice. available for public inspection in the full discussion of the issues raised by ‘‘Reading Room’’ section of the Board’s parties for this final determination, are Analysis of Comments Received website, which is accessible via discussed in the Issues and Decision All issues raised in the case and www.trade.gov/ftz. Memorandum, which is hereby adopted rebuttal briefs by parties in this For further information, contact by this notice.2 The Issues and Decision investigation are addressed in the Issues Christopher Wedderburn at 3 [email protected] or (202) 1 See Certain Fabricated Structural Steel from See Antidumping Duties; Countervailing Duties, Canada: Preliminary Negative Determination of Final Rule, 62 FR 27296, 27323 (May 19, 1997). 482–1963. Sales at Less Than Fair Value and Postponement 4 See Certain Fabricated Structural Steel from Dated: January 23, 2020. of Final Determination, 84 FR 47481 (September 10, Canada, Mexico, and the People’s Republic of 2019) (Preliminary Determination), and China: Initiation of Less-Than-Fair-Value Andrew McGilvray, accompanying Preliminary Decision Memorandum. Investigations, 84 FR 7330 (March 4, 2019) Executive Secretary. 2 See Memorandum, ‘‘Issues and Decision (Initiation Notice). Memorandum for the Final Affirmative 5 See Memorandum, ‘‘Fabricated Structural Steel [FR Doc. 2020–01609 Filed 1–29–20; 8:45 am] Determination in the Less-Than-Fair-Value from Canada, Mexico, and the People’s Republic of BILLING CODE 3510–DS–P Investigation of Certain Fabricated Structural Steel China: Final Scope Decision Memorandum,’’ dated from Canada,’’ dated concurrently with this notice concurrently with, and hereby adopted by, this (Issues and Decision Memorandum). notice (Final Scope Decision Memorandum).
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and Decision Memorandum. A list of verification, we made certain changes to individually investigated, excluding any the issues raised is attached to this the margin calculations for Beauce-Atlas zero or de minimis margins, and notice as Appendix II. and Canatal. For a discussion of these margins determined entirely under changes, see the Issues and Decision Verification section 776 of the Act. Beauce-Atlas is Memorandum and the Final Calculation the only respondent for which As provided in section 782(i) of the Memoranda.7 Commerce calculated an estimated Tariff Act of 1930, as amended (the Act), weighted-average dumping margin that in September and October 2019, we In addition, we revised the margin is not zero, de minimis, or based conducted verifications of the sales and calculation for Canatal to reflect the cost information submitted by Beauce- application of partial facts available entirely on facts otherwise available. Atlas and Canatal for use in our final with an adverse inference pursuant to Therefore, for purposes of determining determination. We used standard section 776 of the Act. For a discussion the all-others rate, pursuant to section verification procedures, including an of this change, see Comment 11 of the 735(c)(5)(A) of the Act, we are using the examination of relevant accounting and Issues and Decision Memorandum. estimated weighted-average dumping production records, and original source All-Others Rate margin calculated for Beauce-Atlas, as documents provided by Beauce-Atlas referenced in the ‘‘Final Determination’’ and Canatal.6 Section 735(c)(5)(A) of the Act section below. provides that the estimated all-others Changes Since the Preliminary rate shall be an amount equal to the Final Determination Determination weighted average of the estimated The final estimated weighted-average Based on our analysis of the weighted-average dumping margins dumping margins are as follows: comments received and our findings at established for exporters and producers
Estimated weighted- Exporter/manufacturer average Cash deposit dumping rate 8 margin (percent)
Les Constructions Beauce-Atlas, Inc...... 6.70 6.70 Canatal Industries, Inc...... 0.00 0.00 All-Others ...... 6.70 6.70
Disclosure a cash deposit for such entries of International Trade Commission (ITC) Commerce intends to disclose the merchandise equal to the estimated Notification calculations performed in connection weighted-average dumping margin as follows: (1) The cash deposit rate for the In accordance with section 735(d) of with this final determination within five the Act, we will notify the ITC of the days of the date of publication of this respondents listed above will be equal final affirmative determination of sales notice to parties in this proceeding in to the respondent-specific estimated at LTFV. Because the final accordance with 19 CFR 351.224(b). weighted-average dumping margin determination in this proceeding is determined in this final determination; Suspension of Liquidation affirmative, in accordance with section (2) if the exporter is not a respondent 735(b)(3) of the Act, the ITC will make In accordance with section identified above but the producer is, its final determination as to whether the 735(c)(1)(B) and (C) of the Act, then the cash deposit rate will be equal domestic industry in the United States Commerce will instruct U.S. Customs to the respondent-specific estimated is materially injured, or threatened with and Border Protection (CBP) to suspend weighted-average dumping margin liquidation of all appropriate entries of material injury, by reason of imports of established for that producer of the fabricated structural steel from Canada fabricated structural steel from Canada, subject merchandise; and (3) the cash as described in Appendix I of this no later than 75 days after our final deposit rate for all other producers and notice, which were entered, or determination. If the ITC determines exporters will be equal to the all-others withdrawn from warehouse, for that material injury or threat of material consumption on or after the date of estimated weighted-average dumping injury does not exist, this proceeding publication of this notice in the Federal margin. These suspension of liquidation will be terminated and all cash deposits Register, other than entries of fabricated instructions will remain in effect until will be refunded. If the ITC determines structural steel produced and exported further notice. that such injury does exist, Commerce by Canatal, because its rate is zero. will issue an antidumping duty order Pursuant to section 735(c)(1)(B)(ii) of directing CBP to assess, upon further the Act, we will instruct CBP to require instruction by Commerce, antidumping
6 For discussion of our verification findings, see Canada,’’ dated November 5, 2019; and ‘‘Cost of Production and Constructed Value the following memoranda: Memorandum, Memorandum, ‘‘Verification of the Cost Response of Calculation Adjustments for the Final ‘‘Verification of the Sales Responses of Les Les Constructions Beauce-Atlas, Inc. in the Determination—Industries Canatal Inc.,’’ dated Constructions Beauce-Atlas,’’ dated October 18, Antidumping Duty Investigation of Fabricated concurrently with this notice (collectively Final Structural Steel from Canada,’’ dated November 5, 2019; Memorandum, ‘‘Verification of the Sales Calculation Memoranda). Responses of Canatal Industries, Inc.,’’ dated 2019. 8 October 22, 2019; Memorandum, ‘‘Verification of 7 See Memoranda, ‘‘Final Determination Margin Because Commerce is making a negative Canatal Steel USA Inc.,’’ dated November 4, 2019; Calculation for Beauce-Atlas;’’ ‘‘Cost of Production determination in the companion CVD investigation Memorandum, ‘‘Verification of the Cost Response of and Constructed Value Calculation Adjustments for of fabricated structural steel from Canada, we are Industries Canatal, Inc. in the Antidumping Duty the Final Determination—Beauce-Atlas;’’ ‘‘Final not adjusting the cash deposit rate for export Investigation of Fabricated Structural Steel from Determination Margin Calculation for Canatal;’’ and subsidies. See section 772(c)(1)(C) of the Act.
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duties on all imports of the subject fabricated structural steel does not remove sheet or formed coil steel, the whole of which merchandise entered, or withdrawn the fabricated structural steel from the scope. has been formed into a square or rectangle Fabricated structural steel is covered by the having a measurement of 24 inches on each from warehouse, for consumption on or ¥ after the effective date of the suspension scope of the investigation regardless of side +/ 0.1 inch; 24 inches by 30 inches +/ whether it is painted, varnished, or coated ¥ 0.1 inch; or 24 by 36 inches +/¥ 0.1 inch. of liquidation, as discussed above in the with plastics or other metallic or non- 8. Excluded from the investigation are the ‘‘Suspension of Liquidation’’ section. metallic substances and regardless of following types of steel poles, segments of Notification Regarding Administrative whether it is assembled or partially steel poles, and steel components of those assembled, such as into modules, poles: Protective Order modularized construction units, or sub- • Steel Electric Transmission Poles, or In the event that the ITC issues a final assemblies of fabricated structural steel. segments of such poles, that meet (1) the negative injury determination, this Subject merchandise includes fabricated American Society of Civil Engineers notice will serve as the only reminder structural steel that has been assembled or (ASCE)—Design of Steel Transmission Pole further processed in the subject country or a Structures, ASCE/SEI 48 or (2) the USDA to parties subject to the APO of their third country, including but not limited to RUS bulletin 1724E–214 Guide specification responsibility concerning the painting, varnishing, trimming, cutting, for standard class Steel Transmission Poles. destruction of proprietary information drilling, welding, joining, bolting, punching, The exclusion for steel electric transmission disclosed under APO in accordance bending, beveling, riveting, galvanizing, poles also encompasses the following with 19 CFR 351.305(a)(3). Timely coating, and/or slitting or any other components thereof: Transmission arms written notification of the return/ processing that would not otherwise remove which attach to poles; pole bases; angles that ″ ″ ″ destruction of APO materials or the merchandise from the scope of the do not exceed 8 x 8 x 0.75 ; steel vangs, conversion to judicial protective order is investigation if performed in the country of steel brackets, steel flanges, and steel caps; manufacture of the fabricated structural steel. safety climbing cables; ladders; and steel hereby requested. Failure to comply All products that meet the written physical templates. with the regulations and terms of an description of the merchandise covered by • Steel Electric Substation Poles, or APO is a violation which is subject to the investigation are within the scope of the segments of such poles, that meet the sanction. investigation unless specifically excluded or American Society of Civil Engineers covered by the scope of an existing (ASCE)—Manuals and Reports on Notification to Interested Parties antidumping duty order. Engineering Practice No. 113. The exclusion This determination and this notice are Specifically excluded from the scope of the for steel electric substation poles also issued and published pursuant to investigation are: encompasses the following components sections 735(d) and 777(i)(1) of the Act 1. Fabricated steel concrete reinforcing bar thereof: Substation dead end poles; (rebar) if: (i) It is a unitary piece of fabricated substation bus stands; substation mast poles, and 19 CFR 351.210(c). rebar, not joined, welded, or otherwise arms, and cross-arms; steel brackets, steel Dated: January 23, 2020. connected with any other steel product or flanges, and steel caps; pole bases; safety Jeffrey I. Kessler, part; or (ii) it is joined, welded, or otherwise climbing cables; ladders; and steel templates. connected only to other rebar. • Steel Electric Distribution Poles, or Assistant Secretary for Enforcement and 2. Fabricated structural steel for bridges segments of such poles, that meet (1) Compliance. and bridge sections that meets American American Society of Civil Engineers Appendix I Association of State and Highway and (ASCE)—Design of Steel Transmission Pole Transportation Officials (AASHTO) bridge Structures, ASCE/SEI 48, (2) USDA RUS Scope of the Investigation construction requirements or any state or bulletin 1724E–204 Guide specification for The merchandise covered by the local derivatives of the AASHTO bridge steel single pole and H-frame structures, or investigation is carbon and alloy fabricated construction requirements. (3) ANSI 05.1 height and class requirements structural steel. Fabricated structural steel is 3. Pre-engineered metal building systems, for steel poles. The exclusion for steel made from steel in which: (1) Iron which are defined as complete metal electric distribution poles also encompasses predominates, by weight, over each of the buildings that integrate steel framing, roofing the following components thereof: other contained elements; and (2) the carbon and walls to form one, pre-engineered Distribution arms and cross-arms; pole bases; content is two percent or less by weight. building system, that meet Metal Building angles that do not exceed 8″ x 8″ x 0.75″; Fabricated structural steel products are steel Manufacturers Association guide steel vangs, steel brackets, steel flanges, and products that have been fabricated for specifications. Pre-engineered metal building steel caps; safety climbing cables; ladders; erection or assembly into structures, systems are typically limited in height to no and steel templates. including, but not limited to, buildings more than 60 feet or two stories. • Steel Traffic Signal Poles, Steel Roadway (commercial, office, institutional, and multi- 4. Steel roof and floor decking systems that Lighting Poles, Steel Parking Lot Lighting family residential); industrial and utility meet Steel Deck Institute standards. Poles, and Steel Sports Lighting Poles, or projects; parking decks; arenas and 5. Open web steel bar joists and joist segments of such poles, that meet (1) the convention centers; medical facilities; and girders that meet Steel Joist Institute American Association of State Highway and ports, transportation and infrastructure specifications. Transportation Officials (AASHTO)— facilities. Fabricated structural steel is 6. Also excluded from the scope of the Specifications for Structural Supports for manufactured from carbon and alloy investigation is scaffolding, and parts and Highway Signs, Luminaires, and Traffic (including stainless) steel products such as accessories thereof, that comply with ANSI/ Signals, (2) any state or local derivatives of angles, columns, beams, girders, plates, ASSE A10.8–2011—Scaffolding Safety the AASHTO highway sign, luminaries, and flange shapes (including manufactured Requirements, and/or Occupational Safety traffic signals requirements, or (3) American structural shapes utilizing welded plates as a and Health Administration regulations at 29 National Standard Institute (ANSI) C136— substitute for rolled wide flange sections), CFR part 1926 subpart L—Scaffolds. The American National Standard for Roadway channels, hollow structural section (HSS) outside diameter of the scaffold tubing and Area Lighting Equipment standards. The shapes, base plates, and plate-work covered by this exclusion ranges from 25mm exclusion for steel traffic signal poles, steel components. Fabrication includes, but is not to 150mm. roadway lighting poles, steel parking lot limited to cutting, drilling, welding, joining, 7. Excluded from the scope of the lighting poles, and steel sports lighting poles bolting, bending, punching, pressure fitting, investigation are access flooring systems also encompasses the following components molding, grooving, adhesion, beveling, and panels and accessories, where such panels thereof: Luminaire arms; hand hole rims; riveting and may include items such as have a total thickness ranging from 0.75 hand hole covers; base plates that connect to fasteners, nuts, bolts, rivets, screws, hinges, inches to 1.75 inches and consist of concrete, either the shaft or the arms; mast arm clamps; or joints. wood, other non-steel materials, or hollow mast arm tie rods; transformer base boxes; The inclusion, attachment, joining, or space permanently attached to a top and formed full base covers that hide anchor assembly of non-steel components with bottom layer of galvanized or painted steel bolts; step lugs; internal cable guides;
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lighting cross arms; lighting service necessary to assemble the merchandise, Comment 13: Revisions to Canatal’s Data platforms; angles that do not exceed 8″ x 8″ including all steel components, all accessory Based on Commerce’s Verification x 0.75″; stainless steel hand hole door hinges parts (e.g., screws, bolts, washers, nails), and Findings and wind restraints; steel brackets, steel instructions providing guidance on the Comment 14: Calculation of Constructed flanges, and steel caps; safety climbing assembly of the finished merchandise or Value Selling Expenses and Profit cables; ladders; and steel templates. directions on where to find such instructions, VII. Recommendation • Communication Poles, or segments of are enclosed in retail packaging, such that an [FR Doc. 2020–01718 Filed 1–29–20; 8:45 am] such poles, that meet (1) end-use, retail consumer could assemble the BILLING CODE 3510–DS–P Telecommunications Industry Association completed product with no additional (TIA) ANSI/TIA–222 Structural Standards for components. The items may enter the United Steel Antenna Towers and Antenna States in one or in multiple retail packages Supporting Structures, or (2) American as long as all of the components are imported DEPARTMENT OF COMMERCE Association of State Highway and together. International Trade Administration Transportation Officials (AASHTO)— The products subject to the investigation Specifications for Structural Supports for are currently classified in the Harmonized [A–570–102] Highway Signs, Luminaires, and Traffic Tariff Schedule of the United States (HTSUS) Signals. The exclusion for communication under subheadings: 7308.90.3000, poles also encompasses the following Certain Fabricated Structural Steel 7308.90.6000, and 7308.90.9590. From the People’s Republic of China: components thereof: Luminaire arms; hand The products subject to the investigation hole rims; hand hole covers; base plate that may also enter under the following HTSUS Final Affirmative Determination of connects the pole to the foundation or arm subheadings: 7216.91.0010, 7216.91.0090, Sales at Less Than Fair Value to the pole; safety climbing cables; ladders; 7216.99.0010, 7216.99.0090, 7222.40.6000, AGENCY: Enforcement and Compliance, service ground platforms; step lugs; pole 7228.70.6000, 7301.10.0000, 7301.20.1000, steps; steel brackets, steel flanges, and steel International Trade Administration, ″ ″ 7301.20.5000, 7308.40.0000, 7308.90.9530, caps; angles that do not exceed 8 x 8 x and 9406.90.0030. Department of Commerce. 0.75″; coax, and safety brackets; The HTSUS subheadings above are SUMMARY: The Department of Commerce subcomponent kits for antenna mounts provided for convenience and customs weighing 80 lbs. or less; service platforms; (Commerce) determines that certain purposes only. The written description of the fabricated structural steel (fabricated ice bridges; stainless steel hand hole door scope of the investigation is dispositive. hinges and wind restraints; and steel structural steel) from the People’s templates. Appendix II Republic of China (China) is being, or is • OEM Round or Polygonal Tapered Steel likely to be, sold in the United States at Poles, segments or shaft components of such List of Topics Discussed in the Issues and less than fair value (LTFV). The period Decision Memorandum poles, that meet the (1) ASCE 48 or AASHTO, of investigation is July 1, 2018 through (2) ANSI/TIA 222, (3) ANSI 05.1, (4) RUS I. Summary December 31, 2018. The final dumping bulletin 1724E–204, or (5) RUS bulletin II. Background margins of sales at LTFV are listed 1724E–214. The exclusion for OEM round or III. Scope of the Investigation polygonal tapered steel poles also IV. Scope Comments below in the ‘‘Final Determination’’ encompasses the following components V. Changes Since the Preliminary section of this notice. thereof: Subcomponent kits for antenna Determination DATES: Applicable January 30, 2020. mounts weighing 80 lbs. or less; mounts and VI. Analysis of Comments FOR FURTHER INFORMATION CONTACT: platforms; steel brackets, steel flanges, and General Manuel Rey or Benjamin Luberda, AD/ steel caps; angles that do not exceed 8″ x 8″ Comment 1: Whether There Was Sufficient x 0.75″; bridge kits; safety climbing cables; Industry Support To Initiate This CVD Operations, Office II, Enforcement ladders; and steel templates. Investigation and Compliance, International Trade The inclusion or attachment of one or more Comment 2: Calculation of U.S. Price Administration, U.S. Department of of the above-referenced steel poles in a Comment 3: Revisions to the Fabricated Commerce, 1401 Constitution Avenue structure containing fabricated structural Structural Steel Ratio NW, Washington, DC 20230; telephone: steel does not remove the fabricated Comment 4: Whether To Deduct Use Taxes (202) 482–5518 or (202) 482–2185, structural steel from the scope of the From U.S. Price respectively. investigation. No language included in this Beauce-Atlas exclusion should be read or understood to Comment 5: Beauce-Atlas’ Reporting of the SUPPLEMENTARY INFORMATION: have applicability to any other aspect of this Substantial Completion Date for Certain Background scope or to have applicability to or to exclude Projects any product, part, or component other than Comment 6: Collapsing Beauce-Atlas’ On September 10, 2019, Commerce those specifically identified in the exclusion. Affiliate, Les Dessins de Structures published the Preliminary 9. Also excluded from the scope of the Steltec Determination of sales at LTFV of investigation are Shuttering, Formworks, Comment 7: Whether Commerce Double fabricated structural steel from China,1 Propping and Shoring and parts and Counted a Billing Adjustment in the in which we also postponed the final accessories thereof that comply with ANSI/ Preliminary Determination ASSE A10.9—Safety Requirements for Comment 8: Adjusting Revenue for One determination to January 23, 2020. The Concrete and Masonry Work and ACI–347— Home Market Project With a Delayed petitioner in this investigation is the Recommended Practice for Concrete Payment American Institute of Steel Construction Formwork. For Shoring and propping made Comment 9: Calculating General and Full Member Subgroup. The mandatory from tube, the outside diameter of the tubing Administrative Expenses and Interest respondents in this investigation are covered by this exclusion ranges from 48mm Expenses Based on the Revised Cost of Jinhuan Construction Group (JCG), to 250mm. For Shuttering and Formworks, Manufacturing Modern Heavy Industries (Taicang) Co., the panel sizes covered by this exclusion Canatal Ltd. (Modern Heavy), and Wison range from 25mm x 600mm to 3000mm x Comment 10: Treatment of All of Canatal’s 3000mm. U.S. Sales as Constructed Export Price 1 10. Also excluded from the scope of the Sales See Certain Fabricated Structural Steel from the investigation are consumer items for do-it- Comment 11: Canatal’s Further People’s Republic of China: Preliminary Determination of Sales at Less Than Fair Value and yourself assembly that are prepackaged for Manufacturing Costs for a Constructed Postponement of Final Determination, 84 FR 47491 retail sale. For the purposes of this exclusion, Export Price Sale (September 10, 2019) (Preliminary Determination) prepackaged for retail sale means that, at the Comment 12: Whether One U.S. Project is and accompanying Preliminary Decision time of importation, all components In-Scope Merchandise Memorandum.
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(Nantong) Heavy Industry Co. Ltd. record for this final determination, and companies entitled to a separate rate, (Wison).2 accompanying discussion and analysis and the China-wide entity. For a A summary of the events that of all comments timely received, see the discussion of these changes, see the occurred since Commerce published the Final Scope Decision Memorandum.6 Issues and Decision Memorandum and Preliminary Determination, as well as a Based on the comments received, the Final Calculation Memoranda.8 full discussion of the issues raised by Commerce is modifying the scope Adverse Facts Available the parties for this final determination language as it appeared in the are discussed in the Issues and Decision Preliminary Determination. See the In determining Modern Heavy’s Memorandum.3 The Issues and Decision revised scope in Appendix I of this dumping margin, we find that the Memorandum is a public document and notice. application of facts available is is on file electronically via Enforcement appropriate under sections 776(a)(2)(A) Analysis of Comments Received and Compliance’s Antidumping and through (D) of the Act because Modern Countervailing Duty Centralized All issues raised in the case and Heavy withheld information requested Electronic Service System (ACCESS). rebuttal briefs by parties in this by Commerce, did not submit requested ACCESS is available to registered users investigation are addressed in the Issues information by the established deadline at http://access.trade.gov, and is and Decision Memorandum. A list of in the form or manner requested, and available to all parties in the Central the issues raised is attached to this provided information that was unable to Records Unit, room B8024 of the main notice as Appendix II. be verified. Further, in toto, we find that these actions significantly impeded the Commerce building. In addition, a Verification complete version of the Issues and proceeding. Additionally, we find that As provided in section 782(i) of the Decision Memorandum can be accessed Modern Heavy did not cooperate to the Tariff Act of 1930, as amended (the Act), directly at http://enforcement.trade.gov/ best of its ability to comply with in September 2019, we conducted frn/index.html. The signed and Commerce’s requests for information, verifications of the sales and factors of electronic versions of the Issues and and thus, an adverse inference is production (FOP) data reported by JCG Decision Memorandum are identical in warranted in selecting from the facts and Wison. We used standard content. available, within the meaning of section verification procedures, including an 776(b) of the Act. Therefore, as AFA, we Scope of the Investigation examination of relevant accounting and have assigned Modern Heavy the The product covered by this production records, and original source highest transaction-specific dumping investigation is fabricated structural documents provided by JCG and Wison. margin calculated for Wison, which is steel from China. For a complete In addition, as provided in section 154.14 percent. For further discussion, description of the scope of this 782(i) of Act, in September 2019, we see the Issues and Decision investigation, see Appendix I. also attempted to verify the sales and Memorandum at ‘‘Use of Adverse Facts factors information submitted by Available’’ and Comment 12. Scope Comments Modern Heavy, using standard For the reasons explained in the In accordance with the preamble to verification procedures. However, as Preliminary Determination, we continue Commerce’s regulations,4 the Initiation explained in the Issues and Decision to find that the use of adverse facts Notice set aside a period of time for Memorandum, we were unable to available (AFA), pursuant to sections parties to raise issues regarding product validate the accuracy of Modern Heavy’s 776(a) and (b) of the Act, is warranted coverage (i.e., scope).5 Certain interested FOP reporting.7 As a consequence, we in determining the rate for the China- parties commented on the scope of the find that Modern Heavy’s reported FOP wide entity.9 In selecting the AFA rate investigation as it appeared in the data are unverifiable, and thus cannot for the China-wide entity, Commerce’s Initiation Notice. Commerce addressed serve as a reliable basis for reaching a practice is to select a rate that is these comments in the Preliminary determination in this investigation. For sufficiently adverse to ensure that the Determination, wherein Commerce further discussion, see the Issues and uncooperative party does not obtain a preliminarily modified the scope Decision Memorandum at Comment 12. more favorable result by failing to cooperate than if it had fully language. Changes Since the Preliminary cooperated.10 For the final In addition, certain interested parties Determination commented on Commerce’s preliminary determination, we are assigning the scope decisions. For a summary of the Based on our review and analysis of China-wide entity, as AFA, the highest product coverage comments and the comments received from parties, transaction-specific margin of 154.14 rebuttal comments submitted to the minor corrections presented at percent, which is for Wison. Because verification, and our verification this constitutes primary information, the 2 Consistent with our Preliminary Determination, findings, we made certain changes to statutory corroboration requirement in we are treating Wison (Nantong) Heavy Industry the antidumping duty margin Co., Ltd. and its affiliate Wison Offshore & Marine calculations for Modern Heavy, JCG, 8 See Memoranda, ‘‘Final Analysis Memorandum (Hong Kong) Limited, as a single-entity and Wison. As a result of the changes for JCG;’’ and ‘‘Final Analysis Memorandum for (collectively, Wison). to the respondents’ calculated rates, Wison,’’ dated concurrently with this notice 3 See Memorandum, ‘‘Issues and Decision (collectively, Final Calculation Memoranda). Memorandum for the Final Affirmative Commerce has revised the rate for those 9 The China-wide entity includes those Determination in the Less-Than-Fair-Value companies who did not submit a separate rate Investigation of Certain Fabricated Structural Steel 6 See Memorandum, ‘‘Fabricated Structural Steel application, and those companies Commerce from the People’s Republic of China,’’ dated from Canada, Mexico, and the People’s Republic of determined were ineligible to receive a separate concurrently with, and hereby adopted by, this China: Final Scope Decision Memorandum,’’ dated rate. notice (Issues and Decision Memorandum). concurrently with, and hereby adopted by, this 10 See, e.g., Notice of Preliminary Determination 4 See Antidumping Duties; Countervailing Duties, notice (Final Scope Decision Memorandum). of Sales at Less Than Fair Value and Postponement Final Rule, 62 FR 27296, 27323 (May 19, 1997). 7 For discussion of our verification findings, see of Final Determination: Purified Carboxymethyl 5 See Certain Fabricated Structural Steel from the Memorandum, ‘‘Verification of the Responses of Cellulose from Finland, 69 FR 77216 (December 27, Canada, Mexico, and the People’s Republic of Modern Heavy Industries (Taicang) Co., Ltd. in the 2004), unchanged in Notice of Final Determination China: Initiation of Less-Than-Fair-Value Less-Than-Fair-Value Investigation of Certain of Sales at Less Than Fair Value: Purified Investigations, 84 FR 7330, 7331 (March 4, 2019) Fabricated Structural Steel from the People’s Carboxymethyl Cellulose from Finland, 70 FR (Initiation Notice). Republic of China,’’ dated November 14, 2019. 28279 (May 17, 2005).
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section 776(c) of the Act does not apply. the estimated weighted-average separate rate, other than Modern Heavy, For further discussion, see the Issues dumping margins established for whose rate is based entirely on section and Decision Memorandum at ‘‘Use of exporters and producers individually 776 of the Act as discussed above. Adverse Facts Available.’’ investigated, excluding zero or de Combination Rates Separate Rates minimis margins, and any margins determined entirely under section 776 13 Commerce For the final determination, we In the Initiation Notice, of Act.11 In this proceeding, Commerce continue to find that JCG, Modern stated that it would calculate producer/ calculated above de minimis rates that Heavy, and Wison are eligible for exporter combination rates for the separate rates. Generally, Commerce are not based entirely on facts available respondents that are eligible for a looks to section 735(c)(5)(A) of the Act, for two mandatory respondents under separate rate in this investigation. For a which provides instructions for individual examination, i.e., JCG and list of the respondents that established calculating the all-others rate in an Wison. Thus, looking to section eligibility for their own separate rates investigation, for guidance when 735(c)(5)(A) of the Act for guidance, and and the exporter/producer combination calculating the rate for separate rate consistent with our practice,12 based on rates applicable to these respondents, respondents that we did not publicly ranged sales data, we are see Appendix III. individually examine. Section assigning the weighted-average of these Final Determination 735(c)(5)(A) of the Act states that the mandatory respondents’ rates as the rate estimated all-others rate shall be an for non-individually examined The final estimated weighted-average amount equal to the weighted average of companies that have qualified for a dumping margins are as follows:
Estimated Cash deposit weighted-aver- rate Exporter Producer age dumping (adjusted for margin subsidy offset) (percent) (percent)
Jinhuan Construction Group ...... Jinhuan Construction Group ...... 61.71 51.17 Modern Heavy Industries (Taicang) Co., Ltd ...... Modern Heavy Industries (Taicang) Co., Ltd ...... 154.14 143.60 Wison (Nantong) Heavy Industry Co., Ltd./Wison Off- Wison (Nantong) Heavy Industry Co., Ltd ...... 90.52 79.98 shore & Marine (Hong Kong) Limited. Non-Individually Examined Exporters Receiving Sepa- Producers Supplying the Non-Individually-Examined 72.19 61.65 rate Rates (see Appendix III). Exporters (see Appendix III). China-Wide Entity ...... China-Wide Entity ...... 154.14 143.60
Disclosure determination for domestic subsidy III; (2) for all combinations of exporters/ Commerce intends to disclose the pass-through or export subsidies, producers of merchandise under calculations performed in connection Commerce offsets the calculated consideration that have not received with this final determination within five estimated weighted-average dumping their own separate rate above or in days of the date of publication of this margin by the appropriate rate(s). In this Appendix III, the cash deposit rate will notice to parties in this proceeding in case, we have made a negative be the cash deposit rate established for accordance with 19 CFR 351.224(b). determination for domestic subsidy the China-wide entity; and (3) for all pass-through for all respondents, but non-Chinese exporters of the Continuation of Suspension of have also found export subsidies for all merchandise under consideration which Liquidation respondents. However, suspension of have not received their own separate In accordance with section liquidation for provisional measures in rate above, the cash deposit rate will be 735(c)(1)(B) of the Act, Commerce will the companion CVD case has been the cash deposit rate applicable to the instruct U.S. Customs and Border discontinued; therefore, we are not Chinese exporter/producer combination Protection (CBP) to suspend liquidation instructing CBP to collect cash deposits that supplied that non-Chinese exporter. of all appropriate entries of fabricated based upon the adjusted estimated These suspension of liquidation structural steel from JCG, Modern weighted-average dumping margin for instructions will remain in effect until Heavy, Wison, the separate rates those export subsidies at this time. further notice. companies, and the China-wide entity. In addition, pursuant to section International Trade Commission To determine the cash deposit rate, 735(c)(1)(B)(ii) of the Act, Commerce Notification Commerce normally adjusts the will instruct CBP to require a cash estimated weighted-average dumping deposit equal to the weighted-average In accordance with section 735(d) of margin by the amount of domestic amount by which NV exceeds U.S. price the Act, we will notify the International subsidy pass-through and export as follows: (1) The cash deposit rate for Trade Commission (ITC) of our subsidies determined in a companion the exporter/producer combination determination. Because the final CVD proceeding when CVD provisional listed in the table above or in Appendix determination in this proceeding is measures are in effect. Accordingly, III will be the rate identified for that affirmative, in accordance with section where Commerce makes an affirmative combination in that table or Appendix 735(b)(2) of the Act, the ITC will make
11 See, e.g., Ball Bearings and Parts Thereof from 12 See, e.g., Preliminary Determination of Sales at Determination of Critical Circumstances: Certain France, Germany, Italy, Japan, and the United Less Than Fair Value and Partial Affirmative Polyester Staple Fiber from the People’s Republic of Kingdom: Final Results of Antidumping Duty Determination of Critical Circumstances: Certain China, 72 FR 19690 (April 19, 2007). Administrative Reviews and Rescission of Reviews Polyester Staple Fiber from the People’s Republic of 13 See Initiation Notice, 84 FR 7330, 7335. in Part, 73 FR 52823, 52824 (September 11, 2008), China, 71 FR 77373, 77377 (December 26, 2006), and accompanying Issues and Decision unchanged in Final Determination of Sales at Less Memorandum at Comment 16. Than Fair Value and Partial Affirmative
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its final determination as to whether the facilities. Fabricated structural steel is 6. Also excluded from the scope of the domestic industry in the United States manufactured from carbon and alloy investigation is scaffolding, and parts and is materially injured, or threatened with (including stainless) steel products such as accessories thereof, that comply with ANSI/ material injury, by reason of imports of angles, columns, beams, girders, plates, ASSE A10.8—2011—Scaffolding Safety flange shapes (including manufactured Requirements, and/or Occupational Safety fabricated structural steel from China no structural shapes utilizing welded plates as a and Health Administration regulations at 29 later than 45 days after our final substitute for rolled wide flange sections), CFR part 1926 subpart L—Scaffolds. The determination. If the ITC determines channels, hollow structural section (HSS) outside diameter of the scaffold tubing that material injury or threat of material shapes, base plates, and plate-work covered by this exclusion ranges from 25mm injury does not exist, the proceeding components. Fabrication includes, but is not to 150mm. will be terminated and all cash deposits limited to cutting, drilling, welding, joining, 7. Excluded from the scope of the will be refunded. If the ITC determines bolting, bending, punching, pressure fitting, investigation are access flooring systems that such injury does exist, Commerce molding, grooving, adhesion, beveling, and panels and accessories, where such panels riveting and may include items such as have a total thickness ranging from 0.75 will issue an antidumping duty order fasteners, nuts, bolts, rivets, screws, hinges, inches to 1.75 inches and consist of concrete, directing CBP to assess, upon further or joints. wood, other non-steel materials, or hollow instruction by Commerce, antidumping The inclusion, attachment, joining, or space permanently attached to a top and duties on all imports of the subject assembly of non-steel components with bottom layer of galvanized or painted steel merchandise entered, or withdrawn fabricated structural steel does not remove sheet or formed coil steel, the whole of which from warehouse, for consumption on or the fabricated structural steel from the scope. has been formed into a square or rectangle Fabricated structural steel is covered by the having a measurement of 24 inches on each after the effective date of the suspension ± ± of liquidation, as discussed above in the scope of the investigation regardless of side 0.1 inch; 24 inches by 30 inches 0.1 whether it is painted, varnished, or coated inch; or 24 by 36 inches ± 0.1 inch. ‘‘Continuation of Suspension of with plastics or other metallic or non- 8. Excluded from the investigation are the Liquidation’’ section. metallic substances and regardless of following types of steel poles, segments of Notification Regarding Administrative whether it is assembled or partially steel poles, and steel components of those Protective Orders assembled, such as into modules, poles: modularized construction units, or sub- • Steel Electric Transmission Poles, or In the event that the ITC issues a final assemblies of fabricated structural steel. segments of such poles, that meet (1) the negative injury determination, this Subject merchandise includes fabricated American Society of Civil Engineers notice will serve as the only reminder structural steel that has been assembled or (ASCE)—Design of Steel Transmission Pole to parties subject to an administrative further processed in the subject country or a Structures, ASCE/SEI 48 or (2) the USDA protective order (APO) of their third country, including but not limited to RUS bulletin 1724E–214 Guide specification responsibility concerning the painting, varnishing, trimming, cutting, for standard class Steel Transmission Poles. drilling, welding, joining, bolting, punching, The exclusion for steel electric transmission destruction of proprietary information bending, beveling, riveting, galvanizing, poles also encompasses the following disclosed under APO in accordance coating, and/or slitting or any other components thereof: Transmission arms with 19 CFR 351.305(a)(3). Timely processing that would not otherwise remove which attach to poles; pole bases; angles that written notification of the return/ the merchandise from the scope of the do not exceed 8″ x 8″ x 0.75″; steel vangs, destruction of APO materials or investigation if performed in the country of steel brackets, steel flanges, and steel caps; conversion to judicial protective order is manufacture of the fabricated structural steel. safety climbing cables; ladders; and steel hereby requested. Failure to comply All products that meet the written physical templates. • with the regulations and terms of an description of the merchandise covered by Steel Electric Substation Poles, or APO is a violation which is subject to the investigation are within the scope of the segments of such poles, that meet the investigation unless specifically excluded or American Society of Civil Engineers sanction. covered by the scope of an existing (ASCE)—Manuals and Reports on Notification to Interested Parties antidumping duty order. Engineering Practice No. 113. The exclusion Specifically excluded from the scope of the for steel electric substation poles also This determination is issued and investigation are: encompasses the following components published in accordance with sections 1. Fabricated steel concrete reinforcing bar thereof: Substation dead end poles; 735(d) and 777(i)(1) of the Act, and 19 (rebar) if: (i) It is a unitary piece of fabricated substation bus stands; substation mast poles, CFR 351.210(c). rebar, not joined, welded, or otherwise arms, and cross-arms; steel brackets, steel Dated: January 23, 2020. connected with any other steel product or flanges, and steel caps; pole bases; safety part; or (ii) it is joined, welded, or otherwise climbing cables; ladders; and steel templates. Jeffrey I. Kessler, connected only to other rebar. • Steel Electric Distribution Poles, or Assistant Secretary for Enforcement and 2. Fabricated structural steel for bridges segments of such poles, that meet (1) Compliance. and bridge sections that meets American American Society of Civil Engineers Appendix I Association of State and Highway and (ASCE)—Design of Steel Transmission Pole Transportation Officials (AASHTO) bridge Structures, ASCE/SEI 48, (2) USDA RUS Scope of the Investigation construction requirements or any state or bulletin 1724E–204 Guide specification for The merchandise covered by the local derivatives of the AASHTO bridge steel single pole and H-frame structures, or investigation is carbon and alloy fabricated construction requirements. (3) ANSI 05.1 height and class requirements structural steel. Fabricated structural steel is 3. Pre-engineered metal building systems, for steel poles. The exclusion for steel made from steel in which: (1) Iron which are defined as complete metal electric distribution poles also encompasses predominates, by weight, over each of the buildings that integrate steel framing, roofing the following components thereof: other contained elements; and (2) the carbon and walls to form one, pre-engineered Distribution arms and cross-arms; pole bases; content is two percent or less by weight. building system, that meet Metal Building angles that do not exceed 8″ x 8″ x 0.75″; Fabricated structural steel products are steel Manufacturers Association guide steel vangs, steel brackets, steel flanges, and products that have been fabricated for specifications. Pre-engineered metal building steel caps; safety climbing cables; ladders; erection or assembly into structures, systems are typically limited in height to no and steel templates. including, but not limited to, buildings more than 60 feet or two stories. • Steel Traffic Signal Poles, Steel Roadway (commercial, office, institutional, and multi- 4. Steel roof and floor decking systems that Lighting Poles, Steel Parking Lot Lighting family residential); industrial and utility meet Steel Deck Institute standards. Poles, and Steel Sports Lighting Poles, or projects; parking decks; arenas and 5. Open web steel bar joists and joist segments of such poles, that meet (1) the convention centers; medical facilities; and girders that meet Steel Joist Institute American Association of State Highway and ports, transportation and infrastructure specifications. Transportation Officials (AASHTO)—
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Specifications for Structural Supports for platforms; steel brackets, steel flanges, and The HTSUS subheadings above are Highway Signs, Luminaires, and Traffic steel caps; angles that do not exceed 8″ x 8″ provided for convenience and customs Signals, (2) any state or local derivatives of x 0.75″; bridge kits; safety climbing cables; purposes only. The written description of the the AASHTO highway sign, luminaries, and ladders; and steel templates. scope of the investigation is dispositive. traffic signals requirements, or (3) American The inclusion or attachment of one or more National Standard Institute (ANSI) C136— of the above-referenced steel poles in a Appendix II American National Standard for Roadway structure containing fabricated structural List of Topics Discussed in the Issues and and Area Lighting Equipment standards. The steel does not remove the fabricated Decision Memorandum exclusion for steel traffic signal poles, steel structural steel from the scope of the roadway lighting poles, steel parking lot investigation. No language included in this I. Summary lighting poles, and steel sports lighting poles exclusion should be read or understood to II. Background also encompasses the following components have applicability to any other aspect of this III. Scope of the Investigation thereof: Luminaire arms; hand hole rims; scope or to have applicability to or to exclude IV. Scope Comments hand hole covers; base plates that connect to any product, part, or component other than V. Use of Adverse Facts Available either the shaft or the arms; mast arm clamps; those specifically identified in the exclusion. VI. Changes Since the Preliminary mast arm tie rods; transformer base boxes; 9. Also excluded from the scope of the Determination formed full base covers that hide anchor investigation are Shuttering, Formworks, VII. Adjustment Under Section 777A(f) of the bolts; step lugs; internal cable guides; Propping and Shoring and parts and Act accessories thereof that comply with ANSI/ lighting cross arms; lighting service VIII. Adjustments to Cash Deposit Rates for ″ ″ ASSE A10.9—Safety Requirements for platforms; angles that do not exceed 8 x 8 Export Subsidies x 0.75″; stainless steel hand hole door hinges Concrete and Masonry Work and ACI–347— Recommended Practice for Concrete IX. Discussion of the Issues and wind restraints; steel brackets, steel General Comments flanges, and steel caps; safety climbing Formwork. For Shoring and propping made Comment 1: Value Added Tax cables; ladders; and steel templates. from tube, the outside diameter of the tubing Surrogate Values • Communication Poles, or segments of covered by this exclusion ranges from 48mm Comment 2: Surrogate Country such poles, that meet (1) to 250mm. For Shuttering and Formworks, Telecommunications Industry Association the panel sizes covered by this exclusion Comment 3: Surrogate Value for Ocean (TIA) ANSI/TIA–222 Structural Standards for range from 25mm X 600mm to 3000mm X Freight Steel Antenna Towers and Antenna 3000mm. Comment 4: Surrogate Value for Truck Supporting Structures, or (2) American 10. Also excluded from the scope of the Freight Association of State Highway and investigation are consumer items for do-it- Comment 5: Surrogate Value for Timber Transportation Officials (AASHTO)— yourself assembly that are prepackaged for Comment 6: Surrogate Value for JCG’s Specifications for Structural Supports for retail sale. For the purposes of this exclusion, Market Economy Input prepackaged for retail sale means that, at the Highway Signs, Luminaires, and Traffic Comment 7: Surrogate Value for Angle and time of importation, all components Signals. The exclusion for communication Channel Steel necessary to assemble the merchandise, poles also encompasses the following Comment 8: Surrogate Value for Steel including all steel components, all accessory components thereof: Luminaire arms; hand Grating, Steel Skirting Board parts (e.g., screws, bolts, washers, nails), and Comment 9: Surrogate Value for Wison’s hole rims; hand hole covers; base plate that instructions providing guidance on the Packing Input connects the pole to the foundation or arm assembly of the finished merchandise or to the pole; safety climbing cables; ladders; directions on where to find such instructions, Comment 10: Selling and Distribution service ground platforms; step lugs; pole are enclosed in retail packaging, such that an Expenses steps; steel brackets, steel flanges, and steel Company-Specific Comments ″ ″ end-use, retail consumer could assemble the caps; angles that do not exceed 8 x 8 x completed product with no additional Comment 11: JCG’s U.S. Sale Classification ″ 0.75 ; coax, and safety brackets; components. The items may enter the United Comment 12: Modern Heavy’s Verification subcomponent kits for antenna mounts States in one or in multiple retail packages Failures weighing 80 lbs. or less; service platforms; as long as all of the components are imported Comment 13: Modern Heavy’s Moot ice bridges; stainless steel hand hole door together. Arguments hinges and wind restraints; and steel The products subject to the investigation Comment 14: Wison’s Galvanizing Costs templates. are currently classified in the Harmonized Comment 15: Wison’s Further • OEM Round or Polygonal Tapered Steel Tariff Schedule of the United States (HTSUS) Manufacturing Costs Poles, segments or shaft components of such under subheadings: 7308.90.3000, Comment 16: Wison’s Further poles, that meet the (1) ASCE 48 or AASHTO, 7308.90.6000, and 7308.90.9590. Manufacturing General and (2) ANSI/TIA 222, (3) ANSI 05.1, (4) RUS The products subject to the investigation Administrative Expenses bulletin 1724E–204, or (5) RUS bulletin may also enter under the following HTSUS Comment 17: Wison’s Steel Scrap Offset 1724E–214. The exclusion for OEM round or subheadings: 7216.91.0010, 7216.91.0090, Comment 18: United Steel Structures Ltd.’s polygonal tapered steel poles also 7216.99.0010, 7216.99.0090, 7222.40.6000, Separate Rate encompasses the following components 7228.70.6000, 7301.10.0000, 7301.20.1000, X. Recommendation thereof: Subcomponent kits for antenna 7301.20.5000, 7308.40.0000, 7308.90.9530, mounts weighing 80 lbs. or less; mounts and and 9406.90.0030. Appendix III
SEPARATE RATE COMPANIES
Exporter Producer Non-individually examined exporters receiving separate rates Producers supplying the non-individually-examined exporters
Beijing Chengdong International Modular Housing Corporation ...... Beijing Chengdong International Modular Housing Corporation. Brantingham & Carroll International Ltd. AKA BCI Engineering ...... Suzhou Baojia New Energy Technology Co., Ltd. Brantingham & Carroll International Ltd. AKA BCI Engineering ...... Suzhou Unique Precision Technology Co., Ltd. Brantingham & Carroll International Ltd. AKA BCI Engineering ...... Yueqing Yihua New Energy Technology Co., Ltd. Shanghai Shuangyan Chemical Equipment Manufacturing Co., Ltd ...... Shanghai Shuangyan Chemical Equipment Manufacturing Co., Ltd. Shandhai Yanda Engineering Co., Ltd ...... Shandhai Yanda Engineering Co., Ltd. WAP Intelligence Storage Equipment (Shanghai) Corp., Ltd ...... WAP Intelligence Storage Equipment (Shanghai) Corp., Ltd. Wuxi Hengtong Metal Framing System Co., Ltd ...... Wuxi Hengtong Metal Framing System Co., Ltd. Wuxi Huishan Metalwork Technology Co., Ltd ...... Wuxi Huishan Metalwork Technology Co., Ltd.
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SEPARATE RATE COMPANIES—Continued
Exporter Producer Non-individually examined exporters receiving separate rates Producers supplying the non-individually-examined exporters
Yanda (Haimen) Heavy Equipment Manufacturing Co., Ltd ...... Yanda (Haimen) Heavy Equipment Manufacturing Co., Ltd.
[FR Doc. 2020–01720 Filed 1–29–20; 8:45 am] Memorandum, which is hereby adopted Final Scope Decision Memorandum.5 BILLING CODE 3510–DS–P by this notice.2 The Issues and Decision Based on the comments received, Memorandum is a public document and Commerce is modifying the scope is on file electronically via Enforcement language as it appeared in the DEPARTMENT OF COMMERCE and Compliance’s Antidumping and Preliminary Determination. See the Countervailing Duty Centralized revised scope in Appendix I to this International Trade Administration Electronic Service System (ACCESS). notice. [C–201–851] ACCESS is available to registered users at https://access.trade.gov and is Analysis of Subsidy Programs and Certain Fabricated Structural Steel available to all parties in the Central Comments Received From Mexico: Final Affirmative Records Unit, room B8024 of the main The subsidy programs under Countervailing Duty Determination Commerce building. In addition, a investigation and the issues raised in complete version of the Issues and AGENCY: Enforcement and Compliance, the case and rebuttal briefs by parties in Decision Memorandum can be accessed this investigation are discussed in the International Trade Administration, directly at http://enforcement.trade.gov/ Department of Commerce. Issues and Decision Memorandum. A frn/index.html. The signed Issues and list of the issues that parties raised is SUMMARY: The Department of Commerce Decision Memorandum and the attached to this notice as Appendix II. (Commerce) determines that electronic version of the Issues and countervailable subsidies are being Decision Memorandum are identical in Methodology provided to producers and exporters of content. Commerce conducted this certain fabricated structural steel investigation in accordance with section (fabricated structural steel) from Scope of the Investigation 701 of the Tariff Act of 1930, as Mexico. The period of investigation is The products covered by this amended (the Act). For each of the January 1, 2018 through December 31, investigation is fabricated structural subsidy programs found 2018. steel from Mexico. For a complete countervailable, Commerce determines description of the scope of the DATES: Applicable January 30, 2020. that there is a subsidy, i.e., a financial investigation, see Appendix I. FOR FURTHER INFORMATION CONTACT: contribution by an ‘‘authority’’ that Maliha Khan, AD/CVD Operations, Scope Comments gives rise to a benefit to the recipient, 6 Office IV, Enforcement and Compliance, In accordance with the preamble to and that the subsidy is specific. For a International Trade Administration, Commerce’s regulations,3 the Initiation full description of the methodology U.S. Department of Commerce, 1401 Notice set aside a period of time for underlying our final determination, see Constitution Avenue NW, Washington, parties to raise issues regarding product the Issues and Decision Memorandum. DC 20230; telephone: (202) 482–0895. coverage (i.e., scope).4 Certain interested Use of Adverse Facts Available (AFA) SUPPLEMENTARY INFORMATION: parties commented on the scope of the For purposes of this final Background investigation as it appeared in the Initiation Notice. Commerce addressed determination, we relied on facts On July 12, 2019, Commerce these comments in the Preliminary available, and because certain published the Preliminary Determination, wherein Commerce respondents did not act to the best of 1 Determination. The petitioner in this preliminarily modified the scope their ability in responding to investigation is the American Institute language. Commerce’s requests for information, of Steel Construction Full Member In addition, certain interested parties we drew an adverse inference, where Subgroup. In addition to the commented on Commerce’s preliminary appropriate, in selecting from among the Government of Mexico (GOM), the scope decisions. For a summary of the facts otherwise available in accordance mandatory respondents in this product coverage comments and with sections 776(a) and (b) of the Act.7 investigation are Building Systems de rebuttal comments submitted to the A full discussion of our decision to rely Mexico, S.A. de C.V. (BSM) and Corey record for this final determination, and on adverse facts available is presented S.A. de C.V. (Corey). accompanying discussion and analysis in the ‘‘Use of Facts Otherwise A summary of the events that of all comments timely received, see the Available and Adverse Inferences’’ occurred since Commerce published the section of the Issues and Decision Preliminary Determination, as well as a 2 See Memorandum, ‘‘Issues and Decision Memorandum. full discussion of the issues raised by Memorandum for the Final Determination in the parties for this final determination, are Countervailing Duty Investigation of Certain Fabricated Structural Steel from Mexico,’’ dated 5 See Memorandum, ‘‘Fabricated Structural Steel discussed in the Issues and Decision concurrently with, and hereby adopted by, this from Canada, Mexico, and the People’s Republic of notice (Issues and Decision Memorandum). China: Final Scope Decision Memorandum,’’ dated 1 See Certain Fabricated Structural Steel from 3 See Antidumping Duties; Countervailing Duties, concurrently with, and hereby adopted by, this Mexico: Preliminary Affirmative Countervailing Final Rule, 62 FR 27296, 27323 (May 19, 1997). notice (Final Scope Decision Memorandum). Duty Determination, and Alignment of Final 4 See Certain Fabricated Structural Steel from 6 See sections 771(5)(B) and (D) of the Act Determination with Final Antidumping Duty Canada, Mexico, and the People’s Republic of regarding financial contribution; section 771(5)(E) Determination, 84 FR 33227 (July 12, 2019). China: Initiation of Less-Than-Fair-Value of the Act regarding benefit; and section 771(5A) of (Preliminary Determination), and accompanying Investigations, 84 FR 7330, 7331 (March 4, 2019) the Act regarding specificity. Preliminary Decision Memorandum. (Initiation Notice). 7 See sections 776(a) and (b) of the Act.
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Verification duties deposited or securities posted as Company Subsidy rate As provided in section 782(i) of the (percent) a result of the suspension of liquidation will be refunded or canceled. Act, in August 2019, Commerce verified Building Systems de Mexico, the subsidy information reported by S.A. de C.V ...... 0.01 ITC Notification BSM, Corey, and the GOM. We used 9 Corey S.A. de C.V...... 13.62 In accordance with section 705(d) of standard verification procedures, Acero Technologia, S.A. de the Act, we will notify the ITC of our including an examination of relevant C.V ...... 68.87 determination. Because the final accounting records and original source Construcciones Industriales determination in this proceeding is documents provided by the Tapia S.A. de C.V ...... 68.87 respondents.8 Estructuras Metalicas la Pop- affirmative, in accordance with section ular S.A. de C.V./MSCI ..... 68.87 705(b) of the Act, the ITC will make its Changes Since the Preliminary Operadora CICSA, S. A. de final determination as to whether the Determination C. V. Swecomex—Guada- domestic industry in the United States lajara ...... 68.87 Based on our review and analysis of is materially injured, or threatened with Preacero Pellizzari Mexico material injury, by reason of imports of the comments received from parties, we S.A. de C.V ...... 68.87 made certain changes to Commerce’s All Others ...... 13.62 fabricated structural steel from China no application of adverse facts available to later than 45 days after our final certain companies. For a discussion of Disclosure determination. If the ITC determines these changes, see the Issues and that material injury or threat of material Decision Memorandum. Commerce intends to disclose the injury does not exist, the proceeding calculations performed in connection will be terminated and all cash deposits Final Determination with this final determination within five will be refunded. If the ITC determines In accordance with section days of the date of publication of this that such injury does exist, Commerce 705(c)(1)(B)(i)(I) of the Act, we notice to parties in this proceeding in will issue a CVD order directing CBP to calculated individual estimated accordance with 19 CFR 351.224(b). assess, upon further instruction by countervailable subsidy rates for BSM Continuation of Suspension of Commerce, countervailing duties on all and Corey and established subsidy rates Liquidation imports of the subject merchandise for the 5 companies that failed to entered, or withdrawn from warehouse, As a result of our Preliminary respond to Commerce’s quantity and for consumption on or after the effective Determination, and pursuant to sections value questionnaire by applying AFA. 703(d)(1)(B) and (d)(2) of the Act, date of the suspension of liquidation, as Section 705(c)(5)(A)(i) of the Act states Commerce instructed U.S. Customs and discussed above in the ‘‘Continuation of that, for companies not individually Border Protection (CBP) to suspend Suspension of Liquidation’’ section. investigated, Commerce will determine liquidation of entries of subject Notification Regarding Administrative an all-others rate equal to the weighted- merchandise, as described in the scope Protective Orders average countervailable subsidy rates of the investigation section, that was established for exporters and producers In the event the ITC issues a final entered or withdrawn from warehouse negative injury determination, this individually examined, excluding any for consumption on or after July 12, zero and de minimis countervailable notice serves as the only reminder to 2019, the date of publication of the parties subject to an APO of their subsidy rates, and any rates determined Preliminary Determination in the responsibility concerning the entirely under section 776 of the Act. Federal Register. In accordance with In this investigation, Commerce has destruction of proprietary information section 703(d) of the Act, we issued disclosed under APO in accordance found a de minimis rate for mandatory instructions to CBP to discontinue the with 19 CFR 351.305(a)(3). Timely respondent BSM. Therefore, the only suspension of liquidation for written notification of the return or rate that is not zero, de minimis or based countervailing duty (CVD) purposes for destruction of APO materials, or entirely on facts otherwise available for subject merchandise entered, or conversion to judicial protective order, exporters or producers individually withdrawn from warehouse, on or after is hereby requested. Failure to comply examined is the rate calculated for November 9, 2019 but to continue the with the regulations and terms of an Corey. Consequently, the rate calculated suspension of liquidation of all entries APO is a violation subject to sanction. for Corey is also assigned as the rate for from July 12, 2019 through November 8, all other producers and exporters. 2019. Notification to Interested Parties Commerce determines the total If the U.S. International Trade This determination is issued and estimated net countervailable subsidy Commission (ITC) issues a final rates to be the following: published pursuant to sections 705(d) affirmative injury determination, we and 777(i) of the Act and 19 CFR will issue a CVD order, reinstate the 8 See Memoranda, ‘‘Countervailing Duty 351.210(c). suspension of liquidation under section Investigation of Certain Fabricated Structural Steel Dated: January 23, 2020. from Mexico: Verification of the Questionnaire 706(a) of the Act, and will require a cash Responses of Building Systems de Mexico S.A. de deposit of estimated countervailing Jeffrey I. Kessler, C.V.,’’ dated September 6, 2019; ‘‘Countervailing duties for such entries of subject Assistant Secretary for Enforcement and Duty Investigation of Certain Fabricated Structural Compliance. Steel from Mexico: Verification of the merchandise in the amounts indicated Questionnaire Responses of Corey S.A. de C.V.,’’ above. If the ITC determines that Appendix I dated September 26, 2019; and ‘‘Countervailing material injury, or threat of material Duty Investigation of Certain Fabricated Structural injury, does not exist, this proceeding Scope of the Investigation Steel from Mexico: Verification of the The merchandise covered by the Questionnaire Responses of the Government of will be terminated and all estimated Mexico,’’ dated September 10, 2019. investigation is carbon and alloy fabricated 9 As discussed in the Preliminary Decision 6190, S.A. de C.V; Servicios Integrales Corey, S.A. structural steel. Fabricated structural steel is Memorandum, Commerce has found the following de C.V.; Servicios Te´cnicos Corey, S.A. de C.V.; made from steel in which: (1) Iron companies to be cross-owned with Corey: Estructuras de Acero CVGS, S.A. de C.V.; and predominates, by weight, over each of the Inversiones de Jalisco, S.A. de C.V.; Aceros Corey, Operadora Industrial El Salto, S.A. de C.V. See other contained elements; and (2) the carbon S.A.P.I. de C.V.; Industrias Recal, S.A. de C.V.; Preliminary Decision Memorandum at 15. content is two percent or less by weight.
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Fabricated structural steel products are steel Manufacturers Association guide steel vangs, steel brackets, steel flanges, and products that have been fabricated for specifications. Pre-engineered metal building steel caps; safety climbing cables; ladders; erection or assembly into structures, systems are typically limited in height to no and steel templates. including, but not limited to, buildings more than 60 feet or two stories. • Steel Traffic Signal Poles, Steel Roadway (commercial, office, institutional, and multi- 4. Steel roof and floor decking systems that Lighting Poles, Steel Parking Lot Lighting family residential); industrial and utility meet Steel Deck Institute standards. Poles, and Steel Sports Lighting Poles, or projects; parking decks; arenas and 5. Open web steel bar joists and joist segments of such poles, that meet (1) the convention centers; medical facilities; and girders that meet Steel Joist Institute American Association of State Highway and ports, transportation and infrastructure specifications. Transportation Officials (AASHTO)— facilities. Fabricated structural steel is 6. Also excluded from the scope of the Specifications for Structural Supports for manufactured from carbon and alloy investigation is scaffolding, and parts and Highway Signs, Luminaires, and Traffic (including stainless) steel products such as accessories thereof, that comply with ANSI/ Signals, (2) any state or local derivatives of angles, columns, beams, girders, plates, ASSE A10.8—2011—Scaffolding Safety the AASHTO highway sign, luminaries, and flange shapes (including manufactured Requirements, and/or Occupational Safety traffic signals requirements, or (3) American structural shapes utilizing welded plates as a and Health Administration regulations at 29 National Standard Institute (ANSI) C136— substitute for rolled wide flange sections), CFR part 1926 subpart L—Scaffolds. The American National Standard for Roadway channels, hollow structural section (HSS) outside diameter of the scaffold tubing and Area Lighting Equipment standards. The shapes, base plates, and plate-work covered by this exclusion ranges from 25mm exclusion for steel traffic signal poles, steel components. Fabrication includes, but is not to 150mm. roadway lighting poles, steel parking lot limited to cutting, drilling, welding, joining, 7. Excluded from the scope of the lighting poles, and steel sports lighting poles bolting, bending, punching, pressure fitting, investigation are access flooring systems also encompasses the following components molding, grooving, adhesion, beveling, and panels and accessories, where such panels thereof: Luminaire arms; hand hole rims; riveting and may include items such as have a total thickness ranging from 0.75 hand hole covers; base plates that connect to fasteners, nuts, bolts, rivets, screws, hinges, inches to 1.75 inches and consist of concrete, either the shaft or the arms; mast arm clamps; or joints. wood, other non-steel materials, or hollow mast arm tie rods; transformer base boxes; The inclusion, attachment, joining, or space permanently attached to a top and formed full base covers that hide anchor assembly of non-steel components with bottom layer of galvanized or painted steel bolts; step lugs; internal cable guides; fabricated structural steel does not remove sheet or formed coil steel, the whole of which lighting cross arms; lighting service the fabricated structural steel from the scope. has been formed into a square or rectangle platforms; angles that do not exceed 8″ x 8″ Fabricated structural steel is covered by the having a measurement of 24 inches on each x 0.75″; stainless steel hand hole door hinges scope of the investigation regardless of side ± 0.1 inch; 24 inches by 30 inches ± 0.1 and wind restraints; steel brackets, steel whether it is painted, varnished, or coated inch; or 24 by 36 inches ± 0.1 inch. flanges, and steel caps; safety climbing with plastics or other metallic or non- 8. Excluded from the investigation are the cables; ladders; and steel templates. metallic substances and regardless of following types of steel poles, segments of • Communication Poles, or segments of whether it is assembled or partially steel poles, and steel components of those such poles, that meet (1) assembled, such as into modules, poles: Telecommunications Industry Association modularized construction units, or sub- • Steel Electric Transmission Poles, or (TIA) ANSI/TIA–222 Structural Standards for assemblies of fabricated structural steel. segments of such poles, that meet (1) the Steel Antenna Towers and Antenna Subject merchandise includes fabricated American Society of Civil Engineers Supporting Structures, or (2) American structural steel that has been assembled or (ASCE)—Design of Steel Transmission Pole Association of State Highway and further processed in the subject country or a Structures, ASCE/SEI 48 or (2) the USDA Transportation Officials (AASHTO)— third country, including but not limited to RUS bulletin 1724E–214 Guide specification Specifications for Structural Supports for painting, varnishing, trimming, cutting, for standard class Steel Transmission Poles. Highway Signs, Luminaires, and Traffic drilling, welding, joining, bolting, punching, The exclusion for steel electric transmission Signals. The exclusion for communication bending, beveling, riveting, galvanizing, poles also encompasses the following poles also encompasses the following coating, and/or slitting or any other components thereof: Transmission arms components thereof: Luminaire arms; hand processing that would not otherwise remove which attach to poles; pole bases; angles that hole rims; hand hole covers; base plate that the merchandise from the scope of the do not exceed 8″ x 8″ x 0.75″; steel vangs, connects the pole to the foundation or arm investigation if performed in the country of steel brackets, steel flanges, and steel caps; to the pole; safety climbing cables; ladders; manufacture of the fabricated structural steel. safety climbing cables; ladders; and steel service ground platforms; step lugs; pole All products that meet the written physical templates. steps; steel brackets, steel flanges, and steel description of the merchandise covered by • Steel Electric Substation Poles, or caps; angles that do not exceed 8″ x 8″ x the investigation are within the scope of the segments of such poles, that meet the 0.75″; coax, and safety brackets; investigation unless specifically excluded or American Society of Civil Engineers subcomponent kits for antenna mounts covered by the scope of an existing (ASCE)—Manuals and Reports on weighing 80 lbs. or less; service platforms; countervailing duty order. Engineering Practice No. 113. The exclusion ice bridges; stainless steel hand hole door Specifically excluded from the scope of the for steel electric substation poles also hinges and wind restraints; and steel investigation are: encompasses the following components templates. 1. Fabricated steel concrete reinforcing bar thereof: Substation dead end poles; • OEM Round or Polygonal Tapered Steel (rebar) if: (i) It is a unitary piece of fabricated substation bus stands; substation mast poles, Poles, segments or shaft components of such rebar, not joined, welded, or otherwise arms, and cross-arms; steel brackets, steel poles, that meet the (1) ASCE 48 or AASHTO, connected with any other steel product or flanges, and steel caps; pole bases; safety (2) ANSI/TIA 222, (3) ANSI 05.1, (4) RUS part; or (ii) it is joined, welded, or otherwise climbing cables; ladders; and steel templates. bulletin 1724E–204, or (5) RUS bulletin connected only to other rebar. • Steel Electric Distribution Poles, or 1724E–214. The exclusion for OEM round or 2. Fabricated structural steel for bridges segments of such poles, that meet (1) polygonal tapered steel poles also and bridge sections that meets American American Society of Civil Engineers encompasses the following components Association of State and Highway and (ASCE)—Design of Steel Transmission Pole thereof: Subcomponent kits for antenna Transportation Officials (AASHTO) bridge Structures, ASCE/SEI 48, (2) USDA RUS mounts weighing 80 lbs. or less; mounts and construction requirements or any state or bulletin 1724E–204 Guide specification for platforms; steel brackets, steel flanges, and local derivatives of the AASHTO bridge steel single pole and H-frame structures, or steel caps; angles that do not exceed 8″ x 8″ construction requirements. (3) ANSI 05.1 height and class requirements x 0.75″; bridge kits; safety climbing cables; 3. Pre-engineered metal building systems, for steel poles. The exclusion for steel ladders; and steel templates. which are defined as complete metal electric distribution poles also encompasses The inclusion or attachment of one or more buildings that integrate steel framing, roofing the following components thereof: of the above-referenced steel poles in a and walls to form one, pre-engineered Distribution arms and cross-arms; pole bases; structure containing fabricated structural building system, that meet Metal Building angles that do not exceed 8″ x 8″ x 0.75″; steel does not remove the fabricated
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structural steel from the scope of the Comment 5: Modification of Corey’s by this notice.2 The Issues and Decision investigation. No language included in this Denominators Memorandum is a public document and exclusion should be read or understood to IX. Recommendation is on file electronically via Enforcement have applicability to any other aspect of this [FR Doc. 2020–01723 Filed 1–29–20; 8:45 am] and Compliance’s Antidumping and scope or to have applicability to or to exclude BILLING CODE 3510–DS–P any product, part, or component other than Countervailing Duty Centralized those specifically identified in the exclusion. Electronic Service System (ACCESS). ACCESS is available to registered users 9. Also excluded from the scope of the DEPARTMENT OF COMMERCE investigation are Shuttering, Formworks, at http://access.trade.gov, and to all Propping and Shoring and parts and International Trade Administration parties in the Central Records Unit, accessories thereof that comply with ANSI/ room B8024 of the main Commerce ASSE A10.9—Safety Requirements for [C–570–103] building. In addition, a complete Concrete and Masonry Work and ACI–347— version of the Issues and Decision Recommended Practice for Concrete Certain Fabricated Structural Steel Memorandum can be accessed directly Formwork. For Shoring and propping made From the People’s Republic of China: from tube, the outside diameter of the tubing at http://enforcement.trade.gov/frn/ covered by this exclusion ranges from 48mm Final Affirmative Countervailing Duty index.html. The signed and electronic to 250mm. For Shuttering and Formworks, Determination versions of the Issues and Decision the panel sizes covered by this exclusion AGENCY: Memorandum are identical in content. range from 25mm X 600mm to 3000mm X Enforcement and Compliance, 3000mm. International Trade Administration, Scope of the Investigation 10. Also excluded from the scope of the Department of Commerce. The product covered by this investigation are consumer items for do-it- SUMMARY: The Department of Commerce investigation is fabricated structural yourself assembly that are prepackaged for (Commerce) determines that steel from China. For a complete retail sale. For the purposes of this exclusion, countervailable subsidies are being description of the scope of this prepackaged for retail sale means that, at the provided to producers and/or exporters time of importation, all components investigation, see Appendix I. necessary to assemble the merchandise, of certain fabricated structural steel including all steel components, all accessory (fabricated structural steel) from the Scope Comments parts (e.g., screws, bolts, washers, nails), and People’s Republic of China (China). The instructions providing guidance on the In accordance with the preamble to period of investigation is January 1, 3 assembly of the finished merchandise or 2018 through December 31, 2018. Commerce’s regulations, the Initiation directions on where to find such instructions, Notice set aside a period of time for DATES: Applicable January 30, 2020. are enclosed in retail packaging, such that an parties to raise issues regarding product end-use, retail consumer could assemble the FOR FURTHER INFORMATION CONTACT: coverage (i.e., scope).4 Certain interested completed product with no additional Darla Brown or William Miller, AD/CVD parties commented on the scope of the components. The items may enter the United Operations, Office II, Enforcement and investigation as it appeared in the States in one or in multiple retail packages Compliance, International Trade Initiation Notice. Commerce addressed as long as all of the components are imported Administration, U.S. Department of these comments in the Preliminary together. Commerce, 1401 Constitution Avenue The products subject to the investigation Determination, wherein Commerce are currently classified in the Harmonized NW, Washington, DC 20230; telephone: preliminarily modified the scope Tariff Schedule of the United States (HTSUS) (202) 482–1791 or (202) 482–3906, language. under subheadings: 7308.90.3000, respectively. In addition, certain interested parties 7308.90.6000, and 7308.90.9590. SUPPLEMENTARY INFORMATION: commented on Commerce’s preliminary The products subject to the investigation scope decisions. For a summary of the may also enter under the following HTSUS Background subheadings: 7216.91.0010, 7216.91.0090, product coverage comments and 7216.99.0010, 7216.99.0090, 7222.40.6000, On July 12, 2019, Commerce rebuttal comments submitted to the 7228.70.6000, 7301.10.0000, 7301.20.1000, published the Preliminary record for this final determination, and 7301.20.5000, 7308.40.0000, 7308.90.9530, Determination.1 The petitioner in this accompanying discussion and analysis and 9406.90.0030. investigation is the American Institute of all comments timely received, see the The HTSUS subheadings above are of Steel Construction Full Member Final Scope Decision Memorandum.5 provided for convenience and customs Subgroup. In addition to the Based on the comments received, purposes only. The written description of the Government of China (GOC), the Commerce is modifying the scope scope of the investigation is dispositive. mandatory respondents in this language as it appeared in the Appendix II investigation are Modern Heavy Preliminary Determination. See the Industries (Taicang) Co., Ltd. (Modern List of Topics Discussed in the Final Decision Memorandum Heavy) and Shanghai Matsuo Steel 2 See Memorandum, ‘‘Issues and Decision Structure Co., Ltd. (Shanghai Matsuo). Memorandum for the Final Determination in the I. Summary A summary of the events that Countervailing Duty Investigation of Certain II. Background Fabricated Structural Steel from the People’s III. Scope of the Investigation occurred since Commerce published the Republic of China,’’ dated concurrently with, and IV. Scope Comments Preliminary Determination, as well as a hereby adopted by, this notice (Issues and Decision V. Use of Facts Otherwise Available and full discussion of the issues raised by Memorandum). Adverse Inferences parties for this final determination, are 3 See Antidumping Duties; Countervailing Duties, VI. Subsidies Valuation Information discussed in the Issues and Decision Final Rule, 62 FR 27296, 27323 (May 19, 1997). 4 VII. Analysis of Programs Memorandum, which is hereby adopted See Certain Fabricated Structural Steel from VIII. Analysis of Comments Canada, Mexico, and the People’s Republic of Comment 1: Eighth Rule China: Initiation of Countervailing Duty 1 See Certain Fabricated Structural Steel from the Investigations, 84 FR 7339 (March 4, 2019) Comment 2: Calculation of Total Adverse (Initiation Notice). Facts Available Rate People’s Republic of China: Preliminary Affirmative Countervailing Duty Determination, and Alignment 5 See Memorandum, ‘‘Fabricated Structural Steel Comment 3: Application of Adverse Facts of Final Determination with Final Antidumping from Canada, Mexico, and the People’s Republic of Available to BSM Duty Determination, 84 FR 33224 (July 12, 2019) China: Final Scope Decision Memorandum,’’ dated Comment 4: Application of Adverse Facts (Preliminary Determination), and accompanying concurrently with, and hereby adopted by, this Available to Certain Companies Preliminary Decision Memorandum. notice (Final Scope Decision Memorandum).
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revised scope in Appendix I to this Final Determination Company Subsidy rate notice. In accordance with section (percent) Analysis of Subsidy Programs and 705(c)(1)(B)(i)(I) of the Act, we Jiangsu Kingmore Storage Comments Received calculated individual estimated subsidy Equipment ...... 206.49 rates for Modern Heavy and Shanghai The subsidy programs under Jiangsu Zhengchang Cereal Matsuo, and established subsidy rates Oil & Feed ...... 206.49 investigation and the issues raised in for the 12 companies that failed to Modern Heavy Industries the case and rebuttal briefs by parties in respond to Commerce’s quantity and (Taicang) Co., Ltd ...... 27.34 this investigation are discussed in the value questionnaire by applying AFA. Ningbo Jiangbei Huarentai Issues and Decision Memorandum. A Section 705(c)(5)(A)(i) of the Act states Trade ...... 206.49 list of the issues that parties raised is that, for companies not individually Ningbo Win Success Ma- attached to this notice as Appendix II. chinery Co., Ltd ...... 206.49 investigated, Commerce will determine Shangdong Taipeng Home Methodology an all-others rate equal to the weighted- Products Co ...... 206.49 average countervailable subsidy rates Commerce conducted this Shanghai Matsuo Steel established for exporters and/or Structure Co., Ltd.10 ...... 34.70 investigation in accordance with section producers individually investigated, Sinopec Engineering (Group) 701 of the Tariff Act of 1930, as excluding any zero and de minimis Co., Ltd ...... 206.49 amended (the Act). For each of the countervailable subsidy rates, and any Sunjoy Industrial Group Lim- subsidy programs found rates determined entirely under section ited ...... 206.49 countervailable, Commerce determines 776 of the Act. Therefore, Commerce Sunjoy Industries (Jiashan) that there is a subsidy, i.e., a financial Co., Ltd ...... 206.49 calculated the all-others rate using a Wuxi Huishan Metalwork contribution by an ‘‘authority’’ that weighted-average of the individual gives rise to a benefit to the recipient, Technology Co., Ltd ...... 206.49 estimated subsidy rates calculated for Yueqing Yihua New Energy and that the subsidy is specific.6 For a the examined respondents using each Technology ...... 206.49 full description of the methodology company’s publicly-ranged values for All Others ...... 30.28 underlying our final determination, see the merchandise under consideration.9 the Issues and Decision Memorandum. Commerce determines the total Disclosure estimated net countervailable subsidy Verification Commerce intends to disclose the rates to be the following: As provided in section 782(i) of the calculations performed in connection Act, in August and September 2019, Subsidy rate with this final determination within five Commerce verified the subsidy Company (percent) days of the date of publication of this information reported by Modern Heavy notice to parties in this proceeding in and Shanghai Matsuo. We used Hongju Metals Co., Ltd ...... 206.49 accordance with 19 CFR 351.224(b). Huaye Steel Structure Co .... 206.49 standard verification procedures, Continuation of Suspension of including an examination of relevant Liquidation accounting records and original source Calculation Memorandum for Modern Heavy Industries (Taicang) Co., Ltd.,’’ and ‘‘Countervailing As a result of our Preliminary documents provided by the Duty Investigation of Fabricated Structural Steel respondents.7 from the People’s Republic of China: Final Determination and pursuant to sections Determination Calculation Memorandum for 703(d)(1)(B) and (d)(2) of the Act, Changes Since the Preliminary Shanghai Matsuo Steel Structure Co., Ltd.,’’ both Commerce instructed U.S. Customs and Determination dated concurrently with this notice (collectively, Border Protection (CBP) to suspend Final Calculation Memoranda). liquidation of entries of subject Based on our review and analysis of 9 With two respondents under examination, the comments received from parties, Commerce normally calculates (A) a weighted- merchandise, as described in the scope minor corrections presented at average of the estimated subsidy rates calculated for of the investigation section, entered, or the examined respondents; (B) a simple average of withdrawn from warehouse, for verification, and our verification the estimated subsidy rates calculated for the findings, we made certain changes to examined respondents; and (C) a weighted-average consumption on or after July 12, 2019, the subsidy rate calculations for Modern of the estimated subsidy rates calculated for the the date of publication of the Heavy and Shanghai Matsuo. As a result examined respondents using each company’s Preliminary Determination in the publicly-ranged U.S. sale quantities for the Federal Register. In accordance with of the changes to the respondents’ merchandise under consideration. Commerce then calculated rates, Commerce has revised compares (B) and (C) to (A) and selects the rate section 703(d) of the Act, we issued the all-others rate. Commerce has also closest to (A) as the most appropriate rate for all instructions to CBP to discontinue the revised the adverse facts available other producers and exporters. See, e.g., Ball suspension of liquidation for Bearings and Parts Thereof from France, Germany, countervailing duty (CVD) purposes for (AFA) rate. For a discussion of these Italy, Japan, and the United Kingdom: Final Results changes, see the Issues and Decision of Antidumping Duty Administrative Reviews, Final subject merchandise entered, or Memorandum and the Final Calculation Results of Changed-Circumstances Review, and withdrawn from warehouse, on or after Memoranda.8 Revocation of an Order in Part, 75 FR 53661, November 9, 2019, but to continue the 53662–63 (September 1, 2010). As complete suspension of liquidation of all entries publicly ranged sales data was available, Commerce 6 See sections 771(5)(B) and (D) of the Act based the all-others rate on the publicly ranged from July 12, 2019 through November 8, regarding financial contribution; section 771(5)(E) sales data of the mandatory respondents. For a 2019. of the Act regarding benefit; and section 771(5A) of complete analysis of the data, see Memorandum, If the U.S. International Trade the Act regarding specificity. ‘‘Calculation of the ‘All Others’ Rate in the Final Commission (ITC) issues a final 7 See Memoranda, ‘‘Verification of the Determination of the Countervailing Duty Questionnaire Responses of Modern Heavy Investigation of Certain Fabricated Structural Steel affirmative injury determination, we Industries (Taicang) Co., Ltd. (Modern Heavy),’’ from the People’s Republic of China,’’ dated intend to issue a CVD order, reinstate dated October 10, 2019, and ‘‘Verification of the concurrently with this notice. the suspension of liquidation under Questionnaire Responses of Shanghai Matsuo Steel 10 As discussed in the Preliminary Determination, section 706(a) of the Act, and require a Structure Co., Ltd.,’’ dated October 11, 2019. Commerce has found the following companies to be cash deposit of estimated countervailing 8 See Memoranda, ‘‘Countervailing Duty cross-owned with Shanghai Matsuo: (1) Chixiao Investigation of Fabricated Structural Steel from the Enterprise Co., Ltd.; and (2) Nanshan Development duties for such entries of subject People’s Republic of China: Final Determination (Group) Incorporation. merchandise in the amounts indicated
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above. If the ITC determines that structural steel. Fabricated structural steel is 3. Pre-engineered metal building systems, material injury, or threat of material made from steel in which: (1) Iron which are defined as complete metal injury, does not exist, this proceeding predominates, by weight, over each of the buildings that integrate steel framing, roofing will be terminated and all estimated other contained elements; and (2) the carbon and walls to form one, pre-engineered content is two percent or less by weight. building system, that meet Metal Building duties deposited or securities posted as Fabricated structural steel products are steel Manufacturers Association guide a result of the suspension of liquidation products that have been fabricated for specifications. Pre-engineered metal building will be refunded or canceled. erection or assembly into structures, systems are typically limited in height to no ITC Notification including, but not limited to, buildings more than 60 feet or two stories. (commercial, office, institutional, and multi- 4. Steel roof and floor decking systems that In accordance with section 705(d) of family residential); industrial and utility meet Steel Deck Institute standards. the Act, we will notify the ITC of our projects; parking decks; arenas and 5. Open web steel bar joists and joist determination. Because the final convention centers; medical facilities; and girders that meet Steel Joist Institute determination in this proceeding is ports, transportation and infrastructure specifications. affirmative, in accordance with section facilities. Fabricated structural steel is 6. Also excluded from the scope of the 705(b) of the Act, the ITC will make its manufactured from carbon and alloy investigation is scaffolding, and parts and (including stainless) steel products such as accessories thereof, that comply with ANSI/ final determination as to whether the angles, columns, beams, girders, plates, ASSE A10.8—2011—Scaffolding Safety domestic industry in the United States flange shapes (including manufactured Requirements, and/or Occupational Safety is materially injured, or threatened with structural shapes utilizing welded plates as a and Health Administration regulations at 29 material injury, by reason of imports of substitute for rolled wide flange sections), CFR part 1926 subpart L—Scaffolds. The fabricated structural steel from China no channels, hollow structural section (HSS) outside diameter of the scaffold tubing later than 45 days after our final shapes, base plates, and plate-work covered by this exclusion ranges from 25mm determination. If the ITC determines components. Fabrication includes, but is not to 150mm. that material injury or threat of material limited to cutting, drilling, welding, joining, 7. Excluded from the scope of the injury does not exist, the proceeding bolting, bending, punching, pressure fitting, investigation are access flooring systems molding, grooving, adhesion, beveling, and panels and accessories, where such panels will be terminated and all cash deposits riveting and may include items such as have a total thickness ranging from 0.75 will be refunded. If the ITC determines fasteners, nuts, bolts, rivets, screws, hinges, inches to 1.75 inches and consist of concrete, that such injury does exist, Commerce or joints. wood, other non-steel materials, or hollow will issue a CVD order directing CBP to The inclusion, attachment, joining, or space permanently attached to a top and assess, upon further instruction by assembly of non-steel components with bottom layer of galvanized or painted steel Commerce, countervailing duties on all fabricated structural steel does not remove sheet or formed coil steel, the whole of which imports of the subject merchandise the fabricated structural steel from the scope. has been formed into a square or rectangle entered, or withdrawn from warehouse, Fabricated structural steel is covered by the having a measurement of 24 inches on each scope of the investigation regardless of side ± 0.1 inch; 24 inches by 30 inches ± 0.1 for consumption on or after the effective ± date of the suspension of liquidation, as whether it is painted, varnished, or coated inch; or 24 by 36 inches 0.1 inch. with plastics or other metallic or non- 8. Excluded from the investigation are the discussed above in the ‘‘Continuation of metallic substances and regardless of following types of steel poles, segments of Suspension of Liquidation’’ section. whether it is assembled or partially steel poles, and steel components of those assembled, such as into modules, poles: Notification Regarding Administrative • Protective Order (APO) modularized construction units, or sub- Steel Electric Transmission Poles, or assemblies of fabricated structural steel. segments of such poles, that meet (1) the In the event that the ITC issues a final Subject merchandise includes fabricated American Society of Civil Engineers negative injury determination, this structural steel that has been assembled or (ASCE)—Design of Steel Transmission Pole notice will serve as the only reminder further processed in the subject country or a Structures, ASCE/SEI 48 or (2) the USDA to parties subject to the APO of their third country, including but not limited to RUS bulletin 1724E–214 Guide specification responsibility concerning the painting, varnishing, trimming, cutting, for standard class Steel Transmission Poles. destruction of proprietary information drilling, welding, joining, bolting, punching, The exclusion for steel electric transmission disclosed under APO in accordance bending, beveling, riveting, galvanizing, poles also encompasses the following coating, and/or slitting or any other components thereof: Transmission arms with 19 CFR 351.305(a)(3). Timely processing that would not otherwise remove which attach to poles; pole bases; angles that written notification of the return/ the merchandise from the scope of the do not exceed 8″ x 8″ x 0.75″; steel vangs, destruction of APO materials or investigation if performed in the country of steel brackets, steel flanges, and steel caps; conversion to judicial protective order is manufacture of the fabricated structural steel. safety climbing cables; ladders; and steel hereby requested. Failure to comply All products that meet the written physical templates. with the regulations and terms of an description of the merchandise covered by • Steel Electric Substation Poles, or APO is a violation which is subject to the investigation are within the scope of the segments of such poles, that meet the sanction. investigation unless specifically excluded or American Society of Civil Engineers covered by the scope of an existing (ASCE)—Manuals and Reports on Notification to Interested Parties countervailing duty order. Engineering Practice No. 113. The exclusion This determination is issued and Specifically excluded from the scope of the for steel electric substation poles also investigation are: encompasses the following components published pursuant to sections 705(d) 1. Fabricated steel concrete reinforcing bar thereof: Substation dead end poles; and 777(i) of the Act, and 19 CFR (rebar) if: (i) It is a unitary piece of fabricated substation bus stands; substation mast poles, 351.210(c). rebar, not joined, welded, or otherwise arms, and cross-arms; steel brackets, steel Dated: January 23, 2020. connected with any other steel product or flanges, and steel caps; pole bases; safety part; or (ii) it is joined, welded, or otherwise climbing cables; ladders; and steel templates. Jeffrey I. Kessler, connected only to other rebar. • Steel Electric Distribution Poles, or Assistant Secretary for Enforcement and 2. Fabricated structural steel for bridges segments of such poles, that meet (1) Compliance. and bridge sections that meets American American Society of Civil Engineers Appendix I Association of State and Highway and (ASCE)—Design of Steel Transmission Pole Transportation Officials (AASHTO) bridge Structures, ASCE/SEI 48, (2) USDA RUS Scope of the Investigation construction requirements or any state or bulletin 1724E–204 Guide specification for The merchandise covered by the local derivatives of the AASHTO bridge steel single pole and H-frame structures, or investigation is carbon and alloy fabricated construction requirements. (3) ANSI 05.1 height and class requirements
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for steel poles. The exclusion for steel The inclusion or attachment of one or more Comment 2: Export Buyer’s Credit (EBC) electric distribution poles also encompasses of the above-referenced steel poles in a Program the following components thereof: structure containing fabricated structural Comment 3: Whether the Provision of Distribution arms and cross-arms; pole bases; steel does not remove the fabricated Electricity for Less Than Adequate angles that do not exceed 8″ x 8″ x 0.75″; structural steel from the scope of the Remuneration (LTAR) Is Specific steel vangs, steel brackets, steel flanges, and investigation. No language included in this Comment 4: Whether Input Purchases for steel caps; safety climbing cables; ladders; exclusion should be read or understood to LTAR Are Specific and steel templates. have applicability to any other aspect of this Comment 5: Input Market Distortion • Steel Traffic Signal Poles, Steel Roadway scope or to have applicability to or to exclude Comment 6: Whether To Adjust Lighting Poles, Steel Parking Lot Lighting any product, part, or component other than Benchmark Ocean Freight Rates for Input Poles, and Steel Sports Lighting Poles, or those specifically identified in the exclusion. Purchases for LTAR segments of such poles, that meet (1) the 9. Also excluded from the scope of the Comment 7: Using Basket Harmonized American Association of State Highway and investigation are Shuttering, Formworks, Tariff Schedule (HTS) Categories in the Transportation Officials (AASHTO)— Propping and Shoring and parts and Benchmark for Hot-Rolled Steel Specifications for Structural Supports for accessories thereof that comply with ANSI/ Purchases for LTAR Highway Signs, Luminaires, and Traffic ASSE A10.9—Safety Requirements for Company-Specific Issues Signals, (2) any state or local derivatives of Concrete and Masonry Work and ACI–347— Modern Heavy the AASHTO highway sign, luminaries, and Comment 8: How Commerce Should Treat traffic signals requirements, or (3) American Recommended Practice for Concrete Formwork. For Shoring and propping made a Policy Loan Discovered at Verification National Standard Institute (ANSI) C136— Comment 9: Whether Commerce American National Standard for Roadway from tube, the outside diameter of the tubing covered by this exclusion ranges from 48mm Improperly Rejected Modern Heavy’s and Area Lighting Equipment standards. The Customer Declarations as Untimely New exclusion for steel traffic signal poles, steel to 250mm. For Shuttering and Formworks, Factual Information roadway lighting poles, steel parking lot the panel sizes covered by this exclusion Comment 10: Errors in the Benefit lighting poles, and steel sports lighting poles range from 25mm X 600mm to 3000mm X Calculation for the Electricity for LTAR also encompasses the following components 3000mm. Program thereof: Luminaire arms; hand hole rims; 10. Also excluded from the scope of the hand hole covers; base plates that connect to investigation are consumer items for do-it- Shanghai Matsuo either the shaft or the arms; mast arm clamps; yourself assembly that are prepackaged for Comment 11: Uncreditworthiness mast arm tie rods; transformer base boxes; retail sale. For the purposes of this exclusion, Allegation for Shanghai Matsuo’s Cross- formed full base covers that hide anchor prepackaged for retail sale means that, at the Owned Affiliates bolts; step lugs; internal cable guides; time of importation, all components Comment 12: Whether Commerce Should lighting cross arms; lighting service necessary to assemble the merchandise, Find Electricity Purchased by Shanghai platforms; angles that do not exceed 8″ x 8″ including all steel components, all accessory Matsuo’s Cross-Owned Affiliates x 0.75″; stainless steel hand hole door hinges parts (e.g., screws, bolts, washers, nails), and Countervailable and wind restraints; steel brackets, steel instructions providing guidance on the Comment 13: Whether Input Purchases flanges, and steel caps; safety climbing assembly of the finished merchandise or From Market-Economy Suppliers Are cables; ladders; and steel templates. directions on where to find such instructions, Countervailable • Communication Poles, or segments of are enclosed in retail packaging, such that an Comment 14: Appropriate Benchmark for such poles, that meet (1) end-use, retail consumer could assemble the Valuing Land Use Rights for LTAR Telecommunications Industry Association completed product with no additional Comment 15: Whether Commerce Should (TIA) ANSI/TIA–222 Structural Standards for components. The items may enter the United Countervail Policy Loans Uncovered Steel Antenna Towers and Antenna States in one or in multiple retail packages During the Course of the Investigation Supporting Structures, or (2) American as long as all of the components are imported IX. Recommendation Association of State Highway and together. [FR Doc. 2020–01721 Filed 1–29–20; 8:45 am] Transportation Officials (AASHTO)— The products subject to the investigation BILLING CODE 3510–DS–P Specifications for Structural Supports for are currently classified in the Harmonized Highway Signs, Luminaires, and Traffic Tariff Schedule of the United States (HTSUS) Signals. The exclusion for communication under subheadings: 7308.90.3000, DEPARTMENT OF COMMERCE poles also encompasses the following 7308.90.6000, and 7308.90.9590. components thereof: Luminaire arms; hand The products subject to the investigation International Trade Administration hole rims; hand hole covers; base plate that may also enter under the following HTSUS connects the pole to the foundation or arm subheadings: 7216.91.0010, 7216.91.0090, [C–122–865] to the pole; safety climbing cables; ladders; 7216.99.0010, 7216.99.0090, 7222.40.6000, service ground platforms; step lugs; pole 7228.70.6000, 7301.10.0000, 7301.20.1000, Certain Fabricated Structural Steel steps; steel brackets, steel flanges, and steel 7301.20.5000, 7308.40.0000, 7308.90.9530, ″ ″ From Canada: Final Negative caps; angles that do not exceed 8 x 8 x and 9406.90.0030. ″ Countervailing Duty Determination 0.75 ; coax, and safety brackets; The HTSUS subheadings above are subcomponent kits for antenna mounts provided for convenience and customs AGENCY: Enforcement and Compliance, weighing 80 lbs. or less; service platforms; purposes only. The written description of the International Trade Administration, ice bridges; stainless steel hand hole door scope of the investigation is dispositive. hinges and wind restraints; and steel Department of Commerce. templates. Appendix II SUMMARY: The Department of Commerce • OEM Round or Polygonal Tapered Steel (Commerce) determines that List of Topics Discussed in the Issues and Poles, segments or shaft components of such Decision Memorandum countervailable subsidies are not being poles, that meet the (1) ASCE 48 or AASHTO, provided to producers and exporters of (2) ANSI/TIA 222, (3) ANSI 05.1, (4) RUS I. Summary certain fabricated structural steel II. Background bulletin 1724E–204, or (5) RUS bulletin (fabricated structural steel) from 1724E–214. The exclusion for OEM round or III. Scope of the Investigation polygonal tapered steel poles also IV. Scope Comments Canada. The period of investigation is encompasses the following components V. Use of Adverse Facts Available January 1, 2018 through December 31, thereof: Subcomponent kits for antenna VI. Subsidies Valuation Information 2018. VII. Analysis of Programs mounts weighing 80 lbs. or less; mounts and DATES: Applicable January 30, 2020. platforms; steel brackets, steel flanges, and VIII. Analysis of Comments steel caps; angles that do not exceed 8″ x 8″ General Issues FOR FURTHER INFORMATION CONTACT: x 0.75″; bridge kits; safety climbing cables; Comment 1: Whether Policy Lending Is Whitley Herndon or Jacob Garten, AD/ ladders; and steel templates. Specific CVD Operations, Office II, Enforcement
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and Compliance, International Trade Scope Comments underlying our final determination, see Administration, U.S. Department of the Issues and Decision Memorandum. In accordance with the preamble to Commerce, 1401 Constitution Avenue Commerce’s regulations,3 Verification NW, Washington, DC 20230; telephone: the Initiation (202) 482–6274 or (202) 482–3342, Notice set aside a period of time for As provided in section 782(i) of the respectively. parties to raise issues regarding product Act, in July and September 2019, coverage (i.e., scope).4 Certain interested Commerce verified the subsidy SUPPLEMENTARY INFORMATION: parties commented on the scope of the information reported by Beauce-Atlas, Background investigation as it appeared in the Canatal, the Government of Que´bec, the Initiation Notice. Commerce addressed GOC, Caisse de de´poˆt et Placement du On July 12, 2019, Commerce these comments in the Preliminary Que´bec, and E´ nergir, L.P. We used published the Preliminary Determination, wherein Commerce 1 standard verification procedures, Determination. The petitioner in this preliminarily modified the scope including an examination of relevant investigation is the American Institute language. accounting records and original source of Steel Construction Full Member In addition, certain interested parties documents provided by the Subgroup. In addition to the commented on Commerce’s preliminary respondents. Government of Canada (GOC), the scope decisions. For a summary of the mandatory respondents in this product coverage comments and Changes Since the Preliminary investigation are Les Constructions rebuttal comments submitted to the Determination Beauce-Atlas, Inc. (LC Beauce-Atlas) record for this final determination, and Based on our review and analysis of and its cross-owned affiliates accompanying discussion and analysis the comments received from parties, (collectively, Beauce-Atlas) and Les of all comments timely received, see the minor corrections presented at Industries Canatal Inc. (LI Canatal) and Final Scope Decision Memorandum.5 verification, and our verification its cross-owned affiliates (collectively, Based on the comments received, findings, we made certain changes to Canatal). Commerce is modifying the scope the subsidy rate calculations for both A summary of the events that language as it appeared in the respondents. For a discussion of these occurred since Commerce published the Preliminary Determination. See the changes, see the Issues and Decision Preliminary Determination, as well as a revised scope in Appendix I to this Memorandum. full discussion of the issues raised by notice. parties for this final determination, are Final Determination discussed in the Issues and Decision Analysis of Subsidy Programs and In accordance with section Memorandum, which is hereby adopted Comments Received 705(c)(1)(B)(i)(I) of the Act, we 2 by this notice. The Issues and Decision The subsidy programs under calculated individual estimated subsidy Memorandum is a public document and investigation and the issues raised in rates for Beauce-Atlas and Canatal. We is on file electronically via Enforcement the case and rebuttal briefs by parties in determine the total estimated net and Compliance’s Antidumping and this investigation are discussed in the countervailable subsidy rates to be: Countervailing Duty Centralized Issues and Decision Memorandum. A Producer/exporter Percent ad valorem Electronic Service System (ACCESS). list of the issues that parties raised, and ACCESS is available to registered users to which we responded in the Issues Les Constructions 0.22 (de minimis). at http://access.trade.gov, and is and Decision Memorandum, is attached Beauce-Atlas Inc. available to all parties in the Central to this notice as Appendix II. Les Industries 0.32 (de minimis). Records Unit, Room B8024 of the main Canatal Inc. Commerce building. In addition, a Methodology complete version of the Issues and Commerce conducted this Because the total estimated net Decision Memorandum can be accessed investigation in accordance with section countervailable subsidy rates are de directly at http://enforcement.trade.gov/ 701 of the Tariff Act of 1930, as minimis, we determine that frn/index.html. The signed and amended (the Act). For each of the countervailable subsidies are not being electronic versions of the Issues and subsidy programs found provided to producers or exporters of Decision Memorandum are identical in countervailable, Commerce determines fabricated structural steel from Canada. content. that there is a subsidy, i.e., a financial We have not calculated an all-others Scope of the Investigation contribution by an ‘‘authority’’ that rate pursuant to sections 705(c)(1)(B) gives rise to a benefit to the recipient, and (c)(5) of the Act because we have The product covered by this and that the subsidy is specific.6 For a not reached an affirmative final investigation is fabricated structural full description of the methodology determination. Because our final steel from Canada. For a complete determination is negative, this description of the scope of the 3 See Antidumping Duties; Countervailing Duties, proceeding is terminated in accordance investigation, see Appendix I. Final Rule, 62 FR 27296, 27323 (May 19, 1997). with section 705(c)(2) of the Act. 4 See Certain Fabricated Structural Steel from Disclosure 1 See Certain Fabricated Structural Steel from Canada, Mexico, and the People’s Republic of Canada: Preliminary Negative Countervailing Duty China: Initiation of Less-Than-Fair-Value Commerce intends to disclose the Determination and Alignment of Final Investigations, 84 FR 7330, 7331 (March 4, 2019) calculations performed in connection Determination with Final Antidumping Duty (Initiation Notice). Determination, 84 FR 33232 (July 12, 2019) 5 See Memorandum, ‘‘Fabricated Structural Steel with this final determination within five (Preliminary Determination), and accompanying from Canada, Mexico, and the People’s Republic of days of the date of publication of this Preliminary Decision Memorandum (PDM). China: Final Scope Decision Memorandum,’’ dated notice to parties in this proceeding in 2 See Memorandum, ‘‘Issues and Decision concurrently with, and hereby adopted by, this accordance with 19 CFR 351.224(b). Memorandum for the Final Determination in the notice (Final Scope Decision Memorandum). Countervailing Duty Investigation of Certain 6 See sections 771(5)(B) and (D) of the Act Suspension of Liquidation Fabricated Structural Steel from Canada,’’ dated regarding financial contribution; section 771(5)(E) concurrently with this determination (Issues and of the Act regarding benefit; and section 771(5A) of In the Preliminary Determination, the Decision Memorandum). the Act regarding specificity. total net countervailable subsidy rates
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for the individually examined flange shapes (including manufactured Requirements, and/or Occupational Safety respondents were de minimis and, structural shapes utilizing welded plates as a and Health Administration regulations at 29 therefore, we did not suspend substitute for rolled wide flange sections), CFR part 1926 subpart L—Scaffolds. The liquidation of entries of fabricated channels, hollow structural section (HSS) outside diameter of the scaffold tubing 7 shapes, base plates, and plate-work covered by this exclusion ranges from 25mm structural steel from Canada. Because components. Fabrication includes, but is not to 150mm. the estimated subsidy rates for both limited to cutting, drilling, welding, joining, 7. Excluded from the scope of the examined companies are de minimis in bolting, bending, punching, pressure fitting, investigation are access flooring systems this final determination, we are not molding, grooving, adhesion, beveling, and panels and accessories, where such panels directing U.S. Customs and Border riveting and may include items such as have a total thickness ranging from 0.75 Protection to suspend liquidation of fasteners, nuts, bolts, rivets, screws, hinges, inches to 1.75 inches and consist of concrete, entries of fabricated structural steel from or joints. wood, other non-steel materials, or hollow Canada, for countervailing duty The inclusion, attachment, joining, or space permanently attached to a top and assembly of non-steel components with bottom layer of galvanized or painted steel purposes. fabricated structural steel does not remove sheet or formed coil steel, the whole of which ITC Notification the fabricated structural steel from the scope. has been formed into a square or rectangle Fabricated structural steel is covered by the having a measurement of 24 inches on each In accordance with section 705(d) of scope of the investigation regardless of side +/¥ 0.1 inch; 24 inches by 30 inches +/ the Act, we will notify the ITC of our whether it is painted, varnished, or coated ¥ 0.1 inch; or 24 by 36 inches +/¥ 0.1 inch. determination. with plastics or other metallic or non- 8. Excluded from the investigation are the metallic substances and regardless of following types of steel poles, segments of Notification Regarding Administrative whether it is assembled or partially steel poles, and steel components of those Protective Orders assembled, such as into modules, poles: • This notice serves as a reminder to modularized construction units, or sub- Steel Electric Transmission Poles, or assemblies of fabricated structural steel. segments of such poles, that meet (1) the parties subject to an administrative Subject merchandise includes fabricated American Society of Civil Engineers protective order (APO) of their structural steel that has been assembled or (ASCE)—Design of Steel Transmission Pole responsibility concerning the further processed in the subject country or a Structures, ASCE/SEI 48 or (2) the USDA destruction of proprietary information third country, including but not limited to RUS bulletin 1724E–214 Guide specification disclosed under APO in accordance painting, varnishing, trimming, cutting, for standard class Steel Transmission Poles. with 19 CFR 351.305(a)(3). Timely drilling, welding, joining, bolting, punching, The exclusion for steel electric transmission written notification of the return/ bending, beveling, riveting, galvanizing, poles also encompasses the following destruction of APO materials or coating, and/or slitting or any other components thereof: Transmission arms conversion to judicial protective order is processing that would not otherwise remove which attach to poles; pole bases; angles that the merchandise from the scope of the do not exceed 8″ x 8″ x 0.75″; steel vangs, hereby requested. Failure to comply investigation if performed in the country of steel brackets, steel flanges, and steel caps; with the regulations and terms of an manufacture of the fabricated structural steel. safety climbing cables; ladders; and steel APO is a violation that is subject to All products that meet the written physical templates. sanction. description of the merchandise covered by • Steel Electric Substation Poles, or the investigation are within the scope of the segments of such poles, that meet the Notification to Interested Parties investigation unless specifically excluded or American Society of Civil Engineers This determination is issued and covered by the scope of an existing (ASCE)—Manuals and Reports on published pursuant to sections 705(d) countervailing duty order. Engineering Practice No. 113. The exclusion and 777(i) of the Act and 19 CFR Specifically excluded from the scope of the for steel electric substation poles also 351.210(c). investigation are: encompasses the following components 1. Fabricated steel concrete reinforcing bar thereof: Substation dead end poles; Dated: January 23, 2020. (rebar) if: (i) It is a unitary piece of fabricated substation bus stands; substation mast poles, Jeffrey I. Kessler, rebar, not joined, welded, or otherwise arms, and cross-arms; steel brackets, steel Assistant Secretary for Enforcement and connected with any other steel product or flanges, and steel caps; pole bases; safety Compliance. part; or (ii) it is joined, welded, or otherwise climbing cables; ladders; and steel templates. connected only to other rebar. • Steel Electric Distribution Poles, or Appendix I 2. Fabricated structural steel for bridges segments of such poles, that meet (1) and bridge sections that meets American American Society of Civil Engineers Scope of the Investigation Association of State and Highway and (ASCE)—Design of Steel Transmission Pole The merchandise covered by the Transportation Officials (AASHTO) bridge Structures, ASCE/SEI 48, (2) USDA RUS investigation is carbon and alloy fabricated construction requirements or any state or bulletin 1724E–204 Guide specification for structural steel. Fabricated structural steel is local derivatives of the AASHTO bridge steel single pole and H-frame structures, or made from steel in which: (1) Iron construction requirements. (3) ANSI 05.1 height and class requirements predominates, by weight, over each of the 3. Pre-engineered metal building systems, for steel poles. The exclusion for steel other contained elements; and (2) the carbon which are defined as complete metal electric distribution poles also encompasses content is two percent or less by weight. buildings that integrate steel framing, roofing the following components thereof: Fabricated structural steel products are steel and walls to form one, pre-engineered Distribution arms and cross-arms; pole bases; products that have been fabricated for building system, that meet Metal Building angles that do not exceed 8″ x 8″ x 0.75″; erection or assembly into structures, Manufacturers Association guide steel vangs, steel brackets, steel flanges, and including, but not limited to, buildings specifications. Pre-engineered metal building steel caps; safety climbing cables; ladders; (commercial, office, institutional, and multi- systems are typically limited in height to no and steel templates. family residential); industrial and utility more than 60 feet or two stories. • Steel Traffic Signal Poles, Steel Roadway projects; parking decks; arenas and 4. Steel roof and floor decking systems that Lighting Poles, Steel Parking Lot Lighting convention centers; medical facilities; and meet Steel Deck Institute standards. Poles, and Steel Sports Lighting Poles, or ports, transportation and infrastructure 5. Open web steel bar joists and joist segments of such poles, that meet (1) the facilities. Fabricated structural steel is girders that meet Steel Joist Institute American Association of State Highway and manufactured from carbon and alloy specifications. Transportation Officials (AASHTO)— (including stainless) steel products such as 6. Also excluded from the scope of the Specifications for Structural Supports for angles, columns, beams, girders, plates, investigation is scaffolding, and parts and Highway Signs, Luminaires, and Traffic accessories thereof, that comply with ANSI/ Signals, (2) any state or local derivatives of 7 See Preliminary Determination. ASSE A10.8–2011—Scaffolding Safety the AASHTO highway sign, luminaries, and
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traffic signals requirements, or (3) American Recommended Practice for Concrete Primary and Manufacturing Sectors National Standard Institute (ANSI) C136— Formwork. For Shoring and propping made Program is Specific and Provides a American National Standard for Roadway from tube, the outside diameter of the tubing Countervailable Benefit and Area Lighting Equipment standards. The covered by this exclusion ranges from 48mm Comment 8: Whether the E´ nergir L.P. exclusion for steel traffic signal poles, steel to 250mm. For Shuttering and Formworks, Efficiency Program is Specific and roadway lighting poles, steel parking lot the panel sizes covered by this exclusion Provides a Countervailable Benefit lighting poles, and steel sports lighting poles range from 25mm × 600mm to 3000mm × Comment 9: Whether the EcoPerformance also encompasses the following components 3000mm. Program is Specific and Provides a thereof: Luminaire arms; hand hole rims; 10. Also excluded from the scope of the Countervailable Benefit hand hole covers; base plates that connect to investigation are consumer items for do-it- Comment 10: Whether the MEI Audit either the shaft or the arms; mast arm clamps; yourself assembly that are prepackaged for Industry 4.0 Program is Specific and mast arm tie rods; transformer base boxes; retail sale. For the purposes of this exclusion, Provides a Countervailable Benefit formed full base covers that hide anchor prepackaged for retail sale means that, at the Comment 11: Whether the Que´bec bolts; step lugs; internal cable guides; time of importation, all components Scientific Research and Development lighting cross arms; lighting service necessary to assemble the merchandise, Tax Credit is de facto Specific platforms; angles that do not exceed 8″ x 8″ including all steel components, all accessory Comment 12: Whether the Tax Credit for x 0.75″; stainless steel hand hole door hinges parts (e.g., screws, bolts, washers, nails), and Industrial Establishment from Ville de and wind restraints; steel brackets, steel instructions providing guidance on the Thetford is de jure Specific flanges, and steel caps; safety climbing assembly of the finished merchandise or Comment 13: Whether E´ nergir L.P. is an cables; ladders; and steel templates. directions on where to find such instructions, ‘‘Authority’’ • Communication Poles, or segments of are enclosed in retail packaging, such that an Comment 14: Whether Commerce Should such poles, that meet (1) end-use, retail consumer could assemble the Use Canatal’s Consolidated Sales Value Telecommunications Industry Association completed product with no additional Comment 15: Whether Taxes Should Be (TIA) ANSI/TIA–222 Structural Standards for components. The items may enter the United Included in the Benefit Amount for the Steel Antenna Towers and Antenna States in one or in multiple retail packages Hydro-Quebec Industrial Systems Supporting Structures, or (2) American as long as all of the components are imported Program Association of State Highway and together. Comment 16: Whether Commerce Double- Transportation Officials (AASHTO)— The products subject to the investigation Counted Benefit Amounts for Certain Specifications for Structural Supports for are currently classified in the Harmonized Programs Used by Canatal Highway Signs, Luminaires, and Traffic Tariff Schedule of the United States (HTSUS) Comment 17: Whether Commerce Correctly Signals. The exclusion for communication under subheadings: 7308.90.3000, Determined that Three Hydro-Que´bec poles also encompasses the following 7308.90.6000, and 7308.90.9590. Programs Were Not Used in the POI components thereof: Luminaire arms; hand The products subject to the investigation VIII. Recommendation hole rims; hand hole covers; base plate that may also enter under the following HTSUS connects the pole to the foundation or arm subheadings: 7216.91.0010, 7216.91.0090, [FR Doc. 2020–01719 Filed 1–29–20; 8:45 am] to the pole; safety climbing cables; ladders; 7216.99.0010, 7216.99.0090, 7222.40.6000, BILLING CODE 3510–DS–P service ground platforms; step lugs; pole 7228.70.6000, 7301.10.0000, 7301.20.1000, steps; steel brackets, steel flanges, and steel 7301.20.5000, 7308.40.0000, 7308.90.9530, caps; angles that do not exceed 8″ x 8″ x and 9406.90.0030. DEPARTMENT OF COMMERCE 0.75″; coax, and safety brackets; The HTSUS subheadings above are subcomponent kits for antenna mounts provided for convenience and customs International Trade Administration weighing 80 lbs. or less; service platforms; purposes only. The written description of the [A–201–850] ice bridges; stainless steel hand hole door scope of the investigation is dispositive. hinges and wind restraints; and steel Appendix II Certain Fabricated Structural Steel templates. • OEM Round or Polygonal Tapered Steel List of Topics Discussed in the Issues and From Mexico: Final Determination of Poles, segments or shaft components of such Decision Memorandum Sales at Less Than Fair Value poles, that meet the (1) ASCE 48 or AASHTO, I. Summary AGENCY: Enforcement and Compliance, (2) ANSI/TIA 222, (3) ANSI 05.1, (4) RUS II. Background bulletin 1724E–204, or (5) RUS bulletin International Trade Administration, III. Scope of the Investigation Department of Commerce. 1724E–214. The exclusion for OEM round or IV. Scope Comments polygonal tapered steel poles also V. Subsidies Valuation Information SUMMARY: The Department of Commerce encompasses the following components VI. Analysis of Programs (Commerce) determines that certain thereof: Subcomponent kits for antenna VII. Analysis of Comments fabricated structural steel (fabricated mounts weighing 80 lbs. or less; mounts and Comment 1: Whether There Was Sufficient structural steel) from Mexico is being, or platforms; steel brackets, steel flanges, and Industry Support to Initiate this ″ ″ is likely to be, sold in the United States steel caps; angles that do not exceed 8 x 8 Investigation at less than fair value (LTFV). The x 0.75″; bridge kits; safety climbing cables; Comment 2: Whether to Apply Adverse period of investigation (POI) is January ladders; and steel templates. Facts Available (AFA) to the The inclusion or attachment of one or more Respondents 1, 2018 through December 31, 2018. The of the above-referenced steel poles in a Comment 3: Whether to Adjust the final dumping margins of sales at LTFV structure containing fabricated structural Respondents’ Denominator are shown in the ‘‘Final Determination’’ steel does not remove the fabricated Comment 4: Whether the Additional section of this notice. structural steel from the scope of the Depreciation for Class 1 and 1B Assets DATES: Applicable January 30, 2020. investigation. No language included in this Program is Specific and Provides a FOR FURTHER INFORMATION CONTACT: exclusion should be read or understood to Countervailable Benefit have applicability to any other aspect of this Comment 5: Whether the Hydro-Que´bec Krisha Hill or Aleksandras Nakutis, AD/ scope or to have applicability to or to exclude Industrial Systems (Energy Efficiency) CVD Operations, Office IV, Enforcement any product, part, or component other than Program is Specific and Provides a and Compliance, International Trade those specifically identified in the exclusion. Countervailable Benefit Administration, U.S. Department of 9. Also excluded from the scope of the Comment 6: Whether the Que´bec Tax Commerce, 1401 Constitution Avenue investigation are Shuttering, Formworks, Credit for On-the-Job Training Program is NW, Washington, DC 20230; telephone: Propping and Shoring and parts and Specific and Provides a Countervailable (202) 482–4037 or (202) 482–3147, accessories thereof that comply with ANSI/ Benefit respectively. ASSE A10.9—Safety Requirements for Comment 7: Whether the Que´bec Concrete and Masonry Work and ACI–347— Additional Reduction in Tax Rate for SUPPLEMENTARY INFORMATION:
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Background Scope Comments Changes Since the Preliminary Determination On September 10, 2019, Commerce In accordance with the preamble to 4 published the Preliminary Commerce’s regulations, the Initiation Based on our analysis of the Determination of sales at LTFV of Notice set aside a period of time for comments received and our findings at fabricated structural steel from Mexico, parties to raise issues regarding product verification, we made certain changes to coverage (i.e., scope).5 Certain interested the dumping margin calculations. For a in which we also postponed the final parties commented on the scope of the discussion of these changes, see the determination to January 23, 2020.1 The investigation as it appeared in the Issues and Decision Memorandum and petitioner in this investigation is the Initiation Notice. Commerce addressed Final Calculation Memoranda.8 American Institute of Steel Construction these comments in the Preliminary In addition, we revised the margin Full Member Subgroup. The mandatory Determination, wherein Commerce calculation for BSM to reflect the respondents in this investigation are preliminarily modified the scope application of partial facts available Building Systems de Mexico, S.A. de language. with an adverse inference pursuant to C.V. (BSM) and Corey S.A. de C.V. In addition, certain interested parties section 776 of the Act. For a discussion (Corey).2 commented on Commerce’s preliminary of this change, see Comment 16 of the A summary of the events that scope decisions. For a summary of the Issues and Decision Memorandum. product coverage comments and occurred since Commerce published the All-Others Rate Preliminary Determination, as well as a rebuttal comments submitted to the full discussion of the issues raised by record for this final determination, and Section 735(c)(5)(A) of the Act parties for this final determination, are accompanying discussion and analysis provides that the estimated all-others discussed in the Issues and Decision of all comments timely received, see the rate shall be an amount equal to the 6 weighted average of the estimated Memorandum, which is hereby adopted Final Scope Decision Memorandum. weighted-average dumping margins by this notice.3 The Issues and Decision Based on the comments received, established for exporters and producers Memorandum is a public document and Commerce is modifying the scope language as it appeared in the individually investigated, excluding any is on file electronically via Enforcement Preliminary Determination. See the zero or de minimis margins, and and Compliance’s Antidumping and revised scope in Appendix I to this margins determined entirely under Countervailing Duty Centralized notice. section 776 of the Act. BSM is the only Electronic Service System (ACCESS). respondent for which Commerce ACCESS is available to registered users Analysis of Comments Received calculated an estimated weighted- at https://access.trade.gov, and to all All issues raised in the case and average dumping margin that is not parties in the Central Records Unit, rebuttal briefs by parties in this zero, de minimis, or based entirely on room B8024 of the main Commerce investigation are addressed in the Issues facts otherwise available. Therefore, for building. In addition, a complete and Decision Memorandum. A list of purposes of determining the all-others version of the Issues and Decision the issues raised is attached to this rate, pursuant to section 735(c)(5)(A) of Memorandum can be accessed directly notice as Appendix II. the Act, we are using the estimated at http://enforcement.trade.gov/frn/. weighted-average dumping margin Verification The signed and the electronic versions calculated for BSM, as referenced in the of the Issues and Decision As provided in section 782(i) of the ‘‘Final Determination’’ section below. Memorandum are identical in content. Tariff Act of 1930, as amended (the Act), in September and October 2019, we Use of Adverse Facts Available Scope of the Investigation conducted verifications of the sales and In the Preliminary Determination, we cost information submitted by BSM and based the dumping margins for certain The product covered by this Corey for use in our final determination. non-responsive companies on adverse investigation is fabricated structural We used standard verification facts available (AFA).9 The AFA rate is steel from Mexico. For a complete procedures, including an examination of description of the scope of this relevant accounting and production ‘‘Verification of the Cost Responses of Building investigation, see Appendix I. records, and original source documents Systems de Mexico S.A. de C.V. in the 7 Antidumping Duty Investigation of Certain provided by BSM and Corey. Fabricated Structural Steel from Mexico,’’ dated 1 See Certain Fabricated Structural Steel from November 1, 2019; ‘‘Verification of the Sales Mexico: Preliminary Affirmative Determination of 4 See Antidumping Duties; Countervailing Duties, Response of Corey S.A. de C.V. and Industrias Recal Sales at Less Than Fair Value and Postponement Final Rule, 62 FR 27296, 27323 (May 19, 1997). S.A. de C.V.’’ dated November 5, 2019; and of Final Determination, 84 FR 47487 (September 10, 5 See Certain Fabricated Structural Steel from ‘‘Verification of the Cost Response of Corey S.A. de 2019) (Preliminary Determination), and Canada, Mexico, and the People’s Republic of C.V. in the Antidumping Duty Investigation of accompanying Preliminary Decision Memorandum China: Initiation of Less-Than-Fair-Value Fabricated Structural Steel from Mexico,’’ dated (PDM). Investigations, 84 FR 7330, 7331 (March 4, 2019) October 31, 2019). 2 Corey refers to the collapsed entity consisting of (Initiation Notice). 8 See Memoranda, ‘‘Analysis Memorandum for Corey S.A. de C.V. and Industrias Recal S.A. de 6 See Memorandum, ‘‘Fabricated Structural Steel the Final Determination in the Antidumping Duty C.V.; see Preliminary Determination and from Canada, Mexico, and the People’s Republic of Investigation of Certain Fabricated Structural Steel accompanying PDM; see also Memorandum, China: Final Scope Decision Memorandum,’’ dated From Mexico: Building Systems de Mexico S.A. de ‘‘Antidumping Duty Investigation of Fabricated concurrently with, and hereby adopted by, this C.V.’’; ‘‘Constructed Value Calculation Adjustments Structural Steel from Mexico: Preliminary notice (Final Scope Decision Memorandum). for the Final Determination—Building Systems de 7 Mexico S.A. de C.V.’’; ‘‘Analysis Memorandum for Affiliation and Collapsing Memorandum for Corey For a discussion of our verification findings, see the Final Determination in the Antidumping Duty S.A. de C.V.,’’ dated September 3, 2019. Memoranda, ‘‘Verification of the Sales Questionnaire Responses of Building Systems de Investigation of Certain Fabricated Structural Steel 3 See Memorandum, ‘‘Issues and Decision Mexico S.A. de C.V. in the Antidumping Duty from Mexico: Corey S.A. de C.V.’’; and Memorandum for the Final Affirmative Investigation of Certain Fabricated Structural Steel ‘‘Constructed Value Calculation Adjustments for the Determination in the Less-Than-Fair-Value from Mexico,’’ dated October 31, 2019; Final Determination—Corey S.A. de C.V.,’’ all dated Investigation of Certain Fabricated Structural Steel ‘‘Verification of NCI Group, Inc. and Robertson- concurrently with this notice (collectively, Final from Mexico,’’ dated concurrently with, and hereby Ceco II Corporation in the Antidumping Duty Calculation Memoranda). adopted by, this notice (Issues and Decision Investigation of Certain Fabricated Structural Steel 9 See Preliminary Determination and Memorandum). from Mexico,’’ dated October 31, 2019; accompanying PDM.
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the only, and therefore, the highest, Accordingly, we are continuing to Final Determination dumping margin in the petition (i.e., assign a dumping margin based on AFA 30.58 percent). We received no to the non-responsive companies in this The final estimated weighted-average comments on our determination to use investigation. dumping margins are as follows: AFA with respect to these companies.
Estimated Cash deposit weighted- rate average (adjusted Exporter/producer dumping for subsidy margin offset(s)) (percent) (percent)
Building Systems de Mexico, S.A. de C.V ...... 8.47 8.47 Corey S.A. de C.V./Industrias Recal S.A. de C.V ...... 0 0 Acero Technologia, S.A. de C.V ...... 30.58 0 Construcciones Industriales Tapia S.A. de C.V ...... 30.58 0 Estructuras Metalicas la Popular S.A. de C.V./MSCI ...... 30.58 0 Operadora CICSA, S.A. de C.V. Swecomex—Guadalajara ...... 30.58 0 All Others ...... 8.47 0
Disclosure These suspension of liquidation does exist, Commerce will issue an Commerce intends to disclose the instructions will remain in effect until antidumping duty order directing CBP calculations performed in connection further notice. to assess, upon further instruction by with this final determination within five To determine the cash deposit rate, Commerce, antidumping duties on all days of the date of publication of this Commerce normally adjusts the imports of the subject merchandise notice to parties in this proceeding in estimated weighted-average dumping entered, or withdrawn from warehouse, accordance with 19 CFR 351.224(b). margin by the amount of export for consumption on or after the effective subsidies determined in a companion date of the suspension of liquidation, as Continuation of Suspension of CVD proceeding when CVD provisional discussed above in the ‘‘Continuation of Liquidation measures are in effect. Accordingly, Suspension of Liquidation’’ section of In accordance with section where Commerce makes an affirmative this notice. 735(c)(1)(B) and C of the Act, Commerce determination for export subsidies, Notification Regarding Administrative will instruct U.S. Customs and Border Commerce offsets the calculated Protective Order (APO) Protection (CBP) to suspend liquidation estimated weighted-average dumping of all appropriate entries of fabricated margin by the appropriate rate(s). In this In the event that the ITC issues a final structural steel from Mexico, as case, we have found export subsidies for negative injury determination, this described in Appendix I of this notice, certain respondents. However, notice will serve as a final reminder to which are entered, or withdrawn from suspension of liquidation for the parties subject to APO of their warehouse, for consumption on or after provisional measures in the companion responsibility concerning the the date of publication of this notice in CVD case has been discontinued; disposition of proprietary information the Federal Register other than entries therefore, we are not instructing CBP to disclosed under APO in accordance of fabricated structural steel produced collect cash deposits based upon the with 19 CFR 351.305. Timely written and exported by Corey, because its rate estimated weighted-average dumping notification of return or destruction of is zero. These suspension-of-liquidation margin adjusted for export subsidies at APO materials or conversion to judicial instructions will remain in effect until this time. protective order is hereby requested. further notice. Failure to comply with the regulations In addition, pursuant to section International Trade Commission and the terms of an APO is a 735(c)(1)(B)(ii) of the Act and 19 CFR Notification sanctionable violation. 351.210(d), Commerce will instruct CBP In accordance with section 735(d) of Notification to Interested Parties to require a cash deposit for such entries the Act, Commerce will notify the This determination is issued and of merchandise equal to the estimated International Trade Commission (ITC) of published in accordance with sections weighted-average dumping margin as its final affirmative determination of 735(d) and 777(i)(1) of the Act, and 19 follows: (1) The cash deposit rate for the sales at LTFV. Because Commerce’s CFR 351.210(c). companies listed in the table above will final determination is affirmative, in be equal to the company-specific accordance with section 735(b)(2) of the Dated: January 23, 2020. estimated weighted-average dumping Act, the ITC will make its final Jeffrey I. Kessler, margin identified for that company in determination as to whether the Assistant Secretary for Enforcement and the table; (2) if the exporter is not a domestic industry in the United States Compliance. company listed in the table above, but is materially injured, or threatened with Appendix I the producer is, then the cash deposit material injury, by reason of imports or rate will be equal to the company- sales (or the likelihood of sales) of Scope of the Investigation specific estimated weighted-average subject merchandise for importation no The merchandise covered by the dumping margin listed for that producer later than 45 days after this final investigation is carbon and alloy fabricated of the subject merchandise in the above determination. If the ITC determines structural steel. Fabricated structural steel is made from steel in which: (1) Iron table; and (3) the cash deposit rate for that such injury does not exist, this predominates, by weight, over each of the all other producers and exporters will proceeding will be terminated, and all other contained elements; and (2) the carbon be equal to the all-others estimated cash deposits posted will be refunded. content is two percent or less by weight. weighted-average dumping margin. If the ITC determines that such injury Fabricated structural steel products are steel
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products that have been fabricated for specifications. Pre-engineered metal building steel caps; safety climbing cables; ladders; erection or assembly into structures, systems are typically limited in height to no and steel templates. including, but not limited to, buildings more than 60 feet or two stories. • Steel Traffic Signal Poles, Steel Roadway (commercial, office, institutional, and multi- 4. Steel roof and floor decking systems that Lighting Poles, Steel Parking Lot Lighting family residential); industrial and utility meet Steel Deck Institute standards. Poles, and Steel Sports Lighting Poles, or projects; parking decks; arenas and 5. Open web steel bar joists and joist segments of such poles, that meet (1) the convention centers; medical facilities; and girders that meet Steel Joist Institute American Association of State Highway and ports, transportation and infrastructure specifications. Transportation Officials (AASHTO)— facilities. Fabricated structural steel is 6. Also excluded from the scope of the Specifications for Structural Supports for manufactured from carbon and alloy investigation is scaffolding, and parts and Highway Signs, Luminaires, and Traffic (including stainless) steel products such as accessories thereof, that comply with ANSI/ Signals, (2) any state or local derivatives of angles, columns, beams, girders, plates, ASSE A10.8—2011—Scaffolding Safety the AASHTO highway sign, luminaries, and flange shapes (including manufactured Requirements, and/or Occupational Safety traffic signals requirements, or (3) American structural shapes utilizing welded plates as a and Health Administration regulations at 29 National Standard Institute (ANSI) C136— substitute for rolled wide flange sections), CFR part 1926 subpart L—Scaffolds. The American National Standard for Roadway channels, hollow structural section (HSS) outside diameter of the scaffold tubing and Area Lighting Equipment standards. The shapes, base plates, and plate-work covered by this exclusion ranges from 25mm exclusion for steel traffic signal poles, steel components. Fabrication includes, but is not to 150mm. roadway lighting poles, steel parking lot limited to cutting, drilling, welding, joining, 7. Excluded from the scope of the lighting poles, and steel sports lighting poles bolting, bending, punching, pressure fitting, investigation are access flooring systems also encompasses the following components molding, grooving, adhesion, beveling, and panels and accessories, where such panels thereof: Luminaire arms; hand hole rims; riveting and may include items such as have a total thickness ranging from 0.75 hand hole covers; base plates that connect to fasteners, nuts, bolts, rivets, screws, hinges, inches to 1.75 inches and consist of concrete, either the shaft or the arms; mast arm clamps; or joints. wood, other non-steel materials, or hollow mast arm tie rods; transformer base boxes; The inclusion, attachment, joining, or space permanently attached to a top and formed full base covers that hide anchor assembly of non-steel components with bottom layer of galvanized or painted steel bolts; step lugs; internal cable guides; fabricated structural steel does not remove sheet or formed coil steel, the whole of which lighting cross arms; lighting service the fabricated structural steel from the scope. has been formed into a square or rectangle platforms; angles that do not exceed 8″ x 8″ Fabricated structural steel is covered by the having a measurement of 24 inches on each x 0.75″; stainless steel hand hole door hinges scope of the investigation regardless of side ± 0.1 inch; 24 inches by 30 inches ± 0.1 and wind restraints; steel brackets, steel whether it is painted, varnished, or coated inch; or 24 by 36 inches ± 0.1 inch. flanges, and steel caps; safety climbing with plastics or other metallic or non- 8. Excluded from the investigation are the cables; ladders; and steel templates. metallic substances and regardless of following types of steel poles, segments of • Communication Poles, or segments of whether it is assembled or partially steel poles, and steel components of those such poles, that meet (1) assembled, such as into modules, poles: Telecommunications Industry Association modularized construction units, or sub- • Steel Electric Transmission Poles, or (TIA) ANSI/TIA–222 Structural Standards for assemblies of fabricated structural steel. segments of such poles, that meet (1) the Steel Antenna Towers and Antenna Subject merchandise includes fabricated American Society of Civil Engineers Supporting Structures, or (2) American structural steel that has been assembled or (ASCE)—Design of Steel Transmission Pole Association of State Highway and further processed in the subject country or a Structures, ASCE/SEI 48 or (2) the USDA Transportation Officials (AASHTO)— third country, including but not limited to RUS bulletin 1724E–214 Guide specification Specifications for Structural Supports for painting, varnishing, trimming, cutting, for standard class Steel Transmission Poles. Highway Signs, Luminaires, and Traffic drilling, welding, joining, bolting, punching, The exclusion for steel electric transmission Signals. The exclusion for communication bending, beveling, riveting, galvanizing, poles also encompasses the following poles also encompasses the following coating, and/or slitting or any other components thereof: Transmission arms components thereof: Luminaire arms; hand processing that would not otherwise remove which attach to poles; pole bases; angles that hole rims; hand hole covers; base plate that the merchandise from the scope of the do not exceed 8″ x 8″ x 0.75″; steel vangs, connects the pole to the foundation or arm investigation if performed in the country of steel brackets, steel flanges, and steel caps; to the pole; safety climbing cables; ladders; manufacture of the fabricated structural steel. safety climbing cables; ladders; and steel service ground platforms; step lugs; pole All products that meet the written physical templates. steps; steel brackets, steel flanges, and steel description of the merchandise covered by • Steel Electric Substation Poles, or caps; angles that do not exceed 8″ x 8″ x the investigation are within the scope of the segments of such poles, that meet the 0.75″, coax, and safety brackets; investigation unless specifically excluded or American Society of Civil Engineers subcomponent kits for antenna mounts covered by the scope of an existing (ASCE)—Manuals and Reports on weighing 80 lbs. or less; service platforms; antidumping duty order. Engineering Practice No. 113. The exclusion ice bridges; stainless steel hand hole door Specifically excluded from the scope of the for steel electric substation poles also hinges and wind restraints; and steel investigation are: encompasses the following components templates. 1. Fabricated steel concrete reinforcing bar thereof: Substation dead end poles; • OEM Round or Polygonal Tapered Steel (rebar) if: (i) It is a unitary piece of fabricated substation bus stands; substation mast poles, Poles, segments or shaft components of such rebar, not joined, welded, or otherwise arms, and cross-arms; steel brackets, steel poles, that meet the (1) ASCE 48 or AASHTO, connected with any other steel product or flanges, and steel caps; pole bases; safety (2) ANSI/TIA 222, (3) ANSI 05.1, (4) RUS part; or (ii) it is joined, welded, or otherwise climbing cables; ladders; and steel templates. bulletin 1724E–204, or (5) RUS bulletin connected only to other rebar. • Steel Electric Distribution Poles, or 1724E–214. The exclusion for OEM round or 2. Fabricated structural steel for bridges segments of such poles, that meet (1) polygonal tapered steel poles also and bridge sections that meets American American Society of Civil Engineers encompasses the following components Association of State and Highway and (ASCE)—Design of Steel Transmission Pole thereof: Subcomponent kits for antenna Transportation Officials (AASHTO) bridge Structures, ASCE/SEI 48, (2) USDA RUS mounts weighing 80 lbs. or less; mounts and construction requirements or any state or bulletin 1724E–204 Guide specification for platforms; steel brackets, steel flanges, and local derivatives of the AASHTO bridge steel single pole and H-frame structures, or steel caps; angles that do not exceed 8″ x 8″ construction requirements. (3) ANSI 05.1 height and class requirements x 0.75″; bridge kits; safety climbing cables; 3. Pre-engineered metal building systems, for steel poles. The exclusion for steel ladders; and steel templates. which are defined as complete metal electric distribution poles also encompasses The inclusion or attachment of one or more buildings that integrate steel framing, roofing the following components thereof: of the above-referenced steel poles in a and walls to form one, pre-engineered Distribution arms and cross-arms; pole bases; structure containing fabricated structural building system, that meet Metal Building angles that do not exceed 8″ x 8″ x 0.75″; steel (FSS) does not remove the FSS from the Manufacturers Association guide steel vangs, steel brackets, steel flanges, and scope of the investigation. No language
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included in this exclusion should be read or and Whether To Apply Adverse Facts Compliance, International Trade understood to have applicability to any other Available to BSM Administration, U.S. Department of aspect of this scope or to have applicability Comment 4: Whether BSM Should Report Commerce, 1401 Constitution Avenue to or to exclude any product, part, or the Value of Subject Merchandise NW, Washington, DC 20230; telephone: component other than those specifically Through a Section E Questionnaire identified in the exclusion. Response (202) 482–2623. 9. Also excluded from the scope of the Comment 5: Valuation of an Order SUPPLEMENTARY INFORMATION: investigation are Shuttering, Formworks, Associated With Two Different Sales Propping and Shoring and parts and Comment 6: Whether BSM Double Counted Background accessories thereof that comply with ANSI/ Revenue for an Order On March 14, 2019, in accordance ASSE A10.9—Safety Requirements for Comment 7: Alternate Differential Pricing with 19 CFR 351.221(c)(1)(i), we Concrete and Masonry Work and ACI–347— Analysis published a notice of initiation of an Recommended Practice for Concrete Comment 8: Grant CEP Offset administrative review of the Formwork. For Shoring and propping made Comment 9: CEP Profit Rate Calculation from tube, the outside diameter of the tubing Comment 10: Whether Commerce Should antidumping duty order on CVP 23 from 1 covered by this exclusion ranges from 48mm Use BSM’s Reported Date of Sale India. Commerce exercised its to 250mm. For Shuttering and Formworks, Comment 11: Whether Commerce Should discretion to toll all deadlines affected the panel sizes covered by this exclusion Use the Revised Indirect Selling Expense by the partial federal government range from 25mm X 600mm to 3000mm X Ratio for Components Segment Sales closure from December 22, 2018 through 3000mm. Comment 12: BSM’s Affiliated Party Input the resumption of operations on January 10. Also excluded from the scope of the Purchases 29, 2019.2 The revised deadline for the investigation are consumer items for do-it- Comment 13: CV Profit Rate Used for BSM preliminary results in this yourself assembly that are prepackaged for Comment 14: BSM’s Financial Expense retail sale. For the purposes of this exclusion, administrative review was October 3, Ratio 3 prepackaged for retail sale means that, at the Comment 15: Adjustments Required by 2019. Subsequently, on August 15, time of importation, all components Mexican Financial Reporting Standards 2019, Commerce postponed the necessary to assemble the merchandise, (MFRS) deadline for the preliminary results of including all steel components, all accessory Comment 16: Application of Partial Facts this administrative review until January parts (e.g., screws, bolts, washers, nails), and Available With Adverse Inferences 31, 2020, in accordance with section instructions providing guidance on the Corey 751(a)(3)(A) of the Act and 19 CFR assembly of the finished merchandise or Comment 17: Whether Corey’s Hudson 351.213(h)(2).4 directions on where to find such instructions, Yards Tower A Project Sale Fell Within are enclosed in retail packaging, such that an the POI Scope of the Order 5 end-use, retail consumer could assemble the Comment 18: Whether To Rescind The merchandise covered by the completed product with no additional Voluntary Respondent Treatment of components. The items may enter the United Corey Order is CVP–23 identified as Color States in one or in multiple retail packages Comment 19: Adjust Corey’s Report Costs Index No. 51319 and Chemical Abstract as long as all of the components are imported To Account for All Affiliated Purchases No. 6358–30–1, with the chemical name together. Comment 20: Subtract Scrap Revenue of diindolo [3,2-b:3′,2′- The products subject to the investigation From Total Cost of Manufacturing m] 6 triphenodioxazine, 8,18-dichloro-5, are currently classified in the Harmonized VII. Recommendation Tariff Schedule of the United States (HTSUS) 15-diethy-5, 15-dihydro-, and molecular under subheadings: 7308.90.3000, [FR Doc. 2020–01722 Filed 1–29–20; 8:45 am] 1 7308.90.6000, and 7308.90.9590. BILLING CODE 3510–DS–P See Initiation of Antidumping and The products subject to the investigation Countervailing Duty Administrative Reviews, 84 FR 9297 (March 14, 2019). may also enter under the following HTSUS 2 See Memorandum to the Record from Gary subheadings: 7216.91.0010, 7216.91.0090, DEPARTMENT OF COMMERCE Taverman, Deputy Assistant Secretary for 7216.99.0010, 7216.99.0090, 7222.40.6000, Antidumping and Countervailing Duty Operations 7228.70.6000, 7301.10.0000, 7301.20.1000, International Trade Administration for Enforcement and Compliance, ‘‘Deadlines 7301.20.5000, 7308.40.0000, 7308.90.9530, Affected by the Partial Shutdown of the Federal and 9406.90.0030. [A–533–838] Government,’’ dated January 28, 2019. All deadlines The HTSUS subheadings above are in this segment of the proceeding have been provided for convenience and customs Carbazole Violet Pigment 23 From extended by 40 days. purposes only. The written description of the India: Preliminary Results of 3 See Memorandum to the Record from Irene scope of the investigation is dispositive. Antidumping Duty Administrative Darzenta Tzafolias, Director, Office VIII, Antidumping and Countervailing Duty Operations, Appendix II Review; 2017–2018 ‘‘December Order Deadlines Affected by the Partial Shutdown of the Federal Government,’’ dated List of Topics Discussed in the Issues and AGENCY: Enforcement and Compliance, August 7, 2019. Decision Memorandum International Trade Administration, 4 See Memorandum to James Maeder, Deputy I. Summary Department of Commerce. Assistance Secretary for Antidumping and Countervailing Duty Operations, ‘‘Carbazole Violet SUMMARY: II. Background The Department of Commerce Pigment 23 from India: Extension of Deadline for III. Scope of Investigation (Commerce) preliminarily determines Preliminary Results of Antidumping Duty IV. Scope Comments that Pidilite Industries Limited Administrative Review,’’ dated August 15, 2019. V. Changes Since the Preliminary (Pidilite), a producer/exporter of 5 See Notice of Amended Final Determination of Determination carbazole violet pigment 23 (CVP 23) Sales at Less Than Fair Value and Antidumping VI. Discussion of the Issues Duty Order: Carbazole Violet Pigment 23 From General from India, did not sell subject India, 69 FR 77988 (December 29, 2004) (Order). Comment 1: Reporting Requirements for merchandise at prices below normal 6 The bracketed section of the product U.S. Sales value (NV) during the period of review description, [3,2-b:3′,2′-m], is not business Comment 2: Remove Home-Market Projects (POR) December 1, 2017 through proprietary information. In this case, the brackets Outside the Reporting Requirements for November 30, 2018. are simply part of the chemical nomenclature. See U.S. Sales in the Constructed Value ‘‘Amendment to Petition for Antidumping DATES: Applicable January 30, 2020. Investigations of China and India and a Profit Calculation FOR FURTHER INFORMATION CONTACT: Countervailing Duty Investigation of India on BSM Imports of Carbazole Violet Pigment 23 in the forms Comment 3: Whether BSM Failed To George Ayache, AD/CVD Operations, of Crude Pigment, Presscake and Dry Color Report Accurate and Reliable U.S. Prices, Office VIII, Enforcement and Pigment,’’ dated December 3, 2003, at 8.
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formula of C34 H22 Cl2 N4 O2. The preliminary results to interested parties Assessment Rates subject merchandise includes the crude within five days of the date of Upon issuance of the final results, pigment in any form (e.g., dry powder, publication of this notice in accordance Commerce shall determine, and U.S. paste, wet cake) and finished pigment in with 19 CFR 351.224(b). Customs and Border Protection (CBP) the form of presscake and dry color. Interested parties may submit case shall assess upon issuance of the final Pigment dispersions in any form (e.g., briefs no later than 30 days after the results, antidumping duties on all pigments dispersed in oleoresins, date of publication of this notice.8 appropriate entries covered by this flammable solvents, water) are not Rebuttal briefs, limited to issues raised review.14 included within the scope of the Order. in the case briefs, may be filed not later If Pidilite’s calculated weighted- The merchandise subject to the Order than five days after the date for filing average dumping margin is above de is classifiable under subheading case briefs.9 Pursuant to 19 CFR minimis in the final results of this 3204.17.9040 of the Harmonized Tariff 351.309(c)(2) and (d)(2), parties who review, we will calculate importer- Schedule of the United States (HTSUS). submit case briefs or rebuttal briefs in specific ad valorem duty assessment Although the HTSUS subheading is this proceeding are encouraged to rates based on the ratio of the total provided for convenience and customs submit with each argument: (1) A amount of antidumping duties purposes, our written description of the statement of the issue; (2) a brief calculated for the examined sales to the scope of the Order is dispositive. summary of the argument; and (3) a total entered value of the examined Methodology table of authorities. Case and rebuttal sales to that importer, and we will 10 We are conducting this review in briefs should be filed using ACCESS. instruct CBP to assess antidumping accordance with section 751(a)(1)(B) All submissions to Commerce must be duties on all appropriate entries covered and (2) of the Tariff Act of 1930, as filed electronically using ACCESS and by this review. If Pidilite’s weighted- amended (the Act). Constructed export must also be served on interested average dumping margin continues to be price is calculated in accordance with parties.11 An electronically filed zero or de minimis, or the importer- section 772 of the Act. NV is calculated document must be received successfully specific assessment rate is zero or de in accordance with section 773 of the in its entirety by Commerce’s electronic minimis, we will instruct CBP to Act. records system, ACCESS, by 5:00 p.m. liquidate the appropriate entries For a full description of the Eastern Time on the date that the without regard to antidumping duties.15 methodology underlying our document is due. In accordance with our ‘‘automatic conclusions, see the Preliminary Interested parties who wish to request assessment’’ practice, for entries of Decision Memorandum.7 The a hearing must submit a written request subject merchandise during the POR Preliminary Decision Memorandum is a to the Assistant Secretary for produced by Pidilite for which it did public document and is on file Enforcement and Compliance, U.S. not know its merchandise was destined electronically via Enforcement and Department of Commerce, using for the United States, we will instruct Compliance’s Antidumping and Enforcement and Compliance’s ACCESS CBP to liquidate unreviewed entries at 16 Countervailing Duty Centralized system within 30 days of publication of the all-others rate. Electronic Service System (ACCESS). this notice.12 Requests should contain: We intend to issue instructions to ACCESS is available to registered users (1) The party’s name, address, and CBP 15 days after the date of at http://access.trade.gov, and to all telephone number; (2) the number of publication of the final results of this parties in the Central Records Unit, participants; and (3) a list of issues to be review. Room B8024 of the main Commerce discussed. Issues raised in the hearing Cash Deposit Requirements building. In addition, a complete will be limited to those raised in the The following deposit requirements version of the Preliminary Decision respective case and rebuttal briefs. If a will be effective upon publication of the Memorandum can be accessed at http:// request for a hearing is made, Commerce notice of final results of administrative enforcement.trade.gov/frn/index.html. intends to hold the hearing at the U.S. review for all shipments of the subject The signed Preliminary Decision Department of Commerce, 1401 merchandise entered, or withdrawn Memorandum and the electronic Constitution Avenue NW, Washington, from warehouse, for consumption on or version of the Preliminary Decision DC 20230, at a time and date to be after the publication date, as provided Memorandum are identical in content. determined. Parties should confirm by by section 751(a)(2)(C) of the Act: (1) A list of the topics discussed in the telephone the date, time, and location of The cash deposit rate for Pidilite will be Preliminary Decision Memorandum is the hearing two days before the the rate established in the final results attached as an Appendix to this notice. scheduled date. of this review, except if the rate is de Preliminary Results of the Review Unless the deadline is extended minimis within the meaning of 19 CFR As a result of this review, we pursuant to section 751(a)(3)(A) of the 351.106(c)(1) (i.e., less than 0.50 preliminarily determine that a Act and 19 CFR 351.213(h)(2), percent), in which case the cash deposit weighted-average dumping margin of Commerce intends to issue the final rate will be zero; (2) for merchandise 0.00 percent exists for Pidilite for the results of this administrative review, exported by manufacturers or exporters period December 1, 2017 through including the results of its analysis of not covered in this review but covered November 30, 2018. issues raised in any written briefs, not in a prior completed segment of the later than 120 days after the date of proceeding, the cash deposit rate will Disclosure and Public Comment publication of this notice.13 continue to be the company-specific rate We intend to disclose the calculations published for the most recently- performed in connection with these 8 See 19 CFR 351.309(c)(1)(ii). 9 See 19 CFR 351.309(d). 14 See 19 CFR 351.212(b)(1). 10 7 See Memorandum, ‘‘Decision Memorandum for See 19 CFR 351.303. 15 See 19 CFR 351.106(c)(2). Preliminary Results of Antidumping Duty 11 See 19 CFR 351.303(f). 16 For a full discussion of this clarification, see Administrative Review: Carbazole Violet Pigment 12 See 19 CFR 351.310(c). Antidumping and Countervailing Duty Proceedings: 23 from India; 2017–2018,’’ dated concurrently 13 See section 751(a)(3)(A) of the Act and 19 CFR Assessment of Antidumping Duties, 68 FR 23954 with, and hereby adopted by, this notice. 351.213(h). (May 6, 2003).
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completed segment; (3) if the exporter is ACTION: Notice of availability; request high risk of extinction faced by black not a firm covered in this review, a prior for comments. abalone due to low abundance, low review, or the original investigation, but growth and productivity, compromised the manufacturer is, then the cash SUMMARY: This notice announces the spatial structure and population deposit rate will be the rate established availability of the Black Abalone connectivity, loss of genetic diversity, for the most recently-completed (Haliotis cracherodii) Draft Recovery and the continued threat of the disease segment for the manufacturer of the Plan (Plan) for public review. NMFS is called withering syndrome. This disease merchandise; and (4) the cash deposit soliciting review and comment from the was identified as the primary threat rate for all other manufacturers or public and all interested parties on the contributing to the decline of black exporters will continue to be 27.48 Plan, and will consider all substantive abalone. This determination was based percent, the all-others rate established comments received during the review on a suite of risks that black abalone in the less-than-fair-value period before submitting the Plan for face, including: (1) A disease called investigation.17 These cash deposit final approval. withering syndrome that caused mass requirements, when imposed, shall DATES: Comments and information on mortalities of populations throughout a remain in effect until further notice. the draft Plan must be received by close large portion of the species’ range; (2) of business on March 30, 2020. low adult densities below the critical Notification to Importers ADDRESSES: You may submit comments threshold needed for successful This notice also serves as a on this document by either of the spawning and recruitment; (3) elevated preliminary reminder to importers of following methods: water temperatures that accelerate the • their responsibility under 19 CFR Electronic Submission: Submit all spread of withering syndrome; (4) loss 351.402(f)(2) to file a certificate electronic public comments via the of genetic diversity making populations regarding the reimbursement of Federal e-Rulemaking Portal at less able to adapt to environmental antidumping duties prior to liquidation www.regulations.gov/. The Docket changes; and (5) illegal harvest. On of the relevant entries during this Number is: NOAA–NMFS–2020–0016. October 27, 2011, we designated critical review period. Failure to comply with Click the ‘Comment Now!’’ icon, habitat for black abalone throughout the this requirement could result in the complete the required fields, and enter coast of California (76 FR 66806). In Secretary’s presumption that or attach your comments. 2013, we convened a recovery team to • reimbursement of antidumping duties Mail: Submit written comments to assist the NMFS West Coast Region with occurred and the subsequent assessment the National Marine Fisheries Service, developing the draft recovery plan. We of double antidumping duties. Attn: Black Abalone Recovery Team, completed a recovery outline in 2016. In 501 West Ocean Boulevard, Suite 4200, 2016, we announced initiation of a five- Notification to Interested Parties Long Beach, CA 90802. year review for black abalone (81 FR Instructions: You must submit 93902). We completed the five-year We are issuing and publishing these comments by one of the above methods review in 2018 and determined that results in accordance with sections to ensure that we receive, document, black abalone should remain listed as 751(a)(1) and 777(i)(1) of the Act, and 19 and consider them. Comments sent by endangered under the ESA. The five- CFR 351.221(b)(4). any other method, to any other address year review is available at: https:// Dated: January 24, 2020. or individual, or received after the end www.fisheries.noaa.gov/resource/ Jeffrey I. Kessler, of the comment period, may not be document/endangered-species-act-5- Assistant Secretary for Enforcement and considered. All comments received are year-status-review-black-abalone- Compliance. a part of the public record and will haliotis-cracherodii. Appendix generally be posted for public viewing Draft Recovery Plan without change. All personal identifying List of Topics Discussed in the Preliminary information (e.g., name, address, etc.), Recovery plans describe actions Decision Memorandum confidential business information, or beneficial to the conservation and I. Summary otherwise sensitive information recovery of species listed under the ESA II. Background submitted voluntarily by the sender will of 1973, as amended (16 U.S.C. 1531 et III. Discussion of the Methodology be publicly accessible. seq.). Section 4(f)(1) of the ESA requires IV. Recommendation The draft recovery plan is available that recovery plans incorporate, to the [FR Doc. 2020–01695 Filed 1–29–20; 8:45 am] online at: https:// maximum extent practicable: (1) A BILLING CODE 3510–DS–P www.fisheries.noaa.gov/resource/ description of such site-specific document/recovery-plan-outline-black- management actions as may be abalone. necessary to achieve the plan’s goals for DEPARTMENT OF COMMERCE the conservation and survival of the FOR FURTHER INFORMATION CONTACT: species; (2) objective, measurable National Oceanic and Atmospheric NMFS West Coast Region Protected criteria which, when met, would result Administration Resources Division: Susan Wang at in a determination that the species be (562) 980–4199 or Susan.Wang@ removed from the list; and (3) estimates noaa.gov; or Melissa Neuman at (562) [RTID 0648–XR086] of the time required and the cost 980–4115 or Melissa.Neuman@ necessary to carry out those measures Endangered and Threatened Species; noaa.gov. needed to achieve the plan’s goal and to Recovery Plans SUPPLEMENTARY INFORMATION: achieve intermediate steps toward that goal. The ESA requires the development AGENCY: National Marine Fisheries Background of recovery plans for each listed species Service (NMFS), National Oceanic and On January 14, 2009, we, NMFS, unless such a plan would not promote Atmospheric Administration (NOAA), listed the black abalone as an the conservation of the species. Commerce. endangered species under the The NMFS West Coast Region Endangered Species Act (74 FR 1937). developed the Plan for black abalone in 17 See Order. This determination was based on the cooperation with a recovery team made
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up of experts from the California the University of Washington and the SUMMARY: Notice is hereby given that Department of Fish and Wildlife, University of California at Davis have NMFS has received sixteen scientific Monterey Bay National Marine been conducting disease research since research permit application requests Sanctuary, NMFS Northwest Fisheries the 1990s. In addition, the California relating to Pacific salmon and steelhead, Science Center and Southwest Fisheries Department of Fish and Wildlife rockfish, and eulachon. The proposed Science Center, National Park Service, coordinates with NMFS to address research is intended to increase Tenera Environmental, University of enforcement issues and spill response knowledge of species listed under the California at Santa Cruz, University of plans. After public comment and the Endangered Species Act (ESA) and to California at Davis Bodega Marine adoption of the Final Recovery plan, we help guide management and Laboratory, University of Oregon, will continue to implement actions for conservation efforts. The applications University of Rhode Island, University which we have authority, encourage may be viewed online at: https:// of Washington, and U.S. Geological other Federal and state agencies to apps.nmfs.noaa.gov/preview/preview_ Survey. implement recovery actions for which open_for_comment.cfm. NMFS’ goal is to restore black abalone they have authority, and work DATES: Comments or requests for a populations in the wild to the point cooperatively with them to implement public hearing on the applications must where it is a self-sustaining species that those actions. be received at the appropriate address or no longer needs the protections of the The total time and cost to recovery are fax number (see ADDRESSES) no later ESA. The Plan gives a brief background difficult to predict. The total time to than 5 p.m. Pacific standard time on on the natural history, status, and recovery will depend on several factors. March 2, 2020. threats to black abalone. The Plan lays Those include: (1) Our ability to address ADDRESSES: out a recovery strategy to address the threats such as disease and spills, which Written comments on the threats based on the best available are difficult to manage with much applications should be sent to the science, identifies site-specific actions certainty; (2) the species’ biological Protected Resources Division, NMFS, with time lines and costs, and includes constraints, such as episodic 1201 NE Lloyd Blvd., Suite 1100, demographic and threats-based recovery recruitment events; (3) the effectiveness Portland, OR 97232–1274. Comments criteria to gauge progress toward of the recommended actions to achieve may also be sent via fax to 503–230– recovery. Demographic recovery criteria the Recovery Criteria and any 5441 or by email to nmfs.wcr-apps@ describe the characteristics of recovered, adaptations needed as we learn more noaa.gov (include the permit number in viable black abalone populations, and through implementation; and (4) the the subject line of the fax or email). threats-based recovery criteria represent availability of funding to carry out the FOR FURTHER INFORMATION CONTACT: Rob the conditions needed to minimize the recovery actions. Clapp, Portland, OR (ph.: 503–231– impacts of threats and support the We can predict that recovery will 2314), Fax: 503–230–5441, email: species’ long-term viability. likely take decades and at a minimum [email protected]). Permit The Plan is not regulatory, but about 20 years. To generate a minimum application instructions are available presents guidance for use by agencies cost estimate, we assumed that annual from the address above, or online at and interested parties to assist in the costs for each activity would be similar https://apps.nmfs.noaa.gov. recovery of black abalone. To recover to those estimated for the first five years SUPPLEMENTARY INFORMATION: black abalone, the recommended of implementation. For the minimum recovery actions within the Plan aim to time frame of 20 years, we estimate that Species Covered in This Notice restore populations in southern recovery will cost approximately $16 The following listed species are California and Baja California that have million. covered in this notice: experienced significant declines; Authority: 16 U.S.C. 1531 et seq. Chinook salmon (Oncorhynchus maintain healthy populations in Central tshawytscha): Threatened Lower and North-Central California; promote Dated: January 27, 2020. Columbia River (LCR); threatened Puget planning, coordination, and research to Angela Somma, Sound (PS); threatened Snake River address threats such as disease, Chief, Endangered Species Conservation (SnkR) spring/summer-run; threatened contaminant spills and spill response Division, Office of Protected Resources, Snake River (SnkR) fall-run; endangered activities, illegal take, and ocean National Marine Fisheries Service. Upper Columbia River (UCR) spring- acidification; and facilitate outreach and [FR Doc. 2020–01685 Filed 1–29–20; 8:45 am] run; threatened Upper Willamette River education with the public and law BILLING CODE 3510–22–P (UWR). enforcement to support recovery efforts. Steelhead (O. mykiss): Threatened Continued long-term monitoring of Middle Columbia River (MCR); black abalone populations throughout DEPARTMENT OF COMMERCE threatened PS; threatened SnkR; their range will be critical to assessing National Oceanic and Atmospheric threatened UCR; threatened Central the species’ status and the effectiveness Administration California Coast (CCC); threatened of the recovery actions. California Central Valley (CCV). We expect the Plan to inform section [RTID 0648–XR096] Chum salmon (O. keta): Threatened 7 consultations with Federal agencies Hood Canal Summer-run (HCS). under the ESA and to support other ESA Endangered and Threatened Species; Coho salmon (O. kisutch): Threatened decisions, such as considering research Take of Anadromous Fish LCR; threatened Oregon Coast (OC) and enhancement or incidental take AGENCY: National Marine Fisheries coho; threatened Southern Oregon/ permits under section 10. NMFS and Service (NMFS), National Oceanic and Northern California Coast (SONCC). our partners have already begun Atmospheric Administration (NOAA), Sockeye salmon (O. nerka): implementation of several actions as Commerce. Endangered SnkR. described in the Plan. For example, Eulachon (Thaleichthys pacificus): ACTION: Notice of receipt and request for many partners have been monitoring public comment on ten permit renewal Threatened southern (S). black abalone populations along the Rockfish (Sebastes spp.): Endangered applications, one permit modification, California coast for decades, since the Puget Sound/Georgia Basin (PS/GB) and five new permits. mid-1970s at some sites. Researchers at bocaccio (Sebastes paucispinis);
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threatened PS/GB yelloweye rockfish (S. benefit the listed species by providing island beaches in the San Juan Island ruberrimus). information on current status that archipelago in Puget Sound (San Juan fishery managers can use to determine County, WA). The purpose of this Authority if recovery actions are helping increase research is to understand long-term Scientific research permits are issued Snake River salmonid populations. changes in the food web that supports in accordance with section 10(a)(1)(A) Baseline information on steelhead Salish Sea salmon populations that of the ESA (16 U.S.C. 1531 et seq.) and populations in the Imnaha, Grande annually congregate in the San Juan regulations governing listed fish and Ronde, and Clearwater River subbasins Islands basin. Since 2010, this study has wildlife permits (50 CFR 222–226). would also be used to help guide future been analyzing trends in juvenile NMFS issues permits based on findings management actions. Adult and juvenile Chinook salmon, their prey species that such permits: (1) Are applied for in salmon and steelhead would be (sand lance and Pacific herring), and good faith; (2) if granted and exercised, observed, handled, and marked. The their changing environment (i.e., water would not operate to the disadvantage researchers would use temporary/ temperatures). This research would of the listed species that are the subject portable picket and resistance board benefit PS Chinook salmon by of the permit; and (3) are consistent weirs and rotary screw traps to capture continuing to keep managers informed with the purposes and policy of section the fish and would then sample some of of the changes in the salmonids’ 2 of the ESA. The authority to take them for biological information (fin environment and the impact those listed species is subject to conditions set tissue and scale samples). They may changes are having on juvenile wild forth in the permits. also mark some of the fish with opercule Chinook salmon during their neritic life Anyone requesting a hearing on an punches, fin clips, dyes, and PIT, floy, history stage. The researchers propose application listed in this notice should and/or Tyvek disk tags. Adult steelhead capturing fish using a beach seine. Once set out the specific reasons why a carcasses would also be collected and captured, the fish would be anesthetized hearing on that application would be sampled. The researchers do not intend and measured, and a tissue sample appropriate (see ADDRESSES). Such to kill any of the fish being captured, would be taken (sample scale and fin hearings are held at the discretion of the but a small number may die as an clip). The fishes’ stomach contents Assistant Administrator for Fisheries, unintended result of the activities. would then be sampled by gastric NMFS. 14772–4R lavage. The fish would then be returned Applications Received to an aerated holding bucket until they The Oregon Department of Fish and are ready for release. The researchers do Wildlife (ODFW) is seeking to renew a 1339–5M not propose to kill any of the listed permit that currently allows it to take salmonids being captured, but a small The Nez Perce Tribe (NPT) under the juvenile and adult OC coho salmon number may die as an unintended result authorization of the Columbia River while studying fish abundance, of the activities. Intertribal Fish Commission (CRITFC) is distribution, and habitat preference in seeking to modify a permit that allows the Umpqua River. The ODFW would 15230–3R them to annually take adult and juvenile also study the distribution of non-native SnkR spring/summer Chinook salmon invasive species, interspecific West Fork Environmental, Inc. (WFE) and SnkR steelhead while conducting competition, and predator-prey is seeking to renew for five years a research in a number of the tributaries interactions. The information would research permit that currently allows to the Imnaha River (Cow, Lightning, benefit OC coho by helping to improve them to take juvenile PS Chinook Horse, Big Sheep, Camp, Little Sheep, management plans. The researchers salmon and PS steelhead on the South Freezeout, Grouse, Crazyman, would use backpack and boat Fork of the Tolt River (Snoqualmie Mahogany, and Gumboot Creeks), the electrofishing equipment to capture the River sub-basin; King County, WA). The Grande Ronde River (Joseph Creek, fish. Stunned fish would be recovered purpose of the study is to better Wenaha and Minam rivers), the in a soft mesh dipnet and immediately understand the seasonal use of the Tolt Clearwater River (South Fork Clearwater put in an aerated holding tank. The fish River and its tributaries by juvenile PS River and Lolo Creek), and the Snake would then be measured, weighed, steelhead prior to their outmigration. River (Lower Granite Dam adult trap). recorded by species, and swiftly Since 2010, this study has increased our The Imnaha and Grande Ronde Rivers returned to the water. The researchers knowledge of size- and age-based are in northeastern Oregon, the would avoid adult coho, but a few may movements in the upper reaches of the Clearwater is in Idaho, and the work in be encountered. In the event that an South Fork Tolt River. Further research the Snake River would take place in adult coho is encountered, the ODFW would benefit PS steelhead by including Washington. The NPT has been would shut off the electrical current and an additional PIT-tag array to provide a conducting this work for more than two allow the fish to swim away, and no better understanding of population- decades in the Pacific Northwest. The more electrofishing would occur in that specific age structure, genetic structure, NPT is seeking to modify the permit in location. The researchers do not intend and movement patterns for both one way: They would like to be able to to kill any of the fish being captured, juveniles and returning adults. The WFE capture a number of adult steelhead at but a small number of juvenile coho researchers propose capturing fish using temporary weirs in the Salmon River may die as an unintended result of the backpack electrofishing and hook and subbasin in Idaho—primarily at a small activities. line angling. The listed steelhead would number of locations in the lower be captured, anesthetized, measured, Salmon River below the town of 15205–4R weighed, have a tissue sample taken Riggins. The purpose of the research is The KWIAHT Center for the Historical (sample scale and fin clip), PIT tagged, to acquire information on the status Ecology of the Salish Sea (KWIAHT) is and returned to an aerated holding (escapement abundance, genetic seeking to renew for five years a bucket until they are ready for release. structure, life history traits) of juvenile research permit that currently allows All other fish would be captured, and adult steelhead in the Imnaha, them to take juvenile PS Chinook identified to species, and released. The Grande Ronde, Clearwater, and Salmon salmon. Sampling sites would occur researchers do not propose to kill any of River subbasins. The research would offshore of Decatur, Lopez, and Waldron the listed salmonids being captured, but
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a small number may die as an All other ESA-listed fish would be juvenile white sturgeon in Lower unintended result of the activities. released after capture. For the SCUBA Granite Reservoir, Idaho. The diving transects, juvenile rockfish researchers currently use small-mesh 17062–6R would be collected in a plastic bag and gill nets and d-ring nets to capture white The Northwest Fisheries Science brought to the surface and sacrificed for sturgeon. They also employ a benthic Center (NWFSC) is seeking to renew for full body analysis. For minnow traps (near-bottom) trawl in Lower Granite five years a research permit that and SMURFs, the traps would be Reservoir and do some gill-netting currently allows them to take juvenile brought to the surface, emptied into a upstream from that reservoir. The gill and adult PS Chinook salmon, PS tub of water, and the fish would be net fishing would continue to take place steelhead, HCS chum salmon, and PS/ identified to species, enumerated, and at times (October and November) and in GB bocaccio. The NWFSC research may sacrificed for full body analysis. The areas (the bottom of the reservoir and also cause them to take adult S eulachon researchers do not propose to kill any river) that have purposefully been and juvenile and adult PS/GB yelloweye adult listed fish being captured, but a chosen to have the least possible impact rockfish, for which there are currently small number may die as an unintended on listed fish. When the nets are pulled no ESA take prohibitions. Sampling result of the activities. to the surface, listed species would would take place throughout the Puget immediately be released (including by 17761–2R Sound, the Strait of Juan de Fuca, and cutting the net, if necessary) and Hood Canal, WA. The purposes of the The East Bay Municipal Utility allowed to return to the reservoir. The study are to (1) determine how much District (EBMUD), Fisheries and d-ring fishing would take place in June genetic variation exists between coastal Wildlife Division is seeking to renew for and July, but the same restrictions and PS/GB DPS bocaccio populations; a five years a permit that currently (immediately releasing listed fish, etc.) (2) investigate how characteristics allows them to take juvenile and adult would still apply. The purpose of the (patch size and level of nearby CCV steelhead in the lower Mokelumne research is to document sturgeon urbanization) of rocky reef habitats, kelp River in the San Joaquin Valley, CA. survival in early life stages in the forests, and eelgrass beds affect the Fish would be observed (video mainstem Snake River. The research relative quality of these habitats as monitoring in the fish ladder, targets a species that is not listed, but nursery habitat for rockfishes in Puget escapement surveys, snorkel surveys, the research would benefit listed Sound; and (3) examine the trophic and redd surveys), captured (boat and salmonids by generating information relationships of rockfish in Puget Sound backpack electrofishing, rotary screw about the habitat conditions near and in and their reliance on productivity from traps, fish ladder trap, fyke traps, beach Lower Granite Reservoir and by helping rocky reef habitats, kelp forests, and seines, smolt bypass trap, hook and line, managers develop conservation plans eelgrass beds. Since 2012, this study has trawling), handled (anesthetize, weigh, for the species that inhabit those areas. been collecting genetic samples from measure, and check for marks or tags), The researchers are not proposing to kill ESA-listed rockfish to determine and released. A subsample may be any of the fish they capture, but a small whether or not the PS/GB DPS rockfish marked, tagged, and/or sampled for number of individuals may be killed as designations are supported. For stomach content or biological tissue. an inadvertent result of the activities. yelloweye and canary rockfish, enough The purpose of the research is to collect genetic information was collected to scientific data on anadromous fish, 18852–2R support the PS/GB DPS designation for resident fish, and fish habitat on the The USFWS Mid-Columbia River yelloweye rockfish but suggested that lower Mokelumne River as part of an Fishery Resource Office is seeking to canary rockfish in Puget Sound were not ongoing process to measure the success renew for five years a research permit a unique DPS. For bocaccio, not enough of the flow requirements and non-flow that currently allows them to annually individuals were captured to support a measures set forth in the 1998 Joint capture juvenile and adult UCR spring- determination. Further research would Settlement Agreement (JSA) between run Chinook salmon and steelhead, and benefit these ESA-listed rockfish by EBMUD, the U.S. Fish and Wildlife juvenile MCR steelhead. Sampling collecting more biological samples to Service (USFWS), and the California would take place throughout the better understand DPS/species Department of Fish and Game (CDFW) Yakima, Wenatchee, Entiat, Methow uniqueness and their habitat (i.e., rocky as part of the 1991 Federal Energy and Okanogan river basins in WA. The reef, kelp forests, and eelgrass beds) Regulatory Commission (FERC) license researchers currently use backpack interactions. The NWFSC proposes to proceeding. Data will also be used to electrofishing, hand/dip nets, and hook capture fish by using (1) hook and line develop and implement Hatchery and and line to capture fish. The purpose of equipment at depths of 20–200 meters; Genetics Management Plans for this project is to (1) determine the (2) hand nets and spear guns while operation of the Mokelumne River Fish distribution and status of Pacific conducting SCUBA diving transects; Hatchery’s fall run Chinook salmon lamprey, bull trout, and other native and (3) anchored minnow traps and program and Central Valley steelhead fish species and (2) implement and Standard Monitoring Units for the program. The researchers are not assess recovery actions associated with recruitment of Reef Fishes (SMURFs). proposing to kill any of the fish they passage at existing structures and at For the hook and line fishing, captured capture, but a small number of lamprey passage engineered structures. fish would be reeled slowly to the individuals may be killed as an During this research, non-target species, surface to reduce the impacts of inadvertent result of the activities. including Chinook salmon and barotrauma. All captured ESA-listed steelhead will be released with minimal rockfish would be measured, weighed, 18696–4R handling. In some study areas, Chinook sexed, tissue sampled (caudal fin clip The Idaho Power company is seeking salmon and steelhead may be and dorsal musculature), floy tagged, to renew for five years a research permit anesthetized and identified to species, and released to the water via rapid that currently allows them to annually measured, and scanned for PIT tags. The submersion techniques to reduce capture juvenile and adult SnkR fall-run research targets Pacific lamprey and bull barotrauma. If a rockfish individual is and SnkR spring/summer run Chinook trout, but the research would benefit captured dead or deemed nonviable, it salmon, SnkR sockeye and SnkR listed salmonids by providing presence/ would be retained for genetic analysis. steelhead. The researchers are targeting absence data and helping inform habitat
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restoration actions. The researchers are a small number may die as an lesions) to evaluate the condition of fish not proposing to kill any of the fish they unintended result of the activities. in Rector Creek downstream of Rector capture, but a small number of Dam. Results of this study will be used 19386–2R individuals may be killed as an to refine the conditions of the Rector inadvertent result of the activities. The Wood Environment & Creek release schedule to improve Infrastructure Solutions, Inc. (WEIS) is habitat conditions for fish species 18906–2R seeking to renew for five years a downstream. Fish survey methods used The Northwest Straits Foundation research permit that currently allows will include direct observation using (NSF) is seeking to renew for five years them to take juvenile PS Chinook multi-pass snorkeling methods, beach a research permit that currently allows salmon and PS steelhead in the Lower seining, dip-netting, and single-pass them to take juvenile PS Chinook Duwamish River waterway (King backpack electrofishing. These methods salmon and PS steelhead. The County, WA). Under a Consent Decree will follow standard guidelines to researchers may also take adult S settled through U.S. District Court reduce injury to steelhead and other eulachon, for which there are currently (Western District of Washington), The native fish species. The researchers do no ESA take prohibitions. Sampling Boeing Company agreed to construct not propose to kill any of the listed fish would take place at up to 30 sites in the two habitat restoration projects near being captured, but a small number may eastern Puget Sound from Saratoga Boeing Plant 2 in the Lower Duwamish die as an unintended result of the Passage (in the south) to Fidalgo Bay (to Waterway to restore and create off- activities. the north) (Island and Skagit counties, channel and riparian habitats in an area WA). The purpose of the study is to where they have been largely eliminated 23600 monitor ecosystem response to due to channelization and The University of Washington (UW) is restoration efforts (pre- and post-) and industrialization. The purpose of this seeking a three-year research permit to determine their effectiveness at study is to determine if fish, including annually take juvenile and adult PS reestablishing habitat as a natural ESA listed juvenile salmonids, are using Chinook salmon, PS steelhead, HCS functioning ecosystem. The research the newly created/restored habitat. This chum salmon, and PS/GB bocaccio would benefit the listed species by is a planned ten-year study, and this throughout the Puget Sound and the determining the effectiveness of these renewal would cover the last five years Strait of Juan de Fuca, WA. The UW restoration efforts and applying them to of the study. This research would research may also cause them to take future efforts which directly benefits benefit the affected species by informing adult PS/GB yelloweye rockfish, for listed salmon by increasing habitat. The future restoration designs as well as which there are currently no ESA take NSF proposes capturing fish using a providing data to support future prohibitions. The purpose of the study beach seine. Fish would be captured, enhancement projects. The researchers is to investigate the ecology and identified to species, measured, and propose to capture fish using fyke nets movement of broadnose sevengill shark released. The researchers do not during the spring salmonid (Notorhynchus cepedianus) and propose to kill any of the listed fish outmigration (March through June). Fish bluntnose sixgill shark (Hexanchus being captured, but a small number may would be anaesthetized, identified to griseus) and to assess their potential to die as an unintended result of the species, measured for length, allowed to serve as sentinels for deep ocean activities. recover, and released. The researchers ecosystems. This research would benefit do not propose to kill any of the listed the affected species by providing a 19013–2R fish being captured, but a small number better understanding of the marine Long Live the Kings (LLTK) is seeking may die as an unintended result of the ecosystem of Puget Sound and the to renew for five years a research permit activities. Pacific Ocean. The UW proposes to that currently allows them to take capture fish using longline fishing gear. 23567 juvenile HCS chum salmon, PS Chinook Targeted shark species would be tagged salmon, and PS steelhead in the Hamma Stillwater Sciences is seeking a five- (satellite and acoustic), sampled (blood, Hamma River (Mason County, WA). The year research permit to take juvenile fin clip, and muscle tissue biopsy), purpose of the study is to assess the CCC steelhead in Rector Creek measured, and released. ESA-listed long-term effects and effectiveness of PS extending 1.7 miles downstream from rockfish would be tissue sampled (fin steelhead supplementation when Rector Dam in Napa County, CA. clip), floy tagged, and released to the utilizing low-impact, innovative wild Sampling would be for a period of 1 water via rapid submersion techniques steelhead supplementation techniques week during both the Spring (March– to reduce barotrauma. If a rockfish in streams throughout the Hood Canal June) and again during Fall (September– individual is captured dead or deemed region. Further research would benefit October) in 2020, followed by repeat nonviable, it would be retained for the listed species by determining what surveys in 2021–2024. The purpose of genetic analysis. ESA-listed salmonids legacy effects the PS steelhead hatchery this study is to assess instream flow would either be immediately released or program have had on natural steelhead needs in Rector Creek. The license to held an aerated livewell until they are populations (abundance, genetic operate Rector Dam does not include ready for release. The researchers do not diversity, life history diversity). The specific instream flow release propose to kill any of the listed fish researchers propose capturing fish using requirements; however, California Fish being captured, but a small number may a rotary screw trap. PS steelhead would and Game Code Section 5937 requires die as an unintended result of the be captured, anesthetized, weighed, the owner or operator of any dam to activities. measured, have a tissue sample taken allow sufficient flow to pass through or (sample scale and fin clip), and returned over the dam to keep fish downstream 23633 to an aerated holding bucket until they of the dam in good condition. Data will The USFWS is seeking a five-year are ready for release. All other fish will be collected to assess species permit to capture juveniles from several be captured, identified to species, and composition, distribution, abundance, species of native lamprey in Abernathy released downstream of the trap. The age-class distribution, and individual Creek, WA. The researchers would use researchers do not propose to kill any of fish condition (size, growth rate, and backpack electrofishing units to capture the listed salmonids being captured, but presence of disease, parasites, or the lamprey. Because the researchers are
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targeting lamprey, the electrofishing vastly improve spawning success and ACTION: Notice. units would be operated at very low overall steelhead numbers in the John setting—settings that generally have Day River. The researchers do not SUMMARY: In compliance with the very little effect on salmonids. intend to kill any of the fish being Paperwork Reduction Act of 1995 Nonetheless, if the researchers do tagged, but some may die as an (PRA), this notice announces that the encounter any juvenile LCR coho, those inadvertent result of the capturing and Information Collection Request (ICR) fish would be dip-netted, quickly tagging activities. abstracted below has been forwarded to enumerated, and returned to the creek the Office of Management and Budget 23629 downstream of the electrofishing team (OMB) for review and comment. The without further handling. Though the The U.S. Geological Survey (USGS) is ICR describes the nature of the listed fish are not the target of the seeking a five-year permit to annually information collection and its expected research, they would nonetheless take juvenile and adult UWR Chinook costs and burden. benefit from the information to be salmon, and adult and juvenile SONCC DATES: Comments must be submitted on gained. The researchers are collecting coho in the Willamette (Coast Fork and or before March 2, 2020. data on an important indicator of habitat Middle Fork), North and South Santiam, ADDRESSES: Comments regarding the health, and they are doing it in an area McKenzie and Upper Rogue rivers in burden estimate or any other aspect of that has been designated as an OR. The purpose of this study is to the information collection, including ‘‘intensively monitored watershed’’— evaluate contaminants, particularly suggestions for reducing the burden, which means that managers will easily mercury in reservoirs/lakes and the may be submitted directly to the Office be able to use any information the relationships between contaminants in of Information and Regulatory Affairs researchers gather help recover listed sediment and biota, water quality, and (OIRA) in OMB within 30 days of this salmonids elsewhere in the lower fish tissue mercury concentrations. notice’s publication by either of the Columbia River. The researchers do not Researchers will capture fish with back following methods. Please identify the intend to kill any listed fish, but a small pack and boat electrofishing, hook and comments by ‘‘OMB Control No. 3038– number some may die as an inadvertent line, gill nets, beach seines and minnow 0025.’’ result of the proposed activities. traps. Captured listed fish will be • By email addressed to: quickly handled and released. A subset [email protected] or 23637 of other fish will be anesthetized, tissue • By mail addressed to: the Office of The Oregon Department of Fish and sampled, allowed to recover and Information and Regulatory Affairs, Wildlife (ODFW) is seeking a five-year released. This research will benefit Office of Management and Budget, permit to tag—with acoustic tags—adult listed species by providing information Attention Desk Officer for the MCR steelhead at Bonneville Dam on to assess factors that influence Commodity Futures Trading the Columbia River and monitor their contaminant exposure and allow Commission, 725 17th Street NW, subsequent migration patterns and researchers to evaluate contaminant Washington, DC 20503. routes. The fish would be taken and exposure, bioaccumulation, and effects A copy of all comments submitted to tagged as they pass through the in aquatic ecosystems. The researchers OIRA should be sent to the Commodity Bonneville Dam adult fish facility. do not intend to kill any listed fish, but Futures Trading Commission (the Captured adult steelhead would be a small number some may die as an ‘‘Commission’’) by either of the anesthetized, held in an oxygenated, inadvertent result of the proposed following methods. The copies should river-temperature tank, and implanted activities. refer to ‘‘OMB Control No. 3038–0025.’’ with an acoustic transmitter once they This notice is provided pursuant to • By mail addressed to: Christopher are fully anesthetized and deemed section 10(c) of the ESA. NMFS will Kirkpatrick, Secretary of the ready. Following their recovery from evaluate the applications, associated Commission, Commodity Futures anesthesia, tagged adult steelhead documents, and comments submitted to Trading Commission, Three Lafayette would be released immediately determine whether the applications Centre, 1155 21st Street NW, upstream of the adult fish trap and meet the requirements of section 10(a) Washington, DC 20581; allowed to proceed up the fish ladder to of the ESA and Federal regulations. The • By Hand Delivery/Courier to the cross Bonneville Dam. The fish would final permit decisions will not be made same address; or then be tracked by acoustic receiver until after the end of the 30-day • Through the Commission’s website arrays in upstream reservoirs and dams comment period. NMFS will publish at http://comments.cftc.gov. Please and at a location near the confluence of notice of its final action in the Federal follow the instructions for submitting the Columbia and John Day Rivers. Register. comments through the website. The research is intended to generate Dated: January 27, 2020. A copy of the supporting statement information about adult MCR steelhead for the collection of information Angela Somma, migration and, in particular, it is discussed herein may be obtained by intended to help managers address the Chief, Endangered Species Division, Office visiting http://RegInfo.gov. question of why so many steelhead that of Protected Resources, National Marine All comments must be submitted in Fisheries Service. originate in the John Day River tend to English, or if not, accompanied by an swim past that river and continue up [FR Doc. 2020–01684 Filed 1–29–20; 8:45 am] English translation. Comments will be the Columbia River when they return as BILLING CODE 3510–22–P posted as received to http:// adults. Currently, approximately 60% of www.cftc.gov. You should submit only the returning steelhead overshoot the information that you wish to make John Day River when they return as COMMODITY FUTURES TRADING available publicly. If you wish the adults. If managers can figure out why COMMISSION Commission to consider information that is the case and develop measures to Agency Information Collection that you believe is exempt from reduce that percentage (i.e., help the fish Activities Under OMB Review disclosure under the Freedom of find their way back to their spawning Information Act, a petition for grounds), it could potentially greatly AGENCY: Commodity Futures Trading confidential treatment of the exempt increase their survival and, therefore, Commission. information may be submitted according
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to the procedures established in § 145.9 average 0.10 hours per response to file Attention Desk Officer for the of the Commission’s regulations.1 The the brief written statement. This Commodity Futures Trading Commission reserves the right, but shall estimate includes the time needed to Commission, 725 17th Street NW, have no obligation, to review, pre- review instructions, utilize technology Washington DC 20503. screen, filter, redact, refuse or remove and systems for the purposes of A copy of all comments submitted to any or all of your submission from collecting, validating, verifying, OIRA should be sent to the Commodity http://www.cftc.gov that it may deem to processing and disclosing information, Futures Trading Commission (the be inappropriate for publication, such as and adjust/update existing methods to ‘‘Commission’’) by either of the obscene language. All submissions that comply with any previously applicable following methods. The copies should have been redacted or removed that instructions and requirements. refer to ‘‘OMB Control No. 3038–0013.’’ contain comments on the merits of the Respondents/Affected Entities: • By mail addressed to: Christopher ICR will be retained in the public Former Commission members, Kirkpatrick, Secretary of the comment file and will be considered as employees, and their current employers. Commission, Commodity Futures required under the Administrative Estimated number of annual Trading Commission, Three Lafayette Procedure Act and other applicable respondents/responses: 30. Estimated Centre, 1155 21st Street NW, laws, and may be accessible under the annual burden hours per respondent/ Washington, DC 20581; Freedom of Information Act. response: 0.10 hours (or 6 minutes). • By Hand Delivery/Courier to the FOR FURTHER INFORMATION CONTACT: John Estimated total annual burden hours: 3 same address; or Dolan, Counsel for General Law, Office hours. Frequency of collection: On • Through the Commission’s website of the General Counsel, Commodity occasion. There are no capital costs or at http://comments.cftc.gov. Please Futures Trading Commission, (202) operating and maintenance costs follow the instructions for submitting 418–5337; email: [email protected], and associated with this collection. comments through the website. refer to OMB Control No. 3038–0025. (Authority: 44 U.S.C. 3501 et seq.) A copy of the supporting statement SUPPLEMENTARY INFORMATION: for the collection of information Title: Practice by Former Members Dated: January 24, 2020. discussed herein may be obtained by and Employees of the Commission Robert Sidman, visiting http://RegInfo.gov. (OMB Control No. 3038–0025). This is Deputy Secretary of the Commission. All comments must be submitted in a request for an extension of a currently [FR Doc. 2020–01605 Filed 1–29–20; 8:45 am] English, or if not, accompanied by an approved information collection. BILLING CODE 6351–01–P English translation. Comments will be Abstract: Commission Rule 140.735–6 posted as received to http:// governs the practice before the www.cftc.gov. You should submit only Commission of former members and COMMODITY FUTURES TRADING information that you wish to make employees of the Commission and is COMMISSION available publicly. If you wish the intended to ensure that the Commission Commission to consider information is aware of any existing conflict of Agency Information Collection that you believe is exempt from interest. The rule, at 17 CFR 140.735– Activities Under OMB Review disclosure under the Freedom of 6(e), requires former members and AGENCY: Commodity Futures Trading Information Act, a petition for employees who are employed or Commission. confidential treatment of the exempt retained to represent any person before ACTION: Notice. information may be submitted according the Commission within two years of to the procedures established in § 145.9 their separation from the CFTC, to file SUMMARY: In compliance with the of the Commission’s regulations.1 The a brief written statement with the Paperwork Reduction Act of 1995 Commission reserves the right, but shall Commission’s Office of the General (PRA), this notice announces that the have no obligation, to review, pre- Counsel. The proposed rule was Information Collection Request (ICR) screen, filter, redact, refuse or remove promulgated pursuant to the abstracted below has been forwarded to any or all of your submission from Commission’s rulemaking authority the Office of Management and Budget http://www.cftc.gov that it may deem to contained in Section 8a(5) of the (OMB) for review and comment. The be inappropriate for publication, such as Commodity Exchange Act, 7 U.S.C. ICR describes the nature of the obscene language. All submissions that 12a(5) (1994), as amended. information collection and its expected have been redacted or removed that An agency may not conduct or costs and burden. contain comments on the merits of the sponsor, and a person is not required to DATES: Comments must be submitted on ICR will be retained in the public respond to, a collection of information or before March 2, 2020. comment file and will be considered as unless it displays a currently valid OMB ADDRESSES: Comments regarding the required under the Administrative control number.2 On November 20, burden estimate or any other aspect of Procedure Act and other applicable 2019, the Commission published in the the information collection, including laws, and may be accessible under the Federal Register notice of the proposed suggestions for reducing the burden, Freedom of Information Act. extension of this information collection may be submitted directly to the Office FOR FURTHER INFORMATION CONTACT: and provided 60 days for public of Information and Regulatory Affairs Steven Haidar, Division of Market comment on the proposed extension, 84 (OIRA) in OMB within 30 days of this Oversight, Commodity Futures Trading FR 64050 (‘‘60-Day Notice’’). The notice’s publication by either of the Commission, (202) 418–5611; email: Commission did not receive any following methods. Please identify the [email protected], and refer to OMB comments on the 60-Day Notice. comments by ‘‘OMB Control No. 3038– Control No. 3038–0013. Burden Statement: The respondent 0013.’’ SUPPLEMENTARY INFORMATION: burden for this collection is estimated to • By email addressed to: Title: ‘‘Exemptions from Speculative [email protected] or Limits’’ (OMB Control No. 3038–0013). 1 17 CFR 145.9. • 2 The OMB control numbers for the CFTC By mail addressed to: the Office of This is a request for extension of a Regulations were published on December 30, 1981. Information and Regulatory Affairs, See 46 FR 63035 (Dec. 30, 1981). Office of Management and Budget, 1 17 CFR 145.9.
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currently approved information DEPARTMENT OF DEFENSE our near-peer competitors and collection. adversaries in response to the DSB’s Office of the Secretary Abstract: Commission rule 150.4 2020 Summer Study on New Dimensions of Conflict tasking. provides that all persons holding a Defense Science Board; Notice of greater than 10 percent ownership or Federal Advisory Committee Meeting Agenda equity interest in another entity can AGENCY: Under Secretary of Defense for The DSB meeting will begin on avail themselves of an exemption in rule February 11, 2020 at 8:00 a.m. with 150.4(b)(2) to disaggregate the positions Research and Engineering, Department of Defense (DoD). opening remarks by Mr. Kevin Doxey, of the owned entity. To claim the the Designated Federal Officer (DFO), ACTION: Notice of Federal Advisory exemption, a person needs to meet and Dr. Craig Fields, DSB Chairman. Committee meeting. certain criteria and file a notice with the The members of the study will meet to Commission in accordance with the SUMMARY: The DoD is publishing this discuss classified future dimensions of provisions of the rule. The rules notice to announce that the following conflict that might be exploited by our establish reporting and recordkeeping Federal Advisory Committee meeting of near-peer competitors and adversaries. requirements. Rule 150.4(b)(2) (would the Defense Science Board (DSB) will Following break, the members will establish an exemption for a person to take place. resume their meeting. The meeting will disaggregate the positions of a DATES: Closed to the public Tuesday, adjourn at 5:00 p.m. On February 12, separately organized entity); 150.4(b)(5) February 11, 2020 from 8:00 a.m. to 5:00 2020, the meeting will begin at 8:00 a.m. (would expand the exemption for p.m. and Wednesday, February 12, 2020 with a discussion of classified future independent account controllers to from 8:00 a.m. to 4:00 p.m. dimensions of conflict that might be exploited by our near-peer competitors include additional eligible participants); ADDRESSES: The address of the closed and 150.4(b)(8) (provides an exemption meeting is the Executive Conference and adversaries. Following break, the from aggregation where the sharing of Center at 4075 Wilson Blvd., Arlington, members will resume their meeting. The information between persons would VA 22203. meeting will adjourn at 4:00 p.m. cause either person to violate federal FOR FURTHER INFORMATION CONTACT: Mr. Meeting Accessibility law). Kevin Doxey, (703) 571–0081 (Voice), In accordance with Section 10(d) of An agency may not conduct or (703) 697–1860 (Facsimile), the FACA and 41 CFR 102–3.155, the sponsor, and a person is not required to [email protected] (Email). DoD has determined that the DSB respond to, a collection of information Mailing address is Defense Science meeting will be closed to the public. unless it displays a currently valid OMB Board, 3140 Defense Pentagon, Room Specifically, the Under Secretary of control number. On November 19, 2019, 3B888A, Washington, DC 20301–3140. Defense (Research and Engineering), in the Commission published in the Website: http://www.acq.osd.mil/dsb/. consultation with the DoD Office of Federal Register notice of the proposed The most up-to-date changes to the General Counsel, has determined in extension of this information collection meeting agenda can be found on the writing that the meeting will be closed and provided 60 days for public website. to the public because it will consider comment on the proposed extension, 84 SUPPLEMENTARY INFORMATION: Due to matters covered by 5 U.S.C. 552b(c)(1). FR 63861 (‘‘60-Day Notice’’). The circumstances beyond the control of the The determination is based on the Commission did not receive any Department of Defense and the consideration that it is expected that relevant comments on the 60-Day Designated Federal Officer, the Defense discussions throughout will involve Notice. Science Board was unable to provide classified matters of national security Burden Statement: The burden for public notification required by 41 CFR concern. Such classified material is so this collection applies to an eligible 102–3.150(a) concerning the meeting on intertwined with the unclassified entity as defined in Part 150. The February 11 thru 12, 2020 of the Defense material that it cannot reasonably be respondent burden for this collection is Science Board. Accordingly, the segregated into separate discussions estimated to be as follows: Advisory Committee Management without defeating the effectiveness and Officer for the Department of Defense, meaning of the overall meetings. To Estimated Number of Respondents: pursuant to 41 CFR 102–3.150(b), permit the meeting to be open to the 240. waives the 15-calendar day notification public would preclude discussion of Estimated Total Annual Responses: requirement. such matters and would greatly 340. This meeting is being held under the diminish the ultimate utility of the Estimated Average Burden Hours per provisions of the Federal Advisory DSB’s findings and recommendations to Response: 20.15. Committee Act (FACA) (5 U.S.C., the Secretary of Defense and to the Appendix), the Government in the Under Secretary of Defense (Research Estimated Total Annual Burden Sunshine Act (5 U.S.C. 552b), and 41 and Engineering). Hours: 6850. CFR 102–3.140 and 102–3.150. Written Statements Frequency of Collection: Once. Purpose of the Meeting In accordance with Section 10(a)(3) of There are no capital costs or operating The mission of the DSB is to provide the FACA and 41 CFR 102–3.105(j) and and maintenance costs associated with independent advice and 102–3.140, interested persons may this collection. recommendations on matters relating to submit a written statement for (Authority: 44 U.S.C. 3501 et seq.) the DoD’s scientific and technical consideration by the DSB at any time Dated: January 24, 2020. enterprise. The objective of the meeting regarding its mission or in response to is to obtain, review, and evaluate the stated agenda of a planned meeting. Robert Sidman, classified information related to the Individuals submitting a written Deputy Secretary of the Commission. DSB’s mission. DSB members will meet statement must submit their statement [FR Doc. 2020–01606 Filed 1–29–20; 8:45 am] to discuss classified future dimensions to the DSB DFO provided in the FOR BILLING CODE 6351–01–P of conflict that might be exploited by FURTHER INFORMATION CONTACT section at
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any point; however, if a written SUPPLEMENTARY INFORMATION: The the public meeting, at the times, and in statement is not received at least three committee meeting is being held under the manner, permitted by the calendar days prior to the meeting, the provisions of the Federal Advisory committee, as set forth below. which is the subject of this notice, then Committee Act of 1972 (5 U.S.C., Special Accommodations: The it may not be provided to or considered Appendix, as amended), the meeting venue is fully handicap by the DSB until a later date. Government in the Sunshine Act of accessible, with wheelchair access. Individuals requiring special Dated: January 27, 2020. 1976 (5 U.S.C. 552b, as amended), and 41 CFR 102–3.150. accommodations to access the public Aaron T. Siegel, Purpose of the Meeting: The Board is meeting or seeking additional Alternate OSD Federal Register Liaison chartered to provide independent information about public access Officer, Department of Defense. advice and recommendations to the procedures, should contact Mr. Pointon, [FR Doc. 2020–01753 Filed 1–29–20; 8:45 am] Secretary of the Army on construction the committee DFO, or Ms. Noland, an BILLING CODE 5001–06–P and rehabilitation project investments ADFO, at the email addresses or on the commercial navigation features telephone numbers listed in the FOR of the inland waterways system of the FURTHER INFORMATION CONTACT section, DEPARTMENT OF DEFENSE United States. At this meeting, the at least five (5) business days prior to Department of the Army, Corps of Board will receive briefings and the meeting so that appropriate Engineers presentations regarding the investments, arrangements can be made. projects and status of the inland Written Comments or Statements: Inland Waterways Users Board waterways system of the United States Pursuant to 41 CFR 102–3.105(j) and Meeting Notice and conduct discussions and 102–3.140 and section 10(a)(3) of the deliberations on those matters. The Federal Advisory Committee Act, the AGENCY: Department of the Army, U.S. Board is interested in written and verbal public or interested organizations may Army Corps of Engineers, DoD. comments from the public relevant to submit written comments or statements ACTION: Notice of open Federal advisory these purposes. to the Board about its mission and/or committee meeting. Agenda: At this meeting the agenda the topics to be addressed in this public will include the status of FY 2020 meeting. Written comments or SUMMARY: The Department of the Army funding for inland and coastal statements should be submitted to Mr. is publishing this notice to announce Navigation; status of the Inland Pointon, the committee DFO, or Mr. the following Federal advisory Waterways Trust Fund (IWTF) and Riley, a committee ADFO, via electronic committee meeting of the U.S. Army project updates; status of the mail, the preferred mode of submission, Corps of Engineers, Inland Waterways construction activities for Olmsted at the addresses listed in the FOR Users Board (Board). This meeting is Locks and Dam Project, the FURTHER INFORMATION CONTACT section open to the public. For additional Monongahela River Locks and Dams 2, in the following formats: Adobe Acrobat information about the Board, please 3, and 4 Project, the Chickamauga Lock or Microsoft Word. The comment or visit the committee’s website at http:// Project and the Kentucky Lock Project; statement must include the author’s www.iwr.usace.army.mil/Missions/ the status of the inland waterways name, title, affiliation, address, and Navigation/InlandWaterwaysUsers Capital Investment Strategy daytime telephone number. Written Board.aspx. development; a briefing of USACE comments or statements being DATES: The Army Corps of Engineers, Economics 101 and Developing BCRs; submitted in response to the agenda set Inland Waterways Users Board will status of the Three Rivers, Arkansas forth in this notice must be received by meet from 8:00 a.m. to 12:00 p.m. on project; an update of the Calcasieu Lock the committee DFO or ADFO at least February 19, 2020. Public registration project; and a briefing on the district five (5) business days prior to the will begin at 7:15 a.m. reorganization for the Illinois Waterway. meeting so that they may be made Availability of Materials for the available to the Board for its ADDRESSES: The Inland Waterways Meeting. A copy of the agenda or any consideration prior to the meeting. Users Board meeting will be conducted updates to the agenda for the February Written comments or statements at the Fort Smith Convention Center, 55 19, 2020 meeting will be available. The received after this date may not be South 7th Street, Fort Smith, Arkansas final version will be provided at the provided to the Board until its next 72901, 479–788–8932. meeting. All materials will be posted to meeting. Please note that because the FOR FURTHER INFORMATION CONTACT: Mr. the website after the meeting. Board operates under the provisions of Mark R. Pointon, the Designated Federal Public Accessibility to the Meeting: the Federal Advisory Committee Act, as Officer (DFO) for the committee, in Pursuant to 5 U.S.C. 552b, as amended, amended, all written comments will be writing at the Institute for Water and 41 CFR 102–3.140 through 102–3.1 treated as public documents and will be Resources, U.S. Army Corps of 65, and subject to the availability of made available for public inspection. Engineers, ATTN: CEIWR–GM, 7701 space, this meeting is open to the Verbal Comments: Members of the Telegraph Road, Casey Building, public. Registration of members of the public will be permitted to make verbal Alexandria, VA 22315–3868; by public who wish to attend the meeting comments during the Board meeting telephone at 703–428–6438; and by will begin at 7:15 a.m. on the day of the only at the time and in the manner email at [email protected]. meeting. Seating is limited and is on a allowed herein. If a member of the Alternatively, contact Mr. Steven D. first-to-arrive basis. Attendees will be public is interested in making a verbal Riley, an Alternate Designated Federal asked to provide their name, title, comment at the open meeting, that Officer (ADFO), in writing at the affiliation, and contact information to individual must submit a request, with Institute for Water Resources, U.S. Army include email address and daytime a brief statement of the subject matter to Corps of Engineers, ATTN: CEIWR– telephone number at registration. Any be addressed by the comment, at least NDC, 7701 Telegraph Road, Casey interested person may attend the three business (3) days in advance to the Building, Alexandria, VA 22315–3868; meeting, file written comments or committee DFO or ADFO, via electronic by telephone at 703–659–3097; and by statements with the committee, or make mail, the preferred mode of submission, email at [email protected]. verbal comments from the floor during at the addresses listed in the FOR
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FURTHER INFORMATION CONTACT section. submitted after the comment period will grants are made to private, non-profits; The committee DFO and ADFO will log not be accepted. Written requests for public entities; and consortia of these each request to make a comment, in the information or comments submitted by organizations. The funds are to be order received, and determine whether postal mail or delivery should be deposited into a reserve account that the subject matter of each comment is addressed to the Director of the Strategic will be used to leverage private funds on relevant to the Board’s mission and/or Collections and Clearance Governance behalf of charter schools to acquire, the topics to be addressed in this public and Strategy Division, U.S. Department construct, and renovate school facilities. meeting. A 15-minute period near the of Education, 400 Maryland Ave. SW, The U.S. Department of Education is end of the meeting will be available for LBJ, Room 6W–208D, Washington, DC seeking OMB approval for an electronic verbal public comments. Members of 20202–4537. collection for the application for the the public who have requested to make FOR FURTHER INFORMATION CONTACT: For Credit Enhancement for Charter School a verbal comment and whose comments specific questions related to collection Facilities Program. have been deemed relevant under the activities, please contact Clifton Jones, Dated: January 27, 2020. process described above, will be allotted 202–205–2204. Kate Mullan, no more than three (3) minutes during SUPPLEMENTARY INFORMATION: The PRA Coordinator, Strategic Collections and this period, and will be invited to speak Department of Education (ED), in Clearance, Governance and Strategy Division, in the order in which their requests accordance with the Paperwork Office of Chief Data Officer. were received by the DFO and ADFO. Reduction Act of 1995 (PRA) (44 U.S.C. [FR Doc. 2020–01694 Filed 1–29–20; 8:45 am] Brenda S. Bowen, 3506(c)(2)(A)), provides the general BILLING CODE 4000–01–P Army Federal Register Liaison Officer. public and Federal agencies with an [FR Doc. 2020–01680 Filed 1–29–20; 8:45 am] opportunity to comment on proposed, revised, and continuing collections of DEPARTMENT OF EDUCATION BILLING CODE 3720–58–P information. This helps the Department [Docket No.: ED–2020–SCC–0021] assess the impact of its information collection requirements and minimize DEPARTMENT OF EDUCATION Agency Information Collection the public’s reporting burden. It also Activities; Comment Request; [Docket No.: ED–2020–SCC–0019] helps the public understand the Application and Employment Department’s information collection Certification for Public Service Loan Agency Information Collection requirements and provide the requested Forgiveness Activities; Submission to the Office of data in the desired format. ED is Management and Budget for Review soliciting comments on the proposed AGENCY: Federal Student Aid (FSA), and Approval; Comment Request; information collection request (ICR) that Department of Education (ED). Credit Enhancement for Charter is described below. The Department of ACTION: Notice. School Facilities Program (1894–0001) Education is especially interested in SUMMARY: public comment addressing the In accordance with the AGENCY: Office of Innovation and following issues: (1) Is this collection Paperwork Reduction Act of 1995, ED is Improvement (OII), Department of necessary to the proper functions of the proposing a revision of an existing Education (ED). Department; (2) will this information be information collection. ACTION: Notice. processed and used in a timely manner; DATES: Interested persons are invited to (3) is the estimate of burden accurate; submit comments on or before March SUMMARY: In accordance with the (4) how might the Department enhance 30, 2020. Paperwork Reduction Act of 1995, ED is the quality, utility, and clarity of the ADDRESSES: To access and review all the proposing an extension of an existing information to be collected; and (5) how documents related to the information information collection. might the Department minimize the collection listed in this notice, please DATES: Interested persons are invited to burden of this collection on the use http://www.regulations.gov by submit comments on or before March 2, respondents, including through the use searching the Docket ID number ED– 2020. of information technology. Please note 2020–SCC–0021. Comments submitted ADDRESSES: To access and review all the that written comments received in in response to this notice should be documents related to the information response to this notice will be submitted electronically through the collection listed in this notice, please considered public records. Federal eRulemaking Portal at http:// use http://www.regulations.gov by Title of Collection: Credit www.regulations.gov by selecting the searching the Docket ID number ED– Enhancement for Charter School Docket ID number or via postal mail, 2020–SCC–0019. Comments submitted Facilities Program (1894–0001). commercial delivery, or hand delivery. in response to this notice should be OMB Control Number: 1855–0007. If the regulations.gov site is not submitted electronically through the Type of Review: An extension of an available to the public for any reason, Federal eRulemaking Portal at http:// existing information collection. ED will temporarily accept comments at www.regulations.gov by selecting the Respondents/Affected Public: Private [email protected]. Please include the Docket ID number or via postal mail, Sector. docket ID number and the title of the commercial delivery, or hand delivery. Total Estimated Number of Annual information collection request when If the regulations.gov site is not Responses: 15. requesting documents or submitting available to the public for any reason, Total Estimated Number of Annual comments. Please note that comments ED will temporarily accept comments at Burden Hours: 1,200. submitted by fax or email and those [email protected]. Please include the Abstract: An application is required submitted after the comment period will docket ID number and the title of the by statute to award the Credit not be accepted. Written requests for information collection request when Enhancement for Charter School information or comments submitted by requesting documents or submitting Facilities Program (formerly known as postal mail or delivery should be comments. Please note that comments the Charter School Facilities Financing addressed to the Director of the Strategic submitted by fax or email and those Demonstration Program) grants. These Collections and Clearance Governance
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and Strategy Division, U.S. Department Certification Form which is already part any program over which the Secretary of Education, 400 Maryland Ave. SW, of this collection. This consolidation of has jurisdiction and includes Indian LBJ, Room 6W–208D, Washington, DC forms will remove the need for children or adults as participants or that 20202–4537. borrowers to separately complete the may benefit Indian children or adults, FOR FURTHER INFORMATION CONTACT: For PSLF application and submit a separate including any program established specific questions related to collection email for the TEPSLF program. This under Title VI, Part A of the Elementary activities, please contact Beth combining will also aid the Department and Secondary Education Act. In Grebeldinger, 202–377–4018. in streamlining the forgiveness addition, NACIE advises the White SUPPLEMENTARY INFORMATION: The determination process. House Initiative on American Indian Department of Education (ED), in Dated: January 27, 2020. and Alaska Native Education, in accordance with the Paperwork Kate Mullan, accordance with section 5(a) of Executive Order 13592. NACIE submits Reduction Act of 1995 (PRA) (44 U.S.C. PRA Coordinator, Strategic Collections and 3506(c)(2)(A)), provides the general Clearance, Governance and Strategy Division, to the Congress each year a report on the public and Federal agencies with an Office of Chief Data Officer. activities of the Council that includes recommendations that are considered opportunity to comment on proposed, [FR Doc. 2020–01715 Filed 1–29–20; 8:45 am] appropriate for the improvement of revised, and continuing collections of BILLING CODE 4000–01–P information. This helps the Department Federal education programs that include assess the impact of its information Indian children or adults as participants collection requirements and minimize DEPARTMENT OF EDUCATION or that may benefit Indian children or the public’s reporting burden. It also adults, and recommendations helps the public understand the National Advisory Council on Indian concerning the funding of any such Department’s information collection Education; Meeting program. Meeting Agenda: The purpose of the requirements and provide the requested AGENCY: National Advisory Council on data in the desired format. ED is meeting is to convene NACIE to conduct Indian Education (NACIE), U. S. the following business: soliciting comments on the proposed Department of Education. information collection request (ICR) that February 13 ACTION: Announcement of an open is described below. The Department of meeting. (1) Welcome and Introductions; (2) Education is especially interested in Update from the Office of Elementary public comment addressing the SUMMARY: This notice sets forth the and Secondary Education; (3) following issues: (1) Is this collection agenda for an upcoming public meeting Presentation-White House Initiative on necessary to the proper functions of the of the National Advisory Council on American Indian and Alaska Native Department; (2) will this information be Indian Education (NACIE). Notice of the Education (WHIAIANE); (4) processed and used in a timely manner; meeting is required by section 10(a)(2) Presentation-Director of the National (3) is the estimate of burden accurate; of the Federal Advisory Committee Act Indian Education Association(NIEA); (5) (4) how might the Department enhance (FACA) and is intended to notify Presentation-National Comprehensive the quality, utility, and clarity of the members of the public who may be Center information to be collected; and (5) how interested in attending. February 14 might the Department minimize the DATES: The NACIE meeting will be held burden of this collection on the on February 13–14, 2020 at the National (1) Presentation-Office of Indian respondents, including through the use Museum of the American Indian, Fourth Education; (2) Presentation-Expanding of information technology. Please note Street & Independence Avenue SW, Education Options for Indian Children; that written comments received in Washington, DC 20560, 4th Floor (3) Presentation-Bureau of Indian response to this notice will be Meeting Room on February 13, 2020– Education; (4) Discussion of Data considered public records. 10:00 a.m.–5:00 p.m. (EST) and Requests for the 2020 NACIE Annual Title of Collection: Application and February 14, 2020–9:00 a.m.–4:00 Report to Congress; (5) Discussion on Employment Certification for Public p.m.(EST). NACIE Vacancies; (6) Confirmation of Service Loan Forgiveness. NACIE Calendar for 2020–2021; and (7) FOR FURTHER INFORMATION CONTACT: OMB Control Number: 1845–0110. Public Comments. Type of Review: A revision of an Angeline Boulley, Director of the Office Access to the Meeting: All attendees existing information collection. of Indian Education (OIE)/Designated must RSVP for the meeting to ensure Respondents/Affected Public: Federal Official, Office of Elementary there is sufficient space to accommodate Individuals or Households. and Secondary Education (OESE), U.S. everyone. Please RSVP via email to Total Estimated Number of Annual Department of Education, 400 Maryland [email protected] no later than Responses: 801,261. Avenue SW, Washington, DC 20202. February 11, 2020. There will be online Total Estimated Number of Annual Telephone: 202–453–7042, Email: and teleconference capabilities for Burden Hours: 400,631. [email protected]. individuals who would like to remotely Abstract: The Department is SUPPLEMENTARY INFORMATION: attend the meeting. Adobe Connect consolidating the forms that borrowers Statutory Authority and Function: hyperlink inserted: NACIE Meeting must complete if they want to NACIE is authorized by § 6141 of the To copy and paste the hyperlink into ultimately receive the Public Service Elementary and Secondary Education browser: https:// Loan Forgiveness (PSLF) & Temporary Act of 1965. NACIE is established tribaltech.adobeconnect.com/ Expanded PLSF (TESPLF). There will within the U.S. Department of rlsrws0as4df/. now be a single form for these programs. Education to advise the Secretary of Adobe Connect Meeting Code: The form is being renamed the Public Education (Secretary) and the Secretary 6241321. Service Loan Forgiveness (PSLF) & of Interior on the funding and To join by telephone use call-in toll- Temporary Expanded PLSF (TESPLF) administration (including the free number 1–800–832–0736. Certification and Application. This development of regulations, and Public Comment: If you would like to revised form includes the Employment administrative policies and practices) of provide public comment, please submit
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your request no later than February 11, amended by Every Student Succeeds Act use these grants to plan, develop, or 2020 to [email protected]. (ESSA) (20 U.S.C. 7471). implement activities that strengthen the Public comments will be heard in the Frank T. Brogan, institution. Priority: This notice contains one order of requests received. Speakers will Assistant Secretary for Elementary and have up to five (5) minutes to provide Secondary Education. competitive preference priority. This a comment, with a one-hour maximum priority is from the Secretary’s Final [FR Doc. 2020–01613 Filed 1–29–20; 8:45 am] time limit for all public comments. Supplemental Priorities and Definitions BILLING CODE 4000–01–P Members of the public interested in for Discretionary Grant Programs submitting written comments may do so (Supplemental Priorities), which were via email at [email protected]. DEPARTMENT OF EDUCATION published in the Federal Register on Comments should pertain to the work of March 2, 2018 (83 FR 9096). NACIE and/or the Office of Indian Applications for New Awards; Alaska Competitive Preference Priority: For Education. Native and Native Hawaiian-Serving FY 2020 and any subsequent year in Reasonable Accommodations: The Institutions Program which we make awards from the list of hearing site is accessible to individuals unfunded applications from this with disabilities. If you will need an AGENCY: Office of Postsecondary competition, this priority is a auxiliary aid or service to participate in Education, Department of Education. competitive preference priority. Under the meeting (e.g., interpreting service, ACTION: Notice. 34 CFR 75.105(c)(2)(i), we award up to assistive listening device, or materials in an additional three points to an SUMMARY: The Department of Education an alternate format), notify Brandon application, depending on how well the (Department) is issuing a notice inviting Dent on 202–453–6450 or at application meets this priority. applications for new awards for fiscal [email protected] no later than This priority is: year (FY) 2020 for the Alaska Native and February 7, 2020. Although we will Fostering Knowledge and Promoting Native Hawaiian-Serving Institutions attempt to meet a request received after the Development of Skills that Prepare (ANNH) Program, Catalog of Federal the request due date, we may not be able Students to be Informed, Thoughtful, Domestic Assistance (CFDA) numbers to make available the requested and Productive Individuals and Citizens 84.031N (Alaska Native) and 84.031W auxiliary aid or service because of (up to 3 points). (Native Hawaiian). This notice relates to Projects that are designed to address insufficient time to make arrangements. the approved information collection supporting instruction in personal Access to Records of the Meeting: The under OMB control number 1840–0810. financial literacy, knowledge of markets Department will post the official report DATES and economics, knowledge of higher of the meeting on the OESE website at: Applications Available: January 30, education financing and repayment https://oese.ed.gov/offices/office-of- 2020. (e.g., college savings and student loans), indian-education/ 21 days after the Deadline for Transmittal of or other skills aimed at building meeting. Pursuant to the FACA, the Applications: March 16, 2020. personal financial understanding and public may also inspect NACIE records Deadline for Intergovernmental responsibility. at the Office of Indian Education, Review: May 14, 2020. Definitions: These definitions apply to United States Department of Education, ADDRESSES: For the addresses for the selection criteria for this 400 Maryland Avenue SW, Washington, obtaining and submitting an competition and are from 34 CFR 77.1. DC 20202, Monday–Friday, 8:30 a.m. to application, please refer to our Common Demonstrates a rationale means a key 5:00 p.m. Eastern Time. Please email to Instructions for Applicants to project component included in the schedule an appointment. Wanda.Lee@ Department of Education Discretionary project’s logic model is informed by ed.gov or by calling Wanda Lee at (202) Grant Programs, published in the research or evaluation findings that 3453–7262 to schedule an appointment. Federal Register on February 13, 2019 suggest the project component is likely Electronic Access to this Document: (84 FR 3768), and available at to improve relevant outcomes. The official version of this document is www.govinfo.gov/content/pkg/FR-2019- Logic model (also referred to as theory the document published in the Federal 02-13/pdf/2019-02206.pdf. of action) means a framework that Register. Free internet access to the FOR FURTHER INFORMATION CONTACT: identifies key project components of the official edition of the Federal Register proposed project (i.e., the active and the Code of Federal Regulations is Robyn Wood, U.S. Department of Education, 400 Maryland Avenue SW, ‘‘ingredients’’ that are hypothesized to available via the Federal Digital System be critical to achieving the relevant at: www.gpo.gov/fdsys. At this site you Room 268–42, Washington, DC 20202– 4260. Telephone: (202) 453–7744. outcomes) and describes the theoretical can view this document, as well as all and operational relationships among the other documents of this Department Email: [email protected]. If you use a telecommunications key project components and relevant published in the Federal Register, in outcomes. text or Adobe Portable Document device for the deaf (TDD) or a text telephone (TTY), call the Federal Relay Note: In developing logic models, Format (PDF). To use PDF, you must applicants may want to use resources have Adobe Acrobat Reader, which is Service (FRS), toll free, at 1–800–877– 8339. such as the Regional Educational available free at the site. Laboratory Program’s (REL Pacific) You may also access documents of the SUPPLEMENTARY INFORMATION: Education Logic Model Application, Department published in the Federal Full Text of Announcement available at https://ies.ed.gov/ncee/ Register by using the article search edlabs/regions/pacific/elm.asp, to help feature at: www.federalregister.gov. I. Funding Opportunity Description design their logic models. Other sources Specifically, through the advanced Purpose of Program: The ANNH include: https://ies.ed.gov/ncee/edlabs/ search feature at this site, you can limit Program provides grants to eligible regions/pacific/pdf/REL_2014025.pdf, your search to documents published by institutions of higher education (IHEs) https://ies.ed.gov/ncee/edlabs/regions/ the Department. to enable them to improve and expand pacific/pdf/REL_2014007.pdf, and Authority: § 6141 of the Elementary and their capacity to serve Alaska Natives https://ies.ed.gov/ncee/edlabs/regions/ Secondary Education Act of 1965 (ESEA) as and Native Hawaiians. Institutions may northeast/pdf/REL_2015057.pdf.
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Project component means an activity, Estimated Range of Awards: b. Relationship between the Title III, strategy, intervention, process, product, $400,000–$450,000 per year. Part A Programs and the Developing practice, or policy included in a project. Estimated Average Size of Awards: Hispanic-Serving Institutions (HSI) Evidence may pertain to an individual $425,000 per year. Program: project component or to a combination Maximum Award: We will not make A grantee under the HSI Program, of project components (e.g., training an award exceeding $450,000 for a which is authorized under title V of the teachers on instructional practices for single budget period of 12 months. HEA, may not receive a grant under any English learners and follow-on coaching Estimated Number of Awards: 27. HEA, title III, part A program. The title for these teachers). Cooperative Arrangement III, part A programs are: The Relevant outcome means the student Development Grants: Strengthening Institutions Program; the Estimated Range of Awards: outcome(s) or other outcome(s) the key Tribally Controlled Colleges and $450,000–$500,000 per year. project component is designed to Estimated Average Size of Awards: Universities program; the Alaska Native improve, consistent with the specific $475,000 per year. and Native Hawaiian-Serving goals of the program. Maximum Award: We will not make Institutions program; the Asian Program Authority: 20 U.S.C. 1059d an award exceeding $500,000 for a American and Native American Pacific (title III, part A, of the Higher Education single budget period of 12 months. Islander-Serving Institutions program; Act of 1965, as amended (HEA)). Estimated Number of Awards: 3. and the Native American-Serving Note: In 2008, the HEA was amended Note: The Department is not bound by Nontribal Institutions program. by the Higher Education Opportunity any estimates in this notice. Furthermore, a current HSI program Act of 2008 (HEOA), Public Law 110– Project Period: Up to 60 months. grantee may not give up its HSI grant in 315. Please note that the regulations for order to be eligible to receive a grant III. Eligibility Information ANNH in 34 CFR part 607 have not been under ANNH or any title III, part A updated to reflect these statutory 1. a. Eligible Applicants: program as described in 34 CFR changes. The statute supersedes all This program is authorized by title III, 607.2(g)(1). other regulations. part A, of the HEA. At the time of An eligible HSI that is not a current Applicable Regulations: (a) The submission of their applications, grantee under the HSI program may Education Department General applicants must certify their total apply for a FY 2020 grant under all title Administrative Regulations in 34 CFR undergraduate headcount enrollment III, part A programs for which it is parts 75, 77, 79, 82, 84, 86, 97, 98, and and that either 20 percent of the IHE’s eligible, as well as receive consideration 99. (b) The Office of Management and enrollment is Alaska Native or 10 for a grant under the HSI program. Budget Guidelines to Agencies on percent is Native Hawaiian. An However, a successful applicant may Governmentwide Debarment and assurance form, which is included in receive only one grant as described in Suspension (Nonprocurement) in 2 CFR the application materials for this 34 CFR 607.2(g)(1). part 180, as adopted and amended as competition, must be signed by an An eligible IHE that submits regulations of the Department in 2 CFR official for the applicant and submitted. applications for an Individual To qualify as an eligible institution part 3485. (c) The Uniform Development Grant and a Cooperative under the ANNH Program, an Administrative Requirements, Cost Arrangement Development Grant in this institution must— Principles, and Audit Requirements for (i) Be accredited or preaccredited by competition may be awarded both in the Federal Awards in 2 CFR part 200, as a nationally recognized accrediting same fiscal year. However, we will not adopted and amended as regulations of agency or association that the Secretary award a second Cooperative the Department in 2 CFR part 3474. (d) has determined to be a reliable authority Arrangement Development Grant to an The regulations for this program in 34 as to the quality of education or training otherwise eligible IHE for an award year CFR part 607. (e) The Supplemental offered; for which the IHE already has a Priorities. (ii) Be legally authorized by the State Cooperative Arrangement Development Grant award under the ANNH Program. II. Award Information in which it is located to be a junior or community college or to provide an A grantee with an Individual Type of Award: Discretionary grants. educational program for which it Development Grant or a Cooperative Five-year Individual Development awards a bachelor’s degree; Arrangement Development Grant may Grants and Cooperative Arrangement (iii) Be designated as an ‘‘eligible be a subgrantee in one or more Development Grants will be awarded in institution,’’ as defined in 34 CFR 600.2, Cooperative Arrangement Development FY 2020. by demonstrating that it: (1) Has an Grants. The lead institution in a Note: A cooperative arrangement is an enrollment of needy students as Cooperative Arrangement Development arrangement to carry out allowable grant described in 34 CFR 607.3; and (2) has Grant must be an eligible institution. activities between an institution eligible low average educational and general Partners or subgrantees are not required to receive a grant under this part and expenditures per full-time equivalent to be eligible institutions. another eligible or ineligible IHE, under (FTE) undergraduate student as 2. a. Cost Sharing or Matching: This which the resources of the cooperating described in 34 CFR 607.4. program does not require cost sharing or institutions are combined and shared to Note: The notice announcing the FY matching. better achieve the purposes of this part 2020 process for designation of eligible b. Supplement-Not-Supplant: This and avoid costly duplication of effort. institutions, and inviting applications program involves supplement-not- Estimated Available Funds: for waiver of eligibility requirements, supplant funding requirements. Grant $12,884,824. was published in the Federal Register funds must be used so that they Contingent upon the availability of on December 16, 2019 (84 FR 68434). supplement and, to the extent practical, funds and the quality of applications, Only institutions that the Department increase the funds that would otherwise we may make additional awards in FY determines are eligible, or which are be available for the activities to be 2021 from the list of unfunded granted a waiver under the process carried out under the grant and in no applications from this competition. described in that notice, may apply for case supplant those funds (34 CFR Individual Development Grants: a grant in this program. 607.30 (b)).
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3. Subgrantees: A grantee under this does apply to all of the application (d) Quality of implementation competition may not award subgrants to narrative. strategy. (18 points). The extent to entities to directly carry out project Note: The Budget Information-Non- which— activities described in its application. Construction Programs Form (ED 524) (1) The implementation strategy for Sections A–C are not the same as the each activity is comprehensive; IV. Application and Submission (2) The rationale for the Information narrative response to the Budget section of the selection criteria. implementation strategy for each 1. Application Submission activity is clearly described and is Instructions: Applicants are required to V. Application Review Information supported by the results of relevant follow the Common Instructions for 1. Selection Criteria: The following studies or projects; and Applicants to Department of Education selection criteria for this competition (3) The timetable for each activity is Discretionary Grant Programs, are from 34 CFR 607.22(a) through (g) realistic and likely to be attained. published in the Federal Register on and 34 CFR 75.210. Applicants should (e) Quality of key personnel. (8 February 13, 2019 (84 FR 3768), and address each of the following selection points). The extent to which— available at www.govinfo.gov/content/ criteria separately for each proposed (1) The past experience and training pkg/FR-2019-02-13/pdf/2019-02206.pdf, activity. The selection criteria are worth of key professional personnel are which contain requirements and a total of 100 points; the maximum directly related to the stated activity information on how to submit an score for each criterion is noted in objectives; and (2) The time commitment of key application. parentheses. personnel is realistic. 2. Intergovernmental Review: This (a) Quality of the applicant’s program is subject to Executive Order (f) Quality of project management comprehensive development plan. (20 plan. (10 points). The extent to which— 12372 and the regulations in 34 CFR points). The extent to which— part 79. Information about (1) Procedures for managing the (1) The strengths, weaknesses, and project are likely to ensure efficient and Intergovernmental Review of Federal significant problems of the institution’s Programs under Executive Order 12372 effective project implementation; and academic programs, institutional (2) The project coordinator and is in the application package for this management, and fiscal stability are activity directors have sufficient program. clearly and comprehensively analyzed authority to conduct the project 3. Funding Restrictions: We specify and result from a process that involved effectively, including access to the unallowable costs in 34 CFR 607.10(c). major constituencies of the institution; president or chief executive officer. We reference additional regulations (2) The goals for the institution’s (g) Quality of evaluation plan. (12 outlining funding restrictions in the academic programs, institutional points). The extent to which— Applicable Regulations section of this management, and fiscal stability are (1) The data elements and the data notice. realistic and based on comprehensive collection procedures are clearly 4. Recommended Page Limit: The analysis; described and appropriate to measure application narrative (Part III of the (3) The objectives stated in the plan the attainment of activity objectives and application) is where you, the applicant, are measurable, related to institutional to measure the success of the project in address the selection criteria that goals, and, if achieved, will contribute achieving the goals of the reviewers use to evaluate your to the growth and self-sufficiency of the comprehensive development plan; and application. We recommend that you (1) institution; and (2) The data analysis procedures are limit the application narrative to no (4) The plan clearly and clearly described and are likely to more than 50 pages for Individual comprehensively describes the methods produce formative and summative Development Grants and no more than and resources the institution will use to results on attaining activity objectives 65 pages for Cooperative Arrangement institutionalize practice and and measuring the success of the project Development Grants and (2) use the improvements developed under the on achieving the goals of the following standards: proposed project, including, in comprehensive development plan. • A ‘‘page’’ is 8.5″ x 11″, on one side particular, how operational costs for (h) Budget. (7 points). The extent to only, with 1″ margins at the top, bottom, personnel, maintenance, and upgrades which the proposed costs are necessary and both sides. of equipment will be paid with and reasonable in relation to the • Double space (no more than three institutional resources. project’s objectives and scope. lines per vertical inch) all text in the 2. Review and Selection Process: We (b) Quality of activity objectives. (15 application narrative, including titles, remind potential applicants that in points). The extent to which the headings, footnotes, quotations, reviewing applications in any objectives for each activity are— references, and captions as well as all discretionary grant competition, the text in charts, tables, figures, and (1) Realistic and defined in terms of Secretary may consider, under 34 CFR graphs. measurable results; and 75.217(d)(3), the past performance of the • Use a font that is either 12 point or (2) Directly related to the problems to applicant in carrying out a previous larger, and no smaller than 10 pitch be solved and to the goals of the award, such as the applicant’s use of (characters per inch). comprehensive development plan. funds, achievement of project • Use one of the following fonts: (c) Quality of the project design. (10 objectives, and compliance with grant Times New Roman, Courier, Courier points). conditions. The Secretary may also New, or Arial. (1) The Secretary considers the consider whether the applicant failed to The recommended page limit does not quality of the design of the proposed submit a timely performance report or apply to Part I, the cover sheet; Part II, project. submitted a report of unacceptable the budget section, including the (2) In determining the quality of the quality. narrative budget justification; Part IV, design of the proposed project, the In addition, in making a competitive the assurances and certifications; or the Secretary considers the extent to which grant award, the Secretary requires one-page abstract and the bibliography. the proposed project demonstrates a various assurances, including those However, the recommended page limit rationale (as defined in this notice). applicable to Federal civil rights laws
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that prohibit discrimination in programs over the course of the project period identified and only to the extent that or activities receiving Federal financial may exceed the simplified acquisition open licensing is permitted under the assistance from the Department (34 CFR threshold (currently $250,000), under 2 terms of any licenses or other legal 100.4, 104.5, 106.4, 108.8, and 110.23). CFR 200.205(a)(2) we must make a restrictions on the use of pre-existing A panel of three non-Federal judgment about your integrity, business works. Additionally, a grantee or reviewers will review and score each ethics, and record of performance under subgrantee that is awarded competitive application in accordance with the Federal awards—that is, the risk posed grant funds must have a plan to selection criteria. A rank order funding by you as an applicant—before we make disseminate these public grant slate will be made from this review. an award. In doing so, we must consider deliverables. This dissemination plan Awards will be made in rank order any information about you that is in the can be developed and submitted after according to the average score received integrity and performance system your application has been reviewed and from the peer review and from the (currently referred to as the Federal selected for funding. For additional competitive preference priority. Awardee Performance and Integrity information on the open licensing In tie-breaking situations for Information System (FAPIIS)), requirements please refer to 2 CFR development grants, 34 CFR 607.23(b) accessible through the System for 3474.20. requires that we award one additional Award Management. You may review 4. Reporting: (a) If you apply for a point to an application from an IHE that and comment on any information about grant under this competition, you must has an endowment fund of which the yourself that a Federal agency ensure that you have in place the current market value, per FTE enrolled previously entered and that is currently necessary processes and systems to student, is less than the average current in FAPIIS. comply with the reporting requirements market value of the endowment funds, Please note that, if the total value of in 2 CFR part 170 should you receive per FTE enrolled student, at comparable your currently active grants, cooperative funding under the competition. This type institutions that offer similar agreements, and procurement contracts does not apply if you have an exception instruction. We award one additional from the Federal Government exceeds under 2 CFR 170.110(b). point to an application from an IHE that $10,000,000, the reporting requirements (b) At the end of your project period, has expenditures for library materials in 2 CFR part 200, Appendix XII, you must submit a final performance per FTE enrolled student that are less require you to report certain integrity report, including financial information, than the average expenditure for library information to FAPIIS semiannually. as directed by the Secretary. If you materials per FTE enrolled student at Please review the requirements in 2 CFR receive a multiyear award, you must similar type institutions. We also add part 200, Appendix XII, if this grant submit an annual performance report one additional point to an application plus all the other Federal funds you that provides the most current from an IHE that proposes to carry out receive exceed $10,000,000. performance and financial expenditure information as directed by the Secretary one or more of the following activities— VI. Award Administration Information (1) Faculty development; under 34 CFR 75.118. The Secretary (2) Funds and administrative 1. Award Notices: If your application may also require more frequent management; is successful, we notify your U.S. performance reports under 34 CFR (3) Development and improvement of Representative and U.S. Senators and 75.720(c). For specific requirements on academic programs; send you a Grant Award Notification reporting, please go to www.ed.gov/ (4) Acquisition of equipment for use (GAN); or we may send you an email fund/grant/apply/appforms/ in strengthening management and containing a link to access an electronic appforms.html. academic programs; version of your GAN. We may notify 5. Performance Measures: The (5) Joint use of facilities; and you informally, also. Secretary has established the following (6) Student services. If your application is not evaluated or key performance measures for assessing For the purpose of these funding not selected for funding, we notify you. the effectiveness of the ANNH Program: considerations, we use 2018–2019 data. 2. Administrative and National Policy (a) The percentage change, over the If a tie remains after applying the tie- Requirements: We identify five-year period, of the number of full- breaker mechanism above, priority will administrative and national policy time degree-seeking undergraduates be given to applicants that have the requirements in the application package enrolled at Alaska Native and Native lowest endowment values per FTE and reference these and other Hawaiian-Serving Institutions (Note: enrolled student. requirements in the Applicable This is a long-term measure, which will 3. Risk Assessment and Specific Regulations section of this notice. be used to periodically gauge Conditions: Consistent with 2 CFR We reference the regulations outlining performance); 200.205, before awarding grants under the terms and conditions of an award in (b) The percentage of first-time, full- this program the Department conducts a the Applicable Regulations section of time degree-seeking undergraduate review of the risks posed by applicants. this notice and include these and other students at four-year Alaska Native and Under 2 CFR 3474.10, the Secretary may specific conditions in the GAN. The Native Hawaiian-Serving Institutions impose specific conditions and, in GAN also incorporates your approved who were in their first year of appropriate circumstances, high-risk application as part of your binding postsecondary enrollment in the conditions on a grant if the applicant or commitments under the grant. previous year and are enrolled in the grantee is not financially stable; has a 3. Open Licensing Requirements: current year at the same Alaska Native history of unsatisfactory performance; Unless an exception applies, if you are and Native Hawaiian-Serving has a financial or other management awarded a grant under this competition, Institution; system that does not meet the standards you will be required to openly license (c) The percentage of first-time, full- in 2 CFR part 200, subpart D; has not to the public grant deliverables created time degree-seeking undergraduate fulfilled the conditions of a prior grant; in whole, or in part, with Department students at two-year Alaska Native and or is otherwise not responsible. grant funds. When the deliverable Native Hawaiian-Serving Institutions 4. Integrity and Performance System: consists of modifications to pre-existing who were in their first year of If you are selected under this works, the license extends only to those postsecondary enrollment in the competition to receive an award that modifications that can be separately previous year and are enrolled in the
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current year at the same Alaska Native search to documents published by the Accession Number: 20200123–5020. and Native Hawaiian-Serving Department. Comments Due: 5 p.m. ET 2/13/20. Institution; Robert L. King, Docket Numbers: ER19–1635–001. (d) The percentage of first-time, full- Applicants: Glaciers Edge Wind time degree-seeking undergraduate Assistant Secretary for the Office of Postsecondary Education. Project, LLC. students enrolled at four-year Alaska Description: Notice of Change in Native and Native Hawaiian-Serving [FR Doc. 2020–01711 Filed 1–29–20; 8:45 am] Status of Glaciers Edge Wind Project, Institutions who graduate within six BILLING CODE 4000–01–P LLC. years of enrollment; and Filed Date: 1/21/20. (e) The percentage of first-time, full- Accession Number: 20200121–5395. time degree-seeking undergraduate DEPARTMENT OF ENERGY Comments Due: 5 p.m. ET 2/11/20. students enrolled at two-year Alaska Federal Energy Regulatory Docket Numbers: ER19–1889–001; Native and Native Hawaiian-Serving Commission ER18–1984–001. Institutions who graduate within three Applicants: Antrim Wind Energy LLC, years of enrollment. Combined Notice of Filings #1 Big Level Wind LLC. 6. Continuation Awards: In making a Description: Notice of Change in continuation award under 34 CFR Take notice that the Commission Status of TransAlta MBR Sellers. 75.253, the Secretary considers, among received the following electric rate Filed Date: 1/21/20. other things: Whether a grantee has filings: Accession Number: 20200121–5396. made substantial progress in achieving Docket Numbers: ER16–1257–002; Comments Due: 5 p.m. ET 2/11/20. the goals and objectives of the project; ER10–1328–004; ER10–1330–008; Docket Numbers: ER19–2915–001. whether the grantee has expended funds ER10–1331–004; ER10–1332–004; Applicants: PJM Interconnection, in a manner that is consistent with its ER10–2522–005; ER10–2567–005; L.L.C. approved application and budget; and, ER12–1502–006; ER12–1504–006; Description: Compliance filing: if the Secretary has established ER12–2313–006; ER16–61–004; ER16– Response to the Commission’s 12/23/ performance measurement 63–004; ER16–64–004; ER17–2–004; 2019 Deficiency Letter re: Cost requirements, the performance targets in ER17–2336–006; ER17–360–003; ER17– Commitment to be effective 1/1/2020. the grantee’s approved application. 361–003; ER17–362–003; ER17–539– Filed Date: 1/22/20. In making a continuation award, the 002; ER17–540–002. Accession Number: 20200122–5118. Secretary also considers whether the Applicants: Caprock Solar 1 LLC, Comments Due: 5 p.m. ET 2/12/20. grantee is operating in compliance with Cimarron Windpower II, LLC, Frontier Docket Numbers: ER20–480–001. the assurances in its approved Windpower, LLC, Happy Jack Applicants: AEP Indiana Michigan application, including those applicable Windpower, LLC, Ironwood Transmission Company, PJM to Federal civil rights laws that prohibit Windpower, LLC, Kit Carson Interconnection, L.L.C. discrimination in programs or activities Windpower, LLC, Laurel Hill Wind Description: Tariff Amendment: receiving Federal financial assistance Energy, LLC, North Allegheny Wind, AEPSC submits IMTCo & NIPSCO from the Department (34 CFR 100.4, LLC, Pumpjack Solar I, LLC, Rio Bravo Interconnection Agreement SA No. 4247 104.5, 106.4, 108.8, and 110.23). Solar I, LLC, Rio Bravo Solar II, LLC, to be effective 10/21/2019. Seville Solar One LLC, Seville Solar Filed Date: 1/22/20. VII. Other Information Two LLC, Shoreham Solar Commons Accession Number: 20200122–5113. Accessible Format: Individuals with LLC, Silver Sage Windpower, LLC, Comments Due: 5 p.m. ET 2/12/20. disabilities can obtain this document Tallbear Seville LLC, Three Buttes Docket Numbers: ER20–862–000. and a copy of the application package in Windpower, LLC, Top of the World Applicants: Midcontinent an accessible format (e.g., braille, large Wind Energy LLC, Wildwood Solar I, Independent System Operator, Inc. print, audiotape, or compact disc) on LLC, Wildwood Solar II, LLC Description: § 205(d) Rate Filing: request to the program contact person Description: Notice of Change in 2020–01–22_Interregional/NIPSCO listed under FOR FURTHER INFORMATION Status of the Duke MBR Sellers. Compliance filing to be effective 3/23/ CONTACT. Filed Date: 1/22/20. 2020. Electronic Access to This Document: Accession Number: 20200122–5142. Filed Date: 1/22/20. The official version of this document is Comments Due: 5 p.m. ET 2/12/20. Accession Number: 20200122–5111. the document published in the Federal Docket Numbers: ER17–1286–001. Comments Due: 5 p.m. ET 2/12/20. Register. You may access the official Applicants: PJM Interconnection, Docket Numbers: ER20–863–000. edition of the Federal Register and the L.L.C. Applicants: PJM Interconnection, Code of Federal Regulations at Description: Compliance filing: L.L.C. www.govinfo.gov. At this site you can Original ISA, SA No. 4654; Queue No. Description: § 205(d) Rate Filing: view this document, as well as all other AB2–109 (compliance filing) to be Amendment to WMPA SA No. 4821; documents of this Department effective 4/12/2017. Queue AC1–017 to be effective 10/12/ published in the Federal Register, in Filed Date: 1/23/20. 2017. text or Portable Document Format Accession Number: 20200123–5032. Filed Date: 1/23/20. (PDF). To use PDF you must have Comments Due: 5 p.m. ET 2/13/20. Accession Number: 20200123–5022. Adobe Acrobat Reader, which is Docket Numbers: ER18–2068–005. Comments Due: 5 p.m. ET 2/13/20. available free at the site. Applicants: PJM Interconnection, Docket Numbers: ER20–864–000. You may also access documents of the L.L.C. Applicants: Midcontinent Department published in the Federal Description: Compliance filing: Independent System Operator, Inc. Register by using the article search Revisions to the Tariff re Attachment Description: § 205(d) Rate Filing: feature at: www.federalregister.gov. QQ—FTR Waiver Settlement to be 2020–01–23_SA 3413 Ameren IL-Cass Specifically, through the advanced effective 12/30/2019. County Solar Project GIA (J859) to be feature at this site, you can limit your Filed Date: 1/23/20. effective 1/8/2020.
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Filed Date: 1/23/20. DEPARTMENT OF ENERGY with the Commission to serve a copy of Accession Number: 20200123–5061. that document on each person on the Federal Energy Regulatory official service list for the project. Comments Due: 5 p.m. ET 2/13/20. Commission Further, if an intervenor files comments Docket Numbers: ER20–865–000. [Project No. 3251–010] or documents with the Commission relating to the merits of an issue that Applicants: New York Independent may affect the responsibilities of a System Operator, Inc. Notice of Application Ready for Environmental Analysis, and Soliciting particular resource agency, they must Description: § 205(d) Rate Filing: 205 Comments, Recommendations, Terms also serve a copy of the document on re: Development Agreement among the and Conditions, and Prescriptions; that resource agency. NYISO, NMPC & NY Transco to be Cornell University k. This application has been accepted effective 1/10/2020. and is ready for environmental analysis Take notice that the following at this time. Filed Date: 1/23/20. hydroelectric application has been filed l. The project works consist of: (1) An Accession Number: 20200123–5069. with the Commission and is available existing 28-foot-high, 260-foot-long Comments Due: 5 p.m. ET 2/13/20. for public inspection. reinforced-concrete gravity overflow- a. Type of Application: New Major type dam, known as Beebe Lake Dam, Docket Numbers: ER20–866–000. License. with a crest elevation of 780.7 feet mean Applicants: Arizona Public Service b. Project No.: 3251–010. sea level (msl); (2) an impoundment Company. c. Date Filed: June 28, 2019. (Beebe Lake) with a surface area of 16 d. Applicant: Cornell University. acres and a storage capacity of 50 acre- Description: § 205(d) Rate Filing: e. Name of Project: Cornell University feet at the normal pool elevation of Service Agreement No. 174 and 378 to Hydroelectric Project (Cornell Project). 780.7 feet msl; (3) a concrete forebay be effective 12/27/2019. f. Location: On Fall Creek within the wall and reinforced-concrete intake Filed Date: 1/23/20. Cornell University campus in the City of with a 6-foot-high, 6-foot-wide steel Accession Number: 20200123–5077. Ithaca, Tompkins County, New York. vertical-slide gate along the right (north) The project does not occupy federal bank; (4) a 5-foot-diameter, 1,507-foot- Comments Due: 5 p.m. ET 2/13/20. land. long reinforced-concrete underground Docket Numbers: ER20–867–000. g. Filed Pursuant to: Federal Power pipeline and a 5-foot-diameter, 200-foot- Act 16 U.S.C. 791 (a)–825 (r). Applicants: Arizona Public Service long riveted-steel underground h. Applicant Contact: Mr. Frank penstock; (5) a 79-foot-long, 29-foot- Company. Perry, Manager of Projects, Energy and wide, 24-foot-high powerhouse Description: § 205(d) Rate Filing: Sustainability, Humphreys Service containing two Ossberger turbines and Service Agreement No. 365 Cancellation Building, Room 131, Cornell University, induction generators with a combined to be effective 3/24/2020. Ithaca, NY 14853–3701; (607) 255–6634; authorized capacity of 1,718 kilowatts; Filed Date: 1/23/20. email—[email protected]. (6) a tailrace located on the river right- i. FERC Contact: Christopher Millard side of Fall Creek directly below the Accession Number: 20200123–5078. at (202) 502–8256; or email at powerhouse; (7) a 385-foot-long, 2.4- Comments Due: 5 p.m. ET 2/13/20. [email protected]. kilovolt transmission line connecting to j. Deadline for filing comments, Cornell’s distribution system; and (8) The filings are accessible in the recommendations, terms and appurtenant facilities. Commission’s eLibrary system by conditions, and prescriptions: 60 days The Cornell Project is operated in a clicking on the links or querying the from the issuance date of this notice; run-of-river mode and bypasses an docket number. reply comments are due 105 days from 1,800-foot-long reach of Fall Creek that Any person desiring to intervene or the issuance date of this notice. extends from the toe of the dam to the protest in any of the above proceedings The Commission strongly encourages powerhouse tailrace. From 2013 through must file in accordance with Rules 211 electronic filing. Please file comments, 2018, the average annual generation was and 214 of the Commission’s recommendations, terms and 4,599 megawatt-hours. Regulations (18 CFR 385.211 and conditions, and prescriptions using the m. A copy of the application is 385.214) on or before 5:00 p.m. Eastern Commission’s eFiling system at http:// available for review at the Commission Time on the specified comment date. www.ferc.gov/docs-filing/efiling.asp. in the Public Reference Room or may be Protests may be considered, but Commenters can submit brief comments viewed on the Commission’s website at intervention is necessary to become a up to 6,000 characters, without prior http://www.ferc.gov using the party to the proceeding. registration, using the eComment system ‘‘eLibrary’’ link. Enter the docket at http://www.ferc.gov/docs-filing/ number excluding the last three digits in eFiling is encouraged. More detailed ecomment.asp. You must include your the docket number field to access the information relating to filing name and contact information at the end document. For assistance, contact FERC requirements, interventions, protests, of your comments. For assistance, Online Support. A copy is also available service, and qualifying facilities filings please contact FERC Online Support at for inspection and reproduction at the can be found at: http://www.ferc.gov/ [email protected], (866) address in item h above. docs-filing/efiling/filing-req.pdf. For 208–3676 (toll free), or (202) 502–8659 All filings must (1) bear in all capital other information, call (866) 208–3676 (TTY). In lieu of electronic filing, please letters the title ‘‘COMMENTS,’’ ‘‘REPLY (toll free). For TTY, call (202) 502–8659. send a paper copy to: Secretary, Federal COMMENTS,’’ Dated: January 23, 2020. Energy Regulatory Commission, 888 ‘‘RECOMMENDATIONS,’’ ‘‘TERMS First Street NE, Washington, DC 20426. AND CONDITIONS,’’ or Nathaniel J. Davis, Sr., The first page of any filing should ‘‘PRESCRIPTIONS;’’ (2) set forth in the Deputy Secretary. include docket number P–3251–010. heading the name of the applicant and [FR Doc. 2020–01591 Filed 1–29–20; 8:45 am] The Commission’s Rules of Practice the project number of the application to BILLING CODE 6717–01–P require all intervenors filing documents which the filing responds; (3) furnish
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the name, address, and telephone the service list prepared by the issuance of this notice: (1) A copy of the number of the person submitting the Commission in this proceeding, in water quality certification; (2) a copy of filing; and (4) otherwise comply with accordance with 18 CFR 4.34(b) and the request for certification, including the requirements of 18 CFR 385.2001 385.2010. proof of the date on which the certifying through 385.2005. All comments, You may also register online at http:// agency received the request; or (3) recommendations, terms and conditions www.ferc.gov/docs-filing/ evidence of waiver of water quality or prescriptions must set forth their esubscription.asp to be notified via certification. evidentiary basis and otherwise comply email of new filings and issuances with the requirements of 18 CFR 4.34(b). related to this or other pending projects. o. Procedural schedule: The Agencies may obtain copies of the For assistance, contact FERC Online application will be processed according application directly from the applicant. Support. to the following schedule. Revisions to Each filing must be accompanied by n. A license applicant must file no the schedule will be made as proof of service on all persons listed on later than 60 days following the date of appropriate.
Milestone Target date
Deadline for filing comments, recommendations, terms and conditions, and prescriptions ...... March 2020. Reply comments due ...... May 2020. Commission issues EA ...... September 2020. Comments on EA due ...... October 2020.
Dated: January 23, 2020. motions to intervene, and protests using The marina proposal includes Kimberly D. Bose, the Commission’s eFiling system at approximately 166 feet of riprap to be Secretary. http://www.ferc.gov/docs-filing/ installed as shoreline stabilization. [FR Doc. 2020–01597 Filed 1–29–20; 8:45 am] efiling.asp. Commenters can submit l. Locations of the Application: A copy of the application is available for BILLING CODE 6717–01–P brief comments up to 6,000 characters, without prior registration, using the inspection and reproduction at the eComment system at http:// Commission’s Public Reference Room, DEPARTMENT OF ENERGY www.ferc.gov/docs-filing/ located at 888 First Street NE, Room 2A, ecomment.asp. You must include your Washington, DC 20426, or by calling Federal Energy Regulatory name and contact information at the end (202) 502–8371. This filing may also be Commission of your comments. For assistance, viewed on the Commission’s website at please contact FERC Online Support at http://www.ferc.gov using the [Project No. 2503–178] [email protected], (866) ‘‘eLibrary’’ link. Enter the docket Notice of Application Accepted for 208–3676 (toll free), or (202) 502–8659 number excluding the last three digits in Filing and Soliciting Comments, (TTY). In lieu of electronic filing, please the docket number field to access the Motions To Intervene, and Protests; send a paper copy to: Secretary, Federal document. You may also register online Duke Energy Carolinas, LLC Energy Regulatory Commission, 888 at http://www.ferc.gov/docs-filing/ First Street NE, Washington, DC 20426. esubscription.asp to be notified via Take notice that the following The first page of any filing should email of new filings and issuances hydroelectric application has been filed include docket number P–2503–178. related to this or other pending projects. with the Commission and is available Comments emailed to Commission staff For assistance, call 1–866–208–3676 or for public inspection: are not considered part of the email [email protected], for a. Application Type: Non-Project Use Commission record. TTY, call (202) 502–8659. A copy is also of Project Lands and Waters. The Commission’s Rules of Practice available for inspection and b. Project No: 2503–178. and Procedure require all intervenors reproduction at the address in item (h) c. Date Filed: January 14, 2020. filing documents with the Commission above. Agencies may obtain copies of d. Applicant: Duke Energy Carolinas, to serve a copy of that document on the application directly from the LLC. each person whose name appears on the applicant. e. Name of Project: Keowee-Toxaway official service list for the project. m. Individuals desiring to be included Hydroelectric Project. Further, if an intervenor files comments on the Commission’s mailing list should f. Location: Lake Keowee in Pickens or documents with the Commission so indicate by writing to the Secretary County, South Carolina. relating to the merits of an issue that of the Commission. g. Filed Pursuant to: Federal Power may affect the responsibilities of a n. Comments, Protests, or Motions to Act, 16 U.S.C. 791a–825r. particular resource agency, they must Intervene: Anyone may submit h. Applicant Contact: Kelvin Reagan, also serve a copy of the document on comments, a protest, or a motion to Manager, Lake Services Southern that resource agency. intervene in accordance with the Region, Duke Energy, 526 S Church k. Description of Request: Duke requirements of Rules of Practice and Street/EC12Q, Charlotte, NC 28202, Energy Carolinas, LLC proposes to issue Procedure, 18 CFR 385.210, .211, .214, (704) 382–9386, kelvin.reagan@duke- a lease for the construction and respectively. In determining the energy.com. operation of a non-project, residential appropriate action to take, the i. FERC Contact: Mark Carter, (678) marina within the project boundary that Commission will consider all protests or 245–3083, [email protected]. would serve the Harborside Property other comments filed, but only those j. Deadline for filing comments, Owner’s Association. Harborside Marina who file a motion to intervene in motions to intervene, and protests: would occupy 0.85 acre of project lands accordance with the Commission’s February 24, 2020. and waters and would include 36 boat Rules may become a party to the The Commission strongly encourages docking locations (i.e., 3 cluster docks proceeding. Any comments, protests, or electronic filing. Please file comments, with 12 double slips and 12 end ties). motions to intervene must be received
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on or before the specified comment date utilities, including power marketers, to market-based rate authority if it wishes to for the particular application. file Electric Quarterly Reports.1 resume making sales at market-based rates.[3] o. Filing and Service of Documents: 2. The Commission requires sellers 4. The Commission further stated that, Any filing must (1) bear in all capital with market-based rate authorization to [o]nce this rule becomes effective, the letters the title ‘‘COMMENTS’’, file Electric Quarterly Reports requirement to comply with this rule will supersede the conditions in public utilities’ ‘‘PROTEST’’, or ‘‘MOTION TO summarizing contractual and transaction information related to their market-based rate authorizations, and failure INTERVENE’’ as applicable; (2) set forth to comply with the requirements of this rule in the heading the name of the applicant market-based power sales as a condition 2 will subject public utilities to the same and the project number of the for retaining that authorization. consequences they would face for not application to which the filing Commission staff’s review of the satisfying the conditions in their rate responds; (3) furnish the name, address, Electric Quarterly Reports indicates that authorizations, including possible revocation and telephone number of the person the following thirteen public utilities of their authority to make wholesale power 4 commenting, protesting or intervening; with market-based rate authorization sales at market-based rates.[ ] and (4) otherwise comply with the have failed to file their Electric 5. Pursuant to these requirements, the requirements of 18 CFR 385.2001 Quarterly Reports: Mint Energy, LLC, Commission has revoked the market- through 385.2005. All comments, Westmoreland Partners, E–T Global based rate tariffs of market-based rate motions to intervene, or protests must Energy, LLC, BBPC, LLC, Amerigreen sellers that failed to submit their set forth their evidentiary basis. Any Energy, Inc., Mac Trading, Inc., Liberty Electric Quarterly Reports.5 filing made by an intervenor must be Hill Power LLC, Imperial Valley Solar 6. Sellers must file Electric Quarterly accompanied by proof of service on all Company (IVSC) 1, LLC, Lexington Reports consistent with the procedures persons listed in the service list Power & Light, LLC, Clear Choice set forth in Order Nos. 2001, 768,6 and prepared by the Commission in this Energy, LLC, Energy Discounters, LLC, 770.7 The exact filing dates for Electric Infinite Energy Corporation, and North proceeding, in accordance with 18 CFR Quarterly Reports are prescribed in 18 Energy Power, LLC. This order notifies 385.2010. CFR 35.10b (2019). As noted above, these public utilities that their market- Commission staff’s review of the Dated: January 23, 2020. based rate authorizations will be Electric Quarterly Reports for the period Kimberly D. Bose, revoked unless they comply with the up to the third quarter of 2019 identified Secretary. Commission’s requirements within thirteen public utilities with market- [FR Doc. 2020–01602 Filed 1–29–20; 8:45 am] fifteen days of the date of issuance of based rate authorization that failed to this order. BILLING CODE 6717–01–P file Electric Quarterly Reports. 3. In Order No. 2001, the Commission Commission staff contacted or stated that, attempted to contact these entities to DEPARTMENT OF ENERGY [i]f a public utility fails to file a[n] Electric remind them of their regulatory Quarterly Report (without an appropriate obligations. Despite these reminders, the Federal Energy Regulatory request for extension), or fails to report an public utilities listed in the caption of Commission agreement in a report, that public utility may this order have not met these forfeit its market-based rate authority and obligations. Accordingly, this order Order on Intent To Revoke Market- may be required to file a new application for notifies these public utilities that their Based Rate Authority market-based rate authorizations will be 1 Revised Pub. Util. Filing Requirements, Order revoked unless they comply with the Docket Nos. No. 2001, 99 FERC ¶ 61,107, reh’g denied, Order No. 2001–A, 100 FERC ¶ 61,074, reh’g denied, Commission’s requirements within Order No. 2001–B, 100 FERC ¶ 61,342, order fifteen days of the issuance of this order. Electric Quarterly Reports ER02–2001–020 directing filing, Order No. 2001–C, 101 FERC 7. In the event that any of the above- Mint Energy, LLC ...... ER10–1110–000 ¶ 61,314 (2002), order directing filing, Order No. captioned market-based rate sellers has Westmoreland Partners ..... ER10–2291–001 2001–D, 102 FERC ¶ 61,334, order refining filing already filed its Electric Quarterly E–T Global Energy, LLC ... ER11–2039–001 requirements, Order No. 2001–E, 105 FERC ¶ 61,352 (2003), order on clarification, Order No. 2001–F, Reports in compliance with the BBPC, LLC ...... ER11–3028–002 106 FERC ¶ 61,060 (2004), order revising filing Commission’s requirements, its Amerigreen Energy, Inc ..... ER11–3879–001 requirements, Order No. 2001–G, 120 FERC inclusion herein is inadvertent. Such Mac Trading, Inc ...... ER11–4447–000 ¶ 61,270, order on reh’g and clarification, Order No. market-based rate seller is directed, 2001–H, 121 FERC ¶ 61,289 (2007), order revising Liberty Hill Power LLC ...... ER12–1202–001 within fifteen days of the date of Imperial Valley Solar Com- ER12–1170–003 filing requirements, Order No. 2001–I, 125 FERC ¶ 61,103 (2008). See also Filing Requirements for issuance of this order, to make a filing pany (IVSC) 1, LLC. Elec. Util. Serv. Agreements, 155 FERC ¶ 61,280, with the Commission identifying itself Lexington Power & Light, ER15–455–000 order on reh’g and clarification, 157 FERC ¶ 61,180 and providing details about its prior LLC. (2016) (clarifying Electric Quarterly Reports Clear Choice Energy, LLC ER13–183–000 reporting requirements and updating Data filings that establish that it complied Energy Discounters, LLC .. ER14–663–001 Dictionary). with the Commission’s Electric 2 Infinite Energy Corporation ER14–2421–000 See Refinements to Policies and Procedures for Quarterly Report filing requirements. Market-Based Rates for Wholesale Sales of Elect. North Energy Power, LLC ER15–626–000 Energy, Capacity and Ancillary Servs. by Public 3 Order No. 2001, 99 FERC ¶ 61,107 at P 222. Utils., Order No. 816, 153 FERC ¶ 61,065 (2015), 4 order on reh’g, Order No. 816–A, 155 FERC ¶ 61,188 Id. P 223. 1. Section 205 of the Federal Power (2016); Market-Based Rates for Wholesale Sales of 5 See, e.g., Elec. Quarterly Reports, 82 FR 60,976 Act (FPA), 16 U.S.C. 824d (2018), and Elec. Energy, Capacity and Ancillary Servs. by Pub. (Dec. 26, 2017); Elec. Quarterly Reports, 80 FR 18 CFR part 35 (2019), require, among Utils., Order No. 697, 119 FERC ¶ 61,295 (2007), at 58,243 (Sep. 28, 2015); Elec. Quarterly Reports, 79 FR 65,651 (Nov. 5, 2014). other things, that all rates, terms, and P 3, clarified, 121 FERC ¶ 61,260 (2007), order on reh’g, Order No. 697–A, 123 FERC ¶ 61,055 (2008), 6 Elec. Mkt. Transparency Provisions of Section conditions for jurisdictional services be clarified, 124 FERC ¶ 61,055, order on reh’g, Order 220 of the Fed. Power Act, Order No. 768, 140 FERC filed with the Commission. In Order No. No. 697–B, 125 FERC ¶ 61,326 (2008), order on ¶ 61,232 (2012), order on reh’g, Order No. 768–A, 2001, the Commission revised its public reh’g, Order No. 697–C, 127 FERC ¶ 61,284 (2009), 143 FERC ¶ 61,054 (2013), order on reh’g, Order No. utility filing requirements and order on reh’g, Order No. 697–D, 130 FERC ¶ 61,206 768–B, 150 FERC ¶ 61,075 (2015). (2010), aff’d sub nom. Mont. Consumer Counsel v. 7 See Revisions to Elec. Quarterly Report Filing established a requirement for public FERC, 659 F.3d 910 (9th Cir. 2011). Process, Order No. 770, 141 FERC ¶ 61,120 (2012).
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8. If any of the above-captioned (Commission or FERC) issued its Notice summaries, and direct links to the market-based rate sellers does not wish of Application for the Project. Among documents. Go to www.ferc.gov/docs- to continue having market-based rate other things, that notice alerted agencies filing/esubscription.asp. authority, it may file a notice of issuing federal authorizations of the Additional information about the cancellation with the Commission requirement to complete all necessary Project is available from the pursuant to section 205 of the FPA to reviews and to reach a final decision on Commission’s Office of External Affairs cancel its market-based rate tariff. a request for a federal authorization at (866) 208–FERC or on the FERC The Commission orders: within 90 days of the date of issuance website (www.ferc.gov). Using the (A) Within fifteen days of the date of of the Commission staff’s Environmental eLibrary link, select General Search issuance of this order, each public Assessment (EA) for the Project. This from the eLibrary menu, enter the utility listed in the caption of this order instant notice identifies the FERC staff’s selected date range and Docket Number shall file with the Commission all planned schedule for the completion of excluding the last three digits (i.e., delinquent Electric Quarterly Reports. If the EA for the Project. CP20–10), and follow the instructions. a public utility subject to this order fails For assistance with access to eLibrary, Schedule for Environmental Review to make the filings required in this the helpline can be reached at (866) order, the Commission will revoke that Issuance of EA: March 13, 2020. 208–3676, TTY (202) 502–8659, or at public utility’s market-based rate 90-day Federal Authorization [email protected]. The authorization and will terminate its Decision Deadline: June 11, 2020. eLibrary link on the FERC website also electric market-based rate tariff. The If a schedule change becomes provides access to the texts of formal Secretary is hereby directed, upon necessary, additional notice will be documents issued by the Commission, expiration of the filing deadline in this provided so that the relevant agencies such as orders, notices, and rule order, to promptly issue a notice, are kept informed of the Project’s makings. progress. effective on the date of issuance, listing Dated: January 24, 2020. the public utilities whose tariffs have Project Description Kimberly D. Bose, been revoked for failure to comply with the requirements of this order and the The Wick Meter and Regulator Station Secretary. Commission’s Electric Quarterly Report Project would consist of an ultrasonic [FR Doc. 2020–01689 Filed 1–29–20; 8:45 am] filing requirements. meter skid and other ancillary facilities BILLING CODE 6717–01–P (B) The Secretary is hereby directed to in Tyler County, West Virginia. The publish this order in the Federal ancillary facilities would include piping DEPARTMENT OF ENERGY Register. and valves, electronic flow measurement devices, flow By the Commission. conditioners, instrumentation, Federal Energy Regulatory Issued: January 23, 2020. telemetry, gas analysis devices, gas Commission Nathaniel J. Davis, Sr., quality monitoring devices, flow control [Project No. 1432–015] Deputy Secretary. valves, condensate storage tank, and [FR Doc. 2020–01590 Filed 1–29–20; 8:45 am] other related equipment. Rover would PB Energy, Inc.; Notice of Termination BILLING CODE 6717–01–P use about 2.1 acres of land to construct of License (Minor Project) by Implied the station, of which 0.9 acre would be Surrender and Soliciting Comments, fenced and maintained for operation of Protests, and Motions To Intervene DEPARTMENT OF ENERGY the station. Take notice that the following Federal Energy Regulatory Background hydroelectric proceeding has been Commission On January 21, 2020, the Commission initiated by the Commission: issued a Notice of Intent to Prepare an a. Type of Proceeding: Termination of [Docket No. CP20–10–000] Environmental Assessment for the License by Implied Surrender. Rover Pipeline LLC; Notice of Proposed Wick Meter and Regulator b. Project No.: 1432–015. Schedule for Environmental Review of Station Project and Request for c. Date Initiated: January 24, 2020. the Wick Meter and Regulator Station Comments on Environmental Issues d. Licensee: PB Energy, Inc. Project (NOI). The NOI was sent to affected e. Name and Location of Project: The landowners; federal, state, and local Dry Spruce Bay Hydroelectric Project On November 1, 2019, Rover Pipeline government agencies; elected officials; located on an unnamed stream near Port LLC (Rover) filed an application in environmental and public interest Bailey in Kodiak Island Borough Docket No. CP20–10–000 requesting a groups; Native American tribes; other County, Alaska. Certificate of Public Convenience and interested parties. To date, no comments f. Filed Pursuant to: Standard Article Necessity pursuant to Section 7(c) of the have been received in response to the 24. Natural Gas Act to construct, own, and NOI. All substantive comments will be g. Licensee Contact Information: PB operate a new meter station. The Wick addressed in the EA. Energy, Inc., P.O. Box KPY, Kodiak, Meter and Regulator Station Project Alaska 99697. (Project) would allow for the delivery of Additional Information h. FERC Contact: Kim Nguyen, (202) natural gas supplies from gathering In order to receive notification of the 502–6105, [email protected]. facilities, under development by Eureka issuance of the EA and to keep track of i. Deadline for filing comments, Midstream, LLC, for transportation on all formal issuances and submittals in motions to intervene and protests, is the Rover pipeline system, and it would specific dockets, the Commission offers thirty (30) days from the issuance date be located along Rover’s Sherwood a free service called eSubscription. This of this notice by the Commission. The Lateral Pipeline in Tyler County, West can reduce the amount of time you Commission strongly encourages Virginia. spend researching proceedings by electronic filing. Please file motions to On November 19, 2019, the Federal automatically providing you with intervene, protests, and comments using Energy Regulatory Commission notification of these filings, document the Commission’s eFiling system at
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http://www.ferc.gov/docs-filing/ January 16, 2020, Commission staff sent of a particular resource agency, they efiling.asp. Commenters can submit a letter notifying the licensee that the must also serve a copy of the document brief comments up to 6,000 characters, Commission will open a proceeding to on that resource agency. A copy of all without prior registration, using the terminate their license by implied other filings in reference to this eComment system at http:// surrender. application must be accompanied by www.ferc.gov/docs-filing/ l. This filing may be viewed on the proof of service on all persons listed in ecomment.asp. You must include your Commission’s website at http:// the service list prepared by the name and contact information at the end www.ferc.gov/docs-filing/elibrary.asp. Commission in this proceeding, in of your comments. For assistance, Enter the docket number excluding the accordance with 18 CFR 4.34(b) and please contact FERC Online Support at last three digits in the docket number 385.2010 (2019). field to access the notice. You may also [email protected], (866) Dated: January 24, 2020. 208–3676 (toll free), or (202) 502–8659 register online at http://www.ferc.gov/ Kimberly D. Bose, (TTY). In lieu of electronic filing, please docs-filing/esubscription.asp to be send a paper copy to: Secretary, Federal notified via email of new filings and Secretary. Energy Regulatory Commission, 888 issuances related to this or other [FR Doc. 2020–01690 Filed 1–29–20; 8:45 am] First Street NE, Washington, DC 20426. pending projects. For assistance, call BILLING CODE 6717–01–P The first page of any filing should toll-free 1–866–208–3676 or email include docket number P–1432–015. [email protected]. For TTY, j. Description of Project Facilities: (1) call (202) 502–8659. A copy of this DEPARTMENT OF ENERGY A 920-foot-long, 50-foot-wide ditch notice is also available for review and diverting water from an unnamed reproduction at the Commission in the Federal Energy Regulatory stream to an upper pond; (2) a 12.59- Public Reference Room, Room 2A, 888 Commission acre upper pond created by a 200-foot- First Street NE, Washington, DC 20426. [Project No. 10855–322] long, 50-foot-wide, 5-foot-high earthen m. Comments, Protests, or Motions to dam with a spillway and a 200-foot-long Intervene: Anyone may submit Upper Peninsula Power Company; overflow ditch; (3) a short metal flume comments, a protest, or a motion to Notice of Application Accepted for and a 275-foot-long, 12-inch-diamter intervene in accordance with the Filing, Soliciting Comments, Motions wood stave pipe conveying water from requirements of Rules of Practice and To Intervene, and Protests the upper pond to the lower pond; (4) Procedure, 18 CFR 385.210–12, and .214 a 1000-foot-long, 50-foot-wide ditch (2019). In determining the appropriate Take notice that the following diverting water from an unnamed action to take, the Commission will hydroelectric application has been filed stream to the lower pond; (5) a 2.2-acre consider all protests or other comments with the Commission and is available lower pond created by a 200-foot-long, filed, but only those who file a motion for public inspection: 50-foot-wide, 5-foot-high earthen dam; to intervene in accordance with the a. Type of Application: Request for (6) a 6,772-foot-long PVC and steel Commission’s Rules may become a temporary variance of Article 402. penstock conveying water from the party to the proceeding. Any comments, b. Project No.: 10855–322. lower pond to the powerhouse; (7) a protests, or motions to intervene must c. Date Filed: December 31, 2019, and steel powerhouse with a 75-kilowatt be received on or before the specified supplemented January 10 and 21, 2020. Pelton turbine; (8) a short transmission comment date for the application. d. Applicant: Upper Peninsula Power line; and (9) appurtenant facilities. n. Filing and Service of Responsive Company. k. Description of Proceeding: Article Documents: Any filing must (1) bear in e. Name of Project: Dead River 24 of the license states in part: If the all capital letters the title COMMENTS, Hydroelectric Project. Licensee shall abandon or discontinue PROTEST, or MOTION TO INTERVENE f. Location: Dead River, in Marquette good faith operation of the project or as applicable; (2) set forth in the County, Michigan. refuse or neglect to comply with the heading the name of the applicant and g. Filed Pursuant to: Federal Power terms of the license and the lawful the project number of the application to Act, 16 U.S.C. 791a–825r. orders of the Commission mailed to the which the filing responds; (3) furnish h. Applicant Contact: Mr. Virgil record address of the Licensee or its the name, address, and telephone Schlorke, Upper Peninsula Power agent, the Commission will deem it to number of the person protesting or Company, 800 Greenwood Street, be the intent of the Licensee to intervening; and (4) otherwise comply Ishpeming, MI 49849, (906) 485–2480. surrender the license. with the requirements of 18 CFR i. FERC Contact: Mr. Jeremy Jessup, The project has not been operational 385.2001–385.2005 (2019). All (202) 502–6779, [email protected]. for at least five years. On May 30, 2018, comments, motions to intervene, or j. Deadline for filing comments, the Licensee filed an application for a protests must set forth their evidentiary motions to intervene, and protests, is 30 subsequent license for the project. basis and otherwise comply with the days from the issuance date of this Commission staff rejected the licensee’s requirements of 18 CFR 4.34(b) (2019). notice by the Commission. The application for failing to cure All comments, motions to intervene, or Commission strongly encourages deficiencies and respond to additional protests should relate to project works electronic filing. Please file comments, information requests. Subsequently, on which are the subject of the implied motions to intervene, and protests using May 3, 2019, Commission staff issued a surrender. Agencies may obtain copies the Commission’s eFiling system at notice soliciting applications from other of the application directly from the http://www.ferc.gov/docs-filing/ potential applicants for the project. No applicant. A copy of any protest or efiling.asp. Commenters can submit filings or requests were received. By motion to intervene must be served brief comments up to 6,000 characters, letters dated September 25, 2019, upon each representative of the without prior registration, using the November 4, 2019, and December 12, applicant specified in the particular eComment system at http:// 2019, Commission staff requested the application. If an intervener files www.ferc.gov/doc-sfiling/ licensee to file their plan and schedule comments or documents with the ecomment.asp. You must include your for a license surrender. The licensee did Commission relating to the merits of an name and contact information at the end not file the requested information. On issue that may affect the responsibilities of your comments. For assistance,
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please contact FERC Online Support at email [email protected], for Description: Notice of Self- [email protected], (866) TTY, call (202) 502–8659. A copy is also Certification of Exempt Wholesale 208–3676 (toll free), or (202) 502–8659 available for inspection and Generator Status of Oberon Solar IB, (TTY). In lieu of electronic filing, please reproduction at the address in item (h) LLC. send a paper copy to: Secretary, Federal above. Filed Date: 1/22/20. Energy Regulatory Commission, 888 m. Individuals desiring to be included Accession Number: 20200122–5161. First Street, NE, Washington, DC 20426. on the Commission’s mailing list should Comments Due: 5 p.m. ET 2/12/20. The first page of any filing should so indicate by writing to the Secretary Docket Numbers: EG20–69–000. include docket numbers P–10855–322. of the Commission. Applicants: Prospero Energy Project, The Commission’s Rules of Practice n. Comments, Motions to Intervene, or LLC. and Procedure require all intervenors Protests: Anyone may submit Description: Notice of Self- filing documents with the Commission comments, a motion to intervene, or a Certification of Exempt Wholesale to serve a copy of that document on protest in accordance with the Generator Status of Prospero Energy each person on the official service list requirements of Rules of Practice and Project, LLC. for the project. Further, if an intervenor Procedure, 18 CFR 385.210, .211, .214. Filed Date: 1/24/20. files comments or documents with the In determining the appropriate action to Accession Number: 20200124–5027. Commission relating to the merits of an take, the Commission will consider all Comments Due: 5 p.m. ET 2/14/20. issue that may affect the responsibilities protests or other comments filed, but Take notice that the Commission of a particular resource agency, they only those who file a motion to must also serve a copy of the document received the following electric rate intervene in accordance with the filings: on that resource agency. Commission’s Rules may become a k. Description of Request: The Docket Numbers: ER12–1383–002. party to the proceeding. Any comments, applicant proposes to modify the start of Applicants: Diamond State motions to intervene, or protests must month target reservoir surface elevation Generation Partners, LLC. be received on or before the specified requirements at the Silver Lake Storage Description: Notification of Non- comment date for the particular Basin (SLSB) and Dead River Storage Material Change in Status of Diamond Basin (DRSB) for the year 2020. application. State Generation Partners, LLC. Specifically, the applicant proposes to o. Filing and Service of Responsive Filed Date: 1/22/20. increase the SLSB start-of-month target Documents: Any filing must (1) bear in Accession Number: 20200122–5162. elevations in February and March from all capital letters the title Comments Due: 5 p.m. ET 2/12/20. 1,477.5 to 1,479.0 feet National Geodetic ‘‘COMMENTS’’, ‘‘MOTION TO Docket Numbers: ER16–1969–006; Vertical Datum (NGVD); April from INTERVENE’’, or ‘‘PROTEST’’ as EL13–88–002. 1,477.5 to 1,485.0 feet NGVD; May from applicable; (2) set forth in the heading Applicants: Midcontinent 1,479.0 to 1,485.0 feet NGVD; June from the name of the applicant and the Independent System Operator, Inc. 1,481.0 to 1,485.0 feet NGVD; July from project number(s) of the application to Description: Compliance Filing of 1,481.5 to 1,485.0 feet NGVD; August which the filing responds; (3) furnish Midcontinent Independent System from 1,480.0 to 1,482.5 feet NGVD; the name, address, and telephone Operator, Inc. September and October from 1,479.5 to number of the person intervening or Filed Date: 1/23/20. 1480.0 feet NGVD. The licensee would protesting; and (4) otherwise comply Accession Number: 20200123–5152. continue to maintain the target with the requirements of 18 CFR Comments Due: 5 p.m. ET 2/13/20. elevations for the remaining months as 385.2001 through 385.2005. All comments, motions to intervene, or Docket Numbers: ER19–2717–000. required by Article 402. The applicant Applicants: Madison ESS, LLC. proposes to increase the DRSB start-of- protests must set forth their evidentiary basis. A copy of all other filings in Description: Report Filing: Madison month target elevation for May from ESS, LLC Refund Report to be effective 1,340.0 to 1,341.0 feet NGVD. The reference to this application must be accompanied by proof of service on all N/A. applicant states that the temporary Filed Date: 1/24/20. variance will allow the applicant to persons listed in the service list prepared by the Commission in this Accession Number: 20200124–5129. continue to determine if there are Comments Due: 5 p.m. ET 2/14/20. operational modifications that can be proceeding, in accordance with employed to improve water quality in 385.2010. Docket Numbers: ER20–289–001. the Dead River. Applicants: AEP Ohio Transmission Dated: January 23, 2020. Company, Inc., Ohio Power Company, l. Locations of the Application: A Nathaniel J. Davis, Sr., copy of the application is available for PJM Interconnection, L.L.C. Deputy Secretary. inspection and reproduction at the Description: Compliance filing: AEP Commission’s Public Reference Room, [FR Doc. 2020–01594 Filed 1–29–20; 8:45 am] submits compliance per Commission’s located at 888 First Street, NE, Room BILLING CODE 6717–01–P 12/30/2019 order re: ILDSA SA No. 2A, Washington, DC 20426, or by calling 1336 to be effective 12/31/2019. (202) 502–8371. This filing may also be Filed Date: 1/23/20. DEPARTMENT OF ENERGY viewed on the Commission’s website at Accession Number: 20200123–5075. Comments Due: 5 p.m. ET 2/13/20. http://www.ferc.gov/docs-filing/ Federal Energy Regulatory elibrary.asp. Enter the docket number Commission Docket Numbers: ER20–511–001. excluding the last three digits in the Applicants: Wilderness Line docket number field to access the Combined Notice of Filings #1 Holdings, LLC. document. You may also register online Description: Tariff Amendment: at http://www.ferc.gov/docs-filing/ Take notice that the Commission Request to Hold Proceedings in esubscription.asp to be notified via received the following exempt Abeyance—OATT to be effective 12/31/ email of new filings and issuances wholesale generator filings: 9998. related to this or other pending projects. Docket Numbers: EG20–68–000. Filed Date: 1/23/20. For assistance, call 1–866–208- 3676 or Applicants: Oberon Solar IB, LLC. Accession Number: 20200123–5103.
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Comments Due: 5 p.m. ET 2/13/20. DEPARTMENT OF ENERGY at [email protected], or by Docket Numbers: ER20–529–001. telephone at (202) 502–8742. Federal Energy Regulatory SUPPLEMENTARY INFORMATION: Applicants: Wilderness Line Commission Holdings, LLC. Title: FERC–922 (Performance Metrics Description: Tariff Amendment: [Docket No. AD19–16–000] for ISOs, RTOs, and Regions Outside Request to Hold Proceedings in ISOs and RTOs). Abeyance—LGIA & TSA to be effective Commission Information Collection OMB Control No.: 1902–0262.1 Activities (FERC–922); Comment 12/31/9998. Type of Request: Reinstatement of the Request Filed Date: 1/23/20. FERC–922 information collection, with Accession Number: 20200123–5104. AGENCY: Federal Energy Regulatory revisions, as discussed in Docket No. Comments Due: 5 p.m. ET 2/13/20. Commission, Department of Energy. AD19–16–000. Abstract: On July 10, 2019, the Docket Numbers: ER20–868–000. ACTION: Notice of information collection and request for comments. Commission published a notice in the Applicants: Lake Benton Power Federal Register in Docket No. AD19– Partners II, LLC. SUMMARY: In compliance with the 16–000 requesting comment on the Description: Tariff Cancellation: Lake requirements of the Paperwork proposed information collection. The Benton Power Partners II, LLC Notice of Reduction Act of 1995, the Federal Commission received eight comments Cancellation of MBR Tariff to be Energy Regulatory Commission on the proposed reinstatement and effective 1/24/2020. (Commission or FERC) staff is soliciting revision of the FERC–922. Commission Filed Date: 1/23/20. public comment on the reinstatement staff addresses these comments in this Accession Number: 20200123–5107. and revision of the FERC–922, notice and in its submittal to OMB. In Comments Due: 5 p.m. ET 2/13/20. Performance Metrics for ISOs, RTOs, addition to addressing the comments and Regions Outside ISOs and RTOs. received, Commission staff also has Docket Numbers: ER20–870–000. The Commission is submitting the Applicants: Panda Liberty LLC. updated the attachments to the notice of information collection to the Office of information collection to reflect the Description: Compliance filing: Management and Budget (OMB) for correction of certain typographical and compliance 2020 information to be review. Any interested person may file formatting errors. effective N/A. comments directly with OMB and In September 2008, the United States Filed Date: 1/24/20. should address a copy of those Government Accountability Office comments to the Commission, as Accession Number: 20200124–5150. (GAO) issued a report recommending explained below. Comments Due: 5 p.m. ET 2/14/20. that the Commission, among other Docket Numbers: ER20–871–000. DATES: Comments on the information actions, work with Regional Applicants: Panda Patriot LLC. collection are due March 2, 2020. Transmission Organizations (RTOs), Description: Compliance filing: ADDRESSES: Comments filed with OMB, Independent System Operators (ISOs), compliance 2020 information to be identified by OMB Control No. 1902– stakeholders, and other experts to effective N/A. 0262, should be sent via email to the develop standardized metrics to track Filed Date: 1/24/20. Office of Information and Regulatory the performance of RTO/ISO operations Affairs: [email protected]. Accession Number: 20200124–5153. and markets and publicly report those Attention: Federal Energy Regulatory 2 Comments Due: 5 p.m. ET 2/14/20. metrics. In accordance with the 2008 Commission Desk Officer. A copy of the GAO Report, Commission staff The filings are accessible in the comments should also be sent to the developed a set of standardized metrics Commission’s eLibrary system by Commission, identified by Docket No. (the Common Metrics), sought and clicking on the links or querying the AD19–16–000, by either of the following received OMB approval to collect docket number. methods: information on those metrics from • Any person desiring to intervene or eFiling at Commission’s Website: RTOs/ISOs, and later non-RTO/ISO protest in any of the above proceedings http://www.ferc.gov/docs-filing/ utilities, and ultimately issued five must file in accordance with Rules 211 efiling.asp, or • public reports (Common Metrics and 214 of the Commission’s Mail/Hand Delivery/Courier: Reports).3 Federal Energy Regulatory Commission, Regulations (18 CFR 385.211 and In December 2017, the GAO issued a Secretary of the Commission, 888 First 385.214) on or before 5:00 p.m. Eastern report on the RTOs/ISOs with Time on the specified comment date. Street NE, Washington, DC 20426. Protests may be considered, but Instructions: All submissions to the Commission must be formatted and 1 The Commission previously had OMB approval intervention is necessary to become a for the information collection FERC–922 under party to the proceeding. filed in accordance with submission OMB Control No. 1902–0262. At the Commission’s eFiling is encouraged. More detailed guidelines at: http://www.ferc.gov/help/ request, OMB approval for the information collection was discontinued on August 31, 2018. information relating to filing submission-guide.asp. For user assistance, contact FERC Online Commission staff plans to request authority from requirements, interventions, protests, OMB to reinstate the information collection FERC– service, and qualifying facilities filings Support by email at ferconlinesupport@ 922, with certain revisions, as described in more can be found at: http://www.ferc.gov/ ferc.gov, or by phone at: (866) 208–3676 detail herein. See 44 U.S.C. 3507 (2012). (toll-free), or (202) 502–8659 for TTY. 2 U.S. Gov’t Accountability Office, GAO–08–987, docs-filing/efiling/filing-req.pdf. For Report to the Committee on Homeland Security and other information, call (866) 208–3676 Docket: Users interested in receiving automatic notification of activity in this Governmental Affairs, U.S. Senate; Electricity (toll free). For TTY, call (202) 502–8659. Restructuring: FERC Could Take Additional Steps docket or in viewing/downloading to Analyze Regional Transmission Organizations’ Dated: January 24, 2020. comments and issuances in this docket Benefits and Performance (2008), https:// Nathaniel J. Davis, Sr., may do so at http://www.ferc.gov/docs- www.gao.gov/assets/290/281312.pdf. Deputy Secretary. filing/docs-filing.asp. 3 See Fed. Energy Regulatory Comm’n, RTO/ISO Performance Metrics (last updated Aug. 16, 2019), [FR Doc. 2020–01678 Filed 1–29–20; 8:45 am] FOR FURTHER INFORMATION CONTACT: http://www.ferc.gov/industries/electric/indus-act/ BILLING CODE 6717–01–P Darren Sheets may be reached by email rto/rto-iso-performance.asp.
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centralized capacity markets.4 Among respondents. The revised data Under-Performance, and Total Capacity other recommendations, the GAO found collection, after additions and deletions, Bonus Payments and Penalties. that the Commission should take steps consists of twenty-nine Common A table showing the revised Common to improve the quality of the data Metrics. Metrics organized by the three groups collected for its Common Metrics In addition to eliminating certain can be found at the end of this notice. Reports, such as implementing metrics and adding new ones, the The updated User Guide for the improved data quality checks and, Common Metrics are now organized information collection, as well as the where feasible, ensuring that RTOs/ISOs into three groups: standardized information collection report consistent metrics over time by • reporting form, are also attached to this standardizing definitions. Furthermore, Group 1 metrics are designed to be collected from all respondents (i.e., notice. These attachments will not be the GAO recommended that the published in the Federal Register but Commission develop and document an RTOs/ISOs and non-RTO/ISO utilities). There are seven Group 1 metrics: will be available as part of this notice in approach to regularly identify, assess, the Commission’s eLibrary system and respond to risks that capacity Reserve Margins, Average Heat Rates, Fuel Diversity, Capacity Factor by under Docket No. AD19–16–000. markets face. Commission staff has assured itself, In response to the 2017 GAO Report, Technology Type, Energy Emergency Alerts (EEA Level 1 or Higher), by means of internal review, that there Commission staff has proposed changes is specific, objective support for the to the Common Metrics information Performance by Technology Type during EEA Level 1 or Higher, and burden estimates associated with the collection. First, Commission staff information collection requirements. proposes to improve the data collection Resource Availability (Equivalent Forced Outage Rate Demand (EFORd)). Type of Respondents: ISOs, RTOs, process by creating a standardized and non-RTO/ISO utilities. information collection Input • Group 2 metrics pertain to Estimate of Annual Burden: 6 Spreadsheet (i.e., the reporting form) organized energy markets and, thus, are Commission staff expects that and an updated, more detailed User designed to be collected only from respondents will submit information on Guide, which will provide guidance on respondents with such energy markets the Common Metrics every two years. completing the information collection (i.e., all RTOs/ISOs). There are twelve Commission staff is requesting a three- request, including information about Group 2 metrics: Number and Capacity year approval from OMB, so the who should respond; the timeline for of Reliability Must-Run Units, voluntary information collection would responses; the metrics being collected, Reliability Must-Run Contract Usage, happen in Year 1 and Year 3.7 The including important definitions and a Demand Response Capability, Unit following table sets forth the estimated description of the types of metrics and Hours Mitigated, Wholesale Power Costs annual burden and cost 8 for this their structure in the information by Charge Type, Price Cost Markup, information collection: collection; and how to properly use the Fuel Adjusted Wholesale Energy Price, reporting form. Also, Commission staff Energy Market Price Convergence, 6 Burden is defined as the total time, effort, or proposes to update the list of Common Congestion Management, financial resources expended by persons to Metrics to focus on centrally-organized Administrative Costs, New Entrant Net generate, maintain, retain, or disclose or provide energy markets and capacity markets, Revenues, and Order No. 825 5 Shortage information to or for a Federal agency. For further which involves adding capacity market Intervals and Reserve Price Impacts. explanation of what is included in the information metrics. collection burden, refer to 5 CFR 1320.3. • Finally, the new Group 3 metrics 7 The update eliminates previously- The OMB approval is for a maximum of three pertain to organized capacity markets years. collected metrics on reliability, RTO/ and, thus, are designed to be collected 8 See generally Bureau of Labor Statistics, ISO billing controls and customer only from respondents with such Occupational Employment and Wages, May 2018 satisfaction, interconnection and (last modified Mar. 29, 2019), available at: capacity markets (i.e., all RTOs/ISOs transmission processes, and system Computer Systems Analysts (15–1121), https:// with capacity markets). There are ten lambda. Commission staff proposes www.bls.gov/oes/current/oes151121.htm; Lawyers Group 3 metrics: Net Cost of New Entry (23–1011), https://www.bls.gov/oes/current/ eliminating these metrics because they (Net CONE) Value, Resource oes231011.htm; Electrical Engineers (17–2071), provide limited information, do not Deliverability, New Capacity (Entry), https://www.bls.gov/oes/current/oes172071.htm; significantly help Commission staff or Economists (19–3011), https://www.bls.gov/oes/ Capacity Retirement (Exit), Forecasted the public draw any conclusions current/oes193011.htm; Chief Executives (11–1011), Demand, Capacity Market Procurement regarding the benefits of an RTO/ISO, https://www.bls.gov/oes/current/oes111011.htm; and Prices, Capacity Obligations and see also Bureau of Labor Statistics, Employer Costs and to reduce the reporting burden for Performance Assessment Events, for Employee Compensation, News Release USDL– Capacity Over-Performance, Capacity 19–2195 (Dec. 18, 2019), https://www.bls.gov/ 4 U.S. Gov’t Accountability Office, GAO–18–131, news.release/ecec.nr0.htm. Those estimated average Electricity Markets: Four Regions Use Capacity hourly wages (plus benefits) are: $82.42 for the Markets to Help Ensure Adequate Resources, but 5 Settlement Intervals and Shortage Pricing in Metrics Data Collection and Write Performance FERC Has Not Fully Assessed Their Performance Mkts. Operated by Reg’l Transmission Orgs. & Analysis categories, and $156.99 for the (2017), https://www.gao.gov/assets/690/689293.pdf Indep. Sys. Operators, Order No. 825, 155 FERC Management Review component (which is solely (hereinafter 2017 GAO Report). ¶ 61,276 (2016). based on the Chief Executive wage rates).
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Explanation of the Table estimates that one new non-RTO/ISO information collections, one each during The Number of Respondents (1) in the utility may respond to this revised Year 1 and Year 3 of the three-year OMB 2 first column varies by Group because all FERC–922 information collection. authorization period. Therefore, ⁄3 or respondents do not provide information The second column (2), Number of 0.67 is the adjustment to reflect an on each of the twenty-nine Common Responses in Years 1 & 3, is average yearly value for the burden. Metrics. characterized by the number of The Total Number of Annual Commission staff has estimated the Balancing Authority Areas (BAAs) each Responses (4) is the product of the number of respondents for the first three respondent would be reporting on, as second column, Number of Responses Groups based on the assumption that the respondent would provide a in Years 1 and 3 (2), multiplied by the the six jurisdictional RTOs/ISOs and the response to each metric for each of its third column, the Annual Frequency of BAAs. Each RTO/ISO is a single BAA Filings (3). Thus, for the first group of five non-RTO/ISO utilities (eleven total × respondents) that previously responded and, therefore, will only provide respondents, this value is 16 0.67, or to the FERC–922 information collection responses to each metric for one BAA, 10.72. will provide responses to this revised but non-RTO/ISO utilities may report The Estimated Burden Hours per FERC–922 information collection. for multiple BAAs. Therefore, the Response (5) reflects the total number of Therefore, the estimated number of estimated number of responses for estimated burden hours, separated into respondents in Group 1 is eleven, Group 1 (all RTOs/ISOs and non-RTO/ the three reporting categories (collect, because all respondents can report on ISO utilities) is the number of BAAs in write, review) for each group of the Group 1 metrics. The estimated the RTOs/ISOs (i.e., six), plus the respondents. The total estimated burden number of respondents for Group 2 is number of non-RTO/ISO BAAs (i.e., hours for the first 3 groups of six because only the jurisdictional ten), which equals sixteen total respondents are the same (401 hours) as RTOs/ISOs with energy markets can responses. The estimated number of determined in the previous FERC–922 information collection burden estimates. respond to the Group 2 metrics. responses for Group 2 (all RTOs/ISOs An increased estimate of the burden Likewise, the estimated number of with energy markets) is the same as the hours, 427 hours, is for Potential New respondents in Group 3 is four because number of respondents (i.e., six), as only Respondents, in recognition of the fact only the jurisdictional RTOs/ISOs with the RTOs/ISOs respond and they each that the burden on a new respondent is capacity markets can respond to the have only one BAA. The estimated likely higher. The number of hours in Group 3 metrics. Finally, the table number of responses for Group 3 (all each reporting category has been includes a burden estimate for potential RTOs/ISOs with capacity markets) is the adjusted in this collection, as compared new respondents. Since all the same as the number of respondents (i.e., to the previous FERC–922 collection jurisdictional RTOs/ISOs previously four), as only the four RTOs/ISOs with burden estimate, to reflect less emphasis responded to FERC–922, any potential capacity markets can respond and they on the writing category, as Commission new respondent would be a non-RTO/ each have only one BAA. Finally, there staff has developed a structured data ISO utility and, thus, would only submit is only estimated to be one non-RTO/ collection tool that will decrease the responses to the Group 1 metrics. The ISO utility as a potential new amount of written text that respondents burden estimate for new respondents respondent, which would only respond will provide in the information reflects the fact that a potential new to the Group 1 metrics that apply to all collection.9 respondent would be submitting for the respondents. first time, therefore requiring more The Annual Frequency of Filings (3) 9 The estimated hours per response has increased hours and cost per new response. is 0.67 for all groups. This fraction for: (a) Metrics Data Collection component to 271 Commission staff conservatively reflects that there will be two hours (from 229 hours), and (b) Management
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The Estimated Cost per Response (6) General Comments on Reinstatement within ninety days, which staff believes is the product of the following three and Revision of FERC–922 Information is a reasonable period of time to variables: The Estimated Burden Hours Collection respond. Once responses are received, per Response (5) for a category, In general, commenters, including Commission staff intends to undertake multiplied by the labor rate (wages plus APPA, California Independent System additional, improved quality checks on benefits) for each category (which is not Operator Corporation (CAISO), the data, as recommended by GAO. shown in the table), multiplied by the Midcontinent Independent System Comments Requesting Modification of proportion of total hours attributable to Operator, Inc. (MISO), the PJM Proposed Metrics and Inclusion of a given Group that reports on a category, Interconnection, L.L.C. Independent Additional Metrics e.g., the number of metrics in that Group Market Monitor (PJM market monitor), The CAISO Department of Market divided by the total number of metrics the ISO/RTO Council (IRC), Monitoring (CAISO market monitor) (also not shown in table). An example Transmission Access Policy Study requests the addition of four additional in the first row is that for Group 1, Group (TAPS), and the Competitive Group 2 metrics regarding the efficiency Metrics Data Collection category, the Transmission Developers,11 support of congestion revenue rights (CRR) $5,391 is the product of 271 hours in Commission staff’s efforts to reinstate auctions. APPA requests additional column (5) multiplied by the weighted the FERC–922 information collection Group 2 and Group 3 metrics, including: average labor rate for that category and to improve it by adding the Group (1) A metric addressing transmission ($82.42) multiplied by 0.242 (the ratio of 3 capacity market metrics, and by costs comprehensively; (2) a metric metrics in Group 1, 7, to the total providing a new User Guide and Input ÷ addressing whether existing capacity is number of metrics, 29 or 7 29). This Spreadsheet. APPA further notes its 10 over- or under-recovering its costs in the fraction is not displayed in the table. support of Commission staff’s proposal RTO/ISO-operated markets; (3) a metric The Estimated Total Annual Burden to eliminate the metrics on reliability, addressing the concentration of Hours (7) is the product of the Total RTO/ISO billing controls, ownership of capacity resources; and (4) Number of Annual Responses (4) times interconnection and transmission a metric regarding the participation and the Estimated Burden Hours per processes, and system lambda. To profitability of financial entities in RTO/ Response (5). For the first row of the further improve the value of the ISO-operated markets. APPA also first group of respondents, this value is information collection, APPA and the × recommends that Commission staff 2,905 hours (or 10.72 271 hours). Competitive Transmission Developers Finally, the Estimated Total Annual retain the RTO/ISO governance metric it comment that the metrics collected Cost (8) reflects the total burden to the proposed deleting from the information should not be limited to information industry and is calculated by collection. The Competitive that is already collected and published multiplying the Total Number of Transmission Developers recommend by RTOs/ISOs. APPA and the Annual Responses (4) times the inclusion of a transmission metric on Competitive Transmission Developers Estimated Cost per Response (6) for each constructions costs, comparing initial also comment that Commission staff category for all groups and produces an RTO/ISO cost estimates to actual costs should increase the quality checks it estimated total cost in the last row of the at the time the project went into service, performs on the data submitted in table. The wage rates utilized in this and identifying whether a project was response to the information collection burden estimate have been updated to competitive or designated to and undertake critical analysis of the recent Bureau of Labor Statistics incumbents. In contrast, IRC does not data submitted, including identifying estimates for the same categories as used believe that expansion of the metrics opportunities for comparisons between in the prior burden estimates for the beyond Commission staff’s proposal is RTOs/ISOs and non-RTO/ISO utilities. FERC–922 information collection (i.e., warranted. IRC requests a reasonable period to Computer Systems Analysts, Lawyers, APPA recommends substantive submit information in response to the Electrical Engineers, Economists, and changes to Metrics #13, #16, #18, #22, information collection. and #25 on the basis that its proposed the category Chief Executive) in the Commission Staff Response: changes would increase the accuracy of Electric Power Generation, Commission staff believes that staff the metrics, increase comparability, or Transmission, and Distribution deliberations, combined with significant otherwise add useful data to the industry. Wage estimates use the hourly public outreach, have resulted in the information collection. TAPS mean wage from the Bureau of Labor development of twenty-nine Common recommends that sub-part ten of Metric Statistics data, adjusted upward for the Metrics, as well as the associated User #25 be expanded to include data on private industry benefits of 29.9 percent, Guide and Input Spreadsheet, that generation capacity owned by load and are an average of those categories. address many of the concerns raised by Public Comments and Commission serving entities, to allow for greater the GAO in the 2017 GAO Report, and Staff’s Responses: Comments were filed comparability across markets. The PJM that will allow for meaningful by the public in response to the July 10, evaluations of the performance and market monitor recommends 2019 notice published by the reliability of RTOs/ISOs and non-RTO/ substantive changes to Metrics #3, #5, Commission in the Federal Register, 84 ISO utilities. Commission staff has not #6, #10, #11, #16, #19, #20, and #26, on FR 32,908 (July 10, 2019). Commission limited the information collection to the basis that its proposed changes staff’s responses to those comments are metrics that are already collected and/ would enhance the metrics, better align provided below. or published by the RTOs/ISOs or their them with the PJM market monitor’s market monitors. If and when the own calculations, or otherwise add Review component to 60 hours (from 33 hours). The useful data to the information estimated hours per response for ‘‘Write information collection is approved by Performance Analysis’’ has decreased to 70 hours OMB, Commission staff will issue a collection. The PJM market monitor (from 139 hours). formal request for information, seeking argues that Metrics #13 and #14 are not 10 The fraction for Group 1 and the Potential New responses to the information collection useful measures of market performance. Respondents is 0.242 (the seven metrics in Group Commission Staff Response: 1 divided by the total number of metrics, twenty- Commission staff agrees with IRC that nine); for Group 2 the fraction is 0.414 (twelve 11 The Competitive Transmission Developers divided by twenty-nine); for Group 3 the fraction include GridLiance Holdco, LP, LSP Transmission an expansion of these metrics is not is 0.345 (ten divided by twenty-nine). Holdings II, LLC, and BHE U.S. Transmission, LLC. warranted at this time. Some of the
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additional metrics recommended by collection.12 Further, Commission staff instrument holders. The PJM market commenters may be calculated by believes that certain other refinements monitor recommends that Commission certain RTOs/ISOs or non-RTO/ISO would be premature to implement at staff clarify: (1) The method of utilities but not by others, thus losing this time, without additional research, calculating new entrant net revenues in the commonality and comparability of outreach, and refinement. However, Metric #18; (2) the intent of Metric #19; the Common Metrics desired by Commission staff commits to continue (3) whether Metric #21 is intended to Commission staff. In many instances, discussing ways to improve the metrics include aggregate import and exports commenters have requested further and make them more meaningful in the limits for the RTO/ISO as a whole; and granularity of specific metrics—either at ongoing voluntary and collaborative (4) whether Metric #24 should be a sub-RTO/ISO level, further divisibility process with participating RTOs/ISOs calculated for each Locational of the metric, or for information based and non-RTO/ISO utilities, and to Deliverability Area that price separates on individual resources or resource consider additional refinements to the in PJM and for PJM as a whole. owners. However, Commission staff metrics in the next iteration of this Commission Staff Response: notes that the Common Metrics information collection. Commission staff acknowledges that not collection is aimed at data applicable at Comments Requesting Clarification of all respondents will have responsive the RTO/ISO-level or non-RTO/ISO Proposed Metrics information for all of the metrics, and utility-level based on data that could be Commenters, including CAISO, that some respondents may calculate calculated using ‘‘common’’ MISO, the PJM market monitor, and certain data responsive to a metric in a methodologies and not designed for IRC, note that certain respondents may way that deviates from that requested granularity at the individual resource or not be able to provide responsive due to administrative and/or structural resource owner level or further split in information or data for each metric differences across the different RTOs/ a manner that loses the commonality for addressed in the information collection, ISOs and non-RTO/ISO utilities. each region. or may collect data in a manner that Commission staff requests that respondents respond as Commission staff also believes that deviates from the metric as requested. comprehensively and as close to the adding some of the proposed additional IRC comments that the wording of Metric #17 implies that the ability of form requested as possible and simply metrics, without allowing significant note and explain in the ‘‘Explanatory time for further research, outreach, and RTOs/ISOs to manage the growth rate of administrative costs will be Text’’ field for each metric any refinement, would be premature. deviations or omissions. However, staff commits to continuing to commensurate with the growth rate of research and discuss additional metrics system load—a presumption with which Commission staff did not intend for of interest to commenters in the ongoing IRC disagrees. APPA and TAPS both the wording of Metric #17 to imply that voluntary and collaborative process recommend certain clarifying edits to administrative costs will always be commensurate with the system load with participating RTOs/ISOs and non- the description and calculation of growth; therefore, Commission staff has RTO/ISO utilities, and to consider Metric #16. Specifically, with regard to revised Metric #17 to read: adding additional metrics to the next Metric #16, TAPS recommends that iteration of this information collection. Commission staff: (1) Clarify the The ability of RTOs/ISOs to manage the definition of ‘‘congestion revenue’’; (2) growth rate of administrative costs as the Commission staff does not agree with clarify the definition of ‘‘congestion growth rate of system load changes. APPA that the customer satisfaction charge’’; (3) clarify the information to be metric staff proposed to eliminate submitted in sub-part 5 of Metric #16; Commission staff agrees with APPA should be retained. Historically, and (4) clarify that in reporting and TAPS that enhancing the responses to this metric have not congestion revenues returned to load, definitions of congestion charges and provided meaningful data, and therefore RTOs should take into account all congestion revenue in Metric #16 would the metric has served only to increase revenues and charges associated with ensure consistent reporting across the reporting burden on respondents. Financial Transmission Rights (FTRs) RTOs/ISOs, and Commission staff has Staff commits to continuing to research and Auction Revenue Rights (ARRs). updated the User Guide and Input and discuss additional metrics of APPA supports TAPS’ comments Spreadsheet accordingly. Commission interest to commenters in the ongoing requesting an improved definition of staff also agrees that adding a line voluntary and collaborative process, congestion revenue and congestion omitted from the original Input which could include organizational charges and also recommends reversing Spreadsheet and reversing the effectiveness. the numerator and denominator of the numerator and denominator of sub-part calculation in sub-part 5 of Metric #16. 5 of Metric #16 will improve the Commission staff has reviewed the metric’s clarity, and Commission staff substantive changes recommended by APPA also recommends that Metric #16 document how the payments for FTRs has updated the Input Spreadsheet commenters to the proposed metrics accordingly. Commission staff does not and has determined not to make that are purchased in an auction compare to the revenues paid to the agree that Metric #16 should examine significant modifications to the metrics how payments for FTRs that are at this time. Among other purchased in an auction compare to the considerations, Commission staff 12 Commission staff notes that individual RTOs/ ISOs, non-RTO/ISO utilities, and market monitors revenues paid to the instrument holders believes some of the proposed changes: may consider developing more granular metrics because the Commission does not (1) Would significantly increase the data specific to their markets for their own reporting generally assess the effectiveness of a collection and reporting burden on purposes. The Common Metrics information market by examining how well specific respondents; (2) would undermine the collection is not meant to be a comprehensive information collection for all RTOs/ISOs and non- types of market participants are commonality and comparability of RTO/ISO utilities. Rather, it is meant to focus on profiting from participation in the certain metrics across RTOs/ISOs and metrics that are common and comparable across the market. Commission staff also does not non-RTO/ISO utilities; and (3) do not different regions. Staff believes that earlier outreach agree that congestion charges should be support the general purpose of the efforts and extensive internal staff deliberations have resulted in meaningful common metrics that reported separately for the day-ahead Common Metrics information meet this objective. and balancing markets because only
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day-ahead congestion is associated with DEPARTMENT OF ENERGY Online service, please email FTRs. [email protected]. or call Federal Energy Regulatory Commission staff recognizes there are (866) 208–3676 (toll free). For TTY, call Commission varying methodologies for calculating (202) 502–8659. new entrant net revenues in Metric #18 [Docket No. ER20–859–000] Dated: January 23, 2020. and requests that respondents explain in Nathaniel J. Davis, Sr., Outlaw Wind Project, LLC; the Explanatory Text field any Deputy Secretary. Supplemental Notice That Initial clarifications they wish to provide. The [FR Doc. 2020–01593 Filed 1–29–20; 8:45 am] Market-Based Rate Filing Includes intent of Metric #19 is to measure the Request for Blanket Section 204 BILLING CODE 6717–01–P impact that shortage events will have on Authorization reserve market clearing prices. If respondents would like to provide more This is a supplemental notice in the DEPARTMENT OF ENERGY granular data or improvements to the above-referenced proceeding of Outlaw Federal Energy Regulatory methodology, these can be submitted in Wind Project, LLC’s application for Commission the Input Spreadsheet and described in market-based rate authority, with an the Explanatory Text field provided. accompanying rate tariff, noting that The intent of Metric #21 is to measure such application includes a request for [Docket No. CP20–44–000] the maximum importable external blanket authorization, under 18 CFR part 34, of future issuances of securities Notice of Request for Confirmation or, capacity into a capacity zone for the in the Alternative, Abbreviated purpose of resource deliverability in the and assumptions of liability. Any person desiring to intervene or to Application for Amendment of capacity auction and should therefore protest should file with the Federal Certificate of Public Convenience and focus on imports by zone. Commission Energy Regulatory Commission, 888 Necessity of Iroquois Gas staff confirms Metric #24 should be First Street NE, Washington, DC 20426, Transmission, L.P. calculated both by zone and for the RTO in accordance with Rules 211 and 214 as a whole. of the Commission’s Rules of Practice Take notice that on January 17, 2020, Iroquois Gas Transmission System, L.P. Finally, Commission staff notes that and Procedure (18 CFR 385.211 and (Iroquois) filed with the Federal Energy this information collection is a 385.214). Anyone filing a motion to Regulatory Commission (FERC or voluntary, collaborative process. To the intervene or protest must serve a copy of that document on the Applicant. Commission) a request for confirmation extent respondents have outstanding or that Iroquois’ current and ongoing additional questions about the twenty- Notice is hereby given that the deadline for filing protests with regard practices of monitoring its pipeline right nine Common Metrics, including the of way (ROW) satisfy the environmental relevant definitions and calculations, to the applicant’s request for blanket authorization, under 18 CFR part 34, of condition that Iroquois conduct a yearly Commission staff is available to provide walkover of its pipeline ROW that was guidance. future issuances of securities and assumptions of liability, is February 12, incorporated by reference in the Further Comments Requested 2020. Commission’s 1990 order granting The Commission encourages Iroquois’ original certificate to Comments are invited on: (1) Whether electronic submission of protests and construct, own, and operate its the collection of information is interventions in lieu of paper, using the interstate natural gas pipeline system necessary for the proper performance of FERC Online links at http:// (1990 Certificate Order) in the the functions of the Commission, www.ferc.gov. To facilitate electronic alternative, Iroquois requests that the including whether the information will service, persons with internet access Commission approve a limited have practical utility; (2) the accuracy of who will eFile a document and/or be amendment to Iroquois’ certificate the agency’s estimate of the burden and listed as a contact for an intervenor granted in the 1990 Certificate Order to cost of the collection of information, must create and validate an remove the requirement that Iroquois including the validity of the eRegistration account using the perform and annual walkover of its methodology and assumptions used; (3) eRegistration link. Select the eFiling pipeline ROW (Amendment Application) all as more fully set forth ways to enhance the quality, utility, and link to log on and submit the in the request which is on file with the clarity of the information collection; and intervention or protests. Persons unable to file electronically Commission and open to public (4) ways to minimize the burden of the inspection. Iroquois requests that the collection of information on those who should submit an original and 5 copies of the intervention or protest to the Commission grant Iroquois’ request (or are to respond, including the use of Federal Energy Regulatory Commission, alternatively, issue a final order granting automated collection techniques or 888 First Street NE, Washington, DC the Amendment Application) by other forms of information technology. 20426. February 17, 2020. Dated: January 24, 2020. The filings in the above-referenced The filing is available for review at Kimberly D. Bose, proceeding are accessible in the the Commission in the Public Reference Secretary. Commission’s eLibrary system by Room or may be viewed on the clicking on the appropriate link in the Commission’s website web at http:// [FR Doc. 2020–01692 Filed 1–29–20; 8:45 am] above list. They are also available for www.ferc.gov using the ‘‘eLibrary’’ link. BILLING CODE 6717–01–P electronic review in the Commission’s Enter the docket number excluding the Public Reference Room in Washington, last three digits in the docket number DC. There is an eSubscription link on field to access the document. For the website that enables subscribers to assistance, contact FERC at receive email notification when a [email protected] or call document is added to a subscribed toll-free, (886) 208–3676 or TYY, (202) docket(s). For assistance with any FERC 502–8659.
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Any questions regarding the request forth in Rule 214(d)(1) of the the supplemental EIS, would continue or Amendment Application may be Commission’s Rules and Regulations.2 to avoid or reduce impacts to less than directed to Kimberly A.E. Pritchard, The Commission strongly encourages significant levels. Senior Counsel and Corporate Secretary, electronic filings of comments, protests The U.S. Department of Iroquois Pipeline Operating Company, and interventions in lieu of paper using Transportation’s Pipeline and One Corporate Drive, Suite 600, the ‘‘eFiling’’ link at http:// Hazardous Materials Safety Shelton, Connecticut 06484, phone: www.ferc.gov. Persons unable to file _ Administration, the U.S. Coast Guard, 203–944–7032, email: Kimberly electronically should submit an original and the U.S. Department of Energy [email protected]. and 3 copies of the protest or participated as cooperating agencies in Pursuant to section 157.9 of the intervention to the Federal Energy the preparation of the supplemental EIS. Commission’s rules, 18 CFR 157.9, Regulatory Commission, 888 First Street Cooperating agencies have jurisdiction within 90 days of this Notice the NE, Washington, DC 20426. by law or special expertise with respect Commission staff will either: complete Comments Date: 5:00 p.m. Eastern to resources potentially affected by the its environmental assessment (EA) and Time on February 7, 2020. proposal and participate in the analysis place it into the Commission’s public Dated: January 23, 2020. conducted under the National record (eLibrary) for this proceeding; or Environmental Policy Act. issue a Notice of Schedule for Kimberly D. Bose, Environmental Review. If a Notice of Secretary. The Commission mailed a copy of the Schedule for Environmental Review is [FR Doc. 2020–01598 Filed 1–29–20; 8:45 am] Notice of Availability for the final issued, it will indicate, among other BILLING CODE 6717–01–P supplemental EIS to federal, state, and milestones, the anticipated date for the local government representatives and Commission staff’s issuance of the EA agencies; elected officials; for this proposal. The filing of the EA DEPARTMENT OF ENERGY environmental and public interest in the Commission’s public record for groups; Native American tribes; this proceeding or the issuance of a Federal Energy Regulatory potentially affected landowners and Notice of Schedule for Environmental Commission other interested individuals and groups; Review will serve to notify federal and [Docket No. CP19–19–000] and newspapers and libraries in the state agencies of the timing for the project area. The final supplemental EIS completion of all necessary reviews, and Magnolia LNG, LLC; Notice of is only available in electronic format. It the subsequent need to complete all Availability of the Final Supplemental may be viewed and downloaded from federal authorizations within 90 days of Environmental Impact Statement for the FERC’s website (www.ferc.gov), on the date of issuance of the Commission the Proposed; Magnolia LNG the Environmental Documents page staff’s EA. Production Capacity Amendment (https://www.ferc.gov/industries/gas/ Persons who wish to comment only enviro/eis.asp). In addition, the final on the environmental review of this The staff of the Federal Energy supplemental EIS may be accessed by project should submit an original and Regulatory Commission (FERC or using the eLibrary link on the FERC’s two copies of their comments to the Commission) has prepared a final website. Click on the eLibrary link Secretary of the Commission. supplemental environmental impact (https://www.ferc.gov/docs-filing/ Environmental commenters will be statement (EIS) for the Production elibrary.asp), click on General Search, placed on the Commission’s Capacity Amendment, proposed by and enter the docket number in the environmental mailing list and will be Magnolia LNG, LLC (Magnolia LNG) in Docket Number field, excluding the last notified of any meetings associated with the above-referenced docket. Magnolia three digits (i.e., CP19–19). Be sure you the Commission’s environmental review LNG requests authorization to increase have selected an appropriate date range. process. Environmental commenters the liquefied natural gas (LNG) For assistance, please contact FERC will not be required to serve copies of production capacity of the previously Online Support at FercOnlineSupport@ filed documents on all other parties. authorized Magnolia LNG Project in ferc.gov or toll free at (866) 208–3676, or However, the non-party commenters Calcasieu Parish, Louisiana (Docket No. for TTY, contact (202) 502–8659. will not receive copies of all documents CP14–347–000) from 8 million metric tonnes per annum (MTPA) to 8.8 MTPA. Additional information about the filed by other parties or issued by the project is available from the Commission and will not have the right The increased LNG production capacity would be achieved through the Commission’s Office of External Affairs, to seek court review of the at (866) 208–FERC, or on the FERC Commission’s final order. optimization of Magnolia LNG’s final design for the terminal, including website (www.ferc.gov) using the As of the February 27, 2018 date of eLibrary link. The eLibrary link also the Commission’s order in Docket No. additional and modified process equipment. provides access to the texts of all formal CP16–4–001, the Commission will documents issued by the Commission, apply its revised practice concerning The final supplemental EIS assesses the potential changes to the air and such as orders, notices, and out-of-time motions to intervene in any rulemakings. new Natural Gas Act section 3 or section noise emissions, and our reliability and 7 proceeding.1 Persons desiring to safety engineering analyses associated In addition, the Commission offers a become a party to a certificate with the construction and operation of free service called eSubscription that proceeding are to intervene in a timely the Production Capacity Amendment allows you to keep track of all formal manner. If seeking to intervene out-of- from what was presented in the final issuances and submittals in specific time, the movant is required to ‘‘show EIS in Docket No. CP14–347–000 for the dockets. This can reduce the amount of good cause why the time limitation Magnolia LNG Project. The FERC staff time you spend researching proceedings should be waived,’’ and should provide concludes that the proposed by automatically providing you with justification by reference to factors set modifications, with the additional notification of these filings, document mitigation measures recommended in summaries, and direct links to the 1 Tennessee Gas Pipeline Company, L.L.C., 162 documents. Go to www.ferc.gov/docs- FERC ¶ 61,167 at ¶ 50 (2018). 2 18 CFR 385.214(d)(1). filing/esubscription.asp.
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Dated: January 24, 2020. DEPARTMENT OF ENERGY turbines and motor-generators Kimberly D. Bose, (Alternative A) or three 200-Megawatt Secretary. Federal Energy Regulatory (MW) variable speed reversible pump [FR Doc. 2020–01693 Filed 1–29–20; 8:45 am] Commission turbines and motor-generators BILLING CODE 6717–01–P [Project No. 15020–000] (Alternative B), with a 1,420-feet or 1,100-feet of operating head, Gridflex Energy, LLC; Notice of respectively; (8) a new twin circuit 230 DEPARTMENT OF ENERGY Preliminary Permit Application kilovolt (kV), 5.5-mile-long transmission Accepted for Filing and Soliciting line with an interconnection at the Federal Energy Regulatory Comments, Motions To Intervene, and Eldorado Substation near Boulder City, Commission Competing Applications Nevada; and (9) appurtenant facilities. Combined Notice of Filings On January 6, 2020, Gridflex Energy, The applicant is considering multiple LLC (Gridflex) filed an application for a sources of water for the initial fill and Take notice that the Commission has preliminary permit, pursuant to section makeup water including the Southern received the following Natural Gas 4(f) of the Federal Power Act (FPA), Nevada Water Authority. The estimated Pipeline Rate and Refund Report filings: proposing to study the feasibility of the annual generation of the Project would Eldorado Pumped Storage Project to be be 1,314,000 Megawatt-hours MWh Docket Numbers: RP20–445–000. located in Clark County, Nevada. (Alternative A) or 1,051,200 MWh Applicants: Enable Mississippi River Gridflex subsequently amended its (Alternative B). Transmission, LLC. application on January 10, 2020. The Applicant Contact: Mr. Matthew Description: § 4(d) Rate Filing: sole purpose of a preliminary permit, if Shapiro, CEO, Gridflex Energy, LLC, 424 Negotiated Rate Filing—City of Bismark issued, is to grant the permit holder W Pueblo St., #A, Boise, ID 83702; (208) priority to file a license application RP18–923 & RP20–131 Settlement to be 246–9925. effective 1/1/2019. during the permit term. A preliminary permit does not authorize the permit FERC Contact: Benjamin Mann; Filed Date: 1/22/20. holder to perform any land-disturbing Email: [email protected]; phone: Accession Number: 20200122–5010. activities or otherwise enter upon lands (202) 502–8127. Comments Due: 5 p.m. ET 2/3/20. or waters owned by others without the Deadline for filing comments, motions owners’ express permission. Docket Numbers: RP20–446–000. to intervene, competing applications The proposed project would consist of (without notices of intent), or notices of Applicants: Maritimes & Northeast the following: (1) An upper reservoir intent to file competing applications: having a total storage capacity of 5,500 Pipeline, L.L.C. Sixty (60) days from the issuance of this acre feet at elevation of 3,520 feet mean Description: § 4(d) Rate Filing: MNUS notice. Competing applications and sea level (msl), and a surface area of 104 Cleanup Filing—Removing NC Agrmt notices of intent must meet the K210198 to be effective 2/22/2020. acres; (2) two upper reservoir dams, the first dam would be 110-foot-high and requirements of 18 CFR 4.36. Filed Date: 1/22/20. the second would be 60-foot-high, each The Commission strongly encourages Accession Number: 20200122–5041. upper reservoir dam would have a crest electronic filing. Please file comments, Comments Due: 5 p.m. ET 2/3/20. length of 1,100 feet; (3) a lower reservoir motions to intervene, notices of intent, having a total storage capacity of 5,500 and competing applications using the The filings are accessible in the acre feet at elevation of 2,100 msl and Commission’s eFiling system at http:// Commission’s eLibrary system by a surface area of 102 acres (Alternative www.ferc.gov/docs-filing/efiling.asp. clicking on the links or querying the A) or a lower reservoir having a total Commenters can submit brief comments docket number. storage capacity of 5,500 acre feet at up to 6,000 characters, without prior Any person desiring to intervene or elevation of 2,420 msl and a surface area registration, using the eComment system protest in any of the above proceedings of 95 acres (Alternative B); (4) a lower at http://www.ferc.gov/docs-filing/ must file in accordance with Rules 211 reservoir dam with a maximum height ecomment.asp. You must include your and 214 of the Commission’s of 55 feet and a crest length of 8,720 feet name and contact information at the end Regulations (18 CFR 385.211 and (Alternative A) or a lower reservoir dam of your comments. For assistance, 385.214) on or before 5:00 p.m. Eastern with a maximum height of 120 feet and please contact FERC Online Support at time on the specified date(s). Protests having a crest length of 5,600 feet [email protected], (866) may be considered, but intervention is (Alternative B); (5) a 1,300-foot-long, 22- 208–3676 (toll free), or (202) 502–8659 necessary to become a party to the foot-diameter vertical power shaft, a (TTY). In lieu of electronic filing, please proceeding. 5,000-foot-long, 22-foot-diameter send a paper copy to: Secretary, Federal eFiling is encouraged. More detailed headrace tunnel, and a 7,000-foot-long, Energy Regulatory Commission, 888 25-foot-diameter tailrace tunnel information relating to filing First Street NE, Washington, DC 20426. (Alternative A) or a 1,000-foot-long, 19- requirements, interventions, protests, The first page of any filing should foot-diameter vertical power shaft, a service, and qualifying facilities filings include docket number P–15020–000. can be found at: http://www.ferc.gov/ 4,000-foot-long, 19-foot-diameter More information about this project, docs-filing/efiling/filing-req.pdf. For headrace tunnel, and a 5,000-foot-long, including a copy of the application, can other information, call (866) 208–3676 22-foot-diameter tailrace tunnel (toll free). For TTY, call (202) 502–8659. (Alternative B); (6) an underground 400- be viewed or printed on the eLibrary foot-long, 80-foot-wide, 120-foot-high, link of Commission’s website at http:// Dated: January 23, 2020. underground powerhouse (Alternative www.ferc.gov/docs-filing/elibrary.asp. Nathaniel J. Davis, Sr., A) or a 350-foot-long, 80-foot-wide, 120- Enter the docket number (P–15020) in Deputy Secretary. foot-high, underground powerhouse the docket number field to access the [FR Doc. 2020–01592 Filed 1–29–20; 8:45 am] (Alternative B); (7) three 250-Megawatt document. For assistance, contact FERC BILLING CODE 6717–01–P (MW) variable speed reversible pump Online Support.
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Dated: January 24, 2020. Commission and is available for public determines whether or not the project: Kimberly D. Bose, inspection: (1) Would be located on a navigable Secretary. a. Application Type: Declaration of waterway; (2) would occupy public [FR Doc. 2020–01691 Filed 1–29–20; 8:45 am] Intention. lands or reservations of the United BILLING CODE 6717–01–P b. Docket No: DI20–1–000. States; (3) would utilize surplus water c. Date Filed: October 17, 2019. or water power from a government dam; d. Applicant: Cornell Engineers for a or (4) would be located on a non- DEPARTMENT OF ENERGY Sustainable World. navigable stream over which Congress e. Name of Project: Cascadilla Creek has Commerce Clause jurisdiction and Federal Energy Regulatory Pico Hydro Project. would be constructed or enlarged after Commission f. Location: The proposed Cascadilla 1935. Creek Pico Hydro Project would be l. Locations of the Application: This Notice of Commissioner and Staff located on Cascadilla Creek, in the city filing may be viewed on the Attendance at North American Electric of Ithaca, in Tompkins County, New Commission’s website at http:// Reliability Corporation Meetings York. www.ferc.gov/docs-filing/elibrary.asp. g. Filed Pursuant to: Section 23(b)(1) The Federal Energy Regulatory Enter the docket number excluding the of the Federal Power Act, 16 U.S.C. last three digits in the docket number Commission hereby gives notice that 817(b) (2012). members of the Commission and/or field to access the document. You may h. Applicant Contact: Vernon also register online at http:// Commission staff may attend the Rippeon; email: [email protected]; following meetings: www.ferc.gov/docs-filing/ Agent Contact: Dr. Francis Vanek, Room esubscription.asp to be notified via North American Electric Reliability 307, Hollister Hall, 527 College Avenue, email of new filings and issuances Corporation Ithaca, NY 14853, telephone: (607) 255– related to this or other pending projects. Member Representatives Committee and 2718; email: [email protected]. For assistance, call 1–866–208–3676 or Board of Trustees Meetings i. FERC Contact: Any questions on email [email protected], for Board of Trustees Corporate Governance this notice should be addressed to and Human Resources Committee, TTY, call (202) 502–8659. A copy is also Jennifer Polardino, (202) 502–6437, or available for inspection and Finance and Audit Committee, email: [email protected]. Compliance Committee, and reproduction at the address in item (h) j. Deadline for filing comments, above and in the Commission’s Public Technology and Security Committee protests, and motions to intervene is: Reference Room located at 888 First Meetings Thirty (30) days from the issuance date Street NE, Room 2A, Washington, DC Westdrift Manhattan Beach, 1400 of this notice by the Commission. Parkview Avenue, Manhattan Beach, 20426, or by calling (202) 502–8371. The Commission strongly encourages m. Individuals desiring to be included CA 90266 electronic filing. Please file comments, February 5 (8:00 a.m.–5:00 p.m. Pacific on the Commission’s mailing list should protests, and motions to intervene using so indicate by writing to the Secretary time) and February 6 (8:30 a.m.–12:00 the Commission’s eFiling system at p.m. Pacific time), 2020 of the Commission. http://www.ferc.gov/docs-filing/ n. Comments, Protests, or Motions to Further information regarding these efiling.asp. Commenters can submit Intervene: Anyone may submit meetings may be found at: http:// brief comments up to 6,000 characters, comments, a protest, or a motion to www.nerc.com/Pages/Calendar.aspx. without prior registration, using the intervene in accordance with the The discussions at the meetings, eComment system at http:// requirements of Rules of Practice and which are open to the public, may www.ferc.gov/docs-filing/ Procedure, 18 CFR 385.210, .211, and address matters at issue in the following ecomment.asp. You must include your .214. In determining the appropriate Commission proceedings: name and contact information at the end action to take, the Commission will Docket No. RR20–2, North American of your comments. For assistance, consider all protests or other comments Electric Reliability Corporation please contact FERC Online Support at filed, but only those who file a motion For further information, please [email protected], (866) to intervene in accordance with the contact Jonathan First, 202–502–8529, 208–3676 (toll free), or (202) 502–8659 Commission’s Rules may become a or [email protected]. (TTY). In lieu of electronic filing, please party to the proceeding. Any comments, Dated: January 23, 2020. send a paper copy to: Secretary, Federal protests, or motions to intervene must Kimberly D. Bose, Energy Regulatory Commission, 888 be received on or before the specified Secretary. First Street NE, Washington, DC 20426. comment date for the particular The first page of any filing should application. [FR Doc. 2020–01599 Filed 1–29–20; 8:45 am] include docket number DI20–1–000. o. Filing and Service of Responsive BILLING CODE 6717–01–P k. Description of Project: The Documents: All filings must bear in all proposed run-of-river Cascadilla Creek capital letters the title COMMENTS, DEPARTMENT OF ENERGY Pico Hydro Project would consist of: (1) PROTESTS, and MOTIONS TO A 12-kilovolt tractor alternator with an INTERVENE, as applicable, and the Federal Energy Regulatory output of 2.16 kilowatts; (2) a Docket Number of the particular Commission transmission line that is 20–60 feet from application to which the filing refers. A project facilities and (3) appurtenant copy of any Motion to Intervene must [Docket No. DI20–1–000] facilities. also be served upon each representative When a Declaration of Intention is Cornell Engineers for a Sustainable of the Applicant specified in the filed with the Federal Energy Regulatory World; Notice of Declaration of particular application. Commission, the Federal Power Act p. Agency Comments: Federal, state, Intention and Soliciting Comments, requires the Commission to investigate and local agencies are invited to file Protests, and Motions To Intervene and determine if the project would comments on the described application. Take notice that the following affect the interests of interstate or A copy of the application may be application has been filed with the foreign commerce. The Commission also obtained by agencies directly from the
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Applicant. If an agency does not file docket without change, including any Respondent’s obligation to respond: comments within the time specified for personal information provided, unless Mandatory (40 CFR part 60, subpart filing comments, it will be presumed to the comment includes profanity, threats, NN). have no comments. One copy of an information claimed to be Confidential Estimated number of respondents: 15 agency’s comments must also be sent to Business Information (CBI), or other (total). the Applicant’s representatives. information whose disclosure is Frequency of response: Initially and Dated: January 24, 2020. restricted by statute. semiannually. Total estimated burden: 1,800 hours Kimberly D. Bose, FOR FURTHER INFORMATION CONTACT: (per year). Burden is defined at 5 CFR Secretary. Patrick Yellin, Monitoring, Assistance, 1320.3(b). [FR Doc. 2020–01688 Filed 1–29–20; 8:45 am] and Media Programs Division, Office of Total estimated cost: $335,000 (per BILLING CODE 6717–01–P Compliance, Mail Code 2227A, year), which includes $126,000 in Environmental Protection Agency, 1200 annualized capital/startup and/or Pennsylvania Ave. NW, Washington, DC operation & maintenance costs. ENVIRONMENTAL PROTECTION 20460; telephone number: (202) 564– Changes in the Estimates: There is an AGENCY 2970; fax number: (202) 564–0050; adjustment decrease in the total [EPA–HQ–OECA–2013–0314; FRL–10004– email address: [email protected]. estimated burden in this ICR as 76–OMS] SUPPLEMENTARY INFORMATION: currently identified in the OMB Supporting documents, which explain Inventory of Approved Burdens. This Information Collection Request in detail the information that the EPA increase is not due to any program Submitted to OMB for Review and will be collecting, are available in the changes. The adjustment decrease in Approval; Comment Request; NSPS public docket for this ICR. The docket burden from the most-recently approved for Phosphate Rock Plants (Renewal) can be viewed online at ICR is due to a decrease in the number of sources. The growth rate for the AGENCY: Environmental Protection www.regulations.gov, or in person, at Agency (EPA). the EPA Docket Center, WJC West, industry is very low, negative or non- existent, so the ICR has been adjusted to ACTION: Notice. Room 3334, 1301 Constitution Ave. NW, Washington, DC. The telephone number account for no new respondents over SUMMARY: The Environmental Protection for the Docket Center is 202–566–1744. the next three years. This also results in Agency (EPA) has submitted an For additional information about EPA’s a reduction in capital/startup costs. information collection request (ICR), public docket, visit: http:// Courtney Kerwin, NSPS for Phosphate Rock Plants (EPA www.epa.gov/dockets. Director, Regulatory Support Division. ICR Number 1078.12, OMB Control Abstract: The New Source [FR Doc. 2020–01662 Filed 1–29–20; 8:45 am] Number 2060–0111), to the Office of Performance Standards (NSPS) for BILLING CODE 6560–50–P Management and Budget (OMB) for Phosphate Rock Plants (40 CFR part 60, review and approval in accordance with subpart NN) apply to the following the Paperwork Reduction Act. This is a existing facilities and new facilities at ENVIRONMENTAL PROTECTION proposed extension of the ICR, which is phosphate rock plants with capacities AGENCY currently approved through March 31, greater than 4 tons per hour: Dryers, 2020. Public comments were previously [FRL–10004–85–OAR] calciners, grinders, and ground rock requested via the Federal Register on handling and storage facilities, except May 6, 2019 during a 60-day comment Meeting of the Mobile Sources those facilities producing or preparing period. This notice allows for an Technical Review Subcommittee phosphate rock solely for consumption additional 30 days for public comments. in elemental phosphorus production. AGENCY: Environmental Protection A fuller description of the ICR is given New facilities include those that Agency (EPA). below, including its estimated burden commenced construction, modification ACTION: Notice of meeting. and cost to the public. An agency may or reconstruction after the date of neither conduct nor sponsor, and a proposal. This information is being SUMMARY: Pursuant to the Federal person is not required to respond to, a collected to assure compliance with 40 Advisory Committee Act notice is collection of information unless it CFR part 60, subpart NN. In general, all hereby given that the Mobile Sources displays a currently valid OMB control NSPS standards require initial Technical Review Subcommittee number. notifications, performance tests, and (MSTRS) will meet on March 31, 2020. DATES: Additional comments may be periodic reports by the owners/ The MSTRS is a subcommittee under submitted on or before March 2, 2020. operators of the affected facilities. They the Clean Air Act Advisory Committee. ADDRESSES: Submit your comments, are also required to maintain records of This is an open meeting. The meeting referencing Docket ID Number EPA– the occurrence and duration of any will include discussion of current topics HQ–OECA–2013–0314, to: (1) EPA startup, shutdown, or malfunction in and presentations about activities being online using www.regulations.gov (our the operation of an affected facility, or conducted by EPA’s Office of preferred method), or by email to any period during which the monitoring Transportation and Air Quality. The [email protected], or by mail to: EPA system is inoperative. These preliminary agenda for the meeting and Docket Center, Environmental notifications, reports, and records are any notices about change in venue will Protection Agency, Mail Code 28221T, essential in determining compliance, be posted on the Subcommittee’s 1200 Pennsylvania Ave. NW, and are required of all affected facilities website: http://www2.epa.gov/caaac/ Washington, DC 20460; and (2) OMB via subject to NSPS. mobile-sources-technical-review- email to [email protected]. subcommittee-mstrs-caaac. MSTRS Address comments to OMB Desk Officer Form Numbers: None. listserv subscribers will receive for EPA. Respondents/affected entities: notification when the agenda is EPA’s policy is that all comments Owners and operators of phosphate rock available on the Subcommittee website. received will be included in the public plants. To subscribe to the MSTRS listserv,
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send an email to mccubbin.courtney@ ENVIRONMENTAL PROTECTION Planning and Standards, U.S. epa.gov. AGENCY Environmental Protection Agency, by phone at (919) 541–0882 or by email at DATES: Tuesday, March 31, 2020 from [EPA–HQ–OAR–2013–0691; FRL–10003–50– OMS] [email protected]. 9:00 a.m. to 4:30 p.m. Registration SUPPLEMENTARY INFORMATION: begins at 8:30 a.m. Information Collection Request Supporting documents, which explain ADDRESSES: The meeting is currently Submitted to OMB for Review and in detail the information that the EPA scheduled to be held at The Residence Approval; Comment Request; Fine will be collecting, are available in the Inn Arlington Capital View Hotel at Particulate Matter (PM2.5) National public docket for this ICR. The docket 2850 South Potomac Avenue, Arlington, Ambient Air Quality Standards can be viewed online at http:// Virginia 22202. However, this date and (NAAQS) State Implementation Plan www.regulations.gov, or in person at the location are subject to change and (SIP) Requirements Rule (Renewal) EPA Docket Center, WJC West, Room 3334, 1301 Constitution Ave. NW, interested parties should monitor the AGENCY: Environmental Protection Subcommittee website (above) for the Washington, DC. The telephone number Agency (EPA). for the Docket Center is (202) 566–1744. latest logistical information. ACTION: Notice. For additional information about EPA’s FOR FURTHER INFORMATION CONTACT: public docket, visit http://www.epa.gov/ SUMMARY: The Environmental Protection dockets. Courtney McCubbin, Designated Federal Agency (EPA) has submitted an Abstract: The PM NAAQS SIP Officer, Office of Transportation and Air information collection request (ICR), 2.5 Quality, Mail code 6401A, U.S. EPA, Requirements Rule became effective on Fine Particulate Matter (PM ) National 2.5 October 24, 2016 (81 FR 58010). This 1200 Pennsylvania Ave. NW, Ambient Air Quality Standards rule provides the framework of Clean Washington, DC 20460; Phone number: (NAAQS) State Implementation Plan Air Act (CAA) requirements for air 202–564–2436; email: (SIP) Requirements Rule (EPA ICR agencies to develop state [email protected]. Number 2258.05, OMB Control Number implementation plans to help attain and 2060–0611), to the Office of Background on the work of the maintain the PM NAAQS. States have Management and Budget (OMB) for 2.5 Subcommittee is available at: https:// applied this framework to develop review and approval in accordance with www.epa.gov/caaac/mobile-sources- attainment plans and redesignation the Paperwork Reduction Act. This is a technical-review-subcommittee-mstrs- requests and maintenance plans for proposed renewal of the existing ICR for caaac. areas designated nonattainment for the the PM NAAQS State Implementation 2.5 1997 PM NAAQS, the 2006 PM Individuals or organizations wishing Plan (SIP) Requirements Rule, which is 2.5 2.5 NAAQS, and the 2012 PM NAAQS. to provide comments to the currently approved through January 31, 2.5 The ICR finalized with the PM Subcommittee should submit them to 2020. Public comments were previously 2.5 NAAQS SIP Requirements Rule Ms. McCubbin at the address above by requested via the Federal Register on estimated, for the 3 years following the March 17, 2020. The Subcommittee October 1, 2019, during a 60-day ICR approval date, the burden expects that public statements presented comment period. This notice allows for associated with plan development and at its meetings will not be repetitive of an additional 30 days for public plan revisions related to ongoing previously submitted oral or written comments. A fuller description of the implementation efforts in 31 areas statements. ICR is given below, including its designated nonattainment for the 1997, estimated burden and cost to the public. 2006 and 2012 PM NAAQS. The SUPPLEMENTARY INFORMATION: During the An Agency may not conduct, or sponsor 2.5 estimates included the burden to meeting, the Subcommittee may also and a person is not required to respond develop and submit, and the burden to hear progress reports from some of its to a collection of information unless it the EPA to review and to approve or workgroups as well as updates and displays a currently valid OMB control disapprove, attainment plans to meet announcements on activities of general number. interest to attendees. the requirements prescribed in CAA DATES: Additional comments may be sections 110 and part D, subparts 1 and For individuals with disabilities: For submitted on or before March 2, 2020. 4 of title I. A PM2.5 NAAQS attainment information on access or services for ADDRESSES: Submit your comments, plan contains rules and other measures individuals with disabilities, please referencing Docket ID No. EPA–HQ– designed to improve air quality and contact Ms. McCubbin (see above). To OAR–2013–0691, online using http:// achieve the NAAQS by the deadlines request accommodation of a disability, www.regulations.gov (our preferred established under the CAA. It also must please contact Ms. McCubbin, method), or by mail to: EPA Docket address several additional CAA preferably at least 10 days prior to the Center, Environmental Protection requirements related to demonstrating meeting, to give EPA as much time as Agency, Mail Code 28221T, 1200 timely attainment and must contain possible to process your request. Pennsylvania Ave. NW, Washington, DC contingency measures in the event the 20460. Dated: January 15, 2020. nonattainment area does not achieve The EPA’s policy is that all comments reasonable further progress throughout Sarah Dunham, received will be included in the public the attainment period or in the event the Director, Office of Transportation and Air docket without change including any area does not attain the NAAQS by its Quality. personal information provided, unless attainment date. States that have [FR Doc. 2020–01749 Filed 1–29–20; 8:45 am] the comment includes profanity, threats, attained by the applicable attainment BILLING CODE 6560–50–P information claimed to be Confidential date may be eligible to submit a Business Information, or other redesignation request and maintenance information whose disclosure is plan to receive a redesignation from restricted by statute. ‘‘nonattainment’’ to ‘‘attainment.’’ After FOR FURTHER INFORMATION CONTACT: Ms. a state submits an attainment or Leigh Herrington, Office of Air Quality maintenance plan, the CAA requires the
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EPA to approve or disapprove the plan. ADDRESSES: This document will be presented in the Integrated Review Plan Tribes may develop or submit available primarily via the internet at for the National Ambient Air Quality attainment plans but are not required to https://www.epa.gov/naaqs/particulate- Standards for Particulate Matter (IRP).1 do so. matter-pm-air-quality-standards. A draft of the Integrated Science Form Numbers: None. FOR FURTHER INFORMATION CONTACT: Dr. Assessment for Particulate Matter (ISA) Respondents/affected entities: State Scott Jenkins, Office of Air Quality was reviewed by the CASAC at a public and local governments. Planning and Standards (Mail Code meeting in December 2018 (83 FR Respondent’s obligation to respond: C504–06), U.S. Environmental Mandatory (40 CFR parts 50, 51, and 55529, November 6, 2018) and Protection Agency, Research Triangle discussed on a public teleconference in 93). Park, NC 27711; telephone number: Estimated number of respondents: 8. March 2019 (84 FR 8523, March 8, Frequency of response: Once per 919–541–1167; fax number: 919–541– 2019). The final ISA was made available triggering event. 5315; email: [email protected]. in January 2020.2 The final PA Total estimated burden: 25,500 hours SUPPLEMENTARY INFORMATION: Two announced today draws from the (per year). Burden is defined at 5 CFR sections of the Clean Air Act (CAA) scientific evidence assessed in the ISA, 1320.03(b). govern the establishment and revision of together with the results of air quality Total estimated costs: $1,600,000 (per the NAAQS. Section 108 (42 U.S.C. and other quantitative analyses, as year), which includes no annualized 7408) directs the Administrator to available. capital or operation & maintenance identify and list certain air pollutants costs. and then to issue air quality criteria for The PA, when final, is intended to Changes in Estimates: There is a those pollutants. The Administrator is ‘‘bridge the gap’’ between the scientific decrease of 65,100 annual hours in the to list those air pollutants that in his and technical information available in total estimated respondent burden ‘‘judgment, cause or contribute to air the review and the judgments required compared with the ICR currently pollution which may reasonably be of the Administrator in determining approved by OMB. This decrease is anticipated to endanger public health or whether to retain or revise the existing primarily a result of a reduction in the welfare’’; ‘‘the presence of which in the PM NAAQS. The EPA released the draft number of designated nonattainment ambient air results from numerous or PA in September 2019 (84 FR 47944, areas. diverse mobile or stationary sources’’; September 11, 2019). The draft PA was Courtney Kerwin, and ‘‘for which . . . [the Administrator] reviewed by the chartered CASAC on plans to issue air quality criteria . . .’’ Director, Regulatory Support Division. October 24–25, 2019 at a public meeting (42 U.S.C. 7408(a)(1)(A)–(C)). Air held in Cary, NC. Public comments on [FR Doc. 2020–01679 Filed 1–29–20; 8:45 am] quality criteria are intended to the draft PA were received via a BILLING CODE 6560–50–P ‘‘accurately reflect the latest scientific separate public teleconference on knowledge useful in indicating the kind October 22, 2019 (84 FR 51555, ENVIRONMENTAL PROTECTION and extent of all identifiable effects on September 30, 2019). A public meeting AGENCY public health or welfare which may be to discuss the CASAC letter and expected from the presence of [a] response to charge questions on the [EPA–HQ–OAR–2015–0072; FRL–10004–46– pollutant in the ambient air . . .’’ (42 draft PA was held in Cary, NC on OAR] U.S.C. 7408(a)(2)). Under section 109 December 3, 2019 (84 FR 58713, (42 U.S.C. 7409), the EPA establishes Release of a Final Document Related November 1, 2019), and the CASAC primary (health-based) and secondary to the Review of the National Ambient provided its advice on the draft PA in (welfare-based) NAAQS for pollutants Air Quality Standards for Particulate for which air quality criteria are issued. a letter to the EPA Administrator dated Matter 3 Section 109(d) requires periodic review December 16, 2019. The final PA reflects staff’s consideration of the AGENCY: Environmental Protection and, if appropriate, revision of existing Agency (EPA). air quality criteria. The revised air advice and comments from CASAC, as well as public comments. The final PA ACTION: Notice of availability. quality criteria reflect advances in scientific knowledge on the effects of will be available on or about January 27, SUMMARY: The Environmental Protection the pollutant on public health or 2020, on the EPA’s website at https:// Agency (EPA) is announcing the welfare. The EPA is also required to www.epa.gov/naaqs/particulate-matter- availability of a document titled, Policy periodically review and revise the pm-air-quality-standards. Assessment for the Review of the NAAQS, if appropriate, based on the The documents briefly described National Ambient Air Quality revised criteria. Section 109(d)(2) above do not represent, and should not Standards for Particulate Matter (PA). requires that an independent scientific be construed to represent, any final EPA This document was prepared as part of review committee ‘‘shall complete a policy, viewpoint, or determination. the current review of the National review of the criteria . . . and the Ambient Air Quality Standards national primary and secondary ambient (NAAQS) for Particulate Matter (PM). air quality standards . . . and shall Building on the Integrated Science recommend to the Administrator any 1 The IRP (EPA–452/R–16–005, December 2016) Assessment for Particulate Matter (ISA), new . . . standards and revisions of the is available at https://www.epa.gov/naaqs/ completed in December 2019, the PA is existing criteria and standards as may be particulate-matter-pm-standards-planning- intended to ‘‘bridge the gap’’ between documents-current-review. appropriate . . . .’’ Since the early 2 the currently available scientific The ISA for PM (EPA/600/R–19/188, December 1980s, this independent review function 2019 is available at https://www.epa.gov/isa/ information and the judgments required has been performed by the Clean Air integrated-science-assessment-isa-particulate- of the Administrator in determining Scientific Advisory Committee matter. whether to retain or revise the existing (CASAC). 3 The CASAC letter is available at https:// NAAQS for PM. yosemite.epa.gov/sab/sabproduct.nsf/ Presently, the EPA is reviewing the air 264cb1227d55e02c85257402007446a4/ DATES: The PA will be made available quality criteria and NAAQS for PM. The E2F6C71737201612852584D20069DFB1/$File/EPA- on or about January 27, 2020. EPA’s overall plan for this review is CASAC-20-001.pdf.
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Dated: January 27, 2020. FOR FURTHER INFORMATION CONTACT: For pursuant to the RHC universal service Panagiotis Tsirigotis, additional information about the support mechanism, to determine if Director, Office of Air Quality Planning and information collection, contact Nicole entities are complying with the Standards. Ongele, (202) 418–2991. Commission’s rules, and to prevent [FR Doc. 2020–01682 Filed 1–29–20; 8:45 am] SUPPLEMENTARY INFORMATION: waste, fraud, and abuse. This BILLING CODE 6560–50–P OMB Control Number: 3060–0804. information is also necessary in order to Title: Universal Service—Rural Health allow the Commission to evaluate the Care Program. extent to which the RHC Program is FEDERAL COMMUNICATIONS Form Numbers: FCC Forms 460, 461, meeting the statutory objectives COMMISSION 462, 463, 465, 466, and 467. specified in section 254(h) of the 1996 Type of Review: Revision of a Act, and the Commission’s performance [OMB 3060–0804; FRS 16432] currently approved collection. goals for the RHC Program. This information collection is being Information Collection Being Reviewed Respondents: Business or other for- profit; Not-for-profit institutions; revised to: (1) Extend some of the by the Federal Communications existing information collection Commission Federal Government; and State, Local, or Tribal governments. requirements for the Healthcare Connect AGENCY: Federal Communications Number of Respondents and Fund and Telecommunications Commission. Responses: 10,494 unique respondents; (Telecom) Programs; (2) revise some of the information collection requirements ACTION: Notice and request for 93,687 responses. for the Healthcare Connect Fund and comments. Estimated Time per Response: 0.30– Telecom Programs and (3) add some 17 hours. new information collection SUMMARY: As part of its continuing effort Frequency of Response: On occasion, requirements applicable to both the to reduce paperwork burdens, and as One-time, Annual, Quarterly, and Healthcare Connect Fund Program and required by the Paperwork Reduction Monthly reporting requirements. the Telecom Program as a result of the Act of 1995 (PRA), the Federal Obligation to Respond: Required to 2019 Promoting Telehealth Report and Communications Commission (FCC or obtain or retain benefits. Statutory Order. As part of this information Commission) invites the general public authority for this collection of collection, the Commission is also and other Federal agencies to take this information is contained in sections 1– opportunity to comment on the revising the FCC Form templates for 4, 201–205, 214, 254, 303(r), and 403 of both programs, reformatting and following information collections. the Communications Act of 1934, as Comments are requested concerning: revising the Telecommunications amended, 47 U.S.C. 151–154, 201–205, Program Invoice Template, and creating Whether the proposed collection of 214, 254, 303(r), and 403, unless information is necessary for the proper a new Post-Commitment Request Form otherwise noted. consistent with the changes adopted in performance of the functions of the Total Annual Burden: 382,741 hours. Commission, including whether the the 2019 Promoting Telehealth Report Total Annual Cost: No Cost. and Order and to promote transparency information shall have practical utility; Privacy Impact Assessment: No the accuracy of the Commission’s into the RHC Program procedures and Impact(s). requirements. burden estimate; ways to enhance the Nature and Extent of Confidentiality: quality, utility, and clarity of the The Healthcare Connect Fund There is no assurance of confidentiality Program currently includes FCC Forms information collected; ways to minimize provided to respondents concerning this 460, 461, 462, and 463 and the Telecom the burden of the collection of information collection. Information Program currently includes FCC Forms information on the respondents, submitted on FCC Forms for the RHC 465, 466, and 467. The revisions to including the use of automated Program is subject to public inspection these FCC Form templates, where collection techniques or other forms of and is used by USAC to update and applicable, are intended to make the information technology; and ways to expand the RHC Program dataset as part RHC Program information requests further reduce the information of its Open Data Platform. However, consistent between the programs, to the collection burden on small business respondents may request materials or extent possible, and help to ensure and concerns with fewer than 25 employees. information submitted to the verify that RHC Program participants are The FCC may not conduct or sponsor Commission or to USAC be withheld not engaging in fraudulent conduct or a collection of information unless it from public inspection under 47 CFR otherwise violating the Commission’s displays a currently valid Office of 0.459 of the FCC’s rules. rules. Some of the changes to the FCC Management and Budget (OMB) control Needs and Uses: The Commission Form templates have different effective number. No person shall be subject to seeks OMB approval of revisions dates. Therefore, for administrative ease, any penalty for failing to comply with (change in reporting and recordkeeping we have indicated the applicable a collection of information subject to the requirements) to this information funding year of the FCC Form template, PRA that does not display a valid OMB collection as a result of the 2019 and where a specific form includes control number. Promoting Telehealth Report and Order changes applicable to funding year 2020 DATES: Written PRA comments should (WC Docket No. 17–310; FCC 19–78; 84 and others to funding year 2021, we be submitted on or before March 30, FR 54952, October 11, 2019). This have provided separate forms applicable 2020. If you anticipate that you will be collection is utilized for the RHC to each funding year. In the 2019 submitting comments, but find it support mechanism of the Promoting Telehealth Report and Order, difficult to do so within the period of Commission’s universal service fund the Commission directed USAC to time allowed by this notice, you should (USF). The collection of this streamline the data collection advise the contact listed below as soon information is necessary so that the requirements and consolidate the as possible. Commission and the Universal Service program forms to the extent possible. ADDRESSES: Direct all PRA comments to Administrative Company (USAC) will Such streamlining and consolidation Nicole Ongele, FCC, via email PRA@ have sufficient information to determine will not affect the underlying fcc.gov and to [email protected]. if entities are eligible for funding information collected as part of this
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information collection, but may change reserved amount of time will be Rule, finding that the 2015 Declaratory the format in which it may be collected. available on the agenda for comments Ruling was misguided in its The information on the FCC Form and inquiries from the public. Members interpretation of the VoIP Symmetry templates is a representative description of the public may comment or ask Rule and holding that a LEC providing of the information to be collected via an questions of presenters via the email retail service with a VoIP provider online portal and is not intended to be address [email protected]. The partner provides the functional a visual representation of what each meeting site is fully accessible to people equivalent of end office switching and applicant or service provider will see, using wheelchairs or other mobility thus may assess end office switched the order in which they will see aids. Sign language interpreters, open access charges only if either the LEC or information, or the exact wording or captioning, and assistive listening its VoIP partner provides a physical directions used to collect the devices will be provided on site. Other connection to the last-mile facilities information. Where possible, reasonable accommodations for people used to serve the end user. By adopting information already provided by with disabilities are available upon this interpretation of the VOIP applicants from previous filing years or request. Requests for such Symmetry Rule, the Commission that was pre-filed in the system portal accommodations or for materials in reduces intercarrier disputes and will be carried forward and auto- accessible formats for people with uncertainty and promotes competition. generated into the form to simplify the disabilities (Braille, large print, DATES: Effective January 30, 2020. information collection for applicants. electronic files, audio format) should be ADDRESSES: Federal Communications Additionally, in the 2019 Promoting submitted via email to: [email protected] Commission, 445 12th Street SW, Telehealth Report and Order, the or by calling the Consumer and Washington, DC 20554. Commission adopted rules to reflect the Governmental Affairs Bureau at (202) FOR FURTHER INFORMATION CONTACT: changes in the Report and Order. The 418–0530 (voice), (202) 418–0432 Rhonda Lien, Wireline Competition new and revised rules impacted by this (TTY). Such requests should include a Bureau, Pricing Policy Division, via collection are listed and described detailed description of the phone at 202–418–1540 or email at within the collection. accommodation needed and a way for [email protected]. the FCC to contact the requester if more Federal Communications Commission. SUPPLEMENTARY INFORMATION: This is a information is needed to fill the request. Marlene Dortch, summary of the Federal Requests should be made as early as Secretary, Office of the Secretary. Communications Commission’s Order possible; last minute requests will be on Remand and Declaratory Ruling, in [FR Doc. 2020–01733 Filed 1–29–20; 8:45 am] accepted but may not be possible to WC Docket No. 10–90, CC Docket No. BILLING CODE 6712–01–P accommodate. 01–92; FCC 19–131, adopted on Proposed Agenda: At this meeting, December 12, 2019 and released the DAC is expected to receive and FEDERAL COMMUNICATIONS December 17, 2019. A full-text version consider reports and recommendations COMMISSION of the document can be found at the from its subcommittees. The DAC may following internet address: https:// also receive briefings from Commission [DA 20–92; FRS 16433] ecfsapi.fcc.gov/file/1217069113807/ staff on issues of interest to the FCC-19-131A1.pdf. Alternative formats Disability Advisory Committee; Committee and may discuss topics of are available to persons with disabilities Announcement of Second Meeting interest to the committee, including, but by sending an email to [email protected] not limited to, matters concerning AGENCY: Federal Communications or by calling the Consumer & communications transitions, Commission. Governmental Affairs Bureau at (202) telecommunications relay services, 418–0530 (voice), (202) 418–0432 ACTION: Notice. emergency access, and video (TTY). programming accessibility. SUMMARY: In this document, the Commission announces and provides an Federal Communications Commission. I. Introduction agenda for the second meeting of the Suzanne Singleton, 1. One of the foundational missions of third term of its Disability Advisory Chief, Disability Rights Office, Consumer and the Federal Communications Committee (DAC or Committee). Governmental Affairs Bureau. Commission (Commission) is to ensure DATES: Wednesday, February 26, 2020. [FR Doc. 2020–01663 Filed 1–29–20; 8:45 am] that communications networks are available to Americans throughout the The meeting will come to order at 9:00 BILLING CODE 6712–01–P a.m. Eastern Time. country. And for decades, the Commission has indirectly subsidized ADDRESSES: Federal Communications the deployment and expansion of local Commission, 445 12th Street SW FEDERAL COMMUNICATIONS voice telephone networks through its Washington, DC 20554, in the COMMISSION intercarrier compensation system. These Commission Meeting Room. [WC Docket No. 10–90, CC Docket No. 01– rules allowed, for example, local FOR FURTHER INFORMATION CONTACT: Will 92; FCC 19–131; FRS 16436] exchange carriers (or LECs) to collect Schell, Designated Federal Officer Connect America Fund; Developing a end office switching charges or charges (DFO), at (202) 418–0767 (voice) or recovered from long-distance carriers [email protected]; or Debra Patkin, Alternate Unified Intercarrier Compensation Regime (known as interexchange carriers or DFO, at (202) 870–5226 (voice or IXCs) for terminating long-distance calls videophone for American Sign AGENCY: Federal Communications to the LECs’ local customers. Language users). Commission. 2. Calls were traditionally delivered SUPPLEMENTARY INFORMATION: This ACTION: Notice. over the legacy system of interconnected meeting is open to members of the voice telephone networks known as the general public. The meeting will be SUMMARY: In this document, the Federal public-switched telephone network, or webcast with open captioning at: Communications Commission clarifies PSTN. For nearly the last decade, the www.fcc.gov/live. In addition, a its interpretation of the VoIP Symmetry Commission has worked to facilitate the
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efficient transition from traditional II. Background transitional intercarrier compensation legacy voice networks to modern 5. The IP transition has generated a framework for VoIP–PSTN traffic, or internet Protocol-based networks. In great deal of regulatory uncertainty. In ‘‘traffic exchanged over PSTN facilities 2011, the Commission recognized that, early 2011, the Commission resolved a that originates and/or terminates in IP as a consequence of the transition to formal complaint brought by AT&T format.’’ Specifically, this framework these IP-based networks and services, alleging that YMax Communications established default intercarrier consumers were increasingly Corp., a competitive LEC, was compensation rates for toll VoIP–PSTN purchasing Voice over internet Protocol improperly assessing switched access traffic equal to interstate access rates (VoIP) services. As a result, voice charges for voice services it provided in and default intercarrier compensation telephone traffic increasingly originates conjunction with its partner magicJack, rates for other VoIP–PSTN traffic at or terminates in IP format, but is also LP. magicJack provided consumers ‘‘the otherwise applicable reciprocal exchanged over PSTN facilities. To ability to use the internet to make and compensation rates. The Commission address the growing VoIP–PSTN traffic, receive calls throughout most of North specified that the term ‘‘VoIP–PSTN’’ and as part of its commitment to America’’ through a device—the related to ‘‘whether the exchange of promoting investment in and eponymous ‘‘magicJack’’—that plugged traffic between a LEC and another deployment of IP networks, the into a computer’s USB port and a carrier occurs in Time-Division Commission adopted the VoIP telephone jack ‘‘into which an ordinary Multiplexing (TDM) format (and not in Symmetry Rule, which ‘‘permit[s] a LEC landline telephone can be plugged.’’ IP format), without specifying the to charge the relevant intercarrier Customers had to ‘‘separately procure technology used to perform the compensation for functions performed high speed internet access service from functions subject to the associated by it and/or by its retail VoIP partner, a third-party ISP in order to use the intercarrier compensation charges.’’ The regardless of whether the functions magicJack device to place or receive Commission adopted a ‘‘symmetric’’ performed or the technology used calls.’’ YMax provided access to framework, reasoning that such an correspond precisely to those used numbers and to the PSTN for approach best balanced its policy goals under a traditional . . . architecture.’’ magicJack’s customers, but ‘‘did not of encouraging migration to an all-IP provide any physical transmission network, reducing intercarrier 3. Several years later, the Commission compensation disputes, providing offered an interpretation of the VoIP facilities’’ connecting YMax to the premises of any non-carriers/non- greater certainty to the industry Symmetry Rule that allowed LECs that regarding intercarrier compensation partner with over-the-top VoIP internet Service Provider (ISP) persons or entities. In its complaint, AT&T revenue streams, avoiding marketplace providers to collect end office switching distortions and arbitrage that could arise charges on their VoIP–PSTN traffic. This alleged that YMax violated the Communications Act of 1934, as from an asymmetrical approach to 2015 Declaratory Ruling was compensation, and advancing immediately challenged, vacated by the amended, by assessing switched access charges not authorized by its tariff, competitive and technological United States Court of Appeals for the neutrality. District of Columbia Circuit (the D.C. because YMax did not provide services 8. Specifically, the VoIP Symmetry Circuit), and remanded to the such as ‘‘Switched Access Service’’ or Rule ‘‘permit[s] a LEC to charge the Commission for further consideration. ‘‘End Office Switched Access’’ to ‘‘end relevant intercarrier compensation for We also have under consideration a users’’ as defined in its tariff. functions performed by it and/or by its Petition for Declaratory Ruling filed by 6. The Commission examined the retail VoIP partner, regardless of CenturyLink seeking to have the YMax tariff provisions in question ‘‘according to their common meaning in whether the functions performed, or the Commission reaffirm the 2015 the industry.’’ The Commission held technology used correspond precisely to Declaratory Ruling. that the terms ‘‘termination’’ of ‘‘End those used under a traditional TDM 4. To provide certainty to carriers, User station loops’’ and ‘‘end user lines’’ (time division multiplexing) promote the deployment of modern all- have well-established meanings within architecture.’’ The VoIP Symmetry Rule IP networks, and advance competition the telecommunications industry, in specifies that, ‘‘a local exchange carrier in the voice services market, we now Commission orders, and in court shall be entitled to assess and collect the clarify our interpretation of the VoIP decisions. In all of those contexts, the full Access Reciprocal Compensation symmetry rule and reaffirm our terms generally refer to a physical charges prescribed by this subpart that commitment to well-established transmission facility that provides a are set forth in a local exchange carrier’s Commission precedent that takes point-to-point connection between an interstate or intrastate tariff for the account of the functions a LEC or its individual home or business and a access services defined in § 51.903 VoIP provider partner are actually telephone company office. The regardless of whether the local exchange performing. Accordingly, we interpret Commission held that YMax was not carrier itself delivers such traffic to the our VoIP Symmetry Rule to permit LECs providing ‘‘end office switched access’’ called party’s premises or delivers the to assess end office switched access because it did not provide a ‘‘physical call to the called party’s premises via charges only if the LEC or its VoIP transmission facility that provides a contractual or other arrangements with partner provides a physical connection point-to-point connection.’’ In reaching an affiliated or unaffiliated provider of to the last-mile facilities used to serve its decision, the Commission rejected interconnected VoIP service, as defined an end user. If neither the LEC nor its YMax’s argument that it was providing in 47 U.S.C. 153(25), or a non- VoIP provider partner provides such ‘‘virtual loops’’ via the customer’s interconnected VoIP service, as defined physical connection to the last-mile internet access. in 47 U.S.C. 153(36), that does not itself facilities used to serve the end user, the 7. In the Transformation Order, 76 FR seek to collect Access Reciprocal VoIP–LEC partnership is not providing 73830, the Commission recognized that Compensation charges prescribed by the functional equivalent of end office its approach to intercarrier this subpart for that traffic.’’ 47 CFR switched access and the LEC may not compensation needed to evolve along 51.913(b). Among the categories of assess end office switched access with changing technologies and network services defined in section 51.903 is charges. functions, and adopted a prospective End Office Access Services, which are
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defined as ‘‘the switching of access switched access involves a physical 13. Litigation and other disputes traffic at the carrier’s end office switch connection between the LEC and the regarding access charges related to the and the delivery to or from of such last-mile facilities used to serve an end VoIP Symmetry Rule continue. In its traffic to the called party’s premises.’’ user. On appeal, the D.C. Circuit Petition, CenturyLink details ongoing Local switching is one of the rate rejected as arbitrary and capricious the litigation regarding the interpretation of elements of End Office Access Charges, Commission’s attempt to omit the the VoIP Symmetry Rule. According to whereas there are separate common line physical connection of lines and trunks O1 Communications and Peerless charges that recover, as a general matter, from the necessary functions of end Network, the Remand Order ‘‘has the costs associated with the physical office switching because it left the resulted in disputes between local loop and line port. Commission unable to distinguish exchange carriers . . . and 9. In 2012, YMax sought clarification between end office and tandem interexchange carriers . . ., primarily about ‘‘the minimum functionality switching. The court also found that the AT&T and Verizon, over the appropriate required’’ for a competitive LEC to Commission had not successfully compensation for over-the-top VoIP collect full access for VoIP–PSTN traffic rebutted the commonly understood traffic.’’ Peerless also alleges that several pursuant to the then-new VoIP meaning of end office switching, as large interexchange carriers ‘‘not only Symmetry Rule. YMax asserted that the discussed in YMax I. As the court refuse to pay access charges on [over- Commission should affirm that ‘‘a LEC explained, ‘‘YMax I represents the the-top] VoIP traffic, but invented new is performing the functional equivalent Commission’s apparent understanding disputes for access charges they had of ILEC access service . . . whenever it of the ‘commonly understood previously paid, resulting in a claimed is providing telephone numbers and meaning[]’ of end office switching ‘claw back’ of prior payments.’’ some portion of the interconnection around the time of the Transformation According to AT&T, two district courts with the PSTN, and regardless of how Order.’’ The court further explained that issued rulings regarding access disputes or by whom the last-mile transmission YMax I, as well as earlier guidance arising under the VoIP Symmetry Rule is provided.’’ The Wireline Competition dating back to the 1990s, ‘‘appear to and ‘‘both district courts stayed or Bureau rejected YMax’s arguments and identify end-office switching as vacated their decisions’’ after the release explained that ‘‘ ‘although access supplying actual or physical of the Remand Order. services might functionally be interconnection.’’ The court determined III. Discussion accomplished in different ways . . . the that ‘‘[t]he ruling’s only explanation for 14. Upon consideration of the record right to [assess] charge[s] [pursuant to why interconnection is ‘not require[d]’ in this proceeding and consistent with the VoIP Symmetry Rule] does not is that, in VoIP–PSTN calls, ‘the Commission precedent, we reaffirm the extend to functions not performed by customer is separately paying for [the] long-standing definition of what the LEC or its retail VoIP service broadband connection . . . . That the constitutes ‘‘end office switching’’: A provider partner.’ ’’ The Bureau customer is paying for the broadband VoIP–LEC partnership that explained that YMax’s interpretation interconnection doesn’t support the interconnects a call with a customer’s could lead to double billing and that the conclusion that interconnection is last-mile facility performs the functional Commission was careful to ‘‘prevent unnecessary for end-office switching—it equivalent of end office switching and double billing and charging for merely indicates that it is provided by may charge for that functionality. By functions not actually provided.’’ As a a party other than a VoIP–LEC.’’ result, the Bureau rejected YMax’s contrast, a VoIP provider, or a VoIP–LEC proposed rule interpretation. 12. After the court remanded the 2015 partnership, that transmits calls to an 10. In the 2015 Declaratory Ruling, Declaratory Ruling, CenturyLink unaffiliated ISP for routing over the the Commission reviewed the precedent submitted a Petition for a Declaratory internet does not provide the functional establishing that the hallmark of end Ruling, urging the Commission to issue equivalent of end office switching, and office switching is the connection of a declaratory ruling regarding the may not impose an end office switching trunks to lines and concluded that ‘‘the appropriate intercarrier compensation access charge on IXCs that receive or cases cited . . . are distinguishable from for over-the-top VoIP–LEC traffic to and deliver traffic to or from the VoIP–LEC the facts before us or have been from the PSTN and reaffirm the partnership. Today’s ruling provides superseded by the changes adopted in conclusions of the 2015 Declaratory carriers with certainty and predictability the USF/ICC ... Transformation Ruling regarding the correct about the applicability of the VoIP Order.’’ The Commission focused interpretation of the VoIP Symmetry Symmetry Rule, while helping to instead on what it described as the Rule. The Commission sought and resolve past disputes. ‘‘critical functions’’ of switched access received comments on CenturyLink’s 15. In reaching our conclusion, we in the traditional TDM network and petition. CenturyLink argues that the also conclude that the 2015 Declaratory compared them to key physical Remand Order does not decide the Ruling failed to properly interpret the switching functions in the IP network. correct interpretation of the VoIP VoIP Symmetry Rule in light of the Based on this review, the Commission Symmetry Rule in relation to over-the- commonly understood meaning of end determined that it should allow an top VoIP traffic, and requests that the office switching. Commission precedent ‘‘equal application of the [VoIP Commission ‘‘complete the remand’’ is clear that a physical connection to the Symmetry] rule’’ to all types of VoIP from the court and ‘‘resolve the last-mile facilities used to serve an end services and allow both facilities-based underlying dispute as to the proper user is the key characteristic of end and over-the-top VoIP providers or their interpretation’’ of the VoIP Symmetry office switching, and absent such LEC partners to collect end office Rule. AT&T and Verizon disagree. physical connection, a VoIP–LEC switching charges on VoIP–PSTN traffic. AT&T, for example, asserts that ‘‘there partnership is not performing the 11. AT&T appealed the 2015 is no merit to CenturyLink’s effort to functional equivalent of end office Declaratory Ruling, arguing that services sideswipe the text of the 2011 rules, switching. For example, the Responsible provided by over-the-top VoIP–LEC [and] the decades of precedent Accounting Officer decisions consist of partnerships do not constitute the establishing the meaning and a Common Carrier Bureau letter functional equivalent of end office application of those rules to over-the- providing cost accounting guidance for switching services because end office top VoIP traffic.’’ remote switching equipment, and a
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subsequent Commission-level carrier can impose access charges by compensation disputes, and avoiding reconsideration order of the letter. considering whether the service being marketplace distortions and arbitrage Accordingly, on remand, we decline to provided is functionally equivalent to a that could arise from an asymmetrical follow the interpretation of the VoIP service for which LECs have been approach to compensation.’’ Our Symmetry Rule adopted by the allowed to impose access charges. As unwillingness to so quickly assume a Commission in the 2015 Declaratory the Commission explained, ‘‘under the change in policy as the 2015 Declaratory Ruling and deny the CenturyLink Commission’s historical approach in the Ruling did likewise accords with an Petition for a Declaratory Ruling in this access charge context, when relying on agency’s general administrative law regard. tariffs, LECs have been permitted to obligation to acknowledge and explain 16. The Commission has historically charge access charges to the extent that changes in course. analyzed end office switching in the they are providing the functions at 20. Our conclusion that the VoIP context of regulating traditional voice issue.’’ Although the Commission did Symmetry Rule allows recovery of end services. The Commission has not expressly discuss physical office switching charges only where the consistently recognized that connections, it used the traditional test, LEC or its VoIP provider partner interconnection is a hallmark of end and re-codified it, in order to clarify that provides the physical connection office switching, and that a LEC could collect access charges when furthers the Commission’s goal of interconnection involves connecting it transmitted a call using a format other promoting IP investment, particularly ‘‘subscriber line to subscriber line or than TDM (such as IP); and that a LEC last-mile investment, by rewarding subscriber line to trunk.’’ As the D.C. could collect access charges for investment in last-mile connections. We Circuit and commenters explain, prior functions performed not only by itself disagree with CenturyLink’s assertion Commission and Bureau orders but also by its VoIP partner. that our actions in this Order will demonstrate that the Commission has provide a ‘‘competitive disincentive’’ to 19. Our interpretation is consistent always understood physical carriers that move to IP-based services with the Commission’s statement in the interconnection to be the hallmark of and will otherwise hinder the transition Transformation Order that a LEC can end office switching. As AT&T points to IP. To the contrary, the Commission’s charge for functions it or its VoIP out, ‘‘all of the relevant precedents from ‘‘intercarrier compensation framework provider partner perform even if they do the Commission and courts . . . is intended to ‘promote investment in not ‘‘ ‘correspond precisely to those uniformly provide that the core and and deployment of IP networks,’ ’’ and used under a traditional TDM distinguishing function of an end office permitting a VoIP–LEC partnership to switch is the interconnection of calls on architecture.’ ’’ That statement ‘‘mak[e] minimal investments in trunks to and from last-mile customer underscores the Commission’s softswitches and the like and piggy- loop facilities.’’ In particular, as the D.C. commitment to considering functional back[] on the far more extensive Circuit observed, YMax I reveals the equivalency when looking at different investments that facilities-based commonly understood meaning of end types of network architectures broadband internet access providers office switching at the time of the consistent with its historical practice. have made’’ would contravene that goal. Transformation Order, which is directly We thus find no basis for the assertion In contrast to the commonsense notion relevant to our application of the in the 2015 Declaratory Ruling that that that linking a LEC’s ability to impose functional equivalency evaluation under language from the Transformation Order end office charges to the provision of our traditional test: The Commission demonstrated that the Commission connections between lines and trunks clearly held that YMax was not adopted a new functional equivalence by the LEC or its VoIP provider partner providing ‘‘end office switched access’’ test. Where the Commission did choose (during the transition to bill-and-keep) because it did not provide a ‘‘physical to depart from its historical approaches promotes last-mile investment essential transmission facility that provides a in other aspects of its VoIP symmetry to IP networks, we find the theory for point-to-point connection.’’ analysis, it did so expressly and promoting IP networks in the 2015 17. We thus conclude that a physical unambiguously. Most notably, the Declaratory Ruling to be speculative and interconnection continues to be the Commission expressly departed from its insufficiently supported. Indeed, the critical and defining characteristic of historical standard with regard to which Commission’s conclusion that the 2015 end office switching. LECs and their entity—the LEC or its VoIP provider Declaratory Ruling would promote IP VoIP provider partners merely partner—must be providing the relevant networks and services largely relied on transmitting calls to unaffiliated ISPs for functionality. The Commission made no high-level policy statements from the routing over the public internet are not such indication of its intent to change Transformation Order about the effects performing this essential function of course in the standard for evaluating of intercarrier compensation reform, or end office switching. In adopting the what functionality actually was being reform of VoIP intercarrier VoIP Symmetry Rule in 2011, the provided. Instead, in adopting that new compensation, more generally. Commission demonstrated no intention approach of allowing either the LEC or However, the 2015 Declaratory Ruling to rethink that key aspect of end office its VoIP provider partner to provide the did not explain how allowing LECs and switching. Therefore, we decline to functionally equivalent service, the their over-the-top VoIP provider continue pursuing the Commission’s Commission found clear support in the partners to recover access charges for misguided decision in 2015 to depart YMax I decision for its pronouncement functions they are not performing would from this well-understood interpretation that the VoIP Symmetry Rule, ‘‘do[es] promote that sort of investment or of end office switching. Returning to not permit a LEC to charge for functions otherwise advance the Commission’s that historical understanding in our performed neither by itself or its retail goals. application of the VoIP Symmetry Rule partner.’’ Further, the interpretation of 21. Relatedly, we conclude that that here also fully addresses the D.C. the VoIP Symmetry Rule in this Order our reading of the VoIP Symmetry Rule Circuit’s concerns with the 2015 best advances the policy goals of the is the better interpretation in the overall Declaratory Ruling. Transformation Order of ‘‘encouraging context of trying to promote competition 18. In adopting the VoIP Symmetry the deployment of all-IP networks, in the voice marketplace than the Rule, the Commission reaffirmed its promoting competition in the voice approach taken by the Commission in practice of determining whether a marketplace, reducing intercarrier the 2015 Declaratory Ruling. We reject
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arguments that the continued presence 22. We also conclude that because our what traffic would be subject to the new of TDM in some aspects of providers’ approach is better aligned with the VoIP–PSTN compensation structure, networks—particularly for 8YY calls— approach taken by the Commission in much less that any such ‘‘safe harbor’’ suggests either that we are not serious the Transformation Order and is ‘‘necessarily applied end office charges about promoting IP networks or that our consistent with the historical functional to OTT traffic.’’ Rather, the Commission policies in that regard have failed. The equivalence test, it provides the more merely suggested various methods migration to IP networks necessarily is symmetrical approach to access charge providers could use to determine how a transition—not a flash cut—that has compensation and we therefore expect it much traffic was subject to access been, and remains, ongoing. to advance the Transformation Order’s charges. Nothing in the Transformation Additionally, issues related to goals of reducing market distortions, Order implies, let alone states, that intercarrier compensation policies in arbitrage, and compensation disputes. providers opting to use these methods other contexts, such as those related to We are unpersuaded by the 2015 were entitled to end office access 8YY calls, are more appropriately taken Declaratory Ruling’s concerns about IP- charges for any or all of their traffic. 23. Indeed, in the Remand Order, the up in a proceeding where they are at to-IP interconnection negotiations. That court vacated the 2015 Declaratory issue. The Commission currently has an ruling framed one set of negotiating Ruling based, at least in part, on its open proceeding (WC Docket No. 18– parties as in the wrong because they were negotiating from a baseline that concern that the Commission’s ‘‘new’’ 156) focusing on intercarrier functional equivalence test had all but compensation issues related to the presumed an interpretation of the intercarrier compensation rules for erased the distinction between tandem provision of 8YY services. At best, the switching and end office switching. We VoIP–PSTN traffic that differed from the approach adopted in the 2015 respond to these concerns by reiterating one the Commission adopted there. Declaratory Ruling may have the Commission’s longstanding view Having confirmed the correctness of temporarily encouraged voice that end office switching involves the those parties’ understanding of the VoIP competition where broadband connection of trunks to lines and by Symmetry Rule, however, we do not see connections already existed that clearly declaring that a VoIP provider, the same grounds to criticize their allowed VoIP providers and their LEC or its LEC partner, provides the negotiating approach—even assuming partners to collect access charges during functional equivalent of end office arguendo that negotiating approach is the transition to bill-and-keep. But switching only when it provides a where no such IP-based last-mile what is reflected in the characterizations physical connection to the last-mile connections existed, the approach in the 2015 Declaratory Ruling. facilities used to serve an end user. This adopted in the 2015 Declaratory Ruling Particularly because the VoIP Symmetry clarification provides a clear test for would have discouraged VoIP providers Rule does not apply by its terms to IP- functional equivalency in the context of and their LEC partners from building to-IP interconnection, we are not the VoIP Symmetry Rule and provides persuaded that our clarification of the last mile connections, because they a bright-line distinction between VoIP Symmetry Rule provided here will could simply recover the same access tandem switching and end office have a negative effect on providers’ charges without building last mile switching for purposes of this rule. It ability to negotiate such agreements, connections. Contrary to Teliax’s also provides clarity and guidance to rather than simply clarifying the legal assertion that our interpretation of the those parties involved in the ongoing baseline for VoIP–PSTN traffic for both VoIP Symmetry Rule discourages disputes and litigation regarding the sides to any such negotiation. More correct interpretation of the VoIP competition by treating over-the-top generally, our experience persuades us VoIP services differently than facilities- Symmetry Rule as discussed by that uncertainty regarding the governing commenters. We reiterate that based VoIP services, we find that our legal rules is the most significant source approach is technologically neutral. providers, including over-the-top VoIP– of intercarrier compensation disputes, LEC partnerships, may assess access Carriers may be compensated for and that once the rules are clarified, services they actually perform, and, as charges for other access services they parties are able to work out the provide, such as dedicated transport discussed above, we find that over-the- implementation details in a way that top VoIP–PSTN partnerships do not access service or tandem-switched reduces the need for future disputes and access service, to the extent they perform the functional equivalent of end litigation. We also disagree with the provide those services or the functional office switched access. Having 2015 Declaratory Ruling’s equivalent thereof. Thus, VoIP–LEC explained how the approach we take characterization of the litigation partnerships are entitled to collect today aligns with the Commission’s surrounding the VoIP Symmetry Rule as access charges for tandem switching and long-standing policy goals, we also take arising because parties could not transport services, for example, only to issue with Teliax’s claim that our policy distinguish between facilities-based and the extent that they actually provide analysis relies on ‘‘high-level . . . over-the-top VoIP services. We agree those services, or the functional statements without hard analysis.’’ with AT&T that, because of the equivalent of those services. We leave Moreover, unlike our approach today, fundamentally different physical carriers to determine the appropriate the approach the Commission took in arrangements between facilities-based compensation for such services in the 2015 Declaratory Ruling was and over-the-top VoIP services, the two accordance with their agreements and inconsistent with the policy goals set can be distinguished with relative ease. applicable tariffs. forth in the Transformation Order. As a We remind parties that, pursuant to the 24. Our decision today is result, while we conclude that our Transformation Order, providers may fundamentally technologically neutral. textual justification for our approach— choose to use a variety of different As Verizon explains, ‘‘distinguishing coupled with the fact that it addresses methods to identify and track between facilities-based and over-the the problems with the 2015 Declaratory compensable VoIP–PSTN traffic for top VoIP providers is technology Ruling identified by the court—is a billing purposes. Relatedly, we disagree neutral—the different treatment has sufficient basis for our decision, we also with CenturyLink that in adopting the nothing to do with the providers’ choice find that our decision is strengthened by Transformation Order, the Commission of technology . . . but with the fact that our policy analysis. adopted a ‘‘safe harbor’’ for determining the former are doing work that the latter
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are not.’’ We agree. The services and remanding the matter to us, the D.C. FEDERAL COMMUNICATIONS provided by over-the-top VoIP providers Circuit required us to reevaluate the COMMISSION and facilities-based VoIP providers are Commission’s reasoning in the 2015 not functionally equivalent—the latter Declaratory Ruling and take into the [OMB 3060–1238; FRS 16434] provides the physical connection to the account the weaknesses in that ruling last-mile facilities used to serve an end Information Collection Being Reviewed that the D.C. Circuit identified in its by the Federal Communications user, and the former does not. We thus opinion. reject the overbroad suggestion in the Commission Under Delegated 2015 Declaratory Ruling that ‘‘disparate 26. In the interest of further clarity, Authority treatment based on technological we find that this Declaratory Ruling should have retroactive effect. As a AGENCY: Federal Communications distinctions between facilities-based Commission. and over-the-top providers directly general matter, declaratory rulings are ACTION: Notice and request for contradicts the advancement of adjudicatory and are presumed to have comments. ‘competitive or technological retroactive effect. Clarifying the law and neutrality.’ ’’ Where there are material applying that clarification to past SUMMARY: As part of its continuing effort technological distinctions, differences behavior are routine functions of to reduce paperwork burdens, and as in treatment can be appropriate. The adjudications. As various commenters required by the Paperwork Reduction reasoning underpinning the 2015 point out, the applicability of the VoIP Act (PRA), the Federal Communications Declaratory Ruling is circular: It is only Symmetry Rule has not been clear. This Commission (FCC or Commission) by excluding interconnection from the retroactive clarification is necessary to invites the general public and other scope of end office switching that the provide clarity on the meaning of the Federal agencies to take this 2015 Declaratory Ruling could have VoIP Symmetry Rule. As such, we reject opportunity to comment on the treated differences between facilities- the assertion that the interpretation of following information collection. based and over-the-top VoIP providers the VoIP Symmetry Rule adopted in this Comments are requested concerning: as immaterial. Our interpretation Order may not be applied retroactively Whether the proposed collection of ‘‘embraces the concept of compensation because such interpretation would information is necessary for the proper for new and non-traditional result in ‘‘manifest injustice’’ and that performance of the functions of the functionality,’’ but not at the expense of our revised interpretation of the VoIP Commission, including whether the a departure from the historical standard Symmetry Rule may be applied only information shall have practical utility; for functional equivalency that we find prospectively. Instead, retroactivity is the accuracy of the Commission’s represents the best interpretation of the necessary to prevent an undue hardship burden estimate; ways to enhance the VoIP Symmetry Rule. being worked upon those parties who quality, utility, and clarity of the 25. In departing from the properly interpreted the VoIP Symmetry information collected; ways to minimize Commission’s interpretation of the VoIP Rule and have been in disputes ever the burden of the collection of Symmetry Rule in the 2015 Declaratory since. information on the respondents, Ruling, we are mindful of the fact that including the use of automated ‘‘an agency is free to change its mind so IV. Ordering Clauses collection techniques or other forms of long as it supplies ‘a reasoned information technology; and ways to analysis.’ ’’ The Supreme Court has 27. Accordingly, it is ordered that, further reduce the information observed that there is ‘‘no basis in the pursuant to sections 4(i), 201, 202, and collection burden on small business Administrative Procedure Act or in our 251 of the Communications Act of 1934, concerns with fewer than 25 employees. opinions for a requirement that all as amended, 47 U.S.C. 154(i), 201, 202, The FCC may not conduct or sponsor agency change be subjected to more and 251, and sections 1.1 and 1.2 of the a collection of information unless it searching review.... [I]t suffices that Commission’s rules, 47 CFR 1.1, 1.2, displays a currently valid Office of the new policy is permissible under the this Order on Remand and Declaratory Management and Budget (OMB) control statute, that there are good reasons for Ruling in WC Docket No. 10–90 and CC number. No person shall be subject to it, and that the agency believes it to be Docket No. 01–92 is adopted. any penalty for failing to comply with better, which the conscious change of 28. It is further ordered that the a collection of information subject to the course adequately indicates.’’ Relevant Petition of CenturyLink for a PRA that does not display a valid OMB precedent holds that we need only Declaratory Ruling filed May 11, 2018 is control number. ‘‘examine the relevant data and denied. DATES: Written comments should be articulate a satisfactory explanation for submitted on or before March 30, 2020. [our] action,’’ a duty we fully satisfy 29. It is further ordered that, pursuant If you anticipate that you will be here. The ‘‘possibility of drawing two to section 1.103 of the Commission’s submitting comments but find it inconsistent conclusions from the rules, 47 CFR 1.103, this Order on difficult to do so within the period of evidence does not prevent an Remand and Declaratory Ruling shall be time allowed by this notice, you should administrative agency’s finding from effective upon release. advise the contacts below as soon as being supported by substantial Federal Communications Commission. possible. evidence.’’ Thus, contrary to Marlene Dortch, CenturyLink’s assertion that we cannot ADDRESSES: Direct all PRA comments to or should not depart from the Secretary. Cathy Williams, FCC, via email PRA@ conclusion of the 2015 Declaratory [FR Doc. 2020–01658 Filed 1–29–20; 8:45 am] fcc.gov and to [email protected]. Ruling, we are ‘‘entitled to assess BILLING CODE 6712–01–P FOR FURTHER INFORMATION CONTACT: For administrative records and evaluate additional information about the priorities’’ in light of our current policy information collection, contact Cathy judgments as well as in response to a Williams at (202) 418–2918. remand order from the court. Indeed, by SUPPLEMENTARY INFORMATION: vacating the 2015 Declaratory Ruling OMB Control Number: 3060–1238.
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Title: First Amendment to Nationwide excluded from Section 106 historic contributing element or compatible Programmatic Agreement for the preservation review, with a few element within the historic district or Collocation of Wireless Antennas. exceptions defined to address that the applicant has not provided Form Number: Not applicable. potentially problematic situations. On sufficient information for a Type of Review: Extension of an August 3, 2016, the Commission’s determination, the applicant may not approved collection. Wireless Telecommunications Bureau, deploy its facilities on that structure Respondents: Business or other for- ACHP, and NCSHPO finalized and without completing the Section 106 profit entities, not-for-profit institutions, executed the First Amendment to the review process. If, within the thirty day and State, local, or Tribal governments. Collocation Agreement, to tailor the period, the SHPO either informs the Number of Respondents and Section 106 process for small wireless applicant that the structure is not a Responses: 71 respondents; 765 deployments by excluding deployments contributing or compatible element responses. that have minimal potential for adverse within the historic district, or the SHPO Estimated Time per Response: 1 effects on historic properties. fails to respond to the applicant within hour—5 hours. The following are the information the thirty-day period, the applicant has Frequency of Response: Third party collection requirements in connection no further Section 106 review disclosure reporting requirement. with the amended provisions of obligations, provided that the Obligation to Respond: Required to Appendix B of Part 1 of the collocation meets the certain volumetric obtain or retain benefits. Statutory Commission’s rules (47 CFR pt.1, App. and ground disturbance provisions. authority for this information collection B): The First Amendment to the is contained in Sections 1, 2, 4(i), 7, 301, • Stipulation VII.C of the amended Collocation Agreement established new 303, 309, and 332 of the Collocation Agreement provides that exclusions from the Section 106 review Communications Act of 1934, as proposals to mount a small antenna on process for physically small amended, 47 U.S.C. 151, 152, 154(i), a traffic control structure (i.e., traffic deployments like DAS and small cells, 157, 301, 303, 309, 332, and Section 106 light) or on a light pole, lamp post or fulfilling a directive in the of the National Historic Preservation Act other structure whose primary purpose Commission’s Infrastructure Report and of 1966, 54 U.S.C. 306108. is to provide public lighting, where the Order, 80 FR 1238, Jan. 8, 2015, to Total Annual Burden: 2,869 hours. structure is located inside or within 250 Total Annual Cost: $82,285. further streamline review of these feet of the boundary of a historic installations. These exclusions will Privacy Impact Assessment: There are district, are generally subject to review no impacts under the Privacy Act. continue to reduce the cost, time, and through the Section 106 process. These burden associated with deploying small Nature and Extent of Confidentiality: proposed collocations will be excluded No known confidentiality between third facilities in many settings and provide from such review on a case-by-case opportunities to increase densification parties. basis, if (1) the collocation licensee or at low cost and with very little impact Needs and Uses: The Commission the owner of the structure has not on historic properties. will submit this information collection received written or electronic Facilitating these deployments thus for approval after the comment period to notification that the FCC is in receipt of directly advances efforts to roll out 5G obtain the full three-year clearance from a complaint from a member of the service in communities across the the Office of Management and Budget public, an Indian Tribe, a SHPO or the country. (OMB). The Commission is requesting Council, that the collocation has an OMB approval for disclosure adverse effect on one or more historic Federal Communications Commission. requirements pertaining to the First properties; and (2) the structure is not Marlene Dortch, Amendment to Nationwide historic (not a designated National Secretary. Programmatic Agreement for the Historic Landmark or a property listed [FR Doc. 2020–01734 Filed 1–29–20; 8:45 am] Collocation of Wireless Antennas (First in or eligible for listing in the National BILLING CODE 6712–01–P Amendment) to address the review of Register of Historic Places) or deployments of small wireless antennas considered a contributing or compatible and associated equipment under Section element within the historic district, FEDERAL MARITIME COMMISSION 106 of the National Historic under certain procedures. These Preservation Act (NHPA) (54 U.S.C. procedures require that applicant must Notice of Agreements Filed 306108 (formerly codified at 16 U.S.C. request in writing that the SHPO concur 470f). The FCC, the Advisory Council with the applicant’s determination that The Commission hereby gives notice on Historic Preservation (Council), and the structure is not a contributing or of the filing of the following agreement the National Conference of State compatible element within the historic under the Shipping Act of 1984. Historic Preservation Officers district, and the applicant’s written Interested parties may submit comments (NCSHPO) amended the Nationwide request must specify the traffic control on the agreements to the Secretary by Programmatic Agreement for the structure, light pole, or lamp post on email at [email protected], or by mail, Collocation of Wireless Antennas which the applicant proposes to Federal Maritime Commission, (Collocation Agreement) to account for collocate and explain why the structure Washington, DC 20573, within twelve the limited potential of small wireless is not a contributing element based on days of the date this notice appears in antennas and associated equipment, the age and type of structure, as well as the Federal Register. Copies of including Distributed Antenna Systems other relevant factors. The SHPO has agreements are available through the (DAS) and small cell facilities, to affect thirty days from its receipt of such Commission’s website (www.fmc.gov) or historic properties. The Collocation written notice to inform the applicant by contacting the Office of Agreements Agreement addresses historic whether it disagrees with the applicant’s at (202) 523–5793 or tradeanalysis@ preservation review for collocations on determination that the structure is not a fmc.gov. existing towers, buildings, and other contributing or compatible element Agreement No.: 201330. non-tower structures. Under the within the historic district. If within the Agreement Name: CMA CGM/COSCO Collocation Agreement, most antenna thirty-day period, the SHPO informs the Shipping Vessel Sharing Agreement collocations on existing structures are applicant that the structure is a Brazil-Caribbean/U.S. Gulf.
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Parties: CMA CGM S.A. and COSCO FEDERAL RESERVE SYSTEM Payment Model Technical Advisory Shipping Lines Co., Ltd. Committee to provide comments and Filing Party: Draughn Arbona, CMA Change in Bank Control Notices; recommendations to the Secretary of CGM (America) LLC. Acquisitions of Shares of a Bank or Health and Human Services on Synopsis: The Agreement authorizes Bank Holding Company physician payment models and gave the Comptroller General responsibility for CMA CGM and COSCO to jointly The notificants listed below have appointing its members. GAO is now operate a liner service in the trade applied under the Change in Bank accepting nominations of individuals between the U.S. Gulf Coast, Brazil, Control Act (Act) (12 U.S.C. 1817(j)) and for this committee. Panama, Jamaica, and Mexico. § 225.41 of the Board’s Regulation Y (12 DATES: Proposed Effective Date: 1/21/2020. CFR 225.41) to acquire shares of a bank Letters of nomination and Location: https://www2.fmc.gov/ or bank holding company. The factors resumes should be submitted no later FMC.Agreements.Web/Public/ that are considered in acting on the than February 28, 2020, to ensure AgreementHistory/26455. notices are set forth in paragraph 7 of adequate opportunity for review and consideration of nominees prior to the Act (12 U.S.C. 1817(j)(7)). Agreement No.: 012146–003. appointment. Appointments to fill open Agreement Name: HLAG/Maersk The applications listed below, as well as other related filings required by the spots on PTAC are expected to be made USWC-Mediterranean Vessel Sharing in June 2020. Other appointments will Agreement. Board, if any, are available for immediate inspection at the Federal be made in October 2020. Parties: Hapag Lloyd AG and Maersk ADDRESSES: Submit letters of A/S. Reserve Bank indicated. The applications will also be available for nomination and resumes by either of the Filing Party: Wayne Rohde; Cozen following methods: Email: O’Connor. inspection at the offices of the Board of Governors. Interested persons may [email protected] or Mail: U.S. Synopsis: The amendment changes express their views in writing on the GAO, Attn: PTAC Nominations, 441 G the name of Maersk Line A/S to Maersk standards enumerated in paragraph 7 of Street NW, Washington, DC 20548. A/S. the Act. FOR FURTHER INFORMATION CONTACT: Greg Proposed Effective Date: 1/22/2020. Comments regarding each of these Giusto at (202) 512–8268 or giustog@ Location: https://www2.fmc.gov/ applications must be received at the gao.gov if you do not receive an FMC.Agreements.Web/Public/ Reserve Bank indicated or the offices of acknowledgement within a week of AgreementHistory/308. the Board of Governors, Ann E. submission or if you need additional Agreement No.: 012307–004. Misback, Secretary of the Board, 20th information. For general information, Agreement Name: Maersk/APL Slot and Constitution Avenue NW, contact GAO’s Office of Public Affairs, Exchange Agreement. Washington, DC 20551–0001, not later (202) 512–4800. Parties: Maersk A/S; APL Co. Pte. than February 17, 2020. Authority: Pub. L. 114–10, Sec. 101(e), 129 Ltd.; and American President Lines, A. Federal Reserve Bank of Atlanta Stat. 87, 115 (2015). LLC. (Kathryn Haney, Assistant Vice President) 1000 Peachtree Street NE, Gene L. Dodaro, Filing Party: Wayne Rohde; Cozen Comptroller General of the United States. O’Connor. Atlanta, Georgia 30309. Comments can [FR Doc. 2020–01699 Filed 1–29–20; 8:45 am] Synopsis: The amendment changes also be sent electronically to BILLING CODE 1610–02–P the name of Maersk Line A/S to Maersk [email protected]: A/S, updates the name of the Agreement 1. William T. Taylor, Merritt Island, accordingly, and makes changes to the Florida; to retain voting shares of CBOS DEPARTMENT OF HEALTH AND space charter volumes under the Bankshares, Inc., and thereby indirectly HUMAN SERVICES Agreement. retain voting shares of Community Bank Proposed Effective Date: 1/23/2020. of the South, both of Merritt Island, Florida. Centers for Disease Control and Location: https://www2.fmc.gov/ Prevention FMC.Agreements.Web/Public/ Board of Governors of the Federal Reserve AgreementHistory/176. System, January 27, 2020. Notice of Closed Meeting Ann Misback, Agreement No.: 201322–001. Secretary of the Board. Pursuant to section 10(d) of the Agreement Name: Maersk/Matson Federal Advisory Committee Act, as Space Charter Agreement. [FR Doc. 2020–01666 Filed 1–29–20; 8:45 am] amended, notice is hereby given of the Parties: Maersk A/S and Matson BILLING CODE P following meeting. Navigation Company, Inc. The meeting will be closed to the Filing Party: Wayne Rohde; Cozen public in accordance with the O’Connor. GOVERNMENT ACCOUNTABILITY provisions set forth in sections Synopsis: The amendment changes OFFICE 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., as amended, and the Determination of the name of Maersk Line A/S to Maersk Request for Nominations for the A/S. the Director, Strategic Business Physician-Focused Payment Model Initiatives Unit, Office of the Chief Proposed Effective Date: 1/23/2020. Technical Advisory Committee (PTAC) Location: https://www2.fmc.gov/ Operating Officer, CDC, pursuant to FMC.Agreements.Web/Public/ AGENCY: U.S. Government Public Law 92–463. The grant AgreementHistory/24440. Accountability Office (GAO). applications and the discussions could disclose confidential trade secrets or Dated: January 24, 2020. ACTION: Request for letters of nomination and resumes. commercial property such as patentable Rachel Dickon, material, and personal information Secretary. SUMMARY: The Medicare Access and concerning individuals associated with [FR Doc. 2020–01665 Filed 1–29–20; 8:45 am] CHIP Reauthorization Act of 2015 the grant applications, the disclosure of BILLING CODE 6731–AA–P established the Physician-Focused which would constitute a clearly
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unwarranted invasion of personal in Puerto Rico; RFA–CK–20–002, E–69, Atlanta, GA 30329, phone: (404) privacy. Detection and Characterization of 498–6778, email: [email protected]. Name of Committee: Disease, Disability, Emerging Vector-Borne Zoonotic SUPPLEMENTARY INFORMATION: and Injury Prevention and Control Special Pathogens in Indonesia; and RFA–CK– Meeting Accessibility: This CPSTF Emphasis Panel (SEP)- SIP20–009, State- 20–003, Modeling Infectious Diseases in meeting will be a one-day session held Based Health, Budget Impact and Cost- Healthcare Research Projects to Improve virtually. The morning session will Effectiveness of Improved Coverage and Prevention Research and Healthcare consist of internal CPSTF business Uptake of Smoking Cessation. Delivery (MInD Healthcare). related to its 2020 process for Date: April 28, 2020. Date: March 31, 2020–April 1, 2020 establishing its priority topics for 2021– Time: 11:00 a.m.—6:00 p.m., EDT. Time: 10:00 a.m.–5:00 p.m., EDT Place: Teleconference. 2025. The afternoon session will consist Place: Teleconference. of deliberation on systematic reviews of Agenda: To review and evaluate grant Agenda: To review and evaluate grant literature. The afternoon session is open applications. applications. For Further Information Contact: Jaya For Further Information Contact: to the public from 1:00 to 5:00 p.m. EST. Raman Ph.D., Scientific Review Officer, CDC, Gregory Anderson, M.S., M.P.H., All participants who would like to 4770 Buford Highway, Mailstop F80, Atlanta, attend the afternoon session must Georgia 30341; Telephone: (770) 488–6511; Scientific Review Officer, CDC, 1600 Clifton Road, NE, Mailstop US8–1, register by 5:00 p.m. EST on Friday, [email protected]. February 7, 2020. Participants will The Director, Strategic Business Initiatives Atlanta, Georgia 30329–4027; Unit, Office of the Chief Operating Officer, Telephone: (404) 718–8833; gca5@ receive registration confirmation with Centers for Disease Control and Prevention, cdc.gov. web conference meeting instructions has been delegated the authority to sign The Director, Strategic Business within two business days. Federal Register notices pertaining to Initiatives Unit, Office of the Chief To register for the afternoon session, announcements of meetings and other Operating Officer, Centers for Disease individuals should send an email to committee management activities, for both Control and Prevention, has been [email protected] and include the the Centers for Disease Control and delegated the authority to sign Federal following information: Name, title, Prevention and the Agency for Toxic organization name, organization Substances and Disease Registry. Register notices pertaining to announcements of meetings and other address, phone, email. CDC will email Kalwant Smagh, committee management activities, for web conference information from the Director, Strategic Business Initiatives Unit, both the Centers for Disease Control and [email protected] mailbox. Additional Office of the Chief Operating Officer, Centers Prevention and the Agency for Toxic logistical information regarding this for Disease Control and Prevention. Substances and Disease Registry. virtual meeting will be available on the [FR Doc. 2020–01623 Filed 1–29–20; 8:45 am] Community Guide website Kalwant Smagh, BILLING CODE 4163–18–P (www.thecommunityguide.org) closer to Director, Strategic Business Initiatives Unit, the date of the meeting. Office of the Chief Operating Officer, Centers Public Comment: Individuals who DEPARTMENT OF HEALTH AND for Disease Control and Prevention. would like to make public comments HUMAN SERVICES [FR Doc. 2020–01619 Filed 1–29–20; 8:45 am] must indicate their desire to do so with BILLING CODE 4163–18–P their registration by providing their Centers for Disease Control and name, organizational affiliation, and the Prevention topic to be addressed (if known). The DEPARTMENT OF HEALTH AND requestor will receive instructions for Notice of Closed Meeting HUMAN SERVICES the public comment process for this virtual meeting after the request is Pursuant to section 10(d) of the Centers for Disease Control and received. A public comment period Federal Advisory Committee Act, as Prevention amended, notice is hereby given of the follows the CPSTF’s discussion of each following meeting. Meeting of the Community Preventive systematic review and is limited to three The meeting will be closed to the Services Task Force (CPSTF) minutes per person. Public comments public in accordance with the will become part of the meeting provisions set forth in sections AGENCY: Centers for Disease Control and summary. 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., Prevention (CDC), Department of Health Background on the CPSTF: The as amended, and the Determination of and Human Services (HHS). CPSTF is an independent, nonfederal the Director, Strategic Business ACTION: Notice of meeting. panel whose members are appointed by Initiatives Unit, Office of the Chief the CDC Director. CPSTF members SUMMARY: Operating Officer, CDC, pursuant to The CDC within the HHS represent a broad range of research, Public Law 92–463. The grant announces the next meeting of the practice, and policy expertise in applications and the discussions could CPSTF on February 12, 2020. prevention, wellness, health promotion, disclose confidential trade secrets or DATES: The meeting will be held on and public health. The CPSTF was commercial property such as patentable Wednesday, February 12, 2020, from convened in 1996 by the HHS to material, and personal information 8:30 a.m. to 5:00 p.m. EST. identify community preventive concerning individuals associated with ADDRESSES: The CPSTF meeting will be programs, services, and policies that the grant applications, the disclosure of held via web conference. Information increase healthy longevity, save lives which would constitute a clearly regarding meeting logistics will be and dollars, and improve Americans’ unwarranted invasion of personal available on the Community Guide quality of life. CDC is mandated to privacy. website (www.thecommunityguide.org) provide ongoing administrative, Name of Committee: Disease, closer to the date of the meeting. research, and technical support for the Disability, and Injury Prevention and FOR FURTHER INFORMATION CONTACT: operations of the CPSTF. During its Control Special Emphasis Panel (SEP)- Onslow Smith, Community Guide meetings, the CPSTF considers the RFA–CK–20–001, Enhanced Office, Centers for Disease Control and findings of systematic reviews of Surveillance and Control of Arboviruses Prevention, 1600 Clifton Road NE, MS– literature on existing research and
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practice-based evidence and issues material, and personal information concerning individuals associated with recommendations. CPSTF concerning individuals associated with the grant applications, the disclosure of recommendations are not mandates for the grant applications, the disclosure of which would constitute a clearly compliance or resource allocation. which would constitute a clearly unwarranted invasion of personal Instead, they provide information about unwarranted invasion of personal privacy. evidence-based options that decision privacy. Name of Committee: Disease, makers and stakeholders can consider Name of Committee: Disease, Disability, and Injury Prevention and when they are determining what best Disability, and Injury Prevention and Control Special Emphasis Panel (SEP)— meets the specific needs, preferences, Control Special Emphasis Panel (SEP)— RFA–IP–20–005, Rapid-Cycle Survey available resources, and constraints of RFA–CK–20–004, Prevention Epicenters Collaborative for Patient and Provider their jurisdictions and constituents. The Program: Protecting Patients from Input on Immunization Issues. CPSTF’s recommendations, along with Infections, Antibiotics Resistance and Date: April 21, 2020. the systematic reviews of the evidence Other Adverse Events. Time: 10:00 a.m.–5:00 p.m., EDT. on which they are based, are compiled Date: May 21, 2020. Place: Teleconference. in the The Community Guide. Time: 10:00 a.m.–5:00 p.m., EDT. Agenda: To review and evaluate grant Matters proposed for discussion: The Place: Teleconference. applications. CPSTF will discuss the 2020 process for Agenda: To review and evaluate grant FOR FURTHER INFORMATION CONTACT: establishing its priority topics for 2021– applications. Gregory Anderson, M.S., M.P.H., 2025 during a closed session the first For Further Information Contact: Scientific Review Officer, CDC, 1600 half of the day. During the afternoon Gregory Anderson, M.S., M.P.H., Clifton Road, NE, Mailstop US8–1, session which is open to the public, the Scientific Review Officer, CDC, 1600 Atlanta, Georgia 30329–4027; CPSTF will deliberate on systematic Clifton Road NE, Mailstop US8–1, Telephone: (404) 718–8833; gca5@ reviews of literature related to the Atlanta, Georgia 30329–4027; cdc.gov. following: HIV Prevention: Clinical Telephone: (404) 718–8833; gca5@ The Director, Strategic Business Decision Support Systems to Increase cdc.gov. Initiatives Unit, Office of the Chief HIV Screening; Cardiovascular Disease The Director, Strategic Business Operating Officer, Centers for Disease Prevention and Control: Economics of Initiatives Unit, Office of the Chief Control and Prevention, has been Pharmacy-Based Interventions to Operating Officer, Centers for Disease delegated the authority to sign Federal Increase Medication Adherence; and Control and Prevention, has been Register notices pertaining to one or more proposals for new reviews delegated the authority to sign Federal announcements of meetings and other in the areas of mental health, sleep Register notices pertaining to committee management activities, for health, tobacco prevention and control. announcements of meetings and other both the Centers for Disease Control and The agenda is subject to change without committee management activities, for Prevention and the Agency for Toxic prior notice; however, agenda updates both the Centers for Disease Control and Substances and Disease Registry. will be posted on the the Community Prevention and the Agency for Toxic Kalwant Smagh, Guide website Substances and Disease Registry. (www.thecommunityguide.org). Director, Strategic Business Initiatives Unit, Kalwant Smagh, Office of the Chief Operating Officer, Centers Dated: January 27, 2020. Director, Strategic Business Initiatives Unit, for Disease Control and Prevention. Sandra Cashman, Office of the Chief Operating Officer, Centers [FR Doc. 2020–01621 Filed 1–29–20; 8:45 am] for Disease Control and Prevention. Executive Secretary, Centers for Disease BILLING CODE 4163–18–P Control and Prevention. [FR Doc. 2020–01620 Filed 1–29–20; 8:45 am] [FR Doc. 2020–01732 Filed 1–29–20; 8:45 am] BILLING CODE 4163–18–P BILLING CODE 4163–18–P DEPARTMENT OF HEALTH AND HUMAN SERVICES DEPARTMENT OF HEALTH AND DEPARTMENT OF HEALTH AND HUMAN SERVICES Centers for Disease Control and HUMAN SERVICES Prevention Centers for Disease Control and Centers for Disease Control and Prevention National Center for Health Statistics Prevention (NCHS), ICD–10 Coordination and Notice of Closed Meeting Maintenance (C&M) Committee Notice of Closed Meeting Pursuant to section 10(d) of the Meeting Pursuant to section 10(d) of the Federal Advisory Committee Act, as AGENCY: Centers for Disease Control and Federal Advisory Committee Act, as amended, notice is hereby given of the Prevention (CDC), Department of Health amended, notice is hereby given of the following meeting. and Human Services (HHS). following meeting. The meeting will be closed to the ACTION: Notice of meeting. The meeting will be closed to the public in accordance with the public in accordance with the provisions set forth in sections SUMMARY: The Centers for Disease provisions set forth in sections 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., Control and Prevention, National Center 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., as amended, and the Determination of for Health Statistics (NCHS), as amended, and the Determination of the Director, Strategic Business Classifications and Public Health Data the Director, Strategic Business Initiatives Unit, Office of the Chief Standards Staff, announces the Initiatives Unit, Office of the Chief Operating Officer, CDC, pursuant to following meeting of the ICD–10 Operating Officer, CDC, pursuant to Public Law 92–463. The grant Coordination and Maintenance (C&M) Public Law 92–463. The grant applications and the discussions could Committee meeting. This meeting is applications and the discussions could disclose confidential trade secrets or open to the public, limited only by the disclose confidential trade secrets or commercial property such as patentable space available. The meeting room commercial property such as patentable material, and personal information accommodates approximately 240
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people. We will be broadcasting the Administration of ZERBAXA® Prevention and the Agency for Toxic meeting live via Webcast at http:// (ceftolozane and tazobactam) Substances and Disease Registry. www.cms.gov/live/. Addenda Kalwant Smagh, DATES: The meeting will be held on ICD–10–CM Topics Director, Strategic Business Initiatives Unit, March 17, 2020, 9:00 a.m. to 5:00 p.m., Office of the Chief Operating Officer, Centers EDT and March 18,2020, 9:00 a.m. to Anaplasmosis for Disease Control and Prevention. Breast implant illness 5:00 p.m., EDT. [FR Doc. 2020–01756 Filed 1–29–20; 8:45 am] Cough ADDRESSES: Centers for Medicare and BILLING CODE 4163–18–P Medicaid Services (CMS) Auditorium, Electronic nicotine delivery devices 7500 Security Boulevard, Baltimore, Endometriosis Maryland 21244. Non-ischemic heart disease DEPARTMENT OF HEALTH AND FOR FURTHER INFORMATION CONTACT: Non-radiographic axial HUMAN SERVICES Traci Ramirez, Program Specialist, CDC, spondyloarthritis 3311 Toledo Road, Hyattsville, Synthetic cannabinoids Centers for Disease Control and Maryland 20782; telephone: (301) 458– Addenda Prevention 4454; [email protected]. Security Considerations: Due to increased security requirements, CMS Notice of Closed Meeting SUPPLEMENTARY INFORMATION: Purpose: The ICD–10 Coordination has instituted stringent procedures for Pursuant to section 10(d) of the and Maintenance (C&M) Committee is a entrance into the building by non- Federal Advisory Committee Act, as public forum for the presentation of government employees. Attendees will amended, notice is hereby given of the proposed modifications to the need to present valid government-issued following meeting. International Classification of Diseases, picture identification, and sign-in at the The meeting will be closed to the Tenth Revision, Clinical Modification security desk upon entering the public in accordance with the and ICD–10 Procedure Coding System. building. provisions set forth in sections Matters to be Considered: The Attendees who wish to attend the 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., tentative agenda will include March 17–18, 2020, ICD–10–CM C&M as amended, and the Determination of discussions on ICD–10–CM and ICD– meeting must submit their name and the Director, Strategic Business 10–PCS topics listed below. Agenda organization by March 6, 2020, for Initiatives Unit, Office of the Chief items are subject to change as priorities inclusion on the visitor list. This visitor Operating Officer, CDC, pursuant to dictate. list will be maintained at the front desk Public Law 92–463. The grant Please refer to the posted agenda for of the CMS building and used by applications and the discussions could updates one month prior to the meeting. security to admit visitors to the meeting. disclose confidential trade secrets or To request reasonable accommodation, commercial property such as patentable ICD–10–PCS Topics please contact the CMS Reasonable material, and personal information Microbial Testing Accommodation Program at Email concerning individuals associated with Insertion of Subcutaneous Pump System reasonableaccommodationprogram@ the grant applications, the disclosure of for Ascites Drainage cms.hhs.gov. which would constitute a clearly Insertion of Carotid Baroceptor Participants who attended previous unwarranted invasion of personal Stimulator Pulse Generator Coordination and Maintenance meetings privacy. Infectious Disease Testing will no longer be automatically added to ® Name of Committee: Disease, Disability, Administration of BREYANZI the visitor list. You must request and Injury Prevention and Control Special (lisocabtagene maraleucel) inclusion of your name prior to each ® Emphasis Panel (SEP)—SIP20–003, Administration of FETROJA meeting you wish attend. Improving Genetic Counseling Referrals for (cefiderocol) Please register to attend the meeting Early Onset Colorectal Cancer. CT Angiogram with Computer-Aided on-line at: http://www.cms.hhs.gov/ Date: April 24, 2020. Triage and Notification apps/events/. Time: 11:00 a.m.–6:00 p.m., EDT. Endoscopic Gastrointestinal Hemostat Please contact Mady Hue (410–786– Place: Teleconference. ® Agenda: To review and evaluate grant Administration of IMFINZI 4510) or [email protected] for (durvalumab) applications. questions about the registration process. For Further Information Contact: Jaya Intramedullary Joint Fusion System Note: CMS and NCHS no longer Raman Ph.D., Scientific Review Officer, CDC, Peripheral Intravascular Lithotripsy provide paper copies of handouts for the 4770 Buford Highway, Mailstop F80, Atlanta, (IVL) meeting. Electronic copies of all meeting Georgia 30341; Telephone: (770) 488–6511; Administration of KTE–X19 materials will be posted on the CMS and [email protected]. Administration of NUZYRA® NCHS websites prior to the meeting at The Director, Strategic Business Initiatives (omadacycline) Unit, Office of the Chief Operating Officer, http://www.cms.hhs.gov/ICD9Provider Administration of OTL–101 _ Centers for Disease Control and Prevention, Administration of Sivextro (tedizolid DiagnosticCodes/03 has been delegated the authority to sign meetings.asp#TopOfPage and https:// Federal Register notices pertaining to phosphate) _ Administration of Soliris® (eculizumab) www.cdc.gov/nchs/icd/icd10cm announcements of meetings and other Transcarotid Arterial Revascularization maintenance.htm. committee management activities, for both the Centers for Disease Control and with Embolic The Director, Strategic Business Initiatives Unit, Office of the Chief Prevention and the Agency for Toxic Neuroprotection Substances and Disease Registry. Implantable Fracture Reduction System Operating Officer, Centers for Disease Administration of TECENTRIQ® Control and Prevention, has been Kalwant Smagh, (atezolizumab) delegated the authority to sign Federal Director, Strategic Business Initiatives Unit, Administration of TERLIVAZ® Register notices pertaining to Office of the Chief Operating Officer, Centers (terlipressin) announcements of meetings and other for Disease Control and Prevention. Administration of XENLETA® committee management activities, for [FR Doc. 2020–01622 Filed 1–29–20; 8:45 am] (lefamulin) both the Centers for Disease Control and BILLING CODE 4163–18–P
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DEPARTMENT OF HEALTH AND after publication of this document in the at risk of trafficking. This will HUMAN SERVICES Federal Register. Therefore, a comment ultimately help improve the availability is best assured of having its full effect and delivery of coordinated and trauma- Administration for Children and if OMB receives it within 30 days of informed services before, during, and Families publication. after an individual’s trafficking exploitation, regardless of their age, Submission for OMB Review; National ADDRESSES: Written comments and recommendations for the proposed gender, nationality, sexual orientation, Human Trafficking Training and or type of exploitation. NHTTAC hosts Technical Assistance Center (NHTTAC) information collection should be sent a variety of services, programs, and Evaluation Package (OMB #0970–0519) directly to the following: Office of Management and Budget, Paperwork facilitated sessions to improve service AGENCY: Office on Trafficking in Reduction Project, Email: OIRA_ provision to individuals who have been Persons; Administration for Children [email protected], Attn: trafficked, or who are at risk of and Families; Department of Health and Desk Officer for the Administration for trafficking, including the Human Human Services. Children and Families. Trafficking Leadership Academy ACTION: Request for public comment. Copies of the proposed collection may (HTLA); the Survivor Fellowship be obtained by emailing infocollection@ Program; the NHTTAC Call Center; both SUMMARY: The Office on Trafficking in acf.hhs.gov. Alternatively, copies can short-term and specialized T/TA Persons (OTIP), Administration for also be obtained by writing to the requests (requests that take less than 3 Children and Families (ACF), U.S. Administration for Children and hours or 3 or more hours to fulfill, Department of Health and Human Families, Office of Planning, Research respectively); OTIP-funded grantees; Services (HHS), is requesting to and Evaluation, 330 C Street SW, and information through NHTTAC’s continue data collection with an Washington, DC 20201, Attn: ACF website, resources, and materials about increased number of respondents to the Reports Clearance Officer. All requests, trafficking. previously approved information emailed or written, should be identified Respondents: Individuals and collection, National Human Trafficking by the title of the information collection. organizations such as NHTTAC Training and Technical Assistance SUPPLEMENTARY INFORMATION: consultants, T/TA participants, HTLA Center (NHTTAC) Evaluation Package Description: These changes are program participants, Survivor fellows, (OMB #0970–0519, expiration 10/31/ requested due to the passage of the Stop, OTIP grantees, visitors to the NHTTAC 2021). This request was originally Observe, Ask, and Respond to Health website, NHTTAC-supported conference approved under expedited review and and Wellness Act of 2018 (SOAR to and meeting attendees, members of the increased the estimated burden hours Health and Wellness Act of 2018) (Pub. from 689 hours to 9,497 hours. L. 115–398), which expands the SOAR National Advisory Council, and In addition, the previously approved to Health and Wellness Training scholarship applicants. Stop, Observe, Ask, and Respond to Program. To meet the provisions of the Annual Burden Estimates human trafficking (SOAR) Online SOAR to Health and Wellness Act of Participant Feedback Form was 2018, OTIP’s NHTTAC had to expand The following instruments have an restructured into a long and short form the administration of SOAR nationwide. increased number of respondents. The to reduce burden for information The NHTTAC delivers training and number of respondents for all other collected on SOAR Online training technical assistance (T/TA) to inform previously approved instruments participants outside of the NHTTAC and deliver a public health response to remains the same. The increase in learning management system. There are trafficking. In applying a public health respondents increases the overall no changes requested to the items on approach, NHTTAC holistically builds burden under OMB #0970–0519 from any forms. the capacity of communities to identify 689 hours to 9,497 hours. See https:// DATES: Comments due within 30 days of and respond to the complex needs of all www.reginfo.gov/public/do/ publication. OMB is required to make a individuals who have been trafficked, PRAViewICR?ref_nbr=201910-0970-012 decision concerning the collection of and addresses the root causes that put for all instruments and related burden information between 30 and 60 days individuals, families, and communities under OMB #0970–0519.
Original Updated estimate— estimate— Number of Average Updated Instrument number of number of responses per burden hours annual burden respondents respondents respondent per response hours
HTLA Fellowship Pre-Program Feedback ...... 24 36 1 0.25 9 HTLA Fellowship Post-Program Feedback ...... 24 36 1 0.25 9 OTIP Grantee Feedback Form ...... 50 100 1 0.167 17 Short-Term T/TA Feedback Form ...... 30 50 1 0.167 8 Specialized T/TA Feedback Form ...... 50 100 1 0.25 25 Focus Group Demographic Survey ...... 25 50 1 0.033 2 Focus Group Guide ...... 25 50 1 0.75 38 Follow-up Feedback Form ...... 300 500 1 0.133 67 Interview Guide ...... 25 65 1 0.75 49 Pilot Feedback Form ...... 25 50 1 0.15 8 SOAR Blended Learning Participant Form ...... 30 130 1 0.15 20 SOAR Online Participant Feedback Long Form ...... 1,500 5,300 1 0.1 530 SOAR Online Participant Feedback Short Form ...... 1,000,000 1 0.0083 8,300 SOAR Organizational Feedback Form ...... 20 40 1 0.133 5
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Authority: 22 U.S.C. 7104 and 22 U.S.C. DC 20503, Attn: OMB Desk Officer for Council updates the Plan annually 7105(c)(4). ACL. during the five years. The State plan Mary B. Jones, FOR FURTHER INFORMATION CONTACT: Sara provides information on individuals with developmental disabilities in the ACF/OPRE Certifying Officer. Newell-Perez, Administration for State, and a description of the services [FR Doc. 2020–01608 Filed 1–29–20; 8:45 am] Community Living, Washington, DC 20201, 202–795–7413 sara.newell- available to them and their families. The BILLING CODE 4184–47–P [email protected]. plan further sets forth the goals and SUPPLEMENTARY INFORMATION: In specific objectives to be achieved by the DEPARTMENT OF HEALTH AND compliance with the Paperwork State in pursuing systems change and HUMAN SERVICES Reduction Act, ACL has submitted the capacity building in order to more following proposed extension effectively meet the service needs of this Administration for Community Living information collection to OMB for population. It describes State priorities, review and clearance. strategies, and actions, and the Agency Information Collection The State Councils on Developmental allocation of funds to meet these goals Activities; Submission for OMB Disabilities (Councils) are authorized in and objectives. Review; Public Comment Request; Subtitle B, of the Developmental The State Plan is used in three ways. Development Disabilities State Plan Disabilities Assistance and Bill of Rights First, it is used by the individual Information Collection [OMB# 0985– Act of 2000 (DD Act), as amended, [42 Council as a planning document to 0029] U.S.C. 15001 et seq.] (The DD Act). They guide its planning and execution are required to submit a five-year State processes. Secondly, it provides a AGENCY: Administration for Community plan. Section 124(a) [42 U.S.C. mechanism in the State whereby Living, HHS. 15024(a)], states any State desiring to individual citizens, as well as the State ACTION: Notice. receive assistance under this subtitle government, are made aware of the goals shall submit to the Secretary, and obtain and objectives of the Council and have SUMMARY: The Administration for approval of, a 5-year strategic State plan an opportunity to provide comments on Community Living (ACL) is announcing under this section. The requirement for them during its development. Finally, that the proposed collection of a State plan is also further emphasized the State plan provides to the information listed above has been in the regulations in 45 CFR part Department a stewardship tool; the staff submitted to the Office of Management 1326.30: (a) In order to receive Federal of the Department provides some and Budget (OMB) for review and financial assistance under this subpart, technical assistance to Councils and clearance as required under the each State Developmental Disabilities monitor compliance with Subtitle B of Paperwork Reduction Act of 1995. This Council must prepare and submit to the the DD Act, as an adjunct to on-site 30-Day notice collects comments on the Secretary, and have in effect, a State monitoring. The stewardship role of the information collection requirements Plan which meets the requirements of State plan is useful both for providing related to the proposed collection of sections 122 and 124 of the Act (42 technical assistance during the planning information; Development Disabilities U.S.C. 6022 and 6024) and these process, during the execution process, State Plan Information Collection. regulations. and also during program site visits. DATES: Submit written comments on the Additionally, data is collected in the Comments in Response to the 60-Day collection of information by March 2, State Plan and submitted to Office on Federal Register Notice 2020. Intellectual and Developmental Disabilities (OIDD) for compliance with ACL received 18 comments in ADDRESSES: Submit electronic the GPRA Modernization Act of 2010 response to the 60-day Federal Register comments on the collection of (GPRAMA). In the State Plans, the Notice. Comments received were not information by: Councils provide to OIDD future year germane to the State Plan template. _ (a) Email to: OIRA submission@ targets for outcome performance The proposed data collection tools omb.eop.gov, Attn: OMB Desk Officer measures. These targets are reported to may be found on the ACL website for for ACL; Congress under GPRAMA. review at https://www.acl.gov/about- (b) fax to 202.395.5806, Attn: OMB As required by the statute, the acl/public-input. Desk Officer for ACL; or Council is responsible for the Estimated Program Burden (c) by mail to the Office of development and submission of the Information and Regulatory Affairs, State plan, and is then responsible for ACL estimates the burden associated OMB, New Executive Office Bldg., 725 implementation of the activities with this collection of information as 17th St. NW, Rm. 10235, Washington, described in the plan. Further, the follows:
Number of Average Number of states responses burden hours Total hours per state per state
56 ...... 1 367 20,522
Dated: January 21, 2020. Mary Lazare, Principal Deputy Administrator. [FR Doc. 2020–01664 Filed 1–29–20; 8:45 am] BILLING CODE 4154–01–P
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DEPARTMENT OF HEALTH AND • If you want to submit a comment the information at: https:// HUMAN SERVICES with confidential information that you www.govinfo.gov/content/pkg/FR-2015- do not wish to be made available to the 09-18/pdf/2015-23389.pdf. Food and Drug Administration public, submit the comment as a Docket: For access to the docket to written/paper submission and in the [Docket No. FDA–2018–D–2238] read background documents or the manner detailed (see ‘‘Written/Paper Submissions’’ and ‘‘Instructions’’). electronic and written/paper comments Human Gene Therapy for Hemophilia; received, go to https:// Guidance for Industry; Availability Written/Paper Submissions www.regulations.gov and insert the AGENCY: Food and Drug Administration, Submit written/paper submissions as docket number, found in brackets in the HHS. follows: heading of this document, into the • ACTION: Notice of availability. Mail/Hand Delivery/Courier (for ‘‘Search’’ box and follow the prompts written/paper submissions): Dockets and/or go to the Dockets Management SUMMARY: The Food and Drug Management Staff (HFA–305), Food and Staff, 5630 Fishers Lane, Rm. 1061, Administration (FDA or Agency) is Drug Administration, 5630 Fishers Rockville, MD 20852. announcing the availability of a final Lane, Rm. 1061, Rockville, MD 20852. You may submit comments on any guidance entitled ‘‘Human Gene • For written/paper comments guidance at any time (see 21 CFR Therapy for Hemophilia; Guidance for submitted to the Dockets Management 10.115(g)(5)). Industry.’’ The guidance document Staff, FDA will post your comment, as provides recommendations to well as any attachments, except for Submit written requests for single stakeholders developing human gene information submitted, marked and copies of the guidance to the Office of therapy (GT) products for the treatment identified, as confidential, if submitted Communication, Outreach and of hemophilia. The guidance provides as detailed in ‘‘Instructions.’’ Development, Center for Biologics recommendations on the clinical trial Instructions: All submissions received Evaluation and Research (CBER), Food design and related development of must include the Docket No. FDA– and Drug Administration, 10903 New coagulation factor VIII (hemophilia A) 2018–D–2238 for ‘‘Human Gene Hampshire Ave., Bldg. 71, Rm. 3128, and IX (hemophilia B) activity assays, Therapy for Hemophilia; Guidance for Silver Spring, MD 20993–0002. Send including how to address discrepancies Industry.’’ Received comments will be one self-addressed adhesive label to in factor VIII and factor IX activity placed in the docket and, except for assist the office in processing your assays. The guidance also includes those submitted as ‘‘Confidential requests. The guidance may also be recommendations regarding preclinical Submissions,’’ publicly viewable at obtained by mail by calling CBER at 1– considerations to support development https://www.regulations.gov or at the 800–835–4709 or 240–402–8010. See of GT products for the treatment of Dockets Management Staff between 9 the SUPPLEMENTARY INFORMATION section hemophilia. The guidance announced in a.m. and 4 p.m., Monday through for electronic access to the guidance this notice finalizes the draft guidance Friday. document. of the same title dated July 2018. • Confidential Submissions—To DATES: The announcement of the submit a comment with confidential FOR FURTHER INFORMATION CONTACT: guidance is published in the Federal information that you do not wish to be Jessica Walker Udechukwu, Center for Register on January 30, 2020. made publicly available, submit your Biologics Evaluation and Research, ADDRESSES: You may submit either comments only as a written/paper Food and Drug Administration, 10903 electronic or written comments on submission. You should submit two New Hampshire Ave., Bldg. 71, Rm. Agency guidances at any time as copies total. One copy will include the 7301, Silver Spring, MD 20993–0002, follows: information you claim to be confidential 240–402–7911. with a heading or cover note that states Electronic Submissions ‘‘THIS DOCUMENT CONTAINS SUPPLEMENTARY INFORMATION: CONFIDENTIAL INFORMATION.’’ The Submit electronic comments in the I. Background following way: Agency will review this copy, including • Federal eRulemaking Portal: the claimed confidential information, in FDA is announcing the availability of https://www.regulations.gov. Follow the its consideration of comments. The a document entitled ‘‘Human Gene instructions for submitting comments. second copy, which will have the Therapy for Hemophilia; Guidance for Comments submitted electronically, claimed confidential information Industry.’’ The guidance document including attachments, to https:// redacted/blacked out, will be available provides recommendations to www.regulations.gov will be posted to for public viewing and posted on stakeholders developing GT products the docket unchanged. Because your https://www.regulations.gov. Submit for the treatment of hemophilia. The comment will be made public, you are both copies to the Dockets Management guidance provides recommendations on solely responsible for ensuring that your Staff. If you do not wish your name and the clinical trial design and related comment does not include any contact information to be made publicly development of coagulation factor VIII available, you can provide this confidential information that you or a (hemophilia A) and IX (hemophilia B) third party may not wish to be posted, information on the cover sheet and not activity assays, including how to such as medical information, your or in the body of your comments and you address discrepancies in factor VIII and anyone else’s Social Security number, or must identify this information as factor IX activity assays. The guidance confidential business information, such ‘‘confidential.’’ Any information marked also includes recommendations as a manufacturing process. Please note as ‘‘confidential’’ will not be disclosed regarding preclinical considerations to that if you include your name, contact except in accordance with 21 CFR 10.20 information, or other information that and other applicable disclosure law. For support development of GT products for identifies you in the body of your more information about FDA’s posting the treatment of hemophilia. comments, that information will be of comments to public dockets, see 80 Hemophilia therapy in the United posted on https://www.regulations.gov. FR 56469, September 18, 2015, or access States has progressed from replacement
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therapies for on-demand treatment of III. Electronic Access solely responsible for ensuring that your bleeding to prophylaxis to reduce the Persons with access to the internet comment does not include any frequency of bleeding. GT products for may obtain the guidance at either confidential information that you or a the treatment of hemophilia are being https://www.fda.gov/vaccines-blood- third party may not wish to be posted, developed as single-dose treatments that biologics/guidance-compliance- such as medical information, your or may provide long-term expression of the regulatory-information-biologics/ anyone else’s Social Security number, or deficient coagulation factor at steady biologics-guidances or https:// confidential business information, such levels to reduce or eliminate the need www.regulations.gov. as a manufacturing process. Please note for exogenous factor replacement. that if you include your name, contact Elsewhere in this issue of the Federal Dated: January 27, 2020. information, or other information that Register, FDA is announcing the Lowell J. Schiller, identifies you in the body of your availability of two other human gene Principal Associate Commissioner for Policy. comments, that information will be therapy guidance documents entitled [FR Doc. 2020–01702 Filed 1–29–20; 8:45 am] posted on https://www.regulations.gov. • ‘‘Human Gene Therapy for Retinal BILLING CODE 4164–01–P If you want to submit a comment Disorders; Guidance for Industry’’ and with confidential information that you ‘‘Human Gene Therapy for Rare do not wish to be made available to the Diseases; Guidance for Industry.’’ DEPARTMENT OF HEALTH AND public, submit the comment as a In the Federal Register of July 12, HUMAN SERVICES written/paper submission and in the 2018 (83 FR 32306), FDA announced the manner detailed (see ‘‘Written/Paper Food and Drug Administration availability of the draft guidance of the Submissions’’ and ‘‘Instructions’’). same title. FDA received several [Docket No. FDA–2019–D–5392] Written/Paper Submissions comments on the draft guidance, and Submit written/paper submissions as those comments were considered as the Interpreting Sameness of Gene Therapy Products Under the Orphan follows: guidance was finalized. The guidance • Mail/Hand Delivery/Courier (for announced in this notice finalizes the Drug Regulations; Draft Guidance for Industry; Availability written/paper submissions): Dockets draft guidance dated July 2018. Management Staff (HFA–305), Food and This guidance is being issued AGENCY: Food and Drug Administration, Drug Administration, 5630 Fishers consistent with FDA’s good guidance HHS. Lane, Rm. 1061, Rockville, MD 20852. practices regulation (21 CFR 10.115). ACTION: Notice of availability. • For written/paper comments The guidance represents the current submitted to the Dockets Management thinking of FDA on ‘‘Human Gene SUMMARY: The Food and Drug Staff, FDA will post your comment, as Therapy for Hemophilia.’’ It does not Administration (FDA or Agency) is well as any attachments, except for establish any rights for any person and announcing the availability of a draft information submitted, marked and is not binding on FDA or the public. document entitled ‘‘Interpreting identified, as confidential, if submitted You can use an alternative approach if Sameness of Gene Therapy Products as detailed in ‘‘Instructions.’’ it satisfies the requirements of the Under the Orphan Drug Regulations.’’ Instructions: All submissions received applicable statutes and regulations. The draft guidance document provides must include the Docket No. FDA– FDA’s current thinking on the criteria to 2019–D–5392 for ‘‘Interpreting II. Paperwork Reduction Act of 1995 determine sameness of human gene Sameness of Gene Therapy Products This guidance refers to previously therapy products for the purpose of Under the Orphan Drug Regulations.’’ approved collections of information orphan drug designation and orphan Received comments will be placed in found in FDA regulations. These drug exclusivity. The draft guidance is the docket and, except for those collections of information are subject to intended to assist stakeholders, submitted as ‘‘Confidential review by the Office of Management and including industry and academic Submissions,’’ publicly viewable at Budget (OMB) under the Paperwork sponsors who seek orphan drug https://www.regulations.gov or at the Reduction Act of 1995 (44 U.S.C. 3501– designation and orphan drug Dockets Management Staff between 9 3521). The collections of information in exclusivity, in the development of gene a.m. and 4 p.m., Monday through 21 CFR part 58 have been approved therapies for rare diseases. Friday. under OMB control number 0910–0119; DATES: Submit either electronic or • Confidential Submissions—To the collections of information in 21 CFR written comments on the draft guidance submit a comment with confidential part 211 have been approved under by April 29, 2020 to ensure that the information that you do not wish to be OMB control number 0910–0139; the Agency considers your comment on this made publicly available, submit your collections of information in 21 CFR draft guidance before it begins work on comments only as a written/paper part 312 have been approved under the final version of the guidance. submission. You should submit two OMB control number 0910–0014; the ADDRESSES: You may submit comments copies total. One copy will include the collections of information in 21 CFR on any guidance at any time as follows: information you claim to be confidential part 601 have been approved under with a heading or cover note that states OMB control number 0910–0338; the Electronic Submissions ‘‘THIS DOCUMENT CONTAINS collections of information in the Submit electronic comments in the CONFIDENTIAL INFORMATION.’’ The guidance entitled ‘‘Expedited Programs following way: Agency will review this copy, including for Serious Conditions—Drugs and • Federal eRulemaking Portal: the claimed confidential information, in Biologics’’ have been approved under https://www.regulations.gov. Follow the its consideration of comments. The OMB control number 0910–0765; and instructions for submitting comments. second copy, which will have the the collections of information in the Comments submitted electronically, claimed confidential information guidance entitled ‘‘Formal Meetings including attachments, to https:// redacted/blacked out, will be available Between the FDA and Sponsors or www.regulations.gov will be posted to for public viewing and posted on Applicants’’ have been approved under the docket unchanged. Because your https://www.regulations.gov. Submit OMB control number 0910–0429. comment will be made public, you are both copies to the Dockets Management
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Staff. If you do not wish your name and Products Under the Orphan Drug Dated: January 27, 2020. contact information to be made publicly Regulations.’’ The draft guidance Lowell J. Schiller, available, you can provide this provides FDA’s current thinking on the Principal Associate Commissioner for Policy. information on the cover sheet and not criteria to determine sameness of human [FR Doc. 2020–01705 Filed 1–29–20; 8:45 am] in the body of your comments and you gene therapy products for the purpose of BILLING CODE 4164–01–P must identify this information as orphan drug designation and orphan ‘‘confidential.’’ Any information marked drug exclusivity. The draft guidance is as ‘‘confidential’’ will not be disclosed intended to assist stakeholders, DEPARTMENT OF HEALTH AND except in accordance with 21 CFR 10.20 including industry and academic HUMAN SERVICES and other applicable disclosure law. For sponsors who seek orphan drug more information about FDA’s posting Food and Drug Administration designation and orphan drug of comments to public dockets, see 80 FR 56469, September 18, 2015, or access exclusivity, in the development of gene [Docket Nos. FDA–2018–N–3442; FDA– the information at: https:// therapies for rare diseases. The draft 2013–N–0557; FDA–2013–N–0514; FDA– 2013–N–0190; FDA–2013–N–1428; FDA– www.govinfo.gov/content/pkg/FR-2015- guidance focuses specifically on factors FDA intends to consider when 2019–N–0075; FDA–2016–N–2544; FDA– 09-18/pdf/2015-23389.pdf. 2019–N–2778; FDA–2012–N–0977; FDA– Docket: For access to the docket to determining sameness for gene therapy 2013–N–0823; FDA–2009–N–0380; FDA– read background documents or the products and does not address sameness 2013–N–1147; FDA–2010–N–0117; FDA– electronic and written/paper comments determinations for other types of 2010–D–0350; FDA–2010–D–0319; FDA– received, go to https:// products. 2012–D–0530; and FDA–2016–N–2683] www.regulations.gov and insert the This draft guidance is being issued Agency Information Collection docket number, found in brackets in the consistent with FDA’s good guidance heading of this document, into the Activities; Announcement of Office of practices regulation (21 CFR 10.115). Management and Budget Approvals ‘‘Search’’ box and follow the prompts The draft guidance, when finalized, will and/or go to the Dockets Management represent the current thinking of FDA AGENCY: Food and Drug Administration, Staff, 5630 Fishers Lane, Rm. 1061, on ‘‘Interpreting Sameness of Gene HHS. Rockville, MD 20852. You may submit comments on any Therapy Products Under the Orphan ACTION: Notice. Drug Regulations.’’ It does not establish guidance at any time (see 21 CFR SUMMARY: The Food and Drug 10.115(g)(5)). any rights for any person and is not binding on FDA or the public. You can Administration (FDA) is publishing a Submit written requests for single list of information collections that have copies of the draft guidance to the Office use an alternative approach if it satisfies the requirements of the applicable been approved by the Office of of Communication, Outreach and Management and Budget (OMB) under statutes and regulations. Development, Center for Biologics the Paperwork Reduction Act of 1995. Evaluation and Research (CBER), Food II. Paperwork Reduction Act of 1995 and Drug Administration, 10903 New FOR FURTHER INFORMATION CONTACT: Ila Hampshire Ave., Bldg. 71, Rm. 3128, S. Mizrachi, Office of Operations, Food This draft guidance refers to and Drug Administration, Three White Silver Spring, MD 20993–0002. Send previously approved FDA collections of one self-addressed adhesive label to Flint North, 10A–12M, 11601 information. These collections of Landsdown St. North Bethesda, MD assist the office in processing your information are subject to review by the requests. The draft guidance may also be 20852, 301–796–7726, PRAStaff@ Office of Management and Budget fda.hhs.gov. obtained by mail by calling CBER at 1– (OMB) under the Paperwork Reduction 800–835–4709 or 240–402–8010. See Act of 1995 (44 U.S.C. 3501–3521). The SUPPLEMENTARY INFORMATION: The the SUPPLEMENTARY INFORMATION section collections of information in 21 CFR following is a list of FDA information for electronic access to the draft part 316 have been approved under collections recently approved by OMB guidance document. OMB control number 0910–0167, and under section 3507 of the Paperwork Reduction Act of 1995 (44 U.S.C. 3507). FOR FURTHER INFORMATION CONTACT: the collections of information in 21 CFR The OMB control number and Jenifer Roe, Center for Biologics part 601 have been approved under expiration date of OMB approval for Evaluation and Research, Food and OMB control number 0910–0338. Drug Administration, 10903 New each information collection are shown Hampshire Ave., Bldg. 71, Rm. 7301, III. Electronic Access in table 1. Copies of the supporting Silver Spring, MD 20993–0002, 240– statements for the information 402–7911. Persons with access to the internet collections are available on the internet SUPPLEMENTARY INFORMATION: may obtain the draft guidance at either at http://www.reginfo.gov/public/do/ https://www.fda.gov/Biologics PRAMain. An Agency may not conduct I. Background BloodVaccines/GuidanceCompliance or sponsor, and a person is not required FDA is announcing the availability of RegulatoryInformation/Guidances/ to respond to, a collection of a draft guidance document entitled default.htm or https:// information unless it displays a ‘‘Interpreting Sameness of Gene Therapy www.regulations.gov. currently valid OMB control number.
TABLE 1—LIST OF INFORMATION COLLECTIONS APPROVED BY OMB
OMB control Date approval Title of collection number expires
Web-Based Pilot Survey to Assess Allergy to Cosmetics in the United States ...... 0910–0881 1/31/2021 Postmarket Surveillance of Medical Devices ...... 0910–0449 11/30/2022 Administrative Procedures for Clinical Laboratory Improvement Amendments Categorization ...... 0910–0607 11/30/2022
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TABLE 1—LIST OF INFORMATION COLLECTIONS APPROVED BY OMB—Continued
OMB control Date approval Title of collection number expires
Requirements Under the Comprehensive Smokeless Tobacco Health Education Act of 1986, as Amended by the Family Smoking Prevention and Tobacco Control Act ...... 0910–0671 11/30/2022 Electronic Drug Product Reporting for Human Drug Compounding Outsourcing Facilities Under Section 503B of the Federal Food, Drug, and Cosmetic Act ...... 0910–0827 11/30/2022 Experimental Study on Measuring Consumer Comprehension of Displays of Harmful and Potentially Harmful Constituents in Tobacco Products and Tobacco Smoke ...... 0910–0880 11/30/2022 Medical Devices; Current Good Manufacturing Practice Quality System Regulation ...... 0910–0073 12/31/2022 Threshold of Regulation for Substances Used in Food-Contact Articles ...... 0910–0298 12/31/2022 Regulations Restricting the Sale and Distribution of Cigarettes and Smokeless Tobacco to Protect Children and Adolescents ...... 0910–0312 12/31/2022 Format and Content Requirements for Over-the-Counter Drug Product Labeling ...... 0910–0340 12/31/2022 Product Jurisdiction: Assignment of Agency Component for Review of Premarket Applications ...... 0910–0523 12/31/2022 Preparing a Claim of Categorical Exclusion or an Environmental Assessment for Submission to the Center for Food Safety and Applied Nutrition ...... 0910–0541 12/31/2022 Hypertension Indication: Drug Labeling for Cardiovascular Outcome Claims ...... 0910–0670 12/31/2022 Guidance for Tobacco Retailers on Tobacco Retailer Training Programs ...... 0910–0745 12/31/2022 Dear Health Care Provider Letters: Improving Communication of Important Safety Information ...... 0910–0754 12/31/2022 Requests for Feedback on Medical Device Submissions ...... 0910–0756 12/31/2022 Data to Support Social and Behavioral Research as Used by the Food and Drug Administration ...... 0910–0847 12/31/2022
Dated: January 24, 2020. The guidance announced in this • If you want to submit a comment Lowell J. Schiller, notice finalizes the draft guidance of the with confidential information that you Principal Associate Commissioner for Policy. same title dated July 2018 and do not wish to be made available to the [FR Doc. 2020–01655 Filed 1–29–20; 8:45 am] supersedes the document entitled public, submit the comment as a BILLING CODE 4164–01–P ‘‘Guidance for FDA Reviewers and written/paper submission and in the Sponsors: Content and Review of manner detailed (see ‘‘Written/Paper Chemistry, Manufacturing, and Control Submissions’’ and ‘‘Instructions’’). DEPARTMENT OF HEALTH AND (CMC) Information for Human Gene Written/Paper Submissions HUMAN SERVICES Therapy Investigational New Drug Applications (INDs),’’ dated April 2008 Submit written/paper submissions as Food and Drug Administration (April 2008 guidance). follows: • Mail/Hand Delivery/Courier (for DATES: [Docket No. FDA–2008–D–0205] The announcement of the written/paper submissions): Dockets guidance is published in the Federal Management Staff (HFA–305), Food and Chemistry, Manufacturing, and Control Register on January 30, 2020. Drug Administration, 5630 Fishers Information for Human Gene Therapy ADDRESSES: You may submit either Lane, Rm. 1061, Rockville, MD 20852. • Investigational New Drug Applications; electronic or written comments on For written/paper comments Guidance for Industry; Availability Agency guidances at any time as submitted to the Dockets Management follows: Staff, FDA will post your comment, as AGENCY: Food and Drug Administration, well as any attachments, except for HHS. Electronic Submissions information submitted, marked and ACTION: Notice of availability. identified, as confidential, if submitted Submit electronic comments in the as detailed in ‘‘Instructions.’’ SUMMARY: The Food and Drug following way: Instructions: All submissions received Administration (FDA or Agency) is • Federal eRulemaking Portal: must include the Docket No. FDA– announcing the availability of a final https://www.regulations.gov. Follow the 2008–D–0205 for ‘‘Chemistry, guidance entitled ‘‘Chemistry, instructions for submitting comments. Manufacturing, and Control Information Manufacturing, and Control (CMC) Comments submitted electronically, for Human Gene Therapy Information for Human Gene Therapy including attachments, to https:// Investigational New Drug Applications; Investigational New Drug Applications www.regulations.gov will be posted to Guidance for Industry.’’ Received (INDs); Guidance for Industry.’’ The the docket unchanged. Because your comments will be placed in the docket guidance document provides sponsors comment will be made public, you are and, except for those submitted as of human gene therapy INDs with solely responsible for ensuring that your ‘‘Confidential Submissions,’’ publicly recommendations regarding CMC comment does not include any viewable at https://www.regulations.gov information to be submitted in an IND. confidential information that you or a or at the Dockets Management Staff The guidance document informs third party may not wish to be posted, between 9 a.m. and 4 p.m., Monday sponsors how to provide sufficient CMC such as medical information, your or through Friday. information required to assure product anyone else’s Social Security number, or • Confidential Submissions—To safety, identity, quality, purity, and confidential business information, such submit a comment with confidential strength (including potency) of the as a manufacturing process. Please note information that you do not wish to be investigational product. The guidance that if you include your name, contact made publicly available, submit your applies to human gene therapy products information, or other information that comments only as a written/paper and to combination products that identifies you in the body of your submission. You should submit two contain a human gene therapy in comments, that information will be copies total. One copy will include the combination with a drug or device. posted on https://www.regulations.gov. information you claim to be confidential
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with a heading or cover note that states I. Background rights for any person and is not binding ‘‘THIS DOCUMENT CONTAINS FDA is announcing the availability of on FDA or the public. You can use an CONFIDENTIAL INFORMATION.’’ The a document entitled ‘‘Chemistry, alternative approach if it satisfies the Agency will review this copy, including Manufacturing, and Control (CMC) requirements of the applicable statutes the claimed confidential information, in Information for Human Gene Therapy and regulations. its consideration of comments. The Investigational New Drug Applications II. Paperwork Reduction Act of 1995 second copy, which will have the (INDs); Guidance for Industry.’’ The claimed confidential information This guidance refers to previously guidance document provides sponsors approved collections of information redacted/blacked out, will be available of human gene therapy INDs with for public viewing and posted on found in FDA regulations. These recommendations regarding CMC collections of information are subject to https://www.regulations.gov. Submit information to be submitted in an IND. both copies to the Dockets Management review by the Office of Management and The guidance document informs Budget (OMB) under the Paperwork Staff. If you do not wish your name and sponsors how to provide sufficient CMC contact information to be made publicly Reduction Act of 1995 (44 U.S.C. 3501– information required to assure product 3521). The collections of information in available, you can provide this safety, identity, quality, purity, and information on the cover sheet and not 21 CFR part 211 have been approved strength (including potency) of the under OMB control number 0910–0139; in the body of your comments and you investigational product (21 CFR must identify this information as the collections of information in 21 CFR 312.23(a)(7)(i)). The guidance applies to part 312 and Form FDA 1571 have been ‘‘confidential.’’ Any information marked human gene therapy products and to as ‘‘confidential’’ will not be disclosed approved under OMB control number combination products that contain a 0910–0014; the collections of except in accordance with 21 CFR 10.20 human gene therapy in combination and other applicable disclosure law. For information in 21 CFR part 601 have with a drug or device. been approved under OMB control more information about FDA’s posting The field of gene therapy has of comments to public dockets, see 80 number 0910–0338; and the collections progressed rapidly since FDA issued the of information in 21 CFR part 1271 have FR 56469, September 18, 2015, or access April 2008 guidance. Therefore, FDA is the information at: https:// been approved under OMB control updating the guidance to provide number 0910–0543. www.govinfo.gov/content/pkg/FR-2015- current FDA recommendations 09-18/pdf/2015-23389.pdf. regarding the CMC content of a gene III. Electronic Access Docket: For access to the docket to therapy IND. In addition, the guidance Persons with access to the internet read background documents or the is organized to follow the structure of may obtain the guidance at either electronic and written/paper comments the FDA guidance on the Common https://www.fda.gov/vaccines-blood- received, go to https:// Technical Document. biologics/guidance-compliance- www.regulations.gov and insert the In the Federal Register of July 12, regulatory-information-biologics/ docket number, found in brackets in the 2018 (83 FR 32307), FDA announced the biologics-guidances or https:// heading of this document, into the availability of the draft guidance of the www.regulations.gov. ‘‘Search’’ box and follow the prompts same title. FDA received numerous Dated: January 27, 2020. and/or go to the Dockets Management comments on the draft guidance and Staff, 5630 Fishers Lane, Rm. 1061, those comments were considered as the Lowell J. Schiller, Rockville, MD 20852. guidance was finalized. In addition, Principal Associate Commissioner for Policy. [FR Doc. 2020–01701 Filed 1–29–20; 8:45 am] You may submit comments on any editorial changes were made to improve BILLING CODE 4164–01–P guidance at any time (see 21 CFR clarity. The guidance announced in this 10.115(g)(5)). notice finalizes the draft guidance dated July 2018. The guidance also supersedes Submit written requests for single the April 2008 guidance. DEPARTMENT OF HEALTH AND copies of the guidance to the Office of Elsewhere in this issue of the Federal HUMAN SERVICES Communication, Outreach and Register, FDA is announcing the Food and Drug Administration Development, Center for Biologics availability of two other final guidances. Evaluation and Research (CBER), Food In a separate document, FDA is [Docket No. FDA–1999–D–0081] and Drug Administration, 10903 New announcing the availability of a Hampshire Ave., Bldg. 71, Rm. 3128, document entitled ‘‘Long Term Follow- Testing of Retroviral Vector-Based Silver Spring, MD 20993–0002. Send Up After Administration of Human Human Gene Therapy Products for one self-addressed adhesive label to Gene Therapy Products; Guidance for Replication Competent Retrovirus assist the office in processing your Industry’’ and the availability of a During Product Manufacture and requests. The guidance may also be document entitled ‘‘Testing of Retroviral Patient Follow-up; Guidance for obtained by mail by calling CBER at 1– Vector-Based Human Gene Therapy Industry; Availability 800–835–4709 or 240–402–8010. See Products for Replication Competent AGENCY: Food and Drug Administration, the SUPPLEMENTARY INFORMATION section Retrovirus During Product Manufacture HHS. for electronic access to the guidance and Patient Follow-up; Guidance for ACTION: Notice of availability. document. Industry.’’ This guidance is being issued SUMMARY: The Food and Drug FOR FURTHER INFORMATION CONTACT: consistent with FDA’s good guidance Administration (FDA or Agency) is Sana F. Hussain, Center for Biologics practices regulation (21 CFR 10.115). announcing the availability of a final Evaluation and Research, Food and The guidance represents the current guidance entitled ‘‘Testing of Retroviral Drug Administration, 10903 New thinking of FDA on ‘‘Chemistry, Vector-Based Human Gene Therapy Hampshire Ave., Bldg. 71, Rm. 7301, Manufacturing, and Control Information Products for Replication Competent Silver Spring, MD 20993–0002, 240– for Human Gene Therapy Retrovirus During Product Manufacture 402–7911. Investigational New Drug and Patient Follow-up; Guidance for SUPPLEMENTARY INFORMATION: Applications.’’ It does not establish any Industry.’’ The guidance provides
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sponsors of retroviral vector-based • Mail/Hand Delivery/Courier (for heading of this document, into the human gene therapy products written/paper submissions): Dockets ‘‘Search’’ box and follow the prompts recommendations regarding the testing Management Staff (HFA–305), Food and and/or go to the Dockets Management for replication competent retrovirus Drug Administration, 5630 Fishers Staff, 5630 Fishers Lane, Rm. 1061, (RCR) during the manufacture of Lane, Rm. 1061, Rockville, MD 20852. Rockville, MD 20852. retroviral vector-based gene therapy • For written/paper comments You may submit comments on any products, and during follow-up submitted to the Dockets Management guidance at any time (see 21 CFR monitoring of patients who have Staff, FDA will post your comment, as 10.115(g)(5)). received retroviral vector-based gene well as any attachments, except for Submit written requests for single therapy products. Recommendations information submitted, marked and copies of the guidance to the Office of include the identification and amount of identified, as confidential, if submitted Communication, Outreach and material to be tested, and general testing as detailed in ‘‘Instructions.’’ Development, Center for Biologics methods. In addition, recommendations Instructions: All submissions received Evaluation and Research (CBER), Food are provided on monitoring patients for must include the Docket No. FDA– and Drug Administration, 10903 New evidence of retroviral infection after 1999–D–0081 for ‘‘Testing of Retroviral Hampshire Ave., Bldg. 71, Rm. 3128, administration of retroviral vector-based Vector-Based Human Gene Therapy Silver Spring, MD 20993–0002. Send gene therapy products. The guidance Products for Replication Competent one self-addressed adhesive label to supersedes the document entitled Retrovirus During Product Manufacture assist the office in processing your ‘‘Guidance for Industry: Supplemental and Patient Follow-up; Guidance for requests. The guidance may also be Guidance on Testing for Replication Industry.’’ Received comments will be obtained by mail by calling CBER at 1– Competent Retrovirus in Retroviral placed in the docket and, except for 800–835–4709 or 240–402–8010. See Vector Based Gene Therapy Products those submitted as ‘‘Confidential the SUPPLEMENTARY INFORMATION section and During Follow-up of Patients in Submissions,’’ publicly viewable at for electronic access to the guidance Clinical Trials Using Retroviral https://www.regulations.gov or at the document. Vectors,’’ dated November 2006. The Dockets Management Staff between 9 FOR FURTHER INFORMATION CONTACT: guidance announced in this notice a.m. and 4 p.m., Monday through Melissa Segal, Center for Biologics finalizes the draft guidance of the same Friday. Evaluation and Research, Food and title dated July 2018. • Confidential Submissions—To Drug Administration, 10903 New DATES: The announcement of the submit a comment with confidential information that you do not wish to be Hampshire Ave., Bldg. 71, Rm. 7301, guidance is published in the Federal Silver Spring, MD 20993–0002, 240– Register on January 30, 2020. made publicly available, submit your comments only as a written/paper 402–7911. ADDRESSES: You may submit comments submission. You should submit two SUPPLEMENTARY INFORMATION: on any guidance at any time as follows: copies total. One copy will include the I. Background Electronic Submissions information you claim to be confidential FDA is announcing the availability of Submit electronic comments in the with a heading or cover note that states a document entitled ‘‘Testing of following way: ‘‘THIS DOCUMENT CONTAINS • Federal eRulemaking Portal: CONFIDENTIAL INFORMATION.’’ The Retroviral Vector-Based Human Gene https://www.regulations.gov. Follow the Agency will review this copy, including Therapy Products for Replication instructions for submitting comments. the claimed confidential information, in Competent Retrovirus During Product Comments submitted electronically, its consideration of comments. The Manufacture and Patient Follow-up; including attachments, to https:// second copy, which will have the Guidance for Industry.’’ The guidance www.regulations.gov will be posted to claimed confidential information provides sponsors of retroviral vector- the docket unchanged. Because your redacted/blacked out, will be available based human gene therapy products comment will be made public, you are for public viewing and posted on recommendations regarding the testing solely responsible for ensuring that your https://www.regulations.gov. Submit for RCR during the manufacture of comment does not include any both copies to the Dockets Management retroviral vector-based gene therapy confidential information that you or a Staff. If you do not wish your name and products, and during follow-up third party may not wish to be posted, contact information to be made publicly monitoring of patients who have such as medical information, your or available, you can provide this received retroviral vector-based gene anyone else’s Social Security number, or information on the cover sheet and not therapy products. Recommendations are confidential business information, such in the body of your comments and you also provided for RCR testing during as a manufacturing process. Please note must identify this information as manufacture, including identification that if you include your name, contact ‘‘confidential.’’ Any information marked and amount of material to be tested, and information, or other information that as ‘‘confidential’’ will not be disclosed general testing methods. In addition, identifies you in the body of your except in accordance with 21 CFR 10.20 recommendations are provided on comments, that information will be and other applicable disclosure law. For monitoring patients for evidence of posted on https://www.regulations.gov. more information about FDA’s posting retroviral infection after administration • If you want to submit a comment of comments to public dockets, see 80 of retroviral vector-based gene therapy with confidential information that you FR 56469, September 18, 2015, or access products. The guidance supersedes the do not wish to be made available to the the information at: https:// document entitled ‘‘Guidance for public, submit the comment as a www.govinfo.gov/content/pkg/FR-2015- Industry: Supplemental Guidance on written/paper submission and in the 09-18/pdf/2015-23389.pdf. Testing for Replication Competent manner detailed (see ‘‘Written/Paper Docket: For access to the docket to Retrovirus in Retroviral Vector Based Submissions’’ and ‘‘Instructions’’). read background documents or the Gene Therapy Products and During electronic and written/paper comments Follow-up of Patients in Clinical Trials Written/Paper Submissions received, go to https:// Using Retroviral Vectors’’ dated Submit written/paper submissions as www.regulations.gov and insert the November 2006. The guidance also follows: docket number, found in brackets in the supplements two other final guidance
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documents, entitled ‘‘Long Term DEPARTMENT OF HEALTH AND Advisory Committee. This Notice does Follow-Up After Administration of HUMAN SERVICES not include consumer and industry Human Gene Therapy Products; representative nominations. The Agency Guidance for Industry’’ and ‘‘Chemistry, Food and Drug Administration will publish two separate notices Manufacturing, and Control Information [Docket No. FDA–2020–N–0008] announcing the vacancy of a for Human Gene Therapy representative of consumer interests and Investigational New Drug Applications; Request for Nominations for Voting vacancy of representatives of interests of Guidance for Industry,’’ announced Members for the Patient Engagement the device manufacturing industry. elsewhere in this issue of the Federal Advisory Committee I. General Description of the Committee Register. AGENCY: Food and Drug Administration, Duties In the Federal Register of July 12, HHS. The Committee provides relevant 2018 (83 FR 32309), FDA announced the ACTION: Notice. skills and perspectives in order to availability of the draft guidance of the improve communication of benefits, same title dated July 2018. FDA SUMMARY: The Food and Drug risks, and clinical outcomes, and received several comments on the draft Administration (FDA) is requesting increase integration of patient guidance and those comments were nominations for voting members, perspectives into the regulatory process considered as the guidance was excluding consumer representative, to for medical devices. It performs its finalized. In addition, editorial changes serve on the Patient Engagement duties by identifying new approaches, were made to improve clarity. The Advisory Committee (the Committee) in promoting innovation, recognizing guidance announced in this notice the Center for Devices and Radiological unforeseen risks or barriers, and finalizes the draft guidance dated July Health. Nominations will be accepted identifying unintended consequences 2018. for current and upcoming vacancies that could result from FDA policy. The effective with this notice. FDA seeks to This guidance is being issued Committee provides advice on complex include the views of women and men, scientific issues relating to medical consistent with FDA’s good guidance members of all racial and ethnic groups, devices, the regulation of devices, and practices regulation (21 CFR 10.115). and individuals with and without their use by patients. Agency guidance The guidance represents FDA’s current disabilities on its advisory committees and policies, clinical trial or registry thinking on testing of retroviral vector- and, therefore, encourages nominations design, patient preference study design, based human gene therapy products for of appropriately qualified candidates benefit-risk determinations, device replication competent retrovirus during from these groups. labeling, unmet clinical needs, available product manufacture and patient DATES: Nominations received on or alternatives, patient reported outcomes, follow-up. It does not establish any before March 30, 2020, will be given and device-related quality of life rights for any person and is not binding first consideration for membership on measure or health status issues are on FDA or the public. You can use an the Committee. Nominations received among the topics that may be alternative approach if it satisfies the after March 30, 2020, will be considered considered by the Committee. Members requirements of the applicable statutes for nomination to the Committee as later are knowledgeable in areas such as and regulations. vacancies occur. clinical research, primary care patient II. Paperwork Reduction Act of 1995 ADDRESSES: All nominations for experience, healthcare needs of patient membership should be submitted groups in the United States, or are The guidance refers to previously electronically by logging into the FDA experienced in the work of patient and approved collections of information Advisory Committee Membership health professional organizations, found in FDA regulations. These Nomination Portal: https:// methodologies for eliciting patient collections of information are subject to www.accessdata.fda.gov/scripts/ preferences, and strategies for review by the Office of Management and FACTRSPortal/FACTRS/index.cfm. communicating benefits, risks, and Budget (OMB) under the Paperwork Select Academician/Practitioner in the clinical outcomes to patients and Reduction Act of 1995 (44 U.S.C. 3501– drop menu to apply for membership, or research subjects. 3521). The collections of information in apply by mail to Advisory Committee II. Criteria for Voting Members 21 CFR part 312 have been approved Oversight and Management Staff, Food The Committee consists of a core of under OMB control number 0910–0014; and Drug Administration, 10903 New nine voting members, including the and the collections of information in 21 Hampshire Ave., Bldg. 32, Rm. 5103, Chair. Members and the Chair are CFR part 601 have been approved under Silver Spring, MD 20993–0002. selected by the Commissioner of Food OMB control number 0910–0338. Information about becoming a member on an FDA advisory committee can also and Drugs or designee from among III. Electronic Access be obtained by visiting FDA’s website at authorities who are knowledgeable in areas such as clinical research, patient Persons with access to the internet https://www.fda.gov/Advisory Committees/default.htm. experience, healthcare needs of patient may obtain the guidance at either groups in the United States, or are FOR FURTHER INFORMATION CONTACT: https://www.fda.gov/vaccines-blood- experienced in the work of patient and biologics/guidance-compliance- Letise Williams, Center for Devices and health professional organizations, regulatory-information-biologics/ Radiological Health, Food and Drug scientific methodologies for patient- biologics-guidances or https:// Administration, 10903 New Hampshire reported outcomes and eliciting patient www.regulations.gov. Ave., Bldg. 66, Rm. 5407, 301–796– preferences, and strategies for 8398, email: Letise.Williams@ Dated: January 27, 2020. communicating benefits, risks, and fda.hhs.gov. clinical outcomes to patients and Lowell J. Schiller, SUPPLEMENTARY INFORMATION: FDA is research subjects. Principal Associate Commissioner for Policy. requesting nominations for voting Members will be invited to serve for [FR Doc. 2020–01700 Filed 1–29–20; 8:45 am] members to fill current and upcoming overlapping terms of up to 4 years. BILLING CODE 4164–01–P vacancies on the Patient Engagement Prospective members should also have
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an understanding of the broad spectrum preclinical, and clinical trial design information submitted, marked and of patients in a particular disease area. issues for all phases of the clinical identified, as confidential, if submitted Almost all non-Federal members of this development program. Such as detailed in ‘‘Instructions.’’ Committee serve as Special Government information is intended to assist Instructions: All submissions received Employees, with the exception of the sponsors in designing clinical must include the Docket No. FDA– representatives from Industry. development programs for such 2018–D–2258 for ‘‘Human Gene Therapy for Rare Diseases; Guidance for III. Nomination Procedures products, where there may be limited study population size and potential Industry.’’ Received comments will be Any interested person may nominate feasibility and safety issues as well as placed in the docket and, except for one or more qualified individuals for issues relating to the interpretability of those submitted as ‘‘Confidential membership on the Committee. Self- bioactivity/efficacy outcomes that may Submissions,’’ publicly viewable at nominations are also accepted. be unique to rare diseases or to the https://www.regulations.gov or at the Nominations must include a cover nature of the GT product itself. The Dockets Management Staff between 9 letter; a current, complete resume or guidance announced in this notice a.m. and 4 p.m., Monday through curriculum vitae for each nominee, finalizes the draft guidance of the same Friday. • including current business and/or home title dated July 2018. Confidential Submissions—To address, telephone number, and email submit a comment with confidential DATES: The announcement of the address, if available; and a signed copy information that you do not wish to be guidance is published in the Federal of the Acknowledgement and Consent made publicly available, submit your Register on January 30, 2020. form available at the FDA Advisory comments only as a written/paper Nomination Portal (see ADDRESSES). ADDRESSES: You may submit either submission. You should submit two Nominations must specify the advisory electronic or written comments on copies total. One copy will include the committee for which the nominee is Agency guidances at any time as information you claim to be confidential recommended. follows: with a heading or cover note that states Nominations must also acknowledge Electronic Submissions ‘‘THIS DOCUMENT CONTAINS that the nominee is aware of the CONFIDENTIAL INFORMATION.’’ The nomination unless self-nominated. FDA Submit electronic comments in the Agency will review this copy, including will ask potential candidates to provide following way: the claimed confidential information, in • detailed information concerning such Federal eRulemaking Portal: its consideration of comments. The matters related to financial holdings, https://www.regulations.gov. Follow the second copy, which will have the employment, and research grants and/or instructions for submitting comments. claimed confidential information contracts to permit evaluation of Comments submitted electronically, redacted/blacked out, will be available possible sources of conflicts of interest. including attachments, to https:// for public viewing and posted on This notice is issued under the www.regulations.gov will be posted to https://www.regulations.gov. Submit Federal Advisory Committee Act (5 the docket unchanged. Because your both copies to the Dockets Management U.S.C. app. 2) and 21 CFR part 14, comment will be made public, you are Staff. If you do not wish your name and relating to advisory committees. solely responsible for ensuring that your contact information to be made publicly comment does not include any Dated: January 24, 2020. available, you can provide this confidential information that you or a Lowell J. Schiller, information on the cover sheet and not third party may not wish to be posted, in the body of your comments and you Principal Associate Commissioner for Policy. such as medical information, your or must identify this information as [FR Doc. 2020–01659 Filed 1–29–20; 8:45 am] anyone else’s Social Security number, or ‘‘confidential.’’ Any information marked BILLING CODE 4164–01–P confidential business information, such as ‘‘confidential’’ will not be disclosed as a manufacturing process. Please note except in accordance with 21 CFR 10.20 that if you include your name, contact and other applicable disclosure law. For DEPARTMENT OF HEALTH AND information, or other information that more information about FDA’s posting HUMAN SERVICES identifies you in the body of your of comments to public dockets, see 80 Food and Drug Administration comments, that information will be FR 56469, September 18, 2015, or access posted on https://www.regulations.gov. the information at: https:// [Docket No. FDA–2018–D–2258] • If you want to submit a comment www.govinfo.gov/content/pkg/FR-2015- with confidential information that you 09-18/pdf/2015-23389.pdf. Human Gene Therapy for Rare do not wish to be made available to the Docket: For access to the docket to Diseases; Guidance for Industry; public, submit the comment as a read background documents or the Availability written/paper submission and in the electronic and written/paper comments AGENCY: Food and Drug Administration, manner detailed (see ‘‘Written/Paper received, go to https:// HHS. Submissions’’ and ‘‘Instructions’’). www.regulations.gov and insert the ACTION: Notice of availability. Written/Paper Submissions docket number, found in brackets in the heading of this document, into the SUMMARY: The Food and Drug Submit written/paper submissions as ‘‘Search’’ box and follow the prompts Administration (FDA or Agency) is follows: and/or go to the Dockets Management announcing the availability of a final • Mail/Hand Delivery/Courier (for Staff, 5630 Fishers Lane, Rm. 1061, guidance entitled ‘‘Human Gene written/paper submissions): Dockets Rockville, MD 20852. Therapy for Rare Diseases; Guidance for Management Staff (HFA–305), Food and You may submit comments on any Industry.’’ The final guidance document Drug Administration, 5630 Fishers guidance at any time (see 21 CFR provides recommendations to Lane, Rm. 1061, Rockville, MD 20852. 10.115(g)(5)). stakeholders developing a human gene • For written/paper comments Submit written requests for single therapy (GT) product intended to treat submitted to the Dockets Management copies of the guidance to the Office of a rare disease in adult and/or pediatric Staff, FDA will post your comment, as Communication, Outreach and patients regarding the manufacturing, well as any attachments, except for Development, Center for Biologics
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Evaluation and Research (CBER), Food same title. FDA received several Dated: January 27, 2020. and Drug Administration, 10903 New comments on the draft guidance and Lowell J. Schiller, Hampshire Ave., Bldg. 71, Rm. 3128, those comments were considered as the Principal Associate Commissioner for Policy. Silver Spring, MD 20993–0002. Send guidance was finalized. The guidance [FR Doc. 2020–01704 Filed 1–29–20; 8:45 am] one self-addressed adhesive label to announced in this notice finalizes the BILLING CODE 4164–01–P assist the office in processing your draft guidance dated July 2018. requests. The guidance may also be Elsewhere in this issue of the Federal obtained by mail by calling CBER at 1– Register, FDA is announcing the DEPARTMENT OF HEALTH AND 800–835–4709 or 240–402–8010. See HUMAN SERVICES availability of two other human gene the SUPPLEMENTARY INFORMATION section therapy guidance documents entitled for electronic access to the guidance Food and Drug Administration ‘‘Human Gene Therapy for Hemophilia; document. Guidance for Industry’’ and ‘‘Human [Docket No. FDA–2018–D–2173] FOR FURTHER INFORMATION CONTACT: Gene Therapy for Retinal Disorders; Long Term Follow-Up After Shruti Modi, Center for Biologics Guidance for Industry.’’ Evaluation and Research, Food and Administration of Human Gene This guidance is being issued Drug Administration, 10903 New Therapy Products; Guidance for Hampshire Ave., Bldg. 71, Rm. 7301, consistent with FDA’s good guidance Industry; Availability practices regulation (21 CFR 10.115). Silver Spring, MD 20993–0002, 240– AGENCY: Food and Drug Administration, 402–7911. The guidance represents the current thinking of FDA on recommendations HHS. SUPPLEMENTARY INFORMATION: for stakeholders developing human GT ACTION: Notice of availability. I. Background products for retinal disorders affecting SUMMARY: The Food and Drug The Orphan Drug Act of 1983 (Pub. L. adult and pediatric patients. It does not Administration (FDA or Agency) is 97–414) defines a rare disease as a establish any rights for any person and announcing the availability of a final disease or condition that affects fewer is not binding on FDA or the public. guidance entitled ‘‘Long Term Follow- than 200,000 persons in the United You can use an alternative approach if Up After Administration of Human States. Since most rare diseases have no it satisfies the requirements of the Gene Therapy Products.’’ The guidance approved therapies, there is a significant applicable statutes and regulations. document provides sponsors, who are unmet need for effective treatments. II. Paperwork Reduction Act of 1995 developing a human gene therapy (GT) However, developing safe and effective product, recommendations regarding products to treat rare diseases can be This guidance refers to previously the design of long term follow-up challenging. For example, it may be approved collections of information (LTFU) observational studies for the more difficult to find and recruit such subject to review by the Office of collection of data on delayed adverse patients into clinical trials, and many Management and Budget (OMB) under events following administration of a GT rare diseases exhibit a number of the Paperwork Reduction Act of 1995 product. This guidance finalizes the variations or subtypes. Consequently, (44 U.S.C. 3501–3521). The collections draft guidance of the same title dated patients may have highly diverse of information in 21 CFR part 50 have July 2018 and supersedes the document clinical manifestations and rates of been approved under OMB control entitled ‘‘Guidance for Industry: Gene disease progression with unpredictable number 0910–0755; the collections of Therapy Clinical Trials—Observing clinical courses. Despite these information in 21 CFR part 58 have been Subjects for Delayed Adverse Events’’ challenges, GT-related research and approved under OMB control number dated November 2006. This guidance development continue to grow at a rapid 0910–0119; the collections of also supplements the guidance entitled rate, with several products advancing in information in 21 CFR part 312 have ‘‘Testing of Retroviral Vector-Based clinical development. been approved under OMB control Human Gene Therapy Products for FDA is announcing the availability of number 0910–0014; the collections of Replication Competent Retrovirus during Product Manufacture and Patient a document entitled ‘‘Human Gene information in 21 CFR part 601 have Therapy for Rare Diseases; Guidance for Follow-up; Guidance for Industry.’’ been approved under OMB control Industry.’’ This guidance provides number 0910–0338; the collections of DATES: The announcement of the recommendations to stakeholders information in the guidance entitled guidance is published in the Federal developing human GT product intended ‘‘Expedited Programs for Serious Register on January 30, 2020. to treat a rare disease in adult and/or Conditions—Drugs and Biologics’’ have ADDRESSES: You may submit either pediatric patients regarding the been approved under OMB control electronic or written comments on manufacturing, preclinical, and clinical number 0910–0765; and the collections Agency guidances at any time as trial design issues for all phases of the of information in the guidance entitled follows: clinical development program. Such ‘‘Formal Meetings Between the FDA and information is intended to assist Electronic Submissions Sponsors or Applicants’’ have been sponsors in designing clinical Submit electronic comments in the approved under OMB control number development programs for such following way: products, where there may be limited 0910–0429. • Federal eRulemaking Portal: study population size and potential III. Electronic Access https://www.regulations.gov. Follow the feasibility and safety issues as well as instructions for submitting comments. issues relating to the interpretability of Persons with access to the internet Comments submitted electronically, bioactivity/efficacy outcomes that may may obtain the guidance at either including attachments, to https:// be unique to rare diseases or to the https://www.fda.gov/vaccines-blood- www.regulations.gov will be posted to nature of the GT product itself. biologics/guidance-compliance- the docket unchanged. Because your In the Federal Register of July 12, regulatory-information-biologics/ comment will be made public, you are 2018 (83 FR 32303), FDA announced the biologics-guidances or https:// solely responsible for ensuring that your availability of the draft guidance of the www.regulations.gov. comment does not include any
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confidential information that you or a information on the cover sheet and not sponsor’s rationale for the duration and third party may not wish to be posted, in the body of your comments and you design of a LTFU protocol when clinical such as medical information, your or must identify this information as trials are initiated. Also included this anyone else’s Social Security number, or ‘‘confidential.’’ Any information marked guidance are GT product-specific confidential business information, such as ‘‘confidential’’ will not be disclosed clinical considerations for monitoring as a manufacturing process. Please note except in accordance with 21 CFR 10.20 subjects under a LTFU protocol and that if you include your name, contact and other applicable disclosure law. For recommendations on patient monitoring information, or other information that more information about FDA’s posting for licensed GT products. This guidance identifies you in the body of your of comments to public dockets, see 80 is intended to supersede the guidance comments, that information will be FR 56469, September 18, 2015, or access entitled ‘‘Guidance for Industry: Gene posted on https://www.regulations.gov. the information at: https://www.gpo.gov/ Therapy Clinical Trials—Observing • If you want to submit a comment fdsys/pkg/FR-2015-09-18/pdf/2015- Participants for Delayed Adverse with confidential information that you 23389.pdf. Events’’ dated November 2006. This do not wish to be made available to the Docket: For access to the docket to guidance supplements the guidance public, submit the comment as a read background documents or the entitled ‘‘Testing of Retroviral Vector- written/paper submission and in the electronic and written/paper comments Based Human Gene Therapy Products manner detailed (see ‘‘Written/Paper received, go to https:// for Replication Competent Retrovirus Submissions’’ and ‘‘Instructions’’). www.regulations.gov and insert the during Product Manufacture and Patient Written/Paper Submissions docket number, found in brackets in the Follow-up; Draft Guidance for heading of this document, into the Industry’’. Submit written/paper submissions as ‘‘Search’’ box and follow the prompts In the Federal Register of July 12, follows: and/or go to the Dockets Management • Mail/Hand Delivery/Courier (for 2018 (83 FR 32311), FDA announced the Staff, 5630 Fishers Lane, Rm. 1061, written/paper submissions): Dockets availability of the draft guidance of the Rockville, MD 20852. same title dated July 2018. FDA Management Staff (HFA–305), Food and You may submit comments on any Drug Administration, 5630 Fishers received several comments on the draft guidance at any time (see 21 CFR Lane, Rm. 1061, Rockville, MD 20852. guidance and those comments were 10.115(g)(5)). • For written/paper comments considered as the guidance was Submit written requests for single submitted to the Dockets Management finalized. The guidance announced in copies of the guidance to the Office of Staff, FDA will post your comment, as this notice finalizes the draft guidance Communication, Outreach and well as any attachments, except for dated July 2018. Development, Center for Biologics information submitted, marked and This guidance is being issued Evaluation and Research (CBER), Food identified, as confidential, if submitted consistent with FDA’s good guidance and Drug Administration, 10903 New as detailed in ‘‘Instructions.’’ practices regulation (21 CFR 10.115). Instructions: All submissions received Hampshire Ave., Bldg. 71, Rm. 3128, The guidance represents the current must include the Docket No. FDA– Silver Spring, MD 20993–0002. Send thinking of FDA on ‘‘Long Term Follow- 2018–D–2173 for ‘‘Long Term Follow- one self-addressed adhesive label to Up After Administration of Human Up After Administration of Human assist the office in processing your Gene Therapy Products.’’ It does not Gene Therapy Products.’’ Received requests. The guidance may also be establish any rights for any person and comments will be placed in the docket obtained by mail by calling CBER at 1– is not binding on FDA or the public. and, except for those submitted as 800–835–4709 or 240–402–8010. See You can use an alternative approach if ‘‘Confidential Submissions,’’ publicly the SUPPLEMENTARY INFORMATION section it satisfies the requirements of the viewable at https://www.regulations.gov for electronic access to the guidance applicable statutes and regulations. document. or at the Dockets Management Staff II. Paperwork Reduction Act of 1995 between 9 a.m. and 4 p.m., Monday FOR FURTHER INFORMATION CONTACT: through Friday. Jessica Walker Udechukwu, Center for This guidance refers to previously • Confidential Submissions—To Biologics Evaluation and Research, approved collections of information submit a comment with confidential Food and Drug Administration, 10903 found in FDA regulations. These information that you do not wish to be New Hampshire Ave., Bldg. 71, Rm. collections of information are subject to made publicly available, submit your 7301, Silver Spring, MD 20993–0002, review by the Office of Management and comments only as a written/paper 240–402–7911. Budget (OMB) under the Paperwork submission. You should submit two SUPPLEMENTARY INFORMATION: Reduction Act of 1995 (44 U.S.C. 3501– copies total. One copy will include the 3521). The collections of information in information you claim to be confidential I. Background 21 CFR parts 50 and 56 have been with a heading or cover note that states FDA is announcing the availability of approved under OMB control number ‘‘THIS DOCUMENT CONTAINS a document entitled ‘‘Long Term 0910–0755; the collections of CONFIDENTIAL INFORMATION.’’ The Follow-Up After Administration of information in 21 CFR part 58 have been Agency will review this copy, including Human Gene Therapy Products; approved under OMB control number the claimed confidential information, in Guidance for Industry.’’ This guidance 0910–0119; and the collections of its consideration of comments. The provides a brief introduction of the information in 21 CFR part 312 have second copy, which will have the product characteristics, patient-related been approved under OMB control claimed confidential information factors, and the preclinical and clinical number 0910–0014. redacted/blacked out, will be available data that should be considered when III. Electronic Access for public viewing and posted on assessing the need for LTFU https://www.regulations.gov. Submit observations for your GT product. This Persons with access to the internet both copies to the Dockets Management guidance also describes the Agency’s may obtain the guidance at either Staff. If you do not wish your name and current recommendations for the https://www.fda.gov/vaccines-blood- contact information to be made publicly conduct of LTFU studies, specifically biologics/guidance-compliance- available, you can provide this the information/data to support a regulatory-information-biologics/
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biologics-guidances or https:// as a manufacturing process. Please note except in accordance with 21 CFR 10.20 www.regulations.gov. that if you include your name, contact and other applicable disclosure law. For Dated: January 27, 2020. information, or other information that more information about FDA’s posting identifies you in the body of your Lowell J. Schiller, of comments to public dockets, see 80 comments, that information will be FR 56469, September 18, 2015, or access Principal Associate Commissioner for Policy. posted on https://www.regulations.gov. the information at: https:// [FR Doc. 2020–01710 Filed 1–29–20; 8:45 am] • If you want to submit a comment www.govinfo.gov/content/pkg/FR-2015- BILLING CODE 4164–01–P with confidential information that you 09-18/pdf/2015-23389.pdf. do not wish to be made available to the Docket: For access to the docket to public, submit the comment as a read background documents or the DEPARTMENT OF HEALTH AND written/paper submission and in the electronic and written/paper comments HUMAN SERVICES manner detailed (see ‘‘Written/Paper received, go to https:// Submissions’’ and ‘‘Instructions’’). Food and Drug Administration www.regulations.gov and insert the Written/Paper Submissions docket number, found in brackets in the [Docket No. FDA–2018–D–2236] heading of this document, into the Submit written/paper submissions as ‘‘Search’’ box and follow the prompts Human Gene Therapy for Retinal follows: • and/or go to the Dockets Management Disorders; Guidance for Industry; Mail/Hand Delivery/Courier (for Staff, 5630 Fishers Lane, Rm. 1061, Availability written/paper submissions): Dockets Rockville, MD 20852. Management Staff (HFA–305), Food and AGENCY: Food and Drug Administration, You may submit comments on any Drug Administration, 5630 Fishers guidance at any time (see 21 CFR HHS. Lane, Rm. 1061, Rockville, MD 20852. ACTION: Notice of availability. • 10.115(g)(5)). For written/paper comments Submit written requests for single submitted to the Dockets Management SUMMARY: The Food and Drug copies of the guidance to the Office of Staff, FDA will post your comment, as Communication, Outreach and Administration is announcing the well as any attachments, except for Development, Center for Biologics availability of a final guidance entitled information submitted, marked and Evaluation and Research (CBER), Food ‘‘Human Gene Therapy for Retinal identified, as confidential, if submitted and Drug Administration, 10903 New Disorders; Guidance for Industry.’’ The as detailed in ‘‘Instructions.’’ final guidance provides Instructions: All submissions received Hampshire Ave., Bldg. 71, Rm. 3128, recommendations to stakeholders must include the Docket No. FDA– Silver Spring, MD 20993–0002. Send developing human gene therapy (GT) 2018–D–2236 for ‘‘Human Gene one self-addressed adhesive label to products for retinal disorders affecting Therapy for Retinal Disorders; Guidance assist the office in processing your adult and pediatric patients. The for Industry.’’ Received comments will requests. The guidance may also be guidance focuses on issues specific to be placed in the docket and, except for obtained by mail by calling CBER at 1– GT products for retinal disorders and those submitted as ‘‘Confidential 800–835–4709 or 240–402–8010. See provides recommendations related to Submissions,’’ publicly viewable at the SUPPLEMENTARY INFORMATION section product development, preclinical https://www.regulations.gov or at the for electronic access to the guidance testing, and clinical trial design for such Dockets Management Staff between 9 document. GT products. The guidance announced a.m. and 4 p.m., Monday through FOR FURTHER INFORMATION CONTACT: in this notice finalizes the draft Friday. Jenifer Stach, Center for Biologics guidance of the same title dated July • Confidential Submissions—To Evaluation and Research, Food and 2018. submit a comment with confidential Drug Administration, 10903 New DATES: The announcement of the information that you do not wish to be Hampshire Ave., Bldg. 71, Rm. 7301, guidance is published in the Federal made publicly available, submit your Silver Spring, MD 20993–0002, 240– Register on January 30, 2020. comments only as a written/paper 402–7911. ADDRESSES: You may submit either submission. You should submit two SUPPLEMENTARY INFORMATION: electronic or written comments on copies total. One copy will include the I. Background Agency guidances at any time as information you claim to be confidential follows: with a heading or cover note that states FDA is announcing the availability of ‘‘THIS DOCUMENT CONTAINS a document entitled ‘‘Human Gene Electronic Submissions CONFIDENTIAL INFORMATION.’’ The Therapy for Retinal Disorders; Guidance Submit electronic comments in the Agency will review this copy, including for Industry.’’ This guidance provides following way: the claimed confidential information, in recommendations to stakeholders • Federal eRulemaking Portal: its consideration of comments. The developing human GT products for https://www.regulations.gov. Follow the second copy, which will have the retinal disorders affecting adult and instructions for submitting comments. claimed confidential information pediatric patients. These disorders vary Comments submitted electronically, redacted/blacked out, will be available in etiology, prevalence, diagnosis, and including attachments, to https:// for public viewing and posted on management, and include genetic as www.regulations.gov will be posted to https://www.regulations.gov. Submit well as age-related diseases. These the docket unchanged. Because your both copies to the Dockets Management disorders manifest with central or comment will be made public, you are Staff. If you do not wish your name and peripheral visual impairment and often solely responsible for ensuring that your contact information to be made publicly with progressive visual loss. This comment does not include any available, you can provide this guidance focuses on issues specific to confidential information that you or a information on the cover sheet and not GT products for retinal disorders and third party may not wish to be posted, in the body of your comments and you provides recommendations related to such as medical information, your or must identify this information as product development, preclinical anyone else’s Social Security number, or ‘‘confidential.’’ Any information marked testing, and clinical trial design for such confidential business information, such as ‘‘confidential’’ will not be disclosed GT products.
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In the Federal Register of July 12, regulatory-information-biologics or anesthetists, certified nurse-midwives, 2018 (83 FR 32302), FDA announced the https://www.regulations.gov. and clinical nurse specialists) dedicated availability of the draft guidance of the Dated: January 27, 2020. to working at eligible health care facilities with a critical shortage of same title. FDA received several Lowell J. Schiller, comments on the draft guidance and nurses (i.e., a Critical Shortage Facility) Principal Associate Commissioner for Policy. those comments were considered as the or working as nurse faculty in eligible, guidance was finalized. The guidance [FR Doc. 2020–01703 Filed 1–29–20; 8:45 am] accredited schools of nursing. The announced in this notice finalizes the BILLING CODE 4164–01–P Nurse Corps LRP provides loan draft guidance dated July 2018. repayment assistance to these nurses to Elsewhere in this issue of the Federal repay a portion of their qualifying DEPARTMENT OF HEALTH AND educational loans in exchange for full- Register, FDA is announcing the HUMAN SERVICES availability of two other human gene time service at a public or private therapy final guidance documents Health Resources and Services nonprofit Critical Shortage Facility entitled ‘‘Human Gene Therapy for Administration (CSF) or in an eligible, accredited school Hemophilia; Guidance for Industry’’ and of nursing. ‘‘Human Gene Therapy for Rare Agency Information Collection A 60-day notice was published in the Diseases; Guidance for Industry.’’ Activities: Submission to OMB for Federal Register on October, 10, 2019 This guidance is being issued Review and Approval; Public Comment vol. 84, No. 197; pp. 54617–51619. Need and Proposed Use of the consistent with FDA’s good guidance Request; Nurse Corps Loan Information: This information collection practices regulation (21 CFR 10.115). Repayment Program, OMB No. 0915– is used by the Nurse Corps program to The guidance represents the current 0140 Revision make award decisions about Nurse thinking of FDA on ‘‘Human Gene AGENCY: Health Resources and Services Corps LRP applicants and to monitor a Therapy for Retinal Disorders.’’ It does Administration (HRSA), Department of participant’s compliance with the not establish any rights for any person Health and Human Services. program’s service requirements. and is not binding on FDA or the public. ACTION: Notice. Individuals must submit an application You can use an alternative approach if in order to participate in the program. it satisfies the requirements of the SUMMARY: In compliance with the The application asks for personal, applicable statutes and regulations. Paperwork Reduction Act of 1995, professional, educational, and financial II. Paperwork Reduction Act of 1995 HRSA submitted an Information information required to determine the Collection Request (ICR) to the Office of applicant’s eligibility to participate in This guidance refers to previously Management and Budget (OMB) for the Nurse Corps LRP. approved collections of information review and approval. Comments The revised information collection found in FDA regulations. These submitted during the first public review request includes a new form and collections of information are subject to of this ICR will be provided to OMB. updates to existing forms for the Nurse review by the Office of Management and OMB will accept further comments from Corps LRP in order to expand the Budget (OMB) under the Paperwork the public during the review and service options for awarded Reduction Act of 1995 (44 U.S.C. 3501– approval period. OMB may act on participants, promote the use of 3521). The collections of information in HRSA’s ICR only after the 30-day telehealth for delivering care throughout 21 CFR part 50 have been approved comment period for this Notice has the nation especially in rural areas, and under OMB control number 0910–0755; closed. to reduce the application burden on the collections of information in 21 CFR respondents. DATES: part 58 have been approved under OMB Comments on this ICR should be New Form #1—Applicants will be control number 0910–0119; the received no later than March 2, 2020. asked to submit a Disadvantaged collections of information in 21 CFR ADDRESSES: Submit your comments, Background Form. This new form asks part 211 have been approved under including the ICR Title, to the desk the applicant’s site Point of Contact to OMB control number 0910–0139; the officer for HRSA, either by email to certify whether the applicant is from a _ collections of information in 21 CFR OIRA [email protected] or by disadvantaged background. The form part 312 have been approved under fax to (202) 395–5806. provides eligibility criteria for the OMB control number 0910–0014; the FOR FURTHER INFORMATION CONTACT: To determination. collections of information in 21 CFR request a copy of the clearance requests Updated Form #1—The Participant part 601 have been approved under submitted to OMB for review, email Lisa Semi-Annual Employment Verification OMB control number 0910–0338; the Wright-Solomon, the HRSA Information Form will be updated to include collections of information in the Collection Clearance Officer at additional information about the guidance entitled ‘‘Expedited Programs [email protected] or call (301) 443– participant’s service including for Serious Conditions—Drugs and 1984. information about telehealth services Biologics’’ have been approved under SUPPLEMENTARY INFORMATION: and whether they work at multiple CSF OMB control number 0910–0765; and Information Collection Request Title: sites. Telehealth helps expand the reach the collections of information in the Nurse Corps Loan Repayment Program of providers especially in rural areas guidance entitled ‘‘Formal Meetings OMB No. 0915–0140—Revision. where medical service sites are more Between the FDA and Sponsors or Abstract: The Nurse Corps Loan remote. The information collected will Applicants’’ have been approved under Repayment Program (Nurse Corps LRP) assist Program with determining the OMB control number 0910–0429. assists in the recruitment and retention impact and utilization of telehealth of professional Registered Nurses (RNs) services in various health care settings III. Electronic Access by decreasing the financial barriers which will be used to inform our Persons with access to the internet associated with pursuing a nursing telehealth policies. Enabling multiple may obtain the guidance at either education. RNs in this instance include CSF site service will also allow greater https://www.fda.gov/vaccines-blood- advanced practice RNs (e.g., nurse flexibility for providers who rotate or biologics/guidance-compliance- practitioners, certified registered nurse split time between multiple sites which
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benefits both the participants and the eligible for Nurse Corps LRP psychiatric of collecting, validating, and verifying underserved communities–especially in nurse practitioner funding. information, processing and our Federally Qualified Health Centers Likely Respondents: Professional RNs maintaining information, and disclosing which support many of our Nurse Corps or advanced practice RNs who are and providing information; to train Nurse Practitioners. interested in participating in the Nurse personnel to be able to respond to a Corps LRP and official representatives at collection of information; to search data Updated Form #2—The Nurse Corps their service sites. sources; to complete and review the LRP application will include questions Burden Statement: Burden in this collection of information; and to for applicants to provide information context means the time expended by transmit or otherwise disclose the regarding telehealth services, multiple persons to generate, maintain, retain, information. The total annual burden CSF sites, and verification of base salary disclose, or provide the information hours estimated for this ICR are to determine the debt to salary ratio requested. This includes the time summarized in the table below. used to rank applicants for award needed to review instructions; to Total Estimated Annualized Burden consideration. The application will also develop, acquire, install, and utilize Hours: The estimates of reporting be updated to identify applicants technology and systems for the purpose burden for Applications are as follows:
Average Number of Number of Total burden per Total burden Form name respondents responses per responses response hours respondent (in hours)
Nurse Corps LRP Application * ...... 7,100 1 7,100 2.00 14,200 Authorization to Release Information Form * * ...... 7,100 1 7,100 .10 710 Employment Verification Form * * ...... 7,100 1 7,100 .10 710 Disadvantaged Background Form ...... 450 1 450 .20 90 Confirmation of Interest Form ...... 500 1 500 .20 100
Total for Applicants ...... 22,250 ...... 22,250 ...... 15,810 * The burden hours associated with this instrument account for both new and continuation applications. Additional (uploaded) supporting docu- mentation is included as part of this instrument and is reflected in the burden hours. * * The same respondents are completing these instruments.
The estimates of reporting for Participants are as follows:
Average Number of Number of Total burden per Total burden Form name respondents responses per responses response hours respondent (in hours)
Participant Semi-Annual In Service Verification Form ...... 500 2 1,000 .50 500 Nurse Corps CSF Verification Form ...... 500 1 500 .10 50 Nurse Corps Nurse Faculty Employment Verification Form 450 1 450 .20 90
Total for Participants ...... 1,450 ...... 1,950 ...... 640
Total for Applicants and Participants ...... 23,700 ...... 24,200 ...... * 16,450 * The 16,450 figure is the sum of total burden hours for applicants and participants. This revision adds an additional form (the Disadvantaged Background Form).
Maria G. Button, provisions set forth in sections Place: National Cancer Institute Shady Director, Executive Secretariat. 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., Grove, 9609 Medical Center Drive, Room 7W236, Rockville, MD 20850, (Telephone [FR Doc. 2020–01713 Filed 1–29–20; 8:45 am] as amended. The grant applications Conference Call). BILLING CODE 4165–15–P and/or contract proposals and the Contact Person: Robert Stephen Coyne, discussions could disclose confidential Ph.D., Scientific Review Officer, National trade secrets or commercial property Cancer Institute, NIH, Division of Extramural DEPARTMENT OF HEALTH AND such as patentable material, and Activities, Special Review Branch, 9609 HUMAN SERVICES personal information concerning Medical Center Drive, Room 7W236, individuals associated with the grant Rockville, MD 20850, 240–276–5120, National Institutes of Health applications and/or contract proposals, [email protected]. the disclosure of which would Name of Committee: National Cancer National Cancer Institute; Notice of constitute a clearly unwarranted Institute Special Emphasis Panel; NCI U01 Closed Meetings invasion of personal privacy. Review. Date: March 17, 2020. Pursuant to section 10(d) of the Name of Committee: National Cancer Time: 1:00 p.m. to 5:00 p.m. Federal Advisory Committee Act, as Institute Special Emphasis Panel; TEP–12: Agenda: To review and evaluate grant amended, notice is hereby given of the SBIR, Contract Review Meeting. applications. following meetings. Date: March 3, 2020. Place: National Cancer Institute, Shady Time: 1:00 p.m. to 5:00 p.m. Grove, 9609 Medical Center Drive, Room The meetings will be closed to the Agenda: To review and evaluate contract 7W514, Rockville, MD 20850, (Telephone public in accordance with the proposals. Conference Call).
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Contact Person: Wlodek Lopaczynski, Place: Bethesda Marriott, Conference Room Date: February 28, 2020. M.D., Ph.D., Assistant Director, Office of the Montgomery/Democracy, 5151 Pooks Hill Time: 12:00 p.m. to 3:00 p.m. Director, Division of Extramural Activities, Road, Bethesda, MD 20814. Agenda: To review and evaluate grant National Cancer Institute, NIH, 9609 Medical Contact Person: Isis S. Mikhail, MD, MPH, applications. Center Drive, Room 7W514, Rockville, MD DrPH, Scientific Review Officer, Scientific Place: National Institutes of Health, 20892, 240–276–6458, [email protected]. Review Branch, National Institute on Aging, Neuroscience Center Building (NSC), 6001 Name of Committee: National Cancer National Institutes of Health, Gateway Executive Boulevard, Rockville, MD 20852, Institute Special Emphasis Panel; Cancer Building 2C212, 7201 Wisconsin Avenue, (Telephone Conference Call). Informatics Technology. Bethesda, MD 20892, Tel: (301) 402–7704, Contact Person: Ipolia R Ramadan, Ph.D., Date: April 16–17, 2020. [email protected]. Scientific Review Officer, Office of Time: 4:00 p.m. to 5:00 p.m. (Catalogue of Federal Domestic Assistance Extramural Policy and Review, Division of Agenda: To review and evaluate grant Program Nos. 93.866, Aging Research, Extramural Research, National Institute on applications. National Institutes of Health, HHS) Drug Abuse, NIH, DHHS, 6001 Executive Place: Bethesda North Marriott Hotel & Boulevard, Room 4228, MSC 95509529, Conference Center, Montgomery County Dated: January 24, 2020. Bethesda, MD 20892, ramadanir@ Conference Center Facility, 5701 Marinelli Miguelina Perez, mail.nih.gov. Road, North Bethesda, MD 20852. Program Analyst, Office of Federal Advisory (Catalogue of Federal Domestic Assistance Contact Person: Reed A. Graves, Ph.D., Committee Policy. Program Nos. 93.279, Drug Abuse and Scientific Review Officer, 9609 Medical [FR Doc. 2020–01637 Filed 1–29–20; 8:45 am] Addiction Research Programs, National Center Drive, Room 7W264, Division of Institutes of Health, HHS) Extramural Activities, Research Technology BILLING CODE 4140–01–P and Contract Review Branch, National Dated: January 27, 2020. Cancer Institute, NIH, Rockville, MD 20850, Tyeshia M. Roberson, DEPARTMENT OF HEALTH AND (240) 276–6384, [email protected]. Program Analyst, Office of Federal Advisory (Catalogue of Federal Domestic Assistance HUMAN SERVICES Committee Policy. Program Nos. 93.392, Cancer Construction; [FR Doc. 2020–01742 Filed 1–29–20; 8:45 am] 93.393, Cancer Cause and Prevention National Institutes of Health Research; 93.394, Cancer Detection and BILLING CODE 4140–01–P Diagnosis Research; 93.395, Cancer National Institute on Drug Abuse; Treatment Research; 93.396, Cancer Biology Notice of Closed Meetings Research; 93.397, Cancer Centers Support; DEPARTMENT OF HEALTH AND 93.398, Cancer Research Manpower; 93.399, Pursuant to section 10(d) of the HUMAN SERVICES Cancer Control, National Institutes of Health, Federal Advisory Committee Act, as HHS) amended, notice is hereby given of the National Institutes of Health Dated: January 27, 2020. following meetings. The meetings will be closed to the National Institute of Allergy and Melanie J. Pantoja, public in accordance with the Infectious Diseases; Notice of Closed Program Analyst, Office of Federal Advisory provisions set forth in sections Meeting Committee Policy. 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., Pursuant to section 10(d) of the [FR Doc. 2020–01737 Filed 1–29–20; 8:45 am] as amended. The grant applications and Federal Advisory Committee Act, as BILLING CODE 4140–01–P the discussions could disclose amended, notice is hereby given of the confidential trade secrets or commercial following meeting. DEPARTMENT OF HEALTH AND property such as patentable material, The meeting will be closed to the HUMAN SERVICES and personal information concerning public in accordance with the individuals associated with the grant provisions set forth in sections National Institutes of Health applications, the disclosure of which 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., would constitute a clearly unwarranted as amended. The grant applications and National Institute on Aging; Notice of invasion of personal privacy. the discussions could disclose Closed Meeting Name of Committee: National Institute on confidential trade secrets or commercial Pursuant to section 10(d) of the Drug Abuse Special Emphasis Panel; property such as patentable material, Federal Advisory Committee Act, as Leveraging Big Data Science to Elucidate the and personal information concerning Neural Mechanisms of Addiction and individuals associated with the grant amended, notice is hereby given of the Substance Use Disorder. following meeting. Date: February 26, 2020. applications, the disclosure of which The meeting will be closed to the Time: 10:00 a.m. to 3:00 p.m. would constitute a clearly unwarranted public in accordance with the Agenda: To review and evaluate grant invasion of personal privacy. provisions set forth in sections applications. Name of Committee: National Institute of 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., Place: National Institutes of Health, Allergy and Infectious Diseases Special as amended. The grant applications and Neuroscience Center Building (NSC), 6001 Emphasis Panel Immunobiology of the discussions could disclose Executive Boulevard, Rockville, MD 20852, Xenotransplantation (U01/U19, Clinical Trial confidential trade secrets or commercial (Telephone Conference Call). Not Allowed). property such as patentable material, Contact Person: Hiromi Ono, Ph.D., Date: February 24–25, 2020. and personal information concerning Scientific Review Officer, Office of Time: 10:00 a.m. to 5:00 p.m. Extramural Affairs, National Institute on Agenda: To review and evaluate grant individuals associated with the grant Drug Abuse, National Institutes of Health, applications, the disclosure of which applications. DHHS, 6001 Executive Boulevard, Room Place: National Institutes of Health, 5601 would constitute a clearly unwarranted 4238, MSC 9550, Bethesda, MD 20892, 301– Fishers Lane, Rockville, MD 20892, (Virtual invasion of personal privacy. 402–6020, [email protected]. Meeting). Name of Committee: National Institute on Name of Committee: National Institute on Contact Person: Zhuqing (Charlie) Li, Aging Special Emphasis Panel; GEMSSTAR. Drug Abuse Special Emphasis Panel; Ph.D., Scientific Review Officer, Scientific Date: March 2, 2020. Exploiting Genome or Epigenome Editing to Review Program, Division of Extramural Time: 8:30 a.m. to 6:00 p.m. Functionally Validate Genes or Variants Activities, National Institute of Allergy and Agenda: To review and evaluate grant Involved in Substance Use Disorders (R21/ Infectious Diseases, National Institutes of applications. R33) Clinical Trial Not Allowed. Health, 5601 Fishers Lane, Room 3G41B,
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MSC9823 Bethesda, MD 20892–9823, (240) DEPARTMENT OF HEALTH AND Dated: January 27, 2020. 669–5068, [email protected]. HUMAN SERVICES Melanie J. Pantoja, (Catalogue of Federal Domestic Assistance Program Analyst, Office of Federal Advisory Program Nos. 93.855, Allergy, Immunology, National Institutes of Health Committee Policy. and Transplantation Research; 93.856, [FR Doc. 2020–01744 Filed 1–29–20; 8:45 am] Microbiology and Infectious Diseases National Institute of Dental & BILLING CODE 4140–01–P Research, National Institutes of Health, HHS) Craniofacial Research; Notice of Closed Meetings Dated: January 24, 2020. DEPARTMENT OF HEALTH AND Tyeshia M. Roberson, Pursuant to section 10(d) of the HUMAN SERVICES Program Analyst, Office of Federal Advisory Federal Advisory Committee Act, as Committee Policy. amended, notice is hereby given of the National Institutes of Health [FR Doc. 2020–01641 Filed 1–29–20; 8:45 am] following meetings. National Eye Institute; Notice of Closed BILLING CODE 4140–01–P The meetings will be closed to the Meeting public in accordance with the provisions set forth in sections Pursuant to section 10(d) of the DEPARTMENT OF HEALTH AND 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., Federal Advisory Committee Act, as HUMAN SERVICES as amended. The grant applications and amended, notice is hereby given of the the discussions could disclose following meeting. National Institutes of Health confidential trade secrets or commercial The meeting will be closed to the property such as patentable material, public in accordance with the National Eye Institute; Notice of Closed provisions set forth in sections Meeting and personal information concerning individuals associated with the grant 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., applications, the disclosure of which as amended. The grant applications and Pursuant to section 10(d) of the the discussions could disclose Federal Advisory Committee Act, as would constitute a clearly unwarranted invasion of personal privacy. confidential trade secrets or commercial amended, notice is hereby given of the property such as patentable material, following meeting. Name of Committee: National Institute of and personal information concerning The meeting will be closed to the Dental and Craniofacial Research Special individuals associated with the grant Emphasis Panel; DSR Member Conflict. public in accordance with the applications, the disclosure of which Date: February 25, 2020. provisions set forth in sections would constitute a clearly unwarranted Time: 1:00 p.m. to 5:00 p.m. invasion of personal privacy. 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., Agenda: To review and evaluate grant as amended. The grant applications and applications. Name of Committee: National Eye Institute the discussions could disclose Place: National Institutes of Health, Special Emphasis Panel; NEI K Training confidential trade secrets or commercial National Institute of Dental and Craniofacial Grant Applications. Date: March 19, 2020. property such as patentable material, Research, 6701 Democracy Boulevard, Room Time: 9:30 a.m. to 4:00 p.m. and personal information concerning 651, Bethesda, MD 20892. Agenda: To review and evaluate grant individuals associated with the grant Contact Person: Yun Mei, MD, Scientific applications. applications, the disclosure of which Review Officer, Scientific Review Branch, Place: Hilton Garden Inn Bethesda, 7301 would constitute a clearly unwarranted National Institute of Dental and Craniofacial Waverly Street, Bethesda, MD 20814. invasion of personal privacy. Research, National Institutes of Health, 6701 Contact Person: Ashley Fortress, Ph.D., Democracy Boulevard, Suite #670, Bethesda, Scientific Review Officer, Division of Name of Committee: National Eye Institute MD 20892, (301) 827–4639, yun.mei@ Extramural Research, National Eye Institute, Special Emphasis Panel; NEI Center Core nih.gov. National Institutes of Health, 6700 B Grant for Vision Research (P30). Rockledge Dr., Ste 3400, Rockville, MD Date: March 4, 2020. Name of Committee: National Institute of 20892, 301–451–2020, ashley.fortress@ Time: 12:00 p.m. to 4:00 p.m. Dental and Craniofacial Research Special nih.gov. Emphasis Panel; Clinical Studies in the Agenda: To review and evaluate grant (Catalogue of Federal Domestic Assistance applications. National Dental Practice-Based Research Program Nos. 93.867, Vision Research, Place: National Eye Institute, 6700B Network. National Institutes of Health, HHS) Rockledge Drive, Bethesda, MD 20817 Date: March 6, 2020. Time: 1:00 p.m. to 5:00 p.m. Dated: January 27, 2020. (Virtual Meeting). Melanie J. Pantoja, Contact Person: Brian Hoshaw, Ph.D., Agenda: To review and evaluate cooperative agreement applications. Program Analyst, Office of Federal Advisory Acting Review Chief, National Eye Institute, Committee Policy. National Institutes of Health, Division of Place: National Institutes of Health, [FR Doc. 2020–01738 Filed 1–29–20; 8:45 am] Extramural Research, 6700 B Rockledge Dr., National Institute of Dental and Craniofacial Ste 3400, Rockville, MD 20892, 301–451– Research, 6701 Democracy Boulevard, Room BILLING CODE 4140–01–P 2020, [email protected]. 651, Bethesda, MD 20892 (Virtual Meeting). Contact Person: Jimok Kim, Ph.D., (Catalogue of Federal Domestic Assistance Scientific Review Officer, Scientific Review DEPARTMENT OF HEALTH AND Program Nos. 93.867, Vision Research, Branch, National Institute of Dental and HUMAN SERVICES National Institutes of Health, HHS) Craniofacial Research, National Institutes of Dated: January 27, 2020. Health, 6701 Democracy Boulevard, Suite National Institutes of Health 664, Bethesda, MD 20892, 301–402–8559, Melanie J. Pantoja, National Institute on Alcohol Abuse [email protected]. Program Analyst, Office of Federal Advisory and Alcoholism; Notice of Closed Committee Policy. (Catalogue of Federal Domestic Assistance Meeting [FR Doc. 2020–01739 Filed 1–29–20; 8:45 am] Program Nos. 93.121, Oral Diseases and Disorders Research, National Institutes of Pursuant to section 10(d) of the BILLING CODE 4140–01–P Health, HHS) Federal Advisory Committee Act, as
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amended, notice is hereby given of the reasonable accommodations, should This meeting notice is amended to following meeting. notify the Contact Person listed below change the meeting times. The meeting The meeting will be closed to the in advance of the meeting. will now be held from March 26, 2020, public in accordance with the Name of Committee: Center for Scientific 8:00 a.m. to March 27, 2020, 7:00 p.m. provisions set forth in sections Review Advisory Council. at the Marriott Bethesda North Hotel & 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., Date: March 30, 2020. Conference Center, 5701 Marinelli Rd., as amended. The grant applications and Time: 8:30 a.m. to 3:00 p.m. Rockville, MD 20850. The meeting is the discussions could disclose Agenda: Provide advice to the Director, closed to the public. confidential trade secrets or commercial Center for Scientific Review (CSR), on property such as patentable material, matters related to planning, execution, Dated: January 27, 2020. and personal information concerning conduct, support and evaluation of the Melanie J. Pantoja, receipt, referral and review of grant individuals associated with the grant applications at CSR. Program Analyst, Office of Federal Advisory applications, the disclosure of which Place: National Institutes of Health, 6700B Committee Policy. would constitute a clearly unwarranted Rockledge Drive, Conference Room A&B, [FR Doc. 2020–01736 Filed 1–29–20; 8:45 am] invasion of personal privacy. Bethesda, MD 20817. BILLING CODE 4140–01–P Name of Committee: National Institute on Contact Person: Bruce Reed, Ph.D., Deputy Alcohol Abuse and Alcoholism Special Director, Center for Scientific Review, Emphasis Panel; NIAAA Fellowship Review National Institutes of Health, 6701 Rockledge DEPARTMENT OF HEALTH AND Panel. Drive, Bethesda, MD 20892, (301) 594–9159, HUMAN SERVICES Date: April 3, 2020. [email protected]. Time: 8:00 a.m. to 5:00 p.m. Any interested person may file written National Institutes of Health Agenda: To review and evaluate grant comments with the committee by forwarding applications. the statement to the Contact Person listed on National Institute of Allergy and this notice. The statement should include the Place: National Institutes of Health, Infectious Diseases; Notice of Closed National Institute on Alcohol Abuse and name, address, telephone number and when Alcoholism, 6700B Rockledge Drive, applicable, the business or professional Meeting Conference Rooms B & C, Bethesda, MD affiliation of the interested person. 20817. In the interest of security, NIH has Pursuant to section 10(d) of the Contact Person: Luis Espinoza, Ph.D., instituted stringent procedures for entrance Federal Advisory Committee Act, as Scientific Review Officer, Extramural Project into NIH buildings. Visitors will be asked to amended, notice is hereby given of the Review Branch, Office of Extramural show one form of identification (for example, following meeting. Activities, National Institute on Alcohol a government-issued photo ID, driver’s Abuse and Alcoholism, 6700B Rockledge license, or passport) and to state the purpose The meeting will be closed to the Drive, Room 2109, Bethesda, MD 20892, of their visit. Information is also available on public in accordance with the (301) 443–8599, [email protected]. the Institute’s/Center’s home page: https:// provisions set forth in sections (Catalogue of Federal Domestic Assistance public.csr.nih.gov/AboutCSR/Organization/ 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., Program Nos. 93.271, Alcohol Research CSRAdvisoryCouncil, where an agenda and as amended. The grant applications and Career Development Awards for Scientists any additional information for the meeting will be posted when available. the discussions could disclose and Clinicians; 93.272, Alcohol National confidential trade secrets or commercial Research Service Awards for Research (Catalogue of Federal Domestic Assistance Training; 93.273, Alcohol Research Programs; Program Nos. 93.306, Comparative Medicine; property such as patentable material, 93.891, Alcohol Research Center Grants; 93.333, Clinical Research, 93.306, 93.333, and personal information concerning 93.701, ARRA Related Biomedical Research 93.337, 93.393–93.396, 93.837–93.844, individuals associated with the grant and Research Support Awards., National 93.846–93.878, 93.892, 93.893, National applications, the disclosure of which Institutes of Health, HHS) Institutes of Health, HHS) would constitute a clearly unwarranted Dated: January 27, 2020. Dated: January 24, 2020. invasion of personal privacy. Melanie J. Pantoja, Ronald J. Livingston, Jr., Name of Committee: National Institute of Program Analyst, Office of Federal Advisory Program Analyst, Office of Federal Advisory Allergy and Infectious Diseases Special Committee Policy. Committee Policy. Emphasis Panel NIAID Investigator Initiated [FR Doc. 2020–01740 Filed 1–29–20; 8:45 am] [FR Doc. 2020–01639 Filed 1–29–20; 8:45 am] Program Project Applications (P01). BILLING CODE 4140–01–P BILLING CODE 4140–01–P Date: March 12, 2020. Time: 11:00 a.m. to 4:00 p.m. Agenda: To review and evaluate grant DEPARTMENT OF HEALTH AND DEPARTMENT OF HEALTH AND applications. HUMAN SERVICES HUMAN SERVICES Place: National Institutes of Health 5601 Fishers Lane Rockville, MD 20892 National Institutes of Health National Institutes of Health (Telephone Conference Call). Contact Person: Sandip Bhattacharyya, Center for Scientific Review; Notice of National Cancer Institute Amended; Ph.D., Scientific Review Officer, Scientific Notice of Meeting Meeting Review Program, Division of Extramural Pursuant to section 10(a) of the Notice is hereby given of a change in Activities, National Institute of Allergy and Federal Advisory Committee Act, as the meeting of the National Cancer Infectious Diseases, National Institutes of amended, notice is hereby given of a Institute Special Emphasis Panel, March Health, 5601 Fishers Lane, Room 3G42, meeting of the Center for Scientific 26, 2020, 5:00 p.m. to March 27, 2020, MSC–9823, Rockville, MD 20852 Review Advisory Council. 4:00 p.m., Marriott Bethesda North [email protected]. The meeting will be open to the Hotel & Conference Hotel, 5701 (Catalogue of Federal Domestic Assistance public, with attendance limited to space Marinelli Rd., Rockville, MD 20850 Program Nos. 93.855, Allergy, Immunology, available. Individuals who plan to which was published in the Federal and Transplantation Research; 93.856, attend and need special assistance, such Register on December 16, 2019, 84 FR Microbiology and Infectious Diseases as sign language interpretation or other 68465. Research, National Institutes of Health, HHS)
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Dated: January 24, 2020. Place: National Institutes of Health, 6701 Time: 12:00 p.m. to 2:00 p.m. Tyeshia M. Roberson, Rockledge Drive, Bethesda, MD 20892 Agenda: To review and evaluate contract (Virtual Meeting). Program Analyst, Office of Federal Advisory proposals. Contact Person: Jian Cao, MD, Scientific Committee Policy. Place: National Institutes of Health, Review Officer, Center for Scientific Review, Neuroscience Center Building (NSC), 6001 [FR Doc. 2020–01640 Filed 1–29–20; 8:45 am] National Institutes of Health, 6701 Rockledge Executive Boulevard, Rockville, MD 20852 BILLING CODE 4140–01–P Drive, Bethesda, MD 20892, 301–827–5902, (Telephone Conference Call). [email protected]. Contact Person: Ipolia R. Ramadan, Ph.D., Name of Committee: Center for Scientific Scientific Review Officer, Office of DEPARTMENT OF HEALTH AND Review Special Emphasis Panel; RFA–NS– Extramural Policy and Review, Division of HUMAN SERVICES 20–004: Molecular Mechanisms of Blood- Extramural Research, National Institute on Brain Barrier Function and Dysfunction in Drug Abuse, NIH, DHHS, 6001 Executive National Institutes of Health Alzheimer’s Disease and Alzheimer’s Related Boulevard, Room 4228, MSC 95509529, Dementias (AD/ADRD). Bethesda, MD 20892, 301–827–4471, Center for Scientific Review; Notice of Date: February 26, 2020. [email protected]. Closed Meetings Time: 10:00 a.m. to 6:00 p.m. Name of Committee: National Institute on Agenda: To review and evaluate grant Drug Abuse Special Emphasis Panel; Phase II Pursuant to section 10(d) of the applications. Topic 163. Federal Advisory Committee Act, as Place: National Institutes of Health, 6701 Date: February 20, 2020. amended, notice is hereby given of the Rockledge Drive, Bethesda, MD 20892 Time: 10:00 a.m. to 12:00 p.m. following meetings. (Virtual Meeting). Agenda: To review and evaluate contract Contact Person: Linda MacArthur, Ph.D., proposals. The meetings will be closed to the Scientific Review Officer, Center for public in accordance with the Place: National Institutes of Health, Scientific Review, National Institutes of Neuroscience Center Building (NSC), 6001 provisions set forth in sections Health, 6701 Rockledge Drive, Room 4187, 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., Executive Boulevard, Rockville, MD 20852 Bethesda, MD 20892, 301–537–9986, (Telephone Conference Call). as amended. The grant applications and [email protected]. Contact Person: Susan O. McGuire, Ph.D., the discussions could disclose (Catalogue of Federal Domestic Assistance Scientific Review Officer, Office of confidential trade secrets or commercial Program Nos. 93.306, Comparative Medicine; Extramural Affairs, National Institute on property such as patentable material, 93.333, Clinical Research, 93.306, 93.333, Drug Abuse, National Institutes of Health, and personal information concerning 93.337, 93.393–93.396, 93.837–93.844, DHHS, 6001 Executive Blvd., Room 4245, individuals associated with the grant 93.846–93.878, 93.892, 93.893, National Rockville, MD 20852, 301–827–5817, applications, the disclosure of which Institutes of Health, HHS) [email protected]. would constitute a clearly unwarranted Dated: January 27, 2020. (Catalogue of Federal Domestic Assistance invasion of personal privacy. Melanie J. Pantoja, Program Nos. 93.279, Drug Abuse and Addiction Research Programs, National Program Analyst, Office of Federal Advisory Name of Committee: Center for Scientific Institutes of Health, HHS) Review Special Emphasis Panel; Hemostasis Committee Policy. and Thrombosis. [FR Doc. 2020–01735 Filed 1–29–20; 8:45 am] Dated: January 27, 2020. Date: February 21, 2020. BILLING CODE 4140–01–P Tyeshia M. Roberson, Time: 8:00 a.m. to 6:00 p.m. Program Analyst, Office of Federal Advisory Agenda: To review and evaluate grant Committee Policy. applications. DEPARTMENT OF HEALTH AND [FR Doc. 2020–01743 Filed 1–29–20; 8:45 am] Place: Canopy by Hilton, 940 Rose Avenue, HUMAN SERVICES North Bethesda, MD 20852. BILLING CODE 4140–01–P Contact Person: Larry Pinkus, Ph.D., National Institutes of Health Scientific Review Officer, Center for DEPARTMENT OF HEALTH AND Scientific Review, National Institutes of National Institute on Drug Abuse; Health, 6701 Rockledge Drive, Room 4132, HUMAN SERVICES MSC 7802, Bethesda, MD 20892, (301) 435– Notice of Closed Meetings 1214, [email protected]. Pursuant to section 10(d) of the National Institutes of Health Name of Committee: Center for Scientific Federal Advisory Committee Act, as National Institute of Arthritis and Review Special Emphasis Panel; PAR–17– amended, notice is hereby given of the 240: Innovative Research in Cancer Musculoskeletal and Skin Diseases; following meetings. Notice of Closed Meetings Nanotechnology. The meetings will be closed to the Date: February 25, 2020. public in accordance with the Time: 7:00 a.m. to 6:00 p.m. Pursuant to section 10(d) of the provisions set forth in sections Agenda: To review and evaluate grant Federal Advisory Committee Act, as 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., applications. amended, notice is hereby given of the as amended. The contract proposals and Place: Melrose Hotel, 2430 Pennsylvania following meetings. Ave. NW, Washington, DC 20037. the discussions could disclose Contact Person: Amy Kathleen Wernimont, confidential trade secrets or commercial The meetings will be closed to the Ph.D., Scientific Review Officer, Center for property such as patentable material, public in accordance with the Scientific Review, National Institutes of and personal information concerning provisions set forth in sections Health, 6701 Rockledge Drive, Room 6198, individuals associated with the contract 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., Bethesda, MD 20892, 301–827–6427, as amended. The grant applications and [email protected]. proposals, the disclosure of which would constitute a clearly unwarranted the discussions could disclose Name of Committee: Center for Scientific invasion of personal privacy. confidential trade secrets or commercial Review Special Emphasis Panel; PAR Panel: property such as patentable material, Academic Research Enhancement Award Name of Committee: National Institute on (AREA). Drug Abuse Special Emphasis Panel; SBIR and personal information concerning Date: February 25, 2020. Phase II, Topic 164: Development of Portable individuals associated with the grant Time: 1:00 p.m. to 5:30 p.m. Neuromodulatory Devices for the Treatment applications, the disclosure of which Agenda: To review and evaluate grant of Substance Use Disorders (8948). would constitute a clearly unwarranted applications. Date: February 19, 2020. invasion of personal privacy.
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Name of Committee: National Institute of Contact Person: Yin Liu, Ph.D., M.D., All submissions received must Arthritis and Musculoskeletal and Skin Scientific Review Branch, National Institute include the agency name and Docket ID. Diseases Special Emphasis Panel: NIAMS of Health, National Institute of Arthritis, Regardless of the method used for AMS Member SEP Conflict Review Meeting. Musculoskeletal and Skin Diseases, 6701 submitting comments or material, all Democracy Boulevard, Suite 824, Bethesda, Date: February 25, 2020. submissions will be posted, without Time: 2:00 p.m. to 4:00 p.m. MD 20892, (301) 594–8919, liuy@ Agenda: To review and evaluate grant mail.nih.gov. change, to the Federal eRulemaking applications. (Catalogue of Federal Domestic Assistance Portal at http://www.regulations.gov, Place: National Institute of Arthritis, Program Nos. 93.846, Arthritis, and will include any personal Musculoskeletal and Skin Diseases, National Musculoskeletal and Skin Diseases Research, information you provide. Therefore, Institutes of Health, 6701 Democracy National Institutes of Health, HHS) submitting this information makes it Boulevard, Suite 816, Bethesda, MD 20892 Dated: January 27, 2020. public. You may wish to read the (Telephone Conference Call). Privacy and Security Notice that is Miguelina Perez, Contact Person: Nakia C. Brown, Ph.D., available via a link on the homepage of Scientific Review Officer, Scientific Review Program Analyst, Office of Federal Advisory www.regulations.gov. Branch, National Institute of Arthritis, Committee Policy. FOR FURTHER INFORMATION CONTACT: Musculoskeletal and Skin Diseases, National [FR Doc. 2020–01741 Filed 1–29–20; 8:45 am] Institutes of Health, 6701 Democracy Kristin Brooks, Statistician, Customer BILLING CODE 4140–01–P Boulevard, Room 816, Bethesda, MD 20892, Survey Analysis Section, Reporting and (301) 827–4905, [email protected]. Analytics Division, Recovery Name of Committee: National Institute of Directorate, at (940) 891–8579 or Arthritis and Musculoskeletal and Skin DEPARTMENT OF HOMELAND [email protected]. You may Diseases Special Emphasis Panel: NIAMS SECURITY contact the Information Management AMSC Member Conflict Panel. Division for copies of the proposed Date: March 11, 2020. Federal Emergency Management collection of information at email Time: 11:00 a.m. to 12:00 p.m. Agency Agenda: To review and evaluate grant address: FEMA-Information-Collections- applications. [Docket ID: FEMA–2020–0004; OMB No. [email protected]. Place: National Institute of Arthritis, 1660–0107] SUPPLEMENTARY INFORMATION: This Musculoskeletal and Skin Diseases, National collection is in accordance with Institutes of Health, 6701 Democracy Agency Information Collection Executive Orders 12862 and 13571 Boulevard, Suite 812, Bethesda, MD 20892 Activities: Proposed Collection; requiring all Federal agencies to survey (Telephone Conference Call). Comment Request; FEMA Public customers to determine the kind and Contact Person: Kan Ma, Ph.D., Scientific Assistance Customer Satisfaction quality of services they want and their Review Officer, Scientific Review Branch, Surveys National Institute of Arthritis, level of satisfaction with existing services. The Government Performance Musculoskeletal and Skin Diseases, National AGENCY: Federal Emergency and Results Act of 1993 (GPRA) requires Institutes of Health, 6701 Democracy Management Agency, DHS. Boulevard, Suite 812, Bethesda, MD 20892, Federal agencies to set missions and (301) 451–4838, [email protected]. ACTION: Notice and request for goals and to measure agency Name of Committee: National Institute of comments. performance against them. See Public Arthritis and Musculoskeletal and Skin Law 103–62, 107 Stat 285 (1993). The SUMMARY: Diseases Special Emphasis Panel: NIAMS The Federal Emergency Management Agency, as part of its GPRA Modernization Act of 2010 RISK R61 Skin and Rheumatic Disease requires quarterly performance Review Meeting. continuing effort to reduce paperwork and respondent burden, invites the assessments of government programs for Date: March 27, 2020. the purposes of assessing agency Time: 8:00 a.m. to 5:00 p.m. general public to take this opportunity Agenda: To review and evaluate grant to comment on a revision of a currently performance and improvement. See applications. approved information collection. In Public Law 111–352, 124 Stat 3875 Place: National Institute of Arthritis, accordance with the Paperwork (2011). The Federal Emergency Musculoskeletal and Skin Diseases, National Reduction Act of 1995, this notice seeks Management Agency fulfills these Institutes of Health, 6701 Democracy requirements by collecting customer Boulevard, Suite 600, Room 602, Bethesda, comments concerning the collection of Public Assistance customer satisfaction satisfaction program information MD 20892. through surveys of States, Local and Contact Person: Kan Ma, Ph.D., Scientific survey responses and information for assessment and improvement of the Tribal governments, and eligible non- Review Officer, Scientific Review Branch, profit organizations. National Institute of Arthritis, delivery of disaster assistance to States, Musculoskeletal and Skin Diseases, National Local and Tribal governments, and Collection of Information Institutes of Health, 6701 Democracy eligible non-profit organizations. Boulevard, Suite 812, Bethesda, MD 20892, Title: FEMA Public Assistance DATES: (301) 451–4838, [email protected]. Comments must be submitted on Customer Satisfaction Surveys. or before March 30, 2020. Name of Committee: National Institute of Type of Information Collection: Arthritis and Musculoskeletal and Skin ADDRESSES: To avoid duplicate Revision of a currently approved Diseases Special Emphasis Panel: NIAMS submissions to the docket, please use information collection. RISK R61 Musculoskeletal Diseases (MSK) only one of the following means to OMB Number: 1660–0107. Review Meeting. submit comments: FEMA Forms: FEMA Form 519–0–32, Date: March 31, 2020. (1) Online. Submit comments at Public Assistance Initial Customer Time: 8:00 a.m. to 5:00 p.m. www.regulations.gov under Docket ID Satisfaction Survey (Telephone); FEMA Agenda: To review and evaluate grant FEMA–2020–0004. Follow the Form 519–0–33, Public Assistance applications. Place: National Institute of Arthritis, instructions for submitting comments. Initial Customer Satisfaction Survey Musculoskeletal and Skin Diseases, National (2) Mail. Submit written comments to (internet); FEMA Form 519–0–34, Institutes of Health, 6701 Democracy Docket Manager, Office of Chief Public Assistance Assessment Customer Boulevard, Suite 800, Room 803, Bethesda, Counsel, DHS/FEMA, 500 C Street SW, Satisfaction Survey (Telephone); FEMA MD 20892. 8NE, Washington, DC 20472–3100. Form 519–0–35, Public Assistance
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Assessment Customer Satisfaction DEPARTMENT OF THE INTERIOR Dated: January 6, 2020. Survey (internet). Tara Sweeney, Abstract: Federal agencies are Bureau of Indian Affairs Assistant Secretary—Indian Affairs. required to survey their customers to Indian Entities Recognized by and Indian Tribal Entities Within The determine the kind and quality of Eligible To Receive Services From the Contiguous 48 States Recognized by services customers want and their level United States Bureau of Indian Affairs and Eligible To Receive Services From of satisfaction with those services. the United States Bureau of Indian FEMA managers use the survey results AGENCY: Bureau of Indian Affairs, Affairs to measure performance against Interior. Absentee-Shawnee Tribe of Indians of standards for performance and customer Oklahoma ACTION: service, measure achievement of Notice. Agua Caliente Band of Cahuilla Indians strategic planning objectives, and of the Agua Caliente Indian generally gauge and make SUMMARY: This notice publishes the Reservation, California improvements to disaster service that current list of 574 Tribal entities Ak-Chin Indian Community (previously increase customer satisfaction. recognized by and eligible for funding listed as Ak Chin Indian Community Affected Public: Not-for-profit and services from the Bureau of Indian of the Maricopa (Ak Chin) Indian institutions, State, Local, or Tribal Affairs (BIA) by virtue of their status as Reservation, Arizona) government. Indian Tribes. The list is updated from Alabama-Coushatta Tribe of Texas Estimated Number of Respondents: the notice published on February 1, (previously listed as Alabama- 4,034. 2019 (84 FR 1200). Coushatta Tribes of Texas) Alabama-Quassarte Tribal Town Estimated Number of Responses: FOR FURTHER INFORMATION CONTACT: Ms. Alturas Indian Rancheria, California 4,034. Laurel Iron Cloud, Bureau of Indian Apache Tribe of Oklahoma Estimated Total Annual Burden Affairs, Division of Tribal Government Arapaho Tribe of the Wind River Hours: 1,902. Services, Mail Stop 3645–MIB, 1849 C Reservation, Wyoming Street NW, Washington, DC 20240. Aroostook Band of Micmacs (previously Estimated Total Annual Respondent Telephone number: (202) 513–7641. listed as Aroostook Band of Micmac Cost: $110,371.31. Indians) Estimated Respondents’ Operation SUPPLEMENTARY INFORMATION: This Assiniboine and Sioux Tribes of the Fort and Maintenance Costs: $12,420.00. notice is published pursuant to Section Peck Indian Reservation, Montana 104 of the Act of November 2, 1994 Augustine Band of Cahuilla Indians, Estimated Respondents’ Capital and (Pub. L. 103–454; 108 Stat. 4791, 4792), California (previously listed as Start-Up Costs: N/A. and in exercise of authority delegated to Augustine Band of Cahuilla Mission Estimated Total Annual Cost to the the Assistant Secretary—Indian Affairs Indians of the Augustine Reservation) Federal Government: $775,261.11. under 25 U.S.C. 2 and 9 and 209 DM 8. Bad River Band of the Lake Superior Tribe of Chippewa Indians of the Bad Comments Published below is an updated list of federally acknowledged Indian Tribes in River Reservation, Wisconsin Comments may be submitted as the contiguous 48 states and Alaska. Bay Mills Indian Community, Michigan Bear River Band of the Rohnerville indicated in the ADDRESSES caption This list includes the addition of the Rancheria, California above. Comments are solicited to (a) Little Shell Tribe of Chippewa Indians Berry Creek Rancheria of Maidu Indians evaluate whether the proposed data of Montana. Other amendments to the of California collection is necessary for the proper list include formatting edits, name Big Lagoon Rancheria, California performance of the agency, including changes, and name corrections. Big Pine Paiute Tribe of the Owens whether the information shall have To aid in identifying Tribal name Valley (previously listed as Big Pine practical utility; (b) evaluate the changes and corrections, the Tribe’s Band of Owens Valley Paiute accuracy of the agency’s estimate of the previously listed or former name is Shoshone Indians of the Big Pine burden of the proposed collection of Reservation, California) information, including the validity of included in parentheses after the correct current Tribal name. We will continue Big Sandy Rancheria of Western Mono the methodology and assumptions used; Indians of California (previously to list the Tribe’s former or previously (c) enhance the quality, utility, and listed as Big Sandy Rancheria of listed name for several years before clarity of the information to be Mono Indians of California) collected; and (d) minimize the burden dropping the former or previously listed Big Valley Band of Pomo Indians of the of the collection of information on those name from the list. Big Valley Rancheria, California who are to respond, including through The listed Indian entities are Bishop Paiute Tribe (previously listed as the use of appropriate automated, acknowledged to have the immunities Paiute-Shoshone Indians of the electronic, mechanical, or other and privileges available to federally Bishop Community of the Bishop technological collection techniques or recognized Indian Tribes by virtue of Colony, California) other forms of information technology, their government-to-government Blackfeet Tribe of the Blackfeet Indian e.g., permitting electronic submission of relationship with the United States as Reservation of Montana responses. well as the responsibilities, powers, Blue Lake Rancheria, California Bridgeport Indian Colony (previously Maile Arthur, limitations, and obligations of such listed as Bridgeport Paiute Indian Records Management Branch Chief, Office Tribes. We have continued the practice Colony of California) of the Chief Administrative Officer, Mission of listing the Alaska Native entities Buena Vista Rancheria of Me-Wuk Support, Federal Emergency Management separately for the purpose of facilitating Indians of California Agency, Department of Homeland Security. identification of them. Burns Paiute Tribe (previously listed as [FR Doc. 2020–01656 Filed 1–29–20; 8:45 am] Burns Paiute Tribe of the Burns Paiute BILLING CODE 9111–23–P Indian Colony of Oregon)
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Cabazon Band of Mission Indians, Confederated Tribes of the Siletz Fort McDowell Yavapai Nation, Arizona California Reservation) Fort Mojave Indian Tribe of Arizona, Cachil DeHe Band of Wintun Indians of Confederated Tribes of the Chehalis California & Nevada the Colusa Indian Community of the Reservation Fort Sill Apache Tribe of Oklahoma Colusa Rancheria, California Confederated Tribes of the Colville Gila River Indian Community of the Gila Caddo Nation of Oklahoma Reservation River Indian Reservation, Arizona Cahto Tribe of the Laytonville Rancheria Confederated Tribes of the Coos, Lower Grand Traverse Band of Ottawa and Cahuilla Band of Indians (previously Umpqua and Siuslaw Indians Chippewa Indians, Michigan listed as Cahuilla Band of Mission Confederated Tribes of the Goshute Greenville Rancheria (previously listed Indians of the Cahuilla Reservation, Reservation, Nevada and Utah as Greenville Rancheria of Maidu California) Confederated Tribes of the Grand Ronde Indians of California) California Valley Miwok Tribe, Community of Oregon Grindstone Indian Rancheria of Wintun- California Confederated Tribes of the Umatilla Wailaki Indians of California Campo Band of Diegueno Mission Indian Reservation (previously listed Guidiville Rancheria of California Indians of the Campo Indian as Confederated Tribes of the Umatilla Habematolel Pomo of Upper Lake, Reservation, California Reservation, Oregon) California Capitan Grande Band of Diegueno Confederated Tribes of the Warm Hannahville Indian Community, Mission Indians of California (Barona Springs Reservation of Oregon Michigan Coquille Indian Tribe (previously listed Group of Capitan Grande Band of Havasupai Tribe of the Havasupai as Coquille Tribe of Oregon) Mission Indians of the Barona Reservation, Arizona Reservation, California; Viejas (Baron Coushatta Tribe of Louisiana Cow Creek Band of Umpqua Tribe of Ho-Chunk Nation of Wisconsin Long) Group of Capitan Grande Band Indians (previously listed as Cow Hoh Indian Tribe (previously listed as of Mission Indians of the Viejas Creek Band of Umpqua Indians of Hoh Indian Tribe of the Hoh Indian Reservation, California) Oregon) Reservation, Washington) Catawba Indian Nation (aka Catawba Cowlitz Indian Tribe Hoopa Valley Tribe, California Tribe of South Carolina) Coyote Valley Band of Pomo Indians of Hopi Tribe of Arizona Cayuga Nation California Hopland Band of Pomo Indians, Cedarville Rancheria, California Crow Creek Sioux Tribe of the Crow California (previously listed as Chemehuevi Indian Tribe of the Creek Reservation, South Dakota Hopland Band of Pomo Indians of the Chemehuevi Reservation, California Crow Tribe of Montana Hopland Rancheria, California) Cher-Ae Heights Indian Community of Delaware Nation, Oklahoma Houlton Band of Maliseet Indians the Trinidad Rancheria, California Delaware Tribe of Indians Hualapai Indian Tribe of the Hualapai Cherokee Nation Dry Creek Rancheria Band of Pomo Indian Reservation, Arizona Cheyenne and Arapaho Tribes, Indians, California (previously listed Iipay Nation of Santa Ysabel, California Oklahoma (previously listed as as Dry Creek Rancheria of Pomo (previously listed as Santa Ysabel Cheyenne-Arapaho Tribes of Indians of California) Band of Diegueno Mission Indians of Oklahoma) Duckwater Shoshone Tribe of the the Santa Ysabel Reservation) Cheyenne River Sioux Tribe of the Duckwater Reservation, Nevada Inaja Band of Diegueno Mission Indians Cheyenne River Reservation, South Eastern Band of Cherokee Indians of the Inaja and Cosmit Reservation, Dakota Eastern Shawnee Tribe of Oklahoma California Chickahominy Indian Tribe Eastern Shoshone Tribe of the Wind Ione Band of Miwok Indians of Chickahominy Indian Tribe—Eastern River Reservation, Wyoming California Division (previously listed as Shoshone Tribe Chicken Ranch Rancheria of Me-Wuk Iowa Tribe of Kansas and Nebraska of the Wind River Reservation, Iowa Tribe of Oklahoma Indians of California Wyoming) Chippewa Cree Indians of the Rocky Jackson Band of Miwuk Indians Elem Indian Colony of Pomo Indians of (previously listed as Jackson Boy’s Reservation, Montana the Sulphur Bank Rancheria, (previously listed as Chippewa-Cree Rancheria of Me-Wuk Indians of California California) Indians of the Rocky Boy’s Elk Valley Rancheria, California Jamestown S’Klallam Tribe Reservation, Montana) Ely Shoshone Tribe of Nevada Chitimacha Tribe of Louisiana Enterprise Rancheria of Maidu Indians Jamul Indian Village of California Citizen Potawatomi Nation, Oklahoma of California Jena Band of Choctaw Indians Cloverdale Rancheria of Pomo Indians Ewiiaapaayp Band of Kumeyaay Jicarilla Apache Nation, New Mexico of California Indians, California Kaibab Band of Paiute Indians of the Cocopah Tribe of Arizona Federated Indians of Graton Rancheria, Kaibab Indian Reservation, Arizona Coeur D’Alene Tribe (previously listed California Kalispel Indian Community of the as Coeur D’Alene Tribe of the Coeur Flandreau Santee Sioux Tribe of South Kalispel Reservation D’Alene Reservation, Idaho) Dakota Karuk Tribe (previously listed as Karuk Cold Springs Rancheria of Mono Indians Forest County Potawatomi Community, Tribe of California) of California Wisconsin Kashia Band of Pomo Indians of the Colorado River Indian Tribes of the Fort Belknap Indian Community of the Stewarts Point Rancheria, California Colorado River Indian Reservation, Fort Belknap Reservation of Montana Kaw Nation, Oklahoma Arizona and California Fort Bidwell Indian Community of the Kewa Pueblo, New Mexico (previously Comanche Nation, Oklahoma Fort Bidwell Reservation of California listed as Pueblo of Santo Domingo) Confederated Salish and Kootenai Fort Independence Indian Community Keweenaw Bay Indian Community, Tribes of the Flathead Reservation of Paiute Indians of the Fort Michigan Confederated Tribes and Bands of the Independence Reservation, California Kialegee Tribal Town Yakama Nation Fort McDermitt Paiute and Shoshone Kickapoo Traditional Tribe of Texas Confederated Tribes of Siletz Indians of Tribes of the Fort McDermitt Indian Kickapoo Tribe of Indians of the Oregon (previously listed as Reservation, Nevada and Oregon Kickapoo Reservation in Kansas
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Kickapoo Tribe of Oklahoma Mashpee Wampanoag Tribe (previously Ohkay Owingeh, New Mexico Kiowa Indian Tribe of Oklahoma listed as Mashpee Wampanoag Indian (previously listed as Pueblo of San Klamath Tribes Tribal Council, Inc.) Juan) Kletsel Dehe Band of Wintun Indians Match-e-be-nash-she-wish Band of Omaha Tribe of Nebraska (previously listed as Cortina Indian Pottawatomi Indians of Michigan Oneida Nation (previously listed as Rancheria and the Cortina Indian Mechoopda Indian Tribe of Chico Oneida Tribe of Indians of Wisconsin) Rancheria of Wintun Indians of Rancheria, California Oneida Indian Nation (previously listed California) Menominee Indian Tribe of Wisconsin as Oneida Nation of New York) Koi Nation of Northern California Mesa Grande Band of Diegueno Mission Onondaga Nation (previously listed as Lower Lake Indians of the Mesa Grande Otoe-Missouria Tribe of Indians, Rancheria, California) Reservation, California Oklahoma Kootenai Tribe of Idaho Mescalero Apache Tribe of the Ottawa Tribe of Oklahoma La Jolla Band of Luiseno Indians, Mescalero Reservation, New Mexico Paiute Indian Tribe of Utah (Cedar Band California (previously listed as La Miami Tribe of Oklahoma of Paiutes, Kanosh Band of Paiutes, Jolla Band of Luiseno Mission Indians Miccosukee Tribe of Indians Koosharem Band of Paiutes, Indian of the La Jolla Reservation) Middletown Rancheria of Pomo Indians Peaks Band of Paiutes, and Shivwits La Posta Band of Diegueno Mission of California Band of Paiutes (previously listed as Indians of the La Posta Indian Minnesota Chippewa Tribe, Minnesota Paiute Indian Tribe of Utah (Cedar Reservation, California (Six component reservations: Bois City Band of Paiutes, Kanosh Band of Lac Courte Oreilles Band of Lake Forte Band (Nett Lake); Fond du Lac Paiutes, Koosharem Band of Paiutes, Superior Chippewa Indians of Band; Grand Portage Band; Leech Indian Peaks Band of Paiutes, and Wisconsin Lake Band; Mille Lacs Band; White Shivwits Band of Paiutes)) Lac du Flambeau Band of Lake Superior Earth Band) Paiute-Shoshone Tribe of the Fallon Chippewa Indians of the Lac du Mississippi Band of Choctaw Indians Reservation and Colony, Nevada Moapa Band of Paiute Indians of the Flambeau Reservation of Wisconsin Pala Band of Mission Indians Moapa River Indian Reservation, Lac Vieux Desert Band of Lake Superior (previously listed as Pala Band of Nevada Chippewa Indians of Michigan Luiseno Mission Indians of the Pala Las Vegas Tribe of Paiute Indians of the Modoc Nation (previously listed as The Reservation, California) Las Vegas Indian Colony, Nevada Modoc Tribe of Oklahoma) Pamunkey Indian Tribe Little River Band of Ottawa Indians, Mohegan Tribe of Indians of Pascua Yaqui Tribe of Arizona Michigan Connecticut (previously listed as Paskenta Band of Nomlaki Indians of Little Shell Tribe of Chippewa Indians Mohegan Indian Tribe of Connecticut) California of Montana Monacan Indian Nation Little Traverse Bay Bands of Odawa Mooretown Rancheria of Maidu Indians Passamaquoddy Tribe Pauma Band of Luiseno Mission Indians Indians, Michigan of California Lone Pine Paiute-Shoshone Tribe Morongo Band of Mission Indians, of the Pauma & Yuima Reservation, (previously listed as Paiute-Shoshone California (previously listed as California Indians of the Lone Pine Community Morongo Band of Cahuilla Mission Pawnee Nation of Oklahoma of the Lone Pine Reservation, Indians of the Morongo Reservation) Pechanga Band of Luiseno Mission California) Muckleshoot Indian Tribe (previously Indians of the Pechanga Reservation, Los Coyotes Band of Cahuilla and listed as Muckleshoot Indian Tribe of California Cupeno Indians, California the Muckleshoot Reservation, Penobscot Nation (previously listed as (previously listed as Los Coyotes Washington) Penobscot Tribe of Maine) Band of Cahuilla & Cupeno Indians of Nansemond Indian Nation (previously Peoria Tribe of Indians of Oklahoma Picayune Rancheria of Chukchansi the Los Coyotes Reservation) listed as Nansemond Indian Tribe) Lovelock Paiute Tribe of the Lovelock Narragansett Indian Tribe Indians of California Indian Colony, Nevada Navajo Nation, Arizona, New Mexico & Pinoleville Pomo Nation, California Lower Brule Sioux Tribe of the Lower Utah (previously listed as Pinoleville Brule Reservation, South Dakota Nez Perce Tribe (previously listed as Rancheria of Pomo Indians of Lower Elwha Tribal Community Nez Perce Tribe of Idaho) California) (previously listed as Lower Elwha Nisqually Indian Tribe (previously Pit River Tribe, California (includes XL Tribal Community of the Lower listed as Nisqually Indian Tribe of the Ranch, Big Bend, Likely, Lookout, Elwha Reservation, Washington) Nisqually Reservation, Washington) Montgomery Creek and Roaring Creek Lower Sioux Indian Community in the Nooksack Indian Tribe Rancherias) State of Minnesota Northern Cheyenne Tribe of the Poarch Band of Creeks (previously listed Lummi Tribe of the Lummi Reservation Northern Cheyenne Indian as Poarch Band of Creek Indians of Lytton Rancheria of California Reservation, Montana Alabama) Makah Indian Tribe of the Makah Indian Northfork Rancheria of Mono Indians of Pokagon Band of Potawatomi Indians, Reservation California Michigan and Indiana Manchester Band of Pomo Indians of the Northwestern Band of the Shoshone Ponca Tribe of Indians of Oklahoma Manchester Rancheria, California Nation (previously listed as Ponca Tribe of Nebraska (previously listed as Manchester Band Northwestern Band of Shoshoni Port Gamble S’Klallam Tribe (previously of Pomo Indians of the Manchester- Nation and the Northwestern Band of listed as Port Gamble Band of Point Arena Rancheria, California) Shoshoni Nation of Utah (Washakie)) S’Klallam Indians) Manzanita Band of Diegueno Mission Nottawaseppi Huron Band of the Potter Valley Tribe, California Indians of the Manzanita Reservation, Potawatomi, Michigan (previously Prairie Band Potawatomi Nation California listed as Huron Potawatomi, Inc.) (previously listed as Prairie Band of Mashantucket Pequot Indian Tribe Oglala Sioux Tribe (previously listed as Potawatomi Nation, Kansas) (previously listed as Mashantucket Oglala Sioux Tribe of the Pine Ridge Prairie Island Indian Community in the Pequot Tribe of Connecticut) Reservation, South Dakota) State of Minnesota
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Pueblo of Acoma, New Mexico Saginaw Chippewa Indian Tribe of Snoqualmie Indian Tribe (previously Pueblo of Cochiti, New Mexico Michigan listed as Snoqualmie Tribe, Pueblo of Isleta, New Mexico Saint Regis Mohawk Tribe (previously Washington) Pueblo of Jemez, New Mexico listed as St. Regis Band of Mohawk Soboba Band of Luiseno Indians, Pueblo of Laguna, New Mexico Indians of New York) California Pueblo of Nambe, New Mexico Salt River Pima-Maricopa Indian Sokaogon Chippewa Community, Pueblo of Picuris, New Mexico Community of the Salt River Wisconsin Pueblo of Pojoaque, New Mexico Reservation, Arizona Southern Ute Indian Tribe of the Pueblo of San Felipe, New Mexico Samish Indian Nation (previously listed Southern Ute Reservation, Colorado Pueblo of San Ildefonso, New Mexico as Samish Indian Tribe, Washington) Spirit Lake Tribe, North Dakota Pueblo of Sandia, New Mexico San Carlos Apache Tribe of the San Spokane Tribe of the Spokane Pueblo of Santa Ana, New Mexico Carlos Reservation, Arizona Reservation Pueblo of Santa Clara, New Mexico San Juan Southern Paiute Tribe of Squaxin Island Tribe of the Squaxin Pueblo of Taos, New Mexico Arizona Island Reservation Pueblo of Tesuque, New Mexico San Manuel Band of Mission Indians, St. Croix Chippewa Indians of Pueblo of Zia, New Mexico California (previously listed as San Wisconsin Puyallup Tribe of the Puyallup Manual Band of Serrano Mission Standing Rock Sioux Tribe of North & Reservation Indians of the San Manual South Dakota Pyramid Lake Paiute Tribe of the Reservation) Stillaguamish Tribe of Indians of Pyramid Lake Reservation, Nevada San Pasqual Band of Diegueno Mission Washington (previously listed as Quapaw Nation (previously listed as Indians of California Stillaguamish Tribe of Washington) Stockbridge Munsee Community, The Quapaw Tribe of Indians) Santa Rosa Band of Cahuilla Indians, California (previously listed as Santa Wisconsin Quartz Valley Indian Community of the Summit Lake Paiute Tribe of Nevada Rosa Band of Cahuilla Mission Quartz Valley Reservation of Suquamish Indian Tribe of the Port Indians of the Santa Rosa Reservation) California Madison Reservation Quechan Tribe of the Fort Yuma Indian Santa Rosa Indian Community of the Susanville Indian Rancheria, California Reservation, California & Arizona Santa Rosa Rancheria, California Swinomish Indian Tribal Community Quileute Tribe of the Quileute Santa Ynez Band of Chumash Mission (previously listed as Swinomish Reservation Indians of the Santa Ynez Indians of the Swinomish Reservation Quinault Indian Nation (previously Reservation, California of Washington) listed as Quinault Tribe of the Santee Sioux Nation, Nebraska Sycuan Band of the Kumeyaay Nation Quinault Reservation, Washington) Sauk-Suiattle Indian Tribe Table Mountain Rancheria (previously Ramona Band of Cahuilla, California Sault Ste. Marie Tribe of Chippewa listed as Table Mountain Rancheria of (previously listed as Ramona Band or Indians, Michigan California) Village of Cahuilla Mission Indians of Scotts Valley Band of Pomo Indians of Tejon Indian Tribe California) California Te-Moak Tribe of Western Shoshone Seminole Tribe of Florida (previously Rappahannock Tribe, Inc. Indians of Nevada (Four constituent listed as Seminole Tribe of Florida Red Cliff Band of Lake Superior bands: Battle Mountain Band; Elko (Dania, Big Cypress, Brighton, Chippewa Indians of Wisconsin Band; South Fork Band and Wells Red Lake Band of Chippewa Indians, Hollywood & Tampa Reservations)) Band) Seneca Nation of Indians (previously Minnesota The Chickasaw Nation listed as Seneca Nation of New York) Redding Rancheria, California The Choctaw Nation of Oklahoma Seneca-Cayuga Nation (previously listed Redwood Valley or Little River Band of The Muscogee (Creek) Nation as Seneca-Cayuga Tribe of Oklahoma) Pomo Indians of the Redwood Valley The Osage Nation (previously listed as Shakopee Mdewakanton Sioux Osage Tribe) Rancheria California (previously Community of Minnesota listed as Redwood Valley Rancheria of The Seminole Nation of Oklahoma Shawnee Tribe Thlopthlocco Tribal Town Pomo Indians of California) Sherwood Valley Rancheria of Pomo Three Affiliated Tribes of the Fort Reno-Sparks Indian Colony, Nevada Indians of California Berthold Reservation, North Dakota Resighini Rancheria, California Shingle Springs Band of Miwok Indians, Timbisha Shoshone Tribe (previously Rincon Band of Luiseno Mission Shingle Springs Rancheria (Verona listed as Death Valley Timbi-sha Indians of Rincon Reservation, Tract), California Shoshone Tribe and the Death Valley California Shinnecock Indian Nation Timbi-Sha Shoshone Band of Robinson Rancheria (previously listed Shoalwater Bay Indian Tribe of the California) as Robinson Rancheria Band of Pomo Shoalwater Bay Indian Reservation Tohono O’odham Nation of Arizona Indians, California and the Robinson (previously listed as Shoalwater Bay Tolowa Dee-ni’ Nation (previously Rancheria of Pomo Indians of Tribe of the Shoalwater Bay Indian listed as Smith River Rancheria, California) Reservation, Washington) California) Rosebud Sioux Tribe of the Rosebud Shoshone-Bannock Tribes of the Fort Tonawanda Band of Seneca (previously Indian Reservation, South Dakota Hall Reservation listed as Tonawanda Band of Seneca Round Valley Indian Tribes, Round Shoshone-Paiute Tribes of the Duck Indians of New York) Valley Reservation, California Valley Reservation, Nevada Tonkawa Tribe of Indians of Oklahoma (previously listed as Round Valley Sisseton-Wahpeton Oyate of the Lake Tonto Apache Tribe of Arizona Indian Tribes of the Round Valley Traverse Reservation, South Dakota Torres Martinez Desert Cahuilla Indians, Reservation, California) Skokomish Indian Tribe (previously California (previously listed as Torres- Sac & Fox Nation of Missouri in Kansas listed as Skokomish Indian Tribe of Martinez Band of Cahuilla Mission and Nebraska the Skokomish Reservation, Indians of California) Sac & Fox Nation, Oklahoma Washington) Tulalip Tribes of Washington Sac & Fox Tribe of the Mississippi in Skull Valley Band of Goshute Indians of (previously listed as Tulalip Tribes of Iowa Utah the Tulalip Reservation, Washington)
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Tule River Indian Tribe of the Tule Native Entities Within the State of King Island Native Community River Reservation, California Alaska Recognized by and Eligible To King Salmon Tribe Tunica-Biloxi Indian Tribe Receive Services From the United Klawock Cooperative Association Tuolumne Band of Me-Wuk Indians of States Bureau of Indian Affairs Knik Tribe Kokhanok Village the Tuolumne Rancheria of California Agdaagux Tribe of King Cove Koyukuk Native Village Turtle Mountain Band of Chippewa Akiachak Native Community Levelock Village Indians of North Dakota Akiak Native Community Lime Village Tuscarora Nation Alatna Village Manley Hot Springs Village Twenty-Nine Palms Band of Mission Algaaciq Native Village (St. Mary’s) Manokotak Village Allakaket Village Indians of California McGrath Native Village United Auburn Indian Community of Alutiiq Tribe of Old Harbor (previously Mentasta Traditional Council the Auburn Rancheria of California listed as Native Village of Old Harbor Metlakatla Indian Community, Annette United Keetoowah Band of Cherokee and Village of Old Harbor) Island Reserve Indians in Oklahoma Angoon Community Association Naknek Native Village Upper Mattaponi Tribe Anvik Village Native Village of Afognak Upper Sioux Community, Minnesota Arctic Village (See Native Village of Native Village of Akhiok Upper Skagit Indian Tribe Venetie Tribal Government) Native Village of Akutan Asa’carsarmiut Tribe Ute Indian Tribe of the Uintah & Ouray Native Village of Aleknagik Atqasuk Village (Atkasook) Reservation, Utah Native Village of Ambler Beaver Village Native Village of Atka Ute Mountain Ute Tribe (previously Birch Creek Tribe listed as Ute Mountain Tribe of the Native Village of Barrow Inupiat Central Council of the Tlingit & Haida Traditional Government Ute Mountain Reservation, Colorado, Indian Tribes New Mexico & Utah) Native Village of Belkofski Chalkyitsik Village Native Village of Brevig Mission Utu Utu Gwaitu Paiute Tribe of the Cheesh-Na Tribe (previously listed as Benton Paiute Reservation, California Native Village of Buckland Native Village of Chistochina) Native Village of Cantwell Walker River Paiute Tribe of the Walker Chevak Native Village River Reservation, Nevada Native Village of Chenega (aka Chanega) Chickaloon Native Village Native Village of Chignik Lagoon Wampanoag Tribe of Gay Head Chignik Bay Tribal Council (previously Native Village of Chitina (Aquinnah) listed as Native Village of Chignik) Native Village of Chuathbaluk (Russian Washoe Tribe of Nevada & California Chignik Lake Village Mission, Kuskokwim) (Carson Colony, Dresslerville Colony, Chilkat Indian Village (Klukwan) Native Village of Council Woodfords Community, Stewart Chilkoot Indian Association (Haines) Native Village of Deering Community & Washoe Ranches) Chinik Eskimo Community (Golovin) Native Village of Diomede (aka Inalik) White Mountain Apache Tribe of the Chuloonawick Native Village Native Village of Eagle Fort Apache Reservation, Arizona Circle Native Community Native Village of Eek Wichita and Affiliated Tribes (Wichita, Craig Tribal Association (previously Native Village of Ekuk Keechi, Waco & Tawakonie), listed as Craig Community Native Village of Ekwok (previously Oklahoma Association) listed as Ekwok Village) Wilton Rancheria, California Curyung Tribal Council Native Village of Elim Winnebago Tribe of Nebraska Douglas Indian Association Native Village of Eyak (Cordova) Winnemucca Indian Colony of Nevada Egegik Village Native Village of False Pass Wiyot Tribe, California (previously Eklutna Native Village Native Village of Fort Yukon listed as Table Bluff Reservation— Emmonak Village Native Village of Gakona Wiyot Tribe) Evansville Village (aka Bettles Field) Native Village of Gambell Wyandotte Nation Galena Village (aka Louden Village) Native Village of Georgetown Gulkana Village Council (previously Yankton Sioux Tribe of South Dakota Native Village of Goodnews Bay listed as Gulkana Village) Native Village of Hamilton Yavapai-Apache Nation of the Camp Healy Lake Village Verde Indian Reservation, Arizona Native Village of Hooper Bay Holy Cross Tribe (previously listed as Native Village of Kanatak Yavapai-Prescott Indian Tribe Holy Cross Village) Native Village of Karluk (previously listed as Yavapai-Prescott Hoonah Indian Association Native Village of Kiana Tribe of the Yavapai Reservation, Hughes Village Native Village of Kipnuk Arizona) Huslia Village Native Village of Kivalina Yerington Paiute Tribe of the Yerington Hydaburg Cooperative Association Native Village of Kluti Kaah (aka Copper Colony & Campbell Ranch, Nevada Igiugig Village Center) Yocha Dehe Wintun Nation, California Inupiat Community of the Arctic Slope Native Village of Kobuk (previously listed as Rumsey Indian Iqugmiut Traditional Council Native Village of Kongiganak Rancheria of Wintun Indians of (previously listed as Iqurmuit Native Village of Kotzebue California) Traditional Council) Native Village of Koyuk Yomba Shoshone Tribe of the Yomba Ivanof Bay Tribe (previously listed as Native Village of Kwigillingok Reservation, Nevada Ivanoff Bay Tribe and Ivanoff Bay Native Village of Kwinhagak (aka Ysleta del Sur Pueblo (previously listed Village) Quinhagak) as Ysleta Del Sur Pueblo of Texas) Kaguyak Village Native Village of Larsen Bay Yurok Tribe of the Yurok Reservation, Kaktovik Village (aka Barter Island) Native Village of Marshall (aka Fortuna California Kasigluk Traditional Elders Council Ledge) Zuni Tribe of the Zuni Reservation, New Kenaitze Indian Tribe Native Village of Mary’s Igloo Mexico Ketchikan Indian Corporation Native Village of Mekoryuk
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Native Village of Minto Orutsararmuit Native Village (aka Wrangell Cooperative Association Native Village of Nanwalek (aka English Bethel)) Yakutat Tlingit Tribe Bay) Oscarville Traditional Village Yupiit of Andreafski Native Village of Napaimute Pauloff Harbor Village [FR Doc. 2020–01707 Filed 1–29–20; 8:45 am] Native Village of Napakiak Pedro Bay Village BILLING CODE 4337–15–P Native Village of Napaskiak Petersburg Indian Association Native Village of Nelson Lagoon Pilot Station Traditional Village Native Village of Nightmute Pitka’s Point Traditional Council DEPARTMENT OF THE INTERIOR Native Village of Nikolski (previously listed as Native Village of Native Village of Noatak Pitka’s Point) Bureau of Indian Affairs Native Village of Nuiqsut (aka Nooiksut) Platinum Traditional Village Native Village of Nunam Iqua [210A2100DD/AAKC001030/ Portage Creek Village (aka Ohgsenakale) A0A501010.999900] (previously listed as Native Village of Pribilof Islands Aleut Communities of Sheldon’s Point) St. Paul & St. George Islands Supplemental Environmental Impact Native Village of Nunapitchuk Qagan Tayagungin Tribe of Sand Point Statement for the Arrow Canyon Solar Native Village of Ouzinkie (previously listed as Qagan Project on the Moapa River Indian Native Village of Paimiut Tayagungin Tribe of Sand Point Reservation, Clark County, Nevada Native Village of Perryville Village) Qawalangin Tribe of Native Village of Pilot Point Unalaska AGENCY: Bureau of Indian Affairs, Native Village of Point Hope Rampart Village Interior. Native Village of Point Lay Saint George Island (See Pribilof Islands ACTION: Notice of intent. Native Village of Port Graham Aleut Communities of St. Paul & St. Native Village of Port Heiden George Islands) SUMMARY: The Bureau of Indian Affairs Native Village of Port Lions Saint Paul Island (See Pribilof Islands (BIA), as lead agency in cooperation Native Village of Ruby Aleut Communities of St. Paul & St. with the Moapa Band of Paiute Indians Native Village of Saint Michael George Islands) (Moapa Band) and other agencies, Native Village of Savoonga Salamatof Tribe (previously listed as intends to prepare a Supplemental Native Village of Scammon Bay Village of Salamatoff) Environmental Impact Statement (SEIS) Native Village of Selawik Seldovia Village Tribe that will evaluate the expansion of the Native Village of Shaktoolik Shageluk Native Village previously approved Moapa Solar Native Village of Shishmaref Sitka Tribe of Alaska Energy Center (MSEC) Project on the Native Village of Shungnak Skagway Village Moapa River Indian Reservation Native Village of Stevens South Naknek Village (Reservation). This project is now Native Village of Tanacross Stebbins Community Association referred to as the Arrow Canyon Solar Native Village of Tanana Sun’aq Tribe of Kodiak (previously Project (Project) and this notice Native Village of Tatitlek announces the beginning of the scoping Native Village of Tazlina listed as Shoonaq’ Tribe of Kodiak) process to solicit public comments and Native Village of Teller Takotna Village identify potential issues related to the Native Village of Tetlin Tangirnaq Native Village (previously Native Village of Tuntutuliak listed as Lesnoi Village (aka Woody expansion. It also announces that two Native Village of Tununak Island)) public scoping meetings will be held in Native Village of Tyonek Telida Village Nevada to identify potential issues, Native Village of Unalakleet Traditional Village of Togiak alternatives, and mitigation to be Native Village of Unga Tuluksak Native Community considered in the SEIS. Native Village of Venetie Tribal Twin Hills Village DATES: Written comments on the scope Government (Arctic Village and Ugashik Village of the Project or implementation of the Village of Venetie) Umkumiut Native Village (previously proposal must arrive by Monday, March Native Village of Wales listed as Umkumiute Native Village) 2, 2020. The dates and locations of the Native Village of White Mountain Village of Alakanuk public scoping meetings will be Nenana Native Association Village of Anaktuvuk Pass published in the Las Vegas Sun, Las New Koliganek Village Council Village of Aniak Vegas Review-Journal, and Moapa New Stuyahok Village Village of Atmautluak Valley Progress at least 15 days before Newhalen Village Village of Bill Moore’s Slough the scoping meetings. Village of Chefornak Newtok Village ADDRESSES: You may mail, email, or Village of Clarks Point Nikolai Village hand carry written comments to Mr. Village of Crooked Creek Ninilchik Village Chip Lewis, BIA Western Regional Village of Dot Lake Nome Eskimo Community Office, 2600 North Central Avenue, 4th Village of Iliamna Nondalton Village Floor Mailroom, Phoenix, Arizona Village of Kalskag Noorvik Native Community 85004; email: [email protected]. Northway Village Village of Kaltag Nulato Village Village of Kotlik FOR FURTHER INFORMATION CONTACT: Mr. Nunakauyarmiut Tribe Village of Lower Kalskag Chip Lewis, BIA Western Regional Organized Village of Grayling (aka Village of Ohogamiut Office; telephone: (602) 379–6750; Holikachuk) Village of Red Devil email: [email protected]. Organized Village of Kake Village of Sleetmute SUPPLEMENTARY INFORMATION: The Organized Village of Kasaan Village of Solomon proposed Federal action, taken under 25 Organized Village of Kwethluk Village of Stony River U.S.C. 415, is BIA’s approval of an Organized Village of Saxman Village of Venetie (See Native Village of amendment of the solar energy ground Orutsararmiut Traditional Native Venetie Tribal Government) lease and related agreements entered Council (previously listed as Village of Wainwright into by the Moapa Band with Moapa
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Solar LLC allowing the expansion of the would include multiple blocks of solar consultation will be conducted in solar field previously approved for the PV panels mounted on tracking systems, accordance with policy, and Tribal MSEC Project. The agreements provide H-beam or pad mounted inverters, concerns will be given due for construction, operation and transformers, collection lines, battery consideration, including impacts on maintenance (O&M), and storage facilities, project substation, and Indian trust assets. Other Federal decommissioning of a 200-megawatt O&M facilities. Construction of the agencies may rely on the SEIS to make (MW) alternating current solar Project is expected to take decisions under their authority and the photovoltaic (PV) electricity generation approximately 18 to 20 months. Water Moapa Band may also use the SEIS to facility located entirely on the will be needed during construction for make decisions under their Tribal Reservation and specifically on Tribal dust control and a minimal amount will Environmental Policy Ordinance. lands held in trust by BIA for the Moapa be needed during operations for USFWS will review the SEIS for Band. The MSEC Project was originally administrative and sanitary water use consistency with the Endangered developed by Moapa Solar LLC and and up to two panel washings annually. Species Act, as amended, and other approved in 2014. It included an 850- The water supply required for the implementing acts and may rely on the acre solar site on the Reservation and Project would be leased from the Moapa SEIS to support its decisions and associated rights-of-way (ROWs) on Band and delivered to the site via the opinions regarding the Project. Issues to Bureau of Land Management (BLM)- previously approved water pipeline. be addressed in the SEIS analysis may managed lands for an access road, gen- The purposes of the proposed Project include, but would not be limited to, tie line, and water pipeline. BIA and are, among other things, to: (1) Help to Project impacts on water resources, BLM issued Records of Decision (RODs) provide a long-term, diverse, and viable biological resources, threatened and in May 2014 and BLM issued a ROW in economic revenue base and job endangered species, cultural resources, August 2015 for the linear facilities. In opportunities for the Moapa Band; (2) Native American religious concerns, March 2017, EDF Renewables meet the terms of the existing PPA for and aesthetics. In addition to those Development, Inc. (EDFR) purchased the output of the Project; (3) help resource topics identified above, the MSEC Project from the original Nevada and neighboring States to meet Federal, State, and local agencies, along owner and renamed the Project the their State renewable energy needs; and with other stakeholders that may be Arrow Canyon Solar Project. EDFR (4) allow the Moapa Band, in interested or affected by the BIA’s subsequently transferred the project to partnership with the Applicant, to decision on the proposed Project, are Arrow Canyon Solar, LLC (Applicant). optimize the use of the lease site while invited to participate in the scoping The Applicant currently plans to maximizing the potential economic process to identify additional issues to expand the solar field on the benefit to the Tribe. BIA will prepare be addressed. Reservation from 850 acres to 2,200 the SEIS in cooperation with the Moapa Directions for Submission of Public acres. This expansion would occur on Band, BLM, U.S. Environmental Comments Tribal lands identified by the Moapa Protection Agency (EPA), U.S. Fish and Band adjacent to the originally Wildlife Service (USFWS), and Nevada Please include your name, return approved MSEC site. The linear Department of Wildlife (NDOW). In address, and the caption ‘‘SEIS, Arrow facilities (i.e. main access road, 230kV addition, the National Park Service Canyon Solar Project,’’ on the first page gen-tie line, and permanent buried (NPS) will provide input on the of any written comments. You may also water pipeline) previously approved by analysis. The resulting SEIS will aim to; submit comments at the public scoping the BLM would remain part of the (1) provide agency decision makers, the meetings. The public scoping meetings Project description and as previously Moapa Band, and the general public will be held to further describe the evaluated; therefore, these facilities will with a comprehensive understanding of Project and identify potential issues and not need to be reevaluated in the SEIS. the impacts of the proposed expansion alternatives to be considered in the The 2,200-acre solar site would be of the solar field on the Reservation; (2) SEIS. The first public scoping meeting located in all or parts of Sections 28, 29, describe the cumulative impacts of will be held on the Reservation and the 30, 31, 32, and 33 in Township 16 increased development on the other public scoping meeting will be South, Range 64 East; and part of Reservation; and (3) identify and held in Las Vegas, Nevada. The dates of Section 7 in Township 17 South, Range propose mitigation measures that would the public scoping meetings will be 64 East, Mount Diablo Meridian, minimize or prevent significant adverse included in notices to be posted in the Nevada. Access to the Project would be impacts. Consistent with these Las Vegas Sun, Las Vegas Review- provided from I–15, US–93, and North objectives, the SEIS will focus on the Journal, and Moapa Valley Progress 15 Las Vegas Boulevard via the 2.5-mile expansion of the solar field and analyze days before the meetings. access road previously approved by the proposed expansion and Public Comment Availability BLM. The solar project would appurtenant features, viable interconnect to the regional grid via the alternatives, and the No Action Comments, including names and previously approved 7.1-mile 230kV alternative. Other alternatives may be addresses of respondents, will be generation-tie transmission line on identified in response to issues raised available for public review at the BLM-managed Federal lands that would during the scoping process. The SEIS mailing address shown in the connect the solar facility to NV Energy’s will provide a framework for BIA to ADDRESSES section during regular Harry Allen 230kV substation. The make decisions and determine whether business hours, 8 a.m. to 4:30 p.m., Applicant is expected to operate the to amend the existing lease agreement to Monday through Friday, except energy facility for up to 35 years under include the expanded Project footprint. holidays. Before including your address, the terms of the solar lease with the In addition, BIA will use and coordinate phone number, email address, or other Moapa Band. The Project is expected to the NEPA commenting process to satisfy personal identifying information in your be built in one phase of 200 MW to meet its obligations under Section 106 of the comment, you should be aware that an existing Power Purchase Agreement National Historic Preservation Act your entire comment—including your (PPA) for the output of the Project. (NHPA) (16 U.S.C. 470f) as provided for personal identifying information—may Major components of the solar site in 36 CFR 800.2(d)(3). Tribal be made publicly available at any time.
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Authority at 202–513–7202. Please reference OMB the National Parks Omnibus This notice is published in Control Number 1024–0029 in the Management Act of 1998 (54 U.S.C., accordance with 40 CFR 1501.7 of the subject line of your comments. You may 101911 et seq. also referred to as Pub. Council of Environmental Quality also view the ICR http:// L. 105–391), which provides legislative regulations and 43 CFR 46.235 of the www.reginfo.gov/public/do/PRAMain. authority, policies, and requirements for Department of the Interior regulations SUPPLEMENTARY INFORMATION: In the solicitation, award, and implementing the procedural accordance with the Paperwork administration of NPS concession contracts. requirements of the NEPA (42 U.S.C. Reduction Act of 1995, we provide the Furthermore, 54 U.S.C., 101911 et seq. 4321 et seq.), and in accordance with general public and other Federal provides that ‘‘all proposed concession the exercise of authority delegated to agencies with an opportunity to comment on new, proposed, revised, contracts shall be awarded by the Assistant Secretary—Indian Affairs by Secretary to the person, corporation or part 209 of the Department Manual. and continuing collections of information. This helps us assess the other entity submitting the best Dated: January 23, 2020. impact of our information collection proposal, as determined by the Tara Sweeney, requirements and minimize the public’s Secretary through a competitive Assistant Secretary—Indian Affairs. reporting burden. It also helps the selection process. Such competitive [FR Doc. 2020–01708 Filed 1–29–20; 8:45 am] public understand our information process shall include simplified BILLING CODE 4337–15–P collection requirements and provide the procedures for small, individually- requested data in the desired format. owned, concessions contracts.’’ On June 5, 2019, we published a We collect the following information DEPARTMENT OF THE INTERIOR Federal Register notice soliciting associated with the administration of comments on this collection of concessions: National Park Service information for 60 days, ending on • Description of how respondent will conduct operations to minimize [NPS–WASO–BSD–CONC–NPS0028088; August 5, 2019 (84 FR 26149). We did PPWOBSADC0, PPMVSCS1Y.Y00000 (200); not receive any public comments on the disturbance to wildlife; protect park OMB Control Number 1024–0029] notice. resources; and provide visitors with a We are again soliciting comments on high quality, safe, and enjoyable visitor Agency Information Collection the proposed ICR described below. We experience. Activities; Submission to the Office of are especially interested in public • Organizational structure and history Management and Budget for Review comment addressing the following and experience with similar operations. • and Approval; National Park Service issues: (1) Is the collection necessary to Details on violations or infractions Concessions the proper functions of the NPS; (2) will and how they were handled. • this information be processed and used Financial information and AGENCY: National Park Service, Interior. in a timely manner; (3) is the estimate demonstration that respondent has ACTION: Notice of information collection; of burden accurate; (4) how might the credible, proven track record of meeting request for comment. NPS enhance the quality, utility, and obligations. clarity of the information to be SUMMARY: In accordance with the Concessioner Annual Financial Report collected; and (5) how might the NPS (Forms 10–356, 10–356A, and 10–356B) Paperwork Reduction Act of 1995, we, minimize the burden of this collection the National Park Service (NPS) are on the respondents, including through The Concessioner Annual Financial proposing to renew an information the use of information technology. Report provides concessioner financial collection. Comments that you submit in information as required by each concession contract. This information is DATES: Interested persons are invited to response to this notice are a matter of submit comments on or before March 2, public record. We will include or necessary to comply with the 2020. summarize each comment in our request requirements placed on the Secretary of the Interior by Congress. Title IV, ADDRESSES: Send written comments on to OMB to approve this ICR. Before including your address, phone number, Section 407 of the National Parks this information collection request (ICR) Omnibus Management Act of 1998 (Pub. to the Office of Management and email address, or other personal identifying information in your L. 105–391) requires that ‘‘a concessions Budget’s (OMB) Desk Officer for the contract shall provide for payment to Department of the Interior by email at comment, you should be aware that _ your entire comment—including your the Government of a franchise fee or OIRA [email protected]; or by other such monetary consideration as facsimile at 202–395–5806. Please personal identifying information—may be made publicly available at any time. determined by the Secretary, upon provide a copy of your comments to consideration of the probable value to Phadrea Ponds, Acting Information While you can ask us in your comment to withhold your personal identifying the concessioner of the privileges Collection Clearance Officer, National granted by the particular contract Park Service, 1201 Oakridge Drive, Fort information from public review, we cannot guarantee that we will be able to involved. Such probable value shall be Collins, CO 80525; or by email at based upon a reasonable opportunity for [email protected]. Please do so. Abstract: Private businesses under net profit in relation to capital invested reference OMB Control Number 1024– contract to the NPS manage food, and the obligations of the contract.’’ In 0029 in the subject line of your lodging, tours, whitewater rafting, accordance with 36 CFR part 51, subpart comments. boating, and many other recreational I concession contracts are required to FOR FURTHER INFORMATION CONTACT: To activities and amenities in more than ‘‘provide for payment to the request additional information about 100 national parks. These services gross Government of a franchise fee or other this ICR, contact Kurt Rausch, Acting more than $1 billion every year and monetary consideration as determined Chief, Commercial Services Program, provide jobs for more than 25,000 by the Director upon consideration of National Park Service, 1849 C Street people during peak season. the probable value to the concessioner NW, Washington, DC 20240; or by email The regulations codified in 36 CFR of the privileges granted by the contract at [email protected]; or by telephone part 51 primarily implement Title IV of involved.’’ In order to verify the
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accuracy of the report and payments of • Schedule I is a detail of general and offering a proposal to operate a franchise fees, concessioners with gross administrative expenses. concession contract and that entity’s receipts of over $1 million are required • Schedule J lists ownership and contact information. to have financial statements audited by compensation to officers and owners. Certificate of Business Entity Offeror. an independent certified public • Schedule K details the additions This form identifies the type of entity accountant and have them express an and disposals of fixed assets during the for the offeror, such as corporation, opinion on the financial statements. year. Limited Liability Company, partnership, Concessioners with gross receipts • Schedule L is a supporting schedule etc. between $500,000 and $1 million must for any amounts that need further • Form 10–357A, ‘‘Business have a review opinion by an explanation or detail. Organization Information Form for • independent accountant, a lesser Schedule M contains various Corporation, Limited Liability Company, requirement and burden. operational statistics commonplace for Partnership or Joint Venture.’’ Form 10–356, ‘‘Concessioner Annual the major services provided in parks. • Form 10–357B, ‘‘Business • Financial Report’’—is an accumulation Schedule P provides an accounting Organization Information Form for of various financial statements for those concessioners who have a Individual or Sole Proprietorship.’’ commonly used by industry for contractual repair and maintenance Form 10–358, ‘‘Business History reporting in conformance with generally reserve requirement. Information Form.’’ We request • accepted accounting principles. The Schedule Q lists the projects from information about the offeror’s business information provides a comprehensive that reserve. history to understand any adverse view of the concessioner’s financial Form 10–356A, ‘‘Concessioner history that could impact future situation at the end of its fiscal year and Annual Financial Report (For operations under a concession contract. the concessioner’s activity over the Concessioners with Gross Receipts Less Credit Report. We request offerors preceding year. Careful analysis than $500,000)’’—In an attempt to submit a credit report so that we can provides an effective tool in the reduce administrative burden, understand the offeror’s credit history decision making process and for the concessioners with gross receipts under and any risks of contracting with the tracking of concessioner and $500,000 submit only a shorter report entity. Government contractual obligations for (Form 10–356A). This ‘‘short form’’ is a Offeror’s Financial Projection: The payments and maintenance and simplified income statement, balance Service needs this information to verify construction requirements. The sheet, and operation statistics. there are enough funds available to be financial information being collected is Concessioners with gross receipts under able to pay the required expenses to necessary to provide insight into and $250,000 do not have to submit the operate the Draft Contract and satisfy knowledge of the concessioner’s balance sheet. any other existing debt. If the offeror’s operation so that this authority can be Form 10–356B, ‘‘Concessioner Annual total debts exceed current assets, exercised and franchise fees can be Financial Report (For Concessioners provide a narrative explaining how determined in a timely manner and with Special Accounts and Utility Add- these debts will be paid. ons)’’—A limited number of without an undue burden on the • Form 10–359A Large Concessions concessioners have special accounts in concessioner. We collect the following • Form 10–359B Small Concessions lieu of franchise fees or rate add-ons to information: In addition to this standard • Cover sheet provides identifying offset high costs for unique operations. To reduce administrative burden, information, we also collect additional information and the concessioner’s information in narrative and form certification as to the accuracy of the additional schedules for reporting on these unique contract inclusions are format. The amount of information or accompanying report. degree of detail requested varies widely, • Schedule A is an income statement provided in a separate form. The depending upon the size and scope of summarizing the financial activity additional schedules include: • the business opportunity. For example, (gross receipts, expenses, and net Schedule N provides an accounting a much greater amount of detailed income) of the period being reported on. for those concessioners who have information would be required for a • Schedule A–1 is a worksheet for Special Accounts. • multi-unit lodging and food service calculating the comprehensive income. Schedule O lists expenditures from • Schedule B is a worksheet for Special Accounts. operation (such as that at Yellowstone), • calculating the franchise fee. Schedule R provides an accounting than would be required for a small • Schedule C is a balance sheet for those concessioners who have firewood sales operation. This comparing the sources (liabilities and approved rate add-ons. additional information includes the following which coincide with the five equity) with the uses (assets) of the Proposals for Concession Opportunities capital of the company at the end of the principal selection factors: (Forms 10–357A, 10–357B, 10–358, 10– • Proposals to protect, conserve and fiscal year. 359A, 10–359B) • Schedule D is a detail of the fixed preserve resources of the park. These assets reported on the balance sheet The public solicitation process begins proposals respond to specific resource with a special listing of possessory with the issuance of a prospectus to management objectives and issues at the interest or leasehold improvement invite the general public to submit park and contract in question. • assets (potential obligations of the proposals for the contract. The Proposals to provide necessary and Government). prospectus describes the terms and appropriate visitor services at • Schedule E is a statement of cash conditions of the concession contract to reasonable rates. These proposals flows. be awarded, the procedures to be respond to specific visitor service • Schedule F is space reserved for followed in the selection of the best questions at the park and contract in explanatory notes to the report. proposal, and the information that must question. • Schedule G is a breakdown of gross be provided. We collect the following • The experience and related receipts by major departments. information from every offeror: background of the offeror, including • Schedule H is a detail of Offeror’s Transmittal Letter. This past performance and expertise of the departmental income and expenses. letter identifies the name of the entity offeror in providing the same or similar
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visitor services as those to be provided Director could make a final surrender interest or possessory interest under the draft concession contract. determination without fully obtained under a concession contract. • The financial capability of the understanding the appellant’s concerns The amount and type of information to offeror to carry out its proposal. In or without taking into consideration be submitted varies with the type and particular, we ask for projected important information the appellant complexity of the proposed transaction. financials including initial investments, may wish to submit in support of its Information includes, but is not limited startup expenses, income statement, position. to: operating assumptions, cash flow • Instruments proposed to implement statement, recapture of investments, and Request To Construct a Capital the transaction. all associated assumptions. Improvement • Narrative description of the • The amount of the proposed In accordance with 36 CFR 51.54, a proposed transaction. minimum franchise fee and other forms request for approval to construct a • Opinion of counsel that the of financial consideration. capital improvement must include proposed transaction is lawful under all We use the information provided to appropriate plans and specifications for applicable Federal and State laws. objectively evaluate offers received for a the capital improvement. The request • Statement as to the existence and particular business opportunity, assure must also include an estimate of the nature of any litigation relating to the that the park resources will be total construction cost of the capital proposed transaction. adequately protected, and determine improvement. The estimate of the total • Description of the management which offeror will provide the best construction cost must specify all qualifications, financial background, service to visitors. elements of the cost in such detail as is and financing and operational plans of necessary to permit the Director to any proposed transferee. Amendments • determine that they are elements of Description of all financial aspects In accordance with 36 CFR 51.15, an of the proposed transaction. construction cost. The approval • offeror may not amend or supplement a requirements of this and other sections Prospective financial statements proposal after the submission date (proformas). of 36 CFR part 51 also apply to any • unless requested by the Director to do change orders to a capital improvement Schedule that allocates in detail the so and the Director provides all offerors project and to any additions to a purchase price (or, in the case of a that submitted proposals a similar structure or replacement of fixtures. transaction other than an asset opportunity to amend or supplement purchase, the valuation) of all assets their proposals. Permitted amendments Construction Report assigned or encumbered. In addition, must be limited to modifying particular In accordance with 36 CFR 51.55, a the applicant must provide a aspects of proposals resulting from a concessioner obtaining a leasehold description of the basis for all general failure of offerors to understand surrender interest must submit a allocations and ownership of all assets. particular requirements of a prospectus construction report to the NPS. The Recordkeeping construction report must be supported or a general failure of offerors to submit In accordance with 36 CFR 51.98, a by actual invoices of the capital particular information required by a concessioner (and any subconcessioner) improvement’s construction cost prospectus. must keep and make available to NPS, In accordance with 36 CFR 51.32, if together with, if requested by the NPS, records for the term of the concession the Director determines that a proposal a written certification from a certified contract and for 5 years after the other than the responsive proposal public accountant (CPA). The termination or expiration of the submitted by a preferred offeror is the construction report must document, and concession contract. best proposal submitted for a qualified any requested certification by the Title of Collection: National Park concession contract, then the Director certified public accountant must certify, Service Concessions, 36 CFR 51. must advise the preferred offeror of the that all components of the construction OMB Control Number: 1024–0029. better terms and conditions of the best cost were incurred and capitalized by Form Number: NPS Forms 10–356, proposal and permit the preferred the concessioner in accordance with 10–356A, 10–356B, 10–357A, 10–357B, offeror to amend its proposal to match Generally Accepted Accounting 10–358, 10–359A, and 10–359B. them. An amended proposal must Principles (GAAP), and that all Type of Review: Extension of a match the better terms and conditions of components are eligible direct or currently approved collection. the best proposal. If the preferred offeror indirect construction costs. Invoices for Respondents/Affected Public: amends the proposal within the time additional construction costs of Individuals, businesses, and nonprofit period allowed, and the Director elements of the project that were not organizations. determines that the amended proposal completed as of the date of substantial Respondent’s Obligation: Required to matches the better terms and conditions completion may subsequently be obtain or retain a benefit. of the best proposal, then the Director submitted to the Director for inclusion Frequency of Collection: On occasion must select the preferred offeror for in the project’s construction cost. for proposals, amendments, and award of the contract. appeals; annually for financial reports; Application To Sell or Transfer and ongoing for recordkeeping. Appeals Concession Operation Total Estimated Annual Nonhour Regulations in 36 CFR 51.47 state that 36 CFR part 51, subpart J, provides Burden Cost: $425,000 ($420,000 for any person may appeal to the Director, that a concessioner must obtain NPS proposals associated with expenses for a determination that a concessioner is approval to assign, sell, convey, grant, printing, travel for onsite visits, and not a preferred offeror for the purposes contract for, or otherwise transfer: any professional fees; and, $5,000 for of a right of preference in renewal and concession contract; any rights to application to sell or transfer concession that the appeal must specify the grounds operate under or manage the operation associated with preparing and for the appeal. If the appellant does not performance of a concession contract as submitting an application, other than identify the specific grounds on which a subconcessioner or otherwise; any expenses for printing, estimated to be it objects to the Director’s initial controlling interest in a concessioner or approximately $250 per application (× preferred offeror determination, the concession contract; or any leasehold 20 applications).
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Completion Total annual time per Total annual Activity responses response burden hours * (hours)
Concessioner Annual Financial Report
Form 10–356, ‘‘Concessioner Annual Financial Report’’ ...... 150 15 2,250 Form 10–356A, ‘‘Concessioner Annual Financial Report (For Concessioners with Gross Re- ceipts Less than $500,000)’’ ...... 350 4 1,400 Form 10–356B, ‘‘Concessioner Annual Financial Report (For Concessioners with Special Ac- counts and Utility Add-ons)’’ ...... 30 2 60
Proposals for Concession Opportunities
Form 10–359A, ‘‘Large Concession’’ ...... 30 240 7,200 Form 10–359B, ‘‘Small Concession’’ ...... 60 80 4,800 Amendments ...... 1 1 1 Appeals ...... 1 .5 1
Request To Construct a Capital Improvement
Large Projects ...... 31 16 496 Small Projects ...... 89 8 712
Construction Report
Large Project ...... 31 56 1,736 Small Project ...... 89 24 2,136 Application to Sell or Transfer a Concession Operation ...... 20 80 1,600
Recordkeeping
Large Concessions ...... 150 800 120,000 Small Concessions ...... 350 50 17,500
Totals ...... 1,382 ...... 159,892 * Rounded.
An agency may not conduct or SUMMARY: In accordance with the [email protected]; or by telephone at sponsor and a person is not required to Paperwork Reduction Act of 1995, we, 202–354–1974. Please reference OMB respond to a collection of information the National Park Service (NPS) are Control Number 1024–0282 in the unless it displays a currently valid OMB proposing to renew an information subject line of your comments. You may control number. collection. also view the ICR at http:// The authority for this action is the www.reginfo.gov/public/do/PRAMain. DATES: Interested persons are invited to Paperwork Reduction Act of 1995 (44 SUPPLEMENTARY INFORMATION: In U.S.C. 3501 et seq.). submit comments on or before March 2, 2020. accordance with the Paperwork Phadrea Ponds, Reduction Act of 1995, we provide the ADDRESSES: Send written comments on Acting, NPS Information Collection Clearance general public and other Federal this information collection request (ICR) agencies with an opportunity to Officer, National Park Service. to the Office of Management and [FR Doc. 2020–01674 Filed 1–29–20; 8:45 am] comment on new, proposed, revised, Budget’s (OMB) Desk Officer for the and continuing collections of BILLING CODE 4312–52–P Department of the Interior by email at _ information. This helps us assess the OIRA [email protected]; or by impact of our information collection facsimile at 202–395–5806. Please DEPARTMENT OF THE INTERIOR requirements and minimize the public’s provide a copy of your comments to reporting burden. It also helps the National Park Service Phadrea Ponds, Acting Information public understand our information Collection Clearance Officer, National [NPS–WASO–WM–PSB–NPS0028321; collection requirements and provide the Park Service, 1201 Oakridge Drive, Fort requested data in the desired format. PPWOWMADH2, PPMPSAS1Y.YH0000 Collins, CO 80525; or by email at (200); OMB Control Number 1024–0282] On October 4, 2019, we published a [email protected]. Please Federal Register notice soliciting reference OMB Control Number 1024– Agency Information Collection comments on this collection of 0282 in the subject line of your Activities; Submission to the Office of information for 60 days, ending on comments. Management and Budget for Review December 3, 2019 (84 FR 53174). No and Approval; National Park Service FOR FURTHER INFORMATION CONTACT: To public comments were received in Background Clearance Initiation request additional information about response to this notice. Request this ICR by mail contact Shean Rheams, We are again soliciting comments on AGENCY: National Park Service, Interior. Chief, Personnel Security & Identity the proposed ICR that is described Management Group, National Park below. We are especially interested in ACTION: Notice of information collection; Service, 1849 C Street NW, Washington, public comment addressing the request for comment. DC 20240; or by email at shean_ following issues: (1) Is the collection
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necessary to the proper functions of the proposed candidate requiring a SUMMARY: In accordance with the NPS; (2) will this information be background clearance: Paperwork Reduction Act of 1995, we, processed and used in a timely manner; (1) Full name the National Park Service (NPS) are (3) is the estimate of burden accurate; (2) Social Security number proposing to renew an information (4) how might the NPS enhance the (3) Date and place of birth collection. quality, utility, and clarity of the (4) Country of citizenship DATES: Interested persons are invited to information to be collected; and (5) how (5) Contact phone number submit comments on or before March 2, might the NPS minimize the burden of (6) Email address 2020. this collection on the respondents, (7) Home address ADDRESSES: Send written comments on including through the use of (8) Whether proposed candidate has this information collection request (ICR) information technology. ever been investigated by another to the Office of Management and Comments that you submit in federal agency. Budget’s (OMB) Desk Officer for the response to this notice are a matter of Title of Collection: National Park Department of the Interior by email at public record. We will include or Service Background Clearance Initiation [email protected]; or by summarize each comment in our request Request. facsimile at 202–395–5806. Please to OMB to approve this ICR. Before OMB Control Number: 1024–0282. provide a copy of your comments to including your address, phone number, Form Number: NPS 10–152, Phadrea Ponds, Acting Information email address, or other personal ‘‘Background Clearance Initiation Collection Clearance Officer, National identifying information in your Request’’. Park Service, 1201 Oakridge Drive, Fort comment, you should be aware that Type of Review: Extension of a Collins, CO 80525; or by email at your entire comment—including your currently approved collection. [email protected]. Please personal identifying information—may Description of Respondents: reference OMB Control Number 1024– be made publicly available at any time. Candidates for federal employment, 0279 in the subject line of your While you can ask us in your comment contractors, partners, and other non- comments. to withhold your personal identifying federal candidates who require access to information from public review, we NPS property and/or a DOIAccess PIV FOR FURTHER INFORMATION CONTACT: To cannot guarantee that we will be able to badge. request additional information about do so. Total Estimated Number of Annual this ICR contact Marlene Haynes, Acting Abstract: As delegated by the U.S. Respondents: 6,500. Bureau Office of Property and Fleet Office of Personnel Management (OPM), Total Estimated Number of Annual Management, National Park Service, the NPS is authorized to request Responses: 6,500. 13461 Sunrise Valley Drive, Herndon, information to determine the suitability Estimated Completion Time per VA 20171–3272; or by email at of applicants for Federal employment Response: 7 minutes. [email protected]; or by and non-Federal personnel (i.e., Total Estimated Number of Annual telephone at 701–623–4730. Please contractor, partners, etc.) who require Burden Hours: 758. reference OMB Control Number 1024– access to NPS property and/or receive Respondent’s Obligation: Mandatory. 0279 in the subject line of your DOIAccess personal identity verification Frequency of Collection: On occasion. comments. You may also view the ICR Total Estimated Annual Nonhour (PIV) badges. Suitability determinations at http://www.reginfo.gov/public/do/ Burden Cost: None. are authorized under Executive Orders PRAMain. An agency may not conduct or 10450, ‘‘Security requirements for sponsor and a person is not required to SUPPLEMENTARY INFORMATION: In Government employment’’ and 10577, respond to a collection of information accordance with the Paperwork ‘‘Amending the Civil Service Rules and unless it displays a currently valid OMB Reduction Act of 1995, we provide the authorizing a new appointment system control number. general public and other Federal for the competitive service.’’ The authority for this action is the agencies with an opportunity to To conform with regulations Paperwork Reduction Act of 1995 (44 comment on new, proposed, revised, mandated by OPM and the Department U.S.C. 3501 et seq.). and continuing collections of of the Interior (DOI), the NPS Personnel information. This helps us assess the Security Branch utilizes the Electronic Phadrea Ponds, impact of our information collection Questionnaires for Investigations Acting, Information Collection Clearance requirements and minimize the public’s Processing (e-QIP) System. Form 10– Officer, National Park Service. reporting burden. It also helps the 152, ‘‘Background Clearance Initiation [FR Doc. 2020–01677 Filed 1–29–20; 8:45 am] public understand our information Request’’ is used to create e-QIP BILLING CODE 4312–52–P collection requirements and provide the accounts necessary to initiate requested data in the desired format. background investigations for all On October 4, 2019, we published a individuals requiring access to NPS DEPARTMENT OF THE INTERIOR Federal Register notice soliciting property or to receive a DOIAccess PIV comments on this collection of badge. National Park Service information for 60 days, ending on Applicants for federal employment [NPS–WASO–COMP–NPS0028281; December 3, 2019 (84 FR 53173). We will complete form 10–152. This PPWOCOPP0, PPMPSD1YM0000 (200); did not receive any public comments on includes non-federal personnel, OMB Control Number 1024–0279] this notice. contractors and individuals not We are again soliciting comments on otherwise directly employed by the Agency Information Collection the proposed ICR that is described Federal Government—those who Activities; National Park Service Lost below. We are especially interested in perform work for or on behalf of the and Found Report public comment addressing the Federal Government and will require AGENCY: National Park Service, Interior. following issues: (1) Is the collection access to NPS property and/or receive a necessary to the proper functions of the ACTION: Notice of information collection; DOIAccess PIV badge. The following NPS; (2) will this information be request for comment. information is collected from each processed and used in a timely manner;
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(3) is the estimate of burden accurate; • Park name, receiving station (if proposing to renew an information (4) how might the NPS enhance the appropriate), and date item was lost or collection. quality, utility, and clarity of the found; • DATES: Interested persons are invited to information to be collected; and (5) how Name, address, city, state, zip code, submit comments on or before March 2, might the NPS minimize the burden of email address, and contact phone 2020. this collection on the respondents, numbers (cell and home); including through the use of • Type of item, detailed description ADDRESSES: Send written comments on information technology. of item, and location where the item this information collection request (ICR) was last seen or found; and to the Office of Management and Comments that you submit in • Budget’s (OMB) Desk Officer for the response to this notice are a matter of Photograph of item (if available). Title of Collection: National Park Department of the Interior by email at public record. We will include or _ Service Lost and Found Report, 36 CFR OIRA [email protected]; or by summarize each comment in our request facsimile at 202–395–5806. Please to OMB to approve this ICR. Before 2.22. OMB Control Number: 1024–0279. provide a copy of your comments to including your address, phone number, Form Number: NPS Form 10–166, Phadrea Ponds, Acting Information email address, or other personal ‘‘Lost—Found Report.’’ Collection Clearance Officer, National identifying information in your Type of Review: Extension of a Park Service, 1201 Oakridge Drive, Fort comment, you should be aware that currently approved collection. Collins, CO 80525; or by email at your entire comment—including your Respondents/Affected Public: [email protected]. Please personal identifying information—may Individuals and visitors of NPS units reference OMB Control Number 1024– be made publicly available at any time. who file reports of lost or found items. 0009 in the subject line of your While you can ask us in your comment Total Estimated Number of Annual comments. to withhold your personal identifying Respondents: 7,200. information from public review, we FOR FURTHER INFORMATION CONTACT: To Total Estimated Number of Annual request additional information about cannot guarantee that we will be able to Responses: 7,200. do so. this ICR, contact Brian Goeken, Chief, Estimated Completion Time per Technical Preservation Services, 1849 C Abstract: Each year, more than 7,000 Response: 5 minutes. St. NW, Room 2255, Washington, DC visitors to the various units of the Total Estimated Number of Annual 20240; or by email at brian_goeken@ National Park System file reports of lost Burden Hours: 600. nps.gov; or by telephone at 202–354– or found items. Reporting of lost or Respondent’s Obligation: Voluntary. 2033. Please reference OMB Control found personal property in national Frequency of Collection: On occasion. Number 1024–0009 in the subject line of Total Estimated Annual Nonhour parks is governed by 36 CFR 2.22, your comments. You may also view the Burden Cost: None. ‘‘Disposition of Property’’ which ICR at http://www.reginfo.gov/public/ An agency may not conduct or requires unattended property be do/PRAMain. impounded and deemed to be sponsor and a person is not required to abandoned unless claimed by the owner respond to a collection of information SUPPLEMENTARY INFORMATION: In or an authorized representative within unless it displays a currently valid OMB accordance with the Paperwork 60 days. The 60-day period commences control number. Reduction Act of 1995, we provide the upon notification to the rightful owner The authority for this action is the general public and other Federal of the property, if the owner can be Paperwork Reduction Act of 1995 (44 agencies with an opportunity to identified, or from the time the property U.S.C. comment on new, proposed, revised, and continuing collections of was placed in the superintendent’s Phadrea Ponds, custody, if the owner cannot be information. This helps us assess the Acting, Information Collection Clearance identified. impact of our information collection Officer, National Park Service. requirements and minimize the public’s Unclaimed property must be stored [FR Doc. 2020–01675 Filed 1–29–20; 8:45 am] reporting burden. It also helps the for a minimum period of 60 days and, BILLING CODE 4312–52–P public understand our information unless claimed by the owner or an collection requirements and provide the authorized representative, may be requested data in the desired format. claimed by the finder, provided the DEPARTMENT OF THE INTERIOR On July 3, 2019, we published a finder is not an employee of the NPS. Federal Register notice soliciting Found property not claimed by the National Park Service comments on this collection of owner, an authorized representative of [NPS–WASO–CR–HPS–NPS0028085; information for 60 days, ending on the owner, or the finder, shall be PPWOCRADP1, PRN00HP12.CS0000, September 3, 2019 (84 FR 31909). We deemed abandoned and disposed of in XXXP104214 (200); OMB Control Number received three (3) public comments on accordance with Title 41 Code of 1024–0009] this notice. Federal Regulations. Ogee, LLC suggested the use of a Agency Information Collection In order to comply with the standardized list or more detailed Activities; Submission to the Office of requirements of 36 CFR 2.22, the NPS organization of the description of work Management and Budget for Review uses Form 10–166, ‘‘Lost—Found section in the Part 2 section of the and Approval; Historic Preservation Report,’’ to allow the park to properly application and that no portions of the Certification Application identify personal property reported as scope of work for the project were lost or found and to return found items AGENCY: National Park Service, Interior. unintentionally omitted. to the legitimate owner, when possible, ACTION: Notice of information collection; NPS Response: We are considering the or to the finder if the item is not claimed request for comment. creation of additional guidance and by the owner or their authorized application examples that would representative. NPS Form 10–166 SUMMARY: In accordance with the provide more direction on how to collects the following information from Paperwork Reduction Act of 1995, we, organize and structure the required the visitor filing the report: the National Park Service (NPS) are description of work information.
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Historic Tax Credit Coalition (HTTC) on the respondents, including through officer to determine if the project is suggested that more information be the use of information technology. qualified to obtain historic preservation collected regarding the rehabilitation of Comments that you submit in certifications from the Secretary of the affordable housing units as part of the response to this notice are a matter of Interior. These certifications are tax incentives program. Specifically, (1) public record. We will include or necessary for an applicant to receive number of rental housing units that are summarize each comment in our request substantial federal tax incentives being created, (2) units created for to OMB to approve this ICR. Before authorized by Section 47 of the Internal ‘‘special needs’’ (i.e., members of a including your address, phone number, Revenue Code. These incentives include specified group under a federal or state email address, or other personal a 20% federal income tax credit for the housing program, or person engaged in identifying information in your rehabilitation of income-producing artistic or literary activities), and (3) comment, you should be aware that historic buildings and an income tax how are units that are ‘‘considered your entire comment—including your deduction for the charitable donation of affordable and/or accessible,’’ being personal identifying information—may easements on historic properties. The measured. be made publicly available at any time. Internal Revenue Code also provides a NPS Response: We contacted the While you can ask us in your comment 10% federal income tax credit for the commenter to discuss possible new to withhold your personal identifying rehabilitation of non-historic, field(s) and how existing and new fields information from public review, we nonresidential buildings built before could labeled or defined. The cannot guarantee that we will be able to 1936. An owner of a non-historic application form already requests some do so. building in a historic district must also of this information. While the wording Abstract: The Federal Historic use the application to obtain a of the field names could be changed or Preservation Tax Incentives Program certification from the Secretary of the further defined in the instructions, we encourages private-sector investment in Interior that his or her building does not did not update the forms because there the rehabilitation and re-use of historic contribute to the significance of the is limited space available for new fields buildings. Through this program, historic district before claiming this without having to add an additional underutilized or vacant buildings lesser tax credit for rehabilitation. The page to the application. The commenter throughout the country of every period, 10% credit was repealed as part of the was unable to make any specific size, style, and type have been 2017 tax reform legislation but remains suggestions; therefore, we are not rehabilitated and reused in a manner in effect under certain transition rules. proposing any changes at this time in that maintains their historic character. SHPOs are the first point of contact response to this comment. To be eligible for tax incentives for for property owners wishing to use the Ogee, LLC and Historic Tax Credit historic buildings, a building must be Coalition (HTTC) both suggested that listed individually on the National rehabilitation tax credits. They help the NPS should provide or further Register of Historic Places (NRHP); or applicants determine if an historic explore the use of electronic located in a registered historic district building is eligible for Federal or State submissions. and certified by the NPS as contributing historic preservation tax incentives, NPS Response: Currently, there are a to the historic significance of that provide guidance on an application number of logistical, technological, and district. A registered historic district is before or after the project begins, and practical factors that make submission any district listed on the NRHP; or a provide advice on appropriate of the application via electronic means state or local district if the district and preservation work. SHPOs use Forms presently unworkable, but we continue the enabling statute have also been 10–168d and 10–168e to make to explore this as a future option. certified by the NPS. The NRHP is the recommendations to NPS. Artifacts-Inc. suggested that the official list of the Nation’s historic In accordance with 36 CFR 67, we program should work more closely with places worthy of preservation. also collect information for: (1) State Historic Preservation Offices Section 47 of the Internal Revenue Certifications of State and local statutes (SHPOs) to administer the review Code requires that the Secretary of the (§ 67.8), (2) certifications of State or process. Interior certify to the Secretary of the local historic districts (§ 67.9), and (3) NPS Response: By law the National Treasury upon application by owners of appeals (§ 67.10). Park Service must make all final historic properties for Federal tax Title of Collection: Historic certification decisions. However, NPS benefits: (a) The historic significance of Preservation Certifications, 36 CFR part partners with SHPOs to administer the the property, and (b) that the 67. certification program. The SHPOs are rehabilitation work is consistent with its OMB Control Number: 1024–0009. often the first point of contact meeting historic character. The NPS administers Form Number: NPS Forms 10–168, with applicants to answer questions, the program with the Internal Revenue 10–168a, 10–168b, 10–168c, 10–168d, make site visits, and forward Service in partnership with the State and 10–168e. applications to the NPS after reviewing Historic Preservation Offices (SHPOs). Type of Review: Extension of a and making recommendations. The NPS uses the information collected currently approved collection. We are again soliciting comments on in the Historic Preservation Certification the proposed ICR described below. We Application (Forms 10–168, 10–168a, Respondents/Affected Public: are especially interested in public 10–168b, and 10–168c) to evaluate the Individuals, organizations, companies comment addressing the following condition and historic significance of and businesses, and State or tribal issues: (1) Is the collection necessary to buildings undergoing rehabilitation, and governments. the proper functions of the NPS; (2) will to evaluate whether the rehabilitation Respondent’s Obligation: Required to this information be processed and used work meets the Secretary of the obtain or retain a benefit. in a timely manner; (3) is the estimate Interior’s Standards for Rehabilitation. Frequency of Collection: On occasion. of burden accurate; (4) how might the Regulations codified in 36 CFR part Total Estimated Annual Non-hour NPS enhance the quality, utility, and 67 contain a requirement for completion Burden Cost: $4,612,811 based clarity of the information to be of an application form. The NPS needs primarily on application fees and other collected; and (5) how might the NPS the information required on the costs (includes printing photographs minimize the burden of this collection application form to allow the authorized and architectural drawings).
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Estimated Estimated average Estimated Activity total annual completion total annual responses time burden hours *
Form 10–168 (Part 1): Individuals ...... 88 15 1,320 Private Sector ...... 1,663 15 24,945 Form 10–168a (Part 2): Individuals ...... 77 51 3,927 Private Sector ...... 1,473 51 75,123 Form 10–168b (Amendment): Individuals ...... 77 6 462 Private Sector ...... 1,473 6 8,832 Form 10–168c (Part 3): Individuals ...... 53 12 636 Private Sector ...... 1,000 12 12,000 Forms 10–168d and 10–168e (State Review Sheets): Form 10–168d ...... 1,751 3 5,253 Form 10–168e (Part 2s) ...... 1,550 5 7,750 Form 10–168e (Part 3s) ...... 1,053 4 4,212 Form 10–168e (for Amendments) ...... 1,549 3 4,647 Certification of Statutes ...... 1 5 5 Cert of Historic Districts ...... 2 20 40 Appeals: Individuals ...... 3 40 120 Private Sector ...... 29 40 1,160
Totals ...... 11,841 ...... 150,432 * Rounded.
An agency may not conduct, or FOR FURTHER INFORMATION CONTACT: 9,162,372 (‘‘the ’372 patent’’); 9,517,876; sponsor and a person is not required to Michael Liberman, Esq., Office of the 9,555,572 (‘‘the ’572 patent’’); and respond to a collection of information General Counsel, U.S. International 9,944,453. The notice of investigation unless it displays a currently valid OMB Trade Commission, 500 E Street SW, names as respondents Heineken control number. Washington, DC 20436, telephone (202) International B.V. of Amsterdam, The authority for this action is the 205–3115. Copies of non-confidential Netherlands; Heineken N.V. of Paperwork Reduction Act of 1995 (44 documents filed in connection with this Amsterdam, Netherlands; Heineken U.S.C. 3501 et seq.). investigation are or will be available for USA Inc. of White Plains, New York; Phadrea Ponds, inspection during official business Heineken Holding N.V. of Amsterdam, hours (8:45 a.m. to 5:15 p.m.) in the Acting, NPS Information Collection Clearance Netherlands; Heineken Beer Systems Officer, National Park Service. Office of the Secretary, U.S. B.V. of Amsterdam, Netherlands; International Trade Commission, 500 E Heineken Brouwerijen B.V. of [FR Doc. 2020–01673 Filed 1–29–20; 8:45 am] Street SW, Washington, DC 20436, BILLING CODE 4312–52–P Amsterdam, Netherlands; Heineken telephone (202) 205–2000. General Export Americas B.V. of Amsterdam, information concerning the Commission Netherlands; and Heineken Global may also be obtained by accessing its Procurement B.V of Amsterdam, INTERNATIONAL TRADE internet server at https://www.usitc.gov. COMMISSION Netherlands (collectively, The public record for this investigation ‘‘Respondents’’). Id. at 26089. The Office may be viewed on the Commission’s [Investigation No. 337–TA–1115] of Unfair Import Investigations is not electronic docket (EDIS) at https:// participating in this investigation. Certain Blow-Molded Bag-In-Container edis.usitc.gov. Hearing-impaired Subsequently, the investigation was Devices, Associated Components, and persons are advised that information on terminated in part as to the ’372 and End Products Containing or Using this matter can be obtained by ’572 patents. Order No. 26 (March 21, Same; Notice of a Commission contacting the Commission’s TDD Determination To Terminate the terminal on (202) 205–1810. 2019), not reviewed, Commission Notice (April 11, 2019). Investigation in Whole Based on SUPPLEMENTARY INFORMATION: The Withdrawal of the Complaint; Commission instituted this investigation Pursuant to Commission Rule Termination of the Investigation under section 337 of the Tariff Act of 210.21(a), 19 CFR 210.21(a), on April 29, 2019, Complainants moved to AGENCY: U.S. International Trade 1930, as amended, 19 U.S.C. 1337, on Commission. June 5, 2018, based on a complaint filed terminate this investigation in whole on the basis of withdrawal of the ACTION: Notice. by Anheuser-Busch InBev S.A. of Leuven, Belgium and Anheuser-Busch, complaint. On April 30, 2019, SUMMARY: Notice is hereby given that LLC of St. Louis, Missouri (collectively, Respondents filed a response opposing the U.S. International Trade ‘‘Complainants’’). 83 FR 26088–89 (Jun. the motion. Respondents contended that Commission has determined to 5, 2018). Supplements to the complaint termination is inappropriate given the terminate the investigation in whole were filed on May 4, 2018, and May 15, advanced posture of the investigation based on the withdrawal of the 2018. The complaint alleges a violation and the fact that they had only complaint. The investigation is of section 337 by reason of infringement temporarily halted importation of their terminated. of certain claims of U.S. Patent Nos. accused products.
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On May 3, 2019, the ALJ issued an of the National Cooperative Research No other changes have been made in initial determination (‘‘ID’’) (Order No. and Production Act of 1993, 15 U.S.C. either the membership or planned 50) granting Complainants’ motion. He 4301 et seq. (‘‘the Act’’), National Fire activity of the group research project. found no extraordinary circumstances Protection Association (‘‘NFPA’’) has Membership in this group research exist that would prevent the requested filed written notifications project remains open and CHEDE–8 termination of this investigation. Order simultaneously with the Attorney intends to file additional written No. 50 at 3. General and the Federal Trade notifications disclosing all changes in On May 10, 2019, Respondents filed Commission disclosing additions or membership. a petition for review of the ID. On May changes to its standards development On December 4, 2019, CHEDE–8 filed 17, 2019, Complainants filed a response activities. The notifications were filed its original notification pursuant to opposing the petition. for the purpose of extending the Act’s Section 6(a) of the Act. The Department On June 26, 2019, the Commission provisions limiting the recovery of of Justice published a notice in the determined to review the subject ID. antitrust plaintiffs to actual damages Federal Register pursuant to Section Commission Notice (June 26, 2019). under specified circumstances. 6(b) of the Act on December 30, 2019 Upon review, the Commission has Specifically, NFPA has provided an (84 FR 71977). determined to grant Complainants’ updated and current list of its standards request to terminate the investigation Suzanne Morris, development activities, related technical Chief, Premerger and Division Statistics Unit, based on withdrawal of its complaint committee and conformity assessment allegations. The Commission has Antitrust Division. activities. Information concerning NFPA [FR Doc. 2020–01752 Filed 1–29–20; 8:45 am] considered Respondents’ arguments regulations, technical committees, BILLING CODE 4410–11–P regarding Complainants’ filing of their current standards, standards motion to terminate shortly before the development and conformity hearing was scheduled to begin, after assessment activities are publicly DEPARTMENT OF JUSTICE extensive proceedings, including available at nfpa.org. discovery, had occurred before the ALJ. Antitrust Division However, it would be premature at this On September 20, 2004, NFPA filed time for the Commission to decide the its original notification pursuant to Section 6(a) of the Act. The Department Notice Pursuant to the National effect, if any, of this termination on a Cooperative Research and Production future complaint that might be filed. of Justice published a notice in the Federal Register pursuant to Section Act of 1993—Integrated Photonics Accordingly, the Commission need not Institute for Manufacturing Innovation and does not now decide what action it 6(b) of the Act on October 21, 2004 (69 FR 61869). Operating Under the Name of the may take, or what conditions may American Institute for Manufacturing The last notification was filed with apply, should Complainants file a Integrated Photonics complaint based on the same or similar the Department on September 6, 2019. alleged violations of section 337 by A notice was published in the Federal Notice is hereby given that, on these Respondents in the future. Nor Register pursuant to Section 6(b) of the December 23, 2019, pursuant to Section does the Commission now decide Act on October 17, 2019 (84 FR 55585). 6(a) of the National Cooperative Research and Production Act of 1993, whether and how, if a new investigation Suzanne Morris, were instituted based on the same or 15 U.S.C. 4301 et seq. (‘‘the Act’’), the Chief, Premerger and Division Statistics Unit, Integrated Photonics Institute for similar allegations, the record from the Antitrust Division. instant investigation may be used in Manufacturing Innovation operating [FR Doc. 2020–01750 Filed 1–29–20; 8:45 am] such future investigation. under the name of the American The investigation is terminated. BILLING CODE 4410–11–P Institute for Manufacturing Integrated The authority for the Commission’s Photonics (‘‘AIM Photonics’’) has filed determination is contained in section written notifications simultaneously DEPARTMENT OF JUSTICE 337 of the Tariff Act of 1930, as with the Attorney General and the amended, 19 U.S.C. 1337, and in Part Antitrust Division Federal Trade Commission disclosing 210 of the Commission’s Rules of changes in its membership. The Practice and Procedure, 19 CFR part Notice Pursuant to the National notifications were filed for the purpose 210. Cooperative Research and Production of extending the Act’s provisions By order of the Commission. Act of 1993—CHEDE–8 limiting the recovery of antitrust Issued: January 24, 2020. plaintiffs to actual damages under Notice is hereby given that, on specified circumstances. Specifically, Katherine Hiner, January 8, 2020, pursuant to Section 6(a) Advantiv Technologies Inc., Fremont, Supervisory Attorney. of the National Cooperative Research CA; Nimbis Services, Inc., Oro Vallet, [FR Doc. 2020–01635 Filed 1–29–20; 8:45 am] and Production Act of 1993, 15 U.S.C. AZ; Nonlinear Materials Corporation, BILLING CODE 7020–02–P 4301 et seq. (‘‘the Act’’), CHEDE–8 Seattle, WA; and Rochester Electronics, (‘‘CHEDE–8’’) has filed written Newport, MA, have been added as notifications simultaneously with the parties to this venture. DEPARTMENT OF JUSTICE Attorney General and the Federal Trade No other changes have been made in Commission disclosing changes in its either the membership or planned Antitrust Division membership. The notifications were activity of the group research project. Notice Pursuant to the National filed for the purpose of extending the Membership in this group research Cooperative Research and Production Act’s provisions limiting the recovery of project remains open, and AIM Act of 1993—National Fire Protection antitrust plaintiffs to actual damages Photonics intends to file additional Association under specified circumstances. written notifications disclosing all Specifically, SINOTRUK Jinan Power changes in membership. Notice is hereby given that, on Co., Ltd., Shandong, CHINA, has been On June 16, 2016, AIM Photonics January 6, 2020, pursuant to Section 6(a) added as a party to this venture. filed its original notification pursuant to
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Section 6(a) of the Act. The Department notifications disclosing all changes in Washington, DC 20210; by email: of Justice published a notice in the membership. [email protected]; or by Fax 202– Federal Register pursuant to Section On January 5, 2016, DMDII filed its 693–3975. 6(b) of the Act on July 25, 2016 (81 FR original notification pursuant to Section FOR FURTHER INFORMATION CONTACT: 48450). 6(a) of the Act. The Department of Contact Candace Edens by telephone at The last notification was filed with Justice published a notice in the Federal 202–693–3195 (this is not a toll-free the Department on October 8, 2019. A Register pursuant to Section 6(b) of the number) or by email at Edens.Candace@ notice was published in the Federal Act on March 9, 2016 (46 FR 12525). dol.gov. The last notification was filed with Register pursuant to Section 6(b) of the Authority: 44 U.S.C. 3506(c)(2)(A). the Department on September 19, 2018. Act on October 30, 2019 (84 FR 58173). SUPPLEMENTARY INFORMATION: A notice was published in the Federal DOL, as Suzanne Morris, Register pursuant to Section 6(b) of the part of continuing efforts to reduce paperwork and respondent burden, Chief, Premerger and Division Statistics Unit, Act on October 2, 2018 (83 FR 49577). Antitrust Division. conducts a pre-clearance consultation [FR Doc. 2020–01755 Filed 1–29–20; 8:45 am] Suzanne Morris, program to provide the general public and Federal agencies an opportunity to BILLING CODE 4410–11–P Chief, Premerger and Division Statistics Unit, Antitrust Division. comment on proposed and/or [FR Doc. 2020–01745 Filed 1–29–20; 8:45 am] continuing collections of information DEPARTMENT OF JUSTICE BILLING CODE 4410–11–P before submitting them to the Office of Management and Budget (OMB) for final Antitrust Division approval. This program helps to ensure DEPARTMENT OF LABOR requested data can be provided in the Notice Pursuant to the National desired format, reporting burden (time Cooperative Research and Production Employment and Training and financial resources) is minimized, Act of 1993—Digital Manufacturing Administration collection instruments are clearly Design Innovation Institute understood, and the impact of collection Agency Information Collection requirements can be properly assessed. Notice is hereby given that, on Activities; Comment Request; Section 3304(a)(9)(B), of the Internal January 2, 2020, pursuant to Section 6(a) Interstate Arrangement for Combining Revenue Code of 1986, requires states to of the National Cooperative Research Employment and Wages participate in an arrangement for and Production Act of 1993, 15 U.S.C. combining employment and wages 4301 et seq. (‘‘the Act’’), Digital ACTION: Notice. covered under the different state laws Manufacturing Design Innovation for the purpose of determining Institute (‘‘DMDII’’) has filed written SUMMARY: The Department of Labor’s (DOL’s) Employment and Training unemployed workers’ entitlement to notifications simultaneously with the unemployment compensation. The Attorney General and the Federal Trade Administration (ETA) is soliciting comments concerning a proposed Interstate Arrangement for Combining Commission disclosing changes in its Employment and Wages for combined membership. The notifications were extension for the authority to conduct the information collection request (ICR) wage claims (CWC), promulgated at filed for the purpose of extending the Title 20 of the Code of Federal Act’s provisions limiting the recovery of titled, ‘‘Interstate Arrangement for Combining Employment and Wages.’’ Regulations (20 CFR), Part 616, requires antitrust plaintiffs to actual damages the prompt transfer of all relevant and under specified circumstances. This comment request is part of continuing Departmental efforts to available employment and wage data Specifically, D3 Technical Services, between states upon request. The Kansas City, MO and Advanced O&P reduce paperwork and respondent burden in accordance with the Benefit Payment Promptness Standard, Solutions, Hickory Hills, IL, have been codified at 20 CFR part 640, requires the added as parties to this venture. Paperwork Reduction Act of 1995 (PRA). prompt payment of unemployment Also, PDES, Inc., Johnston, IA; C-Labs compensation including benefits paid Corporation, Bellevue, WA; Optimax DATES: Consideration will be given to all under the CWC arrangement. This Systems, Ontario, NY; FlexLab, written comments received by March information collection, also referred to Berkeley, CA; ACE Clearwater, 30, 2020. as the ETA 586 report, provides ETA Torrance, CA; Luna Lights, Chicago, IL; ADDRESSES: A copy of this ICR with with information necessary to measure Craig Technologies, Cape Canaveral, FL; applicable supporting documentation, the scope and effect of the CWC E-gineering, Indianapolis, IN; Entrigna, including a description of the likely program and to monitor the Chicago, IL; Knoldus, Chicago, IL; MAL respondents, proposed frequency of performance of each state in responding USA, Ferndale, WA; Notiphy, Chicago, response, and estimated total burden, to wage transfer data requests and the IL; The Northridge Group, Rosemont, IL; may be obtained free by contacting payment of benefits. Section 303 (a)(6) Sigmaxim Inc., Norwood, MA; Chicago Candace Edens by telephone at 202– of the Social Security Act and 20 CFR White Metal Casting, Bensenville, IL; 693–3195 (this is not a toll-free part 616 authorize this information RCM Industries, Franklin Park, IL; Twin number), TTY 1–877–889–5627 (this is collection. City Die Castings, Lauderdale, MN; and not a toll-free number), or by email at This information collection is subject EMNS Inc. (GSQA), Downers Grove, IL, [email protected]. to the PRA. A Federal agency generally have withdrawn as parties to this Submit written comments about, or cannot conduct or sponsor a collection venture. requests for a copy of, this ICR by mail of information, and the public is No other changes have been made in or courier to the U.S. Department of generally not required to respond to an either the membership or planned Labor, Employment and Training information collection, unless it is activity of the group research project. Administration, Office of approved by OMB under the PRA and Membership in this group research Unemployment Insurance, 200 displays a currently valid OMB Control project remains open and DMDII Constitution Avenue NW, Frances Number. In addition, notwithstanding intends to file additional written Perkins Bldg. Room S–4524, any other provisions of law, no person
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shall generally be subject to penalty for Total Estimated Annual Other Cost Departmental Information Compliance failing to comply with a collection of Burden: $0. Management Program, Room N1301, information that does not display a 200 Constitution Avenue NW, John Pallasch, valid Control Number. See 5 CFR Washington, DC 20210; or by email: 1320.5(a) and 1320.6. Assistant Secretary for Employment and [email protected]. Training. Interested parties are encouraged to FOR FURTHER INFORMATION CONTACT: [FR Doc. 2020–01626 Filed 1–29–20; 8:45 am] provide comments to the contact shown Frederick Licari by telephone at 202– in the ADDRESSES section. Comments BILLING CODE 4510–FW–P 693–8073, TTY 202–693–8064, (these must be written to receive are not toll-free numbers) or by email at _ _ consideration, and they will be DEPARTMENT OF LABOR DOL PRA [email protected]. summarized and included in the request SUPPLEMENTARY INFORMATION: This ICR for OMB approval of the final ICR. In Office of the Secretary seeks to extend PRA authority for the order to help ensure appropriate OFCCP Recordkeeping Requirements— consideration, comments should Agency Information Collection 29 U.S.C. 793, Section 503 of the mention OMB control number 1205– Activities; Submission for OMB Rehabilitation Act of 1973, as Amended 0029. Review; Comment Request information collection. OFCCP Submitted comments will also be a administers and enforces Executive matter of public record for this ICR and ACTION: Notice of availability; request Order 11246, section 503 of the posted on the internet, without for comments. Rehabilitation Act (section 503), and the redaction. DOL encourages commenters SUMMARY: The Department of Labor Vietnam Era Veterans’ Readjustment not to include personally identifiable (DOL) is submitting the Office of Assistance Act (VEVRAA), and their information, confidential business data, Federal Contract Compliance Programs implementing regulations. Collectively, or other sensitive statements/ (OFCCP) sponsored information these laws require federal contractors to information in any comments. collection request (ICR) titled, ‘‘Section take affirmative action and not DOL is particularly interested in 503 of the Rehabilitation Act of 1973, as discriminate on the basis of race, color, comments that: Amended’’ to the Office of Management religion, sex, sexual orientation, gender • Evaluate whether the proposed and Budget (OMB) for review and identity, national origin, disability, or collection of information is necessary approval for continued use, without status as a protected veteran. for the proper performance of the change, in accordance with the Additionally, Executive Order 11246 functions of the agency, including Paperwork Reduction Act of 1995 prohibits a contractor from discharging whether the information will have (PRA). Public comments on the ICR are or otherwise discriminating against practical utility; invited. applicants or employees who inquire • Evaluate the accuracy of the DATES: The OMB will consider all about, discuss or disclose their agency’s estimate of the burden of the written comments that agency receives compensation or that of others, subject proposed collection of information, on or before March 2, 2020. The to certain limitations. This information including the validity of the information collection requirements collection request covers the methodology and assumptions used; associated with this ICR will be effective recordkeeping and third party • Enhance the quality, utility, and 90 calendar days after OMB approval. disclosure requirements for Section 503 and VEVRAA. OFCCP is not proposing clarity of the information to be ADDRESSES: A copy of this ICR with collected; and applicable supporting documentation; to collect new information with this • Minimize the burden of the including a description of the likely renewal. Section 503 prohibits collection of information on those who respondents, proposed frequency of employment discrimination against are to respond, including through the response, and estimated total burden applicants and employees because of use of appropriate automated, may be obtained free of charge from the physical or mental disability and electronic, mechanical, or other RegInfo.gov website at http:// requires affirmative action to ensure that technological collection techniques or www.reginfo.gov/public/do/ persons are treated without regard to other forms of information technology, PRAViewICR?ref_nbr=201910-1250-004 disability. Section 503 applies to (e.g., permitting electronic submission (this link will only become active on the Federal contractors and subcontractors of responses). day following publication of this notice) with contracts in excess of $15,000.1 Agency: DOL–ETA. or by contacting Frederick Licari by VEVRAA prohibits employment Type of Review: Extension without telephone at 202–693–8073, TTY 202– discrimination against protected changes. 693–8064, (these are not toll-free veterans and requires affirmative action Title of Collection: Interstate numbers) or by email at DOL_PRA_ to ensure that persons are treated Arrangement for Combining [email protected]. without regard to their status as a Employment and Wages. Submit comments about this request protected veteran. VEVRAA applies to Form: ETA 586 Report Form. by mail to the Office of Information and Federal contractors and subcontractors OMB Control Number: 1205–0029. Regulatory Affairs, Attn: OMB Desk with contracts of $150,000 or more.1 Affected Public: State Workforce Officer for DOL–OFCCP, Office of This information collection is subject Agencies. Management and Budget, Room 10235, to the PRA. A Federal agency generally Estimated Number of Respondents: 725 17th Street NW, Washington, DC cannot conduct or sponsor a collection 53. 20503; by Fax: 202–395–5806 (this is of information, and the public is Frequency: Quarterly. not a toll-free number); or by email: generally not required to respond to an Total Estimated Annual Responses: [email protected]. information collection, unless the OMB 212. Commenters are encouraged, but not under the PRA approves it and displays Estimated Average Time per required, to send a courtesy copy of any 1 Response: 4 hours. Effective October 1, 2015, the coverage comments by mail or courier to the U.S. threshold under VEVRAA increased from $100,000 Estimated Total Annual Burden Department of Labor-OASAM, Office of to $150,000, in accordance with the inflationary Hours: 848 hours. the Chief Information Officer, Attn: adjustment requirements in 41 U.S.C. 1908.
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a currently valid OMB Control Number. Affected Public: Private Sector: 20503; by Fax: 202–395–5806 (this is In addition, notwithstanding any other Businesses or other for-profits. not a toll-free number); or by email: provisions of law, no person shall Total Estimated Number of [email protected]. generally be subject to penalty for Respondents: 48,918,177. Commenters are encouraged, but not failing to comply with a collection of Total Estimated Number of required, to send a courtesy copy of any information that does not display a Responses: 48,918,177. comments by mail or courier to the U.S. valid Control Number. See 5 CFR Total Estimated Annual Time Burden: Department of Labor-OASAM, Office of 1320.5(a) and 1320.6. The DOL obtains 4,426,842 hours. the Chief Information Officer, Attn: OMB approval for this information Total Estimated Annual Other Costs Departmental Information Compliance collection under Control Number 1250– Burden: $763,467. Management Program, Room N1301, 0005. Authority: 44 U.S.C. 3507(a)(1)(D). 200 Constitution Avenue NW, OMB authorization for an ICR cannot Washington, DC 20210; or by email: Dated: January 24, 2020. be for more than three (3) years without [email protected]. Frederick Licari, renewal, and the current approval for FOR FURTHER INFORMATION CONTACT: this collection is scheduled to expire on Departmental Clearance Officer. Frederick Licari by telephone at 202– January 31, 2020. The DOL seeks to [FR Doc. 2020–01627 Filed 1–29–20; 8:45 am] 693–8073, TTY 202–693–8064, (these extend PRA authorization for this BILLING CODE 4510–CM–P are not toll-free numbers) or sending an information collection for three (3) more email to [email protected]. years, without any change to existing SUPPLEMENTARY INFORMATION: DEPARTMENT OF LABOR This ICR requirements. The DOL notes that seeks approval under the PRA for existing information collection Office of the Secretary revisions to the Title 29 CFR part 29— requirements submitted to the OMB Labor Standards for the Registration of receive a month-to-month extension Agency Information Collection Apprenticeship Program. Title 29 CFR while they undergo review. For Activities; Submission for OMB 29 sets forth labor standards to additional substantive information Review; Comment Request; Labor safeguard the welfare of apprentices and about this ICR, see the related notice Standards for the Registration of to extend the application of such published in the Federal Register on Apprenticeship Program standards by prescribing policies and October 3, 2019 (84 FR 52897). procedures concerning registration of Interested parties are encouraged to ACTION: Notice of availability; request apprenticeship. This information send comments to the OMB, Office of for comments. collection, ETA 671, has two sections: Information and Regulatory Affairs at The first records the sponsor’s SUMMARY: the address shown in the ADDRESSES The Department of Labor information and the second is for the section within thirty-(30) days of (DOL) is submitting the Employment apprentice’s information, filled out by publication of this notice in the Federal and Training Administration (ETA) the sponsor based on employment Register. In order to help ensure sponsored information collection records. The submission is reviewed appropriate consideration, comments request (ICR) revision ‘‘Labor Standards and signed by the state agency/Office of should mention OMB Control Number for the Registration of Apprenticeship Apprenticeship. The information is 1250–0005. The OMB is particularly Program,’’ to the Office of Management collected on a one-time basis. This interested in comments that: and Budget (OMB) for review and information collection is a revision, • Evaluate whether the proposed approval for use in accordance with the because the annual burden for this collection of information is necessary Paperwork Reduction Act (PRA) of information collection increased from for the proper performance of the 1995. Public comments on the ICR are 22,158 hours to 32,399, which OMB functions of the agency, including invited. approved until January 31, 2020. The whether the information will have DATES: The OMB will consider all burden hours have increased due to an practical utility: written comments that agency receives increase in the total number of • Evaluate the accuracy of the on or before March 2, 2020. responses (i.e., apprentice and program agency’s estimate of the burden of the ADDRESSES: A copy of this ICR with counts). The number of responses has proposed collection of information, applicable supporting documentation; increased by 221,210 (from 239,720 to including the validity of the including a description of the likely 451,930). methodology and assumptions used. respondents, proposed frequency of This information collection is subject • Enhance the quality, utility, and response, and estimated total burden to the PRA. A Federal agency generally clarity of the information to be may be obtained free of charge from the cannot conduct or sponsor a collection collected; and RegInfo.gov website at http:// of information, and the public is • Minimize the burden of the www.reginfo.gov/public/do/ generally not required to respond to an collection of information on those who PRAViewICR?ref_nbr=201912-1205-008 information collection, unless the OMB, are to respond, including through the (this link will only become active on the under the PRA, approves it and displays use of appropriate automated, day following publication of this notice) a currently valid OMB Control Number. electronic, mechanical, or other or by contacting Frederick Licari by In addition, notwithstanding any other technological collection techniques or telephone at 202–693–8073, TTY 202– provisions of law, no person shall other forms of information technology, 693–8064, (these are not toll-free generally be subject to penalty for e.g., permitting electronic submission of numbers) or sending an email to DOL_ failing to comply with a collection of responses. [email protected]. information that does not display a Agency: DOL–OFCCP. Submit comments about this request valid Control Number. See 5 CFR Title of Collection: OFCCP by mail to the Office of Information and 1320.5(a) and 1320.6. The DOL obtains Recordkeeping Requirements—29 Regulatory Affairs, Attn: OMB Desk OMB approval for this information U.S.C. 793, Section 503 of the Officer for DOL–ETA, Office of collection under Control Number 1205– Rehabilitation Act of 1973, as Amended. Management and Budget, Room 10235, 0223. The current approval is scheduled OMB Control Number: 1250–0005. 725 17th Street NW, Washington, DC to expire on January 31, 2020; however,
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the DOL notes that existing information Dated: January 24, 2020. FOR FURTHER INFORMATION CONTACT: collection requirements submitted to the Frederick Licari, Frederick Licari by telephone at 202– OMB will receive a month-to-month Departmental Clearance Officer. 693–8073, TTY 202–693–8064, (these extension while they undergo review. [FR Doc. 2020–01618 Filed 1–29–20; 8:45 am] are not toll-free numbers) or by email at _ _ New requirements would only take BILLING CODE 4510–FR–P DOL PRA [email protected]. effect upon OMB approval. For SUPPLEMENTARY INFORMATION: This ICR additional substantive information seeks to extend PRA authority for the about this ICR, see the related notice DEPARTMENT OF LABOR VETS/USERRA/VP (VETS–1010 Form) published in the Federal Register on information collection. The VETS October 21, 2019 (84 FR 56203). Office of the Secretary USERRA/VP Form 1010 (VETS–1010 Interested parties are encouraged to Agency Information Collection Form) is used to file complaints with send comments to the OMB, Office of Activities; Submission for OMB the Department of Labor’s Veterans’ Information and Regulatory Affairs at Review; Comment Request; VETS/ Employment and Training Service ADDRESSES the address shown in the USERRA/VP (VETS–1010 Form) (VETS) under either the Uniformed section within thirty-(30) days of Services Employment and publication of this notice in the Federal ACTION: Notice of availability; request Reemployment Rights Act (USERRA) or Register. In order to help ensure for comments. the laws and regulations related to appropriate consideration, comments Veterans’ Preference (VP) in Federal should mention OMB Control Number SUMMARY: The Department of Labor employment. On October 13, 1994, the 1205–0223. (DOL) is submitting the Veterans’ Uniformed Services Employment and The OMB is particularly interested in Employment and Training Service Reemployment Rights Act (USERRA), comments that: (VETS) sponsored information Public Law 103–353, 108 Stat. 3150 was collection request (ICR) titled, ‘‘VETS/ • Evaluate whether the proposed signed into law. Contained in Title 38, USERRA/VP (VETS–1010 Form)’’ to the U.S.C. 4301– 4335, USERRA is the collection of information is necessary Office of Management and Budget for the proper performance of the replacement for the Veterans’ (OMB) for review and approval for Reemployment Rights (VRR) law. functions of the agency, including continued use, without change, in whether the information will have The purposes of USERRA laws and accordance with the Paperwork regulations are: practical utility. Reduction Act of 1995 (PRA). Public • • To minimize disruption to the lives Evaluate the accuracy of the comments on the ICR are invited. of persons who perform service in the agency’s estimate of the burden of the DATES: The OMB will consider all uniformed services (including the proposed collection of information, written comments that agency receives National Guard and Reserves), as well as including the validity of the on or before March 2, 2020. to their employers, their fellow methodology and assumptions used. ADDRESSES: A copy of this ICR with employees, and their communities, by • Enhance the quality, utility, and applicable supporting documentation; providing for prompt reemployment of clarity of the information to be including a description of the likely such persons upon completion of such collected; and respondents, proposed frequency of service; • Minimize the burden of the response, and estimated total burden • To encourage individuals to collection of information on those who may be obtained free of charge from the participate in non-career uniformed are to respond, including through the RegInfo.gov website at http:// service by eliminating and minimizing use of appropriate automated, www.reginfo.gov/public/do/ the disadvantages to civilian careers and electronic, mechanical, or other PRAViewICR?ref_nbr=201906-1293-003 employment which can result from such technological collection techniques or (this link will only become active on the service; and other forms of information technology, day following publication of this notice) • To prohibit discrimination in e.g., permitting electronic submission of or by contacting Frederick Licari by employment and acts of reprisal against responses. telephone at 202–693–8073, TTY 202– persons because of their obligations in Agency: DOL–ETA. 693–8064, (these are not toll-free the uniformed services, prior service, _ _ intention to join the uniformed services, Title of Collection: Title 29 CFR part numbers) or by email at DOL PRA filing of a USERRA claim, seeking 29—Labor Standards for the Registration [email protected]. Submit comments about this request assistance concerning an alleged of Apprenticeship Programs. by mail to the Office of Information and USERRA violation, testifying in a OMB Control Number: 1205–0223. Regulatory Affairs, Attn: OMB Desk proceeding, or otherwise assisting in an Affected Public: Individuals or Officer for DOL–VETS, Office of investigation of a USERRA claim. Households; State, Local or Tribal Management and Budget, Room 10235, The Veterans Employment Governments; Private Sector— 725 17th Street NW, Washington, DC Opportunities Act (VEOA) of 1998, businesses or other for-profits, and, not- 20503; by Fax: 202–395–5806 (this is Public Law 105–339, 12 Stat. 3182, for-profit institutions; Federal not a toll-free number); or by email: contained in Title 5 U.S.C. 3330a– Government. [email protected]. 3330c, authorizes the Secretary of Labor Total Estimated Number of Commenters are encouraged, but not to provide assistance to preference Respondents: 316,459. required, to send a courtesy copy of any eligible individuals who believe their Total Estimated Number of comments by mail or courier to the U.S. rights under the veterans’ preference Responses: 451,930. Department of Labor-OASAM, Office of laws have been violated, and to the Chief Information Officer, Attn: investigate claims filed by those Total Estimated Annual Time Burden: Departmental Information Compliance individuals. 32,399 hours. Management Program, Room N1301, The purposes of veterans’ preference Total Estimated Annual Other Costs 200 Constitution Avenue NW, laws include: To provide preference for Burden: $0. Washington, DC 20210; or by email: certain veterans over others in Federal Authority: 44 U.S.C. 3507(a)(1)(D). [email protected]. hiring from competitive lists of
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applicants; to allow access and open up including the validity of the respondents, proposed frequency of Federal job opportunities to veterans methodology and assumptions used. response, and estimated total burden that might otherwise be closed to the • Enhance the quality, utility, and may be obtained free of charge from the public; and to provide preference clarity of the information to be RegInfo.gov website at http:// eligible veterans with preference over collected; and www.reginfo.gov/public/do/ others in retention during reductions in • Minimize the burden of the PRAViewICR?ref_nbr=201904-1250-002 force in Federal agencies. VETS has an collection of information on those who (this link will only become active on the electronic complaint form, the VETS are to respond, including through the day following publication of this notice) e1010, available on our website. The use of appropriate automated, or by contacting Frederick Licari by e1010 may be completed and submitted electronic, mechanical, or other telephone at 202–693–8073, TTY 202– electronically without having to technological collection techniques or 693–8064, (these are not toll-free download, print, or mail a signed hard other forms of information technology, numbers) or by email at DOL_PRA_ copy to our Atlanta data center. e.g., permitting electronic submission of [email protected]. This information collection is subject responses. Submit comments about this request to the PRA. A Federal agency generally Agency: DOL–VETS. by mail to the Office of Information and cannot conduct or sponsor a collection Title of Collection: VETS/USERRA/VP Regulatory Affairs, Attn: OMB Desk of information, and the public is (VETS–1010 Form). Officer for DOL–OFCCP, Office of generally not required to respond to an OMB Control Number: 1293–0002. Management and Budget, Room 10235, information collection, unless the OMB Affected Public: Individuals or 725 17th Street NW, Washington, DC under the PRA approves it and displays Households. 20503; by Fax: 202–395–5806 (this is a currently valid OMB Control Number. Total Estimated Number of not a toll-free number); or by email: In addition, notwithstanding any other Respondents: 2,250. [email protected]. provisions of law, no person shall Total Estimated Number of Commenters are encouraged, but not generally be subject to penalty for Responses: 2,250. required, to send a courtesy copy of any failing to comply with a collection of Total Estimated Annual Time Burden: comments by mail or courier to the U.S. information that does not display a 1,125 hours. Department of Labor-OASAM, Office of valid Control Number. See 5 CFR Total Estimated Annual Other Costs the Chief Information Officer, Attn: 1320.5(a) and 1320.6. The DOL obtains Burden: $0. Departmental Information Compliance OMB approval for this information Authority: 44 U.S.C. 3507(a)(1)(D). Management Program, Room N1301, collection under Control Number 1293– 200 Constitution Avenue NW, Dated: January 24, 2020. 0002. Washington, DC 20210; or by email: Frederick Licari, OMB authorization for an ICR cannot [email protected]. be for more than three (3) years without Departmental Clearance Officer. FOR FURTHER INFORMATION CONTACT: renewal, and the current approval for [FR Doc. 2020–01624 Filed 1–29–20; 8:45 am] Frederick Licari by telephone at 202– this collection is scheduled to expire on BILLING CODE 4510–79–P 693–8073, TTY 202–693–8064, (these January 31, 2020. The DOL seeks to are not toll-free numbers) or by email at extend PRA authorization for this [email protected]. DEPARTMENT OF LABOR information collection for three (3) more SUPPLEMENTARY INFORMATION: This ICR years, without any change to existing Office of the Secretary seeks to extend PRA authority for the requirements. The DOL notes that Vietnam Era Veterans’ Readjustment existing information collection Agency Information Collection Assistance Act, as Amended requirements submitted to the OMB Activities; Submission for OMB information collection. OFCCP receive a month-to-month extension Review; Comment Request; Vietnam administers and enforces Executive while they undergo review. For Era Veterans’ Readjustment Order 11246, section 503 of the additional substantive information Assistance Act, as Amended Rehabilitation Act (section 503), and the about this ICR, see the related notice Vietnam Era Veterans’ Readjustment published in the Federal Register on ACTION: Notice of availability; request Assistance Act (VEVRAA), and their September 30, 2019 (84 FR 51640). for comments. implementing regulations. Collectively, Interested parties are encouraged to these laws require federal contractors to send comments to the OMB, Office of SUMMARY: The Department of Labor take affirmative action and not Information and Regulatory Affairs at (DOL) is submitting the Office of discriminate on the basis of race, color, the address shown in the ADDRESSES Federal Contract Compliance Programs religion, sex, sexual orientation, gender section within thirty-(30) days of (OFCCP) sponsored information identity, national origin, disability, or publication of this notice in the Federal collection request (ICR) titled, ‘‘Vietnam status as a protected veteran. Register. In order to help ensure Era Veterans’ Readjustment Assistance Additionally, Executive Order 11246 appropriate consideration, comments Act, as Amended’’ to the Office of prohibits a contractor from discharging should mention OMB Control Number Management and Budget (OMB) for or otherwise discriminating against 1293–0002. The OMB is particularly review and approval for continued use, applicants or employees who inquire interested in comments that: without change, in accordance with the about, discuss or disclose their • Evaluate whether the proposed Paperwork Reduction Act of 1995 compensation or that of others, subject collection of information is necessary (PRA). Public comments on the ICR are to certain limitations. This information for the proper performance of the invited. collection request covers the functions of the agency, including DATES: The OMB will consider all recordkeeping and third party whether the information will have written comments that agency receives disclosure requirements for Section 503 practical utility: on or before March 2, 2020. and VEVRAA. OFCCP is not proposing • Evaluate the accuracy of the ADDRESSES: A copy of this ICR with to collect new information with this agency’s estimate of the burden of the applicable supporting documentation; renewal. Section 503 prohibits proposed collection of information, including a description of the likely employment discrimination against
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applicants and employees because of functions of the agency, including number OMB–2019–0006, before the physical or mental disability and whether the information will have comment closing date to requires affirmative action to ensure that practical utility: www.regulations.gov. persons are treated without regard to • Evaluate the accuracy of the disability. Section 503 applies to agency’s estimate of the burden of the SUPPLEMENTARY INFORMATION: Protecting Federal contractors and subcontractors proposed collection of information, Americans against the unjust or with contracts in excess of $15,000.1 including the validity of the arbitrary exercise of government power VEVRAA prohibits employment methodology and assumptions used. forms a cornerstone of the United States’ discrimination against protected • Enhance the quality, utility, and constitutional structure. The veterans and requires affirmative action clarity of the information to be presumption of innocence, adjudication to ensure that persons are treated collected; and by a neutral arbiter, fair and speedy • without regard to their status as a Minimize the burden of the proceedings, and the prohibition of protected veteran. VEVRAA applies to collection of information on those who double jeopardy, are some of the time- Federal contractors and subcontractors are to respond, including through the honored protections that constitute the with contracts of $150,000 or more.1 use of appropriate automated, rule of law in America. electronic, mechanical, or other This information collection is subject The growth of administrative technological collection techniques or to the PRA. A Federal agency generally enforcement and adjudication over the other forms of information technology, cannot conduct or sponsor a collection last several decades has not always been of information, and the public is e.g., permitting electronic submission of responses. accompanied by commensurate growth generally not required to respond to an of protections to ensure just and information collection, unless the OMB Agency: DOL–OFCCP. Title of Collection: Vietnam Era reasonable process. Because many under the PRA approves it and displays Veterans’ Readjustment Assistance Act, citizens’ sole or principal interaction a currently valid OMB Control Number. as Amended. with the federal government is with a In addition, notwithstanding any other OMB Control Number: 1250–0004. federal agency, it is of the utmost provisions of law, no person shall Affected Public: Private Sector: importance that administrative generally be subject to penalty for Businesses or other for-profits. enforcement and adjudication operate failing to comply with a collection of Total Estimated Number of subject to requirements that ensure they information that does not display a Respondents: 42,532,659. are fair, speedy, accurate, transparent, valid Control Number. See 5 CFR Total Estimated Number of and respectful of the rights of 1320.5(a) and 1320.6. The DOL obtains Responses: 42,532,659. Americans. OMB approval for this information Total Estimated Annual Time Burden: collection under Control Number 1250– 5,377,348 hours. This Administration continues to 0004. Total Estimated Annual Other Costs evaluate a full range of options to make OMB authorization for an ICR cannot Burden: $763,467. significant reforms in the context of administrative enforcement and be for more than three (3) years without Authority: 44 U.S.C. 3507(a)(1)(D). renewal, and the current approval for adjudication. OMB invites public this collection is scheduled to expire on Dated: January 23, 2020. comment to promote an informed January 31, 2020. The DOL seeks to Frederick Licari, consideration of additional reforms. In extend PRA authorization for this Departmental Clearance Officer. particular, OMB solicits input on information collection for three (3) more [FR Doc. 2020–01617 Filed 1–29–20; 8:45 am] regulatory reforms that will better years, without any change to existing BILLING CODE 4510–CM–P safeguard due process in the regulatory requirements. The DOL notes that enforcement and adjudication settings existing information collection (i.e., non- Article III adjudications). requirements submitted to the OMB OFFICE OF MANAGEMENT AND The Administration recognizes that receive a month-to-month extension BUDGET procedural protections vary while they undergo review. For considerably by Department and/or additional substantive information Improving and Reforming Regulatory agency, sub-agency, etc. Adjudications about this ICR, see the related notice Enforcement and Adjudication pursuant to the Administrative published in the Federal Register on AGENCY: Office of Management and Procedure Act’s section 554 (i.e., October 3, 2019 (84 FR 52897). Budget (OMB), Executive Office of the ‘‘formal’’ adjudications) require more Interested parties are encouraged to President. robust procedural protections. See 5 send comments to the OMB, Office of ACTION: Request for information: U.S.C 554, 556, and 557. Other Information and Regulatory Affairs at Improving and/or reforming regulatory adjudications (i.e., ‘‘informal’’ the address shown in the ADDRESSES enforcement and adjudication. adjudications) tend to enjoy more section within thirty-(30) days of procedural flexibility. No matter the publication of this notice in the Federal SUMMARY: In furtherance of the policy diversity of protections and/or types of Register In order to help ensure on Promoting the Rule of Law Through proceedings, the Administration appropriate consideration, comments Transparency and Fairness in Civil maintains an interest in overarching should mention OMB Control Number Administrative Enforcement and procedural reform. Put differently, the 1250–0004. The OMB is particularly Adjudication, the Office of Management Administration requests public input on interested in comments that: and Budget invites the public to identify • procedural reforms to both formal and Evaluate whether the proposed additional reforms that will ensure informal adjudications and pre- collection of information is necessary adequate due process in regulatory adjudication enforcement protection(s). for the proper performance of the enforcement and adjudication. This request for information seeks ideas DATES: Comments are due on or before that will ensure each and every 1 Effective October 1, 2015, the coverage March 16, 2020. threshold under VEVRAA increased from $100,000 American enjoys adequate protections to $150,000, in accordance with the inflationary ADDRESSES: Interested parties should in regulatory enforcements and adjustment requirements in 41 U.S.C. 1908. submit comments, identified by docket adjudications.
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Among the topics of interest, OMB • Are agencies and agency staff NATIONAL AERONAUTICS AND invites feedback on the following accountable to the public in the context SPACE ADMINISTRATION queries: of enforcement and adjudications? If [Notice (20–006)] • Prior to the initiation of an not, how can agencies create greater adjudication, what would ensure a accountability? Notice of Intent To Grant Partially speedy and/or fair investigation? What • Are there certain types of Exclusive License reform(s) would avoid a prolonged proceedings that, due to exigency or investigation? Should investigated AGENCY: National Aeronautics and parties have an opportunity to require other causes, warrant fewer procedural Space Administration. protections than others? an agency to ‘‘show cause’’ to continue ACTION: Notice of intent to grant an investigation? For each of the above queries, OMB partially exclusive patent license. • When do multiple agencies requests specific, concrete examples of investigate the same (or related) conduct current due process shortfalls and SUMMARY: NASA hereby gives notice of and then force Americans to contest concrete reform proposals to ensure its intent to grant a partially exclusive liability in different proceedings across adequate due process. Abstract, general patent license in the United States to multiple agencies? What reforms would principles will do little to advance practice the inventions described and encourage agencies to adjudicate related actionable reform. claimed in U.S. Patent No. 8,167,204 B2 conduct in a single proceeding before a for an invention entitled ‘‘Wireless single adjudicator? Instructions for Written Responses Damage Location Sensing System,’’ • Would applying the principle of res NASA Case Number LAR–17593–1; U.S. Interested parties should provide judicata in the regulatory context reduce Patent No. 7,086,593 B2 for an invention written responses to the questions duplicative proceedings? How would entitled ‘‘Magnetic Field Response outlined in the supplementary agencies effectively apply res judicata? Measurement Acquisition System,’’ • In the regulatory/civil context, information section of this Federal NASA Case Number LAR–16908–1; U.S. when does an American have to prove Register document. Submissions are Patent No. 7,159,774 B2 for an invention an absence of legal liability? Put due 45 days from publication of this entitled ‘‘Magnetic Field Response differently, need an American prove document through www.regulations.gov Measurement Acquisition System,’’ innocence in regulatory proceeding(s)? and should be identified by docket NASA Case Number LAR–17280–1; U.S. What reform(s) would ensure an number OMB–2019–0006. Patent No. 8,430,327 B2 for an invention American never has to prove the Please include the below in your entitled ‘‘Wireless Sensing System absence of liability? To the extent response, limiting this portion of your Using Open-Circuit, Electrically- permissible, should the Administration response to one page: Conductive Spiral-Trace Sensor,’’ NASA address burdens of persuasion and/or • Case Number LAR–17294–1; U.S. Patent The name of the individual(s) and/ No. 8,042,739 B2 for an invention production in regulatory proceedings? or organization responding. Anonymous Or should the scope of this reform focus entitled ‘‘Wireless Tamper Detection responses will also be accepted. Sensor and Sensing System,’’ NASA strictly on an initial presumption of • innocence? A brief description of the Case Number LAR–17444–1; U.S. Patent • What evidentiary rules apply in responding individual(s) or No. 7,814,786 B2 for an invention regulatory proceedings to guard against organization’s mission and/or areas of entitled ‘‘Wireless Sensing System for hearsay and/or weigh reliability and expertise, if the responder feels Non-Invasive Monitoring of Attributes relevance? Would the application of appropriate. of Contents in a Container,’’ NASA Case some of the Federal Rules of Evidence • A contact for questions or other Number LAR–17488–1; U.S. Patent No. create a fairer evidentiary framework, follow-up on your response if desired. 8,673,649 B2 for an invention entitled ‘‘Wireless Chemical Sensor and Sensing and if so, which Rules? Comments submitted in response to • Should agencies be required to Method for Use Therewith,’’ NASA Case this document are subject to FOIA. OMB produce all evidence favorable to the Number LAR–17579–1; U.S. Patent No. may also make all comments available respondent? What rules and/or 9,329,149 B2 for an invention entitled procedures would ensure the expedient to the public. For this reason, please do ‘‘Wireless Chemical Sensor and Sensing production of all exculpatory evidence? not include in your comments Method for Use Therewith,’’ NASA Case • Do adjudicators sometimes lack information of a confidential nature, Number LAR–17579–2; U.S. Patent No. independence from the enforcement such as sensitive personal information 9,733,203 B2 for an invention entitled arm of the agency? What reform(s) or proprietary information. If you send ‘‘Wireless Chemical Sensing Method,’’ would adequately separate functions an email comment, your email address NASA Case Number LAR–17579–3; U.S. and guarantee an adjudicator’s will be automatically captured and Patent No. 8,179,203 B2 for an invention independence? included as part of the comment that is entitled ‘‘Wireless Electrical Device • Do agencies provide enough placed in the public docket and made Using Open-Circuit Elements Having No transparency regarding penalties and available on the internet. Please note Electrical Connections,’’ NASA Case fines? Are penalties generally fair and that responses to this public comment Number LAR–17711–1; and U.S. Patent proportionate to the infractions for request containing any routine notice No. 10,193,228 B2 for an invention which they are assessed? What reform(s) about the confidentiality of the entitled ‘‘Antenna for Near Field would ensure consistency and communication will be treated as public Sensing and Far Field Transceiving,’’ transparency regarding regulatory comments that may be made available to NASA Case Number LAR–18400–1, to penalties for a particular agency or the the public notwithstanding the Gyra Systems, Inc., having its principal federal government as a whole? inclusion of the routine notice. place of business in La Mesa, CA. The • When do regulatory investigations fields of use may be limited to package and/or adjudications coerce Americans Russell T. Vought, monitoring quality sensors to detect into resolutions/settlements? What Acting Director, OMB. changes in product quality and safeguards would systemically prevent [FR Doc. 2020–01632 Filed 1–29–20; 8:45 am] authenticity, such as pharmaceutical, unfair and/or coercive resolutions? BILLING CODE 3110–01–P food, beverage, tobacco, and cosmetics
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products and/or similar field(s) of use National Aeronautics and Space to [email protected]. Individuals who thereto. NASA has not yet made a Administration. The prospective use a telecommunications device for the determination to grant the requested partially exclusive license will comply deaf (TDD) may call the Federal license and may deny the requested with the requirements of 35 U.S.C. 209 Information Relay Service (FIRS) at 1– license even if no objections are and 37 CFR 404.7. 800–877–8339, which is accessible 24 submitted within the comment period. Information about other NASA hours a day, 7 days a week, 365 days a DATES: The prospective partially inventions available for licensing can be year (including Federal holidays). exclusive license may be granted unless found online at http:// SUPPLEMENTARY INFORMATION: NASA receives written objections technology.nasa.gov. Title of Collection: Evaluation of the including evidence and argument, no William McMurry, Sustainability and Diffusion of the NSF later than February 14, 2020 that Deputy General Counsel. ADVANCE Program. establish that the grant of the license [FR Doc. 2020–01712 Filed 1–29–20; 8:45 am] OMB Number: 3145–NEW. would not be consistent with the Expiration Date of Approval: Not BILLING CODE 7510–13–P requirements regarding the licensing of applicable. federally owned inventions as set forth Type of Request: Intent to seek in the Bayh-Dole Act and implementing NATIONAL SCIENCE FOUNDATION approval to establish an information regulations. Competing applications collection. completed and received by NASA no Agency Information Collection Proposed Project: Use of the later than February 14, 2020 will also be Activities: Comment Request Information: The ADVANCE Program, treated as objections to the grant of the launched by the National Science contemplated [partially] exclusive AGENCY: National Science Foundation. Foundation in 2001, supports projects to license. Objections submitted in ACTION: Notice. identify and address structural and response to this notice will not be made policy barriers to equity for STEM available to the public for inspection SUMMARY: The National Science faculty. The proposed evaluation and, to the extent permitted by law, will Foundation (NSF) is announcing plans examines the sustainability and not be released under the Freedom of to establish this collection. In diffusion of ADVANCE strategies. The Information Act. accordance with the requirements of the evaluation focuses on ADVANCE ADDRESSES: Objections relating to the Paperwork Reduction Act of 1995, we projects that started between 2001 and prospective license may be submitted to are providing opportunity for public 2018, as well as proposals for the Patent Counsel, Office of Chief Counsel, comment on this action. After obtaining ADVANCE Institutional Transformation NASA Langley Research Center, MS 30, and considering public comment, NSF (IT) grants that were not funded. The Hampton, Virginia 23681. Phone (757) will prepare the submission requesting data collection for this request includes: 864–3221. Facsimile (757) 864–9190. Office of Management and Budget Six self-completion online surveys (with FOR FURTHER INFORMATION CONTACT: (OMB) clearance of this collection for no questions tailored to different types of Robin W. Edwards, Patent Counsel, longer than 3 years. ADVANCE grants); one self-completion Office of Chief Counsel, NASA Langley DATES: Written comments on this notice online survey for ADVANCE Research Center, MS 30, Hampton, must be received by March 2, 2020 to Institutional Transformation applicants; Virginia 23681. Phone (757) 864–3221. be assured consideration. Comments and one instrument to conduct Facsimile (757) 864–9190. received after that date will be interviews with two representatives SUPPLEMENTARY INFORMATION: This considered to the extent practicable. from six ADVANCE grantees. notice of intent to grant a partially Send comments to address below. Respondents: Respondents are exclusive patent license is issued in FOR FURTHER INFORMATION CONTACT: representatives from ADVANCE accordance with 35 U.S.C. 209(e) and 37 Suzanne H. Plimpton, Reports Clearance grantees and applicants of ADVANCE CFR 404.7(a)(1)(i). The patent rights in Officer, National Science Foundation, Institutional Transformation grants. these inventions have been assigned to 2415 Eisenhower Avenue, Suite Estimated Number of Annual the United States of America as W18200, Alexandria, Virginia 22314; Respondents: 328 individuals. represented by the Administrator of the telephone (703) 292–7556; or send email Burden on the Public: 227 hours.
Participation Burden Data collection type Number of time (in annual individuals (in minutes) hours)
Single Institution Organizational Change Ended Survey ...... 74 60 74 Single Institution Organizational Change Ongoing Survey ...... 19 60 19 Leadership Ended Survey ...... 34 30 17 Partnership Ended Survey ...... 27 30 13.5 Single Institution Self-Assessment Ended Survey ...... 34 30 17 Partnership Ongoing Survey ...... 8 30 4 Single Institution Organizational Change Ended Survey and Partnership Ended Survey ...... 6 90 9 Partnership Ended Survey and Leadership Ended Survey ...... 1 60 1 Leadership Ended Survey and Single Institution Self-Assessment Ended Survey ...... 1 90 1.5 Single Institution Organizational Change Ended Survey and Single Institution Self-Assess- ment Ended Survey ...... 1 120 2 Single Institution Organizational Change Ongoing Survey and Single Institution Self-Assess- ment Ended Survey ...... 1 120 2 Institutional Transformation Applicant Survey ...... 110 30 55 Telephone interviews with representatives of ADVANCE Grantees ...... 12 60 12
Total ...... 328 ...... 227
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Comments: Comments are invited on the 2nd floor. The public may observe • Information Item: National Solar (a) whether the proposed collection of public meetings held in the NSF Observatory (NSO) Mid-term Review/ information is necessary for the proper boardroom. All visitors must contact the DKIST Update performance of the functions of the Board Office (call 703–292–7000 or send • Information Item: Seismological Agency, including whether the an email to [email protected]) Facility for the Advancement of information shall have practical utility; at least 24 hours prior to the meeting Geoscience (SAGE) and Geodetic (b) the accuracy of the Agency’s and provide your name and Facility for the Advancement of estimate of the burden of the proposed organizational affiliation. Visitors must Geoscience (GAGE) collection of information; (c) ways to report to the NSF visitor’s desk in the Committee on External Engagement (EE) enhance the quality, utility, and clarity building lobby to receive a visitor’s of the information on respondents, badge. Open Session: 10:45–11:00 a.m. including through the use of automated STATUS: Some of these meetings will be • Committee Chair’s Remarks collection techniques or other forms of open to the public. Others will be closed • Approval of Prior Open Minutes information technology; and (d) ways to to the public. See full description • NSB Chair’s Report on Congressional minimize the burden of the collection of below. Testimony before the House information on those who are to MATTERS TO BE CONSIDERED: Committee on Science, Space, & respond, including through the use of Technology appropriate automated, electronic, Tuesday, February 4, 2020 Committee on Strategy (CS) mechanical, or other technological Plenary Board Meeting (at Eisenhower collection techniques or other forms of Executive Office Building) Open Session: 11:00–11:10 a.m. information technology. Open Session: 8:30 a.m.–12:30 p.m. • Committee Chair’s Remarks Dated: January 27, 2020. • Approval of Prior Open Minutes Suzanne H. Plimpton, • Presentations and Discussion of the Reports Clearance Officer, National Science new NSB Science and Engineering Committee on Strategy (CS) Foundation. Indicators Report and Vision 2030 Closed Session: 11:10–11:45 a.m. [FR Doc. 2020–01697 Filed 1–29–20; 8:45 am] Project • • Committee Chair’s Remarks BILLING CODE 7555–01–P PCAST Subcommittee Discussions Led by Subcommittee Chairs and NSB • Approval of Prior Closed Minutes • Liaisons Update on Budgets • NATIONAL SCIENCE FOUNDATION Open Discussion between PCAST and Plenary Board NSB Members Sunshine Act Meetings; National • Public Comment Period Closed Session: 11:45 a.m.–12:10 p.m. Science Board • Summary, Next Meeting, and • NSB Chair’s Remarks Adjournment • The National Science Board (NSB), Approval of Prior Closed Minutes • Director’s Remarks pursuant to NSF regulations (45 CFR Plenary Board Meeting (at NSF • part 614), the National Science Headquarters) Written report on personnel Foundation Act, as amended, (42 U.S.C. situation Open Session: 2:00–3:30 p.m. • Closed Committee Reports 1862n–5), and the Government in the • Sunshine Act (5 U.S.C. 552b), hereby • NSB Chair’s Welcome National Solar Observatory Mid-term • Review gives notice of the scheduling of NSF Director’s Remarks • meetings for the transaction of NSB • NSF 2026 Idea Machine Panel Vote: High Luminosity Upgrades to business as follows: • NSB Chair’s Remarks and Summary of the ATLAS and CMS Detectors for the Large Hadron Collider TIME AND DATE: Tuesday, February 4, Activities 2020, from 8:30 a.m. to 4:30 p.m., and Committee on Awards and Facilities Plenary Board (Executive) Wednesday, February 5, 2020 from 9:00 (A&F) Closed Session: 12:10–12:30 p.m. a.m. to 3:30 p.m. EST. Closed session: 3:30–4:30 p.m. • NSB Chair’s Remarks PLACE: The morning meeting on • Tuesday, February 4, 2020, will be held • Committee Chair’s Remarks Approval of Prior Executive Closed in the Eisenhower Executive Office • Approval of Prior Closed Minutes Minutes • • Director’s Remarks Building, 1650 Pennsylvania Avenue Action Item: High Luminosity • NW, Washington, DC 20502, Room 350 Upgrades to the ATLAS and CMS Arctic Research Support and in conjunction with the members of the Detectors Logistics Services Contract Update • Waterman Award President’s Advisory Council on • Context Item: Mid-Scale Research • Report by Subcommittee on Honorary Science and Technology (PCAST). Infrastructure Track 2 Portfolio Individuals from the public who wish to Awards Wednesday, February 5, 2020 attend this session must register using Committee on National Science and the following email address: PCAST@ Committee on Awards and Facilities Engineering Policy (SEP) ostp.eop.gov. Please note that public (A&F) seating for this meeting is limited and Open Session: 1:30–2:00 p.m. is available on a first-come, first-served Open Session: 9:00–10:45 a.m. • Committee Chair’s Remarks basis. • Committee Chair’s Remarks • Approval of Prior Open Minutes The remaining meetings in the • Approval of Prior Open Minutes • Indicators 2020 Rollout Activities afternoon of February 4, and on • Calendar Year (CY) 2020 Schedule of Report February 5, 2020, will be held at the Planned Action and Context Items • Update on Indicators 2020 Thematic NSF headquarters, 2415 Eisenhower • Antarctica Site Visit Report Report Publication Avenue, Alexandria, VA 22314. These • Written Item: NSB Approval and • Discussion of SEP Spring Retreat meetings are held in the boardroom on Oversight Process for Mid-Scale Agenda
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Task Force on Vision 2030 (Vision TF) these meetings, go to: http:// Information and Regulatory Affairs www.tvworldwide.com/events/nsf/ (OMB approval number 3150–0218), Open Session: 2:00–2:30 p.m. 200204/ and follow the instructions. Attn: Desk Officer for the Nuclear • Task Force Chair’s Remarks The public may observe public meetings Regulatory Commission, 725 17th Street • Approval of Prior Open Minutes held in the boardroom. The address is NW, Washington, DC 20503; email: • Update on Vision Project 2415 Eisenhower Avenue, Alexandria, [email protected]. VA 22314. Committee on Oversight (CO) FOR FURTHER INFORMATION CONTACT: Please refer to the NSB website for David Cullison, NRC Clearance Officer, Open Session: 2:30–3:00 p.m. additional information. You will find U.S. Nuclear Regulatory Commission, any updated meeting information and • Committee Chair’s Remarks Washington, DC 20555–0001; telephone: schedule updates (time, place, subject • Approval of Prior Open Minutes 301–415–2084; email: matter, or status of meeting) at https:// • Merit Review Digest and Update on [email protected]. www.nsf.gov/nsb/meetings/ Modernization SUPPLEMENTARY INFORMATION: notices.jsp#sunshine. • Discussion and vote on NSB Preface The NSB provides some flexibility I. Obtaining Information and to Merit Review Digest around meeting times held at the NSF Submitting Comments • OIG Semiannual Report and headquarters. After the first meeting of Management Response A. Obtaining Information each day, actual meeting start and end • Inspector General’s Update times will be allowed to vary by no Please refer to Docket ID NRC–2019– • Chief Financial Officer’s Update more than 15 minutes in either 0074 when contacting the NRC about Plenary Board direction. As an example, if a 10:00 the availability of information for this meeting finishes at 10:45, the meeting action. You may obtain publicly- Open Session: 3:00–3:30 p.m. scheduled to begin at 11:00 may begin available information related to this • NSB Chair’s Remarks at 10:45. Similarly, the 10:00 meeting action by any of the following methods: • Approval of Prior Open Minutes may be allowed to run over by as much • Federal Rulemaking website: Go to • Director’s Remarks as 15 minutes if the Chair decides the https://www.regulations.gov and search • Open Committee Reports extra time is warranted. The next for Docket ID NRC–2019–0074. A copy • Resolution in Memory of Karen King, meeting would start no later than 11:15. of the collection of information and Ph.D. Arrive at the NSB boardroom or check related instructions may be obtained • Vote on NSB Preface to Merit Review the webcast 15 minutes before the without charge by accessing Docket ID Digest scheduled start time of the meeting you NRC–2019–0074 on this website. • • NSB Chair’s Closing Remarks wish to observe. NRC’s Agencywide Documents Access and Management System Meeting Adjourns: 3:30 p.m. Chris Blair, (ADAMS): You may obtain publicly- Meetings That Are Open to the Public Executive Assistant to the National Science available documents online in the Board Office. ADAMS Public Documents collection at Tuesday, February 4, 2020 [FR Doc. 2020–01911 Filed 1–28–20; 4:15 pm] https://www.nrc.gov/reading-rm/ 8:30 a.m.–12:30 p.m. Plenary NSB and BILLING CODE 7555–01–P adams.html. To begin the search, select PCAST ‘‘Begin Web-based ADAMS Search.’’ For 2:00–3:30 p.m. Plenary problems with ADAMS, please contact NUCLEAR REGULATORY the NRC’s Public Document Room (PDR) Wednesday, February 5, 2020 COMMISSION reference staff at 1–800–397–4209, 301– 9:00–10:45 a.m. A&F [NRC–2019–0074] 415–4737, or by email to pdr.resource@ 10:45–11:00 a.m. EE nrc.gov. The supporting statement and 11:00–11:10 a.m. CS Information Collection: NRC Form 850, NRC Form 850 are available in ADAMS 1:30–2:00 p.m. SEP Request for Contractor Assignment(s) under Accession Nos. ML20008D524 2:00–2:30 p.m. Vision 2020 TF and ML19213A236. 2:30–3:00 p.m. CO AGENCY: Nuclear Regulatory • NRC’s PDR: You may examine and 3:00–3:30 p.m. Plenary Commission. purchase copies of public documents at ACTION: Notice of submission to the the NRC’s PDR, Room O1–F21, One Meetings That Are Closed to the Public Office of Management and Budget; White Flint North, 11555 Rockville Tuesday, February 4, 2020 request for comment. Pike, Rockville, Maryland 20852. • NRC’s Clearance Officer: A copy of 3:30–4:30 p.m. A&F SUMMARY : The U.S. Nuclear Regulatory the collection of information and related Wednesday, February 5, 2020 Commission (NRC) has recently instructions may be obtained without submitted a request for renewal of an 11:10–11:45 a.m. CS charge by contacting the NRC’s existing collection of information to the Clearance Officer, David Cullison, 11:45 a.m.–12:10 p.m. Plenary Office of Management and Budget 12:10–12:30 p.m. Plenary Executive Office of the Chief Information Officer, (OMB) for review. The information U.S. Nuclear Regulatory Commission, CONTACT PERSON FOR MORE INFORMATION: collection is entitled, NRC Form 850, Washington, DC 20555–0001; telephone: The NSB Office contact is Brad ‘‘Request for Contractor Assignment(s).’’ 301–415–2084; email: Gutierrez, [email protected], 703–292– DATES: Submit comments by March 2, [email protected]. 7000. The NSB Public Affairs contact is 2020. Comments received after this date Nadine Lymn, [email protected], 703– will be considered if it is practical to do B. Submitting Comments 292–2490. so, but the Commission is able to ensure The NRC cautions you not to include SUPPLEMENTARY INFORMATION: Public consideration only for comments identifying or contact information in meetings and public portions of received on or before this date. comment submissions that you do not meetings held in the 2nd floor ADDRESSES: Submit comments directly want to be publicly disclosed in your boardroom will be webcast. To view to the OMB reviewer at: OMB Office of comment submission. All comment
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submissions are posted at https:// obtain information on NRC contractors, spouses, minor or disabled children, www.regulations.gov and entered into subcontractors, and other individuals students, and survivors of railroad ADAMS. Comment submissions are not who are not NRC employees and require employees who (1) initially became routinely edited to remove identifying access to NRC buildings, IT systems, eligible for Tier I amounts, O/M shares, or contact information. sensitive information, sensitive and Medicare benefits after December If you are requesting or aggregating unclassified information, or classified 31, 1984; (2) are not U.S. citizens or U.S. comments from other persons for information. nationals; and (3) have resided outside submission to the OMB, then you Dated at Rockville, Maryland, this 27th day the U.S. for more than six consecutive should inform those persons not to of January 2020. months starting with the annuity include identifying or contact For the Nuclear Regulatory Commission. beginning date. The benefit withholding information that they do not want to be David C. Cullison, provision does not apply, however to a publicly disclosed in their comment beneficiary who is exempt under either submission. Your request should state NRC Clearance Officer, Office of the Chief Information Officer. a treaty obligation of the U.S., in effect that comment submissions are not on August 1, 1956, or a totalization routinely edited to remove such [FR Doc. 2020–01746 Filed 1–29–20; 8:45 am] agreement between the U.S. and the information before making the comment BILLING CODE 7590–01–P country in which the beneficiary submissions available to the public or resides, or to an individual who is entering the comment into ADAMS. exempt under other criteria specified in RAILROAD RETIREMENT BOARD II. Background Public Law 98–21. RRB Form G–45, Supplement to Agency Forms Submitted for OMB Under the provisions of the Claim of Person Outside the United Review, Request for Comments Paperwork Reduction Act of 1995 (44 States, is currently used by the RRB to U.S.C. Chapter 35), the NRC recently Summary: In accordance with the determine applicability of the submitted a request for consolidation Paperwork Reduction Act of 1995 (44 withholding provision of Public Law and renewal of an existing collection of U.S.C. Chapter 35), the Railroad 98–21. Completion of the form is information to OMB for review entitled, Retirement Board (RRB) is forwarding required to obtain or retain a benefit. NRC Form 850, ‘‘Request for Contractor three Information Collection Requests One response is requested of each Assignment(s).’’ The NRC hereby (ICR) to the Office of Information and respondent. informs potential respondents that an Regulatory Affairs (OIRA), Office of Previous Requests for Comments: The agency may not conduct or sponsor, and Management and Budget (OMB). Our RRB has already published the initial that a person is not required to respond ICR describes the information we seek 60-day notice (84 FR 63907 on to, a collection of information unless it to collect from the public. Review and November 19, 2019) required by 44 displays a currently valid OMB control approval by OIRA ensures that we U.S.C. 3506(c)(2). That request elicited number. impose appropriate paperwork burdens. no comments. The NRC published a Federal The RRB invites comments on the Register notice with a 60-day comment Information Collection Request (ICR) proposed collections of information to period on this information collection on determine (1) the practical utility of the Title: Supplement to Claim of Person October 10, 2019 (84 FR 54649). collections; (2) the accuracy of the Outside the United States. 1. The title of the information OMB Control Number: 3220–0155. collection: NRC Form 850, ‘‘Request for estimated burden of the collections; (3) ways to enhance the quality, utility, and Form(s) submitted: G–45. Contractor Assignment(s).’’ Type of request: Revision of a 2. OMB approval number: 3150–0218. clarity of the information that is the subject of collection; and (4) ways to currently approved collection of 3. Type of submission: Revision. information. 4. The form number if applicable: minimize the burden of collections on respondents, including the use of Affected public: Individuals or NRC Form 850. Households. 5. How often the collection is required automated collection techniques or other forms of information technology. Abstract: Under Public Law 98–21, or requested: On Occasion. the Tier I or the overall minimum 6. Who will be required or asked to Comments to the RRB or OIRA must contain the OMB control number of the portion of an annuity and Medicare respond: NRC contractors, benefits payable under the Railroad subcontractors and other individuals ICR. For proper consideration of your comments, it is best if the RRB and Retirement Act to certain beneficiaries who are not NRC employees. living outside the United States may be 7. The estimated number of annual OIRA receive them within 30 days of withheld. The collection obtains the responses: 500. the publication date. information needed by the Railroad 8. The estimated number of annual Title and purpose of information Retirement Board to implement the respondents: 500. collection: Supplement to Claim of 9. An estimate of the total number of Person Outside the United States; OMB benefit withholding provisions of Public hours needed annually to comply with 3220–0155. Law 98–21. Changes proposed: The RRB proposes the information collection requirement Under the Social Security minor non-burden impacting changes to or request: 85. Amendments of 1983 (Pub. L. 98–21), 10. Abstract: 10 CFR part 10, ‘‘Criteria which amends Section 202(t) of the Form G–45. and Procedures for Determining Social Security Act, effective January 1, The burden estimate for the ICR is as Eligibility for Access to Restricted Data 1985, the Tier I or the overall minimum follows: or National Security Information or an (O/M) portion of an annuity, and Annual Time Burden Employment Clearance,’’ establishes Medicare benefits payable under the Form No. responses (minutes) (hours) requirements that individuals requiring Railroad Retirement Act to certain an access authorization and/or beneficiaries living outside the U.S., G–45 ..... 100 10 17 employment clearance must have an may be withheld. The benefit investigation of their background. NRC withholding provision of Public Law Additional Information or Comments: Form 850 will be used by the NRC to 98–21 applies to divorced spouses, Copies of the forms and supporting
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documents can be obtained from The Framework identifies LCH SA’s identify all of the potential positions Kennisha C. Tucker at (312) 469–2591 sources of liquidity and corresponding that are in the money or at the money or [email protected]. liquidity risks; identifies LCH SA’s on that day and the next business day.13 Comments regarding the information liquidity requirements with respect to Given the potential option exercise, the collection should be addressed to Brian its members and its interoperable LCR calculation will generate a liquidity Foster, Railroad Retirement Board, 844 central counterparty; describes the need.14 The additional liquidity amount North Rush Street, Chicago, Illinois, metrics and limits that LCH SA that LCH SA could potentially need will 60611–1275 or [email protected] and monitors; and describes the scenarios be equal to the sum of the equities to to the OMB Desk Officer for the RRB, under which these metrics are source following the option assignments Fax: 202–395–6974, Email address: computed.5 The proposed rule change at expiration and/or the difference [email protected]. would make revisions to three aspects of between the underlying securities and the Framework related to physically- the strike price or the strike price minus Brian D. Foster, settled options, Fixed Income Clearing the asset in the event of a cash Clearance Officer. System, and stress tests. settlement.15 [FR Doc. 2020–01625 Filed 1–29–20; 8:45 am] In practice, the process would work as A. Physically-Settled Options BILLING CODE 7905–01–P follows on a daily basis: LCH SA is proposing to amend the • The liquidity needs arising from the Framework in order to address more options that are in the money or at the SECURITIES AND EXCHANGE accurately its liquidity requirements in money, having their expiries on T or COMMISSION the event of the assignment and exercise T+1, will be computed by applying no of physically-settled options involving a market stress to the equities. [Release No. 34–88039; File No. SR–LCH defaulting clearing member during the • The liquidity needs arising from the SA–2019–007] liquidation period of such clearing options that are in the money or at the Self-Regulatory Organizations; LCH member.6 Specifically, the amended money, having their expiries on T or SA; Order Approving Proposed Rule Framework will address LCH SA’s T+1, will be computed by applying a liquidity requirements in the event stress scenario to the equities. Change Relating to Amendments to • LCH SA’s Liquidity Risk Modelling options that are in the money are LCH SA will select the positions Framework exercised either on the day (‘‘T’’), or on consistent with the Cover 2 for both the business day immediately following modes described above and will retain January 24, 2020. the day (‘‘T+1’’), on which the clearing the most punitive one. member that is a seller of the options This amount would be added to the I. Introduction defaults.7 current cash equity amount in the LCR On December 3, 2019, Banque If a defaulting clearing member is a calculation, which LCH would then Centrale de Compensation, which seller of a Call option that is in the retain through qualified liquid conducts business under the name LCH money, LCH SA would have to purchase resources.16 SA (‘‘LCH SA’’), filed with the the underlying securities in the market B. Fixed Income Clearing System Securities and Exchange Commission at a stressed price and await payment at (‘‘Commission’’), pursuant to Section the strike price from the non-defaulting LCH SA is proposing to amend the 19(b)(1) of the Securities Exchange Act purchaser of the Call option at Framework to take into account the of 1934 (‘‘Act’’),1 and Rule 19b–4 settlement.8 If such defaulting clearing expansion of sovereign debt for which thereunder 2 a proposed rule change member is a seller of a Put option that LCH SA provides clearing services (‘‘Proposed Rule Change’’) to amend its is in the money, LCH SA would have to through its Fixed Income Clearing Liquidity Risk Modeling Framework purchase the underlying securities at System.17 LCH SA initially provided (the ‘‘Framework’’). The Proposed Rule the strike price from the non-defaulting clearing services only with respect to Change was published for comment in purchaser of the Put option.9 Although French sovereign debt.18 The Fixed the Federal Register on December 10, margins should cover any potential loss, Income Clearing service subsequently 2019.3 liquidity outflows as a result of the added the sovereign debt of Italy, Spain, sales’ proceeds are included as liquidity Germany, and Belgium.19 More recently, II. Description of the Proposed Rule requirements, in each case.10 the Fixed Income Clearing System has Change In the current Framework, there is no been extended to eight additional Euro LCH SA is proposing to amend its liquidity provision related to the risk of markets: Austria, Netherlands, Finland, Framework, which describes the assignment and exercise of options at Ireland, Portugal, Slovakia, Slovenia Liquidity Stress Testing framework by expiration.11 In order to address this and Supranationals.20 which the Collateral and Liquidity Risk concern, the amended Framework will In this regard, therefore, the Management department of LCH Group anticipate, prior to the expiration dates, Framework would be revised to provide Holdings Limited (‘‘LCH Group’’) the amount of liquidity funding that that all securities resulting from the assures that LCH SA has enough cash may arise from options that may be settlement of all repurchase contracts available to meet any financial exercised, in the event of the default of (‘‘repos’’) on behalf of a defaulting obligations, both expected and LCH SA’s two largest members (‘‘Cover clearing member, not just repos on the unexpected, that may arise over the 2’’).12 On a daily basis, LCH’s liquidity sovereign debt of France, Italy and liquidation period for each of the coverage ratio (‘‘LCR’’) calculation will Spain, may be used to generate liquidity clearing services that LCH SA offers.4 5 Notice, 84 FR at 67488. 13 Id. 14 1 15 U.S.C. 78s(b)(1). 6 Id. Id. 15 2 17 CFR 240.19b–4. 7 Notice, 84 FR at 67488–67489. Id. 16 3 Securities Exchange Act Release No. 87655 (Dec. 8 Notice, 84 FR at 67489. Id. 4, 2019), 84 FR 67488 (Dec. 10, 2019) (SR–LCH– 9 Id. 17 Id. SA–2019–007) (‘‘Notice’’). 10 Id. 18 Id. 4 The following description is substantially 11 Id. 19 Id. excerpted from the Notice. 12 Id. 20 Id.
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at the Banque de France.21 The with respect to the cash equity need and ensure it holds sufficient amended Framework would also clarify settlement requirement for options.29 qualified liquid resources to meet that that, in the event that a Central Bank These calculations are used to need. The Commission believes that, by Guarantee (‘‘CBG’’) is triggered by the determine the two clearing members anticipating and ensuring that it meets default of a clearing member posting the that would potentially cause the largest its liquidity needs in this manner, the CBG, the relevant Central Bank will pay aggregate liquidity exposure for the CCP proposed rule change would help the liabilities of the defaulting clearing in extreme but plausible market ensure that LCH SA is able to meet its member in cash.22 conditions.30 financial obligations in stressed Further, the Framework would be Finally, the Framework would clarify situations, which in turn would allow revised to (i) identify the relevant how LCH SA conducts reverse stress LCH SA to continue to meet its central securities depository (‘‘CSD’’) tests in order to determine if there is a obligation to promptly and accurately through which transactions in the combination of changes in LCH SA’s clear and settle securities transactions in sovereign debt of the different liquidity that could lead to a liquidity such situations. jurisdictions may settle, (ii) describe the shortfall.31 In particular, the amended Further, as noted above, the proposed manner by which LCH SA injects Framework would consider whether rule change would amend the liquidity into each settlement platform, there is a combination of changes in Framework to take into account the in particular, Euroclear Bank and LCH SA’s liquidity resources that could expansion of sovereign debt for which Clearstream Luxembourg, and (iii) lead to a liquidity shortfall, even in the LCH SA provides clearing services modify the limits by settlement platform absence of stress in the market.32 through its Fixed Income Clearing on the main liquidity drivers (i.e., cash System. Specifically, LCH SA would III. Commission Findings injected into the platforms, auto- revise the Framework to provide that all collateralization and gross fails).23 Section 19(b)(2)(C) of the Act directs securities resulting from the settlement the Commission to approve a proposed of all repos on behalf of a defaulting C. Stress Tests rule change of a self-regulatory clearing member, not just repos on the The proposed rule change would organization if it finds that the proposed sovereign debt of France, Italy and make clarifications with respect to rule change is consistent with the Spain, may be used to generate liquidity certain aspects of its stress tests.24 With requirements of the Act and the rules at the Banque de France, and clarify respect to the operational liquidity and regulations thereunder applicable to that, in the event that a CBG is triggered target, which is a metric allowing LCH the organization.33 For the reasons given by the default of a clearing member SA to confirm that the business as usual below, the Commission finds that the posting the CBG, the relevant Central liquidity sources are sufficient for a five proposed rule change is consistent with Bank will pay the liabilities of the day period in stressed situations, Section 17A(b)(3)(F) of the Act 34 and defaulting clearing member in cash. The consistent with the LCR time horizon, Rule 17Ad–22(e)(4)(ii) thereunder.35 Commission believes that, through these the Framework would note that LCH SA A. Consistency With Section changes, the proposed rule change uses a three-day window with regard to 17A(b)(3)(F) of the Act would enhance LCH SA’s sources of margin reduction.25 The Framework liquidity and thus LCH SA’s financial would further clarify that, in calculating Section 17A(b)(3)(F) of the Act condition, which in turn would support liquidity resources, LCH SA deducts requires, among other things, that the LCH SA’s ability to continue to funds required to facilitate settlements, rules of LCH SA be designed to promote promptly and accurately clear and settle cover end of day fails at Euroclear Bank the prompt and accurate clearance and securities transactions. Additionally, the and Clearstream Luxembourg, and avoid settlement of securities transactions Commission believes that by specifying Target 2 Securities fails.26 In addition, and, to the extent applicable, derivative the CSD through which transactions in the Framework assumes that members agreements, contracts, and transactions, the identified foreign sovereign debt allowed to post CBGs will switch from to assure the safeguarding of securities may settle and describing the manner by cash or ECB-eligible non-cash collateral and funds which are in the custody or which LCH SA injects liquidity into to CBGs (although the Framework does control of LCH SA or for which it is each settlement platform, the proposed not currently take such switches into responsible, and, in general, to protect 36 rule change would strengthen LCH SA’s account, since all eligible members, i.e., investors and the public interest. procedures for safeguarding securities As described above, the proposed rule Dutch and Belgian members, have and funds for which it is responsible change would amend the Framework to already done so).27 Moreover, the and facilitate prompt and accurate anticipate, prior to expiration dates, the amended Framework would confirm clearance and settlement by clarifying need for LCH SA to step in and meet a that, in calculating required variation procedures for interacting with such defaulter’s obligation in the event of the margin payments to CC&G, LCH SA platforms. assignment or exercise of physically- assumes a theoretical 5-day holding For the reasons stated above, the settled options involving a defaulting period.28 Commission believes that the proposed clearing member by utilizing the LCR The amended Framework would also rule change is consistent with Section calculation, on a daily basis, to identify clarify how stressed liquidity 17A(b)(3)(F) of the Act.37 requirements and impact are calculated all of the potential positions that are in for each clearing member, in particular the money or at the money on that day B. Consistency With Rule 17Ad– and the next business day. LCH SA will 22(e)(4)(ii) 21 Id. then be able to calculate the additional Rule 17Ad–22(e)(4)(ii) requires that, 22 Id. among other things, LCH SA establish, 23 Id. 29 Id. implement, maintain and enforce 30 24 Id. Id. written policies and procedures 25 31 Id. Id. reasonably designed to, as applicable, 26 Id. Target 2 Securities is a Eurosystem technical 32 Id. platform to which CSDs assign the management of 33 15 U.S.C. 78s(b)(2)(C). effectively identify, measure, monitor, securities settlement in central bank money. 34 15 U.S.C. 78q–1(b)(3)(F). and manage its credit exposures to 27 Id. 35 17 CFR 240.17Ad–22(e)(4)(ii). 28 Id. 36 15 U.S.C. 78q–1(b)(3)(F). 37 15 U.S.C. 78q–1(b)(3)(F).
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participants and those arising from its rule changes are consistent with Rule I. Clearing Agency’s Statement of the payment, clearing, and settlement 17Ad–22(e)(4)(ii).39 Terms of Substance of the Proposed processes, including by maintaining Rule Change IV. Conclusion additional financial resources at the This proposed rule change by OCC minimum to enable it to cover a wide On the basis of the foregoing, the would amend Rules 801 and 805 to range of foreseeable stress scenarios that Commission finds that the proposed modify the fees for exercise notices include, but are not limited to, the rule change is consistent with the submitted after the deadlines and to default of the two participant families requirements of the Act, and in amend Rule 801 to change the deadline that would potentially cause the largest particular, with the requirements of for submitting a late exercise notice on aggregate credit exposure for the Section 17A(b)(3)(F) of the Act 40 and non-expiration dates. The proposed covered clearing agency in extreme but Rule 17Ad–22(e)(4)(ii) thereunder.41 changes to OCC’s Rules are included in plausible market conditions.38 Exhibit 5 of the filing. Material It is therefore ordered pursuant to As described above, the proposed rule proposed to be added to OCC’s Rules as Section 19(b)(2) of the Act 42 that the change would amend the Framework to currently in effect is marked by proposed rule change (SR–LCH SA– clarify certain aspects of LCH SA’s underlining and material proposed to be 2019–007) be, and hereby is, deleted is marked with strikethrough stress tests. Specifically, the proposed 43 rule change would clarify how stressed approved. text. All terms with initial capitalization liquidity requirements and impact are For the Commission, by the Division of that are not otherwise defined herein calculated for each clearing member. Trading and Markets, pursuant to delegated have the same meaning as set forth in 3 Because these calculations would then authority.44 the By-Laws and Rules. be used by LCH SA to determine the J. Matthew DeLesDernier, II. Clearing Agency’s Statement of the two clearing members that would Assistant Secretary. Purpose of, and Statutory Basis for, the potentially cause the largest aggregate [FR Doc. 2020–01649 Filed 1–29–20; 8:45 am] Proposed Rule Change liquidity exposure for LCH SA in In its filing with the Commission, extreme but plausible market BILLING CODE 8011–01–P OCC included statements concerning conditions, the Commission believes the purpose of and basis for the that the proposed rule change would SECURITIES AND EXCHANGE proposed rule change and discussed any support LCH SA’s ability to effectively COMMISSION comments it received on the proposed identify, measure, monitor, and manage rule change. The text of these statements its credit exposures to participants, and may be examined at the places specified ultimately maintain additional financial [Release No. 34–88030; File No. SR–OCC– 2020–001] in Item IV below. OCC has prepared resources at the minimum to enable it summaries, set forth in sections (A), (B), to cover a wide range of foreseeable Self-Regulatory Organizations; The and (C) below, of the most significant stress scenarios that include, but are not aspects of these statements. limited to, the default of the two Options Clearing Corporation; Notice participant families. Further, by of Filing of Proposed Rule Change To (A) Clearing Agency’s Statement of the clarifying how LCH SA conducts reverse Modify the Fees for Exercise Notices Purpose of, and Statutory Basis for, the stress tests in order to determine if there Submitted After the Deadlines and To Proposed Rule Change Change the Deadline for Submitting a is a combination of changes in LCH SA’s (1) Purpose liquidity that could lead to a liquidity Late Exercise Notice on Non- shortfall even in the absence of stress in Expiration Dates The purpose of this rule filing is to: the market, the Commission believes (1) Amend Rule 801 for exercises on that the proposed rule change would January 24, 2020. non-expiration dates and Rule 805 for enhance LCH SA’s ability to manage its Pursuant to Section 19(b)(1) of the exercises on expiration dates to modify the fee applied to exercise notices that credit exposures and maintain Securities Exchange Act of 1934 are submitted to OCC after the start of additional resources. (‘‘Exchange Act’’ or ‘‘Act’’),1 and Rule 2 critical processing (‘‘late exercise Finally, as discussed above, under the 19b–4 thereunder, notice is hereby notices’’), and (2) amend Rule 801 to proposed rule change the Framework given that on January 14, 2020, the change the deadline by which late would anticipate, prior to expiration Options Clearing Corporation (‘‘OCC’’) exercise notices are to be submitted to dates, the need for LCH SA to step in filed with the Securities and Exchange OCC for exercises on non-expiration and meet a defaulter’s obligation in the Commission (‘‘Commission’’) the dates from 6:30 a.m. CT (7:30 a.m. ET) event of the assignment or exercise of proposed rule change as described in to 6:00 a.m. CT (7:00 a.m. ET). physically-settled options involving a Items I, II, and III below, which Items defaulting clearing member. The have been prepared by OCC. The Background Commission believes that this change as Commission is publishing this notice to Rule 801 addresses the exercise of well would enhance LCH SA’s ability to solicit comments on the proposed rule options other than at expiration. Subject manage its credit exposures and change from interested persons. to certain conditions, Rule 801(d) grants maintain additional financial resources the Chief Executive Officer, Chief to cover foreseeable stress scenarios 39 17 CFR 240.17Ad–22(e)(4)(ii). Operating Officer, or any delegate of involving Cover 2 by identifying the 40 15 U.S.C. 78q–1(b)(3)(F). such officer the discretion to permit a liquidity need ahead of time and then 41 17 CFR 240.17Ad–22(e)(4)(ii). Clearing Member to file an exercise retaining the amounts through qualified 42 15 U.S.C. 78s(b)(2). notice after the prescribed deadline liquid resources. 43 In approving the proposed rule change, the solely for the purpose of correcting a For the reasons stated above, the Commission considered the proposal’s impact on bona fide error on the part of the efficiency, competition, and capitalformation. 15 Commission believes that the proposed U.S.C. 78c(f). 3 OCC’s By-Laws and Rules can be found on 44 17 CFR 200.30–3(a)(12). OCC’s public website: http://optionsclearing.com/ 38 17 CFR 240.17Ad–22(e)(4)(ii). 1 15 U.S.C. 78s(b)(1). about/publications/bylaws.jsp.
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Clearing Member or a customer.4 the seven years preceding 2017, and it exercises to 6:00 a.m. CT from the However, the requesting Clearing prompted OCC to review the late current 6:30 a.m. CT deadline. OCC also Member must pay OCC a $75,000 fee exercise fee again. OCC discussed the discussed this proposal with the OCC per line item for a late exercise notice.5 issue on November 9, 2017 with the Roundtable in connection with Similarly, Rule 805, which addresses OCC Roundtable, which is an OCC- discussions noted above and they exercises on expiration, imposes a sponsored advisory group comprised of agreed with it. $75,000 fee per line item on a Clearing representatives from OCC’s participant (2) Statutory Basis Member that submits an exercise notice exchanges, a cross-section of OCC after the prescribed deadline.6 clearing members, and OCC staff. These Section 17A(b)(3)(F) of the Act 11 Rule 801(d) further provides that the discussions noted the dollar amount at requires, among other things, that the deadline for submitting late exercise issue in connection with each of the rules of a clearing agency be designed to notices for exercises other than at four late exercises in 2017, which promote the prompt and accurate expiration is 6:30 a.m. CT, and that OCC reflected the amount of dividends clearance and settlement of securities will notify Clearing Members with short received by the person submitting the and derivatives transactions. OCC positions that they have been assigned late exercise as a result of receiving the believes that the proposed rule change a late exercise notice by 8:00 a.m. CT.7 underlying shares. These dividend is consistent with this provision because it would promote the prompt and Discussion amounts ranged from $188,000 to $375,810.10 As a result of these accurate clearance and settlement of In 2008, OCC raised the late exercise discussions, OCC’s Roundtable agreed securities transactions by providing an fee from $20,000 to $75,000 per line that it was appropriate to increase the incentive for Clearing Members to item in Rules 801 and 805 in response late exercise fee to $250,000 per line improve back office processing with to the increased amount of late exercise item for late exercise notices submitted respect to identifying and handling notices it had received in the prior two under Rules 801 and 805. Consistent positions for which an exercise notice is years.8 As noted in connection with that with the purposes of the late exercise to be submitted, while preserving their change, the late exercise fee is intended fee noted above, the Roundtable ability to correct bona fide operational as an incentive for OCC Clearing believed this amount would be in a errors. Similarly, providing OCC an Members to be especially diligent in range to incent OCC Clearing Members additional 30 minutes in which to processing exercise notices and to to be especially diligent in processing process a late exercise notice is improve back office procedures, while exercise notices while at the same time consistent with this provision because it at the same time while preserving their still allowing firms to correct bona fide is designed to help OCC process such ability to correct bona fide operational errors. notices without delays. As noted, OCC errors. OCC believes that the increase In connection with the four late discussed both of these changes with achieved its intended purpose at the exercise notices received in 2017, OCC the OCC Roundtable and they agreed time of improving Clearing Members’ also reviewed its procedures for with them. The proposed rule change is processing proficiency and significantly processing a late exercise. OCC Rule not inconsistent with the existing rules reduced the amount of late exercise 801(d) provides that the current of OCC, including any other rules notices. deadline for a Clearing Member to proposed to be amended. In 2017, OCC received four late formally request a late exercise for an 9 (B) Clearing Agency’s Statement on exercise notices. This amount was exercise on a non-expiration date is 6:30 Burden on Competition significantly more than the four late a.m. CT and that OCC must notify the exercise notices OCC had received in assigned Clearing Members by 8:00 a.m. Section 17A(b)(3)(I) of the Act 12 CT of the late exercise. Given the requires that the rules of a clearing 4 The current deadline for submitting exercise compressed timeframe in which to agency not impose any burden on notices other than at expiration is 6:00 p.m. CT. competition not necessary or 5 A line item is an exercise instruction which process a late exercise (i.e., 6:30 a.m. CT includes the account, series, and quantity to be to 8:00 a.m. CT) and that they are an appropriate in furtherance of the Act. exercised. exception to the normal processing OCC does not believe that the proposed 6 The current deadline for submitting exercise routine, OCC’s procedures for rule change would impact or impose notices at expiration is 8:00 p.m. CT on monthly any burden on competition.13 The standard Friday expirations, 7:00 p.m. CT on processing a late exercise involve weekly Friday expirations, and 6:30 p.m. CT on significant resources. They include a proposed rule change would not affect Monday and Wednesday expirations. Any exercise review of the positions of the Clearing the competitive dynamics between notice submitted after these expiration deadlines Member, escalation of the request to Clearing Members in that it would apply until the ‘‘expiration time’’ of the option, which is to all Clearing Members equally. The currently 10:59 p.m. CT as set forth in Article 1, senior management, random assignment Section 1(E)(23) of the By-Laws, would be treated of the exercise to Clearing Members proposed rule change also would not as a late exercise notice. Rule 805(d)(2) also holding the short position, and a inhibit access to OCC’s services or provides for the ability to submit a notice to not detailed communication to those disadvantage or favor any particular exercise an in-the-money option (i.e., a contrary user in relationship to another. In this exercise). OCC does not allow for the submission assigned Clearing Members. The late of contrary exercise notices after these expiration exercises in 2017 have shown the 6:30 regard, as described above, the proposed deadlines. to 8:00 a.m. CT window is a narrow rule change is designed to further 7 As discussed below, OCC is proposing to change window for OCC staff to properly facilitate the prompt and accurate the deadline for submitting late exercises under clearance and settlement of securities Rule 801(d). OCC is not, however, proposing to process the exercise and assignments make any changes to the deadline for submitting without delays, and OCC therefore transactions. It is designed to incent late exercises under Rule 805 (i.e., the expiration believes it needs another 30 minutes to Clearing Members to be especially time for an option). process the late exercises. Accordingly, diligent in processing exercise notices 8 See Exchange Act Release No. 59046 (December OCC is proposing to change the and to improve back office procedures, 3, 2008), 73 FR 75486 (December 11, 2008) (SR– while at the same time preserving their OCC–2007–16). deadline for the submission of late 9 Until recently, OCC had not received a late exercise notice from a Clearing Member since these 10 The dividend amounts for the recent December 11 15 U.S.C. 78q–1(b)(3)(F). ones in 2017. On December 14, 2019, OCC received 14, 2019 late exercise notices ranged from $93,600 12 15 U.S.C. 78q–1(b)(3)(I). three late exercise notices from a Clearing Member. to $436,800. 13 15 U.S.C. 78q–1(b)(3)(I).
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ability to correct bona fide operational proposed rule change between the I. Self-Regulatory Organization’s errors Commission and any person, other than Statement of the Terms of Substance of those that may be withheld from the the Proposed Rule Change (C) Clearing Agency’s Statement on public in accordance with the Comments on the Proposed Rule The Exchange proposes to list and provisions of 5 U.S.C. 552, will be Change Received From Members, trade shares of the SPDR SSGA available for website viewing and Participants or Others Responsible Reserves ESG ETF (the printing in the Commission’s Public ‘‘Fund’’), under NYSE Arca Rule 8.600– Written comments on the proposed Reference Room, 100 F Street NE, E (‘‘Managed Fund Shares’’). The rule change were not and are not Washington, DC 20549, on official proposed change is available on the intended to be solicited with respect to business days between the hours of Exchange’s website at www.nyse.com, at the proposed rule change and none have 10:00 a.m. and 3:00 p.m. Copies of such the principal office of the Exchange, and been received. filing also will be available for at the Commission’s Public Reference III. Date of Effectiveness of the inspection and copying at the principal Room. Proposed Rule Change and Timing for office of OCC. II. Self-Regulatory Organization’s Commission Action All comments received will be posted without change. Persons submitting Statement of the Purpose of, and Within 45 days of the date of comments are cautioned that we do not Statutory Basis for, the Proposed Rule publication of this notice in the Federal redact or edit personal identifying Change Register or within such longer period information from comment submissions. In its filing with the Commission, the up to 90 days (i) as the Commission may You should submit only information self-regulatory organization included designate if it finds such longer period that you wish to make available statements concerning the purpose of, to be appropriate and publishes its publicly. and basis for, the proposed rule change reasons for so finding or (ii) as to which All submissions should refer to File and discussed any comments it received the self- regulatory organization Number SR–OCC–2020–001 and should on the proposed rule change. The text consents, the Commission will: be submitted on or before February 20, of those statements may be examined at (A) By order approve or disapprove 2020. the places specified in Item IV below. the proposed rule change, or (B) institute proceedings to determine For the Commission, by the Division of The Exchange has prepared summaries, Trading and Markets, pursuant to delegated set forth in sections A, B, and C below, whether the proposed rule change 14 should be disapproved. authority. of the most significant parts of such J. Matthew DeLesDernier, statements. IV. Solicitation of Comments Assistant Secretary. A. Self-Regulatory Organization’s Interested persons are invited to [FR Doc. 2020–01644 Filed 1–29–20; 8:45 am] Statement of the Purpose of, and the submit written data, views and BILLING CODE 8011–01–P Statutory Basis for, the Proposed Rule arguments concerning the foregoing, Change including whether the proposed rule change is consistent with the Act. SECURITIES AND EXCHANGE 1. Purpose Comments may be submitted by any of COMMISSION The Exchange proposes to list and the following methods: trade shares (‘‘Shares’’) of the SPDR [Release No. 34–88031; File No. SR– SSGA Responsible Reserves ESG ETF Electronic Comments NYSEArca–2020–07] under NYSE Arca Rule 8.600–E (the • Use the Commission’s internet Self-Regulatory Organizations; NYSE ‘‘Fund’’), a series of the SSGA Active comment form (http://www.sec.gov/ Arca, Inc.; Notice of Filing of Proposed Trust (‘‘Trust’’),4 under NYSE Arca Rule rules/sro.shtml); or Rule Change Relating to Listing and 8.600–E, which governs the listing and • Send an email to rule-comments@ 5 Trading of Shares of the SPDR SSGA trading of Managed Fund Shares on sec.gov. Please include File Number SR– Responsible Reserves ESG ETF under the Exchange. OCC–2020–001 on the subject line. NYSE Arca Rule 8.600–E 4 Paper Comments The Trust is registered under the 1940 Act. On January 24, 2020. December 20, 2019, the Trust filed with the • Commission an amendment to its registration Send paper comments in triplicate Pursuant to Section 19(b)(1) 1 of the to Secretary, Securities and Exchange statement on Form N–1A under the Securities Act Securities Exchange Act of 1934 (the of 1933 (15 U.S.C. 77a) (‘‘Securities Act’’) and the Commission, 100 F Street NE, ‘‘Act’’) 2 and Rule 19b–4 thereunder,3 1940 Act relating to the Fund (File Nos. 333– Washington, DC 20549–1090. notice is hereby given that, on January 173276 and 811–22542) (the ‘‘Registration All submissions should refer to File Statement’’). The description of the operation of the 14, 2020, NYSE Arca, Inc. (‘‘NYSE Trust and the Fund herein is based, in part, on the Number SR–OCC–2020–001. This file Arca’’ or the ‘‘Exchange’’) filed with the Registration Statement. In addition, the number should be included on the Securities and Exchange Commission Commission has issued an order granting certain subject line if email is used. To help the (the ‘‘Commission’’) the proposed rule exemptive relief under the 1940 Act to the Trust. Commission process and review your See Investment Company Act Release No. 29524, change as described in Items I, II, and December 13, 2010) (File No. 812–13487) comments more efficiently, please use III below, which Items have been (‘‘Exemptive Order’’). Investments made by the only one method. The Commission will prepared by the self-regulatory Fund will comply with the conditions set forth in post all comments on the Commission’s organization. The Commission is the Exemptive Order. internet website (http://www.sec.gov/ 5 A Managed Fund Share is a security that publishing this notice to solicit represents an interest in an investment company rules/sro.shtml). Copies of the comments on the proposed rule change registered under the Investment Company Act of submission, all subsequent from interested persons. 1940 (15 U.S.C. 80a–1) (‘‘1940 Act’’) organized as amendments, all written statements an open-end investment company or similar entity that invests in a portfolio of securities selected by with respect to the proposed rule 14 17 CFR 200.30–3(a)(12). its investment adviser consistent with its change that are filed with the 1 15 U.S.C.78s(b)(1). investment objectives and policies. In contrast, an Commission, and all written 2 15 U.S.C. 78a. open-end investment company that issues communications relating to the 3 17 CFR 240.19b–4. Continued
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SSGA Funds Management, Inc. becomes registered as a broker-dealer or other scoring criteria to assign an ESG (‘‘Adviser’’) will be the investment newly affiliated with one or more rating to issuers in the financial services adviser to the Fund. The Adviser is a broker-dealers, or (b) any new adviser or sector. wholly-owned subsidiary of State Street sub-adviser is a registered broker-dealer Principal Investments Global Advisors, Inc. (‘‘SSGA’’), which or becomes affiliated with a broker- itself is a wholly-owned subsidiary of dealer, it will implement and maintain According to the Registration State Street Corporation. State Street a fire wall with respect to its relevant Statement, the Fund will attempt to Global Advisors Funds Distributors, personnel or its broker-dealer affiliate meet its investment objective by LLC (‘‘Distributor’’) will be the regarding access to information investing in a broad range of Short-Term distributor of the Fund’s Shares. State concerning the composition and/or Fixed Income Securities, as described Street Bank and Trust Company will be changes to the portfolio, and will be below. the custodian (‘‘Custodian’’) and subject to procedures designed to The Fund may invest in the following transfer agent for the Fund. prevent the use and dissemination of Short-Term Fixed Income Securities: Commentary .06 to Rule 8.600–E material non-public information • short-term obligations of the U.S. provides that, if the investment adviser regarding such portfolio. Government, its agencies, to the investment company issuing instrumentalities, authorities or political SPDR SSGA Responsible Reserves ESG Managed Fund Shares is affiliated with subdivisions (other than cash ETF a broker-dealer, such investment adviser equivalents); 8 shall erect and maintain a ‘‘fire wall’’ According to the Registration • mortgage pass-through securities; 9 between the investment adviser and the Statement, the investment objective of • corporate bonds, floating rate bonds broker-dealer with respect to access to the Fund will be to seek to maximize or variable rate bonds (including information concerning the composition current income while giving ‘‘inverse floaters’’); and/or changes to such investment consideration to environmental, social • bank obligations, including company portfolio.6 In addition, and governance (‘‘ESG’’) criteria, negotiable certificates of deposit, time Commentary .06 further requires that consistent with the preservation of deposits and bankers’ acceptances 10 personnel who make decisions on the capital and liquidity by investing in a (other than cash equivalents); open-end fund’s portfolio composition portfolio of high-quality, short-term debt • zero coupon securities; must be subject to procedures designed obligations. • Eurodollar Certificates of Deposit to prevent the use and dissemination of The Fund will follow a disciplined (‘‘ECDs’’), Eurodollar Time Deposits material nonpublic information investment process in which the (‘‘ETDs’’) and Yankee Certificates of regarding the open-end fund’s portfolio. Adviser bases its decisions on the Deposit (‘‘YCDs’’); 11 The Adviser is not registered as a relative attractiveness of different short- • inflation-protected public broker-dealer but is affiliated with a term debt instruments (‘‘Short-Term obligations (‘‘TIPS)’’ of the U.S. broker-dealer and has implemented and Fixed Income Securities’’) while Treasury, as well as TIPS of major will maintain a fire wall with respect to considering ESG criteria at the time of governments and emerging market such broker-dealer affiliate regarding purchase. countries, excluding the United States; 7 access to information concerning the Under normal market conditions, • repurchase and reverse repurchase composition and/or changes to the with respect to the Fund’s investments agreements (other than repurchase and portfolio. In the event (a) the Adviser in Short-Term Fixed Income Securities, reverse repurchase agreements that are the Fund will target to invest only in cash equivalents); Investment Company Units, listed and traded on short-term debt obligations to maintain • sovereign debt obligations issued or the Exchange under NYSE Arca Rule 5.2–E(j)(3), a maximum dollar-weighted average seeks to provide investment results that correspond guaranteed by foreign governments or generally to the price and yield performance of a maturity of sixty days or less and dollar- their agencies; specific foreign or domestic stock index, fixed weighted average life of 120 days or • commercial paper (other than cash income securities index or combination thereof. less. The Fund will invest in Short- equivalents); 6 An investment adviser to an open-end fund is Term Fixed Income Securities that have required to be registered under the Investment • private placements, restricted Advisers Act of 1940 (the ‘‘Advisers Act’’). As a remaining maturities of 397 calendar securities and Rule 144A securities. result, the Adviser and its related personnel are days or less. The Fund may hold cash and cash subject to the provisions of Rule 204A–1 under the The Adviser intends to consider ESG equivalents. Advisers Act relating to codes of ethics. This Rule criteria at the time of purchase by using requires investment advisers to adopt a code of Other Investments ethics that reflects the fiduciary nature of the ESG-related metrics for each Fund relationship to clients as well as compliance with investment. The potential investment While the Fund, under normal market other applicable securities laws. Accordingly, universe will first be screened to remove conditions, will invest principally in the procedures designed to prevent the communication issuers involved in, and/or which derive and misuse of non-public information by an securities described above in ‘‘Principal investment adviser must be consistent with Rule significant revenue (as determined by Investments,’’ the Fund may invest its 204A–1 under the Advisers Act. In addition, Rule data sourced from ‘‘Third Party 206(4)–7 under the Advisers Act makes it unlawful Providers’’ (defined below)) from, 8 The term ‘‘cash equivalents’’ is defined in for an investment adviser to provide investment certain practices, industries or product Commentary .01(c) to NYSE Arca Rule 8.600–E. advice to clients unless such investment adviser has 9 (i) adopted and implemented written policies and lines, including: extreme event The Fund will seek to obtain exposure to U.S. procedures reasonably designed to prevent controversies, controversial weapons, agency mortgage pass-through securities primarily violation, by the investment adviser and its civilian firearms, thermal coal through the use of ‘‘to-be-announced’’ or ‘‘TBA supervised persons, of the Advisers Act and the transactions.’’ extraction, tobacco, and UN global 10 Commission rules adopted thereunder; (ii) Under normal market conditions, the Fund implemented, at a minimum, an annual review compact violations. Issuers in the intends to invest more than 25% of its total assets regarding the adequacy of the policies and financial services sector are excluded in bank obligations. procedures established pursuant to subparagraph (i) from this initial screening process; 11 ECDs and ETDs are U.S. dollar denominated above and the effectiveness of their certificates of deposit and time deposits, implementation; and (iii) designated an individual however, the Adviser will consider respectively, issued by non-U.S. branches of (who is a supervised person) responsible for domestic banks and non-U.S. banks. YCDs are U.S. administering the policies and procedures adopted 7 The term ‘‘normal market conditions’’ is defined dollar denominated certificates of deposit issued by under subparagraph (i) above. in NYSE Arca Rule 8.600–E(c)(5). U.S. branches of non-U.S. banks.
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remaining assets in the securities (‘‘NSCC’’), will make available on each Investment Restrictions described below. Business Day, prior to the opening of The Fund’s investments will be The Fund may invest in exchange business on the Exchange (currently consistent with the Fund’s investment 12 traded funds (‘‘ETFs’’). 9:30 a.m., Eastern time), the list of the objective and will not be used to The Fund may invest in the securities names and the required number of enhance leverage (although certain of non-exchange-traded investment shares of each Deposit Security or the derivatives and other investments may company securities, subject to required amount of Deposit Cash, as result in leverage). That is, while the applicable limitations under Section applicable, to be included in the current Fund will be permitted to borrow as 12(d)(1) of the 1940 Act. Fund Deposit (based on information at permitted under the 1940 Act, the The Fund will not invest in securities the end of the previous Business Day) Fund’s investments will not be used to or other financial instruments that have for the Fund. seek performance that is the multiple or not been described in this proposed rule To be eligible to place orders to inverse multiple (e.g., 2Xs and 3Xs) of change. purchase a Creation Unit of the Fund, the Fund’s primary broad-based an entity must be (i) a ‘‘Participating Creation and Redemption of Creation securities benchmark index (as defined Party’’, i.e., a broker-dealer or other in Form N–1A).14 Units participant in the clearing process The Fund will issue and redeem its through the Continuous Net Settlement Disclosed Portfolio Shares on a continuous basis, at net System of the NSCC (the ‘‘Clearing The Fund’s disclosure of derivative asset value (‘‘NAV’’), only in a large Process’’), a clearing agency that is positions in the applicable Disclosed specified number of Shares (a ‘‘Creation registered with the SEC; or (ii) a Portfolio includes information that Unit’’). Creation Unit sizes are 50,000 Depository Trust Company participant. market participants can use to value Shares per Creation Unit. The Creation Redemption of Shares these positions intraday. On a daily Unit size for the Fund may change. basis, the Fund will disclose the The Trust will issue and sell Shares Shares may be redeemed only in information regarding the Disclosed of the Fund only in Creation Units on Creation Units at their NAV next Portfolio required under NYSE Arca a continuous basis through the determined after receipt of a redemption Rule 8.600–E (c)(2) to the extent Distributor at their NAV per Share next request in proper form by the Fund and applicable. The Fund’s website determined after receipt of an order, on only on a Business Day. With respect to information will be publicly available at the Fund, the Custodian, through the any Business Day (as defined below), in no charge. proper form pursuant to the terms of the NSCC, will make available prior to the Application of Generic Listing Authorized Participant Agreement opening of business on the Exchange on each Business Day, the list of the names Requirements (‘‘Participant Agreement’’). A ‘‘Business and share quantities of the Fund’s Day’’ with respect to the Fund is, The Exchange is submitting this portfolio securities that will be generally, any day on which the NYSE proposed rule change because the applicable on that day (‘‘Fund is open for business. portfolio for the Fund will not meet all Securities’’). Fund Securities received The consideration for purchase of a of the ‘‘generic’’ listing requirements of on redemption may not be identical to Creation Unit of the Fund generally will Commentary .01 to NYSE Arca Rule Deposit Securities. consist of either (i) the in-kind deposit 8.600–E applicable to the listing of Redemption proceeds for a Creation Managed Fund Shares. The Fund’s of a designated portfolio of securities Unit will be paid either in-kind or in (the ‘‘Deposit Securities’’) per each portfolio would meet all such cash or a combination thereof, as requirements except for those set forth Creation Unit and the ‘‘Cash determined by the Trust. With respect to in Commentary .01(a)(1)(A) through (E) Component’’ (defined below), computed in-kind redemptions of the Fund, (with respect to the Fund’s investments as described below or (ii) the cash value redemption proceeds for a Creation Unit in non-exchange-traded investment of the Deposit Securities (‘‘Deposit will consist of Fund Securities, as company securities) and Commentary Cash’’) and Cash Component, computed announced by the Custodian prior to the .01(b)(3) to NYSE Arca Rule 8.600–E as described below. opening of business on the Business Day with respect to the Fund’s investments Together, the Deposit Securities or of the request for redemption received in Short-Term Fixed Income Deposit Cash, as applicable, and the in proper form plus cash in an amount Securities.15 Cash Component constitute the ‘‘Fund equal to the difference between the NAV The Fund’s Short-Term Fixed Income Deposit,’’ which represents the of the Shares being redeemed, as next Securities may not comply with the minimum initial and subsequent determined after a receipt of a request requirements set forth in Commentary investment amount for a Creation Unit in proper form, and the value of the .01(b)(3) to NYSE Arca Rule 8.600–E. of the Fund. The ‘‘Cash Component’’, is Fund Securities (the ‘‘Cash Redemption While the requirements set forth in an amount equal to the difference Amount’’), less a fixed redemption Commentary .01(b)(3) is intended to between the NAV of the Shares (per transaction fee and any applicable ensure that the Short-Term Fixed Creation Unit) and the market value of additional variable charge. the Deposit Securities or Deposit Cash, Notwithstanding the foregoing, at the as applicable. 14 The Fund’s broad-based securities benchmark Trust’s discretion, an Authorized index will be identified in a future amendment to The Custodian, through the National Participant may receive the the Registration Statement following the Fund’s Securities Clearing Corporation corresponding cash value of the first full calendar year of performance. securities in lieu of the in-kind 15 Commentary .01(b)(3) to NYSE Arca Rule 12 For purposes of this filing, ‘‘ETFs’’ are securities value representing one or 8.600–E provides as follows: Investment Company Units (as described in NYSE 13 ‘‘An underlying portfolio (excluding exempted Arca Rule 5.2–E(j)(3)); Portfolio Depositary Receipts more Fund Securities. securities) that includes fixed income securities (as described in NYSE Arca Rule 8.100–E); and shall include a minimum of 13 non-affiliated Managed Fund Shares (as described in NYSE Arca 13 The Adviser represents that, to the extent the issuers, provided, however, that there shall be no Rule 8.600–E). All ETFs will be listed and traded Trust effects the creation or redemption of Shares minimum number of non-affiliated issuers required in the U.S. on a national securities exchange. The wholly or partially in cash, such transactions will for fixed income securities if at least 70% of the Fund will not invest in inverse or leveraged (e.g., be effected in the same manner for all Authorized weight of the portfolio consists of equity securities 2X, -2X, 3X or -3X) ETFs. Participants. as described in Commentary .01(a) above’’.
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Income Securities included in the comply with the requirements of 2008 Approval Order approving Fund’s portfolio are sufficiently Commentary .01(a)(1)(A) through (E) to amendments to Commentary .01(a) to diversified among non-affiliated issuers, NYSE Arca Rule 8.600–E (U.S. Rule 5.2(j)(3) to exclude Derivative the Exchange believes that any concerns Component Stocks) with respect to its Securities Products from certain related to non-compliance are mitigated equity securities holdings. provisions of Commentary .01(a) (which by the types of instruments that the However, it is appropriate and in the exclusions are similar to those in Fund would hold. The Fund’s Short- public interest to approve listing and Commentary .01(a)(1) to Rule 8.600–E), Term Fixed Income Securities to a trading of Shares of the Fund the Commission stated that ‘‘based on significant extent will include those notwithstanding that the Fund’s the trading characteristics of Derivative instruments that are included in the holdings in such securities would not Securities Products, it may be difficult definition of cash and cash equivalents, meet the requirements of Commentary for component Derivative Securities but are not considered cash and cash .01(a)(1)(A) through (E) to Rule 8.600–E. Products to satisfy certain quantitative equivalents because they have Investments in other non-exchange- index criteria, such as the minimum maturities of three months or longer. traded open-end management market value and trading volume The Exchange believes, however, that investment company securities will not limitations.’’ The Exchange notes that it Short-Term Fixed Income Securities are exceed 20% of the total assets of the would be difficult or impossible to less susceptible than other types of fixed Fund. Such investments, which may apply to mutual fund shares certain of income instruments both to price include mutual funds that invest, for the generic quantitative criteria (e.g., manipulation and volatility and that the example, principally in fixed income market capitalization, trading volume, holdings as proposed are generally securities, would be utilized to help the or portfolio criteria) in Commentary consistent with the policy concerns Fund meet its investment objective and .01(a)(1) (A) through (D) applicable to which Commentary .01(b)(3) is intended to equitize cash in the short term. The U.S. Component Stocks. For example, to address. Because the Short-Term Fund will invest in such securities only the requirements for U.S. Component Fixed Income Securities will consist to the extent that those investments Stocks in Commentary .01(a)(1)(B) that generally of high-quality Short-Term would be consistent with the there be minimum monthly trading Fixed Income Securities described requirements of Section 12(d)(1) of the volume of 250,000 shares, or minimum above, the Exchange believes that the 1940 Act and the rules thereunder.16 notional volume traded per month of policy concerns that Commentary Because such securities must satisfy $25,000,000, averaged over the last six .01(b)(3) is intended to address are applicable 1940 Act diversification months are tailored to exchange-traded otherwise mitigated and that the Fund requirements, and have a net asset value securities (i.e., U.S. Component Stocks) should be permitted to hold these based on the value of securities and and not to mutual fund shares, which securities in a manner that may not financial assets the investment company do not trade in the secondary market comply with such provision. holds, it is both unnecessary and and for which no such volume The Adviser represents that the Fund inappropriate to apply to such information is reported. In addition, is not a money market fund but its investment company securities the Commentary .01(a)(1)(A) relating to investment strategy follows certain criteria in Commentary .01(a)(1). minimum market value of portfolio guidelines applicable to such funds. The Exchange notes that Commentary component stocks, Commentary Specifically, the Fund will only in .01(a)(1)(A) through (D) to Rule 8.600– .01(a)(1)(C) relating to weighting of Short-Term Fixed Income Securities to E exclude certain ‘‘Derivative Securities portfolio component stocks, and maintain a maximum dollar-weighted Products’’ that are exchange-traded Commentary .01(a)(1)(D) relating to average maturity of sixty days or less investment company securities, minimum number of portfolio and dollar-weighted average life of 120 including Investment Company Units components are not appropriately days or less. The Fund will invest in (as described in NYSE Arca Rule 5.2– applied to open-end management securities that have remaining E(j)(3)), Portfolio Depositary Receipts (as investment company securities; open- maturities of 397 calendar days or less. described in NYSE Arca Rule 8.100–E)) end investment companies hold While the Fund will have portfolio and Managed Fund Shares (as described multiple individual securities as holdings that meet the definition of cash in NYSE Arca Rule 8.600–E)).17 In its disclosed publicly in accordance with and cash equivalents under NYSE Arca the 1940 Act, and application of Rule 8.600–E, Commentary .01(c), the 16 The Commission has previously approved Commentary .01(a)(1)(A) through (D) remaining assets may at times be proposed rule changes under Section 19(b) of the invested in longer dated securities, Act for series of Managed Fund Shares that may Thereto, to Amend the Eligibility Criteria for including U.S. and foreign government invest in non-exchange traded investment company Components of an Index Underlying Investment securities, and corporate bonds. The securities to the extent permitted by Section Company Units)(‘‘2008 Approval Order’’). See also 12(d)(1) of the 1940 Act and the rules thereunder. Securities Exchange Act Release No. 57561 (March exemption from the 13 non-affiliated See, e.g., Securities Exchange Act Release No. 26, 2008), 73 FR 17390 (April 1, 2008) (Notice of issuer requirement for the fixed income 86362 (July 12, 2019), 84 FR 34457 (July 18, 2019) Filing of Proposed Rule Change and Amendment portion of the Fund’s portfolio will (SR–NYSEArca–2019–36 (Notice of Filing of No. 1 Thereto to Amend the Eligibility Criteria for allow the Fund to invest in a limited Amendment No. 3 and Order Granting Accelerated Components of an Index Underlying Investment number of Short-Term Fixed Income Approval of a Proposed Rule Change, as Modified Company Units). The Commission subsequently by Amendment No. 3, to List and Trade Shares of approved generic criteria applicable to listing and Securities without having to allocate a JPMorgan Income Builder Blend ETF under NYSE trading of Managed Fund Shares, including small percentage of assets under Arca Rule 8.600–E). exclusions for Derivative Securities Products and management to the required minimum 17 The Commission initially approved the Index-Linked Securities in Commentary .01(a)(1)(A) 13 issuers. Exchange’s proposed rule change to exclude through (D), in Securities Exchange Act Release No. ‘‘Derivative Securities Products’’ (i.e., Investment 78397 (July 22, 2016), 81 FR 49320 (July 27, 2016) The Fund may invest in shares of Company Units and securities described in Section (Order Granting Approval of Proposed Rule Change, investment company securities (other 2 of Rule 8) and ‘‘Index-Linked Securities (as as Modified by Amendment No. 7 Thereto, than ETFs), which are equity securities. described in Rule 5.2–E(j)(6)) from Commentary Amending NYSE Arca Rule 8.600–E To Adopt Therefore, to the extent the Fund invests .01(a)(A) (1) through (4) to Rule 5.2–E(j)(3) in Generic Listing Standards for Managed Fund Securities Exchange Act Release No. 57751 (May 1, Shares). See also Amendment No. 7 to SR– in shares of other non-exchange-traded 2008), 73 FR 25818 (May 7, 2008) (SR–NYSEArca– NYSEArca-2015–110, available at https:// open-end management investment 2008–29) (Order Granting Approval of a Proposed www.sec.gov/comments/sr-nysearca-2015-110/ company securities, the Fund will not Rule Change, as Modified by Amendment No. 1 nysearca2015110-9.pdf.
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would not serve the purposes served form the basis for the Fund’s calculation Trading Halts 20 with respect to U.S. Component Stocks, of NAV at the end of the business day. With respect to trading halts, the namely, to establish minimum liquidity Investors can also obtain the Fund’s Exchange may consider all relevant and diversification criteria for U.S. Statement of Additional Information factors in exercising its discretion to Component Stocks held by series of (‘‘SAI’’), its Shareholder Reports, its halt or suspend trading in the Shares of Managed Fund Shares. Form N–CSR, filed twice a year, and its the Fund.22 Trading in Shares of the The Exchange notes that the Form N–CEN, filed annually. The Fund will be halted if the circuit breaker Commission has previously approved Fund’s SAI and Shareholder Reports are parameters in NYSE Arca Rule 7.12–E available free upon request from the listing and trading of an issue of have been reached. Trading also may be Trust, and those documents and the Managed Fund Shares that may invest halted because of market conditions or Form N–CSR and Form N–CEN may be in equity securities that are non- for reasons that, in the view of the viewed on-screen or downloaded from Exchange, make trading in the Shares of exchange-traded securities of other the Commission’s website at open-end investment company the Fund inadvisable. www.sec.gov. Trading in the Shares will be subject securities notwithstanding that the fund Quotation and last sale information to NYSE Arca Rule 8.600–E(d)(2)(D), would not meet the requirements of for the Shares and ETFs will be which sets forth circumstances under Commentary .01(a)(1)(A) through (E) to available via the CTA high speed line. which Shares of the Fund may be Rule 8.600–E with respect to such Quotation and last sale information for halted. 18 fund’s investments in such securities. such U.S. exchange-listed securities will Trading Rules Thus, the Exchange believes that it is be available from the exchange on appropriate to permit the Fund to invest which they are listed and from major The Exchange deems the Shares to be in non-exchange-traded open-end market data vendors. Information equity securities, thus rendering trading management investment company regarding market price and trading in the Shares subject to the Exchange’s securities, as described above. volume for the Shares will be existing rules governing the trading of The Exchange notes that, other than continually available on a real-time equity securities. Shares will trade on the NYSE Arca Marketplace from 4:00 Commentary .01(a)(1)(A) through (E) basis throughout the day on brokers’ a.m. to 8:00 p.m. E.T. in accordance Commentary .01(b)(3) to Rule 8.600–E, computer screens and other electronic with NYSE Arca Rule 7.34–E (Early, the Fund will meet all other services. Information regarding the Core, and Late Trading Sessions). The requirements of Rule 8.600–E. previous day’s closing price and trading volume information for the Shares will Exchange has appropriate rules to Availability of Information be published daily in the financial facilitate transactions in the Shares section of newspapers. during all trading sessions. As provided The Fund’s website (www.spdrs.com) Quotation information for Short-Term in NYSE Arca Rule 7.6–E, the minimum will include a form of the prospectus for Fixed Income Securities and cash price variation (‘‘MPV’’) for quoting and the Fund that may be downloaded. The equivalents may be obtained from entry of orders in equity securities Fund’s website will include additional brokers and dealers who make markets traded on the NYSE Arca Marketplace is quantitative information updated on a in such securities or through nationally $0.01, with the exception of securities daily basis, including, for the Fund, (1) recognized pricing services through that are priced less than $1.00 for which daily trading volume, the prior Business subscription agreements. The U.S. the MPV for order entry is $0.0001. Except as described herein, the Shares Day’s reported closing price, NAV and dollar value of foreign securities, of the Fund will conform to the initial mid-point of the bid/ask spread at the instruments and currencies can be and continued listing criteria under time of calculation of such NAV (the derived by using foreign currency ‘‘Bid/Ask Price’’),19 and a calculation of NYSE Arca Rule 8.600–E. The Exchange exchange rate quotations obtained from represents that, for initial and/or the premium and discount of the Bid/ nationally recognized pricing services. Ask Price against the NAV, and (2) data continued listing, the Fund will be in In addition, the Portfolio Indicative compliance with Rule 10A–3 23 under in chart format displaying the frequency Value (‘‘PIV’’), as defined in NYSE Arca distribution of discounts and premiums the Act, as provided by NYSE Arca Rule Rule 8.600–E(c)(3), will be widely 5.3–E. A minimum of 100,000 Shares of of the daily Bid/Ask Price against the disseminated by one or more major the Fund will be outstanding at the NAV, within appropriate ranges, for market data vendors at least every 15 commencement of trading on the each of the four previous calendar seconds during the Core Trading Exchange. The Exchange will obtain a quarters. On each Business Day, before 21 Session. The dissemination of the PIV, representation from the issuer of the commencement of trading in Shares in together with the Disclosed Portfolio, Shares of the Fund that the NAV and the Core Trading Session on the will allow investors to determine the the Disclosed Portfolio will be made Exchange, the Adviser will disclose on approximate value of the underlying available to all market participants at the Fund’s website the Disclosed portfolio of the Fund on a daily basis the same time. Portfolio for the Fund as defined in and will provide a close estimate of that NYSE Arca Rule 8.600–E(c)(2) that will value throughout the trading day. Surveillance The Exchange represents that trading 18 See Securities Exchange Act Release No. 83319 20 Under accounting procedures to be followed by in the Shares will be subject to the (May 24, 2018) (SR–NYSEArca–2018–15) (Order the Fund, trades made on the prior business day existing trading surveillances Approving a Proposed Rule Change, as Modified by (‘‘T’’) will be booked and reflected in NAV on the Amendment No. 1 Thereto, to Continue Listing and current business day (‘‘T+1’’). Accordingly, the administered by the Exchange, as well Trading Shares of the PGIM Ultra Short Bond ETF Fund will be able to disclose at the beginning of the as cross-market surveillances Under NYSE Arca Rule 8.600–E). Business Day the portfolio that will form the basis administered by the Financial Industry 19 The Bid/Ask Price of the Fund’s Shares will be for the NAV calculation at the end of the Business Regulatory Authority (‘‘FINRA’’) on determined using the mid-point of the highest bid Day. behalf of the Exchange, which are and the lowest offer on the Exchange as of the time 21 Currently, it is the Exchange’s understanding of calculation of the Fund’s NAV. The records that several major market data vendors display and/ relating to Bid/Ask Prices will be retained by the or make widely available PIVs taken from the CTA 22 See NYSE Arca Rule 7.12–E. Fund and its service providers. or other data feeds. 23 17 CFR 240 10A–3.
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designed to detect violations of Exchange of any failure by the Fund to prevent fraudulent and manipulative Exchange rules and applicable federal comply with the continued listing acts and practices in that the Shares will securities laws.24 The Exchange requirements, and, pursuant to its be listed and traded on the Exchange represents that these procedures are obligations under Section 19(g)(1) of the pursuant to the initial and continued adequate to properly monitor Exchange Act, the Exchange will monitor for listing criteria in NYSE Arca Rule trading of the Shares in all trading compliance with the continued listing 8.600–E. The Adviser is not registered sessions and to deter and detect requirements. If the Fund is not in as a broker-dealer but is affiliated with violations of Exchange rules and compliance with the applicable listing a broker-dealer and has implemented applicable federal securities laws. requirements, the Exchange will and will maintain a fire wall with The surveillances referred to above commence delisting procedures under respect to such broker-dealer affiliate generally focus on detecting securities NYSE Arca Rule 5.5–E(m). regarding access to information trading outside their normal patterns, concerning the composition and/or Information Bulletin which could be indicative of changes to the portfolio. The Exchange manipulative or other violative activity. Prior to the commencement of represents that trading in the Shares When such situations are detected, trading, the Exchange will inform its will be subject to the existing trading surveillance analysis follows and Equity Trading Permit (‘‘ETP’’) Holders surveillances administered by the investigations are opened, where in an Information Bulletin (‘‘Bulletin’’) Exchange, as well as cross-market appropriate, to review the behavior of of the special characteristics and risks surveillances administered by FINRA on all relevant parties for all relevant associated with trading the Shares of the behalf of the Exchange, which are trading violations. Fund. Specifically, the Bulletin will designed to detect violations of The Exchange or FINRA, on behalf of discuss the following: (1) The Exchange rules and applicable federal the Exchange, or both, will procedures for purchases and securities laws. The Exchange communicate as needed regarding redemptions of Shares in Creation Units represents that these procedures are trading in the Shares and ETFs with (and that Shares are not individually adequate to properly monitor Exchange other markets and other entities that are redeemable); (2) NYSE Arca 9.2–E(a), trading of the Shares in all trading members of the Intermarket which imposes a duty of due diligence sessions and to deter and detect Surveillance Group (‘‘ISG’’), and the on its ETP Holders to learn the essential violations of Exchange rules and Exchange or FINRA, on behalf of the facts relating to every customer prior to applicable federal securities laws. The Exchange, or both, may obtain trading trading the Shares; (3) the risks involved Exchange or FINRA, on behalf of the information regarding trading in Shares in trading the Shares during the Early Exchange, or both, will communicate as and ETFs from such markets and other and Late Trading Sessions when an needed regarding trading in the Shares entities. In addition, the Exchange may updated PIV will not be calculated or and ETFs with other markets and other obtain information regarding trading in publicly disseminated; (4) how entities that are members of the ISG, and Shares and ETFs from markets and other information regarding the PIV and the the Exchange or FINRA, on behalf of the entities that are members of ISG or with Disclosed Portfolio is disseminated; (5) Exchange, or both, may obtain trading which the Exchange has in place a the requirement that ETP Holders information regarding trading such comprehensive surveillance sharing deliver a prospectus to investors securities from such markets and other agreement.25 FINRA, on behalf of the purchasing newly issued Shares prior to entities. In addition, the Exchange may Exchange, is able to access, as needed, or concurrently with the confirmation of obtain information regarding trading in trade information for certain fixed a transaction; and (6) trading such securities from markets and other income securities held by the Fund information. entities that are members of ISG or with reported to FINRA’s Trade Reporting In addition, the Bulletin will which the Exchange has in place a and Compliance Engine (‘‘TRACE’’). reference that the Fund is subject to comprehensive surveillance sharing In addition, the Exchange also has a various fees and expenses described in agreement. FINRA, on behalf of the general policy prohibiting the the Registration Statement. The Bulletin Exchange, is able to access, as needed, distribution of material, non-public will discuss any exemptive, no-action, trade information for certain fixed information by its employees. and interpretive relief granted by the income securities held by the Fund All statements and representations Commission from any rules under the reported to FINRA’s TRACE. made in this filing regarding (a) the Act. The Bulletin will also disclose that The PIV, as defined in NYSE Arca description of the portfolio holdings or the NAV for the Shares of the Fund will Rule 8.600–E (c)(3), will be widely reference assets, (b) limitations on be calculated after 4:00 p.m. E.T. each disseminated by one or more major portfolio holdings or reference assets, or trading day. market data vendors at least every 15 (c) the applicability of Exchange listing seconds during the Core Trading rules specified in this rule filing shall 2. Statutory Basis Session. constitute continued listing The basis under the Act for this Except as described herein, the Shares requirements for listing the Shares on proposed rule change is the requirement of the Fund will conform to the initial the Exchange. under Section 6(b)(5) 26 that an and continued listing criteria under The issuer has represented to the exchange have rules that are designed to NYSE Arca Rule 8.600–E. The Exchange Exchange that it will advise the prevent fraudulent and manipulative represents that, for initial and/or acts and practices, to promote just and continued listing, the Fund will be in 24 FINRA conducts cross-market surveillances on equitable principles of trade, to remove compliance with Rule 10A–3 under the behalf of the Exchange pursuant to a regulatory Act, as provided by NYSE Arca Rule services agreement. The Exchange is responsible for impediments to, and perfect the FINRA’s performance under this regulatory services mechanism of a free and open market 5.3–E. A minimum of 100,000 Shares of agreement. and, in general, to protect investors and the Fund will be outstanding at the 25 For a list of the current members of ISG, see the public interest. commencement of trading on the www.isgportal.org. The Exchange notes that not all The Exchange believes that the Exchange. The Exchange will obtain a components of the Disclosed Portfolio for the Fund may trade on markets that are members of ISG or proposed rule change is designed to representation from the issuer of the with which the Exchange has in place a Shares of the Fund that the NAV per comprehensive surveillance sharing agreement. 26 15 U.S.C. 78f(b)(5). Share will be calculated daily and that
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the NAV and the Disclosed Portfolio .01(b)(3) is intended to address are securities benchmark index (as defined will be made available to all market otherwise mitigated and that the Fund in Form N–1A).28 participants at the same time. In should be permitted to hold these The proposed rule change is designed addition, a large amount of information securities in a manner that may not to perfect the mechanism of a free and is publicly available regarding the Fund comply with such provision. open market and, in general, to protect and the Shares, thereby promoting As noted above, the Fund’s portfolio investors and the public interest in that market transparency. The Fund’s will not meet the requirements of it will facilitate the listing and trading of an actively-managed exchange-traded portfolio holdings will be disclosed on Commentary .01(a)(1)(A) through (E) to its website daily after the close of product and will enhance competition Rule 8.600–E with respect to the Fund’s trading on the Exchange and prior to the among market participants, to the investments in non-exchange-traded opening of trading on the Exchange the benefit of investors and the marketplace. securities of open-end investment following day. On a daily basis, the As noted above, the Exchange has in company securities. The Exchange Fund will disclose the information place surveillance procedures relating to believes that it is appropriate and in the regarding the Disclosed Portfolio trading in the Shares and may obtain public interest to approve listing and required under NYSE Arca Rule 8.600– information via ISG from other trading of Shares of the Fund on the E (c)(2) to the extent applicable. The exchanges that are members of ISG or Exchange notwithstanding that the Fund’s website information will be with which the Exchange has entered Fund would not meet the requirements publicly available at no charge. into a comprehensive surveillance Investors can also obtain the Fund’s of Commentary .01(a)(1)(A) through (E) sharing agreement. In addition, as noted Statement of Additional Information to Rule 8.600–E with respect to the above, investors have ready access to (‘‘SAI’’), its Shareholder Reports, its Fund’s investments in non-exchange- information regarding the Fund’s Form N–CSR, filed twice a year, and its traded securities of open-end holdings, the PIV, the Disclosed Form N–CEN, filed annually. The investment company securities. Portfolio for the Fund, and quotation Fund’s SAI and Shareholder Reports are Investments in non-exchange-traded and last sale information for the Shares. available free upon request from the securities of open-end investment Trust, and those documents and the company securities will not be principal B. Self-Regulatory Organization’s Form N–CSR and Form N–CEN may be investments of the Fund. Such Statement on Burden on Competition viewed on-screen or downloaded from investments, which may include mutual The Exchange does not believe that the Commission’s website at funds that invest, for example, the proposed rule change will impose www.sec.gov. Quotation and last sale principally in fixed income securities, any burden on competition that is not information for the Shares and ETFs would be utilized to help the Fund meet necessary or appropriate in furtherance will be available via the CTA high speed its investment objective and to equitize of the purpose of the Act. The Exchange line. cash in the short term. notes that the proposed rule change will With respect to the Fund’s non- The website for the Fund will include facilitate the listing and trading of an compliance with Commentary .01(b)(3) the prospectus for the Fund and additional type of actively-managed (with respect to Short-Term Fixed additional data relating to NAV and exchange-traded product that holds Income Securities),27 the requirement other applicable quantitative fixed income securities, equity set forth in Commentary .01(b)(3) is information. Moreover, prior to the securities and derivatives and that will intended to ensure that the Short-Term commencement of trading, the Exchange enhance competition among market Fixed Income Securities included in the will inform its ETP Holders in an participants, to the benefit of investors Fund’s portfolio are sufficiently Information Bulletin of the special and the marketplace. diversified among non-affiliated issuers, and the Exchange believes that any characteristics and risks associated with C. Self-Regulatory Organization’s concerns related to non-compliance are trading the Shares of the Fund. Trading Statement on Comments on the mitigated by the types of instruments in Shares of the Fund will be halted if Proposed Rule Change Received From that the Fund would hold. The Fund’s the circuit breaker parameters in NYSE Members, Participants, or Others Arca Rule 7.12–E have been reached or Short-Term Fixed Income Securities to No written comments were solicited a significant extent will include those because of market conditions or for reasons that, in the view of the or received with respect to the proposed instruments that are included in the rule change. definition of cash and cash equivalents, Exchange, make trading in the Shares but are not considered cash and cash inadvisable, and trading in the Shares III. Date of Effectiveness of the equivalents because they have will be subject to NYSE Arca Rule Proposed Rule Change and Timing for maturities of three months or longer. 8.600–E(d)(2)(D), which sets forth Commission Action The Exchange believes, however, that circumstances under which Shares of Within 45 days of the date of Short-Term Fixed Income Securities are the Fund may be halted. In addition, as publication of this notice in the Federal less susceptible than other types of fixed noted above, investors will have ready Register or up to 90 days (i) as the income instruments both to price access to information regarding the Commission may designate if it finds manipulation and volatility and that the Fund’s holdings, the PIV, the Disclosed such longer period to be appropriate holdings as proposed are generally Portfolio, and quotation and last sale and publishes its reasons for so finding consistent with the policy concerns information for the Shares. The Fund’s or (ii) as to which the self-regulatory which Commentary .01(b)(3) is intended investments will be consistent with the organization consents, the Commission to address. Because the Short-Term Fund’s investment objective and will will: Fixed Income Securities will consist not be used to enhance leverage. That is, (A) By order approve or disapprove generally of high-quality Short-Term while the Fund will be permitted to the proposed rule change, or Fixed Income Securities described borrow as permitted under the 1940 Act, (B) institute proceedings to determine above, the Exchange believes that the the Fund’s investments will not be used whether the proposed rule change policy concerns that Commentary to seek performance that is the multiple should be disapproved. or inverse multiple (e.g., 2Xs and 3Xs) 27 See note 15, supra. of the Fund’s primary broad-based 28 See note 14, supra.
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IV. Solicitation of Comments For the Commission, by the Division of disapproved. The 45th day after Trading and Markets, pursuant to delegated publication of the notice for this Interested persons are invited to authority.29 proposed rule change is January 26, submit written data, views, and J. Matthew DeLesDernier, 2020. The Commission is extending this arguments concerning the foregoing, Assistant Secretary. 45-day time period. including whether the proposed rule [FR Doc. 2020–01645 Filed 1–29–20; 8:45 am] The Commission finds it appropriate change is consistent with the Act. BILLING CODE 8011–01–P to designate a longer period within Comments may be submitted by any of which to take action on the proposed the following methods: rule change so that it has sufficient time SECURITIES AND EXCHANGE to consider the proposed rule change. Electronic Comments COMMISSION Accordingly, the Commission, pursuant 5 • Use the Commission’s internet [Release No. 34–88028; File No. SR– to Section 19(b)(2) of the Act, comment form (http://www.sec.gov/ NASDAQ–2019–091] designates March 11, 2020 as the date rules/sro.shtml); or by which the Commission shall either Self-Regulatory Organizations; The approve or disapprove, or institute • Send an email to rule-comments@ Nasdaq Stock Market LLC; Notice of proceedings to determine whether to sec.gov. Please include File Number SR– Designation of a Longer Period for disapprove, the proposed rule change NYSEArca–2020–07 on the subject line. Commission Action on a Proposed (File No. SR–NASDAQ–2019–091). Paper Comments Rule Change To Adopt a New Rule For the Commission, by the Division of Permitting Nasdaq To Halt Trading in Trading and Markets, pursuant to delegated • Send paper comments in triplicate a Security and Request Information authority.6 to: Secretary, Securities and Exchange From the Company Regarding the J. Matthew DeLesDernier, Commission, 100 F Street NE, Number of Unrestricted Publicly Held Assistant Secretary. Washington, DC 20549–1090. Shares in Certain Circumstances [FR Doc. 2020–01642 Filed 1–29–20; 8:45 am] All submissions should refer to File January 24, 2020. BILLING CODE 8011–01–P Number SR–NYSEArca–2020–07. This On November 22, 2019, The Nasdaq file number should be included on the Stock Market LLC (‘‘Nasdaq’’ or SECURITIES AND EXCHANGE subject line if email is used. To help the ‘‘Exchange’’) filed with the Securities COMMISSION Commission process and review your and Exchange Commission comments more efficiently, please use (‘‘Commission’’), pursuant to Section only one method. The Commission will [Release No. 34–88029; File No. SR–OCC– 19(b)(1) of the Securities Exchange Act 2019–007] post all comments on the Commission’s of 1934 (‘‘Act’’) 1 and Rule 19b–4 internet website (http://www.sec.gov/ 2 thereunder, a proposed rule change to Self-Regulatory Organizations; The rules/sro.shtml). Copies of the adopt a new rule permitting Nasdaq to Options Clearing Corporation; Order submission, all subsequent halt trading in a security and request Approving Proposed Rule Change, as amendments, all written statements information from the company Modified by Partial Amendment No. 1, with respect to the proposed rule regarding the number of unrestricted Concerning a Proposed Capital change that are filed with the publicly held shares when Nasdaq Management Policy That Would Commission, and all written observes unusual trading characteristics Support The Options Clearing communications relating to the in a security or a company announces Corporation’s Function as a proposed rule change between the an event that may cause a contraction in Systemically Important Financial Commission and any person, other than the number of unrestricted publicly Market Utility those that may be withheld from the held shares. The proposed rule change public in accordance with the was published for comment in the January 24, 2020. provisions of 5 U.S.C. 552, will be Federal Register on December 12, I. Introduction available for website viewing and 2019.3 The Commission has received no printing in the Commission’s Public comment letters on the proposed rule On August 9, 2019, the Options Reference Room, 100 F Street NE, change. Clearing Corporation (‘‘OCC’’) filed with Washington, DC 20549 on official Section 19(b)(2) of the Act 4 provides the Securities and Exchange business days between the hours of that within 45 days of the publication of Commission (‘‘Commission’’) the 10:00 a.m. and 3:00 p.m. Copies of the notice of the filing of a proposed rule proposed rule change SR–OCC–2019– filing also will be available for change, or within such longer period up 007 (‘‘Proposed Rule Change’’) pursuant inspection and copying at the principal to 90 days as the Commission may to Section 19(b) of the Securities office of the Exchange. All comments designate if it finds such longer period Exchange Act of 1934 (‘‘Exchange 1 2 received will be posted without change. to be appropriate and publishes its Act’’) and Rule 19b–4 thereunder to Persons submitting comments are reasons for so finding, or as to which the adopt a policy concerning capital cautioned that we do not redact or edit self-regulatory organization consents, management at OCC, which includes personal identifying information from the Commission shall either approve the OCC’s plan to replenish its capital in the event it falls close to or below target comment submissions. You should proposed rule change, disapprove the capital levels.3 The Proposed Rule submit only information that you wish proposed rule change, or institute Change was published for public to make available publicly. All proceedings to determine whether the comment in the Federal Register on submissions should refer to File proposed rule change should be Number SR–NYSEArca–2020–07 and 5 should be submitted on or before 1 15 U.S.C. 78s(b)(1). Id. 2 6 17 CFR 200.30–3(a)(31). February 20, 2020. 17 CFR 240.19b–4. 3 See Securities Exchange Act Release No. 87677 1 15 U.S.C. 78s(b)(1). (Dec. 6, 2019), 84 FR 67974. 2 17 CFR 240.19b–4. 29 17 CFR 200.30–3(a)(12). 4 15 U.S.C. 78s(b)(2). 3 See Notice of Filing infra note 4, at 84 FR 44952.
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August 27, 2019.4 The Commission including by taking the actions shareholders equity (‘‘Equity’’) received comments regarding the described in Rules 17Ad–22(e)(15)(i)– sufficient to support the amount of Proposed Rule Change.5 On September (iii) under the Exchange Act.10 In LNAFBE determined to be necessary; 17 11, 2019, OCC filed a partial adopting Rule 17Ad–22(e), which and (iii) establish a plan for amendment (‘‘Partial Amendment No. includes Rule 17Ad–22(e)(15), the replenishing OCC’s capital in the event 1’’) to modify the Proposed Rule Commission noted that ‘‘each registered that Equity were to fall below certain Change.6 On October 8, 2019, the clearing agency has different thresholds. OCC also proposes to revise Commission designated a longer period organizational and operating structures its existing rules to support the terms of of time for Commission action on the and clears distinct products that warrant the proposed Capital Management Proposed Rule Change.7 Notice of a tailored approach to governance and policy. Partial Amendment No. 1 and of the risk management, respectively.’’ 11 The A. Determining Capital Requirements designation of a longer period of time Commission also noted its belief that was published in the Federal Register Rule 17Ad–22(e) ‘‘achieves the As noted above, OCC proposes to on October 15, 2019.8 On November 22, appropriate balance between imposing adopt rules describing the 2019, the Commission issued an order new requirements on covered clearing determination of the LNAFBE necessary to institute proceedings to determine agencies and allowing each covered to cover potential general business whether to approve or disapprove the clearing agency, subject to its losses. As proposed, LNAFBE would be Proposed Rule Change.9 This order obligations and responsibilities as an a subset of OCC’s overall Equity—cash approves the Proposed Rule Change. SRO under the Exchange Act, to design and cash equivalents, less any approved adjustments—and therefore, could not, II. Background its policies and procedures pursuant to Rule 17Ad–22(e).’’12 by definition, exceed Equity. OCC One reason for the Proposed Rule Rule 17Ad–22(e)(15) was adopted in proposes to set a ‘‘Target Capital Change is a specific Commission 2016 as part of the Covered Clearing Requirement,’’ which would be based requirement for covered clearing Agency Standards, with a compliance on two components: (i) The amount of agencies such as OCC. Rule 17Ad– date of April 11, 2017.13 Anticipating LNAFBE determined by OCC to be 22(e)(15) under the Exchange Act the need to come into compliance with necessary to ensure compliance with requires that a covered clearing agency new Rule 17Ad–22(e)(15), in January OCC’s regulatory obligations, including establish, implement, maintain, and 2015, OCC filed with the Commission a Rule 17Ad–22(e)(15) under the enforce written policies and procedures proposed rule change regarding a plan Exchange Act; 18 and (ii) any additional reasonably designed to identify, to increase OCC’s capitalization (the amounts determined to be necessary monitor, and manage the covered ‘‘Capital Plan’’).14 The Capital Plan was and appropriate for capital expenditures clearing agency’s general business risk approved by the Commission in approved by OCC’s Board.19 and hold sufficient liquid net assets February 2016,15 and subsequently With respect to the first component of funded by equity to cover potential implemented by OCC. However, the the Target Capital Requirement, to general business losses so that the approval order was vacated by the Court ensure that it is set at a level sufficient covered clearing agency can continue of Appeals for the D.C. Circuit and to ensure compliance with OCC’s operations and services as a going remanded to the Commission. On regulatory obligations, OCC proposes to concern if those losses materialize, February 13, 2019, the Commission set its Target Capital Requirement, at a issued an order disapproving the Capital minimum, equal to the greater of three 4 Securities Exchange Act Release No. 86725 Plan on remand.16 In order to come back amounts: (i) An amount equal to six- (Aug. 21, 2019), 84 FR 44952 (Aug. 27, 2019) (SR– months of OCC’s current operating OCC–2019–007) (‘‘Notice of Filing’’). OCC also filed into compliance with Rule 17Ad– a related advance notice (SR–OCC–2019–805) 22(e)(15), among other things, OCC now expenses; (ii) the amount determined by (‘‘Advance Notice’’) with the Commission pursuant proposes changes to adopt, as part of its OCC’s Board to be sufficient to ensure to Section 806(e)(1) of Title VIII of the Dodd-Frank a recovery or orderly wind-down of Wall Street Reform and Consumer Protection Act, rules, a new policy concerning capital entitled the Payment, Clearing, and Settlement management at OCC (‘‘Capital critical operations and services (‘‘RWD 20 Supervision Act of 2010 and Rule 19b–4(n)(1)(i) Management Policy’’). Specifically, the Amount’’); or (iii) the amount under the Exchange Act. 12 U.S.C. 5465(e)(1) and proposed Capital Management Policy determined by OCC’s Board to be 17 CFR 240.19b–4, respectively. The Advance sufficient for OCC to continue Notice was published in the Federal Register on would (i) describe how OCC would September 11, 2019. Securities Exchange Act determine the amount of liquid net Release No. 86888 (Sep. 5, 2019), 84 FR 47990 (Sep. assets funded by equity (‘‘LNAFBE’’) 17 LNAFBE would mean cash and cash 11, 2019) (SR–OCC–2019–805). equivalents to the extent that such cash and cash 5 Comments are available at https://www.sec.gov/ necessary to cover OCC’s potential equivalents do not exceed Equity. comments/sr-occ-2019-007/srocc2019007.htm. general business losses; (ii) require OCC 18 17 CFR 240.17Ad–22(e)(15). 6 See Notice of Extension infra note 8, at 84 FR to hold a minimum amount of 19 In setting the Target Capital Requirement, OCC 55189. In Partial Amendment No. 1, OCC appended would also consider, but not be bound by, its an Exhibit 2 to the materials filed on August 9, 2019 10 17 CFR 240.17Ad–22(e)(15). projected rolling twelve-months’ operating regarding File No. SR–OCC–2019–007. The expenses pursuant to OCC’s interpretation of 11 Securities Exchange Act Release No. 78961 appended Exhibit 2 consists of communications Commodity Exchange Act Rule 39.11(a)(2). 17 CFR (September 28, 2016), 81 FR 70786, 70797 (October from OCC concerning the proposal dated after OCC 39.11(a)(2). Nothing in this Order constitutes an 13, 2016) (S7–03–14) (‘‘Covered Clearing Agency filed the proposal on August 9, 2019 and does not interpretation of Rule 39.11(a)(2) under the Standards’’). change the purpose of or basis for the Proposed Commodity Exchange Act by the Commission or an 12 Rule Change. References to the Proposed Rule Id. endorsement of OCC’s interpretation of Rule Change from this point forward refer to the 13 See Covered Clearing Agency Standards, 81 FR 39.11(a)(2). Proposed Rule Change, as amended by Partial at 70786. 20 Under the proposal, OCC’s Board would Amendment No. 1. 14 See Securities Exchange Act Release No. 74136 approve the RWD Amount annually at a level 7 See Notice of Extension infra note 8, at 84 FR (Jan. 26, 2015, 80 FR 5171 (Jan. 30, 2015) (File No. designed to cover the cost to maintain OCC’s 55189. SR–OCC–2015–02). critical services over the recovery or wind-down 8 Securities Exchange Act Release No. 87246 (Oct. 15 Securities Exchange Act Release No. 7112 (Feb. period. Identification of OCC’s critical services and 8, 2019), 84 FR 55189 (Oct. 15, 2019) (SR–OCC– 11, 2016), 81 FR 8294 (Feb. 18, 2016) (File No. SR– the length of time necessary to recover or wind- 2019–007) (‘‘Notice of Extension’’). OCC–2015–02). down is covered in OCC’s Recovery and Wind- 9 Securities Exchange Act Release No. 87603 16 See Securities Exchange Act Release No. 85121 Down Plan. See Securities Exchange Act Release (Nov. 22, 2019), 84 FR 65858 (Nov. 29, 2019) (SR– (Feb. 13, 2019), 84 FR 5157 (Feb. 20, 2019) (File No. No. 83918 (Aug. 23, 2018), 83 FR 44091 (Aug. 29, OCC–2019–007). SR–OCC–2015–02). 2018).
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operations and services as a going promptly if Equity were to fall below members to the clearing or guaranty concern if general business losses the Early Warning threshold and to fund, or (b) assessments that the covered materialize (‘‘Potential Loss recommend to the Board whether to clearing agency require non-defaulting Amount’’).21 OCC believes that a implement a fee increase in an amount participants to contribute following the minimum Target Capital Requirement that the Board determines necessary and exhaustion of such participant’s funded sized to cover at least these three appropriate to raise additional Equity. contributions to the relevant clearing or amounts would address OCC’s Under the proposal, OCC’s senior guaranty fund.27 obligations under Exchange Act Rule management would also, on a quarterly 17Ad–22(e)(15).22 With respect to the basis, review OCC’s schedule of fees in C. Replenishing Capital second component of the Target Capital consideration of projected operating OCC proposes to establish a plan for Requirement, the proposal would expenses, projected volumes, replenishing its capital in the event that authorize OCC’s Board to increase the anticipated cash flows, and capital Equity were to fall below certain Target Capital Requirement by an needs. Based on its review, OCC’s senior thresholds (‘‘Replenishment Plan’’). As amount to be retained for capital management would recommend to described above, OCC proposes to expenditures.23 OCC’s Board would be OCC’s Board Compensation and establish an Early Warning threshold to responsible for reviewing and approving Performance Committee whether to define when OCC’s Equity falls close the Target Capital Requirement issue a fee increase, decrease or fee enough to the Target Capital annually. waiver. Additionally, if Equity were to Requirement to require action. OCC also exceed 110 percent of the Target Capital proposes to establish two ‘‘Trigger B. Maintaining Capital Requirement plus an amount of excess Event’’ thresholds to identify (i) whether As noted above, OCC proposes to Equity approved for capital OCC’s Equity were to fall below the adopt rules that would require it to hold expenditures, OCC’s Board could reduce Target Capital Requirement; and (ii) the the minimum amount of Equity the cost of clearing by lowering fees, appropriate response based on the necessary to cover the Target Capital declaring a fee holiday, or issuing severity and speed of capital Requirement. Specifically, OCC refunds. deterioration. Further, the proposed proposes to adopt rules pertaining to the OCC stated that resources held to Capital Management Policy would monitoring and management of OCC’s meet OCC’s Target Capital Requirement require that, on an annual basis, OCC’s Equity. Under the proposed rules, OCC’s would be in addition to OCC’s resources management recommend that the Board senior management would be to cover participant defaults.25 OCC approve or, as appropriate, modify the responsible for reviewing analyses, proposes, however, to mitigate losses Replenishment Plan, and that the Board including projections of future volume, arising out of a Clearing Member default review and, as appropriate, approve expenses, cash flows, capital needs and with OCC’s own excess capital. Management’s recommendation. other factors, to help ensure adequate Specifically, OCC proposes to offset Under the proposed rules, a Trigger financial resources are available to meet default losses remaining after the Event would occur if OCC’s Equity were general business obligations. Such application of a defaulted Clearing to remain below 100 percent of the analyses would also include a monthly Member’s margin deposits and Clearing Target Capital Requirement for a period review of whether OCC’s Equity falls Fund contributions with OCC’s capital of 90 consecutive calendar days close to or below the Target Capital in excess of 110 percent of the Target (referred to herein as the ‘‘Moderate Requirement. Under the proposal, OCC Capital Requirement at the time of the Trigger Event’’). OCC believes that the would view Equity less than 110 default. OCC also proposes to charge failure of a fee increase resulting from percent of the Target Capital losses remaining after the application of an Early Warning to increase OCC’s Requirement as falling close to the OCC’s excess capital to OCC senior Equity above the Target Capital Target Capital Requirement.24 OCC management’s deferred compensation as Requirement within 90 days would would refer to a breach of this 110 well as non-defaulting Clearing indicate that corrective action in the 26 percent threshold as an ‘‘Early Members. The Commission form of a fee increase would be Warning.’’ Under the proposed rules, understands these aspects of the insufficient.28 Under the proposed OCC’s senior management would be proposal to constitute the first instance rules, a Trigger Event would also occur obligated to notify OCC’s Board where a covered clearing agency is if OCC’s Equity were to fall below 90 seeking Commission consideration of a percent of the Target Capital 21 Under the proposal, OCC’s Board would set the ‘‘skin-in-the-game’’ component to Requirement at any time (referred to Potential Loss Amount by analyzing and financial risk management for central herein as the ‘‘Severe Trigger Event’’). aggregating potential losses from individual clearing. A skin-in-the-game component operational risk scenarios, aggregating the loss OCC believes that a Severe Trigger events, and conducting loss modeling at or above to financial risk management entails a Event would be a sign that corrective the 99 percent confidence level. covered clearing agency (in this action more significant and with a more 22 See Notice of Filing, 84 FR at 44945. instance, OCC), upon the occurrence of immediate impact than increasing fees 23 Under the proposal, OCC’s Board could a default or series of defaults and determine, in the alternative, to fund capital should be taken to increase OCC’s application of all available assets of the Equity.29 expenditures out of funds in excess of the Target defaulting participant(s), choosing to Capital Requirement. OCC stated that, in making As noted above, OCC’s Board would such a determination, its Board would consider apply its own capital contribution to the be authorized to approve fee increases factors including, but not limited to, the amount of relevant clearing or guaranty fund in to address the deterioration of OCC’s funding required, the amount of Equity proposed to full to satisfy any remaining losses prior capital over time. To address the more be retained, the potential impact of the investment to the application of any (a) on OCC’s operations, and the duration of time over acute capital replenishment needs which funds would be accumulated. See id. contributions by non-defaulting posed by the Trigger Events, OCC 24 OCC stated that 10 percent of the Target Capital proposes to authorize the use of two Requirement represents approximately two months 25 See Notice of Filing, 84 FR at 44950. of earnings, and that OCC believes that a two-month 26 Such losses would be charged on a pro rata 27 window would provide OCC’s senior management basis to (a) non-defaulting Clearing Members’ See Covered Clearing Agency Standards, 81 FR and Board sufficient time to respond to a Clearing Fund contributions, and (b) the aggregate at 70806. deterioration of OCC’s capital. See Notice of Filing, value of the EDCP Unvested Balance (defined 28 See Notice of Filing, 84 FR at 44946–47. 84 FR at 44946. below). 29 See Notice of Filing, 84 FR at 44946.
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additional resources: (i) Funds held proposal, OCC would allocate the rules of a clearing agency provide for under The Options Clearing Corporation Operational Loss Fee equally among the the equitable allocation of reasonable Executive Deferred Compensation Plan Clearing Members. OCC believes that dues, fees, and other charges among its Trust (‘‘EDCP’’); 30 and (ii) funds charging the Operational Loss Fee in participants.36 obtained by levying a special fee on equal shares is preferable to other • Rule 17Ad–22(e)(2) under the Clearing Members. potential allocation methods because it Exchange Act requires, in part, that a In response to a Trigger Event, OCC would equally mutualize the risk of covered clearing agency establish, would be required to replenish its operational loss among the firms that implement, maintain, and enforce capital first through the contribution of use OCC’s services.33 written policies and procedures the EDCP Unvested Balance. The The proposed rules would permit reasonably designed to provide for amount of the EDCP Unvested Balance OCC to charge amounts only up to the governance arrangements that meet a contributed would be the lesser of (i) the maximum Operational Loss Fee. If, after number of criteria.37 entire EDCP Unvested Balance or (ii) the charging some amount less than the • Rule 17Ad–22(e)(15) under the amount necessary to raise OCC’s Equity maximum Operational Loss Fee, OCC Exchange Act requires, in part, that a above 110 percent of the Target Capital were to issue clearing fee refunds to covered clearing agency establish, Requirement. If a contribution of the manage excess capital, OCC would issue implement, maintain, and enforce entire EDCP Unvested balance were such refunds in equal shares until the written policies and procedures necessary, OCC would be required to amount of the Operational Loss Fee reasonably designed to identify, reevaluate its Equity vis-a`-vis the Target charged to each Clearing Member had monitor, and manage the covered Capital Requirement to determine been fully refunded. If OCC were to clearing agency’s general business risk whether further action would be charge some amount less than the and hold sufficient liquid net assets required following such a contribution. maximum Operational Loss Fee, then funded by equity to cover potential The proposed rules would require the proposed rules would allow OCC to general business losses so that the that OCC take further action if, after charge another Operational Loss Fee in covered clearing agency can continue contributing the entire EDCP Unvested the future, provided that the sum of all operations and services as a going Balance, either: (i) Equity were to Operational Loss Fees, less amounts concern if those losses materialize, remain above 90 percent, but below 100 refunded, could not exceed the including by taking the actions percent, of the Target Capital maximum Operational Loss Fee. In the described in Rules 17Ad–22(e)(15)(i)– Requirement for an additional 90-day event that OCC were to charge the (iii) under the Exchange Act.38 period; 31 or (ii) Equity were below 90 maximum Operational Loss Fee, OCC percent of the Target Capital would then be required to convene its IV. Discussion and Commission Requirement. Under the proposal, if Board to develop a new replenishment Findings OCC were to determine that further plan. After considering the entire record, action would be necessary to replenish III. Statutory Standards and for the reasons discussed below, the its capital, OCC would be required to Commission finds the proposal is levy a special fee on its Clearing Section 19(b)(2)(C) of the Exchange consistent with Sections 17A(b)(3)(F) Members (‘‘Operational Loss Fee’’), Act directs the Commission to approve and 17A(b)(3)(D) of the Exchange Act,39 which would be payable within five a proposed rule change of a self- as well as Rules 17Ad–22(e)(2) and business days of OCC providing notice regulatory organization if it finds that 17Ad–22(e)(15) thereunder.40 to the Clearing Members. Accordingly, such proposed rule change is consistent Before addressing the relevant OCC proposes to amend its schedule of with the requirements of the Exchange portions of the Exchange Act and the fees to describe the maximum Act and the rules and regulations rules and regulations thereunder, Operational Loss Fee that it could thereunder applicable to such however, we address a comment 34 charge Clearing Members. The organization. The Commission submitted by Susquehanna International maximum Operational Loss Fee would addresses in its review of the Proposed Group (‘‘SIG’’). SIG does not comment be sized to provide OCC with the RWD Rule Change the following relevant on the substance of the proposal, but, Amount after any applicable taxes provisions of the Exchange Act and the rather, expresses a generalized concern (‘‘Adjusted RWD Amount’’).32 Under rules and regulations thereunder that the capital accumulated through the the proposal, OCC would be authorized applicable to registered clearing proposed Capital Management Policy to charge Clearing Members, agencies: could ultimately be monetized only or • Section 17A(b)(3)(F) of the collectively, the lesser of (i) the disproportionately for the benefit of the Exchange Act requires, in part, that the maximum Operational Loss Fee or (ii) OCC shareholders in the event of a rules of a registered clearing agency be the amount necessary to raise OCC’s future sale of OCC.41 SIG acknowledges designed to promote the prompt and Equity above 110 percent of the Target that OCC’s By-Laws currently limit the accurate clearance and settlement of Capital Requirement. Under the shareholders of OCC to national securities transactions, to assure the securities exchanges or national 30 safeguarding of securities and funds The EDCP funds available for capital securities associations.42 SIG states, replenishment would be only those funds that are which are in the custody or control of however, that OCC’s By-Laws leave (x) deposited on or after January 1, 2020 in respect OCC or for which it is responsible, and of the EDCP and (y) in excess of amounts necessary to pay for benefits accrued and vested under the to protect investors and the public 36 35 15 U.S.C. 78q–1(b)(3)(D). EDCP at such time (‘‘EDCP Unvested Balance’’). interest. 37 17 CFR 240.17Ad–22(e)(2). 31 The 90-calendar day term of a subsequent • Section 17A(b)(3)(D) of the 38 17 CFR 240.17Ad–22(e)(15). Moderate Trigger Event would be measured Exchange Act requires, in part, that the 39 beginning on the date OCC applies the EDCP 15 U.S.C. 78q–1(b)(3)(D) and (F). Unvested Balance. 40 17 CFR 240.17Ad–22(e)(2) and 17 CFR 33 32 OCC acknowledged that the tax implications of See id. OCC stated that it found no evidence 240.17Ad–22(e)(15). the income represented by the Operational Loss Fee of a correlation between the risk of operational loss 41 Letter from Brian Sopinsky, General Counsel, would depend on the extent to which any and either volume or a Clearing Member’s credit Susquehanna International Group, dated October 1, operational loss giving rise to a Trigger Event would risk profile. See id. 2019, to Vanessa Countryman, Secretary, be tax deductible. See Notice of Filing, 84 FR at 34 15 U.S.C. 78s(b)(2)(C). Commission (‘‘SIG Letter’’) at 1. 44947. 35 15 U.S.C. 78q–1(b)(3)(F). 42 SIG Letter at 1.
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open the possibility of one of these as well as Clearing Members through the provide OCC the means to repay any organizations acquiring OCC or a future contribution of the EDCP Unvested Operational Loss Fee charged to change to OCC’s By-Laws to permit Balance. Taken together, these aspects Clearing Members through subsequent others to acquire OCC.43 The of the Proposed Rule Change could refunds.49 Commission notes that any such future reduce the potential losses charged to As noted, the purpose of the transformative transaction (including the Clearing Fund contributions of non- Operational Loss Fee is to provide OCC any related proposals concerning the defaulting Clearing Members in the with sufficient replenishment capital Capital Management Policy) would be event of a Clearing Member default, following an operational- or general subject to the filing requirements of which in turn would help preserve the business risk-related loss, such that OCC Section 19 of the Exchange Act. We Clearing Fund contributions of non- could either recover its operations and would therefore assess the details and defaulting Clearing Members.45 As such, continue operating as a going concern, potential effects of the transaction at the components of the Proposed Rule or wind-down its operations in an that time, including the treatment of Change related to skin-in-the-game are orderly manner. The Commission did fees collected from Clearing Members. consistent with promoting the not receive any comments on the In light of this required review of any safeguarding of securities and funds in aspects of the proposal related to the such transaction, the Commission does OCC’s custody or for which OCC is sizing of the Operational Loss Fee. not believe that the concerns raised by responsible. Further, as discussed above, the SIG about such a future transaction Accordingly, the Commission finds Commission has reviewed the render the Capital Management Policy that the proposed Capital Management regulatory information available to it inconsistent with the Exchange Act. Policy is consistent with the related to OCC’s Clearing Members and understands that the maximum A. Consistency With Section requirements of Section 17A(b)(3)(F) of the Exchange Act.46 Operational Loss Fee would be 17A(b)(3)(F) of the Exchange Act approximately the same as the Section 17A(b)(3)(F) of the Exchange B. Consistency With Section contingent obligations under the OCC Act requires, in part, that the rules of 17A(b)(3)(D) of the Exchange Act Clearing Fund assessment requirements OCC be designed to promote the prompt Section 17A(b)(3)(D) of the Exchange for a Clearing Member operating at the and accurate clearance and settlement of Act requires the rules of a clearing minimum Clearing Fund deposit.50 The securities transactions and to assure the agency to provide for the equitable Commission believes that OCC’s safeguarding of securities and funds allocation of reasonable dues, fees, and proposal to size the Operational Loss which are in the custody or control of other charges among its participants.47 Fee consistent with other Clearing 44 OCC or for which it is responsible. As discussed below, based on its review Member obligations while also Based on its review of the record, the of the record, the Commission finds that generating an amount of capital Commission finds the proposal is OCC’s proposal—as relevant here, the appropriate to recover OCC’s operations consistent with Section 17A(b)(3)(F) of proposal to adopt the Operational Loss and continue as a going concern or wind the Exchange Act. Fee—is consistent with Section down its operations in an orderly The Commission believes that the 17A(b)(3)(D) of the Exchange Act. manner is reasonable and therefore Capital Management Policy as a whole consistent with the requirements of would help to ensure that OCC monitors 1. OCC’s Proposal To Set the Amount of Section 17A(b)(3)(D) of the Exchange and maintains its Equity at a level the Operational Loss Fee Is Reasonable Act.51 sufficient to either continue operating as As discussed above, the Operational 2. OCC’s Proposal Would Provide for a going concern or to wind-down its Loss Fee is designed to replenish OCC’s operations in an orderly manner in the the Equitable Allocation of the capital following the realization of Operational Loss Fee event that OCC incurs potential losses arising out of operational or If levied, OCC would allocate the operational or general business losses. general business risk exposures (as Operational Loss Fee equally among all In particular, the Commission believes opposed to losses arising out of the Clearing Members.52 According to OCC, that the proposed establishment of a default of a Clearing Member). To that equal allocation is preferable to a Target Capital Requirement in end, OCC proposes to set the maximum proportional allocation based on, for combination with the capital amount of the Operational Loss Fee example, Clearing Members’ trade monitoring, management, and based on the amount determined volume or Clearing Fund contributions, replenishment tools described above, necessary to either recover and continue because, in OCC’s view, all Clearing including the Operational Loss Fee, operating as a going concern, or wind- Members benefit from equal access to would reduce the risk that OCC would down its operations in an orderly the clearance and settlement services be unavailable to clear and settle manner, with adjustments to those provided by OCC, irrespective of how securities transactions and therefore is amounts to account for the potential tax much a given Clearing Member chooses consistent with promoting prompt and implications of revenues that would be to use those services.53 Additionally, in accurate clearance and settlement of generated by the fee.48 Additionally, the developing its proposal to adopt the securities transactions. The Commission proposal would not require OCC to did not receive any comments on this charge the maximum amount of the aspect of the proposal. 49 See id. Operational Loss Fee, and would 50 In addition, as described above, OCC Such minimum assessments could equal up to an additional $1 million ($500,000 minimum proposes to mitigate losses arising out of 45 Additional issues relevant to the skin-in-the- Clearing Fund requirement, assessed up to two a Clearing Member default with OCC’s game aspects of the proposal, including relevant times) on top of a Clearing Member’s existing excess capital (i.e., skin-in-the-game). comments, are discussed below in Section V.C. $500,000 minimum Clearing Fund contribution, for Further, OCC proposes to charge losses 46 15 U.S.C. 78q–1(b)(3)(F). a total contribution of $1.5 million. See, generally, 47 15 U.S.C. 78q–1(b)(3)(D). OCC Rule 1006(h), available at https:// remaining after the application of skin- _ 48 www.theocc.com/components/docs/legal/rules in-the-game to OCC senior management See Notice of Filing, 84 FR at 44947. As _ _ discussed in Section V.D.2 herein, the Commission and bylaws/occ rules.pdf finds that the approach OCC applies to determining 51 15 U.S.C. 78q–1(b)(3)(D). 43 SIG Letter at 1. such amounts is reasonable and supported by the 52 See Notice of Filing, 84 FR at 44947. 44 15 U.S.C. 78q–1(b)(3)(F). record. 53 See id.
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Operational Loss Fee, OCC considered doing so became necessary.59 OCC million per Clearing Member.62 OCC’s alternative allocation methods for the further describes the series of events rules currently require Clearing Operational Loss Fee, including that would have to occur in the event Members to maintain net capital of at allocating the Operational Loss Fee that its Equity fell at or below different least $2 million.63 Based on its review proportionally among Clearing Members percentages of the Target Capital of data provided by OCC, as of the time based on trade volume, risk profile, and Requirement, and the different measures of filing, 98 percent of Clearing other metrics.54 As part of this process, OCC would have to take, including Members would be able to absorb the OCC reviewed available data related to potentially raising fees, lowering costs, maximum Operational Loss Fee without different measures of Clearing Members’ and using its available skin-in-the-game breaching that requirement.64 Further, a use of OCC’s clearance and settlement to cure such losses (and that would have $1.4 million Operational Loss Fee services, such as trade volume and to fail) before OCC would be permitted would be roughly similar to the credit risk profiles, and performed a to charge the Operational Loss Fee.60 contingent obligations under the OCC series of analyses to determine whether OCC’s proposal with respect to the Clearing Fund assessment requirements there is a potential correlation between Operational Loss Fee will permit OCC to for a Clearing Member operating at the and among those metrics and the raise additional equity in the event that minimum Clearing Fund deposit.65 In various operational and general its equity falls close to or below the the Commission’s view, this helps business risks that could give rise to the Target Capital Requirement. The ensure that any potential liquidity Operational Loss Fee. Operational Loss Fee represents an obligations OCC may place on its The Commission received, and has appropriate and reasonable allocation of Clearing Members via the Operational reviewed, these analyses.55 These potential contingent costs to Clearing Loss Fee is at a level that is generally analyses did not show a correlation Members. The FIA’s suggested approach consistent with OCC’s existing between the operational and general would still source the required funds assessment demands on such Clearing business risks that could give rise to the from Clearing Members, but in a manner Members. Operational Loss Fee and contract that essentially pre-funds the maximum Finally, the FIA’s preferred approach volume, Clearing Fund contributions, potential replenishment obligation of imposing higher fees now and risk profile, or other metrics.56 Based on without being informed by the specific building up OCC’s capital reserves to our review of the record, we conclude facts and circumstances that inform the necessary level over time would not that it is consistent with the Exchange OCC’s determination of the actual provide OCC with an immediately Act to allocate the Operational Loss Fee required amount.61 In contrast, under available replenishment plan, and equally among all Clearing Members. OCC’s proposal, the Operational Loss would therefore, not be consistent with One commenter, the FIA, submitted a Fee would be imposed only if and when OCC’s obligation to comply with Rule comment letter noting that the use of the OCC’s efforts to set and maintain its 17Ad-22(e)(15)(iii) of the Exchange Act. Operational Loss Fee could allocate capital reserves at a level sufficient to As such, although the FIA has a general some amount of non-default losses to withstand operational and business objection to any CCP allocating non- OCC’s Clearing Members and stating losses are insufficient, OCC’s capital default losses to Clearing Members, the that non-default losses should not be reserves deteriorate to a significant FIA does not assert that, or otherwise allocated to Clearing Members. In the degree as a result, and the other tools explain how, OCC’s specific proposal to FIA’s view, as a CCP, OCC should available to OCC are insufficient to do so in the context of the Operational absorb such losses rather than utilize return OCC’s capital reserves to a Loss Fee would render the Proposed capital on a discretionary basis.57 Rather minimum acceptable level. In this Rule Change inconsistent with the than assess the Operational Loss Fee in respect, the Commission believes that Exchange Act. the event of a Trigger Event, the FIA OCC’s approach is both reasonable and The FIA further expresses the belief asserts that OCC should begin consistent with the Exchange Act. that imposing the Operational Loss Fee accumulating retained earnings now so Because the Operational Loss Fee is not on Clearing Members without providing that it will be in a position to use them assessed until a specific but contingent a return to Clearing Members is instead of the Operational Loss Fee.58 future time, it leaves available to inequitable and that, ideally, OCC’s OCC responds that raising additional Clearing Members funds and liquidity shareholders should either be required capital through the accumulation of that may be put to more efficient use as to provide ‘‘similar such commitment or 66 retained earnings over a number of years opposed to being held indefinitely at allow for an equity dilution.’’ would still source the funds from OCC in the form of collected fees. As explained above, the Commission Clearing Members, but would do so in Further, the Proposed Rule Change believes that the record demonstrates a manner that essentially would pre- would allow OCC to charge less than the that OCC has designed the Operational fund the replenishment obligation maximum Operational Loss Fee Loss Fee in a manner that is equitable rather than only impose it if and when because, if and when such a fee were to to the Clearing Members in terms of become necessary, OCC would know determining (i) the overall amount of 54 See id. Additionally, OCC discussed the equal that actual amount required to achieve the Operational Loss Fee, and (ii) the allocation of the Operational Loss Fee with Clearing replenishment. In the Commission’s relative burdens and obligations Members on May 31, 2019. See Notice of Filing, 84 view, this approach is more precise, Clearing Members must meet in paying FR at 44949. requiring OCC to determine and collect the Operational Loss Fee. Moreover, the 55 See Notice of Filing, 84, FR at 44947 (noting Commission believes that the that OCC included as confidential Exhibit 3e a only the amount of the Operational Loss comparison of its quantification of operational risks Fee required by OCC under the given to contract volume and the amount of Clearing circumstances to replenish its resources. 62 FIA Letter at 2. Fund deposits). Further, as the FIA noted, OCC 63 Notice of Filing, 84 FR at 44951–52 (citation 56 See Notice of Filing, 84, FR at 44947 (noting estimates that the Operational Loss Fee, omitted). that ‘‘OCC has not observed any correlation 64 See Notice of Filing, 84, FR at 44952 (stating between the annual quantifications of these risks if assessed now, would be around $1.4 that OCC included, as confidential Exhibit 3h, and contract volume or Clearing Member credit financial data reported by Clearing Members). risk.’’). 59 OCC Letter at 2. 65 Notice of Filing, 84 FR at 44951; see also supra 57 FIA Letter at 3. 60 OCC Letter at 4–5. note 51. 58 FIA Letter at 2. 61 OCC Letter at 2. 66 FIA Letter at 2.
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Operational Loss Fee serves a critical operational risks, on the one hand, and and execution, delivery, and process purpose for the benefit of Clearing contract volume, on the other hand,’’ as management at OCC. The Commission Members, their customers and the ‘‘flawed inasmuch as it ignores the fact believes that the operational and broader U.S. equity markets. OCC is the that a Clearing Member that makes business risks identified and analyzed only clearing agency for standardized greater use of the OCC’s clearing and by OCC are reasonable in light of the U.S. securities options listed on SEC- settlement system places greater strain requirements of Rule 17Ad–22(e)(15) registered national securities exchanges on that system and thus exposes the discussed above.74 And based on the (‘‘listed options’’) and provides central system to greater operational risk.’’72 Commission’s review of the record, we counterparty services for the U.S. listed- Based on the Commission’s regulatory do not believe that there is a positive options markets.67 OCC’s role as the sole and supervisory experience, the correlation between these types of risks CCP for all listed options contracts in Commission does not agree that a and a Clearing Member’s ‘‘use of OCC’s the U.S. makes it an integral part of the Clearing Member that ‘‘makes greater clearing and settlement services.’’ For national system for clearance and use of OCC’s clearing and settlement example, OCC’s analyses do not show a settlement, and the Financial Stability system necessarily places greater strain correlation between a Clearing Oversight Council designated OCC as a on that system and thus exposes the Member’s contract volume or credit risk systemically important financial market system to greater operational risk.’’ profile, which are reasonable proxies for utility (‘‘SIFMU’’) in 2012.68 The Contrary to LPL’s assertion that ‘‘each a Clearing Member’s ‘‘use’’ of OCC’s resilience and ongoing orderly contract introduced to the OCC’s system clearance and settlement services, and operations of OCC thus broadly benefits brings with it a new opportunity for the specific operational risk that that Clearing Members, their customers, and internal fraud and cyber-attack,’’ 73 Clearing Member poses to OCC. the broader U.S. financial system.69 based on its supervisory and regulatory Further, the Commission does not While OCC could have considered or experience with OCC, the Commission agree with the assertion that Clearing proposed other approaches that might understands that contracts are not Members that ‘‘use’’ OCC’s clearance have entailed different obligations and submitted to be processed by OCC on a and settlement services more derive burdens for Clearing Members one-by-one basis such that each contract more benefit from those services, and (including via raising additional capital represents an equal potential for therefore should be allocated a larger from the Clearing Members), the failure operational risk. portion of the Operational Loss Fee. As of OCC to consider or propose such Further, in the Commission’s an initial matter, OCC has been alternative measures does not render the experience, a Clearing Member’s ‘‘use’’ designated as a SIFMU and its role as Proposed Rule Change inequitable. of OCC’s services is not necessarily the sole CCP for all listed options A different commenter—LPL correlated to that Clearing Member’s contracts in the U.S. makes it an integral Financial (‘‘LPL’’)—expresses the belief operational resiliency. OCC has a broad part of the national system for clearance that the proposal to allocate the range of geographically diverse Clearing and settlement. Clearing Members, their Operational Loss fee in equal shares Members, comprised of U.S. broker- customers, investors, and the markets as among OCC’s Clearing Members would dealers, future commission merchants, a whole derive significant benefit from be inequitable and suggests that, and foreign securities firms of various that national system and the overall instead, the Operational Loss Fee sizes, all of which serve diverse markets market system it supports, regardless of should be allocated ‘‘in a manner that and engage in diverse strategies and their specific utilization of that system. corresponds to the extent to which each activities on behalf of diverse clients, As such, Clearing Members benefit from Clearing Member utilizes (and therefore including professional traders, as well OCC’s efforts to ensure that it is and benefits from) the OCC’s operations.’’ 70 as institutional and retail investors. remains well capitalized, that it has In LPL’s view, such an allocation would There is, therefore, no basis to conclude, sufficient financial resources to ‘‘correctly acknowledge that the extent for example, that a Clearing Member withstand operational or general to which a Clearing Member makes use that clears 1,000 contracts in a given business losses, and that it has a plan in of the OCC’s clearing and settlement month in a particular set of financial place to replenish those resources in the systems does, in some cases, directly products necessarily introduces less event that it incurs such losses. The correspond to the risk that the OCC will operational risk to OCC than a Clearing Commission is not aware of evidence incur certain operational losses.’’ 71 LPL Member that clears 10,000 contracts in demonstrating that those benefits are further challenges OCC’s statement that a different set of financial products in tied directly or positively correlated to ‘‘there is no correlation between that same month. an individual Clearing Member’s rate of LPL also fails to acknowledge or utilization of OCC’s clearance and address the specific operational and 67 See Securities Exchange Act Release No. 85121 settlement services. Further, as noted, (Feb. 13, 2019), 84 FR 5157 (Feb. 20, 2019) (File No. business risks that could give rise to the the Commission has reviewed data SR–OCC–2015–02); see id., 84 FR at 5158. Operational Loss Fee. As noted above, provided by OCC that demonstrates a 68 See Financial Stability Oversight Council OCC conducted analyses to determine lack of correlation between use (as (‘‘FSOC’’) 2012 Annual Report, Appendix A, whether it could identify a correlation represented by volume) and operational https://www.treasury.gov/initiatives/fsoc/ 75 Documents/2012%20Annual%20Report.pdf (last between various measures of Clearing risk. Such data is consistent with the visited November 25, 2019). Members’ use of OCC’s clearance and Commission’s regulatory and 69 See id. As a registered clearing agency, OCC settlement services and the specific plays an important role in fostering the proper types of operational and general 74 The Commission notes that these operational functioning of financial markets and, by business risks that could give rise to the and business risk metrics correspond to the Basel centralizing the clearance and settlement of listed II Advanced Measurement Approach. See options, allows market participants to reduce costs, Operational Loss Fee. These included, International Convergence of Capital Measurements increase operational efficiency, and manage risks among others, internal fraud, external and Capital Standards: a Revised Framework, Basel more effectively. See Covered Clearing Agency fraud, employment practices, workplace Committee on Banking Supervision, 2005, available Standards, 81 FR at 70860–61. safety, damage to physical assets, at https://www.bis.org/publ/bcbs128.pdf. 70 Letter from Steven Morrison, SVP, Associate business disruption and system failures, 75 See Notice of Filing, 84, FR at 44947 (noting General Counsel, LPL, dated September 17, 2019 that OCC included as confidential Exhibit 3e a (received September 26, 2019) to Brent J. Fields, comparison of its quantification of operational risks Secretary, Commission, (‘‘LPL Letter’’) at 1–2. 72 LPL Letter at 3. to contract volume and the amount of Clearing 71 LPL Letter at 1–2. 73 LPL Letter at 3. Fund deposits).
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supervisory experience, which and approved by the OCC Board can be agency’s stakeholders, including demonstrates that operational risks can met through amounts in excess of the management and clearing members.85 arise from a variety of disparate sources Target Capital Requirement and, as And, while the Commission declined to that are represented in different ways such, it is unclear how this may tie in include a specific skin-in-the-game and to different degrees among OCC’s with OCC’s plans to contribute skin-in- requirement, it stated its belief that ‘‘the diverse membership, such that, as noted the-game.79 The FIA also notes that proper alignment of incentives is an above, the level of operational risk ‘‘capital levels in excess of 110% of important element of a covered clearing presented to OCC by a given Clearing threshold could result in OCC revisiting agency’s risk management practices,’’ Member does not appear to be positively the fee schedule,’’ and that it is ‘‘unclear and noted that skin-in-the-game ‘‘may correlated to the number, type, or if/how this may impact the funded level play a role in those risk management volume of contracts that that Clearing of skin in the game.’’ 80 As such, the FIA practices in many instances.’’ 86 Member clears through OCC. seeks ‘‘greater transparency on the size Here, OCC has considered its Taken together, the Commission of these resources,’’ states that OCC financial resources, ownership believes that OCC’s current proposal to should have a minimum amount of structure, existing risk management fund replenishment capital through the skin-in-the-game that ‘‘scales with risk framework, and other factors and, in Operational Loss Fee includes a sizing and is defined and funded upfront,’’ and light of these considerations, proposes and allocation methodology that, as urges OCC ‘‘to define a level of [skin-in- to add to its current default waterfall discussed above, is reasonably designed the-game] ex ante that would always be two potential sources of skin-in-the- to minimize the potential burden of the readily available in case of a default game for offsetting losses associated fee on Clearing Members, as supported loss.’’ 81 with Clearing Member defaults: (i) by data on the record, and would result OCC responds that the Commission Deferred compensation in the form of in both the reasonable sizing and the has not imposed a skin-in-the-game the EDCP Unvested Balance (i.e., equitable allocation of the Operational requirement, but that OCC nevertheless executive bonuses awarded but not yet Loss Fee. Accordingly, for the reasons believes it is prudent to align OCC’s paid) and (ii) capital reserves (i.e., discussed above, the Commission incentives with those of the broader Shareholder equity) in excess of 110 believes that the proposed allocation industry with respect to the percent of the Target Capital method is consistent with the management of risks faced by OCC and, Requirement. OCC proposes to modify requirement that OCC’s rules provide as a result, has determined to propose its current default waterfall such that it for the equitable allocation of fees. The the skin-in-the-game provisions would be required to use these skin-in- Commission finds, therefore, that OCC’s included in its proposal.82 OCC states the-game resources before utilizing non- proposal to adopt the Operational Loss that, under the proposed Capital defaulting members’ Clearing Fund Fee is consistent with the requirements Management Policy, it would provide a contributions.87 of Section 17A(b)(3)(D) of the Exchange layer of skin-in-the-game to be used for In the Commission’s view, with this Act.76 both default losses and non-default aspect of the Proposed Rule Change losses, and that the skin-in-the-game OCC would be taking an important step C. Consistency With Rule 17Ad–22(e)(2) toward incorporating a skin-in-the-game Under the Exchange Act would be a combination of two sources: Current and retained earnings of OCC component into its existing risk Rule 17Ad–22(e)(2) under the and available funds in OCC’s EDCP.83 management framework, which in turn Exchange Act requires, in part, that a OCC acknowledges that, because it should help further align the interests of covered clearing agency establish, would be determined based on a OCC’s stakeholders, including OCC implement, maintain, and enforce function of available funds at a specific management and Clearing Members. written policies and procedures point in time, the specific amount of The direct contribution of the EDCP reasonably designed to provide for skin-in-the-game will be unknown until Unvested Balance in particular would governance arrangements that, among the time of an operational loss event, represent a direct contribution of other things, are clear and transparent; but emphasizes its belief that the skin- executive compensation by OCC’s clearly prioritize the safety and in-the-game component of the proposed senior managers and therefore would efficiency of the covered clearing Capital Management Policy, particularly help align the incentives of OCC’s agency; and support the public interest with respect to the EDCP funds that 77 85 requirements of the Exchange Act. would be a direct contribution from Covered Clearing Agency Standards, 81 FR at Based on its review of the record, the 70805–06. OCC management, is sufficient to ensure 86 Covered Clearing Agency Standards, 81 FR at Commission finds the proposal is the alignment of incentives for risk 70806. consistent with Rule 17Ad–22(e)(2) management between OCC and the 87 Specifically, OCC’s current default waterfall, in under the Exchange Act. Clearing Member community.84 general, utilizes the following resources in the As described in more detail above, following order: (i) The defaulting Clearing We conclude that OCC’s skin-in-the- Member’s margin deposit; (ii) the defaulting under the proposal OCC would game proposal is consistent with the Clearing Member’s Clearing Fund contribution; and introduce a skin-in-the-game component Exchange Act and the rules and (iii) non-defaulting Clearing Members’ Clearing to its existing default waterfall to offset regulations thereunder. In adopting Rule Fund contributions. Under the proposal the new losses in the event of a Clearing Member default waterfall would require OCC to utilize the 17Ad–22(e)(2), the Commission following resources in the following order: (i) The default. The FIA stated that it is unclear discussed comments it received defaulting Clearing Member’s margin deposit; (ii) how material these skin-in-the-game regarding the concept of skin-in-the- the defaulting Clearing Member’s Clearing Fund contributions would be and whether game as a potential tool to align the contribution; (iii) skin-in-the-game in the form of they would be meaningful enough to capital reserves above 110 percent of the Target various incentives of a covered clearing Capital Requirement at the time of the default; and result in an alignment of interest from (iv) skin-in-the-game in the form of the aggregate 78 a shareholder perspective. The FIA 79 FIA Letter at 2. value of the EDCP Unvested Balance at the time of notes that capital expenditures planned 80 FIA Letter at 2. the default and non-defaulting Clearing Members’ 81 Clearing Fund contributions, both charged on a pro FIA Letter at 1–2. rata basis. In addition, under the proposal, OCC 76 15 U.S.C. 78q–1(b)(3)(D). 82 OCC Letter at 1. would be permitted (but would not be required) to 77 17 CFR 240.17Ad–22(e)(2). 83 OCC Letter at 1–2. also utilize capital reserves between 100 percent 78 FIA Letter at 1. 84 OCC Letter at 2. and 110 percent of the Target Capital Requirement.
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senior management with those of the holders, and other relevant stakeholders covered clearing agency may take in broader industry with respect to the of the covered clearing agency.92 In considering the views of stakeholders management of risks faced by OCC. adopting Rule 17Ad–22(e)(2), the could vary depending on the ownership Further, the EDCP Unvested Balance Commission noted that the inclusion of structure or organizational form of the would not be affected directly by the independent directors on a clearing covered clearing agency.98 The issues relating to capital expenditures agency’s board may be one mechanism Commission believes that the and revisions to the fee schedule noted for helping to ensure that the relevant governance arrangements currently in by the FIA. Finally, although the size of views of stakeholders are presented and existence and proposed by OCC in OCC’s skin-in-the-game resources in considered.93 In the context of default connection with the Proposed Rule absolute terms would not be set unless management, the Commission has Change, as discussed above, are and until they were utilized, the acknowledged that risk exposures can consistent with the requirement to Proposed Rule Change establishes a change rapidly during periods of market consider the interests of OCC’s clear and transparent methodology for stress.94 Similarly, the Commission participants, and are therefore establishing the amount of skin-in-the- believes that the general business risk consistent with Rule 17Ad–22(e)(2). game that would be available at the time exposures, and related losses, may Accordingly, and for the reasons and in the event of a Clearing Member change rapidly during periods of stress, stated above, the Commission finds the default. As such, the Commission and, in turn, that there is a benefit to a changes proposed in the Proposed Rule believes that the skin-in-the-game covered clearing agency’s ability to Change are consistent with Rule 17Ad– aspects of the Proposed Rule Change are respond to such changes in a timely 22(e)(2) under the Exchange Act.99 consistent with Section 17Ad–22(e)(2) fashion. of the Exchange Act. The FIA also expresses a concern that D. Consistency With Rule 17Ad– In addition to the skin-in-the-game OCC’s Board has a fiduciary duty to 22(e)(15) Under the Exchange Act components discussed above, the OCC, and by implication, not to Rule 17Ad–22(e)(15) under the Proposed Rule Change includes the Clearing Members; however, OCC Exchange Act requires, in part, that a various components that would govern responds that, in furtherance of the covered clearing agency establish, the sizing and imposition of the Exchange Act requirement that OCC’s implement, maintain, and enforce Operational Loss Fee. The FIA comment rules must assure a fair representation of written policies and procedures letter expresses the belief that any Board its shareholders (or members) and reasonably designed to identify, decision that results in the imposition of participants in the selection of its monitor, and manage the covered an Operational Loss Fee should be directors and the administration of its clearing agency’s general business risk ‘‘syndicated with’’ Clearing Members affairs, OCC’s By-Laws ‘‘state that nine and hold sufficient liquid net assets and that any resulting feedback from of the twenty directorships are reserved funded by equity to cover potential Clearing Members should be ‘‘presented for representatives of OCC clearing general business losses so that the to the Board before any decisions are members,’’ and that, in addition, five of covered clearing agency can continue taken.’’ 88 In response, OCC refers to the the twenty directorships are reserved for operations and services as a going requirements of its By-Laws that result public directors, who are charged with concern if those losses materialize, in more than two-thirds of OCC’s representing the interests of all including by taking the actions directors being either Clearing Member stakeholders, such that more than two- described in Rules 17Ad–22(e)(15)(i)– directors or public directors.89 Further, thirds of OCC’s directors are either (iii) under the Exchange Act.100 As OCC expresses its strong belief that part Clearing Member directors or public discussed below, based on its review of 95 of the viability of a plan to replenish directors. OCC also describes the the record, the Commission finds that capital is the speed at which that formal and informal mechanisms that the proposal is consistent with Rule replenishment capital is accessible. OCC employs to solicit feedback from 17Ad–22(e)(15) of the Exchange Act. We find that the Operational Loss Fee Clearing Members and other interested is consistent with Rule 17Ad– stakeholders, including its Financial 1. Rule 17Ad–22(e)(15)(i) 22(e)(2)(iii). That rule requires that a Risk Advisory Committee, Operations Rule 17Ad–22(e)(15)(i) under the covered clearing agency establish, Roundtable, multiple letters and open Exchange Act requires that the policies implement, maintain, and enforce calls with Clearing Members and other and procedures described under Rule written policies and procedures interested stakeholders, and routine in- 17Ad–22(e)(15) include determining the reasonably designed to provide for person meetings with trade groups and amount of liquid net assets funded by 96 governance arrangements that support individual firms. As such, OCC equity based upon a covered clearing the public interest requirements of contends that the Capital Management agency’s general business risk profile Section 17A of the Exchange Act Policy was constructed with the benefit and the length of time required to applicable to clearing agencies, and the of the perspective of the Clearing achieve a recovery or orderly wind- objectives of owners and participants.90 Member community, and any further down, as appropriate, of its critical In adopting Rule 17Ad–22(e)(2), the discussions at the Board will benefit 97 operations and services if such action is Commission added paragraph (vi) in from this same perspective. taken.101 Again, we agree that the proposal is response to comments regarding the As described above, OCC proposes to consistent with Rule 17Ad–22(e)(2). In scope of Rule 17Ad–22(e)(2)(iii).91 adopt rules governing OCC’s process for adopting Rule 17Ad–22(e)(2), the Paragraph (vi) of Rule 17Ad–22(e)(2) determining the amount of Equity Commission noted that the approach a specifically addresses the consideration required to support the LNAFBE of the interests of participants’ necessary to cover potential general 92 17 CFR 240.17Ad–22(e)(2)(vi). customers, securities issuers and 93 Covered Clearing Agency Standards, 81 FR at business losses, which would then be 70803. 88 FIA Letter at 3. 94 Covered Clearing Agency Standards, 81 FR at 98 Covered Clearing Agency Standards, 81 FR at 89 OCC Letter at 3. 70806. 70803. 90 17 CFR 240.17Ad–22(e)(2)(iii). 95 OCC Letter at 3–4. 99 17 CFR 240.17Ad–22(e)(2). 91 Covered Clearing Agency Standards, 81 FR at 96 OCC Letter at 4. 100 17 CFR 240.17Ad–22(e)(15). 70803. 97 OCC Letter at 4. 101 17 CFR 240.17Ad–22(e)(15)(i).
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used to help set its Target Capital least sufficient to comply with Rule RWD Amount, on an annual basis OCC Requirement.102 In turn, the Target 17Ad–22(e)(15)(ii) under the Exchange would follow the process and use the Capital Requirement would be designed Act. Specifically, the Target Capital assumptions laid out in its Recovery to ensure, among other things, that OCC Requirement would equal or exceed, at and Wind-Down Plan (‘‘RWD Plan’’), holds sufficient capital to continue a minimum, the greater of (i) six months which the Commission previously operations and services as a going of OCC’s current operating expenses; (ii) reviewed and approved.108 Under the concern if general business losses the RWD Amount (which would equal RWD Plan, on an annual basis, OCC materialize, which OCC refers to as the or exceed the amount determined by the identifies its critical services and Potential Loss Amount.103 To set the board of directors to be sufficient to determines the cost to maintain those Potential Loss Amount, OCC would ensure a recovery or orderly wind-down critical services over the prescribed conduct an annual analysis of its capital of critical operations and services); or recovery or wind-down period, requirements by analyzing and (iii) the Potential Loss Amount. Thus, assuming costs remain at historical aggregating potential losses from under the proposal, OCC would levels.109 As noted above, OCC would individual operational risk scenarios, maintain LNAFBE in an amount that also set the Target Capital Requirement aggregating the loss events, and would equal or exceed the amount at a level designed to cover the Potential conducting loss modeling at or above determined by OCC to correspond to the Loss Amount, which would be designed the 99 percent confidence level.104 The amounts described in Rule 17Ad– to address losses arising out of Commission did not receive any 22(e)(15)(ii). operational risk. On an annual basis, comments on this aspect of the To ensure that OCC continues to hold OCC would quantify the amount of proposal. Taken together, the the amount of LNAFBE required under capital to be held against OCC’s Rule 17Ad–22(e)(ii), as detailed above, Commission believes the proposal is operational risks by analyzing and OCC would also, on a monthly basis, designed to identify and maintain the aggregating potential losses from monitor its Equity relative to the Target resources necessary for OCC to recover individual operational risk scenarios, Capital Requirement to determine or wind-down its critical operations or aggregating the loss events, and services as well as to remain a going whether an Early Warning or Trigger Event had occurred. In addition, in conducting loss modeling at or above concern following the realization of the 99 percent confidence level.110 losses due to general business risk, and response to such monitoring and any therefore finds that it is consistent with associated Early Warnings, OCC would The Commission also finds that the Rule 17Ad–22(e)(15)(i).105 use fee-related tools currently available proposed rules concerning the form of under its existing Rules (e.g., increases, OCC’s LNAFBE and manner in which it 2. Rule 17Ad–22(e)(15)(ii) decreases, refunds, or fee waivers) to would be held are consistent with the Rule 17Ad–22(e)(15)(ii) under the manage and maintain its capital levels requirements of Rule 17Ad–22(e)(15)(ii). Exchange Act requires that the policies at or near the Target Capital OCC proposes to define LNAFBE such and procedures described under Rule Requirement. For example, OCC that it would consist of only cash and 17Ad–22(e)(15) include holding liquid proposes to require OCC Management to cash equivalents. OCC’s LNAFBE net assets funded by equity equal to the notify OCC’s Board promptly if Equity would, therefore, be liquid by greater of either (i) six months of the were to fall below the Early Warning definition. Further, OCC proposes to covered clearing agency’s current threshold and to recommend to the adopt rules requiring that OCC hold operating expenses, or (ii) the amount Board whether to implement a fee Equity equal to 110 percent of the Target determined by the board of directors to increase in an amount that the Board Capital Requirement separate from be sufficient to ensure a recovery or determines necessary and appropriate to OCC’s resources to cover participant orderly wind-down of critical raise additional Equity. The requirement defaults, which would help ensure that operations and services of the covered to notify the Board, and recommend the Equity it holds to comply with Rule clearing agency, as contemplated by the appropriate action, would help to 17Ad–22(e)(ii) is in addition to OCC’s plans established under Rule 17Ad– ensure that OCC continues to hold resources to cover participant defaults 22(e)(3)(ii), and which shall be in sufficient resources to meet the Target and other risks covered under addition to resources held to cover Capital Requirement. As such, the applicable credit risk and liquidity risk participant defaults or other risks proposal would be designed to ensure standards. The Commission did not that OCC holds Equity sufficient to covered under applicable credit risk and receive any comments opposing OCC’s support the amount of LNAFBE equal to the liquidity risk standards, and shall be proposed approach to determining its the Target Capital Requirement, which of high quality and sufficiently liquid to forward six-months operating expenses requirement would correspond to the allow the covered clearing agency to and cost of recovery or orderly wind- amounts specified under Rule 17Ad– meet its current and projected operating down. For the reasons discussed above, 22(e)(15)(ii). the Commission believes that the expenses under a range of scenarios, The Capital Management Policy including in adverse market would provide objective, quantifiable conditions.106 (stating that such quantitative assumptions are metrics and tools that OCC would use based on a number of assumptions and projections, As described above, OCC proposes to to determine its forward six-months adopt rules that would require it to hold including, among other things, (i) projected average operating expenses and RWD Amount daily volumes; (ii) projected expenses and known at least the minimum amount of Equity (i.e., the cost of recovery or orderly cash flows; (iii) an operating margin based on necessary to meet the Target Capital historical volumes; and (iv) known capital needs to wind-down) and ensure that it holds at replace and modernize OCC’s technology Requirement. In turn, the Target Capital least those amounts in LNAFBE at all Requirement would be set at a level at infrastructure). times.107 Specifically, to determine the 108 See Notice of Filing, 84 FR at 44945. See also Securities Exchange Act Release No. 83918 (Aug. 102 See supra Section V.A; see also Notice of 107 OCC has, in prior filings, discussed the 23, 2018), 83 FR 44091 (Aug. 29, 2018) (File No. Filing, 84 FR at 44945. quantitative analyses underlying the calculation of SR–OCC–2017–021) (approving OCC’s proposal to 103 See id. operating expenses and potential recovery and formalize and update its Recovery and Orderly 104 See id.; OCC Letter at 4. wind-down costs. See Securities Exchange Act Wind-Down Plan). 105 17 CFR 240.17Ad–22(e)(15)(i). Release No. 85322 (Mar. 14, 2019), 84 FR 10377, 109 See Notice of Filing, 84 FR at 44945. 106 17 CFR 240.17Ad–22(e)(15)(ii). 10378 (Mar. 20, 2019) (File No. SR–OCC–2019–001) 110 See Notice of Filing, 84 FR at 44945.
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proposal is consistent with Rule 17Ad– directors and updated at least annually, Operational Loss Fee until such time as 22(e)(15)(ii) of the Exchange Act. for raising additional equity should a the aggregate amount of the Operational The Commission did receive one covered clearing agency’s equity fall Loss Fee was returned.120 OCC’s comment regarding the degree of close to or below the amount required comment included an example to transparency OCC proposes to maintain under Rule 17Ad–22(e)(15)(ii).118 further clarify OCC’s explanation.121 in respect of the Target Capital As described above, the proposed This information also is described in the Requirement. In its comment letter, the Replenishment Plan would govern Notice of Filing,122 and is consistent FIA states that the Target Capital OCC’s process for replenishing its with the Commission’s understanding, Requirement information that OCC capital in the event that Equity were to based on its review of the record, of the would publish on its website quarterly fall close to or below the Target Capital mechanisms that OCC would use to is ‘‘important for transparency Requirement by, among other things, return the Operational Loss Fee in the purposes’’ and that OCC should ‘‘also implementing tools that would allow event that it is levied. Accordingly, the provide disclosures on any expenses/ OCC to replenish its capital levels in the Commission believes that the losses that could result in the event that routine monitoring and information provided by OCC in the operational loss fee being charged as management through its existing fee- Notice of Filing and subsequently in its this will assist members in their own related tools is insufficient to avoid a comment letter provides a risk management.’’ 111 Rule 17Ad– Trigger Event, which would only occur comprehensive and sufficient response 22(e)(15) does not require OCC to if OCC’s Equity fell below 100% of the to the FIA’s request for clarification. publish the information to which the Target Capital Requirement and stayed The FIA also requests clarification FIA refers, and Clearing Members there for 90 consecutive days or OCC’s regarding OCC’s proposal to charge the already receive from OCC a wide range Equity fell below 90% of the Target Operational Loss Fee in an amount that of information to assist with their own Capital Requirement at any point in would return OCC to a capitalization of risk management and to help them time. The proposed Replenishment Plan 110 percent of the Target Capital anticipate and satisfy their obligations would require OCC’s Management to Requirement, instead of just returning to as Clearing Members of OCC, such as monitor changes in Equity and to notify the target capital levels.123 OCC clarifies the Daily Position Report,112 Daily OCC’s Board of a Trigger Event. If a that the reason for this 10 percent buffer Margin Report,113 X–M Margin and Trigger Event were to occur, OCC would is ‘‘embedded in the requirement itself: Settlement Report,114 Expiration attempt to replenish its capital levels OCC’s replenishment plan is to be used Exercise Report,115 Exercise and first through the contribution of the when OCC’s Equity falls ‘close to or Assignment Activity Report,116 and EDCP Unvested Balance. If and only if below the [Target Capital reports listing the current amount and the entire EDCP Unvested Balance were Requirement],’’’ 124 which OCC form of a Clearing Member’s required insufficient to bring OCC’s Equity back interprets as requiring it to maintain contribution to the Clearing Fund.117 to or above 100% of the Target Capital capital reserves, at a minimum, above The Commission believes that such Requirement, OCC would be required to 100 percent of the Target Capital information already provides Clearing levy the Operational Loss Fee on Requirement. In determining how much Members with timely, relevant Clearing Members. The Operational above 100 percent of the Target Capital information that Clearing Members are Loss Fee would be sized to the Adjusted Requirement, OCC determined that able to incorporate into their existing RWD Amount, and therefore would be maintaining capital reserves at or risk management efforts. As such, the designed to provide OCC with at least around 110 percent of the Target Capital Commission does not believe that OCC’s enough capital either to continue as a Requirement was the appropriate failure to propose to provide the type of going concern or to wind-down in an amount, in part because 10 percent of additional disclosures advocated by the orderly fashion. the Target Capital Requirement FIA renders the Proposed Rule Change Under the proposal, on an annual represents approximately two months of inconsistent with Rule 17Ad– basis OCC’s Management would be earnings, and OCC believes that a two- 22(e)(15)(ii) under the Exchange Act. obligated to recommend that the Board month window would provide OCC’s approve or, as appropriate, modify the senior management and Board sufficient 3. Rule 17Ad–22(e)(15)(iii) proposed Replenishment Plan. In turn, time to respond to a deterioration of Rule 17Ad–22(e)(15)(iii) under the OCC’s Board would be obligated OCC’s capital.125 The Commission has Exchange Act requires that the policies annually to approve or, as appropriate, reviewed the analysis provided by and procedures described under Rule modify the proposed Replenishment OCC 126 and believes that a 110 percent 17Ad–22(e)(15) include maintaining a Plan based on Management buffer representing approximately two viable plan, approved by the board of recommendation. months of earnings is reasonable in light To the extent the Operational Loss of the requirement set forth in Rule 111 FIA Letter at 4. Fee is levied, the FIA suggests that OCC 17Ad–22(e)(15)(iii) that a viable 112 See OCC Rule 501, available at https:// should clarify the mechanism for replenishment plan be calibrated to www.theocc.com/components/docs/legal/rules_ and_bylaws/occ_rules.pdf. returning such resources to Clearing circumstances where a covered clearing 119 113 See OCC Rule 605, available at https:// Members. In response, OCC states agency’s capital level falls below or www.theocc.com/components/docs/legal/rules_ that if an Operational Loss Fee were close to the required capital amount. and_bylaws/occ_rules.pdf. charged and OCC’s capital subsequently Accordingly, here as well the 114 See OCC Rule 706, available at https:// exceeded 110 percent of the Target www.theocc.com/components/docs/legal/rules_ 120 and_bylaws/occ_rules.pdf. Capital Requirement such that OCC OCC Letter at 3. 121 115 See OCC Rule 805, available at https:// determined to return to Clearing Id. www.theocc.com/components/docs/legal/rules_ Members funds received pursuant to the 122 See Notice of Filing, 84 FR at 44946. and_bylaws/occ_rules.pdf. charge, OCC would return the funds to 123 FIA Letter at 3. 116 See OCC Rule 901, available at https:// Clearing Members in equal share to each 124 OCC Letter at 3 (emphasis in original) (citation www.theocc.com/components/docs/legal/rules_ omitted). and_bylaws/occ_rules.pdf. Clearing Member that paid the 125 See Notice of Filing, 84, FR at 44946. 117 See OCC Rule 1007, available at https:// 126 See Notice of Filing, 84, FR at 44946, n. 17 www.theocc.com/components/docs/legal/rules_ 118 17 CFR 240.17Ad–22(e)(15)(iii). (stating that OCC included its analysis in and_bylaws/occ_rules.pdf. 119 FIA Letter at 3. confidential exhibit 3d).
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Commission believes that the notice is hereby given that, on January Officials. Rule 46 also permits the information provided by OCC provides 14, 2020, New York Stock Exchange Exchange to appoint ‘‘qualified’’ 5 ICE a comprehensive and sufficient LLC (‘‘NYSE’’ or ‘‘Exchange’’) filed with employees to act as Floor Governors, response to the FIA’s request for the Securities and Exchange one of the more senior types of Floor clarification. Commission (‘‘Commission’’) the Officials (‘‘Staff Governors’’).6 Floor The Commission believes that OCC’s proposed rule change as described in Officials are delegated certain authority proposal with respect to the Operational Items I and II below, which Items have from the Board of Directors of the Loss Fee will permit OCC to raise been prepared by the self-regulatory Exchange to supervise and regulate additional equity in the event that its organization. The Commission is active openings and unusual situations equity falls close to or below the Target publishing this notice to solicit that arise in connection with the making Capital Requirement and therefore finds comments on the proposed rule change of bids, offers or transactions on the that it is consistent with Rule 17Ad– from interested persons. Trading Floor,7 and to review and 22(e)(15)(iii) of the Exchange Act. The I. Self-Regulatory Organization’s approve certain trading actions. Commission finds, therefore, that Statement of the Terms of Substance of Currently, only Floor Officials are adoption of these aspects of the the Proposed Rule Change authorized to act under the Exchange’s proposed Capital Management Policy rules in connection with certain and supporting rule changes are The Exchange proposes a new Rule situations involving bids, offers or consistent with Exchange Act Rule 46B to permit the appointment of transactions on the Trading Floor. 17Ad–22(e)(15).127 Regulatory Trading Officials and Specifically, Rule 75 (Disputes as to corresponding amendments to Rules 47 Bids and Offers) mandates that disputes V. Conclusion and 75 to permit Regulatory Trading arising on bids or offers that are not On the basis of the foregoing, the Officials to review whether a bid or offer settled by agreement between the Commission finds that the Proposed was verbalized at the point of sale in interested members shall be settled by a Rule Change is consistent with the time to be eligible for inclusion in the Floor Official. Under Rule 47 (Floor requirements of the Exchange Act, and Closing Auction. The proposed rule Officials—Unusual Situations), Floor in particular, the requirements of change is available on the Exchange’s Officials have the authority to Section 17A of the Exchange Act 128 and website at www.nyse.com, at the ‘‘supervise and regulate active openings the rules and regulations thereunder. principal office of the Exchange, and at and unusual situations that may arise in It is therefore ordered, pursuant to the Commission’s Public Reference connection with the making of bids, Section 19(b)(2) of the Exchange Act,129 Room. offers or transactions on the Floor.’’ that the Proposed Rule Change (SR– II. Self-Regulatory Organization’s OCC–2019–007), as modified by Partial Unusual situations may arise that Statement of the Purpose of, and Amendment No. 1, be, and hereby is, could impede or prevent Floor brokers Statutory Basis for, the Proposed Rule approved. from representing customer interest Change before the end of Core Trading Hours.8 For the Commission, by the Division of In its filing with the Commission, the In the event of such a potentially Trading and Markets, pursuant to delegated 9 authority.130 self-regulatory organization included unusual situation, a Floor broker may J. Matthew DeLesDernier, statements concerning the purpose of, and basis for, the proposed rule change person associated with a member organization who Assistant Secretary. has been approved by the Exchange and designated and discussed any comments it received [FR Doc. 2020–01643 Filed 1–29–20; 8:45 am] by such member organization to effect transactions on the proposed rule change. The text on the Exchange Trading Floor or any facility BILLING CODE 8011–01–P of those statements may be examined at thereof. See also note 7, infra. the places specified in Item IV below. 5 Supplementary Material .10 defines ‘‘qualified’’ employees as ‘‘employees of ICE or any of its SECURITIES AND EXCHANGE The Exchange has prepared summaries, subsidiaries, excluding employees of NYSE COMMISSION set forth in sections A, B, and C below, Regulation, Inc., who shall have satisfied any of the most significant parts of such applicable testing or qualification required by the [Release No. 34–88033; File No. SR–NYSE– statements. NYSE for all Floor Governors.’’ 2020–03] 6 Pursuant to Rules 46 and 46A, Floor Governors A. Self-Regulatory Organization’s are one of several ranks of the broader category of Self-Regulatory Organizations; New Statement of the Purpose of, and the Floor Officials, including, in order of increasing York Stock Exchange LLC; Notice of seniority, Floor Officials, Senior Floor Officials, Statutory Basis for, the Proposed Rule Executive Floor Officials, Floor Governors and Filing of Proposed Rule Change To Change Executive Floor Governors. See Securities Exchange Add New Rule 46B To Permit the Act Release No. 57627 (April 4, 2008), 73 FR 19919 Appointment of Regulatory Trading 1. Purpose (April 11, 2008) (SR–NYSE–2008–19). Officials and Amend Rules 47 and 75 The Exchange proposes a new Rule 7 The term ‘‘Trading Floor’’ is defined in Rule 6A 46B to permit the appointment of to mean the restricted-access physical areas designated by the Exchange for the trading of January 24, 2020. Regulatory Trading Officials and 1 securities, commonly known as the ‘‘Main Room’’ Pursuant to Section 19(b)(1) of the corresponding amendments to Rules 47 and the ‘‘Buttonwood Room.’’ Securities Exchange Act of 1934 and 75 to permit Regulatory Trading 8 See NYSE Rule 52. Core Trading Hours are (‘‘Act’’) 2 and Rule 19b–4 thereunder,3 Officials to review whether a bid or offer defined in Rule 1.1(d) to mean the hours of 9:30 was verbalized at the point of sale in a.m. ET through 4:00 p.m. ET, or such other hours 127 17 CFR 240.17Ad–22(e)(15). as may be determined by the Exchange, for time to be eligible for inclusion in the example, an early scheduled closing time. 128 In approving this Proposed Rule Change, the 9 Commission has considered the proposed rules’ Closing Auction. Unusual situations may arise, for example, if the Floor broker hand-held device malfunctions or impact on efficiency, competition, and capital Background formation. See 15 U.S.C. 78c(f). ceases to work or if a Floor broker is physically impeded, as a result of a crowd condition beyond 129 15 U.S.C. 78s(b)(2). Rule 46 permits the Exchange to that of normal traffic flow on the Exchange’s trading 130 4 17 CFR 200.30–3(a)(12). appoint active NYSE members as Floor Floor or some other circumstance beyond the Floor 1 15 U.S.C. 78s(b)(1). broker’s control, in his or her ability to be present 2 15 U.S.C. 78a. 4 Rule 2(a) states that the term ‘‘member,’’ when at a post before the DMM closes the security. See 3 17 CFR 240.19b–4. referring to a natural person, means a natural Continued
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consult with a Floor Official and the Auction.11 The Exchange believes that designed to prevent fraudulent and Designated Market Maker (‘‘DMM’’) in having a regulatory employee involved manipulative acts and practices, the relevant security regarding whether in such discussions will emphasize the promote just and equitable principles of and how that customer interest can be importance of including verbal interest trade, remove impediments to and represented so that it is eligible to entered in a timely manner in the perfect the mechanism of a free and participate in the Closing Auction.10 closing auction. open market and a national market The Floor Official’s role in this To effectuate these changes, the system, and protect investors and the consultation is to provide an impartial Exchange proposes a new Rule 46B that public interest. professional assessment of the situation would provide that a Regulatory In particular, the Exchange believes consistent with NYSE Rule 47. Trading Official would be an Exchange that creating a new category of trading Currently, the DMM makes the final employee or officer designated by the official to review whether a bid or offer determination whether to include or Chief Regulatory Officer or its designee was verbalized in time to be included in exclude Floor broker verbal interest in to perform those functions specified in the Closing Auction would promote just the Closing Auction. Exchange rules. and equitable principles of trade and The Exchange further proposes to remove impediments to a free and open Proposed Rule Change amend Rule 47 to specify that, whether market by providing additional certainty The Exchange proposes a new a bid or offer was verbalized at the point to the Closing Auction when a dispute ‘‘Regulatory Trading Official’’ that may of sale in time to be eligible for arises, thereby facilitating fair be consulted regarding whether a bid or inclusion in the Closing Auction by a competition among brokers and dealers offer was verbalized at the point of sale DMM, would be governed by Rule 75(b). and among exchange markets. The in time to be eligible for inclusion in the The proposed changes to Rule 75 would Exchange’s Closing Auction is a Closing Auction by the DMM. separate the current rule text into two recognized industry reference point,14 sections. First, the existing text of Rule Under proposed Rule 46B, Regulatory and the Exchange believes that having a 75 relating to the authority of Floor Trading Officials would be an Exchange regulatory employee review whether Officials to resolve disputes between employee or officer designated by the verbal interest was correctly and timely members arising on bids or offers would Chief Regulatory Officer or its designee entered at the end of the trading day be renumbered as new subsection (a)(1) to perform the functions specified in would promote the efficient execution and the existing text of Supplementary Exchange rules. As proposed, of the Closing Auction, thereby Material .10 would be renumbered as Regulatory Trading Officials would have contributing to fair and orderly markets new subsection (a)(2). The Exchange the authority to review whether a bid or and strengthening investor confidence proposes no substantive changes to the offer was verbalized at the point of sale in the market. existing text of Rule 75 or current in time to be eligible for inclusion in the The Exchange believes that assigning Supplementary Material .10. Closing Auction. The final responsibility for reviewing whether The proposed authority of Regulatory verbal interest was eligible for inclusion determination to include or exclude Trading Officials would be set forth in verbal interest from the Closing Auction in the Closing Auction to a regulatory a new subsection (b) to Rule 75. employee designated by the Chief will be made by the DMM pursuant to Proposed Rule 75(b) would provide that Rule 104. Floor Officials would retain Regulatory Officer will contribute to the a Regulatory Trading Official may be protection of investors and the public the authority to settle disputes arising consulted regarding whether a bid or on bids or offers for all transactions on interest. As noted above, the Exchange offer was verbalized at the point of sale believes that regulatory employees are the Exchange other than the Closing in time to be eligible for inclusion in the Auction. appropriately suited to the role of Closing Auction by the DMM. The consultation regarding entry of verbal The Exchange believes that it is more proposed rule would provide that either interest in time to participate in the appropriate for a regulatory employee to the Floor broker with the verbal interest Closing Auction. The Exchange also consult with a Floor broker and DMM or the DMM responsible for the Closing believes the proposed amendments relating to the timely entry of verbal Auction in the relevant security may further the goal of transparency and add interest in the Closing Auction. Whether request Regulatory Trading Official clarity to the Exchange’s rules, which a bid or offer was verbalized at the point review. Proposed Rule 75(b) would also would not be inconsistent with the of sale in time to be eligible for provide that if such a request has been public interest and the protection of inclusion in the Closing Auction will made, the DMM will not facilitate the investors because investors would not often require assessing whether a Floor Closing Auction until a Regulatory be harmed and in fact would benefit broker complied with the rules for entry Trading Official has completed his or from the increased transparency and of verbal interest prior to the Closing her review. Finally, the proposed rule clarity in the Exchange’s rules, thereby would provide, consistent with current reducing potential confusion. NYSE Member Education Bulletin 19–01 (June 21, rules, that the final determination to For the foregoing reasons, the 2019). include or exclude verbal interest from 10 Floor broker buy and sell interest is eligible to Exchange believes that the proposal is participate in the Closing Auction if, by the end of the Closing Auction will be made by the consistent with the Act. Core Trading Hours, such interest is (1) entered into DMM pursuant to Rule 104. an Exchange system and recorded in accordance B. Self-Regulatory Organization’s with Rule 123(e), and (2) either entered 2. Statutory Basis Statement on Burden on Competition electronically or verbally represented at the point The Exchange believes that the of sale. When verbally representing customer The Exchange does not believe that interest, Floor brokers must bid or offer by proposed rule change is consistent with the proposed rule change will impose articulating the following elements: Symbol, side Section 6(b) of the Act,12 in general, and any burden on competition that is not (buy or sell), size, and, if the order is a limit order, furthers the objectives of Section 6(b)(5) necessary or appropriate in furtherance the price. See Member Education Bulletin 19–01 of the Act,13 in particular, because it is (June 21, 2019); see generally Rule 123(b) (record of of the purposes of the Act. The orders must contain the required terms of the order, including the name and amount of the security, the 11 See note 10, supra. 14 For example, the pricing and valuation of terms of the order and the time when such order 12 15 U.S.C. 78f(b). certain indices, funds, and derivative products was received). 13 15 U.S.C. 78f(b)(5). require primary market prints.
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proposed rule change is not designed to submission, all subsequent SIPA.2 On November 19, 2019, SIPC address and competitive issues, but amendments, all written statements filed a revised version of the proposed rather assign responsibility for with respect to the proposed rule bylaw change, which replaced and reviewing eligibility of verbal interest change that are filed with the superseded the original proposed bylaw for inclusion in the Closing Auction to Commission, and all written change in its entirety. On December 10, a regulatory employee. Since the communications relating to the 2019, SIPC consented to a 90-day proposal does not substantively modify proposed rule change between the extension of time before the proposed the Closing Auction or system Commission and any person, other than bylaw change, as revised by functionality, the proposed changes will those that may be withheld from the Amendment No. 1, would take effect not impose any burden on competition. public in accordance with the pursuant to section 3(e)(1) of SIPA.3 provisions of 5 U.S.C. 552, will be Pursuant to section 3(e)(1)(B) of SIPA, C. Self-Regulatory Organization’s available for website viewing and the Commission finds that the proposed Statement on Comments on the printing in the Commission’s Public bylaw change, as revised by Proposed Rule Change Received From Reference Room, 100 F Street NE, Amendment No. 1, involves a matter of Members, Participants, or Others Washington, DC 20549 on official such significant public interest that No written comments were solicited business days between the hours of public comment should be obtained.4 or received with respect to the proposed 10:00 a.m. and 3:00 p.m. Copies of the Therefore, pursuant to section 3(e)(2)(A) rule change. filing also will be available for of SIPA,5 the Commission is publishing this notice to solicit comment from III. Date of Effectiveness of the inspection and copying at the principal interested persons on the proposed Proposed Rule Change and Timing for office of the Exchange. All comments bylaw change, as revised by Commission Action received will be posted without change. Persons submitting comments are Amendment No. 1.6 Within 45 days of the date of cautioned that we do not redact or edit In its filing with the Commission, publication of this notice in the Federal personal identifying information from SIPC included statements concerning Register, or such longer period up to 90 comment submissions. You should the purpose of and statutory basis for days (i) as the Commission may submit only information that you wish the proposed bylaw change, as revised designate if it finds such longer period to make available publicly. All by Amendment No. 1, as described to be appropriate and publishes its submissions should refer to File below, which description has been reasons for so finding or (ii) as to which Number SR–NYSE–2020–03 and should substantially prepared by SIPC. the self-regulatory organization be submitted on or before February 20, I. SIPC’s Statement of the Purpose of, consents, the Commission will: 2020. and Statutory Basis for, Proposed SIPC (A) By order approve or disapprove Bylaw Change Relating to SIPC Board the proposed rule change, or For the Commission, by the Division of Trading and Markets, pursuant to delegated Compensation (B) institute proceedings to determine 15 whether the proposed rule change authority. On October 7, 2019, pursuant to should be disapproved. J. Matthew DeLesDernier, Section 3(e)(1) of SIPA, 15 U.S.C. Assistant Secretary. 78ccc(e)(1),7 SIPC submitted for filing IV. Solicitation of Comments [FR Doc. 2020–01646 Filed 1–29–20; 8:45 am] with the Commission a proposed Interested persons are invited to BILLING CODE 8011–01–P amendment to Article 2, Section 6, of submit written data, views, and the SIPC Bylaws. On November 18, arguments concerning the foregoing, 2019, SIPC submitted a revised version including whether the proposed rule SECURITIES AND EXCHANGE of the proposed amendment to Article 2, change is consistent with the Act. COMMISSION Section 6, of the SIPC Bylaws. Article 2, Comments may be submitted by any of Section 6, of the Bylaws relates to the [Release No. SIPA–180A; File No. SIPC– honoraria paid to non-Governmental the following methods: 2019–01] members of the Board. Electronic Comments As amended, Article 2, Section 6, • Securities Investor Protection Use the Commission’s internet Corporation; Notice of Filing of would: (1) Change the Board comment form (http://www.sec.gov/ Proposed Bylaw Change, as Revised Chairperson’s yearly honorarium from rules/sro.shtml); or by Amendment No. 1, Relating to SIPC • 2 Send an email to rule-comments@ Board Compensation; Correction Id. sec.gov. Please include File Number SR– 3 Id. NYSE–2020–03 on the subject line. January 24, 2020. 4 15 U.S.C. 78ccc(e)(1)(B). 5 15 U.S.C. 78ccc(e)(2)(A). Paper Comments Pursuant to Section 3(e)(1) of the 6 This notice of SIPC’s filing of a proposed bylaw Securities Investor Protection Act of • change, as revised by Amendment No. 1, relating Send paper comments in triplicate 1970 (‘‘SIPA’’),1 on October 8, 2019 the to SIPC Board compensation, supersedes the notice to Secretary, Securities and Exchange Securities Investor Protection originally published in the Federal Register on Commission, 100 F Street NE, Corporation (‘‘SIPC’’) filed with the January 23, 2020. See Securities Investor Protection Washington, DC 20549–1090. Corporation; Notice of Filing of Proposed Bylaw Securities and Exchange Commission Change, as Revised by Amendment No. 1, Relating All submissions should refer to File (‘‘Commission’’) a proposed bylaw to SIPC Board Compensation, Release No. SIPA–180 Number SR–NYSE–2020–03. This file change relating to the SIPC Board of (Jan. 16, 2020), 85 FR 3960 (Jan. 23, 2020). The number should be included on the notice published on January 23, 2020 inadvertently Directors’ (‘‘Board’’) compensation. On referenced a provision from the original version of subject line if email is used. To help the October 24, 2019, SIPC consented to a the proposed bylaw change that would have Commission process and review your 90-day extension of time before the provided for a re-evaluation of Board honoraria comments more efficiently, please use proposed bylaw change would take every ten years. SIPC’s proposed bylaw change, as only one method. The Commission will revised by Amendment No. 1, does not propose a effect pursuant to section 3(e)(1) of re-evaluation of Board honoraria every ten years. post all comments on the Commission’s 7 For convenience, reference hereinafter to internet website (http://www.sec.gov/ 15 17 CFR 200.30–3(a)(12). provisions of SIPA shall be to the United States rules/sro.shtml). Copies of the 1 15 U.S.C. 78ccc(e)(1). Code and shall omit ‘‘15 U.S.C.’’.
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$15,000 to $28,000; (2) change the it is disapproved by the Commission or Senate. Of the five Directors, three are Directors’ yearly honorarium from the Commission determines that the associated with, and representative of, $6,250 to $12,000; (3) while the position matter is of such significant public the securities industry (‘‘Securities of Chairperson remains vacant, interest as to warrant public comment, Directors’’), and two are from outside of authorize the Board Vice Chairperson the amendment will take effect thirty the industry. The Directors from outside who serves as acting Chairperson for a (30) days after a copy is filed with the of the securities industry serve as continuous twelve month period, to Commission. The Board has provided Chairman and Vice Chairman of SIPC. receive an honorarium of $28,000; and that, if approved by the Commission, In addition, one SIPC Director is an (4) while the positions of Chairperson the proposed amendment would not be officer or employee of the Department of and Vice Chairperson remain vacant, implemented until six (6) months from the Treasury and one Director is an authorize any Director, to whom the the date of Commission approval or officer or employee of the Federal SIPC Board delegates authority to non-disapproval. Section IV below Reserve Board. SIPA § 78ccc(c)(1)–(3). perform certain functions of the provides the text of the proposed Chairperson, to receive an honorarium changes to Article 2, Section 6, of the Under SIPA Section 78ccc(c)(5), all of $28,000 provided that the Director Bylaws. matters relating to Director performs those functions for a compensation are as provided in the continuous twelve month period. Background SIPC Bylaws. Since 1994, when the The revised version of the proposed The SIPC Board consists of seven position of Chairperson ceased to be a bylaw amendment was approved by the members. Five of SIPC’s Directors are full-time position, the honoraria SIPC Board on November 14, 2019. appointed by the President of the awarded to the Directors have been as Under SIPA section 78ccc(e)(1), unless United States and confirmed by the follows:
Bylaw date Bylaw Chairman Vice chairman Industry directors
1994 ...... Art. 2, §6 ...... $1,000/meeting $500/day for offi- $500/meeting $500/day for official Expenses only. cial business + expenses. business + expenses. 2006 ...... Art. 2, § 6 ...... $15,000 honorarium + expenses $6,250 honorarium + expenses ... $6,250 honorarium + expenses.
The amounts of the Director honoraria an important role. Under the Dodd- must carefully oversee Management and have been the same for more than 10 Frank Wall Street Reform and Consumer the policies and procedures years. For the reasons discussed below, Protection Act, SIPC serves as trustee in Management has put in place. the Board has determined that it is the orderly liquidation of a covered Time Commitment appropriate that the proposed changes broker-dealer. See 12 U.S.C. 5385(a)(1). to Article 2, Section 6, of the Bylaws be Given the breadth of SIPC’s mission, SIPC Directors willingly devote their made. whether the Fund is sufficient to satisfy time to SIPC, often at the expense of SIPA’s goal of customer protection is other important commitments, and General Statement of Basis and Purpose one of the most important issues that potential compensation, outside of their of Proposed Changes Directors face. The potential exposure SIPC responsibilities. The time, even for Enhanced Responsibilities and Risk arising from the liquidation of large some Directors to travel to SIPC, can be firms alone highlights the importance of burdensome since under SIPA section The SIPC Board sets the direction and the Board’s decision-making. 78ccc(c)(2)(C)(i), the Securities Directors policies for the Corporation. Since the The sizeable amounts at stake in cannot be from the same geographical 2008 financial crisis, SIPC’s recent cases also create more risk for the area of the United States. SIPC Directors responsibilities have grown, and greater Directors including the risk that travel from their home base to demands have been placed upon the Directors may be sued for tactical Washington, DC, to attend regular time, commitment, and energy, of the reasons, however frivolous such suits Board, as well as Committee, Meetings. Directors. may be. For example, in the Madoff There are three committees at SIPC on The Directors oversee a Fund which case, the SIPC Board and its President which the Directors serve: One for currently stands at more than $3.3 were sued in a multi-million dollar investments, another for compensation, billion. The size of the Fund is modest complaint brought by Madoff investors. and a third, for audit and budget. See compared to the amounts of customer Canavan v. Harbeck, Case No. 2:10–cv– Article 3, Section 1, of the SIPC Bylaws. assets at risk in SIPA liquidations over 00954–FSH–PS (D.N.J.). Although the In addition to their attendance and the last several years. These have Directors are shielded from liability for participation at Meetings, the Directors included MF Global Inc., involving the their good faith actions or omissions regularly meet in Executive Session to largest commodities brokerage under SIPA Section 78kkk(c), the discuss matters of importance to SIPC liquidation in history; Lehman Brothers burden of having to defend against a law business. Inc., with $106 billion owed to more suit, the uncertainty of the outcome of than 111,000 customers; and Bernard L. litigation, the demands on a Director’s Attracting and Retaining Qualified Madoff Investment Securities LLC, with time, and the reputational risk to the Directors over $20 billion of customer assets Director, remain. In order for the SIPC program to be owed. Each of these liquidations Today, more accountability is asked successful, it must have a Board that is contained or contains complex and of corporate directors. At SIPC, the engaged, resourceful, and willing to significant legal or operational hurdles Directors not only oversee the devote the time and energy to the for their resolution. Today, such large administration of the quasi-public SIPC program and to be committed to it. cases cannot be viewed as isolated Fund, but also of the SIPC Employees’ While it is an honor to be appointed as events or SIPC’s involvement in them as Savings Plan, and the SIPC Employees’ a Director, there should be some incidental. For example, in a too-big-to- Retirement Plan. As a result of their role recognition of the contributions made fail situation, Congress has given SIPC in these and other matters, the Board by these individuals. Measured against
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the demands placed upon the Directors At its Meeting on November 14, 2019, SIPA,12 the Commission has notified and the responsibilities and risks they the Board adopted the recommendations SIPC of this finding in writing. are expected to assume, the changes of the non-Government Directors, and III. Date of Effectiveness of the proposed by the Board are modest. agreed that the requested amendment, if Proposed Bylaw Change and Timing for Basis for the Amounts Proposed approved, would take effect six months Commission Action from the date of approval or non- In considering a possible Bylaw disapproval by the Commission. Within 35 days of the date of change, the Board, through its publication of this notice in the Federal Government Directors, commissioned The Proposed Bylaw Amendment Register, or within such longer period Korn/Ferry International (‘‘Korn/ (A) as the Commission may designate of Ferry’’), a leading global management Because the Government Directors are not more than ninety days after such and executive consulting firm, to ineligible, the recipients of the date if it finds such longer period to be provide recommendations with respect honoraria are limited to the Directors appropriate and publishes its reasons to compensation for SIPC Board from the private sector. The honoraria for so finding or (B) as to which SIPC members, including the Chair and Vice are paid from the SIPC Fund, SIPA consents, the Commission shall: (i) By Chair. In undertaking the engagement, § 78ddd(a)(1), and no taxpayer monies order approve such proposed bylaw Korn/Ferry constructed a peer group of are used. change; or (ii) institute proceedings to 23 organizations comparable to SIPC Having extensively considered the determine whether such proposed and analyzed their Director matter, the Board has determined that bylaw change should be disapproved.13 compensation. The peer group included the Bylaw should be amended. non-profit groups, regulatory advocacy IV. Text of Proposed Bylaw Change organizations, as well as federally II. Need for Public Comment The text of the proposed bylaw change, as revised by Amendment No. funded ones. Section 3(e)(1) of SIPA provides that Based upon its analysis, Korn/Ferry 1, is provided below. Proposed new the Board of Directors of SIPC must file concluded that entities similar to SIPC language is in italics; proposed a copy of any proposed bylaw change in purpose and responsibilities typically deletions are in brackets. provide some compensation to their with the Commission, accompanied by Article 2 Directors. Specifically, with respect to a concise general statement of the basis and purpose of the proposed bylaw SIPC, Korn/Ferry recommended that: 8 Board of Directors (1) Director compensation consist of change. The proposed bylaw change an annual retainer paid quarterly and will become effective thirty days after Section 6. Honorarium and ranging between $30,000 and $50,000; the date of filing with the Commission Reimbursement of Expenses (2) The Vice Chair receive an or upon such later date as SIPC may The Chairman of the Corporation additional amount of $3,000 to $5,000 designate or such earlier date as the shall receive a yearly honorarium of per year; and Commission may determine unless: (1) $[15,000]28,000. The Chairman also (3) The Chair receive an additional The Commission, by notice to SIPC shall be reimbursed for expenses $10,000 to $15,000 per year. Korn/Ferry setting forth the reasons for such action, incurred in connection with official Director Compensation Analysis, dated disapproves the proposed bylaw change business of the Corporation. The Vice May 31, 2019, at 10. as being contrary to the public interest Chairman shall receive a yearly Independently, the Government or contrary to the purposes of SIPA; or honorarium of $[6,250]12,000, except Directors formulated a separate (2) the Commission finds that the that, if the position of Chairman is approach to the matter. Under their proposed bylaw change involves a vacant and the Vice Chairman serves as analysis, they reasoned that because the matter of such significant public interest acting Chairman for a continuous non-Government Directors are that public comment should be twelve-month period, then the Vice Presidential appointees confirmed by obtained, in which case it may, after Chairman shall receive a yearly the Senate who render a public service, notifying SIPC in writing of such honorarium of $28,000 for such period, it would be appropriate to measure the finding, require that the procedures for calculated on a ratable basis for any amount of a Director honorarium against SIPC proposed rule changes in section partial period of such service in excess the pay of a Senior Executive Service 3(e)(2) of SIPA be followed with respect of the first twelve-month period. The (‘‘SES’’) Government employee. The to the proposed bylaw change.9 Vice Chairman also shall be reimbursed maximum amount under the SES pay Compensation paid to members of the for expenses incurred in connection scale currently is $192,300. Based upon financial service industry and paid to with official business of the an average of 16 days of service per year officials serving the public interest has Corporation. The three Directors comprised of six days of meetings, five become a topic of public interest in selected from the securities industry days for preparation, and five days for recent years. Therefore, the Commission (‘‘Securities Directors’’) each shall ad hoc work, the Directors concluded finds, pursuant to section 3(e)(1)(B) of receive a yearly honorarium of that the non-Government Directors SIPA,10 that the proposed bylaw $[6,250]12,000, except that, if the should receive an honorarium of changes involve a matter of such positions of Chairman and Vice $12,000 per year which would continue significant public interest that public Chairman are vacant and, during such to be paid in quarterly installments. comment should be obtained and is vacancy and pursuant to a delegation of Applying the current ratio of Chair requiring that the procedures applicable authority from the Board, one of the versus non-Chair honoraria, the non- to SIPC proposed rule changes in Securities Directors performs certain Government Directors calculated the section 3(e)(2) of SIPA 11 be followed. functions of the Chairman for a honorarium of the Chair at $28,000. The As required by section 3(e)(1)(B) of continuous twelve-month period, then Board also calculated that an adjustment that Securities Director shall receive a for inflation since the honoraria were 8 15 U.S.C. 78ccc(e)(1). yearly honorarium of $28,000 for such last set in 2006 would have resulted in 9 15 U.S.C. 78ccc(e)(1). an honorarium of more than $19,000 for 10 15 U.S.C. 78ccc(e)(1)(B). 12 15 U.S.C. 78ccc(e)(1)(B). the Chair. 11 15 U.S.C. 78ccc(e)(2). 13 15 U.S.C. 78ccc(e)(2)(B).
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period, calculated on a ratable basis for comment submissions. You should II. Self-Regulatory Organization’s any partial period of such service in submit only information that you wish Statement of the Purpose of, and excess of the first twelve-month period. to make available publicly. Statutory Basis for, the Proposed Rule The [three ]Securities Directors [selected All submissions should refer to File Change from the securities industry] also shall Number SIPC–2019–01, and should be In its filing with the Commission, be reimbursed for expenses incurred in submitted on or before February 20, FINRA included statements concerning connection with official business of the 2020. the purpose of and basis for the Corporation. [The yearly honoraria shall proposed rule change and discussed any be paid in quarterly installments as of For the Commission, by the Division of Trading and Markets, pursuant to delegated comments it received on the proposed November 21, 2006.]The remaining two authority.14 rule change. The text of these statements Directors shall receive no honoraria J. Matthew DeLesDernier, may be examined at the places specified from the Corporation and shall not be in Item IV below. FINRA has prepared reimbursed by the Corporation for their Assistant Secretary. [FR Doc. 2020–01611 Filed 1–29–20; 8:45 am] summaries, set forth in sections A, B, official business expenses. and C below, of the most significant The honoraria described herein shall BILLING CODE 8011–01–P aspects of such statements. be paid in quarterly installments beginning on May 6, 2020. A. Self-Regulatory Organization’s SECURITIES AND EXCHANGE Statement of the Purpose of, and V. Solicitation of Comments COMMISSION Statutory Basis for, the Proposed Rule Interested persons are invited to Change submit written data, views, and [Release No. 34–88037; File No. SR–FINRA– 2020–002] arguments concerning the foregoing by 1. Purpose any of the following methods: Self-Regulatory Organizations; Rule 11900 under FINRA’s Uniform Financial Industry Regulatory Practice Code (the ‘‘Rule’’) sets forth Electronic Comments members’ obligations with respect to the • Authority, Inc.; Notice of Filing and Use the Commission’s internet Immediate Effectiveness of a Proposed use of a registered clearing agency (a comment form (http://www.sec.gov/ Rule Change To Amend FINRA Rule ‘‘clearing agency’’) to clear over-the- rules/other.shtml); or 11900 To Except Certain Transactions counter transactions in corporate debt • Send an email to rule-comments@ 4 in Corporate Debt Securities securities. Specifically, the Rule sec.gov. Please include File Number requires that a member or its agent that SIPC–2019–01 on the subject line. January 24, 2020. is a participant in a clearing agency Paper Comments Pursuant to Section 19(b)(1) of the must use the facilities of a clearing Securities Exchange Act of 1934 agency to clear eligible transactions • Send paper comments to Secretary, (‘‘Act’’) 1 and Rule 19b–4 thereunder,2 between members in corporate debt Securities and Exchange Commission, 5 notice is hereby given that on January securities executed over the counter. 100 F Street NE, Washington, DC 17, 2020, Financial Industry Regulatory The Rule is intended to reduce or 20549–1090. Authority, Inc. (‘‘FINRA’’) filed with the eliminate the risks and inefficiencies All comments should refer to File Securities and Exchange Commission associated with broker-to-broker Number SIPC–2019–01. To help the (‘‘SEC’’ or ‘‘Commission’’) the proposed clearing in transactions in corporate Commission process and review your rule change as described in Items I, II, debt securities, including trade fails and comments more efficiently, please use and III below, which Items have been potential financial exposure.6 When only one method. The Commission will prepared by FINRA. FINRA has FINRA (then NASD) adopted this post all comments on the Commission’s designated the proposed rule change as requirement in 1995, NASD noted that internet website (http://www.sec.gov/ constituting a ‘‘non-controversial’’ rule there was a large percentage of corporate rules/other.shtml). Copies of the change under paragraph (f)(6) of Rule debt transactions cleared and settled submission, all subsequent 19b–4 under the Act,3 which renders broker-to-broker without using the amendments, all written statements the proposal effective upon receipt of facilities of a clearing agency, and that with respect to the proposed bylaw this filing by the Commission. The this process was error prone and time- 7 change that is filed with the Commission is publishing this notice to and labor-intensive. These Commission, and all written solicit comments on the proposed rule inefficiencies increased systemic 8 communications relating to the change from interested persons. clearance risk for members. proposed bylaw change between the FINRA is proposing to amend the Commission and any person, other than I. Self-Regulatory Organization’s Rule to provide an exception for over- those that may be withheld from the Statement of the Terms of Substance of the-counter transactions between public in accordance with the the Proposed Rule Change members (the ‘‘parties’’) where the same provisions of 5 U.S.C. 552, will be FINRA is proposing to amend Rule available for website viewing and 4 See Rule 11900, available at https:// 11900 (Clearance of Corporate Debt www.finra.org/rules-guidance/rulebooks/finra- printing in the Commission’s Public Securities) to except certain transactions rules/11900. Reference Room, 100 F Street NE, in corporate debt securities. 5 Section 17A of the Exchange Act and Rule Washington, DC 20549, on official The text of the proposed rule change 17Ab2–1 thereunder require entities to register with business days between the hours of the Commission prior to performing the functions is available on FINRA’s website at of a clearing agency. See 15 U.S.C. 78q–1; see also 10:00 a.m. and 3:00 p.m. Copies of the http://www.finra.org, at the principal 17 CFR 240.17Ab2–1. filing also will be available for office of FINRA and at the 6 See Securities Exchange Act Release No. 35769 inspection and copying at the principal Commission’s Public Reference Room. (May 25, 1995), 60 FR 28814 (June 2, 1995) (Order office of the Commission. All comments Approving File No. SR–NASD–95–11). 7 See Securities Exchange Act Release No. 35642 received will be posted without change. 14 17 CFR 200.30–3(f)(2)(i); 17 CFR 200.30–3(f)(3). (April 24, 1995), 60 FR 21226 (May 1, 1995) (Notice Persons submitting comments are 1 15 U.S.C. 78s(b)(1). of Filing of File No. SR–NASD–95–11) (‘‘Original cautioned that we do not redact or edit 2 17 CFR 240.19b–4. Proposal’’). personal identifying information from 3 17 CFR 240.19b–4(f)(6). 8 See supra note 7.
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member (the ‘‘carrying member’’) is equitable principles of trade, and, in each party’s account at the carrying clearing and settling both the purchase general, to protect investors and the member. Thus, the clearing of such and the sale side of a transaction in a public interest. transactions can be done effectively corporate debt security, and where such FINRA notes that the proposed through book-keeping transfers between clearance and settlement occurs through exception would not alter counter-party the parties’ accounts at the carrying book-keeping transfers between the clearing risks, such as financial member, without sending the parties’ accounts at the carrying exposure, because where a member or transaction for central clearing. member. Where the same carrying its agent utilizes the exception provided Specifically, because no net settlement member is the clearing firm for both for under this proposal, it would serve obligation is created between the sides of the transaction, the seller’s as the central party on both the carrying member and the clearing delivery and the buyer’s receipt of the purchase and the sale side of the agency for such transactions, clearing corporate debt security can be effected transaction and would clear and settle these transactions through a clearing exclusively through book-keeping the transaction internally through book- agency does not provide the additional transfers between the parties’ accounts keeping transfers. As such, no net benefits of reducing or eliminating the at the carrying member, resulting in no settlement obligation would be created risks and inefficiencies that central net settlement obligation to or from a on the level of the clearing firm, and the clearing usually provides. clearing agency. Further, where there is risks and inefficiencies that the Rule is However, while the current rule no net settlement obligation, the risks intended to protect against would not be requiring carrying members to clear and inefficiencies that the Rule is present. Thus, FINRA believes the these transactions through a clearing intended to protect against (e.g., trade proposed rule change strikes an agency does not provide the benefits fails) are not present, and the use of a appropriate balance between providing that the rule was designed to provide clearing agency to clear the transaction relief uniformly to members where the (e.g., mitigating counterparty risk), it provides no additional benefit while Rule does not provide the intended nonetheless results in members nonetheless incurring costs for the benefits, while preserving the incurring the costs associated with carrying member.9 FINRA is, therefore, protections of the Rule for all other submitting these transactions for central proposing the instant exception and eligible transactions between members clearing. Under the proposed believes that it is appropriate because in corporate debt securities executed amendment, carrying members would the intended benefits of the Rule—i.e., over the counter. Accordingly, FINRA no longer be required to use the to reduce or eliminate the risks and believes the proposal promotes just and facilities of a clearing agency for inefficiencies associated with broker-to- equitable principles of trade, and clearing such transactions, and may broker clearing—do not exist for protects investors and the public choose to internalize the clearing and transactions that do not result in a net interest. settlement of these transactions and settlement obligation on the clearing avoid the fees that would be imposed by firm level.10 The proposed exception is B. Self-Regulatory Organization’s the clearing agency. limited to transactions where a carrying Statement on Burden on Competition Economic Baseline member clears for both the buyer and FINRA does not believe that the the seller in a transaction (i.e., where an proposed rule change will result in any Currently, each member or its agent obligation to deliver securities to, or burden on competition that is not that is a participant in a clearing agency receive securities from, a third party is necessary or appropriate in furtherance is required under Rule 11900 to send not created with respect to the of the purposes of the Act. The eligible over-the-counter transactions individual transaction). proposed exception would apply between members in corporate debt FINRA has filed the proposed rule uniformly where the same carrying securities to a registered clearing agency change for immediate effectiveness. The member clears and settles both the for clearing and settlement. The proposed rule change will become purchase and the sale side of a National Securities Clearing Corporation operative 30 days after the date of filing. transaction in a corporate debt security (NSCC), a subsidiary of The Depository 2. Statutory Basis through book-keeping transfers between Trust & Clearing Corporation (DTCC), provides central clearing services for FINRA believes that the proposed rule the parties’ accounts at the carrying corporate debt securities, among other change is consistent with the provisions member. FINRA discussed the proposed products. According to NSCC’s website of Section 15A(b)(6) of the Act,11 which exception with its Uniform Practice calculator, clearing fees consist of three requires, among other things, that Code and Fixed Income Committees, parts: A tiered ‘‘clearance fee’’ based on FINRA rules must be designed to who supported the proposed the number of trades; a ‘‘value into net prevent fraudulent and manipulative amendment. FINRA also discussed the fee’’ based on the total value traded; and acts and practices, to promote just and proposal with SIFMA’s Clearing Firms Committee, which also supported the a ‘‘value out of net fee’’ based on the 12 9 The exception would apply only where the proposal. value that does not get netted. carrying firm internalizes the clearance of the Economic Impacts transaction. Thus, the proposed exception would Economic Impact Assessment not apply to a transaction in which a member is Regulatory Need When internally clearing a clearing only the purchase or the sale side of a transaction, the delivery of the corporate transaction. Under Rule 11900, each member or its debt security and money by the 10 While the current Rule provides FINRA with agent that is a participant in a clearing respective parties to settle a transaction authority to exempt any transaction or class of agency is required to send eligible over- transactions to accommodate special circumstances can be effected through book-keeping the-counter transactions between related to the clearance of such transactions or class transfers between the buyer’s and members in corporate debt securities to of transactions, we do not believe that this authority seller’s accounts at the carrying is well suited to the proposed exception. See Rule a clearing agency for clearing. For member. Under the proposed exception, 11900. Because FINRA is seeking to provide an transactions where the same carrying exception for a broad class of transactions, FINRA believes it is appropriate to provide the proposed member is clearing both the purchase 12 See NSCC Clearing Activity Monthly Fee exception as an amendment to the Rule. and sale side of the transaction, the Calculators, available at: http://www.dtcc.com/ 11 15 U.S.C. 78o–3(b)(6). funds and the securities are reflected in forms/clearing-fee-calculator-new.
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carrying members would be able to improved efficiency over bilateral III. Date of Effectiveness of the avoid the clearing costs imposed by the clearing that were envisioned at the Proposed Rule Change and Timing for clearing agency while continuing to time Rule 11900 was adopted. Commission Action clear and settle the transaction on behalf Clearing firms that serve more Because the foregoing proposed rule of both counterparties. Potential savings customers engaging in eligible over-the- change does not: (i) Significantly affect from internalizing the clearance of these counter transactions in corporate debt the protection of investors or the public transactions may or may not be passed securities likely may benefit more from interest; (ii) impose any significant on to the customers of the carrying the proposed exception. The percentage burden on competition; and (iii) become member. FINRA notes that these operative for 30 days from the date on potential cost savings are not at the of such transactions that can be internalized may in turn be higher than which it was filed, or such shorter time expense of losing the benefits offered by as the Commission may designate, it has clearing agencies, namely mitigating that of smaller clearing firms. To the extent smaller firms have eligible become effective pursuant to Section counterparty risk and increasing 19(b)(3)(A) of the Act 16 and Rule 19b– efficiency. This is because, when the transactions that may be internalized 17 under the proposal, they also should 4(f)(6) thereunder. same carrying firm is clearing for both At any time within 60 days of the benefit from the proposal should they the buy and sell side of a transaction, filing of the proposed rule change, the counterparty risk is not inherently choose to internalize clearing, where Commission summarily may present as no net settlement obligation permitted, and avoid related central temporarily suspend such rule change if to or from the carrying member is clearing costs. it appears to the Commission that such created. Therefore, by permitting Alternatives Considered action is necessary or appropriate in the members to elect to clear these public interest, for the protection of transactions internally, the buyers’ and No alternatives were considered for investors, or otherwise in furtherance of sellers’ counterparty risk remains this proposal. the purposes of the Act. If the unchanged. Commission takes such action, the FINRA understands that internalizing C. Self-Regulatory Organization’s Commission shall institute proceedings the clearance of such transactions alone Statement on Comments on the to determine whether the proposed rule would not affect the clearing agency’s Proposed Rule Change Received From should be approved or disapproved. margin calculation for a clearing firm Members, Participants, or Others availing itself of the exception. Based on IV. Solicitation of Comments a conversation with DTCC, margin is FINRA received an email from Interested persons are invited to collected when there is a net debit after Pershing LLC (‘‘Pershing’’) relating to submit written data, views and 15 performing mark-to-market of the trades the need for the proposed rule change. arguments concerning the foregoing, submitted. Therefore, when clearing Pershing stated that, in submitting including whether the proposed rule firms choose to internalize the clearance trades to NSCC where Pershing is change is consistent with the Act. of transactions that create no net clearing for both the buyer and the Comments may be submitted by any of settlement obligations, we understand seller, there is no net risk mitigation the following methods: that the margin required by the clearing because there is no net settlement agency is not changed. obligation created. Further, Pershing Electronic Comments When a carrying firm chooses to clear stated that, by not submitting these • Use the Commission’s internet transactions internally, DTCC may lose specific transactions to NSCC, it would comment form (http://www.sec.gov/ revenues from the clearing fees realize significant cost savings. As a rules/sro.shtml); or collected from that firm (assuming the result, Pershing requested that FINRA • Send an email to rule-comments@ fee structure remains unchanged). NSCC except from Rule 11900 the class of sec.gov. Please include File Number SR– generally charges lower clearing fees for transactions for which a member is the FINRA–2020–002 on the subject line. 13 transactions that can be netted out. clearing firm for both the buyer and the Paper Comments Based on the 2014 NSCC calculator, the seller, to allow it to clear those • Send paper comments in triplicate value fee (dollar per million traded) for transactions internally. Pershing to Secretary, Securities and Exchange clearing such transactions is 12.3% of specified that it was not requesting Commission, 100 F Street NE, the fee for clearing transactions that relief for any transaction in which a Washington, DC 20549–1090. cannot be netted out.14 counterparty clears at an NSCC Participant other than Pershing. FINRA All submissions should refer to File Competition and Efficiency Number SR–FINRA–2020–002. This file believes that the instant proposal FINRA expects that the proposed number should be included on the provides the narrow relief that Pershing amendment will improve the efficiency subject line if email is used. To help the requested, and notes that the exception of the clearing process by removing a Commission process and review your would be available to all members that step that does not provide the intended comments more efficiently, please use meet the requirements of the exception. benefit and allowing over-the-counter only one method. The Commission will transactions in corporate debt securities As discussed above, FINRA believes the post all comments on the Commission’s that create no net settlement obligation proposed rule change strikes an internet website (http://www.sec.gov/ to be internally cleared by the carrying appropriate balance between providing rules/sro.shtml). Copies of the firm, as described above. Carrying firms relief uniformly to members where the submission, all subsequent will potentially save on clearing costs Rule does not provide the intended amendments, all written statements for such transactions in circumstances benefits, and preserving the protections with respect to the proposed rule where central clearing would not of the Rule for all other eligible change that are filed with the provide the additional protections transactions between members in Commission, and all written related to counterparty risks or corporate debt securities executed over communications relating to the the counter. 13 See supra note 12. 16 15 U.S.C. 78s(b)(3)(A). 14 See supra note 12. 15 See Exhibit 2. 17 17 CFR 240.19b–4(f)(6).
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proposed rule change between the pursuant to section 3(e)(2)(A) of SIPA,4 increase or decrease, within certain Commission and any person, other than the Commission is publishing this limits, the appropriate assessment rate those that may be withheld from the notice to solicit comment from in order to maintain the Fund and effect public in accordance with the interested persons on the proposed SIPA’s purposes. provisions of 5 U.S.C. 552, will be bylaw changes.5 Pursuant to SIPA Section 78ddd(c)(2), available for website viewing and In its filing with the Commission, SIPC has consulted with self-regulatory printing in the Commission’s Public SIPC included statements concerning organizations with respect to the Reference Room, 100 F Street NE, the purpose of and statutory basis for proposed amendments. SIPC has Washington, DC 20549, on official the proposed bylaw changes as determined that the changes are business days between the hours of 10 described below, which description has necessary and appropriate to maintain a.m. and 3 p.m. Copies of such filing been substantially prepared by SIPC. the SIPC Fund. also will be available for inspection and I. SIPC’s Statement of the Purpose of, Background copying at the principal office of and Statutory Basis for, SIPC Proposed FINRA. All comments received will be SIPC is a non-profit member Bylaw Changes Relating to SIPC organization created in 1970 under posted without change. Persons Member Assessments submitting comments are cautioned that SIPA, for the protection of customers of Pursuant to Section 3(e)(1) of SIPA, 15 member broker-dealers placed in we do not redact or edit personal 6 identifying information from comment U.S.C. 78ccc(e)(1), SIPC hereby submits liquidation under SIPA. With some submissions. You should submit only for filing with the Commission proposed exceptions set by statute, all registered information that you wish to make amendments to Article 6 of the SIPC securities brokers or dealers are available publicly. All submissions Bylaws (‘‘Bylaws’’). Article 6 relates to members of SIPC. SIPC protects the should refer to File Number SR–FINRA– the assessments that SIPC imposes upon customers of member firms in its members. liquidation under SIPA. Among other 2020–002 and should be submitted on As revised, Article 6 would maintain things, SIPC advances funds to satisfy or before February 20, 2020. assessments at the current rate of 0.15 the claims of customers. Each customer For the Commission, by the Division of percent of a member’s net operating is protected by SIPC up to $500,000 Trading and Markets, pursuant to delegated revenue from the securities business against the loss of missing cash and/or 18 authority. until SIPC’s unrestricted net assets securities entrusted by the customer to J. Matthew DeLesDernier, reach $5 billion.7 ‘‘Unrestricted net the broker. The $500,000 includes a Assistant Secretary. assets’’ are comprised primarily of the limit of up to $250,000 where the [FR Doc. 2020–01648 Filed 1–29–20; 8:45 am] amount in the SIPC Fund at year end, allowed claim is for cash only. The BILLING CODE 8011–01–P minus the estimated cost to complete advances by SIPC come from a ‘‘Fund’’ pending liquidation proceedings, as that SIPC administers. The Fund largely reflected in SIPC’s most recent audited is comprised of assessments paid to SECURITIES AND EXCHANGE Statement of Financial Position. Once SIPC by its members. The Fund also is COMMISSION the aforementioned condition is met, used to pay the administrative expenses SIPC would commission a study to of a liquidation proceeding where the [Release No. SIPA–179A; File No. SIPC– consider the adequacy of the SIPC Fund, 2019–02] debtor’s general estate is insufficient, and would do so every four years and to finance the day-to-day operations Securities Investor Protection thereafter. The study would analyze a of SIPC. variety of factors, as set forth in the Corporation; Notice of Filing of The Assessment Bylaw Proposed Bylaw Changes Relating to proposed amended Bylaw. After SIPC Member Assessments; consideration of the study and the Article 6 of the Bylaws now imposes Correction report thereon, and after consultation a yearly assessment rate of 0.15% of net with the Commission and self- operating revenues from the member’s January 24, 2020. regulatory organizations, SIPC could securities business (‘‘NOR’’) where the Pursuant to Section 3(e)(1) of the balance of the SIPC Fund is less than Securities Investor Protection Act of 4 15 U.S.C. 78ccc(e)(2)(A). $2.5 billion and will remain at that 1970 (‘‘SIPA’’),1 on November 19, 2019 5 This notice of SIPC’s filing of proposed bylaw amount for six months or more. If the changes relating to SIPC member assessments the Securities Investor Protection supersedes the notice originally published in the SIPC Fund has reached $2.5 billion but Corporation (‘‘SIPC’’) filed with the Federal Register on January 23, 2020. See Securities SIPC’s unrestricted net asset amount is Securities and Exchange Commission Investor Protection Corporation; Notice of Filing of less than $2.5 billion, then the yearly (‘‘Commission’’) proposed bylaw Proposed Bylaw Changes Relating to SIPC Member assessment rate is .15% of NOR. Once Assessments, Release No. SIPA–179 (Jan. 16, 2020), changes relating to SIPC member 85 FR 3986 (Jan. 23, 2020). The notice published the unrestricted net assets total at least assessments. On December 10, 2019, on January 23, 2020 inadvertently omitted from the $2.5 billion, then the assessment rate is SIPC consented to a 90-day extension of ‘‘Text of the Proposed Bylaw Change’’ section a minimum assessment of .02% of NOR. deleted text in paragraph (g) of Section 1 of Article Currently, SIPC’s only sources of time before the proposed bylaw changes 6 of the SIPC bylaws defining ‘‘net operating would take effect pursuant to section revenues from the securities business.’’ This notice funding are its Fund and a possible 3(e)(1) of SIPA.2 Pursuant to section reflects that the definition would remain the same Government loan. To ensure that SIPC 3(e)(1)(B) of SIPA, the Commission finds but would move from paragraph (g) of Section 1 of has sufficient independent resources to that these proposed bylaw changes Article 6 of the SIPC bylaws to paragraph (b)(ii) of carry out its purposes (thus obviating Section 3 of Article 6 of the SIPC bylaws. the need to borrow from the Federal involve a matter of such significant 6 For convenience, references hereinafter to public interest that public comment provisions of SIPA shall be to the United States Government), SIPC has determined to should be obtained.3 Therefore, Code and shall omit ‘‘15 U.S.C.’’ keep the assessment rate at 0.15% of 7 ‘‘Net operating revenues from the securities NOR until SIPC’s unrestricted net assets business’’ is ‘‘gross revenues from the securities 18 total $5 billion. This will accomplish a 17 CFR 200.30–3(a)(12). business less interest and dividend expenses, and 1 15 U.S.C. 78ccc(e)(1). includes those clarifications as are set forth in the few things: (1) Provide a larger cushion 2 Id. SIPC assessment forms and instructions.’’ SIPC for unknown contingencies; (2) reduce 3 15 U.S.C. 78ccc(e)(1)(B). Bylaw Article 6, Section 1(a)(3)(g) [sic]. the potential volatility of member
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assessments during periods of economic As SIPC has witnessed over the past regarding the uncertainties in an ever- downturn or individual member crisis; decade, risks abound—from a large firm changing marketplace, SIPC believes and (3) promote sound financial failure with encumbered assets, to a that in order for its mission of customer management in light of SIPC’s statutory Ponzi scheme with significant losses to protection to succeed, SIPC must mission. customers, to risks presented by a maintain a robust Fund. cybersecurity attack or the use of digital Basis and Purpose of Proposed Changes Historical Perspective assets. Assessing the adequacy of the There is no scientific basis for Fund is especially challenging because The initial SIPC Fund totaled $77.6 determining the exact adequacy of the the cost of a liquidation does not million.8 In 1992, SIPC’s Board (‘‘the SIPC Fund. Nevertheless, SIPC’s necessarily correlate with any Board’’) raised the target balance of the statutory obligation to protect customers traditional measure of financial SIPC Fund to $1 billion, and the SIPC of failed firms, and in certain cases, to exposure for broker-dealers. Instead, the Fund reached that amount in 1996. The pay the costs and expenses of Fund’s adequacy depends largely on Board last sought to augment the size of administration of the liquidation member firms’ compliance with the Fund in 2009, when, following the proceeding, impose upon SIPC a duty to customer protection or net capital rules, commencement of the liquidation take a responsible approach to the probability of which is challenging proceedings of Lehman Brothers Inc. calculating both the size of the SIPC to quantify. (‘‘LBI’’), and Bernard L. Madoff Fund, and the reasonableness of an SIPC’s resources must enhance Investment Securities LLC (‘‘BLMIS’’), assessment rate that maintains and investor confidence. Given the risks the assessment rate was revised to cause promotes adequate funding. described above, and remaining vigilant the Fund to grow to $2.5 billion.
As the graph above reveals, before the The liquidation proceeding of BLMIS have enough cash in its Rule 15c3–3(e) liquidation of BLMIS in 2008, SIPC’s has required SIPC to make the largest reserve account due to an increase in its Fund balance had doubled roughly aggregate advance in its history. In net cash obligations following its last every ten years. In addition, during statistical terms, the amount is more required reserve computation. those years and until 2010, SIPC had a than 100 standard deviations greater Another factor underscoring SIPC substantial confirmed private line of than the amounts advanced by SIPC in concerns is the potential risk to the credit.9 Due to the high cost and/or all of its previous cases.10 Today, an solvency of the SIPC Fund under the unavailability, SIPC no longer has the event statistically comparable to BLMIS Orderly Liquidation provisions of the private line of credit. would require advances to customers Dodd Frank Act, Title II. Dodd-Frank amounting to between $4 billion and $5 creates an important role for SIPC in the The Risk Landscape billion. event of the failure of a covered, large SIPC faces risks beyond those posed complex securities broker-dealer that The financial crisis of 2008, and the by large Ponzi schemes or a credit crisis. presents systemic risk. Under Dodd- ensuing liquidation proceedings of LBI These additional risks, many of which Frank, SIPC is designated as trustee for and BLMIS, revealed clearly the need are hard to quantify, include, for the liquidation of the broker-dealer for SIPC to increase the Fund balance. example, technology-related failures, under SIPA. 12 U.S.C. 5385(A). As Although the LBI liquidation such as a cyberattack on a large SIPC trustee, SIPC must determine and satisfy proceeding ultimately did not require member that restricts access by claims against the broker-dealer SIPC to advance funds to satisfy claims, customers to their assets; or risks consistent with SIPA. 12 U.S.C. 5385(D). or pay for expenses of administration, stemming from the delay in computing While the FDIC has expressed a any future failure of a global enterprise a broker-dealer’s reserve requirement. preference to use Dodd-Frank to and its broker-dealer affiliate could have For example, SEC Rule 15c3–3, 17 CFR intervene at the holding company a very different outcome for SIPC. For 240.15c3–3, which governs the level,11 the law nevertheless remains example, had funds sought by LBI been protection of customer assets, requires a available to liquidate a systemically encumbered overseas, or had LBI been broker-dealer to compute its cash important broker-dealer. reducing artificially its segregated reserve requirement on a weekly, not customer reserve requirement through daily, basis. Although a number of SIPC Mechanism for Setting the Assessment otherwise legal complex transactions, members voluntarily rebalance their Rate that may have imposed significant cash reserves on a daily basis, a large Once the unrestricted net asset demands on the SIPC Fund. SIPC member that does not might not amount is $5 billion, SIPC would, as it
8 Comprised of member assessments of $9.6 9 SIPC’s last credit agreement, a $500 million, 3- greater than the average advance of the ten next million, the transfer of $3 million from the yr. revolving credit facility, expired March 1, 2010. largest SIPC cases. American Stock Exchange, Inc. trust fund, and 10 In addition, the amounts advanced by SIPC in 11 Resolution of Systemically Important Financial confirmed lines of credit totaling $65 million. the BLMIS liquidation are more than 107 times Institutions: The Single Point of Entry Strategy, 78 FR 76614 (Dec. 18, 2013).
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often has in the past,12 commission a necessary to maintain the Fund and unforeseen sizeable expenditures, SIPC study to review the adequacy of the satisfy SIPA’s purposes. estimates that at the current yearly SIPC Fund. In the ordinary course, SIPC Other provisions of SIPC Bylaw assessment rate of .15% of NOR, SIPC’s would commission the study every four Article 6 are unchanged such as the rate unrestricted net assets, as reflected in years. The study would entail when the Fund is less than $150 SIPC’s audited Statement of Financial consideration of such factors as the million, or less than $100 million, or the Position, would be $5 billion by no later overall state of the SIPC Fund, current circumstances under which the rate than December 31, 2026. If SIPC did and projected financial market imposed can be more than 1⁄2 of 1% of nothing to address the adequacy of the conditions and trends, historic and gross revenues from the securities Fund or the assessment rate, then at a perceived risks and threats to the business but not more than 1% rate of 0.02% per annum, which would viability of the SIPC Fund, any undue thereof.13 These provisions largely track be the assessment under the current burden on members, or members’ the requirements under SIPA Sections version of the Assessment Bylaw, the $5 customers, and other factors deemed 78ddd(c)(3)(B) and 78ddd(d)(1)(A) and billion balance would not be reached appropriate by the SIPC Board. B. until the year 2040. Upon consideration of the results of Given not only the risks described Impact on Members the study and the report thereon that above, but the risk to members that, by would issue, and after consultation with statute, a significant event could cause Adopting the modifications proposed the Commission and one or more self- assessment rates immediately to jump to by SIPC should have a limited impact regulatory organizations, SIPC would set at least 0.50% of gross revenues from on member firms. As the chart below the appropriate assessment rate the securities business and possibly be reveals, based on 2018 data, SIPC staff as high as 1%, SIPC submits that estimates that two-thirds of the total 12 At various times, the size of SIPC’s Fund has been independently reviewed. See, e.g., GAO growing the Fund at a consistent pace difference in annual assessments under Report, The Regulatory Framework Has Minimized lessens any negative impact on the proposed assessment rate structure SIPC’s Losses, September 1992; Review of SIPC Risk members, with the attendant benefit of would be paid by only 30 members for Profile and Practices, Fitch Risk Management, 2003; reaching $5 billion sooner. Barring which the difference in the assessment Loss Modeling and Capital Reserve Adequacy payment would amount, on average, Study, Algorithmics Inc., 2008; Task Force Recommendation Analysis: Methodology and 13 ‘‘Gross revenues from the securities business’’ only to .091% of their total revenue. Summary of Results, Opera Solutions LLC, 2013. is defined in SIPA Section 78lll(9). BILLING CODE 8011–01–P
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BILLING CODE 8011–01–C revenue. This increase amounts to of General Assessments (SIPC Bylaw In the above chart, column 1 refers to approximately 8/100 of 1% of such Article 6, Section 1(c)). the difference in amount that a broker- members’ revenue, and represents 2⁄3 of dealer would pay as a result of being Under SIPA Section 78iii(a), each self- the total impact on all members. More assessed at a rate of .15% instead of regulatory organization (‘‘SRO’’) may act .02%. Column 2 is the number of than half of SIPC members would see an as the collection agent for SIPC to broker-dealers impacted at that amount. increase of less than $2,500 in the collect assessments payable by members Column 3 is the percentage that the amount of their annual assessment, with for which the SRO is the examining broker-dealers at a certain level more than 20% of members paying a authority. However, SIPA does not represent relative to the total number of difference of less than $100. In other mandate that SIPC use a collection agent broker-dealers. Column 4 is the total words, the impact of modifying the to collect assessments, and SIPA does additional amount paid by all broker- assessment structure on both the total not restrict collection exclusively to dealers at a given level. Column 5 is the assessment burden, and the distribution collection agents. See, e.g., SIPA Section percentage that the payments reflect of the assessment burden, among 78ddd(c)(1) (‘‘Each member of SIPC relative to all payments. Column 6 is the individual broker-dealers, would be shall pay to SIPC, or the collection agent percentage that the payments represent, comparatively limited. for SIPC . . . .[emphasis added]’’). on average, relative to the broker- Furthermore, under SIPA Section dealers’ revenue. Proposed Technical Changes 78ccc(b)(8), since SIPC has the power to Thus, an assessment rate of .15%, as Clarification of Role of Collection Agent ‘‘do any and all other acts and things as opposed to .02%, would cause the may be necessary or incidental to the largest 30 SIPC members to pay In addition to the above, SIPC conduct of its business and the exercise approximately $172 million more out of proposes to amend that portion of the of all other rights and powers granted to their approximately $213 billion in Assessment Bylaw relating to Collection SIPC,’’ SIPC has the general authority
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directly to collect assessments. Indeed, Commission, accompanied by a concise IV. Text of Proposed Bylaw Change for more than 20 years—since the mid- general statement of the basis and The text of the proposed bylaw 1990s—members have paid assessments purpose of the proposed bylaw changes is provided below. Proposed directly to SIPC. Where members have change.14 The proposed bylaw change new language is in italics; proposed failed to pay their assessments, SIPC has will become effective thirty days after deletions are in brackets. referred the delinquency to Commission the date of filing with the Commission staff and currently brings the matter to or upon such later date as SIPC may Article 6 the attention of FINRA for collection. designate or such earlier date as the Assessments In keeping with current practice, and Commission may determine unless: (A) in light of technological developments The Commission, by notice to SIPC Section 1. General and capabilities that have continued to setting forth the reasons for such action, (a) Amount of Assessment improve considerably, the proposed disapproves the proposed bylaw change bylaw removes the provision that as being contrary to the public interest (1) The amount of each member’s requires members to pay assessments to or contrary to the purposes of SIPA; or assessment for the member’s fiscal year collection agents. The proposed Bylaw (B) the Commission finds that the shall be the product of the assessment amendment re-letters the provisions that proposed bylaw change involves a rate established by SIPC for that fiscal follow current Bylaw Article 6, Section matter of such significant public interest year and either the member’s gross [or 1(c). The re-lettered provisions include that public comment should be net ]revenues or net operating revenues current Section 1(d) of Bylaw Article 6 obtained, in which case it may, after from the securities business, as follows: (Report by Collection Agents). Section notifying SIPC in writing of such (A) [The assessment rate shall be one- 1(d) requires the SROs to report in finding, require that the procedures for fourth (1⁄4) of one (1) percent per annum writing to SIPC as to any member from SIPC proposed rule changes in section of net operating revenues from the which the SRO has or has not been 3(e)(2) of SIPA be followed with respect member’s securities business for each successful in collecting payment. In this to the proposed bylaw change.15 calendar year or part thereof unless manner, SIPC can stay informed as to The SIPC Fund, which is built from SIPC determines that the balance of the any member that continues to be assessments on its members and the SIPC Fund, as defined in Section 4(a)(2) delinquent and refer the member, as interest earned on the Fund, is used for of the Act, exclusive of confirmed lines needed, to the Commission for further the protection of customers of members of credit,] If at any time SIPC determines action under SIPA Section 78jjj(a). liquidated under SIPA to maintain that SIPC’s unrestricted net assets are: Elimination of Interest Payment Period investor confidence in the securities (i) Less than $5.0 billion but not less on Past-Due Payments markets. In light of this fact and that the than $2.5 billion, and are reasonably bylaw change provides for a modified likely to remain less than $5.0 billion Currently, the SIPC Bylaw provides calculation of the assessment rate and a but not less than $2.5 billion, the that if a member’s assessment payment change to collection practices, the amount of each member’s assessment has not been received within 15 days of Commission finds, pursuant to section shall be 0.15 percent per annum of net the due date, the stated interest rate for 3(e)(1)(B) of SIPA,16 that the proposed operating revenues from the member’s late payments applies to unpaid bylaw change involves a matter of such securities business for each calendar amounts. In January, 2019, SIPC significant public interest that public year or part thereof. [has aggregated a developed an internet payment portal, comment should be obtained and is balance of $2.5 billion, and] whereby members can pay SIPC directly requiring that the procedures applicable (ii) less than $2.5 billon, the amount online. SIPC is also presently working to SIPC proposed rule changes in of each member’s assessment shall be on the development of a portal through 17 section 3(e)(2) of SIPA be followed. one-fourth (1⁄4) of one (1) percent per which, among other things, members As required by section 3(e)(1)(B) of annum of net operating revenues from can file assessment forms. The creation SIPA,18 the Commission has notified the member’s securities business for by SIPC of the means by which SIPC of this finding in writing. each calendar year or part thereof. [will members can make immediate payment remain at or above $2.5 billion for six obviates the need for a grace period. III. Date of Effectiveness of the Proposed Bylaw Changes and Timing months or more.] Conclusion for Commission Action (B) Notwithstanding anything herein Given the many risks that have arisen to the contrary, if at any time SIPC Within 35 days of the date of determines that the balance of the SIPC in the past two decades, and the publication of this notice in the Federal potential risks SIPC continues to face, Fund aggregates or is reasonably likely Register, or within such longer period to aggregate: SIPC must be prudent in determining (A) as the Commission may designate of what constitutes a sufficient level of (i) Less than $150,000,000—the not more than ninety days after such amount of each member’s assessment funding. Indeed, maintaining the date if it finds such longer period to be adequacy of the SIPC Fund is in shall be at an amount to be determined appropriate and publishes its reasons by SIPC, but in no case shall the amount everyone’s interest—it enhances for so finding or (B) as to which SIPC investor protection. While SIPC could of each member’s assessment be less consents, the Commission shall: (i) By than an assessment rate of one-fourth raise the assessment on an ad hoc basis order approve such proposed bylaw (1⁄4) of one (1) percent per annum of as the situation warrants, it believes that changes; or (ii) institute proceedings to the approach set forth herein is the such member’s gross revenues from the determine whether such proposed securities business. better course of action, as it promotes bylaw changes should be disapproved.19 greater stability and predictability for (ii) less than $100,000,000—the amount of each member’s assessment both investors and member firms. 14 15 U.S.C. 78ccc(e)(1). shall be at an amount to be determined II. Need for Public Comment 15 15 U.S.C. 78ccc(e)(1). 16 15 U.S.C. 78ccc(e)(1)(B). by SIPC, but in no case shall the amount Section 3(e)(1) of SIPA provides that 17 15 U.S.C. 78ccc(e)(2). of each member’s assessment be less the SIPC Board must file a copy of any 18 15 U.S.C. 78ccc(e)(1)(B). than an assessment rate of one-half (1⁄2) proposed bylaw change with the 19 15 U.S.C. 78ccc(e)(2)(B). of one (1) percent per annum of such
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member’s gross revenues from the operating revenues from the securities (E) Any minimum assessment securities business. business for each calendar year or part imposed upon each member of SIPC (iii) The amount of each member’s thereof.] shall be 0.02 percent of the net assessment shall not exceed one-half (D) Without limitation of SIPC’s operating revenues from the securities (1⁄2) of one (1) percent per annum of authority under 15 U.S.C. 78ccc and business of such member for each such member’s gross revenues from the 78ddd to set assessments, if SIPC calendar year or part thereof. securities business, unless SIPC determines that SIPC’s unrestricted net (2) Any change in assessments made determines that a rate in excess of one- assets are $5.0 billion or more and are in accordance with Section 1(a)(1) half (1⁄2) of one (1) percent during any reasonably likely to remain above $5.0 herein shall commence on the first day twelve (12) month period will not have billion, and after review of the of the year following the date on which a material adverse effect on the information contained in the last Report SIPC announces its determination, or on financial condition of its members or at such time, and after consultation with such other date if the exigency of the their customers. No assessment made the Securities and Exchange circumstances so warrants in SIPC’s pursuant to this section 1(a)(1) shall Commission and self-regulatory determination, and continue until such require payments during any such organizations, SIPC may not more than time as SIPC provides otherwise. period that exceed in the aggregate one once in any four-year period, increase or (3) Commencing on the first day of the (1) percent of any member’s gross decrease the assessment rate by up to, month following the date on which revenues from the securities business for but not more than, twenty-five percent SIPC borrows moneys pursuant to such period. (25%) of the rate in effect at that time. Section 4(f) or Section 4(g) of the Act, [Notwithstanding the provisions of [Anything to the contrary herein and continuing while any such Section 1(a)(1)(A) herein, if SIPC notwithstanding, if at any time SIPC borrowing is outstanding and until such determines that the balance of the SIPC determines that the balance of the SIPC further time as SIPC provides otherwise, Fund, as defined in Section 4(a)(2) of Fund, as defined in Section 4(a)(2) of the amount of each member’s the Act, exclusive of confirmed lines of the Act, exclusive of confirmed lines of assessment shall be at an assessment credit, (i) has aggregated $2.5 billion, credit, aggregates or is reasonably likely rate of not less than one-half (1⁄2) of one and (ii) will remain at or above $2.5 to aggregate: (1) percent per annum of such member’s billion for six months or more, but (i) Less than $2.5 billion and will gross revenues from the securities SIPC’s unrestricted net assets, as likely remain less than $2.5 billion for business. reflected in SIPC’s most recent audited a period of six (6) months or more—the (b) Payments. Assessments shall be Statement of Financial Position, are less amount of each member’s assessment payable at such times and in such than $2.5 billion, the assessment rate shall be at an assessment rate of one- shall be 0.15 percent per annum of net manner as may be determined by SIPC’s fourth (1⁄4) of one (1) percent per annum operating revenues from the member’s Vice President—Finance with the securities business for each calendar of net operating revenue. approval of the Chairman. year or part thereof.] (ii) less than $150,000,000—the [(c) Collection of General (C) SIPC shall commission a study amount of each member’s assessment Assessments. Each member of the (‘‘Study’’) every four years to examine shall be at an amount to be determined Corporation who is a member of a self- the adequacy of the balance of SIPC’s by SIPC, but in no case shall the amount regulatory organization shall pay unrestricted net assets and the SIPC of each member’s assessment be less assessments to its collection agent. In Fund and the appropriate assessment than an assessment rate of one-fourth the case of members who are not rate that is necessary to fulfill the (1⁄4) of one (1) percent per annum of members of any self-regulatory purposes of the Act. The Study will such member’s gross revenues from the organization, assessments shall be paid examine the overall state of SIPC’s securities business. directly to the Corporation.] unrestricted net assets and Fund (iii) less than $100,000,000—the [(d)](c) Report by Collection Agents. balances, current and projected amount of each member’s assessment Within 45 days after each due date, each financial market conditions and trends, shall be at an amount to be determined self-regulatory organization that acts historic and perceived risks and threats by SIPC, but in no case shall the amount as[which is the] collection agent for to the viability of SIPC’s unrestricted net of each member’s assessment be less SIPC shall submit a written report to assets and Fund, any undue burden on than an assessment rate of one-half (1⁄2) SIPC [ the Corporation] as to any entity members or members’ customers, and of one (1) percent per annum of such [for whom it acts as collection agent] such other factors as the Board member’s gross revenues from the whose filing or assessment payment has determines. The Study shall result in a securities business. not been received. report (‘‘Report’’) to be furnished to (iv) The amount of each member’s [(e)](d) Interest on Assessments. If all SIPC. The first Study shall be assessment shall not exceed one-half or any part of an assessment payable commissioned when SIPC reasonably (1⁄2) of one (1) percent per annum of under Section 4 of the Act has not been anticipates that SIPC’s unrestricted net such member’s gross revenues from the timely received [by the collection agent assets have reached a total of $5.0 securities business, unless SIPC within 15 days after the due date billion. [If SIPC determines that the determines that a rate in excess of one- thereof], the member shall pay, in balance of the SIPC Fund, as defined in half (1⁄2) of one (1) percent during any addition to the amount of the Section 4(a)(2) of the Act, exclusive of twelve (12) month period will not have assessment, interest at the rate of 20% confirmed lines of credit, has aggregated a material adverse effect on the financial per annum on the unpaid portion of the $2.5 billion or more, and will remain at condition of its members or their assessment for each day it has been or above $2.5 billion for six months or customers. No assessment made overdue. If any broker or dealer has more, and SIPC’s unrestricted net assets, pursuant to this section 1(a)(1) shall incorrectly filed a claim for exclusion as reflected in SIPC’s most recent require payments during any such from membership in the Corporation, audited Statement of Financial Position, period that exceed in the aggregate one such broker or dealer shall pay, in are at or above $2.5 billion, members (1) percent of any member’s gross addition to assessments due, interest at shall pay a minimum assessment, which revenues from the securities business the rate of 20% per annum on the shall be 0.02 percent of the net for such period.] unpaid assessment for each day it has
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not been paid since the date on which forth in the SIPC assessment forms and All submissions should refer to File it should have been paid. instructions. Number SIPC–2019–02, and should be [(f) Gross Revenues. The term ‘‘gross (iii) SIPC Fund or Fund. The term submitted on orbefore February 20, revenues from the securities business’’ ‘‘SIPC Fund’’ or ‘‘Fund’’ is as defined in 2020. includes the revenues in the definition Section 4(a)(2) of the Act, exclusive of For the Commission, by the Division of of gross revenues from the securities confirmed lines of credit. Trading and Markets, pursuant to delegated business set forth in the applicable (iv) SIPC’s unrestricted net assets. The authority.20 sections of the Act. term ‘‘SIPC’s unrestricted net assets’’ (g) Net Operating Revenues. The term means the lesser of SIPC’s unrestricted J. Matthew DeLesDernier, ‘‘net operating revenues from the net assets as reflected in SIPC’s most Assistant Secretary. securities business’’ means gross recent audited Statement of Financial [FR Doc. 2020–01610 Filed 1–29–20; 8:45 am] revenues from the securities business Position or reasonably expected by SIPC BILLING CODE 8011–01–P less interest and dividend expenses, and to be reflected in its next audited includes those clarifications as are set Statement of Financial Position. forth in the SIPC assessment forms and V. Solicitation of Comments SECURITIES AND EXCHANGE instructions.] COMMISSION Interested persons are invited to Section 2. Overpayments submit written data, views, and arguments concerning the foregoing by [Release No. 34–88036; File No. SR–Phlx– If the final annual reconciliation filed 2020–02] by a terminated member reflects an any of the following methods: assessment overpayment carried Electronic Comments Self-Regulatory Organizations; Nasdaq forward that exceeds $150.00, SIPC may • Use the Commission’s internet PHLX LLC; Notice of Filing and refund such excess to the member upon Immediate Effectiveness of a Proposed receipt of the member’s written request comment form (http://www.sec.gov/ rules/other.shtml); or Rule Change To Amend Phlx’s Pricing therefor and after [the member’s] SIPC • Schedule [collection agent] has confirmed [to Send an email to rule-comments@ sec.gov. Please include File Number SIPC]that all of the member’s SIPC January 24, 2020. assessment form filings and payments SIPC–2019–02 on the subject line. Pursuant to Section 19(b)(1) of the and reports required by SEC Rule 17a– Paper Comments Securities Exchange Act of 1934 5 covering periods through the • Send paper comments to Secretary, (‘‘Act’’),1 and Rule 19b–4 thereunder,2 termination date have been reviewed Securities and Exchange Commission, notice is hereby given that on January and accepted. 100 F Street NE, Washington, DC 14, 2020, Nasdaq PHLX LLC (‘‘Phlx’’ or Section 3. Interpretation of Terms 20549–1090. ‘‘Exchange’’) filed with the Securities (a) For purposes of calculating All comments should refer to File and Exchange Commission assessments [this article]: Number SIPC–2019–02. To help the (‘‘Commission’’) the proposed rule [(a)](i) The term ‘‘securities in trading Commission process and review your change as described in Items I, II, and accounts’’ shall mean securities held for comments more efficiently, please use III, below, which Items have been sale in the ordinary course of business only one method. The Commission will prepared by the Exchange. The and not identified as having been held post all comments on the Commission’s Commission is publishing this notice to for investment. internet website (http://www.sec.gov/ solicit comments on the proposed rule [(b)](ii) The term ‘‘securities in rules/other.shtml). Copies of the change from interested persons. submission, all subsequent investment accounts’’ shall mean I. Self-Regulatory Organization’s securities that are clearly identified as amendments, all written statements Statement of the Terms of Substance of having been acquired for investment in with respect to the proposed bylaw the Proposed Rule Change accordance with provisions of the changes that are filed with the Internal Revenue Code applicable to Commission, and all written The Exchange proposes to amend dealers in securities. communications relating to the Phlx’s Pricing Schedule. Specifically, [(c)](iii) The term ‘‘fees and other proposed bylaw changes between the the Exchange proposes to amend Commission and any person, other than income from such other categories of the Options 7, Section 4, titled ‘‘Multiply those that may be withheld from the securities business’’ shall mean all Listed Options Fees (Includes options public in accordance with the revenue related either directly or overlying equities, ETFs, ETNs and provisions of 5 U.S.C. 552, will be indirectly to the securities business indexes which are Multiply Listed).’’ except revenue included in Section available for website viewing and 16(9)(A)–(K) and revenue specifically printing in the Commission’s Public The Exchange originally filed the excepted in Section 4(c)(3)(C). Reference Room, 100 F Street NE, proposed pricing changes on January 2, (b) For purposes of this Article: Washington, DC 20549, on official 2020 (SR-Phlx-2020–01). On January 14, (i) Gross Revenues. The term ‘‘gross business days between the hours of 2020, the Exchange withdrew that filing revenues from the securities business’’ 10:00 a.m. and 3:00 p.m. Copies of the and submitted this filing. includes the revenues in the definition filing also will be available for The text of the proposed rule change of gross revenues from the securities inspection and copying at the principal is available on the Exchange’s website at business set forth in the applicable office of the Commission. All comments http://nasdaqphlx.cchwallstreet.com/, sections of the Act. received will be posted without change. at the principal office of the Exchange, (ii) Net Operating Revenues. The term Persons submitting comments are and at the Commission’s Public ‘‘net operating revenues from the cautioned that we do not redact or edit Reference Room. securities business’’ means gross personal identifying information from revenues from the securities business comment submissions. You should 20 17 CFR 200.30–3(f)(2)(i); 17 CFR 200.30–3(f)(3). less interest and dividend expenses, and submit only information that you wish 1 15 U.S.C. 78s(b)(1). includes those clarifications as are set to make available publicly. 2 17 CFR 240.19b–4.
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II. Self-Regulatory Organization’s the most significant aspects of such amend pricing for certain strategy caps. Statement of the Purpose of, and statements. The Exchange believes the proposed Statutory Basis for, the Proposed Rule A. Self-Regulatory Organization’s amendments will incentivize market Change Statement of the Purpose of, and participants to transact various options In its filing with the Commission, the Statutory Basis for, the Proposed Rule strategies on Phlx to take advantage of Exchange included statements Change the opportunity to cap floor option concerning the purpose of and basis for transaction charges and lower their the proposed rule change and discussed 1. Purpose costs. any comments it received on the Phlx proposes to amend its Pricing Today, to qualify for a strategy cap, proposed rule change. The text of these Schedule at Options 7, Section 4, titled the buy and sell side of a transaction statements may be examined at the ‘‘Multiply Listed Options Fees (Includes must originate from the Exchange floor.3 places specified in Item IV below. The options overlying equities, ETFs, ETNs Today, the Exchange offers the Exchange has prepared summaries, set and indexes which are Multiply forth in sections A, B, and C below, of Listed).’’ The Exchange proposes to following strategy caps:
Floor Options Transactions—Multiply Listed Options Strategy Qualification Cap
Specialist, Market Maker, Professional, Firm and dividend, merger and short stock executed on the same trading day $1,500 Broker-Dealer. interest strategies. in the same options class when such members are trading in their own proprietary accounts.. Specialist, Market Maker, Professional, Firm and reversal and conversion strategies executed on the same trading day 700 Broker-Dealer. in the same options class. Specialist, Market Maker, Professional, Firm and jelly rolls ...... executed on the same trading day 700 Broker-Dealer. in the same options class. Specialist, Market Maker, Professional, Firm and box spreads ...... executed on the same trading day 700 Broker-Dealer. in the same options class. Per member organization ...... dividend, merger, short stock inter- combined executions in a month 65,000 est, reversal and conversion, when trading in own proprietary jelly roll and box spread strate- accounts. gies (‘‘Monthly Strategy Cap’’).
NDX and NDXP Options Transactions trading in their own proprietary Broker-Dealers to qualify for the cap by are excluded from Strategy Cap pricing.4 accounts. If the qualification is met, executing on the same trading in the The Exchange proposes to amend the Specialists, Market Makers, same options class when (1) such strategy caps applicable to Specialists,5 Professionals, Firms and Broker-Dealers members are trading in their own Market Makers,6 Professionals,7 Firms 8 floor option transaction charges are proprietary account, as is the case today, and Broker-Dealers 9 with respect to capped at $1,500. The Exchange or (2) when transacted on an agency dividend,10 merger 11 and short stock proposes to amend the qualification for basis. If transacted on an agency basis, interest 12 strategies. Specialists, Market Makers, the daily cap will apply per beneficial Professionals, Firms and Broker-Dealers account. For example, if Firm A Dividend Strategy dividend strategies by lowering the cap transacted $600 of qualifying dividend Today, to qualify for a dividend cap, from $1,500 to $1,100 and also strategies for customer A, $1,500 a Specialist, Market Maker, Professional, amending the qualification for dividend qualifying dividend strategies for Firm or Broker-Dealer must execute on strategies. The proposed qualification customer B and $2,000 qualifying the same trading day in the same would be expanded to allow Specialists, dividend strategies for customer C, then options class when such members are Market Makers, Professionals, Firms and customer A would not qualify for a
3 See Phlx’s Pricing Schedule at Options 7, (‘‘RSQTs’’). RSQTs may also be referred to as 9 The term ‘‘Broker-Dealer’’ applies to any Section 4. Remote Market Markers (‘‘RMMs’’). The term transaction which is not subject to any of the other 4 Today, reversal and conversion, jelly roll and ‘‘Registered Option Trader’’ or ‘‘ROT’’ is defined in transaction fees applicable within a particular box spread strategy executions are not included in Exchange Rule 1000(b)(57). A ROT includes SQTs category. See Options 7, Section 1. and RSQTs as well as on and off-floor ROTS. The the Monthly Strategy Cap for a Firm. Also, all 10 A dividend strategy is defined as transactions dividend, merger, short stock interest, reversal and term ‘‘Streaming Quote Trader’’ is defined in done to achieve a dividend arbitrage involving the conversion, jelly roll and box spread strategy Exchange Rule 1000(b)(59). The term ‘‘Remote executions are excluded from the Monthly Market Streaming Quote Trader’’ is defined in Exchange purchase, sale and exercise of in-the-money options Maker Cap. Specialists and Market Makers are Rule in 1000(b)(60). A Remote Streaming Quote of the same class, executed the first business day subject to a ‘‘Monthly Market Maker Cap’’ of Trader Organization or ‘‘RSQTO,’’ which may also prior to the date on which the underlying stock goes $500,000 which is explained in greater detail be referred to as a Remote Market Making ex-dividend. See Options 7, Section 4. within Options 7, Section 4. Organization (‘‘RMO’’), is a member organization in 11 A merger strategy is defined as transactions 5 The term ‘‘Specialist’’ applies to transactions for good standing that satisfies the RSQTO readiness done to achieve a merger arbitrage involving the the account of a Specialist (as defined in Exchange requirements in Rule 507(a). purchase, sale and exercise of options of the same Rule 1020(a)). A Specialist is an Exchange member 7 The term ‘‘Professional’’ applies to transactions class and expiration date, executed the first who is registered as an options specialist pursuant for the accounts of Professionals, as defined in business day prior to the date on which to Rule 1020(a). An options Specialist includes a Exchange Rule 1000(b)(14) means any person or shareholders of record are required to elect their Remote Specialist which is defined as an options entity that (i) is not a broker or dealer in securities, respective form of consideration, i.e., cash or stock. specialist in one or more classes that does not have and (ii) places more than 390 orders in listed a physical presence on an Exchange floor and is options per day on average during a calendar month See Options 7, Section 4. approved by the Exchange pursuant to Rule 501. for its own beneficial account(s). 12 A short stock interest strategy is defined as 6 The term ‘‘Market Maker’’ will be utilized to 8 The term ‘‘Firm’’ applies to any transaction that transactions done to achieve a short stock interest describe fees and rebates applicable to Registered is identified by a member or member organization arbitrage involving the purchase, sale and exercise Options Traders, Streaming Quote Traders for clearing in the Firm range at The Options of in-the-money options of the same class. See (‘‘SQTs’’) and Remote Streaming Quote Traders Clearing Corporation. See Options 7, Section 1. Options 7, Section 4.
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dividend strategy cap and customers B interest, reversal, conversion, jelly roll may transact reversal and conversion, and C would each separately cap at and box spread strategies, collectively. jelly roll or box spread strategies. For $1,100 for qualifying dividend strategies The Exchange believes that its proposal clarity, the Exchange proposes to state pursuant to this proposal. The Exchange will incentivize members to transact a within the rule text that members may believes that its proposal will greater number of merger and short transact these strategies in their own incentivize members to transact a stock interest strategies because the cap proprietary accounts or on an agency greater number of dividend strategies for merger and short stock interest basis to qualify for the merger, short because the cap is being lowered from strategies is being lowered from $1,500 stock interest, reversal and conversion, $1,500 to $1,100 and the Exchange is to $1,100 and the Exchange is jelly roll and box spread strategy cap. permitting members to qualify for the permitting members to aggregate all The Exchange proposes to limit cap by transacting dividend strategies options classes to qualify for the cap members who transact merger, short either in their proprietary account or on and also permitting members to transact stock interest, reversal and conversion, an agency basis. merger, short stock interest, reversal, jelly roll or box spread strategies on an conversion, jelly roll and box spread Merger and Short Stock Interest agency basis by applying the cap per strategies either in their proprietary Strategies beneficial account similar to the account or on an agency basis. dividend strategy cap. The Exchange The Exchange proposes to amend the Reversal and Conversion, Jelly Roll and would offer a cap of $1,100 for current merger and short stock interest qualifying merger, short stock interest, strategy cap which require the strategies Box Spread Strategies reversal and conversion, jelly roll or box to be executed on the same trading day The Exchange proposes to eliminate spread strategies. The Exchange believes in the same options class when such the current reversal and conversion,13 that its proposal will incentivize members are trading in their own jelly roll 14 and box spread15 strategy members to transact a greater number of proprietary accounts, to qualify for a caps for Specialists, Market Makers, reversal and conversion, jelly roll and $1,500 cap. The Exchange proposes to Professionals, Firms and Broker-Dealers box spread strategies despite the instead require Specialists, Market which require the strategies to be increase in the cap from $700 to $1,100 Makers, Professionals, Firms and executed on the same trading day in the because members may aggregate all Broker-Dealers that transact merger and same options class for a cap of $700, options classes and collectively short stock interest strategies, along respectively, for each strategy and adopt with reversal, conversion, jelly roll and strategy caps similar to those proposed aggregate merger, short stock interest, box spread strategies, to execute these for the merger and short stock interest reversal and conversion, jelly roll or box strategies on the same trading day for all strategies. Specifically, Phlx proposes to spread strategies to qualify for the cap. options classes in the aggregate when adopt a new strategy cap for Specialists, For purposes of the Exhibit 5 rule such members are trading (1) in their Market Makers, Professionals, Firms and text, the dividend strategy cap will have own proprietary accounts, as is the case Broker-Dealers for merger, short stock its own qualification and cap and the today, or (2) on an agency basis. If interest, reversal and conversion, jelly remainder of the strategies, merger, transacted on an agency basis, the daily roll and box spread strategies, short stock interest, reversal and cap will apply per beneficial account. collectively, which requires that these conversion, jelly roll and box spread, The Exchange would offer a cap of strategies be executed on the same will be grouped into a second category $1,100 to Specialists, Market Makers, trading day for all options classes in the with a collective qualification and cap Professionals, Firms and Broker-Dealers aggregate. Today, members are not applicable to those strategies. The who qualify for the merger, short stock limited as to the manner in which they Exchange proposes the below rule text:
Floor Options Transactions—Multiply Listed Options Strategy Qualification Cap
Specialist, Market Maker, Professional, Firm and dividend ...... executed on the same trading day $1,100 Broker-Dealer. in the same options class when such members are trading: (1) In their own proprietary accounts; or (2) on an agency basis. If transacted on an agency basis, the daily cap will apply per ben- eficial account. Specialist, Market Maker, Professional, Firm and reversal and conversion, merger, executed on the same trading day 1,100 Broker-Dealer. short stock interest, jelly roll, and for all options classes in the ag- box spread strategies. gregate when such members are trading. (1) In their own pro- prietary accounts; or (2) on an agency basis. If transacted on an agency basis, the daily cap will apply per beneficial account.
13 Reversal and conversion strategies are same strike and expiration. See Options 7, Section but with a different expiration from the first transactions that employ calls and puts of the same 4. position. See Options 7, Section 4. strike price and the underlying stock. Reversals are 14 A jelly roll strategy is defined as transactions 15 A box spread strategy is a strategy that established by combining a short stock position created by entering into two separate positions synthesizes long and short stock positions to create with a short put and a long call position that shares simultaneously. One position involves buying a put a profit. Specifically, a long call and short put at one strike is combined with a short call and long the same strike and expiration. Conversions employ and selling a call with the same strike price and put at a different strike to create synthetic long and long positions in the underlying stock that expiration. The second position involves selling a synthetic short stock positions, respectively. See accompany long puts and short calls sharing the put and buying a call, with the same strike price, Options 7, Section 4.
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Floor Options Transactions—Multiply Listed Options Strategy Qualification Cap
Per member organization ...... dividend, merger, short stock inter- combined executions in a month 65,000 est, reversal and conversion, when trading in its own propri- jelly roll and box spread strate- etary accounts. gies (‘‘Monthly Strategy Cap’’).
The Exchange is not proposing to emphasized, the Commission ‘‘intended in their own proprietary account or on amend the $65,000 cap per member in Regulation NMS that ‘market forces, an agency basis. To the extent that a organization which is currently rather than regulatory requirements’ member is transacting a dividend offered.16 The Exchange is proposing a play a role in determining the market strategy on an agency basis, the benefit technical amendment to add the word data . . . to be made available to of the dividend cap would apply ‘‘its’’ for the qualifying language for a investors and at what cost.’’ 22 separately to each beneficial account on member organization. The amended Further, ‘‘[n]o one disputes that whose behalf the member is executing phrase would state ‘‘combined competition for order flow is ‘fierce.’ the dividend strategy. The Exchange executions in a month when trading in . . . As the SEC explained, ‘[i]n the U.S. believes that it is reasonable to apply its own proprietary account.’’ national market system, buyers and the cap to each beneficial account when sellers of securities, and the broker- 2. Statutory Basis the dividend strategy was transacted on dealers that act as their order-routing an agency basis, as compared to the The Exchange believes that its agents, have a wide range of choices of member that transacts a dividend proposal is consistent with Section 6(b) where to route orders for execution’; strategy for his own proprietary account of the Act,17 in general, and furthers the [and] ‘no exchange can afford to take its and therefore may capture the benefit of objectives of Sections 6(b)(4) and 6(b)(5) market share percentages for granted’ the dividend strategy for all qualifying of the Act,18 in particular, in that it because ‘no exchange possesses a provides for the equitable allocation of monopoly, regulatory or otherwise, in transactions in their proprietary reasonable dues, fees and other charges the execution of order flow from broker account. When the member transacts the among members and issuers and other dealers’....’’23 Although the court dividend strategy on an agency basis, it persons using any facility, and is not and the SEC were discussing the cash is for the benefit of a customer. The designed to permit unfair equities markets, the Exchange believes Exchange believes that applying the discrimination between customers, that these views apply with equal force dividend cap to each of those customer issuers, brokers, or dealers. to the options markets. accounts separately is reasonable as the The Commission and the courts have dividend cap is intended to encourage repeatedly expressed their preference Dividend Strategy each member to execute a greater for competition over regulatory The Exchange’s proposal to amend amount of dividend strategies. The intervention in determining prices, the Specialist, Market Maker, Exchange believes applying the products, and services in the securities Professional, Firm and Broker-Dealer dividend cap per beneficial account markets. In Regulation NMS, while qualification and cap for dividend when transacted on an agency basis adopting a series of steps to improve the strategies cap is reasonable. The would allow the Exchange to current market model, the Commission Exchange is lowering the cap from incentivize dividend strategies in highlighted the importance of market $1,500 to $1,100. Also, the proposed accordance with the order flow that forces in determining prices and SRO qualification would be expanded to each member executes on the Exchange. allow Specialists, Market Makers, revenues and, also, recognized that The Exchange’s proposal to amend current regulation of the market system Professionals, Firms and Broker-Dealers the qualification for Specialists, Market ‘‘has been remarkably successful in to qualify for the cap by executing on Makers, Professionals, Firms and promoting market competition in its the same trading in the same options Broker-Dealers dividend strategies by broader forms that are most important to class when such members are trading: lowering the cap from $1,500 to $1,100 investors and listed companies.’’ 19 (1) In their own proprietary account, as Likewise, in NetCoalition v. Securities is the case today; or (2) on an agency and also amending the qualification for and Exchange Commission 20 basis.24 This expanded qualification dividend strategies is equitable and not (‘‘NetCoalition’’) the D.C. Circuit upheld would allow additional options unfairly discriminatory because all the Commission’s use of a market-based transactions to qualify for the dividend members may qualify for the dividend approach in evaluating the fairness of strategy cap. The combination of the strategy cap provided they transact the market data fees against a challenge expansion of the qualification and requisite amount of dividend strategies claiming that Congress mandated a cost- lowering of the dividend cap should wherein the buy and sell side of a based approach.21 As the court encourage members to transact transaction originated from the additional dividend strategies on Phlx. Exchange floor. The Exchange also 16 Member organization that qualify for a Monthly Finally, the proposal to permit the believes that it is equitable and not Strategy Cap for a dividend, merger, short stock dividend strategy cap to apply to each unfairly discriminatory to permit a interest, reversal and conversion, jelly roll and box beneficial account is reasonable. As dividend strategy cap to apply to each spread strategy by combining executions in a month when trading in their own proprietary accounts are explained herein, members would be beneficial account when transacted on capped at $65,000 for the month. permitted to transact dividend strategies an agency basis. To the extent that a 17 15 U.S.C. 78f(b). member is transacting a dividend 18 15 U.S.C. 78f(b)(4) and (5). 22 Id. at 537. strategy on an agency basis, the 19 Securities Exchange Act Release No. 51808 23 Id. at 539 (quoting Securities Exchange Act Exchange would uniformly apply the (June 9, 2005), 70 FR 37496, 37499 (June 29, 2005) Release No. 59039 (December 2, 2008), 73 FR benefit of the dividend cap separately to (‘‘Regulation NMS Adopting Release’’). 74770, 74782–83 (December 9, 2008) (SR– 20 NetCoalition v. SEC, 615 F.3d 525 (D.C. Cir. NYSEArca–2006–21)). each beneficial account on whose behalf 2010). 24 If transacted on an agency basis, the daily cap the member is executing the dividend 21 See NetCoalition, at 534–535. will apply per beneficial account. strategy because the transaction is for
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the benefit of a customer and not the greater amount of these strategies. The and adopt a new strategy cap for these member. Exchange believes applying the merger, strategies, along with the merger and short stock interest, reversal, short stock interest strategies, which Merger and Short Stock Strategies conversion, jelly roll and box spread requires that these strategies be The Exchange’s proposal to amend strategy cap per beneficial account executed on the same trading day for all the current merger and short stock when transacted on an agency basis options classes in the aggregate when interest strategy cap, which requires that would allow the Exchange to such members are trading in their own the strategies be executed on the same incentivize merger and short stock proprietary accounts or transacted on an trading day in the same options class interest strategies in accordance with agency basis to qualify is reasonable. when such members are trading in their the order flow that each member Unlike the current qualification for own proprietary accounts, to qualify for executes on the Exchange. reversal and conversion, jelly roll and a $1,500 cap is reasonable. The The Exchange would also lower the box spread strategies which requires Exchange proposes to expand the current merger and short stock interest that these strategies be executed on the current requirement to permit cap from $1,500 to $1,100. The same trading day in the same options Specialists, Market Makers, Exchange believes that the combination class, the proposed qualification would Professionals, Firms and Broker-Dealers of expanding the qualifications to permit the strategies to be executed on that transact merger and short stock permit members to aggregate all options the same trading day for all options interest strategies, along with reversal, classes and transact on an agency basis, classes in the aggregate, along with the conversion, jelly roll and box spread in addition to also continuing to trade merger and short stock interest strategies, to execute these strategies on in their own proprietary account, as strategies. Further, the Exchange will the same trading day for all options well as lowering the cap will encourage continue to not limit the manner in classes in the aggregate when such members to transact a greater number of which the transactions may be executed, members are trading in their own merger and short stock interest either in a member’s proprietary proprietary accounts or on an agency strategies. basis to qualify. Today, members may The Exchange’s proposal to amend account or on an agency basis, for the transact merger and short stock interest the qualification for Specialists, Market reversal and conversion, jelly roll and strategies in their own proprietary Makers, Professionals, Firms and box spread strategies. Today, there is no account. Adding the ability to transact Broker-Dealers merger and short stock limitation as to whether reversal and merger and short stock interest on an interest strategies by lowering the cap conversion, jelly roll and box spread agency basis to qualify for the cap is from $1,500 to $1,100 and also strategy caps must be executed on a proposed herein. To the extent that a amending the qualification for these proprietary or agency basis. For clarity, member is transacting merger or short strategies is equitable and not unfairly the Exchange is noting within the rule stock interest strategies on an agency discriminatory because all members text that members may transact reversal basis, or a reversal, conversion, jelly roll may qualify for the merger, short stock and conversion, jelly roll and box and box spread strategy, the benefit of interest, reversal, conversion, jelly roll spread strategy caps either in their own the cap would apply separately to each and box spread strategy cap provided proprietary accounts or on an agency beneficial account on whose behalf the they transact the requisite amount of basis, in conjunction with merger and member is executing the merger, short merger, short stock interest, reversal, short stock interest strategies. To the stock interest, reversal, conversion, jelly conversion, jelly roll and box spread extent that a member is transacting roll and box spread strategy. The strategies wherein the buy and sell side merger, short stock interest, reversal and Exchange believes that it is reasonable of a transaction originated from the conversion, jelly roll and box spread to apply the cap to each beneficial Exchange floor. The Exchange also strategies on an agency basis, the benefit account when the merger or short stock believes that it is equitable and not of the cap would apply separately to interest strategy, along with the reversal, unfairly discriminatory to permit a each beneficial account on whose behalf conversion, jelly roll and box spread merger, short stock interest, reversal, the member is executing the merger, strategy, was transacted on an agency conversion, jelly roll and box spread short stock interest, reversal and basis, as compared to the member that strategy cap to apply to each beneficial conversion, jelly roll and box spread transacts a merger or short stock interest account when transacted on an agency strategy. The Exchange believes that it is strategy, or reversal, conversion, jelly basis. To the extent that a member is reasonable to apply the cap to each roll and box spread strategy, for his own transacting a merger, short stock beneficial account when the merger, proprietary account and therefore may interest, reversal, conversion, jelly roll short stock interest, reversal and capture the benefit of the merger or and box spread strategy on an agency conversion, jelly roll and box spread short stock interest strategy, or reversal, basis, the benefit of the merger or short strategies were transacted on an agency conversion, jelly roll and box spread stock interest cap would apply basis, as compared to the member that strategy, for all qualifying transactions separately to each beneficial account on transacts a merger, short stock interest, in their proprietary account. When the whose behalf the member is executing reversal and conversion, jelly roll and member transacts the merger or short the merger, short stock interest, reversal, box spread strategy for his own stock interest strategy on an agency conversion, jelly roll and box spread proprietary account and therefore may basis, or reversal, conversion, jelly roll strategy because the transaction is for capture the benefit of these strategies for and box spread strategy, it is for the the benefit of a customer and not the all qualifying transactions in their benefit of a customer. The Exchange member. proprietary account. When the member believes that applying the merger, short transacts a merger, short stock interest, stock interest, reversal, conversion, jelly Reversal and Conversion, Jelly Roll and reversal and conversion, jelly roll and roll and box spread strategy cap to each Box Spread Strategies box spread strategy on an agency basis, of those customer accounts separately is The Exchange’s proposal to eliminate it is for the benefit of a customer. The reasonable as the merger, short stock the current reversal and conversion, Exchange believes that applying the interest, reversal, conversion, jelly roll jelly roll and box spread strategy caps merger, short stock interest, reversal and and box spread strategy cap is intended for Specialists, Market Makers, conversion, jelly roll and box spread to encourage each member to execute a Professionals, Firms and Broker-Dealers strategy cap to each of those customer
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accounts separately is reasonable as the B. Self-Regulatory Organization’s transaction is for the benefit of a merger, short stock interest, reversal and Statement on Burden on Competition customer and not the member. conversion, jelly roll and box spread The Exchange’s proposal to amend strategy cap is intended to encourage The Exchange does not believe that the qualification for Specialists, Market each member to execute a greater the proposed rule change will impose Makers, Professionals, Firms and amount of these strategies. The any burden on competition not Broker-Dealers merger and short stock Exchange believes applying the merger, necessary or appropriate in furtherance interest strategies by lowering the cap short stock interest, reversal and of the purposes of the Act. from $1,500 to $1,100 and also conversion, jelly roll and box spread Inter-market Competition amending the qualification for these strategy cap per beneficial account strategies to allow these strategies to be when transacted on an agency basis The proposal does not impose an in the aggregate for all options classes would allow the Exchange to undue burden on inter-market and on an agency basis, along with incentivize reversal and conversion, competition. The Exchange believes its reversal and conversion, jelly roll and box spread strategies, while continuing jelly roll and box spread strategies in proposal remains competitive with to permit members to trade in their own accordance with the order flow that other options markets and will offer proprietary accounts, in conjunction each member executes on the Exchange. market participants with another choice of where to transact options. The with the reversal and conversion, jelly Despite the increase in the cap from roll and box spread strategies, does not $700 to $1,100 for the reversal and Exchange notes that it operates in a highly competitive market in which impose an undue burden on conversion, jelly roll and box spread competition because all members may strategies, the Exchange believes that market participants can readily favor competing venues if they deem fee qualify for the merger and short stock members will be able to meet the new levels at a particular venue to be interest strategy caps provided they qualification because members will be excessive, or rebate opportunities transact the requisite amount of merger, able to aggregate all options classes to available at other venues to be more short stock interest, reversal and qualify for the increased cap. favorable. In such an environment, the conversion, jelly roll and box spread The Exchange’s proposal to eliminate Exchange must continually adjust its strategies wherein the buy and sell side the current reversal and conversion, fees to remain competitive with other of a transaction originated from the jelly roll and box spread strategy caps exchanges that have been exempted Exchange floor. The Exchange also for Specialists, Market Makers, from compliance with the statutory believes that it does not impose an Professionals, Firms and Broker-Dealers standards applicable to exchanges. undue burden on competition to permit and adopt a new strategy cap for these Because competitors are free to modify a merger, short stock interest, reversal strategies which requires that these their own fees in response, and because and conversion, jelly roll and box strategies be executed on the same market participants may readily adjust spread cap to apply to each beneficial trading day for all options classes in the their order routing practices, the account when transacted on an agency aggregate, when such members are Exchange believes that the degree to basis. To the extent that a member is trading in their own proprietary which fee changes in this market may transacting a merger, short stock accounts or on an agency basis, in impose any burden on competition is interest, reversal and conversion, jelly conjunction with the merger and short extremely limited. roll and box spread strategy on an stock interest strategies, is equitable and agency basis, the benefit of the merger, not unfairly discriminatory. All Intra-market Competition short stock interest, reversal and conversion, jelly roll and box spread members may qualify for the merger, The proposed amendments do not short stock interest, reversal and would apply separately to each impose an undue burden on intra- beneficial account on whose behalf the conversion, jelly roll and box spread market competition. The Exchange’s member is executing these strategies strategy caps provided they transact the proposal to amend the qualification for because the transaction is for the benefit requisite amount of merger, short stock Specialists, Market Makers, of a customer and not the member. interest, reversal and conversion, jelly Professionals, Firms and Broker-Dealers The Exchange’s proposal to eliminate roll and box spread strategies wherein dividend strategies by lowering the cap the current reversal and conversion, the buy and sell side of a transaction from $1,500 to $1,100 and also jelly roll and box spread strategy caps originated from the Exchange floor. The amending the qualification for dividend for Specialists, Market Makers, Exchange also believes that it is strategies does not impose an undue Professionals, Firms and Broker-Dealers equitable and not unfairly burden on intra-market competition and adopt a new strategy increased cap discriminatory to permit a merger, short because all members may qualify for the of $1,100 for these strategies which stock interest, reversal and conversion, dividend strategy cap provided they requires that these strategies be jelly roll and box spread strategy cap to transact the requisite amount of executed on the same trading day for all apply to each beneficial account when dividend strategies wherein the buy and options classes in the aggregate, when transacted on an agency basis. To the sell side of a transaction originated from such members are trading in their own extent that a member is transacting a the Exchange floor. The Exchange also proprietary accounts or on an agency merger, short stock interest, reversal and believes that it does not impose an basis, in conjunction with merger and conversion, jelly roll and box spread undue burden on competition to permit short stock interest strategies, does not strategy on an agency basis, the benefit a dividend cap to apply to each impose an undue burden on of the merger, short stock interest, beneficial account when transacted on competition. All members may qualify reversal and conversion, jelly roll and an agency basis. To the extent that a for the merger, short stock interest, box spread cap would apply separately member is transacting a dividend reversal and conversion, jelly roll and to each beneficial account on whose strategy on an agency basis, the benefit box spread strategy caps provided they behalf the member is executing these of the dividend cap would apply transact the requisite amount of merger, strategies because the transaction is for separately to each beneficial account on short stock interest, reversal and the benefit of a customer and not the whose behalf the member is executing conversion, jelly roll and box spread member. the dividend strategy because the strategies wherein the buy and sell side
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of a transaction originated from the comments more efficiently, please use the scope of the EIS and environmental Exchange floor. Further, increasing the only one method. The Commission will issues that should be addressed as part cap from $700 to $1,100 for the reversal post all comments on the Commission’s of this EIS. and conversion, jelly roll and box internet website (http://www.sec.gov/ DATES: Comments must be received or spread strategies does not impose an rules/sro.shtml). Copies of the postmarked by March 2, 2020. undue burden on competition because submission, all subsequent ADDRESSES: Written comments should all members may qualify for the new amendments, all written statements be sent to Elizabeth Smith, NEPA qualification by aggregating all options with respect to the proposed rule Specialist, Tennessee Valley Authority, classes to qualify for the increased cap change that are filed with the 400 W Summit Hill Drive #WT11B, in the merger and short stock interest, Commission, and all written Knoxville, Tennessee 37902. Comments reversal and conversion, jelly roll and communications relating to the may be sent electronically to esmith14@ box spread strategies proposed rule change between the tva.gov. Commission and any person, other than FOR FURTHER INFORMATION CONTACT: C. Self-Regulatory Organization’s those that may be withheld from the Statement on Comments on the Contact Elizabeth Smith by email at public in accordance with the [email protected], by phone at (865) Proposed Rule Change Received From provisions of 5 U.S.C. 552, will be Members, Participants, or Others 632–3053, or by mail at the address available for website viewing and above. No written comments were either printing in the Commission’s Public solicited or received. Reference Room, 100 F Street NE, SUPPLEMENTARY INFORMATION: This Washington, DC 20549, on official notice is provided in accordance with III. Date of Effectiveness of the business days between the hours of the Council on Environmental Quality’s Proposed Rule Change and Timing for 10:00 a.m. and 3:00 p.m. Copies of the regulations (40 CFR parts 1500 to 1508), Commission Action filing also will be available for TVA’s procedures for implementing the The foregoing rule change has become inspection and copying at the principal National Environmental Policy Act effective pursuant to Section office of the Exchange. All comments (NEPA), and Section 106 of the National 19(b)(3)(A)(ii) of the Act.25 received will be posted without change. Historic Preservation Act (NHPA) and At any time within 60 days of the Persons submitting comments are its implementing regulations (36 CFR filing of the proposed rule change, the cautioned that we do not redact or edit part 800). Commission summarily may personal identifying information from The proposed North Alabama Utility- temporarily suspend such rule change if comment submissions. You should Scale Solar facility, hereafter referred to it appears to the Commission that such submit only information that you wish as the project, would occupy two sites: action is: (i) Necessary or appropriate in to make available publicly. All Wheeler North and Wheeler South. The the public interest; (ii) for the protection submissions should refer to File sites together encompass approximately of investors; or (iii) otherwise in Number SR–Phlx–2020–02 and should 3,000 acres, and are located entirely in furtherance of the purposes of the Act. be submitted on or before February 20, Lawrence County, Alabama. The If the Commission takes such action, the 2020. Wheeler North site is within the city Commission shall institute proceedings limits of Wheeler, Alabama, and is For the Commission, by the Division of located approximately 3.6 miles to determine whether the proposed rule Trading and Markets, pursuant to delegated should be approved or disapproved. authority.26 southeast of Courtland, Alabama. The southern edge of the Wheeler North site J. Matthew DeLesDernier, IV. Solicitation of Comments is paralleled by US Highway 72. The Assistant Secretary. Interested persons are invited to Wheeler North site is mostly cultivated submit written data, views, and [FR Doc. 2020–01647 Filed 1–29–20; 8:45 am] crop fields with portions of forested arguments concerning the foregoing, BILLING CODE 8011–01–P areas. The Wheeler South site is the including whether the proposed rule larger of the two sites and runs along the change is consistent with the Act. eastern portion of State Highway 33 Comments may be submitted by any of TENNESSEE VALLEY AUTHORITY with County Road 85 running west in the following methods: the southwest portion of the site. The North Alabama Utility-Scale Solar Wheeler South site is located 0.21 miles Environmental Impact Statement Electronic Comments southwest of Wheeler, Alabama and • Use the Commission’s internet AGENCY: Tennessee Valley Authority. 2.25 miles southeast of Courtland, comment form (http://www.sec.gov/ ACTION: Notice of Intent. Alabama. The Wheeler South site is rules/sro.shtml); or mostly forested with portions of • Send an email to rule-comments@ SUMMARY: The Tennessee Valley cultivated crop fields and wooded sec.gov. Please include File Number SR– Authority (TVA) intends to prepare an private residences. Two power line Phlx–2020–02 on the subject line. Environmental Impact Statement (EIS) easements run through the Wheeler for the proposed TVA-developed solar Paper Comments South site. facility in Lawrence County, Alabama. • Send paper comments in triplicate The purpose of this EIS is to address the Background to Secretary, Securities and Exchange potential environmental effects TVA is a federal agency and Commission, 100 F Street NE, associated with building, operating, and instrumentality of the United States of Washington, DC 20549–1090. maintaining the solar facility, North America, created in 1933 by an act of All submissions should refer to File Alabama Utility-Scale Solar Project, in Congress to foster the social and Number SR–Phlx–2020–02. This file Lawrence County, Alabama. The economic well-being of the residents of number should be included on the proposed facility would encompass the Tennessee Valley region. As part of subject line if email is used. To help the approximately 3,000 acres. Public its diversified energy strategy, TVA Commission process and review your comments are invited concerning both produces or obtains electricity from a diverse portfolio of energy sources, 25 15 U.S.C. 78s(b)(3)(A)(ii). 26 17 CFR 200.30–3(a)(12). including solar, hydroelectric, wind,
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biomass, fossil fuel, and nuclear. In June particularly interested in public input 2015, through March 27, 2020. FMCSA 2019, TVA released the final 2019 on other reasonable alternatives that requests public comment on MFT’s Integrated Resource Plan (IRP) and should be considered in the EIS. The application for exemption. The associated Environmental Impact preliminary identification of reasonable application for a renewal is available for Statement, which updated the 2015 IRP. alternatives and environmental issues in review in the docket referenced at the The 2019 IRP is a comprehensive study this notice is not meant to be exhaustive beginning of this notice. of how TVA will meet the demand for or final. DATES: Comments must be received on electricity in its service territory over or before March 2, 2020. the next 20 years. The target supply mix Public Participation adopted by TVA in the 2019 IRP The public is invited to submit ADDRESSES: You may submit comments envisions the addition of up to 14 GW comments on the scope of this EIS no identified by Federal Docket of solar by 2038. later than the date identified in the Management System (FDMS) Number DATES section of this notice. Federal, FMCSA–2014–0071 by any of the Alternatives state and local agencies and Native following methods: In addition to a No Action American Tribes are also invited to • Federal eRulemaking Portal: Alternative, this EIS will address provide comments. After consideration www.regulations.gov. Follow the online alternatives that meet the purpose and of comments received during the instructions for submitting comments. need for the project. In evaluating scoping period, TVA will develop and • Mail: Docket Management Facility, alternatives, TVA will also consider the distribute a scoping document that will U.S. Department of Transportation, 1200 availability of other potential sites summarize public and agency New Jersey Avenue SE, West Building, where the project could be located. For comments that were received and Ground Floor, Room W12–140, the proposed site, TVA plans to identify the schedule for completing the Washington, DC 20590–0001. consider the establishment of a reduced EIS process. Following analysis of the • Hand Delivery or Courier: West footprint so that impacts to cultural issues, TVA will prepare a draft EIS for Building, Ground Floor, Room W12– and/or biological resources could be public review and comment; the draft 140, 1200 New Jersey Avenue SE, avoided. The EIS will also evaluate EIS is scheduled for completion in 2021. between 9 a.m. and 5 p.m., Monday ways to mitigate impacts that cannot be In finalizing the EIS and in making its through Friday, except Federal holidays. avoided. The description and analysis of final decision, TVA will consider the • Fax: 1–202–493–2251. these alternatives in the EIS will inform comments that it receives on the Draft • Each submission must include the decision makers, other agencies, and the EIS. public about the potential for Agency name and the docket number for environmental impacts associated with Authority: 40 CFR 1501.7. this notice. Note that DOT posts all the proposed solar facility. TVA solicits M. Susan Smelley, comments received without change to comment on whether there are other Director, Environmental Compliance and www.regulations.gov, including any alternatives that should be assessed in Operations. personal information included in a the EIS. [FR Doc. 2020–01604 Filed 1–29–20; 8:45 am] comment. Please see the Privacy Act heading below. Proposed Resources and Issues To Be BILLING CODE 8120–08–P Docket: For access to the docket to Considered read background documents or Public scoping is integral to the DEPARTMENT OF TRANSPORTATION comments, go to www.regulations.gov at process for implementing NEPA and any time or visit Room W12–140 on the ensures that (1) issues are identified Federal Motor Carrier Safety ground level of the West Building, 1200 early and properly studied, (2) issues of Administration New Jersey Avenue SE, Washington, little significance do not consume DC, between 9 a.m. and 5 p.m., ET, substantial time and effort, and (3) the [Docket No. FMCSA–2014–0071] Monday through Friday, except Federal analysis of identified issues is thorough Hours of Service of Drivers: McKee holidays. The on-line Federal Docket and balanced. This EIS will identify the Management System is available 24 purpose and need of the project and will Foods Transportation, LLC, Application for Exemption hours each day, 365 days each year. contain descriptions of the existing Privacy Act: In accordance with 5 environmental and socioeconomic AGENCY: Federal Motor Carrier Safety U.S.C. 553(c), DOT solicits comments resources within the area that could be Administration (FMCSA), DOT. from the public to better inform its affected by the proposed solar facility, ACTION: Notice of application for rulemaking process. DOT posts these including the documented historical, renewal of exemption; request for comments, without edit, including any cultural, and environmental resources. comments. personal information the commenter Evaluation of potential environmental provides, to www.regulations.gov, as impacts to these resources will include, SUMMARY: FMCSA announces that it has described in the system of records but not be limited to, water quality, air received an application from McKee notice (DOT/ALL–14 FDMS), which can quality, soil erosion, floodplains, Foods Transportation, LLC (MFT) for a be reviewed at www.dot.gov/privacy. aquatic and terrestrial ecology, renewal of its exemption from the threatened and endangered species, hours-of-service (HOS) regulation FOR FURTHER INFORMATION CONTACT: Mr. botany, wetlands, visual resources, pertaining to the use of a sleeper berth. Richard Clemente, FMCSA Driver and transportation, safety, land use, historic The exemption renewal would allow Carrier Operations Division; Office of and archaeological resources, recreation, MFT team drivers to take the equivalent Carrier, Driver and Vehicle Safety geology, solid and hazardous waste, and of 10 consecutive hours off duty by Standards; Telephone: (202) 366–4225. socioeconomic and environmental splitting sleeper berth time into two Email: [email protected]. If you have justice issues. The final range of issues periods totaling 10 hours, provided questions on viewing or submitting to be addressed in the environmental neither of the two periods is less than material to the docket, contact Docket review will be determined, in part, from 3 hours. MFT currently holds an Services, telephone (202) 366–9826. scoping comments received. TVA is exemption for the period March 27, SUPPLEMENTARY INFORMATION:
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I. Public Participation and Request for the level that would be achieved by the DEPARTMENT OF TRANSPORTATION Comments current regulation (49 CFR 381.305). Federal Motor Carrier Safety FMCSA encourages you to participate The decision of the Agency must be Administration by submitting comments and related published in the Federal Register (49 materials. CFR 381.315(b)) with the reasons for [Docket No. FMCSA–2014–0383; FMCSA– denying or granting the application and, 2014–0387; FMCSA–2015–0325] Submitting Comments if granted, the name of the person or If you submit a comment, please class of persons receiving the Qualification of Drivers; Exemption include the docket number for this exemption, and the regulatory provision Applications; Hearing notice (FMCSA–2014–0071), indicate from which the exemption is granted. AGENCY: Federal Motor Carrier Safety the specific section of this document to The notice must also specify the Administration (FMCSA), DOT. which the comment applies, and effective period and explain the terms ACTION: Notice of final disposition. provide a reason for suggestions or and conditions of the exemption. The recommendations. You may submit exemption may be renewed (49 CFR SUMMARY: FMCSA announces its your comments and material online or 381.300(b)). decision to renew exemptions for four by fax, mail, or hand delivery, but individuals from the hearing III. MFT’s Request for a Renewal please use only one of these means. requirement in the Federal Motor FMCSA recommends that you include MFT requested a renewal of its Carrier Safety Regulations (FMCSRs) for your name and a mailing address, an exemption from 49 CFR interstate commercial motor vehicle email address, or a phone number in the 395.1(g)(1)(ii)(A)(1–2) pertaining to the (CMV) drivers. The exemptions enable body of your document so the Agency use of a sleeper berth. The exemption these hard of hearing and deaf can contact you if it has questions renewal would allow MFT team drivers individuals to continue to operate CMVs regarding your submission. to continue to take the equivalent of 10 in interstate commerce. To submit your comments online, go DATES: The exemptions were applicable to www.regulations.gov and put the consecutive hours off duty by splitting sleeper berth time into two periods on November 15, 2019. The exemptions docket number, ‘‘FMCSA–2014–0071’’ expire on November 15, 2021. in the ‘‘Keyword’’ box, and click totaling 10 hours, provided neither of FOR FURTHER INFORMATION CONTACT: Ms. ‘‘Search.’’ When the new screen the two periods is less than 3 hours. The Christine A. Hydock, Chief, Medical appears, click on ‘‘Comment Now!’’ application for a renewal is available for Programs Division, 202–366–4001, button and type your comment into the review in the docket referenced at the [email protected], FMCSA, text box in the following screen. Choose beginning of this notice. Department of Transportation, 1200 whether you are submitting your FMCSA granted MFT a one-year New Jersey Avenue SE, Room W64–224, comment as an individual or on behalf exemption on March 27, 2015 (80 FR Washington, DC 20590–0001. Office of a third party and then submit. An 16503). On April 20, 2016 (81 FR 23349) hours are from 8:30 a.m. to 5 p.m., ET, option to upload a file is provided. If the Agency extended its expiration date Monday through Friday, except Federal you submit your comments by mail or to March 27, 2020, in response to holidays. If you have questions hand delivery, submit them in an Section 5206(b)(2)(A) of the ‘‘Fixing regarding viewing or submitting unbound format, no larger than 81⁄2 by America’s Surface Transportation Act’’ material to the docket, contact Docket 11 inches, suitable for copying and (FAST Act). The statute extended the Operations, (202) 366–9826. electronic filing. If you submit expiration date of hours-of-service SUPPLEMENTARY INFORMATION: comments by mail and would like to (HOS) exemptions in effect on the date know that they reached the facility, of enactment of the FAST Act to 5 years I. Public Participation please enclose a stamped, self-addressed from the date of issuance of the A. Viewing Documents and Comments postcard or envelope. FMCSA will exemptions. consider all comments and material To view comments, as well as any received during the comment period IV. Request for Comments documents mentioned in this notice as and may grant or not grant this being available in the docket, go to application based on your comments. In accordance with 49 U.S.C. http://www.regulations.gov/ 31315(b)(6), FMCSA requests public docket?D=FMCSA-2014-0383 or http:// II. Legal Basis comment from all interested persons on www.regulations.gov/docket?D=FMCSA- FMCSA has authority under 49 U.S.C. MFT’s application for an exemption. All 2014-0387 or http:// 31136(e) and 31315 to grant exemptions comments received before the close of www.regulations.gov/docket?D=FMCSA- from certain parts of the Federal Motor business on the comment closing date 2015-0325 and choose the document to Carrier Safety Regulations. FMCSA must indicated at the beginning of this notice review. If you do not have access to the publish a notice of each exemption will be considered and will be available internet, you may view the docket request in the Federal Register (49 CFR for examination in the docket at the online by visiting the Docket Operations 381.315(a)). The Agency must provide location listed under the ADDRESSES in Room W12–140 on the ground floor the public an opportunity to inspect the section of this notice. Comments of the DOT West Building, 1200 New information relevant to the application, received after the comment closing date Jersey Avenue SE, Washington, DC including any safety analyses that have will be filed in the public docket and 20590, between 9 a.m. and 5 p.m., ET, been conducted. The Agency must also will be considered to the extent Monday through Friday, except Federal provide an opportunity for public practicable. holidays. comment on the request. Issued on: January 27, 2020. The Agency reviews safety analyses B. Privacy Act and public comments submitted, and Larry W. Minor, In accordance with 5 U.S.C. 553(c), determines whether granting the Associate Administrator for Policy. DOT solicits comments from the public exemption would likely achieve a level [FR Doc. 2020–01762 Filed 1–29–20; 8:45 am] to better inform its rulemaking process. of safety equivalent to, or greater than, BILLING CODE 4910–EX–P DOT posts these comments, without
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edit, including any personal information The drivers were included in docket instructions for submitting comments the commenter provides, to number FMCSA–2014–0383 or FMCSA– on the Federal electronic docket site. www.regulations.gov, as described in 2014–0387 or FMCSA–2015–0325. • Fax: 1–202–493–2251. the system of records notice (DOT/ALL– Jennifer Valentine was previously • Mail: Docket Management Facility, 14 FDMS), which can be reviewed at published under the name Jennifer U.S. Department of Transportation, www.transportation.gov/privacy. Campbell. Their exemptions are Room W12–140, 1200 New Jersey applicable as of November 15, 2019, and Avenue SE, Washington, DC 20590– II. Background will expire on November 15, 2021. 0001. On December 4, 2019, FMCSA In accordance with 49 U.S.C. • Hand Delivery: Ground Floor, Room published a notice announcing its 31315(b), each exemption will be valid W12–140, DOT Building, 1200 New decision to renew exemptions for four for 2 years from the effective date unless Jersey Avenue SE, Washington, DC, individuals from the hearing standard in revoked earlier by FMCSA. The between 9 a.m. and 5 p.m. e.t., Monday– 49 CFR 391.41(b)(11) to operate a CMV exemption will be revoked if the Friday, except Federal holidays. in interstate commerce and requested following occurs: (1) The person fails to Instructions: All submissions must comments from the public (84 FR comply with the terms and conditions include the Agency name and docket 66451). The public comment period of the exemption; (2) the exemption has number for this notice. For detailed ended on January 3, 2020, and no resulted in a lower level of safety than instructions on submitting comments comments were received. was maintained prior to being granted; and additional information on the FMCSA has evaluated the eligibility or (3) continuation of the exemption exemption process, see the ‘‘Public of these applicants and determined that would not be consistent with the goals Participation’’ heading below. Note that renewing these exemptions would and objectives of 49 U.S.C. 31136(e) and all comments received will be posted achieve a level of safety equivalent to, 31315(b). without change to http:// or greater than, the level that would be www.regulations.gov, including any Issued on: January 17, 2020. achieved by complying with personal information provided. Please § 391.41(b)(11). Larry W. Minor, see the ‘‘Privacy Act’’ heading for The physical qualification standard Associate Administrator for Policy. further information. for drivers regarding hearing found in [FR Doc. 2020–01758 Filed 1–29–20; 8:45 am] Docket: For access to the docket to § 391.41(b)(11) states that a person is BILLING CODE 4910–EX–P read background documents or physically qualified to drive a CMV if comments received, go to http:// that person first perceives a forced www.regulations.gov or to Room W12– whispered voice in the better ear at not DEPARTMENT OF TRANSPORTATION 140, DOT Building, 1200 New Jersey less than 5 feet with or without the use Avenue SE, Washington, DC, between 9 Federal Motor Carrier Safety of a hearing aid or, if tested by use of a.m. and 5 p.m., Monday through Administration an audiometric device, does not have an Friday, except Federal holidays. average hearing loss in the better ear Privacy Act: In accordance with 5 greater than 40 decibels at 500 Hz, 1,000 [Docket No. FMCSA–2019–0286] U.S.C. 553(c), DOT solicits comments Hz, and 2,000 Hz with or without a from the public to better inform its Parts and Accessories Necessary for hearing aid when the audiometric rulemaking process. DOT posts these Safe Operation; Application for an device is calibrated to American comments, without edit, including any Exemption From Robert Bosch LLC National Standard (formerly ASA personal information the commenter and Mekra Lang North America LLC Standard) Z24.5–1951. provides, to www.regulations.gov, as This standard was adopted in 1970 AGENCY: Federal Motor Carrier Safety described in the system of records and was revised in 1971 to allow drivers Administration (FMCSA), DOT. notice (DOT/ALL–14 FDMS), which can to be qualified under this standard ACTION: Notice of application for be reviewed at www.dot.gov/privacy. while wearing a hearing aid, 35 FR exemption; request for comments. Public participation: The http:// 6458, 6463 (April 22, 1970) and 36 FR www.regulations.gov website is 12857 (July 3, 1971). SUMMARY: The Federal Motor Carrier generally available 24 hours each day, 365 days each year. You may find III. Discussion of Comments Safety Administration (FMCSA) requests public comment on an electronic submission and retrieval help FMCSA received no comments in this application for exemption from Robert and guidelines under the ‘‘help’’ section proceeding. Bosch LLC and Mekra Lang North of the http://www.regulations.gov IV. Conclusion America LLC to allow motor carriers to website as well as the DOT’s http:// operate commercial motor vehicles docketsinfo.dot.gov website. If you Based upon its evaluation of the four (CMVs) equipped with the company’s would like notification that we received renewal exemption applications, CV [Commercial Vehicle] Digital Mirror your comments, please include a self- FMCSA announces its decision to System installed as an alternative to the addressed, stamped envelope or exempt the following drivers from the two rear-vision mirrors required by the postcard or print the acknowledgment hearing requirement in § 391.41 (b)(11). Federal Motor Carrier Safety page that appears after submitting As of November 15, 2019, and in Regulations (FMCSR). comments online. accordance with 49 U.S.C. 31136(e) and FOR FURTHER INFORMATION CONTACT: Mr. 31315(b), the following four individuals DATES: Comments must be received on Luke Loy, Vehicle and Roadside have satisfied the renewal conditions for or before March 2, 2020. Operations Division, Office of Carrier, obtaining an exemption from the ADDRESSES: You may submit comments Driver, and Vehicle Safety, MC–PSV, hearing requirement in the FMCSRs for bearing the Federal Docket Management (202) 366–0676, Federal Motor Carrier interstate CMV drivers (84 FR 66451): System (FDMS) Docket ID FMCSA– Safety Administration, 1200 New Jersey Daniel T. Harnish (UT) 2019–0286 using any of the following Tami S. Richardson-Nelson (NE) methods: Avenue SE, Washington, DC 20590– Anthony J. Saive (OH) • Website: http:// 0001. Jennifer L. Valentine (TX) www.regulations.gov. Follow the SUPPLEMENTARY INFORMATION:
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Background received after the comment closing date SWLRT will be constructed adjacent I. Legal Basis will be filed in the public docket and to freight rail service operated by Twin will be considered to the extent Cities & Western Railroad (TCWR) in the FMCSA has authority under 49 U.S.C. practicable. In addition to late Kenilworth Corridor and a portion of 31136(e) and 31315 to grant exemptions comments. the Bass Lake Spur, and adjacent to from certain parts of the Federal Motor FMCSA will also continue to file, in freight rail service operated by BNSF Carrier Safety Regulations (FMCSRs). the public docket, relevant information Railway (BNSF) in the Wayzata FMCSA is required to publish notice of that becomes available after the Subdivision. Typical track center exemption requests in the Federal comment closing date. Interested spacing averages 25 feet or more Register (49 U.S.C. 31315(b)(6)(A)). This persons should continue to examine the throughout this shared corridor. SWLRT notice seeks public comment on the public docket for new material. and TCWR will share use of five request posted to the docket referenced highway-rail grade crossings (HRGC) on above; the Agency takes no position on Issued on: January 27, 2020. Larry W. Minor, the Kenilworth Corridor and Bass Lake its merits. FMCSA will review the Spur located at 21st Street South in Associate Administrator for Policy. request and all comments submitted to Minneapolis, Beltline Boulevard and the docket before deciding whether to [FR Doc. 2020–01763 Filed 1–29–20; 8:45 am] Wooddale Avenue in St. Louis Park, and grant or deny the exemption. BILLING CODE 4910–EX–P 5th Avenue South and Blake Road II. Robert Bosch LLC and Mekra Lang North in Hopkins. There are no shared HRGCs on the BNSF Wayzata North America LLC Application for DEPARTMENT OF TRANSPORTATION Exemption Subdivision. An intrusion detection Section 393.80(a) of the FMCSRs Federal Railroad Administration system will be installed wherever typical spacing for track centers requires that each bus, truck, and truck- [Docket Number FRA–2020–0009] tractor be equipped with two rear-vision between SWLRT and freight tracks is less than 50 feet. mirrors, one at each side. The mirrors Petition for Waiver of Compliance must be positioned to reflect to the On the Bass Lake Spur (Milepost (MP) driver a view of the highway to the rear Under part 211 of title 49 Code of 16.3/428.38 to MP 435.06), the and the area along both sides of the Federal Regulations (CFR), this provides Metropolitan Council has, on Hennepin CMV. Section 393.80(a) cross-references the public notice that on January 13, County Regional Railroad Authority’s the National Highway Traffic Safety 2020, the Metropolitan Council’s Metro behalf, contracted with third parties to Administration’s standard for mirrors Transit Division (Metro Transit), perform freight rail operations on motor vehicles (49 CFR 571.111, petitioned the Federal Railroad maintenance, dispatching, and flagging Federal Motor Vehicle Safety Standard Administration (FRA) for a waiver of services. The SWLRT track and signal [FMVSS] No. 111). Paragraph S7.1 of compliance from certain provisions of system is wholly separate and distinct FMVSS No. 111 provides requirements the Federal railroad safety regulations from any adjacent freight tracks and for mirrors on multipurpose passenger contained at 49 CFR parts 214, 219, 220, related equipment. Metro Transit will vehicles and trucks with a gross vehicle 229, 235, and 236. FRA assigned the maintain its own track and signals in weight rating (GVWR) greater than 4,536 petition Docket Number FRA–2020– the SWLRT, and only Metro Transit kg and less than 11,340 kg and each bus, 0009. Signal and Train Control employees will other than a school bus, with a GVWR Metro Transit operates two rail fixed be working on signal and train control of more than 4,536 kg. Paragraph S8.1 guideway transit systems in equipment at the five shared HRGCs. provides requirements for mirrors on Minnesota—the METRO Blue and Green Specifically, Metro Transit seeks a multipurpose passenger vehicles and light rail transit (LRT) Lines. Currently, waiver of compliance from certain trucks with a GVWR of 11,340 kg or the Green Line is 11 miles in length provisions of FRA regulations more. Robert Bosch LLC and Mekra with 18 stations between Target Field applicable to the limited connections of Lang North America LLC have applied Station in downtown Minneapolis, and the SWLRT to the general railroad for an exemption from 393.80(a) to Union Depot Station in downtown St. system at five shared HRGCs, stating it allow motor carriers to operate CMVs Paul, sharing 5 stations in downtown has alternative procedures in place on equipped with the company’s CV Digital Minneapolis with the Blue Line. The its existing Green Line operations which Mirror System installed as an alternative Green Line LRT Extension Project, also are comparable from a substantive to the two rear-vision mirrors required known as Southwest Light Rail Transit perspective to FRA safety regulations. by the FMCSRs. A copy of the Line (SWLRT), will add approximately Moreover, Metro Transit states the application is included in the docket 14.5 miles of standard-gage light rail waivers would promote consistency in referenced at the beginning of this double-track with 16 new passenger the standard operating procedures notice. stations within Hennepin County, followed by Metro Transit in its Green Minnesota, to the existing Green Line Line LRT operations and provide an III. Request for Comments LRT operations. The SWLRT project equivalent level of safety to the In accordance with 49 U.S.C. will extend the existing Green Line from corresponding FRA regulations. 31315(b)(6), FMCSA requests public the Target Field/Interchange Station A copy of the petition, as well as any comment from all interested persons on near the central business district of written communications concerning the the application for an exemption from downtown Minneapolis through the petition, is available for review online at 49 CFR 393.80(a). All comments communities of St. Louis Park, Hopkins, www.regulations.gov and in person at received before the close of business on Minnetonka, and Eden Prairie, passing the U.S. Department of Transportation’s the comment closing date indicated at near Edina. The SWLRT line will (DOT) Docket Operations Facility, 1200 the beginning of this notice will be terminate at the Southwest Station in New Jersey Ave. SE, W12–140, considered and will be available for Eden Prairie. Construction of the Washington, DC 20590. The Docket examination in the docket at the SWLRT Project began in 2019 with the Operations Facility is open from 9 a.m. location listed under the ADDRESSES projected opening for revenue service to 5 p.m., Monday through Friday, section of this notice. Comments operations in 2023. except Federal Holidays.
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Interested parties are invited to DEPARTMENT OF TRANSPORTATION indicates that it will continue to use participate in these proceedings by other inspection technologies during the submitting written views, data, or Federal Railroad Administration Test Program, including (1) Sperry rail comments. FRA does not anticipate [Docket No. FRA–2019–0099] flaw and joint bar inspections, and (2) scheduling a public hearing in Vehicle/Track Interaction, a locomotive- connection with these proceedings since Program Approval: Norfolk Southern based ride quality inspection system. the facts do not appear to warrant a Railway Company The Test Program will be carried out in hearing. If any interested parties desire three separate phases over the course of an opportunity for oral comment and a AGENCY: Federal Railroad one year as detailed in Exhibit C of the public hearing, they should notify FRA, Administration (FRA), Department of Test Program (available for review at Transportation (DOT). in writing, before the end of the www.regulations.gov (docket number comment period and specify the basis ACTION: Notice of approval. FRA–2019–0099)). for their request. SUMMARY: FRA is issuing this notice to After review and analysis of NS’s All communications concerning these explain its rationale for approving a petition for a Test Program, subject to proceedings should identify the Norfolk Southern Railway Company certain conditions designed to ensure appropriate docket number and may be (NS) petition for a Test Program safety, FRA approved NS’s Test Program submitted by any of the following designed to test track inspection and suspended the requirements of 49 methods: technologies (i.e., an autonomous CFR 213.233(b)(3) 1 and (c) as necessary locomotive-mounted geometry • Website: http:// to carry out the Test Program. A copy measurement system and an automated www.regulations.gov. Follow the online of FRA’s letter approving NS’s Test optical system) and new operational instructions for submitting comments. Program and granting the requested approaches to track inspections and its limited temporary suspension of 49 CFR • Fax: 202–493–2251. rationale for granting a limited, 213.233(b)(3) and (c), as well as a • Mail: Docket Operations Facility, temporary suspension of a substantive complete copy of the Test Program, is U.S. Department of Transportation, 1200 FRA rule that is necessary to facilitate available in docket number FRA–2019– New Jersey Ave. SE, W12–140, the conduct of the Test Program. 0099 at www.regulations.gov. FRA’s Washington, DC 20590. FOR FURTHER INFORMATION CONTACT: Yu- letter approving NS’s Test Program and Jiang Zhang, Staff Director, Track • Hand Delivery: 1200 New Jersey granting the requested limited Division, Office of Railroad Safety, FRA, temporary suspension of certain Ave. SE, Room W12–140, Washington, 1200 New Jersey Avenue SE, DC 20590, between 9 a.m. and 5 p.m., regulations specifically details the Washington, DC 20590, telephone (202) conditions NS will need to undertake Monday through Friday, except Federal 493–6460 or email yujiang.zhang@ holidays. during the Test Program. As required by dot.gov; Aaron Moore, Attorney, Office 49 CFR 211.51(c), FRA is providing this of Chief Counsel, FRA, 1200 New Jersey Communications received by March explanatory statement describing the Avenue SE, Washington, DC 20590, 16, 2020 will be considered by FRA Test Program. before final action is taken. Comments telephone (202) 493–7009 or email received after that date will be [email protected]. As explained more fully in its considered if practicable. SUPPLEMENTARY INFORMATION: On approval letter, FRA finds that the temporary, limited suspension of 49 Anyone can search the electronic November 1, 2019, NS petitioned FRA under Title 49 Code of Federal CFR 213.233(b)(3) and (c) is necessary to form of any written communications Regulations (CFR) Section 211.51 to the conduct of the approved Test and comments received into any of our suspend certain requirements of FRA’s Program, which is specifically designed dockets by the name of the individual track safety regulations to conduct a to evaluate the effectiveness of new submitting the comment (or signing the program to test new track inspection automated track inspection technologies document, if submitted on behalf of an technologies (i.e., an autonomous and operational methods. Furthermore, association, business, labor union, etc.). locomotive-mounted geometry FRA also finds that the scope and Under 5 U.S.C. 553(c), DOT solicits measurement system and an automated application of the granted suspension of comments from the public to better optical system) and new operational 49 CFR 213.233(b)(3) and (c) as applied inform its processes. DOT posts these approaches to track inspections. NS also to the Test Program are limited to that comments, without edit, including any submitted a written Test Program necessary to conduct the Test Program. personal information the commenter providing a description of the proposed Finally, FRA’s approval letter outlines provides, to www.regulations.gov, as tests and the geographic scope of the the conditions of the Test Program that described in the system of records testing territory. will ensure standards sufficient to notice (DOT/ALL–14 FDMS), which can The Test Program specifies that the assure safety. be reviewed at https:// tests will be conducted on www.transportation.gov/privacy. See approximately 1,042 miles of main and Issued in Washington, DC, on January 27, also https://www.regulations.gov/ siding tracks of the former Norfolk & 2020. privacyNotice for the privacy notice of Western route from Norfolk, Virginia to John Karl Alexy, regulations.gov. Portsmouth, Ohio on NS’s Pocahontas Associate Administrator for Railroad Safety, Division. Chief Safety Officer. Issued in Washington, DC. The Test Program is designed to test [FR Doc. 2020–01667 Filed 1–29–20; 8:45 am] John Karl Alexy, autonomous locomotive-mounted BILLING CODE 4910–06–P Associate Administrator for Railroad Safety, geometry measurement systems and Chief Safety Officer. gradually decreased manual visual [FR Doc. 2020–01670 Filed 1–29–20; 8:45 am] inspections as an alternative to FRA’s 1 The suspension of 49 CFR 213.233(b)(3) only BILLING CODE 4910–06–P inspection frequency requirements. NS applies to Phase 3 of the Test Program.
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DEPARTMENT OF TRANSPORTATION comments. FRA does not anticipate DEPARTMENT OF TRANSPORTATION scheduling a public hearing in Federal Railroad Administration connection with these proceedings since Federal Railroad Administration [Docket Number FRA–2020–0008] the facts do not appear to warrant a [Docket Number FRA–2007–27287] hearing. If any interested parties desire Petition for Waiver of Compliance an opportunity for oral comment and a Petition for Waiver of Compliance Under part 211 of title 49 Code of public hearing, they should notify FRA, Under part 211 of title 49 of the Code Federal Regulations (CFR), this provides in writing, before the end of the of Federal Regulations (CFR), this the public notice that on January 10, comment period and specify the basis provides the public notice that by letter 2020, CSX Transportation, Inc. (CSXT) for their request. received January 18, 2020, BNSF petitioned the Federal Railroad All communications concerning these Railway (BNSF) petitioned the Federal Administration (FRA) for a waiver of proceedings should identify the Railroad Administration (FRA) for an compliance from certain provisions of appropriate docket number and may be extension of a waiver of compliance the Federal railroad safety regulations submitted by any of the following contained in Docket Number FRA– contained at 49 CFR part 232, Brake methods: 2007–27287. System Safety Standards for Freight and • Specifically, BNSF seeks a second Other Non-Passenger Trains and Website: http:// extension of relief from the 2-year Equipment; End-of-Train Devices. FRA www.regulations.gov. Follow the online periodic testing requirements in assigned the petition Docket Number instructions for submitting comments. §§ 236.377, Approach locking; 236.378, FRA–2020–0008. • Fax: 202–493–2251. Time locking; 236.379, Route locking; Specifically, CSXT proposes to use • Mail: Docket Operations Facility, 236.380, Indication locking; and proprietary software technology to U.S. Department of Transportation, 1200 236.381, Traffic locking. implement a virtual three-dimensional BNSF states that since the original New Jersey Ave. SE, W12–140, simulation as an alternative to satisfy waiver approval, 95.2% of all eligible the ‘‘hands-on’’ portion of periodic Washington, DC 20590. locations across BNSF’s network have refresher training required by 49 CFR • Hand Delivery: 1200 New Jersey been enrolled in this waiver program 232.203(b)(8). Refresher training is Ave. SE, Room W12–140, Washington, and received waiver-based locking tests required at intervals not to exceed 3 DC 20590, between 9 a.m. and 5 p.m., on the extended schedule with no years, and must consist of classroom Monday through Friday, except Federal issues. BNSF is confident that by using and hands-on training, as well as Holidays. this method, it has reduced the amount testing. CSXT states that the simulation Communications received by March of disruption to signal circuits and will improve the employee’s knowledge 16, 2020 will be considered by FRA operations while spending less time foul of air brake components and functions before final action is taken. Comments of track. Leveraging the benefits of and increases proficiency when technology and reducing the received after that date will be performing the Class I freight air brake opportunity for human failure yields considered if practicable. test. additional safety benefits, making this The simulation is based on Anyone can search the electronic BNSF’s desired method for performing performance of a Class I freight air brake form of any written communications these tests. test and is designed to place the user in and comments received into any of our BNSF requests to extend the waiver a virtual realistic scenario. The user is dockets by the name of the individual indefinitely. BNSF states it will required to perform a variety of submitting the comment (or signing the maintain the testing procedures and inspection and remediation tasks document, if submitted on behalf of an testing interval as outlined in the relating to preprogrammed defects association, business, labor union, etc.). waiver. BNSF further asks to eliminate including, but not limited to, closed cut- Under 5 U.S.C. 553(c), DOT solicits the requirement to submit to FRA an out cocks, uncoupled air hoses, closed comments from the public to better annual updated listing of the eligible angle cocks, improperly positioned inform its processes. DOT posts these locations, because BNSF has already retainer valves, and fouled brake comments, without edit, including any enrolled the substantial majority of rigging. Users are required to personal information the commenter eligible locations. A copy of the petition, as well as any successfully complete all tasks in the provides, to www.regulations.gov, as scenario. CSXT proposes to apply this written communications concerning the described in the system of records waiver system-wide to all CSXT petition, is available for review online at notice (DOT/ALL–14 FDMS), which can conductors and supervisors responsible www.regulations.gov and in person at be reviewed at https:// for performing Class I freight air brakes the Department of Transportation’s tests. www.transportation.gov/privacy. See Docket Operations Facility, 1200 New A copy of the petition, as well as any also https://www.regulations.gov/ Jersey Ave. SE, W12–140, Washington, written communications concerning the privacyNotice for the privacy notice of DC 20590. The Docket Operations petition, is available for review online at regulations.gov. Facility is open from 9 a.m. to 5 p.m., www.regulations.gov and in person at Issued in Washington, DC. Monday through Friday, except Federal the U.S. Department of Transportation’s John Karl Alexy, Holidays. (DOT) Docket Operations Facility, 1200 Interested parties are invited to Associate Administrator for Railroad Safety New Jersey Ave. SE, W12–140, participate in these proceedings by Chief Safety Officer. Washington, DC 20590. The Docket submitting written views, data, or Operations Facility is open from 9 a.m. [FR Doc. 2020–01671 Filed 1–29–20; 8:45 am] comments. FRA does not anticipate to 5 p.m., Monday through Friday, BILLING CODE 4910–06–P scheduling a public hearing in except Federal Holidays. connection with these proceedings since Interested parties are invited to the facts do not appear to warrant a participate in these proceedings by hearing. If any interested party desires submitting written views, data, or an opportunity for oral comment, they
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should notify FRA, in writing, before $454.6 million in fiscal year (FY) 2020 The purpose of the Grants for Buses the end of the comment period and funds under the Grants for Buses and and Bus Facilities Program is to assist in specify the basis for their request. Bus Facilities Program (CFDA#20.526). the financing of capital projects for All communications concerning these As required by federal public buses and bus facilities, including proceedings should identify the transportation law and subject to replacing, rehabilitating, purchasing, or appropriate docket number and may be funding availability, funds will be leasing buses or related equipment, and submitted by any of the following awarded competitively to assist in the rehabilitating, purchasing, constructing, methods: financing of capital projects to replace, or leasing bus-related facilities. • Website: http:// rehabilitate, purchase or lease buses and The Grants for Buses and Bus www.regulations.gov. Follow the online related equipment, and to rehabilitate, Facilities Program provides funds to instructions for submitting comments. purchase, construct or lease bus-related eligible applicants including designated • Fax: 202–493–2251. facilities. Projects may include costs recipients that allocate funds to fixed • Mail: Docket Operations Facility, incidental to the acquisition of buses or route bus operators, states or local U.S. Department of Transportation, 1200 to the construction of facilities, such as governmental entities that operate fixed New Jersey Ave. SE, W12–140, the costs of related workforce route bus service, and Indian tribes. Washington, DC 20590. development and training activities, and FTA also may award grants to eligible • Hand Delivery: 1200 New Jersey project administration expenses. FTA recipients for projects to be undertaken Ave. SE, Room W12–140, Washington, may award additional funds if they are by subrecipients. Eligible subrecipients DC 20590, between 9 a.m. and 5 p.m., made available to the program prior to include all otherwise eligible applicants Monday through Friday, except Federal the announcement of project selections. and also private nonprofit organizations Holidays. engaged in public transportation. In DATES: Communications received by March Complete proposals must be accordance with Federal public 16, 2020 will be considered by FRA submitted electronically through the transportation law (49 U.S.C. before final action is taken. Comments GRANTS.GOV ‘‘APPLY’’ function by 5339(b)(2)), FTA will ‘‘consider the age received after that date will be 11:59 p.m. Eastern Time on March 30, and condition of buses, bus fleets, considered if practicable. 2020. Prospective applicants should related equipment, and bus-related Anyone can search the electronic initiate the process by promptly facilities’’ in selecting projects for form of any written communications registering on the GRANTS.GOV funding. FTA may prioritize projects and comments received into any of our website to ensure completion of the that demonstrate how they will address dockets by the name of the individual application process before the significant repair and maintenance submitting the comment (or signing the submission deadline. Instructions for needs, improve the safety of transit document, if submitted on behalf of an applying can be found on FTA’s website systems and deploy connective projects association, business, labor union, etc.). at http://transit.dot.gov/howtoapply and that include advanced technologies to Under 5 U.S.C. 553(c), DOT solicits in the ‘‘FIND’’ module of connect bus systems with other comments from the public to better GRANTS.GOV. networks. inform its processes. DOT posts these The GRANTS.GOV funding In FY 2020, FTA is encouraging comments, without edit, including any opportunity ID is FTA–2020–006–BUS. applicants to propose projects that personal information the commenter Mail and fax submissions will not be introduce innovative technologies or provides, to www.regulations.gov, as accepted. practices in support of FTA’s Accelerating Innovative Mobility (AIM) described in the system of records FOR FURTHER INFORMATION CONTACT: initiative. FTA is focused on the notice (DOT/ALL–14 FDMS), which can Mark Bathrick, FTA Office of Program introduction of new technology not be reviewed at www.dot.gov/privacy. Management, 202–366–9955, or commonly found within U.S. transit See also https://www.regulations.gov/ [email protected]. privacyNotice for the privacy notice of systems such as integrated fare payment SUPPLEMENTARY INFORMATION: regulations.gov. systems permitting complete trips or Table of Contents advancements to propulsion systems. Issued in Washington, DC. Innovation can also include practices John Karl Alexy, A. Program Description such as new public transportation Associate Administrator for Railroad Safety B. Federal Award Information operational models, financial or C. Eligibility Information Chief Safety Officer. procurement arrangements, or value [FR Doc. 2020–01672 Filed 1–29–20; 8:45 am] D. Application and Submission Information E. Application Review Information capture. BILLING CODE 4910–06–P F. Review and Selection Process Information B. Federal Award Information G. Federal Award Administration Information Federal public transportation law (49 DEPARTMENT OF TRANSPORTATION H. Technical Assistance and Other Program U.S.C. 5338(a)(2)(M)) authorizes Information $289,044,179 in FY 2020 funds for the Federal Transit Administration I. Federal Awarding Agency Contacts Grants for Buses and Bus Facilities Fiscal Year 2020 Competitive Funding A. Program Description Program. The Further Consolidated Opportunity; Grants for Buses and Bus Appropriations Act, 2020 appropriated Federal public transportation law (49 Facilities Program an additional $170,000,000 for the U.S.C 5339(b)) authorizes FTA to award Grants for Buses and Bus Facilities AGENCY: Federal Transit Administration funds for the Grants for Buses and Bus Program. After the mandatory oversight (FTA), DOT. Facilities Program through a takedown of $4,417,831 FTA is ACTION: Notice of funding opportunity competitive process, as described in this announcing the availability of (NOFO). notice, for capital projects to replace, $454,626,348 for the Grants for Buses rehabilitate, purchase or lease buses and and Bus Facilities Program through this SUMMARY: The Federal Transit related equipment and to rehabilitate, notice. Administration (FTA) announces the purchase, construct or lease bus-related As required by Federal public opportunity to apply for approximately facilities. transportation law (49 U.S.C. 5339(b)(5)
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and 49 U.S.C. 5339(b)(8)), a minimum of unless noted below by one of the must identify the proposed use of funds 10 percent of the amount awarded exceptions. for these activities in the project under the Grants for Buses and Bus a. The maximum Federal share is 85 proposal and identify them separately in Facilities Program will be awarded to percent of the net project cost of the project budget. projects located in rural areas and no acquiring vehicles (including clean-fuel D. Application and Submission single grantee will be awarded more or alternative fuel vehicles) for purposes Information than 10 percent of the amounts made of complying with or maintaining available. FTA may further cap the compliance with the Clean Air Act 1. Address (CAA) and/or the Americans with amount a single recipient or State may Applications must be submitted receive as part of the selection process. Disabilities Act (ADA) of 1990. b. The maximum Federal share is 90 electronically through GRANTS.GOV. FTA will grant pre-award authority to General information for submitting incur costs for selected projects percent of the net project cost of acquiring, installing or constructing applications through GRANTS.GOV can beginning on the date that project be found at https://www.transit.dot.gov/ selections are announced. Funds are vehicle-related equipment or facilities (including clean fuel or alternative-fuel funding/grants/applying/applying-fta- only available for projects that have not funding along with specific instructions incurred costs prior to the selection of vehicle-related equipment or facilities) for purposes of complying with or for the forms and attachments required projects, and will remain available for for submission. Mail and fax obligation for three Federal fiscal years, maintaining compliance with the ADA or CAA. The award recipient must submissions will not be accepted. A not including the year in which the complete proposal submission consists funds are allocated to projects. itemize the cost of specific, discrete, vehicle-related equipment associated of two forms: The SF–424 Application C. Eligibility Information with compliance with ADA or CAA to for Federal Assistance (downloaded from GRANTS.GOV) and the 1. Eligible Applicants be eligible for the maximum 90 percent Federal share for these costs. supplemental form for the FY 2020 Eligible applicants include designated Eligible sources of local match Grants for Buses and Bus Facilities recipients that allocate funds to fixed include the following: Cash from non- Program (downloaded from route bus operators, states or local Government sources other than GRANTS.GOV or the FTA website at governmental entities that operate fixed revenues from providing public www.transit.dot.gov/busprogram). route bus service, and Indian tribes. transportation services; revenues Applicants may also attach additional Eligible subrecipients include all derived from the sale of advertising and supporting information. Failure to otherwise eligible applicants and also concessions; amounts received under a submit the information as required can private nonprofit organizations engaged service agreement with a State or local delay or prevent review of the in public transportation. social service agency or private social application. States may submit a statewide service organization; revenues generated 2. Content and Form of Application application on behalf of public agencies from value capture financing Submission or private nonprofit organizations mechanisms; or funds from an engaged in public transportation in rural undistributed cash surplus; replacement A strong transportation network is areas or for other areas for which a State or depreciation cash fund or reserve; or critical to the functioning and growth of allocates funds. Except for projects new capital. In addition, transportation the American economy. The nation’s proposed by Indian tribes, all proposals development credits or documentation industry depends on the transportation for projects in rural (non-urbanized) of in-kind match may substitute for network to move the goods that it areas must be submitted by a State, local match if identified in the produces, and facilitate the movements either individually or as a part of a application. of the workers who are responsible for statewide application. States and other If an applicant proposes a Federal that production. When the nation’s eligible applicants may also submit share greater than 80 percent, the highways, railways, and ports function consolidated proposals for projects in application must clearly explain why well, that infrastructure connects people urbanized areas. The submission of a the project is eligible for the proposed to jobs, increases the efficiency of statewide or consolidated urbanized Federal share. delivering goods and thereby cuts the area application shall not preclude the costs of doing business, reduces the submission and consideration of any 3. Eligible Projects burden of commuting, and improves application from other eligible Under the Grants for Buses and Bus overall well-being. recipients in an urbanized area in a Facilities Program (49 U.S.C. Rural transportation networks play a State. Proposals may contain projects to 5339(b)(1)), eligible projects are capital vital role in supporting our national be implemented by the recipient or its projects to replace, rehabilitate economic vitality. Addressing the subrecipients. purchase, or lease buses, vans, and deteriorating conditions and To be considered eligible, applicants related equipment, and capital projects disproportionately high fatality rates on must be able to demonstrate the to rehabilitate, purchase, construct, or our rural transportation infrastructure is requisite legal, financial, and technical lease bus-related facilities. of critical interest to the Department, as capabilities to receive and administer Recipients are permitted to use up to rural transportation networks face Federal funds under this program. 0.5 percent of their requested grant unique challenges in safety, award for workforce development infrastructure condition, and passenger 2. Cost Sharing or Matching activities eligible under Federal public and freight usage. Consistent with the The maximum federal share for transportation law (49 U.S.C. 5314(b)) R.O.U.T.E.S. Initiative, the Department projects selected under the Grants for and an additional 0.5 percent for costs encourages applicants to consider how Buses and Bus Facilities Program is 80 associated with training at the National the project will address the challenges percent of the net project cost (i.e., the Transit Institute, to pay not more than faced by rural areas. local amount should be at least 20 80 percent of the cost of eligible A complete proposal submission percent of the net project cost, not 20 activities (see 49 U.S.C. 5314(b)(4) and consists of two forms: The SF–424 percent of the requested grant amount), 49 U.S.C. 5314(c)(4)(A)). Applicants Application for Federal Assistance and
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the FY 2020 Grants for Buses and Bus b. Dun and Bradstreet (D&B) Data 11:59 p.m. Eastern on March 30, 2020. Facilities Program supplemental form. Universal Numbering System (DUNS) Mail and fax submissions will not be The supplemental form and any number accepted. supporting documents must be attached c. Key contact information (including FTA urges applicants to submit to the ‘‘Attachments’’ section of the SF– contact name, address, email address, applications at least 72 hours prior to 424. A complete application must and phone) the due date to allow time to correct any include responses to all sections of the d. Congressional district(s) where problems that may have caused either SF–424 Application for Federal project will take place Grants.gov or FTA systems to reject the Assistance and the supplemental form, e. Project information (including title, submission. Proposals submitted after unless indicated as optional. The an executive summary, and type) the deadline will only be considered information on the supplemental form f. A detailed description of the need for under extraordinary circumstances not will be used to determine applicant and the project under the applicant’s control. Deadlines project eligibility for the program, and g. A detailed description on how the will not be extended due to scheduled to evaluate the proposal against the project will support the Buses and website maintenance. GRANTS.GOV selection criteria described in part E of Bus Facilities Program’s objectives scheduled maintenance and outage this notice. h. Evidence that the project is consistent times are announced on the FTA will accept only one with local and regional planning GRANTS.GOV website. Within 48 hours after submitting an supplemental form per SF–424 objectives i. Evidence that the applicant can electronic application, the applicant submission. FTA encourages States and provide the local cost share should receive an email message from other applicants to consider submitting j. A description of the technical, legal GRANTS.GOV with confirmation of a single supplemental form that and financial capacity of the applicant successful transmission to includes multiple activities to be k. A detailed project budget GRANTS.GOV. If a notice of failed evaluated as a consolidated proposal. If l. An explanation of the scalability of validation or incomplete materials is a State or other applicant chooses to the project received, the applicant must address the submit separate proposals for individual m. Details on the local matching funds reason for the failed validation, as consideration by FTA, each proposal n. A detailed project timeline described in the email notice, and must be submitted using a separate SF– o. Whether the project impacts an resubmit before the submission 424 and supplemental form. Opportunity Zone deadline. If making a resubmission for Applicants may attach additional any reason, applicants must include all supporting information to the SF–424 3. Unique Entity Identifier and System for Award Management (SAM) original attachments regardless of which submission, including but not limited to attachments were updated and check letters of support, project budgets, fleet Each applicant is required to: (1) Be the box on the supplemental form status reports or excerpts from relevant registered in SAM before submitting an indicating this is a resubmission. planning documents. Supporting application; (2) provide a valid unique Applicants are encouraged to begin documentation must be described and entity identifier in its application; and the process of registration on the referenced by file name in the (3) continue to maintain an active SAM GRANTS.GOV site well in advance of appropriate response section of the registration with current information at the submission deadline. Registration is supplemental form, or it may not be all times during which the applicant has a multi-step process, which may take reviewed. an active Federal award or an several weeks to complete before an Information such as applicant name, application or plan under consideration application can be submitted. Registered Federal amount requested, local match by FTA. These requirements do not applicants may still be required to take amount, description of areas served, etc. apply if the applicant has an exemption steps to keep their registration up to may be requested in varying degrees of approved by FTA under Federal grants date before submissions can be made detail on both the SF–424 and and agreements law (2 CFR 25.110(d)). successfully: (1) Registration in the Supplemental Form. Applicants must FTA may not make an award until the System for Award Management (SAM) fill in all fields unless stated otherwise applicant has complied with all is renewed annually; and, (2) persons on the forms. Applicants should not applicable unique entity identifier and making submissions on behalf of the place N/A or ‘‘refer to attachment’’ in SAM requirements. If an applicant has Authorized Organization Representative lieu of typing in responses in the field not fully complied with the (AOR) must be authorized in sections. If information is copied into requirements by the time FTA is ready GRANTS.GOV by the AOR to make the supplemental form from another to make an award, FTA may determine submissions. source, applicants should verify that that the applicant is not qualified to 5. Funding Restrictions pasted text is fully captured on the receive an award and use that supplemental form and has not been determination as a basis for making a Funds under this NOFO cannot be truncated by the character limits built Federal award to another applicant. All used to reimburse applicants for into the form. Applicants should use applicants must provide a unique entity otherwise eligible expenses incurred both the ‘‘Check Package for Errors’’ and identifier provided by SAM. SAM prior to FTA award of a grant agreement the ‘‘Validate Form’’ validation buttons registration takes approximately 3–5 until FTA has issued pre-award on both forms to check all required business days, but FTA recommends authority for selected projects. allowing ample time, up to several fields on the forms, and ensure that the 6. Other Submission Requirements federal and local amounts specified are weeks, for completion of all steps. For consistent. additional information on obtaining a Applicants are encouraged to identify unique entity identifier, please visit scaled funding options in case The SF–424 Mandatory Form and the www.sam.gov. insufficient funding is available to fund Supplemental Form will prompt a project at the full requested amount. applicants for the required information, 4. Submission Dates and Times If an applicant indicates that a project including: Project proposals must be submitted is scalable, the applicant must provide a. Applicant name electronically through GRANTS.GOV by an appropriate minimum funding
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amount that will fund an eligible project service expansion and the benefits for 3. Planning and Local/Regional that achieves the objectives of the transit riders and the community from Prioritization program and meets all relevant program the new service. For all vehicle projects, Applicants must demonstrate how the requirements. The applicant must the proposal must address how the proposed project will be consistent with provide a clear explanation of how the project conforms to FTA’s spare ratio local and regional long-range planning project budget would be affected by a guidelines. documents and local government reduced award. FTA may award a lesser b. For bus facility and equipment priorities. This will involve assessing amount whether or not a scalable option projects (replacement, rehabilitation whether the project is consistent with is provided. and/or expansion): Applicants must the transit priorities identified in the E. Application Review Information provide information on the age and long range plan; and/or contingency/ condition of the asset to be rehabilitated FTA will evaluate project proposals illustrative projects included in that or replaced relative to its minimum plan; or the locally developed human for the Grants for Buses and Bus useful life. Facilities Program based on the criteria services public transportation described in this notice. Projects will be 2. Demonstration of Benefits coordinated plan. Applicants are not required to submit copies of such plans, evaluated primarily on the responses Applications will be evaluated based provided in the supplemental form. but should describe how the project will on how well they describe how the support regional goals. Additional Additional information may be proposed project will improve the provided to support the responses; consideration will be given to condition of the transit system, improve applications including support letters however, any additional documentation the reliability of transit service for its must be directly referenced on the from local and regional planning riders, enhance access and mobility organizations, local government supplemental form, including the file within the service area, or accelerate name where the additional information officials, public agencies and/or non- innovation. profit or private sector partners attesting can be found. System Condition: FTA will evaluate Consistent with the Department’s to the consistency of the proposed the potential for the project to improve R.O.U.T.E.S. Initiative (https:// project with these plans. Applicants the condition of the transit system by www.transportation.gov/rural), the may also address how the proposed Department recognizes that rural repairing and/or replacing assets that project will impact overall system transportation networks face unique are in poor condition or have surpassed performance, asset management challenges. To the extent that those their minimum or intended useful life performance or specific performance challenges are reflected in the merit benchmarks, lowering the average age of measures tracked and monitored by the criteria listed in this section, the vehicles in the fleet and/or reducing the applying entity to demonstrate how the Department will consider how the cost of maintaining outdated vehicles, proposed project will address local and activities proposed in the application facilities and equipment. regional planning priorities. will address those challenges, regardless Service Reliability: FTA will evaluate Evidence of additional local or of the geographic location of those the potential for the project to reduce regional prioritization (i.e., Statewide activities. the frequency of breakdowns or other Transportation Improvement Plan and service interruptions caused by the age Long Range Transportation Plan) should 1. Demonstration of Need and condition of the agency’s bus fleet. include letters of support for the project Applications will be evaluated based Applicants should document their from local government officials, public on the quality and extent to which they current service reliability metrics and agencies (i.e., Metropolitan Planning demonstrate how the proposed project benchmark goals, including their Organizations) and non-profit or private will address an unmet need for capital strategy for improving reliability with or sector partners. investment in bus vehicles and/or without the award of Bus and Bus 4. Local Financial Commitment supporting facilities. For example, an Facilities Program funds. applicant may demonstrate an excessive Enhanced Access and Mobility: FTA Applicants must identify the source of reliance on vehicles that are beyond will evaluate the potential for the the local cost share and describe their intended service life, insufficient project to improve access and mobility whether such funds are currently maintenance facilities due to size or for the transit riding public, such as available for the project or will need to condition, a vehicle fleet that is through increased reliability, improved be secured if the project is selected for insufficient to meet current ridership headways, creation of new funding. FTA will consider the demands or passenger facilities that are transportation choices or eliminating availability of the local cost share as insufficient for their current use. gaps in the current route network. evidence of local financial commitment Applicants should address whether the Proposed benefits should be based on to the project. Additional consideration project represents a one-time or periodic documented ridership demand and be will be given to those projects for which need that cannot reasonably be funded well-described or documented through a local funds have already been made from FTA formula program allocations study or route planning proposal. available or reserved. Applicants should and State or local resources. As a part Accelerating Innovation: FTA will submit evidence of the availability of of the response for demonstration of evaluate the potential for the project to funds for the project, for example by need, applicants should provide the accelerate the introduction of innovative including a board resolution, letter of following information: technologies or practices such as support from the State or other a. For bus projects (replacement, integrated fare payment systems documentation of the source of local rehabilitation or expansion): Applicants permitting complete trips or funds such as a budget document must provide information on the age, advancements to propulsion systems. highlighting the line item or section condition and performance of the Innovation can also include practices committing funds to the proposed asset(s) to be replaced or rehabilitated such as new public transportation project. In addition, as evidence of local by the proposed project. For service operational models, financial or financial commitment, an applicant may expansion requests, applicants must procurement arrangements, or value propose a local cost share that is greater provide information on the proposed capture. than the minimum requirement.
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Additional consideration will be given corrective actions taken will mitigate projects, Federal award amounts and to those projects that propose a larger negative impacts on the proposed recipients in the Federal Register. percentage of local cost share. project. Selected recipients should contact their FTA regional offices for additional 5. Project Implementation Strategy F. Review and Selection Process information regarding allocations for Information Projects will be evaluated based on projects under the Grants for Buses and the extent to which the project is ready In addition to other FTA staff that Bus Facilities Program. to implement within a reasonable may review the proposals, a technical At the time the project selections are period of time and whether the evaluation committee will evaluate announced, FTA will extend pre-award applicant’s proposed implementation proposals based on the published authority for the selected projects. There plans are reasonable and complete. evaluation criteria. After applying the is no blanket pre-award authority for In assessing whether the project is above criteria, the FTA Administrator these projects before announcement. ready to implement within a reasonable will consider the following key period of time, FTA will consider Departmental objectives: 2. Award Administration whether the project qualifies for a (A) Supporting economic vitality at Funds under the Grants for Buses and Categorical Exclusion, or whether the the national and regional level; Bus Facilities Program are available to required environmental work has been (B) Utilizing alternative funding designated recipients that allocate funds initiated or completed for projects that sources and innovative financing to fixed route bus operators, state or require an Environmental Assessment or models to attract non-Federal sources of local governmental entities that operate Environmental Impact Statement under infrastructure investment; fixed route bus service, and Indian the National Environmental Policy Act (C) Accounting for the life-cycle costs tribes. There is no minimum or of 1969 (NEPA), as amended. As such, of the project to promote the state of maximum grant award amount apart applicants should submit information good repair; from the restriction that FTA will not describing the project’s anticipated path (D) Using innovative approaches to award more than ten percent of the and timeline through the environmental improve safety and expedite project funds to a single grantee; however, FTA review process. The proposal must also delivery; and intends to fund as many meritorious state whether grant funds can be (E) Holding grant recipients projects as possible. Only proposals obligated within 12 months from time of accountable for their performance and from eligible recipients for eligible award, if selected, and indicate the achieving specific, measurable activities will be considered for funding. timeframe under which the outcomes identified by grant applicants. Due to funding limitations, proposals Metropolitan Transportation Prior to making an award, FTA is that are selected for funding may receive Improvement Program and/or Statewide required to review and consider any less than the amount originally Transportation Improvement Program information about the applicant that is requested. In those cases, applicants can be amended to include the proposed in the Federal Awardee Performance must be able to demonstrate that the project. Additional consideration will and Integrity Information Systems proposed projects are still viable stand- be given to projects for which grant (FAPIIS) accessible through SAM. An alone projects that can be completed funds can be obligated within 12 applicant, may review and comment on with the amount awarded. months from time of award. information about itself that a Federal In assessing whether the proposed awarding agency previously entered. 3. Administrative and National Policy implementation plans are reasonable The FTA Administrator will Requirements and complete, FTA will review the determine the final selection of projects a. Pre-Award Authority proposed project implementation plan, for program funding. In determining the The FTA will issue specific guidance including all necessary project allocation of program funds, FTA may to recipients regarding pre-award milestones and the overall project consider geographic diversity, diversity authority at the time of selection. The timeline. For projects that will require in the size of the transit systems FTA does not provide pre-award formal coordination, approvals or receiving funding, the applicant’s authority for competitive funds until permits from other agencies or project receipt of other competitive awards, projects are selected and even then there partners, the applicant must projects located in or that support are Federal requirements that must be demonstrate coordination with these public transportation service in a met before costs are incurred. For more organizations and their support for the qualified opportunity zone designated information about FTA’s policy on pre- project, such as through letters of pursuant to 26 U.S.C. 1400Z–1, the award authority, please see the FY 2019 support. percentage of local share provided, and Apportionment Notice published on whether the project includes an 6. Technical, Legal and Financial July 3, 2019 which can be accessed at innovative technology or practice. Not Capacity https://www.govinfo.gov/content/pkg/ less than 10 percent of the Buses and Applicants must demonstrate that FR-2019-07-03/pdf/2019-14248.pdf. they have the technical, legal and Bus Facilities Program funds will be financial capacity to undertake the distributed to projects in rural areas. In b. Grant Requirements project. FTA will review relevant addition, FTA will not award more than If selected, awardees will apply for a oversight assessments and records to 10 percent of the funds to a single grant through FTA’s Transit Award determine whether there are any grantee. Management System (TrAMS). outstanding legal, technical or financial G. Federal Award Administration Recipients of Grants for Buses and Bus issues with the applicant that would Information Facilities Program funding in urban affect the outcome of the proposed areas are subject to the grant project. Applicants with outstanding 1. Federal Award Notice requirements of the Urbanized Area legal, technical or financial compliance Final project selections will be posted Formula Grant program (49 U.S.C. issues from an FTA compliance review on the FTA website. FTA will also 5307), including those of FTA Circular or Federal Transit grant-related Single publish a list of the selected projects, a ‘‘Urbanized Area Formula Program: Audit finding must explain how summary of final ratings for selected Program Guidance and Application
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Instructions’’ (FTA.C.9030.1E). d. Disadvantaged Business Enterprise acknowledges that it is under a Recipients of funding in rural areas are FTA requires that its recipients continuing obligation to comply with subject to the grant requirements of the receiving planning, capital and/or the terms and conditions of the grant Formula Grants for Rural Areas Program operating assistance that will award agreement issued for its project with (49 U.S.C. 5311), including those of FTA prime contracts exceeding $250,000 in FTA. The applicant understands that Federal laws, regulations, policies and Circular ‘‘Formula Grants for Rural FTA funds comply with the Areas: Program Guidance and administrative practices might be Disadvantaged Business Enterprise Application Instructions’’ modified from time to time and may (DBE) program regulations (49 CFR part (FTA.C.9040.1G). All recipients must affect the implementation of the project. 26). The rule requires that, prior to follow the Award Management The applicant agrees that the most bidding on any FTA-assisted vehicle Requirements (FTA.C.5010.1E), and the recent Federal requirements will apply procurement, entities that manufacture labor protections required by Federal to the project, unless FTA issues a vehicles or perform post-production public transportation law (49 U.S.C. written determination otherwise. The alterations or retrofitting must submit a 5333(b)). Technical assistance regarding applicant must submit the Certifications DBE Program plan and annual goal these requirements is available from and Assurances before receiving a grant, methodology to FTA. Further, to the each FTA regional office. if it does not have current certifications extent that a vehicle remanufacturer is on file. c. Buy America and Strengthening Buy- responding to a solicitation for new or American Preferences for Infrastructure remanufactured vehicles with a vehicle g. Reporting Projects to which the remanufacturer has Post-award reporting requirements The FTA requires that all capital provided post-production alterations or include the electronic submission of procurements meet FTA’s Buy America retro-fitting (e.g., replacing major Federal Financial Reports and Milestone requirements (49 U.S.C. 5323(j)), which components such as engine to provide Progress Reports in FTA’s electronic require that all iron, steel, or a ‘‘like new’’ vehicle), the vehicle grants management system. Recipients manufactured products be produced in remanufacturer is considered a transit of funds made available through this the United States, to help create and vehicle manufacturer and must also NOFO are also required to regularly protect manufacturing jobs in the comply with the DBE regulations. submit data to the National Transit United States. The Grants for Buses and FTA will then issue a transit vehicle Database. Bus Facilities Program will have a manufacturer (TVM) concurrence/ significant economic impact toward certification letter. Grant recipients H. Technical Assistance and Other meeting the objectives of the Buy must verify each entity’s compliance Program Information America law. Federal public with these requirements before This program is not subject to transportation law provides for a phased accepting its bid. A list of compliant, Executive Order 12372, increase in the domestic content for certified TVMs is posted on FTA’s ‘‘Intergovernmental Review of Federal rolling stock. For FY 2020 and beyond, website at www.transit.dot.gov/TVM. Programs.’’ FTA will consider the cost of components and Please note that this list is nonexclusive applications for funding only from subcomponents produced in the United and recipients must contact FTA before eligible recipients for eligible projects States must be more than 70 percent of accepting bids from entities not listed listed in Section C. Complete the cost of all components. There is no on this Web posting. Recipients may applications must be submitted through change to the requirement that final also establish project-specific DBE goals GRANTS.GOV by 11:59 p.m. Eastern assembly of rolling stock must occur in for vehicle procurements. FTA will time on March 30, 2020. For assistance the United States. FTA issued guidance provide additional guidance as grants with GRANTS.GOV please contact on the implementation of the phased are awarded. For more information on GRANTS.GOV by phone at 1–800–518– increase in domestic content on DBE requirements, please contact 4726 or by email at [email protected]. September 1, 2016 (81 FR 60278). Any Scheryl Portee, the Office of the Chief Contact information for FTA’s regional proposal that will require a waiver must Counsel, at 202–366–0840, email: offices can be found on FTA’s website identify in the application the items for [email protected]. at https://www.transit.dot.gov/about/ which a waiver will be sought. e. Planning regional-offices/regional-offices. Applicants should not proceed with the expectation that waivers will be granted, FTA encourages applicants to notify I. Federal Awarding Agency Contacts nor should applicants assume that the appropriate State Departments of For further information concerning selection of a project under the Grants Transportation and MPOs in areas likely this notice, please contact the Grants for for Buses and Bus Facilities Program to be served by the project funds made Buses and Bus Facilities Program that includes a partnership with a available under this program. Selected manager, Mark Bathrick, via email at manufacturer, vendor, consultant, or projects must be incorporated into the [email protected] or by phone at other third party constitutes a waiver of long-range plans and transportation 202–366–9955. A TDD is available for the Buy America requirements improvement programs of States and individuals who are deaf or hard of applicable at the time the project is metropolitan areas before they are hearing at 800–877–8339. In addition, undertaken. eligible for FTA funding. FTA will post answers to questions and Consistent with Executive Order requests for clarifications on FTA’s f. Standard Assurances 13858 Strengthening Buy-American website at http://transit.dot.gov/ Preferences for Infrastructure Projects, By submitting a grant application, the busprogram. FTA staff will also conduct signed by President Trump on January applicant assures that it will comply a webinar for potential applicants to 31, 2019, applicants should maximize with all applicable federal statutes, learn more about the program and the use of goods, products, and regulations, executive orders, directives, submittal process. materials produced in the United States, FTA circulars and other federal To ensure the receipt of accurate in Federal procurements and through administrative requirements in carrying information about eligibility or the the terms and conditions of Federal out any project supported by the FTA program, applicants with questions are financial assistance awards. grant. Further, the applicant encouraged to contact FTA directly,
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rather than through intermediaries or D. Application and Submission Information FTA will grant pre-award authority to third parties. E. Application Review Information incur costs for selected projects F. Review and Selection Process Information beginning on the date that project K. Jane Williams, G. Federal Award Administration selections are announced. Funds are Acting Administrator. Information only available for projects that have not [FR Doc. 2020–01614 Filed 1–29–20; 8:45 am] H. Federal Awarding Agency Contact(s) I. Technical Assistance and Other Program already incurred costs and will be BILLING CODE P Information available for obligation five years after the fiscal year in which funding is A. Program Description allocated under this competition. DEPARTMENT OF TRANSPORTATION Federal public transportation law (49 C. Eligibility Information Federal Transit Administration U.S.C. 5307(h)) authorizes FTA to award grants for passenger ferries through a 1. Eligible Applicants FY 2020 Competitive Funding competitive process, as described in this Eligible applicants include designated Opportunity: Passenger Ferry Grant notice. The Ferry Program provides recipients and direct recipients as Program funding to designated recipients and defined in FTA Circular ‘‘Urbanized direct recipients under FTA’s Urbanized Area Formula Program: Program AGENCY: Federal Transit Administration Area Formula Program, as well as public Guidance and Application Instructions’’ (FTA), DOT. entities engaged in providing public (FTA.C.9030.1E), as well as public ACTION: Notice of funding opportunity transportation passenger ferry service in entities engaged in providing public (NOFO). urban areas that are eligible to be direct transportation passenger ferry service in recipients. Projects under the program urban areas that are eligible to be direct SUMMARY: The Federal Transit are for capital to improve the condition recipients. Administration (FTA) announces the and quality of existing passenger ferry If an applicant does not currently opportunity to apply for $30 million in services, support the establishment of have an active Urbanized Area Formula competitive grants under the Fiscal Year new passenger ferry services, and to Program grant with FTA, the applicant (FY) 2020 Passenger Ferry Grant repair and modernize ferry boats, is encouraged to contact the Ferry Program (Ferry Program) (Catalog of terminals, and related facilities and Program manager for assistance with Federal Domestic Assistance #20.507). equipment. FTA recognizes that determining if it is eligible to receive As required by Federal public passenger ferries provide critical and funds under the Ferry Program. Eligible transportation law, funds will be cost-effective transportation links in applicants that do not currently have an awarded competitively to designated urban areas throughout the United active grant with FTA will, upon recipients or eligible direct recipients of States, but face a critical backlog of state selection, be required to work with the Urbanized Area Formula funds to assist of good repair and safety investments. FTA regional office to establish its in the financing of capital projects to In FY 2020, FTA is encouraging organization as an active grantee. This support existing passenger ferry service, process may require additional establish new ferry service, and to repair applicants to propose projects that introduce innovative technologies or documentation to support the and modernize ferry boats, terminals, organization’s technical, financial, and and related facilities and equipment. practices in support of FTA’s Accelerating Innovative Mobility (AIM) legal capacity to receive and administer FTA may award additional funding Federal funds under this program. made available to the program prior to initiative. FTA is focused on the the announcement of project selections. introduction of new technology not 2. Cost Sharing or Matching commonly found within U.S. transit DATES: Complete proposals must be a. The maximum Federal share for systems such as integrated fare payment submitted electronically through the projects selected under the Ferry systems permitting complete trips or GRANTS.GOV ‘‘APPLY’’ function by Program is 80 percent of the net project advancements to propulsion systems. 11:59 p.m. Eastern time March 30, 2020. cost, with the following exceptions. Innovation can also include practices Prospective applicants should initiate b. The maximum Federal share is 85 such as new public transportation the process by promptly registering on percent of the net project cost of operational models, financial or the GRANTS.GOV website to ensure acquiring vehicles (including clean-fuel procurement arrangements, or value completion of the application process or alternative fuel vehicles) for purposes capture. before the submission deadline. of complying with or maintaining Instructions for applying can be found B. Federal Award Information compliance with the Clean Air Act on FTA’s website at https:// (CAA) and/or the Americans with Federal public transportation law (49 Disabilities Act (ADA) of 1990. www.transit.dot.gov/funding/grants/ U.S.C. 5338(h)(1)) authorizes $30 applying/applying-fta-funding and in c. The maximum Federal share is 90 million in FY 2020 funds for grants percent of the net project cost of the ‘‘FIND’’ module of GRANTS.GOV. under the Ferry Program. The Further The funding opportunity ID is FTA– acquiring, installing or constructing Consolidated Appropriations Act, 2020 vehicle-related equipment or facilities 2020–008–Ferry. Mail and fax appropriated $30 million for the FY submissions will not be accepted. (including clean fuel or alternative-fuel 2020 Ferry Program. FTA may award vehicle-related equipment or facilities) FOR FURTHER INFORMATION CONTACT: additional funding made available to the for purposes of complying with or Vanessa Williams, FTA Office of program prior to the announcement of maintaining compliance with the ADA Program Management, (202) 366–4818, project selections. In FY 2019, the and/or r CAA. The award recipient must or [email protected]. program received applications for 20 itemize the cost of specific, discrete, SUPPLEMENTARY INFORMATION: projects requesting approximately $99.3 vehicle-related equipment associated Table of Contents million from 9 states. Nine projects were with compliance with ADA or CAA to funded at a total of $32.8 million, using be eligible for the maximum 90 percent A. Program Description a combination of funding from FY 2019 Federal share for these costs. B. Federal Award Information and funding remaining from prior year Eligible sources of local match C. Eligibility Information appropriations. include:
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Cash from non-governmental sources identify the proposed use of funds for forms: (1) The SF–424 Application for other than revenues from providing these activities in the project proposal Federal Assistance; and (2) the FY 2020 public transportation Public and identify them separately in the Passenger Ferry Grant Program Transportation services; project budget. supplemental form. The supplemental i. Non-farebox revenues from the form and any supporting documents D. Application and Submission operation of public transportation must be attached to the ‘‘Attachments’’ Information Public Transportation service, such as section of the SF–424. The application the sale of advertising and concession 1. Address must include responses to all sections of the SF–424 Application for Federal revenues; Applications must be submitted Assistance and the supplemental form, ii. Monies received under a service electronically through GRANTS.GOV. unless indicated as optional. The agreement with a State or local social General information for submitting information on the supplemental form service agency or private social service applications through GRANTS.GOV can will be used to determine applicant and organization; be found at https://www.transit.dot.gov/ project eligibility for the program, and iii. Undistributed cash surpluses, funding/grants/applying/applying-fta- to evaluate the proposal against the replacement or depreciation cash funds, funding along with specific instructions selection criteria described in part E of reserves available in cash, or new for the forms and attachments required capital; this notice. for submission. Mail and fax FTA will only accept one iv. Amounts appropriated or submissions will not be accepted. A otherwise made available to a supplemental form per SF–424 complete proposal submission consists submission. FTA encourages States and department or agency of the of two forms: The SF–424 Application Government (other than the U.S. other applicants to consider submitting for Federal Assistance (downloaded a single supplemental form that Department of Transportation), that are from GRANTS.GOV) and the eligible to be expended for public includes multiple activities to be supplemental form for the FY 2020 evaluated as a consolidated proposal. If transportation; Passenger Ferry Grant Program v. In-kind contributions integral to the a State or other applicant chooses to (downloaded from GRANTS.GOV or the submit separate proposals for individual project; FTA website at: https:// vi. Revenue bond proceeds for a consideration by FTA, each proposal www.transit.dot.gov/funding/grants/ must be submitted using a separate SF– capital project, with prior FTA passenger-ferry-grant-program-section- approval; and 424 and supplemental form. 5307). Applicants may also attach Applicants may attach additional vii. Transportation Development additional supporting information. Credits (TDC) (formerly referred to as supporting information to the SF–424 Failure to submit the information as submission, including but not limited to Toll Revenue Credits). requested can delay or prevent review of letters of support, project budgets, fleet If an applicant proposes a Federal the application. status reports, or excerpts from relevant share greater than 80 percent, the planning documents. Supporting applicant must clearly explain why the 2. Content and Form of Application documentation must be described and project is eligible for the proposed Submission referenced by file name in the Federal share. A strong transportation network is appropriate response section of the NOTE: Please refer to FTA Circular 9030 critical to the functioning and growth of supplemental form, or it may not be for more information regarding the use of the American economy. The nation’s reviewed. TDCs. FTA will not retroactively approve industry depends on the transportation Information such as applicant name, TDCs as match if they are not included in the network to move the goods that it Federal amount requested, local match proposal submitted under this competition. produces, and facilitate the movements amount, description of areas served, etc. of the workers who are responsible for 3. Eligible Projects may be requested in varying degrees of that production. When the nation’s detail on both the SF–424 and Eligible projects are capital projects highways, railways, and ports function Supplemental Form. Applicants must for the purchase, replacement, or well, that infrastructure connects people fill in all fields unless stated otherwise rehabilitation of ferries, terminals, to jobs, increases the efficiency of on the forms. Applicants should not related infrastructure, related equipment delivering goods and thereby cuts the place N/A or ‘‘refer to attachment’’ in (including fare equipment and costs of doing business, reduces the lieu of typing in responses in the field communication devices) and expansion. burden of commuting, and improves sections. If information is copied into Projects are required to support a overall well-being. the supplemental form from another passenger ferry service that operates Rural transportation networks play a source, applicants should verify that within an urbanized area, as defined vital role in supporting our national pasted text is fully captured on the under Federal public transportation law, economic vitality. Addressing the supplemental form and has not been but may include services that operate deteriorating conditions and truncated by the character limits built between an urbanized area and non- disproportionately high fatality rates on into the form. Applicants should use urbanized areas. Ferry systems that our rural transportation infrastructure is both the ‘‘Check Package for Errors’’ and accommodate cars must also of critical interest to the Department, as the ‘‘Validate Form’’ validation buttons accommodate walk-on passengers in rural transportation networks face on both forms to check all required order to be eligible for funding. unique challenges in safety, fields on the forms, and ensure that the Recipients are permitted to use up to infrastructure condition, and passenger Federal and local amounts specified are 0.5 percent of their requested grant and freight usage. Consistent with the consistent. award for workforce development R.O.U.T.E.S. Initiative, the Department activities eligible under Federal public encourages applicants to consider how ii. Application Content transportation law (49 U.S.C. 5314(b)) the project will address the challenges The SF–424 Application for Federal and an additional 0.5 percent for costs faced by rural areas. Assistance and the supplemental form associated with training at the National i. Proposal Submission A complete will prompt applicants for the required Transit Institute. Applicants must proposal submission consists of two information, including:
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a. Applicant name 2020. GRANTS.GOV attaches a time 6. Other Submission Requirements b. Dun and Bradstreet (D&B) Data stamp to each application at the time of Applicants are encouraged to identify Universal Numbering System (DUNS) submission. Mail and fax submissions scaled funding options in case number will not be accepted. insufficient funding is available to fund c. Key contact information (including FTA urges applicants to submit a project at the full requested amount. contact name, address, email address, applications at least 72 hours prior to If an applicant indicates that a project and phone) the due date to allow time to correct any is scalable, the applicant must provide d. Congressional district(s) where problems that may have caused either an appropriate minimum funding project will take place GRANTS.GOV or FTA systems to reject amount that will fund an eligible project e. Project information (including title, the submission. Proposals submitted that achieves the objectives of the executive summary, and type) after the deadline will only be program and meets all relevant program f. A detailed description of the need for considered under extraordinary requirements. The applicant must the project circumstances not under the applicant’s provide a clear explanation of how the g. A detailed description on how the control. Deadlines will not be extended project will support the Ferry Program project budget would be affected by a due to scheduled website maintenance. reduced award. FTA may award a lesser objectives GRANTS.GOV scheduled maintenance h. Evidence that the project is consistent amount whether or not a scalable option and outage times are announced on the is provided. with local and regional planning GRANTS.GOV website. objectives Within 48 hours after submitting an E. Application Review Information i. Evidence that the applicant can electronic application, the applicant provide the local cost share 1. Evaluation Criteria should receive an email message from j. A description of the technical, legal, Projects will be evaluated primarily GRANTS.GOV with confirmation of and financial capacity of the applicant on the responses provided in the successful transmission to k. A detailed project budget supplemental form. Additional GRANTS.GOV. If a notice of failed l. An explanation of the scalability of information may be provided to support validation or incomplete materials is the project the responses; however, any additional received, the applicant must address the m. Details on the local matching funds documentation must be directly reason for the failed validation, as n. A detailed project timeline referenced on the supplemental form, described in the email notice, and o. Whether the project impacts an including the file name where the resubmit before the submission Opportunity Zone additional information can be found. deadline. If making a resubmission for FTA will evaluate project proposals for 3. Unique Entity Identifier and System any reason, include all original competitive passenger ferry grants based for Award Management (SAM) attachments regardless of which on the criteria described in this notice. Each applicant is required to: (1) Be attachments were updated and check Consistent with the Department’s registered in SAM before submitting an the box on the supplemental form R.O.U.T.E.S. Initiative (https:// application; (2) provide a valid unique indicating this is a resubmission. www.transportation.gov/rural), the entity identifier in its application; and Applicants are encouraged to begin Department recognizes that rural (3) continue to maintain an active SAM the process of registration on the transportation networks face unique registration with current information at GRANTS.GOV site well in advance of challenges. To the extent that those all times during which the applicant has the submission deadline. Registration is challenges are reflected in the merit an active Federal award or an a multi-step process, which may take criteria listed in this section, the application or plan under consideration several weeks to complete before an Department will consider how the by FTA. These requirements do not application can be submitted. Registered activities proposed in the application apply if the applicant has an exemption applicants may still be required to take will address those challenges, regardless approved by FTA under Federal grants steps to keep their registration up to of the geographic location of those and agreements law (2 CFR 25.110(d)). date before submissions can be made activities. FTA may not make an award until the successfully: (1) Registration in SAM is applicant has complied with all renewed annually; and (2) persons a. Demonstration of Need applicable unique entity identifier and making submissions on behalf of the Applications will be evaluated based SAM requirements. If an applicant has Authorized Organization Representative on the quality and extent to which they not fully complied with the (AOR) must be authorized in demonstrate how the proposed project requirements by the time FTA is ready GRANTS.GOV by the AOR to make will address an unmet need for capital to make an award, FTA may determine submissions. investment in passenger ferry vehicles, that the applicant is not qualified to 5. Funding Restrictions equipment, and/or facilities. FTA will receive an award and use that also evaluate the project’s impact on determination as a basis for making a Funds made available under the Ferry service delivery and whether the project Federal award to another applicant. Program may not be used to fund represents a one-time or periodic need SAM registration takes approximately operating expenses, planning, or that cannot reasonably be funded from 3–5 business days, but FTA preventive maintenance. Any project FTA formula program allocations or recommends allowing ample time, up to that does not include the purchase, State and/or local resources. In several weeks, for completion of all replacement, or rehabilitation of ferries, evaluating applications, FTA will steps. For additional information on terminals, related infrastructure, or consider, among other factors, certain obtaining a unique entity identifier, related equipment is not eligible. Funds project-specific criteria as outlined please visit www.sam.gov. made available under this NOFO cannot below: be used to reimburse applicants for i. For vessel replacement or 4. Submission Dates and Times otherwise eligible expenses incurred rehabilitation projects: Project proposals must be submitted prior to FTA award of a grant agreement • The age of the asset to be replaced electronically through GRANTS.GOV by until FTA has issued pre-award or rehabilitated by the proposed project, 11:59 p.m. Eastern Time on March 30, authority for selected projects. relative to its useful life.
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• Condition and performance of the and regional planning documents and e. Project Implementation Strategy asset to be replaced by the proposed identified priorities. This will involve project, as ascertained through assessing whether the project is Projects will be evaluated based on inspections or otherwise, if available. consistent with the transit priorities the extent to which the project is ready ii. For facility infrastructure identified in the long-range to implement within a reasonable improvements or related-equipment transportation plan and/or the State and period of time and whether the acquisitions: Metropolitan Transportation applicant’s proposed implementation • The age of the facility or equipment Improvement Program (STIP/TIP). plans are reasonable and complete. to be rehabilitated or replaced relative to Applicants should note if the project In assessing whether the project is its useful life. could not be included in the financially • ready to implement within a reasonable The degree to which the proposed constrained STIP or TIP due to lack of period of time, FTA will consider project will enable the agency to funding, and if selected that the project whether the project qualifies for a improve the maintenance and condition can be added to the federally approved Categorical Exclusion, or whether the of the agency’s fleet and/or other related STIP before grant award. required environmental work has been ferry assets. iii. For vessel or facility-related FTA encourages applicants to initiated or completed for projects that expansion or new service requests: demonstrate local support by including require an Environmental Assessment or • The degree to which the proposed letters of support from State Environmental Impact Statement under project addresses a current capacity Departments of Transportation, local the National Environmental Policy Act constraint that is limiting the ability of transit agencies, local government of 1969, as amended. As such, the agency to provide reliable service, officials and public agencies, local non- applicants should submit information meet ridership demands, or maintain profit or private sector organizations, describing the project’s anticipated path vessels and related equipment. and other relevant stakeholders. In an and timeline through the environmental • The degree the proposed new area with both ferry and other public review process. The proposal must also service is supported by ridership transit operators, FTA will evaluate state whether grant funds can be demand. whether project proposals demonstrate obligated within 12 months from time of coordination with and support of other award, if selected, and indicate the b. Demonstration of Benefits related projects within the applicant’s timeframe under which the Applications will be evaluated based Metropolitan Planning Organization Metropolitan TIP and/or STIP can be (MPO) or the geographic region within on how the ferry project will improve amended to include the proposed which the proposed project will operate. the safety and state of good repair of the project. Additional consideration will system, provide additional d. Local Financial Commitment be given to projects for which grant transportation options to potential funds can be obligated within 12 riders within the service area, or Applicants must identify the source of months from time of award. accelerating innovation. FTA will the local cost share and describe consider potential benefits such as whether such funds are currently In assessing whether the proposed increased reliability of service, available for the project or will need to implementation plans are reasonable improved operations or maintenance be secured if the project is selected for and complete, FTA will review the capabilities, or expanded mobility funding. FTA will consider the proposed project implementation plan, options, intermodal connections, and availability of the local cost share as including all necessary project economic benefits to the community. evidence of local financial commitment milestones and the overall project Applicants should address how the to the project. Additional consideration timeline. For projects that will require ferry service to be supported by the will be given to those projects for which formal coordination, approvals, or proposed project is integrated with local funds have already been made permits from other agencies or project other regional modes of transportation, available or reserved. Applicants should partners, the applicant must including but not limited to: Rail, bus, submit evidence of the availability of demonstrate coordination with these intercity bus, and private transportation funds for the project, for example by organizations and their support for the providers. Supporting documentation including a board resolution, letter of project, such as through letters of should include data that demonstrates support from the State, or other support. the number of trips (passengers and documentation of the source of local vehicles), the number of walk-on funds such as a budget document f. Technical, Legal, and Financial passengers, and the frequency of highlighting the line item or section Capacity transfers to other modes if applicable. committing funds to the proposed Applicants must demonstrate that FTA will evaluate the potential for the project. they have the technical, legal, and project to accelerate the introduction of An applicant may propose a local cost innovative technologies or practices financial capacity to undertake the share that is greater than the minimum such as integrated fare payment systems project. FTA will review relevant requirement or provide documentation permitting complete trips or oversight assessments and records to of previous local investments in the advancements to propulsion systems. determine whether there are any project, which cannot be used to satisfy Innovation can also include practices outstanding legal, technical, or financial local matching requirements, as such as new public transportation issues with the applicant that would evidence of local financial commitment. operational models, financial or affect the outcome of the proposed Additional consideration will be given procurement arrangements, or value project. Applicants with outstanding to those projects that propose a larger capture. legal, technical, or financial compliance local cost share. issues from a FTA compliance review or c. Planning and Local/Regional Applicants that request a Federal FTA grant-related Single Audit finding Prioritization share greater than 80 percent must must explain how corrective actions Applicants must demonstrate how the clearly explain why the project is taken will mitigate negative impacts on proposed project is consistent with local eligible for the propose Federal share. the project.
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F. Review and Selection Process when completing the review of risk iii. Buy America and Strengthening Information posed by applicants as described in the Buy-American Preferences for In addition to other FTA staff that Office of Management and Budget’s Infrastructure Projects may review the proposals, a technical Uniform Requirements for Federal FTA requires that all capital evaluation committee will evaluate Awards (2 CFR 200.205). procurements meet FTA’s Buy America proposals based on the published G. Federal Award Administration requirements (49 U.S.C. 5323(j)) which evaluation criteria. Members of the Information require all iron, steel, or manufactured technical evaluation committee and products be produced in the United other FTA staff may request additional 1. Federal Award Notices States. Federal public transportation law information from applicants, if Final project selections will be posted provides for a phased increase in the necessary. Based on the findings of the on the FTA website. Only proposals domestic content for rolling stock technical evaluation committee, the from eligible recipients for eligible between FY 2016 and FY 2020. For FY FTA Administrator will determine the activities will be considered for funding. 2020 and beyond, the cost of final selection of projects for program There is no minimum or maximum components and subcomponents funding. In determining the allocation grant award amount; however, FTA produced in the United States must be of program funds, FTA may consider intends to fund as many meritorious more than 70 percent of the cost of all geographic diversity, diversity in the projects as possible. Due to funding components. There is no change to the size of the transit systems receiving limitations, projects that are selected for requirement that final assembly of funding, projects located or that support funding may receive less than the rolling stock must occur in the United public transportation service in a amount originally requested. In those States. FTA issued guidance on the qualified opportunity zone designated cases, applicants must be able to implementation of the phased increase pursuant to 26 U.S.C. 1400Z–1, the demonstrate that the proposed projects in domestic content on September 1, applicant’s receipt of other competitive are still viable and can be completed 2016 (81 FR 60278). Applicants should awards, the percentage of the local share with the amount awarded. read the policy guidance carefully to provided, and whether the project Recipients should contact their FTA determine the applicable domestic includes an innovative technology or Regional Offices for additional content requirement for their projects. practice. FTA may consider capping the information regarding allocations for Any proposal that will require a waiver amount a single applicant may receive projects under the Ferry Program. must identify the items for which a and prioritizing projects that serve small 2. Administrative and National Policy waiver will be sought in the application. urban or both urban and rural areas. Requirements Applicants should not proceed with the Projects that have a higher local expectation that waivers will be granted. financial commitment may also be i. Pre-Award Authority Consistent with Executive Order prioritized. At the time the project selections are 13858 Strengthening Buy-American After applying the above preferences, announced, FTA will extend pre-award Preferences for Infrastructure Projects, the FTA Administrator will consider the authority for the selected projects. There signed by President Trump on January following key Departmental objectives: is no blanket pre-award authority for 31, 2019, applicants should maximize • Using innovative approaches to these projects before announcement. the use of goods, products, and improve safety and expedite project FTA does not provide pre-award materials produced in the United States, delivery; authority for competitive funds until in Federal procurements and through • Supporting economic vitality at the projects are selected and even then, the terms and conditions of Federal national and regional level; there are Federal requirements that must financial assistance awards. • Utilizing alternative funding be met before costs are incurred. For iv. Disadvantaged Business Enterprise sources and innovative financing more information about FTA’s policy on models to attract non-Federal sources of pre-award authority, please see the FY Projects that include ferry infrastructure investment; 2019 Apportionment Notice published acquisitions are subject to the • Accounting for the life-cycle costs on July 3, 2019. https:// Disadvantaged Business Enterprise of the project to promote the state of www.govinfo.gov/content/pkg/FR-2019- (DBE) program regulations (49 CFR part good repair; and 07-03/pdf/2019-14248.pdf. 26) and ferry manufacturers must be • Holding grant recipients certified Transit Vehicle Manufacturers accountable for their performance and ii. Grant Requirements (TVMs) to be eligible to bid on an FTA- achieving specific, measurable If selected, awardees will apply for a assisted ferry procurement. The rule outcomes identified by grant applicants. grant through FTA’s Transit Award requires that, prior to bidding on any Prior to making an award, FTA is Management System (TrAMS). All Ferry FTA-assisted vehicle procurement, required to review and consider any Program recipients are subject to the entities that manufacture ferries must information about the applicant that is grant requirements of the Urbanized submit a DBE Program plan and annual in the Federal Awardee Performance Area Formula Grant program (49 U.S.C. goal methodology to FTA. The FTA will and Integrity Information Systems 5307), including those of FTA Circular then issue a TVM concurrence/ accessible through SAM. An applicant ‘‘Urbanized Area Formula Program: certification letter. Grant recipients may review and comment on Program Guidance and Application must verify each entity’s compliance information about itself that a Federal Instructions’’ (FTA.C.9030.1E). All before accepting its bid. A list of awarding agency previously entered. recipients must also follow the Award certified TVMs is posted on FTA’s web FTA may consider any comments by the Management Requirements page at www.transit.dot.gov/TVM. applicant, in addition to the other (FTA.C.5010.1) and the labor Recipients should contact FTA before information in the designated integrity protections required by Federal public accepting bids from entities not listed and performance system, in making a transportation law (49 U.S.C. 5333(b)). on this web-posting. In lieu of using a judgment about the applicant’s integrity, Technical assistance regarding these certified TVM, recipients may also business ethics, and record of requirements is available from each FTA establish project specific DBE goals for performance under Federal awards regional office. ferry purchases. The FTA will provide
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additional guidance as grants are on FTA’s website at: https:// 2020. For additional information, see awarded. For more information on DBE www.transit.dot.gov/funding/grants/ the ADDRESSES section of this notice. requirements, please contact Scheryl passenger-ferry-grant-program-section- ADDRESSES: The forum will be held at Portee, Office of the Chief Counsel, 202– 5307. To ensure receipt of accurate the Westin Arlington Gateway, 801 366–0840, email: scheryl.portee@ information about eligibility or the North Glebe Road, Arlington, Virginia dot.gov. program, the applicant is encouraged to 22203, USA, Phone: 703–717–6200, contact FTA directly, rather than v. Planning website: http:// through intermediaries or third parties. www.westinarlingtongateway.com. The FTA encourages applicants to notify I. Technical Assistance and Other agenda and any additional information the appropriate State Departments of for the forum will be published on the Program Information Transportation and MPOs in areas likely following meeting page at https:// to be served by the project funds made This program is not subject to primis.phmsa.dot.gov/meetings/ available under these initiatives and Executive Order 12372, MtgHome.mtg?mtg=145. programs. Selected projects must be ‘‘Intergovernmental Review of Federal Registration: To help ensure adequate incorporated into the long-range plans Programs.’’ FTA will consider space is provided, attendees should and transportation improvement applications for funding only from register in advance on the PHMSA programs of States and metropolitan eligible recipients for eligible projects public forum website at https:// areas before they are eligible for FTA listed in Section C. Complete primis.phmsa.dot.gov/meetings/ funding. As described under the applications must be submitted through MtgHome.mtg?mtg=145. Onsite evaluation criteria, FTA may consider GRANTS.GOV by 11:59 p.m. EST on registration will also be available. whether a project is consistent with or March 30, 2020. For issues with Attendees are responsible for their own already included in these plans when GRANTS.GOV, please contact hotel accommodations. A block of hotel evaluating a project. GRANTS.GOV by phone at 1–800–518– rooms is available on a first come, first vi. Standard Assurances 4726 or by email at [email protected]. served basis at the current government Contact information for FTA’s regional rate. Contact the hotel directly and The applicant assures that it will offices can be found on FTA’s website mention ‘‘DOT R&D Forum’’ to receive comply with all applicable Federal at http://www.transit.dot.gov/. the reserved hotel room rate. statutes, regulations, executive orders, The forum will not be webcast; directives, FTA circulars, and other K. Jane Williams, however, presentations will be available Federal administrative requirements in Acting Administrator. on the forum website and in the public carrying out any project supported by [FR Doc. 2020–01615 Filed 1–29–20; 8:45 am] docket at https://www.regulations.gov/, the FTA grant. The applicant BILLING CODE 4910–57–P under docket number PHMSA–2019– acknowledges that it is under a 0223 within 30 days following the continuing obligation to comply with meeting. the terms and conditions of the grant DEPARTMENT OF TRANSPORTATION Public Participation: The Pipeline agreement issued for its project with R&D Forum will be open to the public. FTA. The applicant understands that Pipeline and Hazardous Materials Attendees can participate during the Federal laws, regulations, policies, and Safety Administration question and answer portions of the administrative practices might be [Docket No. PHMSA–2019–0223] agenda during the forum. The U.S. modified from time to time and may Department of Transportation is affect the implementation of the project. Pipeline Safety: Pipeline Research and committed to providing equal access to The applicant agrees that the most Development Forum this meeting for all participants. If you recent Federal requirements will apply need alternative formats or services AGENCY: Pipeline and Hazardous to the project, unless FTA issues a because of a disability, such as sign Materials Safety Administration written determination otherwise. The language, interpretation, or other (PHMSA), DOT. applicant must submit the Certifications ancillary aids, please contact the person and Assurances before receiving a grant ACTION: Notice of public forum. listed in the FOR FURTHER INFORMATION if it does not have current certifications CONTACT section. SUMMARY: PHMSA is publishing this Written comments: Persons who wish on file. notice to announce a public meeting for to submit written comments on the the Pipeline Research and Development 3. Reporting forum may submit them to the docket in (R&D) Forum. PHMSA periodically Post-award reporting requirements the following ways: include the electronic submission of holds this forum to generate a national E-Gov Website: https:// Federal Financial Reports and Milestone research agenda that identifies technical www.regulations.gov. This website Progress Reports. Recipients of funds challenges and fosters solutions to allows the public to enter comments on made available through this NOFO are improve pipeline safety and protect the any Federal Register notice issued by also required to regularly submit data to environment. any agency. the National Transit Database. DATES: The forum will be held on Fax: 1–202–493–2251. February 19–20, 2020, from 8:00 a.m. to Mail: Docket Management Facility; H. Federal Awarding Agency Contact(s) 4:30 p.m. ET. On-site registration will U.S. Department of Transportation For further information concerning begin at 7:00 a.m. on both days. Online (DOT), 1200 New Jersey Avenue SE, this notice, please contact the Ferry pre-registration for the forum is West Building, Room W12–140, Program manager, Vanessa Williams, by available until February 5, 2020. Washington, DC 20590–0001. phone at 202–366–4818, or by email at Individuals requiring accommodations, Hand Delivery: Room W12–140 on the [email protected]. A TDD is such as sign language interpretation or ground level of the DOT West Building, available for individuals who are deaf or other ancillary aids, should notify 1200 New Jersey Avenue SE, hard of hearing at 800–877–8339. In Robert Smith, Engineering and Research Washington, DC, between 9:00 a.m. and addition, FTA will post answers to Division, at 919–238–4759 or 5:00 p.m., Monday through Friday, questions and requests for clarifications [email protected] by February 1, except on Federal holidays.
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Instructions: Identify the docket as private, that you actually treat as DEPARTMENT OF THE TREASURY number PHMSA–2019–0223 at the private, and that is relevant or beginning of your comments. Note that responsive to this notice, it is important Agency Information Collection all comments received will be posted that you clearly designate the submitted Activities; Submission for OMB without change to https:// comments as CBI. Pursuant to 49 CFR Review; Comment Request; Multiple www.regulations.gov, including any 190.343, you may ask PHMSA to give Fiscal Service Information Collection personal information provided. Anyone confidential treatment to information Requests can search the electronic form of all you give to the agency by taking the AGENCY: Departmental Offices, U.S. comments received into any of the following steps: (1) Mark each page of Department of the Treasury. dockets by the name of the individual the original document submission ACTION: Notice. submitting the comment (or signing the containing CBI as ‘‘Confidential’’; (2) comment, if submitted on behalf of an send PHMSA, along with the original SUMMARY: The Department of the association, business, labor union, etc.). document, a second copy of the original Treasury will submit the following Therefore, consider reviewing DOT’s document with the CBI deleted; and (3) information collection requests to the complete Privacy Act Statement in the Office of Management and Budget explain why the information you are Federal Register published on April 11, (OMB) for review and clearance in 2000, (65 FR 19477), or view the Privacy submitting is CBI. Unless you are accordance with the Paperwork Notice at https://www.regulations.gov notified otherwise, PHMSA will treat Reduction Act of 1995, on or after the before submitting comments. such marked submissions as date of publication of this notice. The Docket: For docket access or to read confidential under the Freedom of public is invited to submit comments on background documents or comments, go Information Act, and they will not be these requests. to https://www.regulations.gov at any placed in the public docket of this DATES: Comments should be received on time or to Room W12–140 on the notice. Submissions containing CBI or before March 2, 2020 to be assured ground level of the DOT West Building, should be sent to Robert Smith at DOT, of consideration. 1200 New Jersey Avenue SE, PHMSA, PHP–80, 1200 New Jersey ADDRESSES: Send comments regarding Washington, DC, between 9:00 a.m. and Avenue SE, Washington, DC 20590– the burden estimate, or any other aspect 5:00 p.m., Monday through Friday, 0001. Any commentary PHMSA of the information collection, including except Federal holidays. receives that is not specifically suggestions for reducing the burden, to If you wish to receive confirmation of designated as CBI will be placed in the (1) Office of Information and Regulatory receipt of your written comments, public docket for this matter. Affairs, Office of Management and please include a self-addressed, The Pipeline R&D Forum allows the Budget, Attention: Desk Officer for stamped postcard with the following public, government, and industry Treasury, New Executive Office statement: ‘‘Comments on PHMSA– pipeline stakeholders to develop Building, Room 10235, Washington, DC 2019–0223.’’ The docket clerk will date _ recommendations on the technical gaps 20503, or email at OIRA Submission@ stamp the postcard prior to returning it OMB.EOP.gov and (2) Treasury PRA and challenges for future pipeline safety to you via the U.S. Mail. Clearance Officer, 1750 Pennsylvania research. It also reduces duplication of FOR FURTHER INFORMATION CONTACT: Ave. NW, Suite 8100, Washington, DC research programs, shares ongoing Robert Smith, Office of Pipeline Safety, 20220, or email at [email protected]. research efforts, leverages resources, and Engineering and Research Division, FOR FURTHER INFORMATION CONTACT: Pipeline and Hazardous Materials Safety broadens synergies. The national Copies of the submissions may be Administration, U.S. Department of research agenda that will be developed obtained from Spencer W. Clark by Transportation, at 919–238–4759 or through this forum will help PHMSA emailing [email protected], calling [email protected]. align its research program with the (202) 927–5331, or viewing the entire needs of its pipeline safety mission and SUPPLEMENTARY INFORMATION: information collection request at make use of the best available www.reginfo.gov. Privacy Act Statement knowledge and expertise, as well as SUPPLEMENTARY INFORMATION: In accordance with 5 U.S.C. 553(c), consider stakeholder perspectives. The DOT solicits comments from the public Pipeline R&D Forum will also provide Bureau of the Fiscal Service (BFS) regarding certain general notices. DOT an opportunity to discuss the potential 1. Title: Release posts these comments, without edit, need for establishing an integrated OMB Control Number: 1530–0053. safety research, development, and including any personal information the Type of Review: Extension without commenter provides, to testing facility at the Transportation change of a currently approved www.regulations.gov, as described in Technology Center located in Pueblo, collection. the system of records notice (DOT/ALL– Colorado. This would create a world- Description: It may be necessary for a 14 FDMS), which can be reviewed at class national pipeline safety research registered owner/co-owner of savings www.dot.gov/privacy. facility used to accelerate innovation bonds or a TreasuryDirect account Confidential Business Information and bring new safety technologies to holder to waive a claim as the result of market more quickly than is currently an unauthorized payment to person(s) Confidential Business Information possible. not entitled and then release the (CBI) is commercial or financial Issued in Washington, DC, on January 24, Government of any liability. information that is both customarily and Form: FS Form 2001. actually treated as private by its owner. 2020, under authority delegated in 49 CFR 1.97. Affected Public: Individuals and Under the Freedom of Information Act households. (FOIA) (5 U.S.C. 552), CBI is exempt Drue Pearce, Estimated Number of Respondents: from public disclosure. If your Deputy Administrator. 25. comments responsive to this notice [FR Doc. 2020–01631 Filed 1–29–20; 8:45 am] Frequency of Response: On occasion. contain commercial or financial BILLING CODE 4910–60–P Estimated Total Number of Annual information that is customarily treated Responses: 25.
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Estimated Time per Response: 6 Budget, Attention: Desk Officer for to Manufacturing Bonded Warehouse, minutes. Treasury, New Executive Office Class Six. Estimated Total Annual Burden Building, Room 10235, Washington, DC OMB Control Number: 1513–0031. Hours: 3. 20503, or email at OIRA_Submission@ Type of Review: Extension without OMB.EOP.gov and (2) Treasury PRA change of a currently approved 2. Title: CMIA Annual Report and Clearance Officer, 1750 Pennsylvania collection. Interest Calculation Cost Claims Ave. NW, Suite 8100, Washington, DC Description: The Internal Revenue OMB Control Number: 1530–0066. 20220, or email at [email protected]. Code (IRC) at 26 U.S.C. 5214(a)(6) and Type of Review: Revision of a FOR FURTHER INFORMATION CONTACT: 5362(c)(4) authorizes the transfer currently approved collection. Copies of the submissions may be without payment of Federal excise tax Description: Public Law 101–453 obtained from Spencer W. Clark by of, respectively, distilled spirits and requires that States and Territories must emailing [email protected], calling wine from a bonded premises to certain report interest liabilities for major (202) 927–5331, or viewing the entire customs bonded warehouses for Federal assistance programs annually. information collection request at subsequent exportation. However, to States and Territories may report www.reginfo.gov. protect the revenue, the customs laws at interest calculation cost claims for 19 U.S.C. 1311 requires bonds for such compensation of administrative costs. SUPPLEMENTARY INFORMATION: transfers of non-taxpaid goods. To Form: None. Alcohol and Tobacco Tax and Trade provide proprietors of manufacturing Affected Public: State, local and tribal Bureau (TTB) bonded warehouses with operational governments. flexibility based on individual need, the Estimated Number of Respondents: 1. Title: Drawback on Wines Exported. Alcohol and Tobacco Tax and Trade 56. OMB Control Number: 1513–0016. Bureau (TTB) alcohol export regulations Frequency of Response: Annually. Type of Review: Extension without in 27 CFR part 28 allow the filing of Estimated Total Number of Annual change of a currently approved either a specific transportation bond Responses: 56. collection. using form TTB F 5100.12 to cover a Description: In general, the Internal Estimated Time per Response: 393 single shipment from a bonded premises Revenue Code (IRC) at 26 U.S.C. 5041 hours and 30 minutes. to a manufacturing bonded warehouse, imposes Federal excise tax on wine Estimated Total Annual Burden or a continuing transportation bond produced or imported into the United Hours: 22,036. using form TTB F 5110.67 to cover States, while section 5362(c) allows Authority: 44 U.S.C. 3501 et seq. multiple shipments. domestic wine to be exported, Form: TTB F 5100.12, TTB F 5110.67. Dated: January 27, 2020. transferred to a foreign trade zone, or Affected Public: Businesses or other Spencer W. Clark, used on certain vessels and aircraft for-profits. Treasury PRA Clearance Officer. without payment of that tax. In the case Estimated Number of Respondents: [FR Doc. 2020–01731 Filed 1–29–20; 8:45 am] of taxpaid domestic wine that is 50. BILLING CODE 4810–AS–P subsequently exported, the IRC at 26 Frequency of Response: On occasion. U.S.C. 5062(b) provides that exporters of Estimated Total Number of Annual such wine may claim ‘‘drawback’’ Responses: 50. DEPARTMENT OF THE TREASURY (refund) of the Federal excise tax paid Estimated Time per Response: 1 hour. or determined on the exported wine. Estimated Total Annual Burden Agency Information Collection Under the Alcohol and Tobacco Tax and Hours: 50. Activities; Submission for OMB Trade Bureau (TTB) regulations in 27 3. Title: Letterhead Applications and Review; Comment Request; Multiple CFR part 28, Exportation of Alcohol, Notices Relating to Denatured Spirits. Tax and Trade Bureau Information exporters of taxpaid domestic wine use OMB Control Number: 1513–0061. Collection Requests form TTB F 5120.24 to document the Type of Review: Revision of a wine’s exportation and to submit currently approved collection. AGENCY: Departmental Offices, U.S. drawback claims for the Federal excise Description: Under the Internal Department of the Treasury. taxes paid on the exported wine. TTB Revenue Code (IRC) at 26 U.S.C. 5214, ACTION: Notice. uses the provided information to denatured spirits (alcohol to which determine if the exported wine is denaturants have been added to render SUMMARY: The Department of the eligible for drawback and to verify the it unfit for beverage purposes) may be Treasury will submit the following amount of drawback claimed by the withdrawn from distilled spirits plants information collection requests to the exporter. This information collection is free of tax for nonbeverage industrial Office of Management and Budget necessary to protect the revenue. purposes in the manufacture of certain (OMB) for review and clearance in Form: TTB F 5120.25. personal and household products. Since accordance with the Paperwork Affected Public: Businesses or other it is possible to recover potable alcohol Reduction Act of 1995, on or after the for-profits. from denatured spirits and articles made date of publication of this notice. The Estimated Number of Respondents: with denatured spirits, the IRC at 26 public is invited to submit comments on 40. U.S.C. 5271–5275 sets forth provisions these requests. Frequency of Response: On occasion. relating to denatured spirits and articles DATES: Comments should be received on Estimated Total Number of Annual made with denatured spirits. Under or before March 2, 2020 to be assured Responses: 160. those IRC authorities, the Alcohol and of consideration. Estimated Time per Response: 67 Tobacco Tax and Trade Bureau (TTB) ADDRESSES: Send comments regarding minutes. regulations in 27 CFR part 20 require the burden estimate, or any other aspect Estimated Total Annual Burden specially denatured spirits (SDS) dealers of the information collection, including Hours: 179 hours. and manufacturers of nonbeverage suggestions for reducing the burden, to 2. Title: Specific and Continuing products made with denatured alcohol (1) Office of Information and Regulatory Transportation Bonds—Distilled Spirits to apply for and obtain a permit. In Affairs, Office of Management and or Wines Withdrawn for Transportation addition, the part 20 regulations that
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concern this information collection Form: TTB F 5013.2. ACTION: Notice. require such permit holders to submit Affected Public: Businesses or other letterhead applications and notices to for-profits. SUMMARY: The Department of the TTB regarding certain changes to permit Estimated Number of Respondents: Treasury will submit the following information, use of alternate methods 3,000. information collection requests to the and emergency variations from Frequency of Response: Once, On Office of Management and Budget requirements, adoption or use of certain occasion. (OMB) for review and clearance in formulas, discontinuance of business, Estimated Total Number of Annual accordance with the Paperwork losses in transit, and requests to waive Responses: 3,000. Reduction Act of 1995, on or after the certain sample shipment and invoice Estimated Time per Response: 18 date of publication of this notice. The requirements. The information collected minutes. public is invited to submit comments on implements the IRC’s statutory Estimated Total Annual Burden these requests. provisions regarding denatured spirits. Hours: 900. DATES: Comments should be received on Form: None. 5. Title: Customer Satisfaction or before March 2, 2020 to be assured Affected Public: Businesses or other Surveys for Permit Applications, of consideration. for-profits; State, local and tribal Permits Online (PONL), Formulas ADDRESSES: Send comments regarding governments. Online (FONL), and COLAs Online. the burden estimate, or any other aspect Estimated Number of Respondents: OMB Control Number: 1513–0124. of the information collection, including 3,800. Type of Review: Extension without suggestions for reducing the burden, to Frequency of Response: On occasion. change of a currently approved (1) Office of Information and Regulatory Estimated Total Number of Annual collection. Affairs, Office of Management and Responses: 3,800. Description: As part of the Alcohol Budget, Attention: Desk Officer for Estimated Time per Response: 30 and Tobacco Tax and Trade Bureau’s Treasury, New Executive Office minutes. (TTB’s) efforts to improve customer Building, Room 10235, Washington, DC Estimated Total Annual Burden service, we survey customers who 20503, or email at OIRA_Submission@ Hours: 1,900. 4. Title: COLAs Online Access submit applications for original or OMB.EOP.gov and (2) Treasury PRA Request. amended alcohol or tobacco permits, or Clearance Officer, 1750 Pennsylvania OMB Control Number: 1513–0111. for approval of alcohol beverage Ave. NW, Suite 8100, Washington, DC Type of Review: Extension without formulas or certificates of label approval 20220, or email at [email protected]. change of a currently approved (COLAs). These surveys assist TTB in FOR FURTHER INFORMATION CONTACT: collection. identifying potential customer needs Copies of the submissions may be Description: To provide consumers and problems, along with opportunities obtained from Spencer W. Clark by with adequate information as to the for improvement in our applications emailing [email protected], calling identity of alcohol beverages and processes, with particular focus on (202) 927–5331, or viewing the entire prohibit consumer deception, the customer experiences with TTB’s information collection request at Federal Alcohol Administration Act various electronic application systems, www.reginfo.gov. Permits Online (PONL), Formulas (FAA Act) at 26 U.S.C. 205, and the SUPPLEMENTARY INFORMATION: Alcohol and Tobacco Tax and Trade Online (FONL), and COLAs Online. Bureau (TTB) regulations in 27 CFR Form: None. Departmental Offices (DO) parts 4, 5, and 7 that implement that Affected Public: Businesses or other Title: Treasury International Capital section, require alcohol beverage for-profits. (TIC) Forms BC, BL–1, BL–2, BQ–1, BQ– bottlers and importers to apply for Estimated Number of Respondents: 2, and BQ–3. Certificates of Label Approval (COLAs) 20,000. OMB Control Number: 1505–0016. for such products introduced into Frequency of Response: Once. Type of Review: Revision of a interstate commerce or released from Estimated Total Number of Annual currently approved collection. customs custody. Domestic bottlers also Responses: 20,000. Description: These Treasury must apply for COLA exemptions for Estimated Time per Response: 12 International Capital (TIC) B forms are certain alcohol beverage products that minutes. required by law and are designed to will not be introduced into interstate or Estimated Total Annual Burden collect timely and readily available foreign commerce. Respondents may Hours: 4,000. information on cross-border claims and complete and submit COLA and COLA Authority: 44 U.S.C. 3501 et seq. liabilities of U.S. banks, other financial exemption applications electronically Dated: January 27, 2020. institutions, and their domestic using TTB’s COLAs Online system. To Spencer W. Clark, customers. These reports are required by protect TTB computer systems from E.O. Number 10033 of February 8, 1949 Treasury PRA Clearance Officer. cyber threats and misuse, persons and implementing Treasury Regulations desiring to use the COLAs Online [FR Doc. 2020–01716 Filed 1–29–20; 8:45 am] (31 CFR 128), the International system must first submit receive TTB BILLING CODE 4810–31–P Investment and Trade in Services approval of a COLAs Online Access Survey Act (22. U.S.C. 3103), and the Request. The collected information Bretton Woods Agreements Act (Sec. DEPARTMENT OF THE TREASURY identifies the applicant and confirms 8(a) 59 Stat. 515; 22 U.S.C. 286f). their authority to act on behalf of a Agency Information Collection The TIC B forms comprise the specific alcohol beverage industry Activities; Submission for OMB following six forms: member. Applicants submit COLAs Review; Comment Request; Treasury (1) Form BC (monthly), ‘‘Report of Online Access Requests electronically International Capital (TIC) Forms BC, U.S. Dollar Claims of Financial using the COLAs Online User BL–1, BL–2, BQ–1, BQ–2, and BQ–3 Institutions on Foreign Residents’’, is Registration function or its paper filed by banks, other depository equivalent, TTB F 5013.2, COLAs AGENCY: Departmental Offices, U.S. institutions, bank holding companies, Online Access Request. Department of the Treasury. financial holding companies, securities
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brokers and dealers, and all other (4) Form BQ–1 (quarterly), ‘‘Report of liabilities and claims (exclusive of long- financial institutions in the United Customers’ U.S. Dollar Claims on term securities) of their domestic States to report their own portfolio Foreign Residents’’, is filed by banks, customers, denominated in foreign claims (exclusive of long-term other depository institutions, bank currencies. securities) on foreign residents. holding companies, financial holding (6) Form BQ–3 (quarterly), ‘‘Report of (2) Form BL–1 (monthly), ‘‘Report of companies, securities brokers and Maturities of Selected Liabilities and U.S. Dollar Liabilities of Financial dealers, and all other financial Claims of Financial Institutions with Institutions to Foreign Residents’’, is institutions in the United States to Foreign Residents’’, is filed by banks, filed by banks, other depository report their own and their domestic other depository institutions, bank institutions, bank holding companies, customers’ portfolio claims (exclusive of holding companies, financial holding financial holding companies, securities long-term securities) on foreign companies, brokers and dealers, and all brokers and dealers, and all other residents. other financial institutions in the United financial institutions in the United (5) BQ–2 (quarterly), ‘‘Part 1—Report States to report the maturities of States to report their own portfolio of Foreign Currency Liabilities and selected liabilities and claims with liabilities (exclusive of long-term Claims of Financial Institutions and of foreign residents denominated in U.S. securities) to foreign residents. their Domestic Customers’ Foreign dollars or in foreign currencies. (3) Form BL–2 (monthly), ‘‘Report of Currency Claims with Foreign These forms have previously been Customers’ U.S. Dollar Liabilities to Residents; Part 2—Report of Customers’ cleared individually under OMB Foreign Residents’’, is filed by banks, Foreign Currency Liabilities to Foreign Control Numbers 1505–0017, 1505– other depository institutions, bank Residents’’, is filed by banks, other 0018, 1505–0019, 1505–0020 and 1505– holding companies, financial holding depository institutions, bank holding 0189. With this submission, all TIC B companies, securities brokers and companies, financial holding forms will now be consolidated under dealers, and all other financial companies, securities brokers and OMB Control Number 1505–0016. institutions in the United States to dealers, and all other financial Form: BC, BL–1, BL–2, BQ–1, BQ–2, report the U.S. dollar liabilities institutions in the United States to and BQ–3. (exclusive of long-term securities) of report their own liabilities and claims Affected Public: Businesses or other their domestic customers. (exclusive of long-term securities), and for-profits.
ESTIMATED BURDEN
Number Form Number responses per Total annual Hours per Total burden respondents respondent responses response (hours)
BC ...... 350 12 4,200 11.16 46,863 BL–1 ...... 352 12 4,224 7.75 32,746 BL–2 ...... 100 12 1,200 8.99 10,789 BQ–1 ...... 80 4 320 3.92 1,254 BQ–2 ...... 193 4 772 7.83 6,044 BQ–3 ...... 143 4 572 10.50 6,006
Total ...... 1,218 4–12 11,288 9.19 103,702
Authority: 44 U.S.C. 3501 et seq. Reduction Act of 1995, on or after the (202) 927–5331, or viewing the entire Dated: January 24, 2020. date of publication of this notice. The information collection request at Spencer W. Clark, public is invited to submit comments on www.reginfo.gov. Treasury PRA Clearance Officer. these requests. SUPPLEMENTARY INFORMATION: DATES: Comments should be received on [FR Doc. 2020–01600 Filed 1–29–20; 8:45 am] Internal Revenue Service (IRS) BILLING CODE 4810–25–P or before March 2, 2020 to be assured of consideration. 1. Title: Request for Determination of ADDRESSES: Send comments regarding Worker Status for Purposes of Federal DEPARTMENT OF THE TREASURY the burden estimate, or any other aspect Employment Taxes and Income Tax of the information collection, including Withholding. Agency Information Collection suggestions for reducing the burden, to OMB Control Number: 1545–0004. Activities; Submission for OMB (1) Office of Information and Regulatory Type of Review: Extension without Review; Comment Request; Multiple Affairs, Office of Management and change of a currently approved Internal Revenue Service Information Budget, Attention: Desk Officer for collection. Description: Firms and workers file Collection Requests Treasury, New Executive Office Form SS–8 or SS–8(PR) to request a Building, Room 10235, Washington, DC AGENCY: Departmental Offices, U.S. determination of the status of a worker 20503, or email at OIRA_Submission@ Department of the Treasury. under the common law rules for OMB.EOP.gov and (2) Treasury PRA ACTION: Notice. purposes of federal employment taxes Clearance Officer, 1750 Pennsylvania and income tax withholding. SUMMARY: The Department of the Ave. NW, Suite 8100, Washington, DC Form: SS–8, SS–8(PR). Treasury will submit the following 20220, or email at [email protected]. Affected Public: Businesses or other information collection requests to the FOR FURTHER INFORMATION CONTACT: for-profits. Office of Management and Budget Copies of the submissions may be Estimated Number of Respondents: (OMB) for review and clearance in obtained from Spencer W. Clark by 4,705. accordance with the Paperwork emailing [email protected], calling Frequency of Response: On occasion.
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Estimated Total Number of Annual 3. Title: Application for Extension of Type of Review: Extension without Responses: 4,705. Time to File Certain Employee Plan change of a currently approved Estimated Time per Response: 31 Returns. collection. hours and 35 minutes. OMB Control Number: 1545–0212. Description: Form 6478 is used to Estimated Total Annual Burden Type of Review: Extension without figure your section 40 biofuel producer Hours: 143,816. change of a currently approved credit. Taxpayers may claim the credit 2. Title: Form 1099–OID—Original collection. for the tax year in which the sale or use Issue Discount. Description: This form is used by occurs. This credit consists of the OMB Control Number: 1545–0117. employers to request an extension of second generation biofuel producer Type of Review: Revision of a time to file the employee plan annual credit. currently approved collection. information return/report (Form 5500 Form: 6478. Description: Form 1099–OID is used series) or employee plan excise tax Affected Public: Businesses or other for reporting original issue discount as return (Form 5330). The data supplied for-profits. required by section 6049 of the Internal on Form 5558 is used to determine if Estimated Number of Respondents: Revenue Code. It is used to verify that such extension of time is warranted. 3,300. Form: Form 5558. income earned on discount obligations Frequency of Response: Annually. Affected Public: Businesses or other is properly reported by the recipient. for-profits. Estimated Total Number of Annual Form: 1099–OID. Estimated Number of Respondents: Responses: 3,300. Affected Public: Businesses or other 517,793. Estimated Time per Response: 4 for-profits. Frequency of Response: On occasion. hours. Estimated Number of Respondents: Estimated Total Number of Annual Estimated Total Annual Burden 9,185. Responses: 517,793. Hours: 13,233. Frequency of Response: On occasion. Estimated Time per Response: 11 Authority: 44 U.S.C. 3501 et seq. Estimated Total Number of Annual minutes. Dated: January 27, 2020. Responses: 5,950,000. Estimated Total Annual Burden Estimated Time per Response: 14 Hours: 616,174. Spencer W. Clark, minutes. 4. Title: Biofuel Producer Credit Treasury PRA Clearance Officer. Estimated Total Annual Burden (Form 6478). [FR Doc. 2020–01754 Filed 1–29–20; 8:45 am] Hours: 1,369,529. OMB Control Number: 1545–0231. BILLING CODE 4830–01–P
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Reader Aids Federal Register Vol. 85, No. 20 Thursday, January 30, 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. 106...... 4243 Presidential Documents 2 CFR 204...... 4243 Proposed Rules: Executive orders and proclamations 741–6000 211...... 4243 25...... 3766 The United States Government Manual 741–6000 212...... 4243 170...... 3766 214...... 4243 Other Services 183...... 3766 216...... 4243 200...... 3766 Electronic and on-line services (voice) 741–6020 223...... 4243 3474...... 3190 Privacy Act Compilation 741–6050 235...... 4243 3 CFR 236...... 4243 240...... 4243 ELECTRONIC RESEARCH Proclamations: 9975...... 633 244...... 4243 World Wide Web 9976...... 3537 245...... 4243 9977...... 3811 245a...... 4243 Full text of the daily Federal Register, CFR and other publications 248...... 4243 is located at: www.govinfo.gov. 9978...... 4189 9979...... 5125 264...... 4243 Federal Register information and research tools, including Public 9980...... 5281 274a...... 4243 Inspection List and electronic text are located at: 9981...... 5295 301...... 4243 www.federalregister.gov. 9982...... 5297 319...... 4243 320...... 4243 Executive Orders: E-mail 322...... 4243 13902...... 2003 FEDREGTOC (Daily Federal Register Table of Contents Electronic 324...... 4243 Mailing List) is an open e-mail service that provides subscribers 5 CFR 334...... 4243 with a digital form of the Federal Register Table of Contents. The 532...... 419, 637 341...... 4243 digital form of the Federal Register Table of Contents includes 2634...... 2279 343a...... 4243 HTML and PDF links to the full text of each document. 2636...... 2279 343b...... 4243 392...... 4243 To join or leave, go to https://public.govdelivery.com/accounts/ Proposed Rules: USGPOOFR/subscriber/new, enter your email address, then 831...... 467 9 CFR 842...... 467 follow the instructions to join, leave, or manage your 71...... 4192 1600...... 3857 subscription. 75...... 4192 1605...... 3857 80...... 4192 PENS (Public Law Electronic Notification Service) is an e-mail 2424...... 4913 93...... 4192 service that notifies subscribers of recently enacted laws. 2427...... 3858 To subscribe, go to http://listserv.gsa.gov/archives/publaws-l.html Proposed Rules: 6 CFR and select Join or leave the list (or change settings); then follow 201...... 1771 the instructions. Proposed Rules: 10 CFR 19...... 2889 FEDREGTOC and PENS are mailing lists only. We cannot 2...... 2281 respond to specific inquiries. 7 CFR 13...... 2281 Reference questions. Send questions and comments about the 97...... 422 70...... 3229 Federal Register system to: [email protected] 354...... 2621 71...... 3229 72...... 1096, 3229 The Federal Register staff cannot interpret specific documents or 868...... 5299 205...... 3229 regulations. 922...... 638 1260...... 825, 4191 207...... 827 1468...... 558, 4191 218...... 827 FEDERAL REGISTER PAGES AND DATE, JANUARY 1484...... 1083 429 ...... 827, 1378, 1504 1485...... 1731 430...... 1378, 3232 1–206...... 2 4569–4902...... 27 Proposed Rules: 431 ...... 827, 1378, 1504, 1592 207–418...... 3 4903–5128...... 28 16...... 2897 490...... 827 419–636...... 6 5129–5298...... 29 51...... 4913 501...... 827 637–824...... 7 5299–5554...... 30 66...... 3860 601...... 827 825–1082...... 8 201...... 4603 820...... 827 1083–1266...... 9 202...... 4603 824...... 827 1267–1730...... 10 210...... 4064, 4094 851...... 827 1731–2002...... 13 215...... 4064, 4094 1013...... 827 2003–2278...... 14 220...... 4064, 4094 1017...... 827 1050...... 827 2279–2620...... 15 225...... 4064 226...... 4064, 4094 Proposed Rules: 2621–2866...... 16 235...... 4094 50...... 852 2867–3228...... 17 984...... 3551 72...... 1129, 3860 3229–3538...... 21 3539–3810...... 22 8 CFR 12 CFR 3811–4188...... 23 Proposed Rules: 3...... 4362, 4569 4189–4568...... 24 103...... 4243 32...... 4362
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217...... 4362, 4569 3299, 3301, 4244, 4245, 1308 .....643, 4211, 4215, 4217, 57...... 2022 263...... 2007 5176, 5342, 5343, 5346, 5321 100...... 2292 303...... 3232 5348, 5349, 5350, 5352, 1310...... 4584 Proposed Rules: 324 ...... 4362, 4569, 5303 5354 Proposed Rules: 56...... 2064 326...... 3232 382...... 27 1308...... 5356 57...... 2064 327...... 4362 337...... 3232 15 CFR 22 CFR 31 CFR 353...... 3232 6...... 207 35...... 2020 148...... 1 390 ...... 3232, 3247, 3250 90...... 1100 41...... 4219 800...... 3112 747...... 2009 732...... 4136 103...... 2020 801...... 3112 Ch. X...... 4579 734...... 4136 121...... 3819 802...... 3158 1083...... 2012 736...... 4136 123...... 3819 1209...... 4903 740...... 4136 124...... 3819 31 CFR 1217...... 4903 742...... 4136 126...... 3819 Proposed Rules: 1250...... 4903 743...... 4136 127...... 2020 210...... 265 1411...... 2283 744...... 4136 129...... 3819 Proposed Rules: 746...... 4136 138...... 2020 33 CFR 3...... 1052 748...... 4136 Proposed Rules: 100 ...... 1103, 2027, 5129 4...... 1052 758...... 4136 205...... 2916 117 ...... 3852, 3853, 4587 11...... 1052 762...... 4136 165 .....210, 212, 214, 216, 218, 16...... 1052 772...... 4136 23 CFR 222, 2031, 2305, 2307, 19...... 1052 774...... 459, 4136 Proposed Rules: 2309, 2643, 4907, 4910, 23...... 1052 902...... 4905 650...... 1793 5129, 5131, 5134 25...... 1204, 1285 Proposed Rules: 26...... 1052 16 CFR 24 CFR 100...... 2069, 5177 32...... 1052 1...... 2014 51...... 4225 110...... 4919 108...... 1052 Proposed Rules: 165...... 271, 4619 112...... 1052 Proposed Rules: 1112...... 4918 167...... 1793 141...... 1052 5...... 2041 1130...... 4918 91...... 2041 160...... 1052 1236...... 4918 34 CFR 161...... 1052 92...... 2041 100...... 2354 36...... 2033 163...... 1052 17 CFR 192...... 1052 570...... 2041 Ch. I ...... 3257 1...... 4800 195...... 1204 574...... 2041 668...... 2033 39...... 4800 303...... 4614 576...... 2041 Proposed Rules: 140...... 4800 308...... 4614 903...... 2041 75...... 3190 143...... 1747 345...... 1204 905...... 2041 76...... 3190 Proposed Rules: 106...... 3190 614...... 3867 25 CFR 620...... 647 23...... 951 Ch. II ...... 853 708a...... 5336 210...... 2332 11...... 645 606...... 3190 741...... 5336 230...... 2574 Proposed Rules: 607...... 3190 239...... 4446 82...... 37 608...... 3190 13 CFR 240 ...... 2522, 2574, 4446 609...... 3190 249...... 4446 26 CFR 126...... 5304 36 CFR Proposed Rules: 249b...... 2522 1 ...... 192, 1866, 3833, 5323 120...... 1783 270...... 4446 31...... 5323 216...... 2864 274...... 4446 Proposed Rules: 121...... 1289 37 CFR 124...... 1289, 3273 275...... 4446 1...... 2061, 2676 125...... 1289, 3273 201...... 3854 18 CFR 28 CFR 126...... 1289 390...... 831 127...... 1289 250...... 2016 Proposed Rules: Proposed Rules: 129...... 3273 381...... 1102 38...... 2921 5...... 5362 134...... 1289 385...... 2016 Ch. II ...... 3302 Proposed Rules: 29 CFR Ch. III ...... 5182 14 CFR 35...... 265 500...... 2292 11...... 1747, 3254 501...... 2292 38 CFR 25...... 640 20 CFR 503...... 2292 Proposed Rules: 39 ...... 433, 436, 439, 443, 449, 651...... 592 530...... 2292 50...... 2938 451, 453, 457, 2284, 2624, 652...... 592 570...... 2292 61...... 2938 2627, 2867, 3254, 4196, 653...... 592 578...... 2292 62...... 2938 4199, 4201, 5304, 5308, 655...... 2292 579...... 2292 5310, 5313 658...... 592 791...... 2820 39 CFR 71 ...... 1267, 1268, 2289, 2291, 702...... 2292 801...... 2292 20...... 462, 1103 3256, 3539, 3813, 3814, 725...... 2292 825...... 2292 111...... 1750 3817, 5316, 5318, 5320 726...... 2292 1903...... 2292 233...... 2036 95...... 2629 2560...... 2292 Proposed Rules: 97 ...... 2640, 2642, 4580, 4582 21 CFR 2575...... 2292 111...... 856 300...... 1747, 3254 510...... 4204 2590...... 2292 302...... 1747, 3254 520...... 4204, 4210 4022...... 2303 40 CFR Proposed Rules: 522...... 4204, 4210 4071...... 2304 9...... 1104 39 ...23, 469, 1290, 1292, 1295, 524...... 4204 4302...... 2304 19...... 1751 2906, 2909, 2911, 2914, 529...... 4204, 4210 Proposed Rules: 52 ...3, 2311, 2313, 2646, 2648, 3279, 3284, 3553, 3871, 556...... 4204 2...... 2929 4229, 4231, 4233, 5327 4614, 4616, 4916, 5173 558...... 4204 58...... 834 71 ...... 2327, 2328, 2330, 3286, 890...... 2018 30 CFR 62 ...... 1119, 1121, 1124, 2316 3288, 3290, 3292, 3295, 892 ...... 3540, 3543, 3545 56...... 2022 180...... 2654
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257...... 1269 419...... 224 20...... 837 192...... 5168 271...... 2038 422...... 7 27...... 1284 195...... 5168 282...... 1277 423...... 7 43...... 837 211...... 1747, 3254 721...... 1104 424...... 8 54 ...... 230, 838, 1761 243...... 10 Proposed Rules: 425...... 8 64...... 462, 1125 389...... 1747, 3254 49...... 3492 460...... 7 73...... 5147, 5163 553...... 1747, 3254 52 ...... 54, 59, 274, 1131, 1794, 483...... 7 Proposed Rules: 601...... 1747, 3254 1796, 2949, 3304, 3556, 488...... 7 Ch. I ...... 1798 831...... 2319 3558, 3874, 4248, 4921, 486...... 224 2...... 3579 1022...... 838 4928 489...... 8 9...... 2683 60...... 2234 493...... 7 16...... 2078 Proposed Rules: 62...... 2359 498...... 8 51...... 472 218...... 2494 221...... 2494 63...... 2234 Proposed Rules: 52...... 2359 232...... 2494 86...... 3306 Ch. IV...... 3330 54 ...... 61, 277, 5366 266...... 2234 64...... 1134 565...... 792 282...... 1297 43 CFR 73...... 649, 4932 566...... 792 300...... 4249 2...... 1282 76...... 656, 4932 567...... 792 721...... 2676 90...... 3579 586...... 792 1036...... 3306 44 CFR 97...... 3579 1500...... 1684 64...... 3548 48 CFR 50 CFR 1501...... 1684 206...... 2038 1502...... 1684 Ch. 1...... 2616, 2619 17...... 164 1503...... 1684 45 CFR 22...... 2616 218...... 1770 1504...... 1684 25...... 2616 300...... 840, 2039 102...... 2869 1505...... 1684 52...... 2616 600...... 250, 840 155...... 2888 1506...... 1684 552...... 1127 156...... 2888 622...... 4588, 5169 1507...... 1684 6101...... 5334 162...... 4236 635...... 14, 17 1508...... 1684 6103...... 5334 1149...... 1757 648 ...... 2320, 3855, 4595 6104...... 5334 679 ...19, 840, 850, 2326, 2888, 41 CFR 1158...... 1757 6105...... 5334 1302...... 5332 3856, 4601, 4602, 4905, 105–60...... 5137 Proposed Rules: 5170 Proposed Rules: 227...... 2101 Proposed Rules: 42 CFR 87...... 2974 239...... 2101 17 ...... 487, 862, 1018, 3586, 81...... 5330 147...... 276 252...... 2101 5072 402...... 7 158...... 276 1812...... 663 403...... 7, 8 1050...... 2974 1831...... 663 21...... 3601 405...... 224 2522...... 859 1846...... 663 91...... 5182 409...... 8 2540...... 859 1852...... 663 216...... 4250 410...... 8, 224 217...... 2369, 2988 411...... 7, 8 46 CFR 49 CFR 222...... 3880 412...... 7, 224 506...... 1760 1...... 1747, 3254 300...... 4250 414...... 8, 224 5...... 1747, 3254 600...... 4257 415...... 8 47 CFR 7...... 1747, 3254 622...... 3885 416...... 8, 224 1 ...... 837, 2318, 5147 106...... 1747, 3254 648 ...... 285, 4932, 5186 418...... 8 9...... 2660 191...... 5168 665...... 3889
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The text of laws is not H.R. 5430/P.L. 116–113 enacted public laws. To published in the Federal United States-Mexico-Canada subscribe, go to https:// LIST OF PUBLIC LAWS Register but may be ordered Agreement Implementation Act listserv.gsa.gov/cgi-bin/ in ‘‘slip law’’ (individual (Jan. 29, 2020; 134 Stat. 11) wa.exe?SUBED1=PUBLAWS- pamphlet) form from the Last List January 29, 2020 L&A=1 This is a continuing list of Superintendent of Documents, public bills from the current U.S. Government Publishing Note: This service is strictly session of Congress which Office, Washington, DC 20402 Public Laws Electronic for email notification of new have become Federal laws. (phone, 202–512–1808). The Notification Service laws. The text of laws is not This list is also available text will also be made (PENS) available through this service. online at https:// available at https:// PENS cannot respond to www.archives.gov/federal- www.govinfo.gov. Some laws PENS is a free email specific inquiries sent to this register/laws. may not yet be available. notification service of newly address.
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