Vol. 84 Friday, No. 226 November 22, 2019

Pages 64411–64702

OFFICE OF THE FEDERAL REGISTER

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Contents Federal Register Vol. 84, No. 226

Friday, November 22, 2019

Agency for Healthcare Research and Quality Defense Department NOTICES RULES Supplemental Evidence and Data Request on Management Federal Acquisition Regulation: of Primary Headache during Pregnancy, 64523–64527 Federal Acquisition Circular 2020–02; Introduction, 64680 Agriculture Department Federal Acquisition Circular 2020–02; Small Entity See Animal and Plant Health Inspection Service Compliance Guide, 64696 See Federal Crop Insurance Corporation Reporting of Nonconforming Items to the Government- See Forest Service Industry Data Exchange Program, 64680–64696 See National Agricultural Statistics Service NOTICES Department of Defense Science and Technology Reinvention Laboratory Personnel Demonstration Animal and Plant Health Inspection Service Project in the U.S. Army Research Institute for the RULES Behavioral and Social Sciences, 64469–64495 Swine Health Protection Act; Amendments to Garbage Science and Technology Reinvention Laboratory Personnel Feeding Regulations, 64414–64415 Demonstration Project in the Naval Facilities Engineering Command, Engineering and Expeditionary Bureau of Consumer Financial Protection Warfare Center, 64495–64517 PROPOSED RULES Request for Information: Drug Enforcement Administration Integrated Mortgage Disclosures Under the Real Estate NOTICES Settlement Procedures Act (Regulation X) and the Bulk Manufacturer of Controlled Substances Application: Truth In Lending Act (Regulation Z) Rule Chattem Chemicals, 64564–64565 Assessment, 64436–64441 Patheon API, 64563 S and B Pharma, Inc., 64563–64564 Centers for Disease Control and Prevention Importer of Controlled Substances Application: NOTICES Epic Pharma, LLC, 64562 Charter Renewal: Fresenius Kabi USA, LLC, 64562–64563 Board of Scientific Counselors, Center for Preparedness GE Healthcare, 64563 and Response; (formerly known as the Board of Janssen Pharmaceuticals, Inc., 64562 Scientific Counselors, Office of Public Health Mylan Technologies Inc., 64564 Preparedness and Response, 64527 Board of Scientific Counselors, Deputy Director for Education Department Infectious Diseases; (formerly known as the Board of RULES Scientific Counselors, Office of Infectious Diseases, Title I—Improving the Academic Achievement of the 64527–64528 Disadvantaged; Education of Migratory Children, Board of Scientific Counselors, National Center for Injury 64419–64423 Prevention and Control, 64527 NOTICES Meetings: Agency Information Collection Activities; Proposals, Safety and Occupational Health Study Section, National Submissions, and Approvals: Institute for Occupational Safety and Health, 64528 Agreements between an Eligible School and the Secretary to Participate in the Direct Loan Program, 64517 Coast Guard Presidential Cybersecurity Education Award, 64517– RULES 64518 Drawbridge Operations: River Rouge, Detroit, MI, 64417–64418 Energy Department PROPOSED RULES See Federal Energy Regulatory Commission Safety Zone: NOTICES Explosive Dredging, Tongass Narrows, Ketchikan, AK, Meetings: 64445–64447 Environmental Management Site-Specific Advisory Board, Portsmouth, 64518 Commerce Department See Industry and Security Bureau Environmental Protection Agency See International Trade Administration RULES See National Oceanic and Atmospheric Administration Air Quality State Implementation Plans; Approvals and Promulgations: Committee for Purchase From People Who Are Blind or Arizona; Maricopa County Air Quality Department, Severely Disabled 64426–64427 NOTICES Georgia; Air Plan Approval; Miscellaneous Revisions, Procurement List; Additions and Deletions, 64467–64468 64427–64430

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Approval and Promulgation of State Plans for Designated Food and Drug Administration Facilities and Pollutants; NOTICES West Virginia; Control of Emissions from Existing Agency Information Collection Activities; Proposals, Municipal Solid Waste Landfills, 64430–64432 Submissions, and Approvals: PROPOSED RULES Certification of Identity for Freedom of Information Act Effluent Limitations Guidelines and Standards for the and Privacy Act Requests, 64539–64541 Steam Electric Power Generating Point Source Dear Health Care Provider Letters: Improving Category, 64620–64677 Communication of Important Safety Information, NOTICES 64541–64542 Agency Information Collection Activities; Proposals, General Licensing Provisions, 64529–64531 Submissions, and Approvals: Medical Devices; Shortages Data Collection System, NSPS for Magnetic Tape Coating Facilities, 64521 64535–64536 NSPS for Secondary Brass and Bronze Production, Participation in the Food and Drug Administration Non- Primary Copper Smelters, Primary Zinc Smelters, Employee Fellowship and Traineeship Programs, Primary Lead Smelters, Primary Aluminum 64536–64539 Reduction Plants, and Ferroalloy Production Preparing a Claim of Categorical Exclusion or an Facilities, 64521–64522 Environmental Assessment for Submission to the Environmental Impact Statements; Availability, etc.: Center for Food Safety and Applied Nutrition, Weekly Receipt, 64520–64521 64528–64529 Tracking Network for PETNet, LivestockNet, and Federal Aviation Administration SampleNet, 64533–64535 PROPOSED RULES Guidance: Airworthiness Directives: Product-Specific Guidances, 64531–64533 Airbus SAS Airplanes, 64443–64445 Temporary Permit for Market Testing: International Aero Engines Turbofan Engines, 64441– Ruby Chocolate Deviating from Identity Standard, 64541 64443 NOTICES Foreign Assets Control Office Agency Information Collection Activities; Proposals, RULES Submissions, and Approvals: Venezuela Sanctions Regulations, 64415–64417 Helicopter Air Ambulance, Commercial Helicopter, and Part 91 Helicopter Operations, 64617 Forest Service NOTICES Federal Communications Commission Notice of Intent to Grant Exclusive License, 64453 NOTICES Radio Broadcasting Services; AM or FM Proposals To Change The Community of License, 64523 General Services Administration RULES Federal Acquisition Regulation: Federal Crop Insurance Corporation Federal Acquisition Circular 2020–02; Introduction, RULES 64680 Common Crop Insurance Policy Basic Provisions, 64413– Federal Acquisition Circular 2020–02; Small Entity 64414 Compliance Guide, 64696 Common Crop Insurance Regulations; Rice Crop Insurance Reporting of Nonconforming Items to the Government- Provisions, 64411–64413 Industry Data Exchange Program, 64680–64696

Federal Energy Regulatory Commission Health and Human Services Department NOTICES See Agency for Healthcare Research and Quality Combined Filings, 64518–64520 See Centers for Disease Control and Prevention Filing: See Food and Drug Administration Malandro, Michael E., 64520 See National Institutes of Health RULES Federal Railroad Administration Policy for the Protection of Human Research Subjects, PROPOSED RULES 64432–64433 Training, Qualification, and Oversight for Safety-Related Railroad Employees, 64447–64452 Homeland Security Department See Coast Guard Federal Reserve System NOTICES Housing and Urban Development Department Formations of, Acquisitions by, and Mergers of Bank NOTICES Holding Companies, 64523 Certain Operating Cost Adjustment Factors for 2020, 64553–64554 Fish and Wildlife Service Regulatory Waiver Requests Granted for the Third Quarter NOTICES of Calendar Year 2019, 64545–64549 Agency Information Collection Activities; Proposals, Request for Information: Submissions, and Approvals: White House Council on Eliminating Regulatory Barriers Electronic Federal Duck Stamp Program, 64554–64556 to Affordable Housing, 64549–64553

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Indian Affairs Bureau Labor Department NOTICES See Workers Compensation Programs Office Environmental Impact Statements; Availability, etc.: Osage County Oil and Gas, Osage County, OK, 64556– Land Management Bureau 64557 NOTICES Environmental Impact Statements; Availability, etc.: Industry and Security Bureau San Juan Islands National Monument Proposed Resource NOTICES Management Plan, 64557–64559 Agency Information Collection Activities; Proposals, Submissions, and Approvals: Application for NATO International Bidding, 64454– National Aeronautics and Space Administration 64455 RULES Licensing Responsibilities and Enforcement, 64454 Federal Acquisition Regulation: Federal Acquisition Circular 2020–02; Introduction, Interior Department 64680 See Fish and Wildlife Service Federal Acquisition Circular 2020–02; Small Entity See Indian Affairs Bureau Compliance Guide, 64696 See Land Management Bureau Reporting of Nonconforming Items to the Government- See National Park Service Industry Data Exchange Program, 64680–64696 See Ocean Energy Management Bureau National Agricultural Statistics Service Internal Revenue Service NOTICES RULES Agency Information Collection Activities; Proposals, Reduced 2009 Estimated Income Tax Payments for Submissions, and Approvals, 64453–64454 Individuals with Small Business Income; Correction, 64415 National Credit Union Administration NOTICES International Trade Administration Meetings; Sunshine Act, 64568 NOTICES Antidumping or Countervailing Duty Investigations, Orders, National Institutes of Health or Reviews: Certain Carbon and Alloy Steel Cut-To-Length Plate from NOTICES the Republic of Korea, 64459–64460 Meetings: Certain Circular Welded Carbon Steel Pipes and Tubes Center for Scientific Review, 64543–64544 from Taiwan, 64463–64464 National Center for Advancing Translational Sciences, Certain Frozen Warmwater Shrimp from the Socialist 64543 Republic of Vietnam, 64457–64459 National Eye Institute, 64544 Heavy Walled Rectangular Welded Carbon Steel Pipes National Institute of Allergy and Infectious Diseases, and Tubes from the Republic of Turkey, 64455– 64542, 64544–64545 64457 National Institute of Mental Health, 64542–64545 Oil Country Tubular Goods from India, 64462–64463 National Institute on Aging, 64544 Polyethylene Terephthalate Resin from the Sultanate of Oman, 64460–64462 National Oceanic and Atmospheric Administration RULES International Trade Commission Fisheries of the Exclusive Economic Zone Off Alaska: NOTICES Atka Mackerel in the Bering Sea and Aleutian Islands Meetings; Sunshine Act, 64561–64562 Management Area, 64433–64434 Fisheries of the Exclusive Economic Zone off Alaska: Justice Department Pacific Ocean Perch in the Bering Sea and Aleutian See Drug Enforcement Administration Islands Management Area, 64434–64435 See Justice Programs Office NOTICES NOTICES Agency Information Collection Activities; Proposals, Agency Information Collection Activities; Proposals, Submissions, and Approvals: Submissions, and Approvals, 64566 Analysis of and Participation in Ocean Exploration Video Agency Information Collection Activities; Proposals, Products, 64464–64465 Submissions, and Approvals: Atlantic Highly Migratory Species: Claims of U.S. Nationals Referred to the Commission by Atlantic Shark Management Measures; 2020 Research the Department of State Pursuant to Section Fishery, 64465–64467 4(A)(1)(C) of the International Claims Settlement Act of 1949, 64566 National Park Service Leadership Engagement Survey, 64565–64566 RULES Hot Springs National Park; Bicycling, 64423–64426 Justice Programs Office NOTICES NOTICES Agency Information Collection Activities; Proposals, Meetings: Submissions, and Approvals: Coordinating Council on Juvenile Justice and National Underground Railroad Network to Freedom Delinquency Prevention, 64567 Program, 64559–64560

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Ocean Energy Management Bureau Operation Exemption: NOTICES Wisconsin Central Ltd.; Hallett Dock No. 5 in Duluth, Agency Information Collection Activities; Proposals, MN, 64616 Submissions, and Approvals: Oil Spill Financial Responsibility, 64560–64561 Transportation Department Overseas Private Investment Corporation See Federal Aviation Administration NOTICES See Federal Railroad Administration Meetings; Sunshine Act, 64568 Treasury Department Personnel Management Office See Foreign Assets Control Office NOTICES See Internal Revenue Service Excepted Service, 64568–64572

Postal Regulatory Commission Veterans Affairs Department NOTICES NOTICES Mail Classification Schedule, 64573 Agency Information Collection Activities; Proposals, New Postal Product, 64573–64574 Submissions, and Approvals: New Postal Products, 64572–64573 Certificate of Delivery of Advance Payment and Enrollment, 64617–64618 Postal Service NOTICES Product Change: Workers Compensation Programs Office Parcel Select Negotiated Service Agreement, 64574 NOTICES Priority Mail and First-Class Package Service Negotiated Agency Information Collection Activities; Proposals, Service Agreement, 64574 Submissions, and Approvals, 64567–64568 Priority Mail Negotiated Service Agreement, 64574 Presidential Documents ADMINISTRATIVE ORDERS Separate Parts In This Issue National Oceanic and Atmospheric Administration Ocean Mapping of Exclusive Economic Zone of US and Part II Shoreline and Nearshore of Alaska (Memorandum of Environmental Protection Agency, 64620–64677 November 19, 2019), 64697–64701

Securities and Exchange Commission Part III NOTICES Defense Department, 64680–64696 Application: General Services Administration, 64680–64696 AMG Pantheon Master Fund, LLC, et al., 64595–64600 National Aeronautics and Space Administration, 64680– Self-Regulatory Organizations; Proposed Rule Changes: 64696 Cboe BZX Exchange, Inc., 64600–64602, 64607–64616 Cboe C2 Exchange, Inc., 64605–64607 Financial Industry Regulatory Authority, Inc., 64581– Part IV 64589 Presidential Documents, 64697–64701 ICE Clear Europe Ltd., 64602–64605 NYSE Arca, Inc., 64589–64595 The Nasdaq Stock Market LLC, 64574–64581 Reader Aids Surface Transportation Board Consult the Reader Aids section at the end of this issue for NOTICES phone numbers, online resources, finding aids, and notice Control Exemption: of recently enacted public laws. 3i RR Holdings GP LLC, 3i Holdings Partnership L.P., 3i To subscribe to the Federal Register Table of Contents RR LLC, Regional Rail Holdings, LLC, and Regional electronic mailing list, go to https://public.govdelivery.com/ Rail, LLC; Florida Central Railroad Co., Inc., Florida accounts/USGPOOFR/subscriber/new, enter your e-mail Midland Railroad Co., Inc., and Florida Northern address, then follow the instructions to join, leave, or Railroad Co., Inc., 64616–64617 manage your subscription.

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CFR PARTS AFFECTED IN THIS ISSUE

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

3 CFR Administrative Orders: Memorandums: Memorandum of November 19, 2019 ...... 64699 7 CFR 457 (2 documents) ...... 64411, 64413 9 CFR 166...... 64414 12 CFR Proposed Rules: 1024...... 64436 1026...... 64436 14 CFR Proposed Rules: 39 (2 documents) ...... 64441, 64443 26 CFR 1...... 64415 31 CFR 591...... 64415 33 CFR 117...... 64417 Proposed Rules: 165...... 64445 34 CFR 200...... 64419 36 CFR 7...... 64423 40 CFR 52 (2 documents) ...... 64426, 64427 62...... 64430 Proposed Rules: 423...... 64620 45 CFR 46...... 64432 48 CFR Ch.1 (2 documents)...... 64680, 64696 1...... 64680 2...... 64680 7...... 64680 46...... 64680 52...... 64680 49 CFR Proposed Rules: 243...... 64447 50 CFR 679 (2 documents) ...... 64433, 64434

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Rules and Regulations Federal Register Vol. 84, No. 226

Friday, November 22, 2019

This section of the FEDERAL REGISTER for Docket ID FCIC–19–0006. Follow the product that provides coverage to contains regulatory documents having general online instructions for submitting alternative irrigation practices for rice; applicability and legal effect, most of which comments. specifically, intermittent flooding and are keyed to and codified in the Code of • Mail: Director, Product furrow irrigation practices. Federal Regulations, which is published under Administration and Standards Division, The changes to 7 CFR 457.141 Rice 50 titles pursuant to 44 U.S.C. 1510. Risk Management Agency, United States Crop Insurance Provisions are as The Code of Federal Regulations is sold by Department of Agriculture, P.O. Box follows: the Superintendent of Documents. 419205, Kansas City, MO 64133–6205. 1. Section 5—FCIC is adding an All comments received, including additional cancellation and termination those received by mail, will be posted date of March 15 for Illinois and DEPARTMENT OF AGRICULTURE without change and publicly available Missouri. This change is needed to on http://www.regulations.gov. make the dates consistent with other Federal Crop Insurance Corporation FOR FURTHER INFORMATION CONTACT: row crops in these states. Francie Tolle; telephone (816) 926– 2. Section 6—FCIC is revising section 7 CFR Part 457 7829; email [email protected]. 6(c) to allow additional irrigation [Docket ID FCIC–19–0006] Persons with disabilities who require methods to be specified in the Special Provisions. In the past, rice has RIN 0563–AC62 alternative means of communication should contact the USDA Target Center traditionally been grown under flood irrigation, whereby an entire field is at (202) 720–2600 (voice). Common Crop Insurance Regulations; continuously flooded during the entire Rice Crop Insurance Provisions SUPPLEMENTARY INFORMATION: growing season and not drained until AGENCY: Federal Crop Insurance Background preparations for harvest. Currently, only continuously-flooded rice is covered Corporation, USDA. The FCIC serves America’s under the Rice Crop Provisions. ACTION: Final rule with request for agricultural producers through effective, The intermittent flood irrigation and comments. market-based risk management tools to furrow irrigation methods are desirable strengthen the economic stability of SUMMARY: alternatives to continuous flood The Federal Crop Insurance agricultural producers and rural Corporation (FCIC) amends the irrigation because they produce a communities. FCIC is committed to similar yield to continuously flooded Common Crop Insurance Regulations, increasing the availability and Rice Crop Insurance Provisions (Crop fields while using less water and effectiveness of Federal crop insurance lowering greenhouse gas emissions. Provisions). The intended effect of this as a risk management tool. Approved action is to allow for new irrigation Intermittent flood irrigation is a Insurance Providers (AIP) sell and method of crop irrigation, also known as methods and change the cancellation service Federal crop insurance policies and termination dates in certain states alternate wetting and drying (AWD), in every state and in Puerto Rico that allows flood irrigation water within to align with other row crops to through a public-private partnership. implement the changes contained in the a field to subside naturally (dry down) FCIC reinsures the AIPs who share the during rice growth and development Agriculture Improvement Act of 2018 risks associated with catastrophic losses (commonly referred to as the 2018 Farm before the rice field is reflooded. due to major weather events. FCIC’s Furrow irrigation is a method of crop Bill). The changes will be effective for vision is to secure the future of the 2020 and succeeding crop years. irrigation in which furrows are created agriculture by providing world class risk to convey water down the field; capacity DATES: management tools to rural America. and equipment must be able to apply Effective Date: This final rule is Federal crop insurance policies water uniformly across the crown of the effective November 30, 2019. typically consist of the Basic Provisions, field to assure water delivery to all rice Comment Date: We will consider the Crop Provisions, the Special comments that we receive on this rule plants in the field. Provisions, the Commodity Exchange These alternative irrigation methods by the close of business January 21, Price Provisions, if applicable, other will offer existing rice growers 2020. FCIC will consider these applicable endorsements or options, the flexibility to choose the most comments and make changes to the rule actuarial documents for the insured appropriate irrigation method for their if warranted in a subsequent agricultural commodity, the farming operation, while maintaining rulemaking. Catastrophic Risk Protection crop insurance eligibility. Crop ADDRESSES: We invite you to submit Endorsement, if applicable, and the insurance is an important component of comments on this rule. In your applicable regulations published in 7 many farming operations to manage comments, include the date, volume, CFR chapter IV. financial risks and is often required by and page number of this issue of the FCIC amends the Common Crop lending institutions to receive an Federal Register, and the title of rule. Insurance Regulations (7 CFR part 457) operating loan. You may submit comments by any of by revising 7 CFR 457.141 Rice Crop the following methods, although FCIC Insurance Provisions to implement the Effective Date and Notice and Comment prefers that you submit comments changes contained in the 2018 Farm Bill In general, the Administrative electronically through the Federal (Pub. L. 115–334) to be effective for the Procedure Act (APA, 5 U.S.C. 553) eRulemaking Portal: 2020 and succeeding crop years. The requires that a notice of proposed • Federal eRulemaking Portal: Go to 2018 Farm Bill requires that FCIC rulemaking be published in the Federal http://www.regulations.gov and search research and develop an insurance Register for interested persons to be

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given an opportunity to participate in rules in plain language. In addition to Executive Order 12372 the rulemaking through submission of your substantive comments on this rule, Executive Order 12372, written data, views, or arguments with we invite your comments on how to ‘‘Intergovernmental Review of Federal or without opportunity for oral make the rule easier to understand. For Programs,’’ requires consultation with presentation and requires a 30-day delay example: State and local officials that would be • in the effective date of rules, except Are the requirements in the rule directly affected by proposed Federal when the rule involves a matter relating clearly stated? Are the scope and intent financial assistance. The objectives of to public property, loans, grants, of the rule clear? the Executive Order are to foster an benefits, or contracts. This rule involves • Does the rule contain technical intergovernmental partnership and a matters relating to contracts and language or jargon that is not clear? strengthened Federalism, by relying on therefore the requirements in section • Is the material logically organized? State and local processes for State and 553 do not apply. Although not required • Would changing the grouping or local government coordination and by APA, FCIC has chosen to request order of sections or adding headings review of proposed Federal financial comments on this rule. make the rule easier to understand? assistance and direct Federal The Office of Management and Budget • Could we improve clarity by adding development. For reasons specified in (OMB) designated this rule as not major tables, lists, or diagrams? the final rule related notice regarding 7 under the Congressional Review Act, as • Would more, but shorter, sections CFR part 3015, subpart V (48 FR 29115, defined by 5 U.S.C. 804(2). Therefore, be better? Are there specific sections June 24, 1983), the programs and FCIC is not required to delay the that are too long or confusing? activities in this rule are excluded from effective date for 60 days from the date • the scope of Executive Order 12372. of publication to allow for What else could we do to make the Congressional review. Accordingly, this rule easier to understand? Executive Order 12988 rule is effective November 30, 2019. Regulatory Flexibility Act This rule has been reviewed under Executive Orders 12866, 13563, 13771 The Regulatory Flexibility Act (5 Executive Order 12988, ‘‘Civil Justice and 13777 U.S.C. 601–612), as amended by Reform.’’ This rule will not preempt SBREFA, generally requires an agency State or local laws, regulations, or Executive Order 12866, ‘‘Regulatory policies unless they represent an Planning and Review,’’ and Executive to prepare a regulatory analysis of any rule whenever an agency is required by irreconcilable conflict with this rule. Order 13563, ‘‘Improving Regulation Before any judicial actions may be and Regulatory Review,’’ direct agencies APA or any other law to publish a proposed rule, unless the agency brought regarding the provisions of this to assess all costs and benefits of rule, the administrative appeal available regulatory alternatives and, if certifies that the rule will not have a significant economic impact on a provisions of 7 CFR part 11 are to be regulation is necessary, to select exhausted. regulatory approaches that maximize substantial number of small entities. net benefits (including potential This rule is not subject to the Regulatory Executive Order 13132 economic, environmental, public health Flexibility Act because as noted above, This rule has been reviewed under and safety effects, distributive impacts, this rule is exempt from APA and no Executive Order 13132, ‘‘Federalism.’’ and equity). Executive Order 13563 other law requires that a proposed rule The policies contained in this rule do emphasized the importance of be published for this rulemaking not have any substantial direct effect on quantifying both costs and benefits, of initiative. States, on the relationship between the reducing costs, of harmonizing rules, Environmental Review Federal Government and the States, or and of promoting flexibility. Executive on the distribution of power and Order 13777, ‘‘Enforcing the Regulatory In general, the environmental impacts responsibilities among the various Reform Agenda,’’ established a federal of rules are to be considered in a levels of government, except as required policy to alleviate unnecessary manner consistent with the provisions by law. Nor does this rule impose regulatory burdens on the American of the National Environmental Policy substantial direct compliance costs on people. Act (NEPA, 42 U.S.C. 4321–4347) and State and local governments. Therefore, The Office of Management and Budget the regulations of the Council on consultation with the States is not (OMB) designated this rule as not Environmental Quality (40 CFR parts required. significant under Executive Order 1500–1508). FCIC conducts programs Executive Order 13175 12866, ‘‘Regulatory Planning and and activities that have been determined Review,’’ and therefore, OMB has not to have no individual or cumulative This rule has been reviewed in reviewed this rule. effect on the human environment. As accordance with the requirements of Executive Order 13771, ‘‘Reducing specified in 7 CFR 1b.4, FCIC is Executive Order 13175, ‘‘Consultation Regulation and Controlling Regulatory categorically excluded from the and Coordination with Indian Tribal Costs,’’ requires that in order to manage preparation of an Environmental Governments.’’ Executive Order 13175 the private costs required to comply Analysis or Environmental Impact requires Federal agencies to consult and with Federal regulations that for every Statement unless the FCIC Manager coordinate with Tribes on a new significant or economically (agency head) determines that an action government-to-government basis on significant regulation issued, the new may have a significant environmental policies that have Tribal implications, costs must be offset by the elimination effect. The FCIC Manager has including regulations, legislative of at least two prior regulations. As this determined this rule will not have a comments or proposed legislation, and rule is designated as not significant, it significant environmental effect. other policy statements or actions that is not subject to Executive Order 13771. Therefore, FCIC will not prepare an have substantial direct effects on one or environmental assessment or more Indian Tribes, on the relationship Clarity of the Regulation environmental impact statement for this between the Federal Government and Executive Order 12866, as action and this rule serves as Indian Tribes or on the distribution of supplemented by Executive Order documentation of the programmatic power and responsibilities between the 13563, requires each agency to write all environmental compliance decision. Federal Government and Indian Tribes.

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FCIC has assessed the impact of this requires agencies to consider access to Government information and rule on Indian Tribes and determined alternatives and adopt the more cost services, and for other purposes. that this rule does not, to our effective or least burdensome alternative List of Subjects in 7 CFR Part 457 knowledge, have Tribal implications that achieves the objectives of the rule. that require Tribal consultation under This rule contains no Federal mandates, Acreage allotments, Crop insurance, E.O. 13175. The regulation changes do as defined in Title II of UMRA, for State, Reporting and recordkeeping not have Tribal implications that local, and Tribal governments or the requirements. preempt Tribal law and are not expected private sector. Therefore, this rule is not Final Rule have a substantial direct effect on one or subject to the requirements of sections more Indian Tribes. If a Tribe requests 202 and 205 of UMRA. For the reasons discussed above, FCIC consultation, FCIC will work with the amends 7 CFR part 457, effective for the Federal Assistance Program USDA Office of Tribal Relations to 2021 and succeeding crop years, as ensure meaningful consultation is The title and number of the Federal follows: provided where changes and additions Domestic Assistance Program listed in PART 457—COMMON CROP identified in this rule are not expressly the Catalog of Federal Domestic INSURANCE REGULATIONS mandated by the 2018 Farm Bill. Assistance to which this rule applies is No. 10.450—Crop Insurance. Unfunded Mandates ■ 1. The authority citation for part 457 Paperwork Reduction Act of 1995 continues to read as follows: Title II of the Unfunded Mandates Reform Act of 1995 (UMRA, Pub. L. In accordance with the provisions of Authority: 7 U.S.C. 1506(l) and 1506(o). 104–4) requires Federal agencies to the Paperwork Reduction Act of 1995 ■ 2. Amend § 457.141 as follows: assess the effects of their regulatory (44 U.S.C. chapter 35, subchapter I), the ■ a. In the introductory text by actions of State, local, and Tribal rule does not change the information removing ‘‘2017’’ and adding ‘‘2020’’ in governments or the private sector. collection approved by OMB under its place; Agencies generally must prepare a control numbers 0563–0053. ■ b. Revise the table in section 5; and written statement, including cost ■ c. Revise section 6(c). E-Government Act Compliance benefits analysis, for proposed and final The revisions read as follows: rules with Federal mandates that may FCIC is committed to complying with result in expenditures of $100 million or the E-Government Act, to promote the § 457.141 Rice crop insurance provisions. more in any 1 year for State, local or use of the internet and other * * * * * Tribal governments, in the aggregate, or information technologies to provide 5. Cancellation and Termination Dates to the private sector. UMRA generally increased opportunities for citizen * * * * *

Cancellation and State and county termination date

Jackson, Victoria, Goliad, Bee, Live Oak, McMullen, La Salle, and Dimmit Counties, Texas; and all Texas Counties south January 31. thereof; Florida ...... February 15. Illinois and Missouri ...... March 15. All other states ...... February 28.

* * * * * DEPARTMENT OF AGRICULTURE reference in section 3(g)(3) of the 6. Insured Crop. Common Crop Insurance Policy Basic Federal Crop Insurance Corporation Provisions. * * * * * (c) That is flood irrigated unless 7 CFR Part 457 DATES: Effective: November 22, 2019. otherwise specified in the Special RIN 0563–AC61 FOR FURTHER INFORMATION CONTACT: Provisions; and [Docket ID FCIC–2019–0002] Francie Tolle; telephone (816) 926– * * * * * 7730; email [email protected]. Robin Anderson, Common Crop Insurance Policy Basic Persons with disabilities who require Provisions alternative means of communication Executive Secretary, Federal Crop Insurance should contact the USDA Target Center Corporation. AGENCY: Federal Crop Insurance at (202) 720–2600 (voice). [FR Doc. 2019–25386 Filed 11–21–19; 8:45 am] Corporation, USDA. BILLING CODE 3410–08–P ACTION: Final rule; correcting SUPPLEMENTARY INFORMATION: amendment. Background SUMMARY: The Federal Crop Insurance Corporation is correcting a final rule This correction is being published to that was published in the Federal correct section 3(g)(3) of the Common Register on June 28, 2019, which Crop Insurance Policy Basic Provisions, revised the Catastrophic Risk Protection published June 28, 2019 (84 FR 30857– Endorsement, the Area Risk Protection 30862). Section 3(g)(3) incorrectly Insurance Basic Provisions, and the references ‘‘section 34(c)(3).’’ The Common Crop Insurance Policy (CCIP) correct reference should be ‘‘section Basic Provisions. This correction is 34(b)(3)’’ and is being revised in this being published to correct an incorrect correction.

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List of Subjects in 7 CFR Part 457 the Act) is intended to protect the In accordance with the Regulatory Acreage allotments, Crop insurance, commerce, health, and welfare of the Flexibility Act, we have analyzed the Reporting and recordkeeping people of the United States by ensuring potential economic effects of this action requirements. that food waste fed to swine does not on small entities. The analysis is contain active disease organisms that summarized below. Copies of the full Need for Correction pose a risk to domestic swine. The analysis are available on the Accordingly, 7 CFR part 457 is regulations in 9 CFR part 166 regarding Regulations.gov website (see footnote 1 corrected by making the following swine health protection (referred to in this document for a link to amendments: below as the regulations) were Regulations.gov) or by contacting the promulgated in accordance with the person listed under FOR FURTHER PART 457—COMMON CROP Act. Section 166.15 of the regulations INFORMATION CONTACT. INSURANCE REGULATIONS contains provisions regarding garbage In accordance with the Swine Health feeding and enforcement responsibility, Protection Act (7 U.S.C. 3801 et seq.), ■ 1. The authority citation for part 457 with lists of States that are subject to APHIS regulates food waste containing continues to read as follows: each provision. any meat products fed to swine. Raw or Authority: 7 U.S.C. 1506(l) and 1506(o). On June 20, 2019, we published in the undercooked meat may transmit Federal Register (84 FR 28774–28775, numerous infectious or communicable § 457.8 [Amended] Docket No. APHIS–2018–0067) a diseases. Compliance with these 1 ■ 2. Amend § 457.8, in the Common proposal to amend the regulations by regulations ensures that all food waste Crop Insurance Policy, in section moving the State status lists for garbage fed to swine is properly treated to kill 3(g)(3), remove the words ‘‘section feeding of swine in § 166.15 from the disease organisms. 34(c)(3)’’ and add ‘‘section 34(b)(3)’’ in regulations to the Animal and Plant We are revising the regulations by its place. Health Inspection Service (APHIS) moving the State status lists in § 166.15 website. As a result of this move, any from the regulations to the APHIS Robin Anderson, subsequent change to a State’s status website. As a result of this move, any Executive Secretary, Federal Crop Insurance will be announced through a notice subsequent additions, deletions, and Corporation. published in the Federal Register in other changes to a State’s status will be [FR Doc. 2019–25387 Filed 11–21–19; 8:45 am] conjunction with updating that status made using a notice-based process. on the APHIS website. BILLING CODE 3410–08–P This final rule, while facilitating We solicited comments concerning changes to the State status lists, is not our proposal for 60 days ending August expected to have an economic impact DEPARTMENT OF AGRICULTURE 19, 2019. We received four comments by on hog and pig farms. that date. They were from a national Under these circumstances, the Animal and Plant Health Inspection organization representing pork Administrator of the Animal and Plant Service producers and members of the public. Health Inspection Service has All responses were in favor of moving determined that this action will not 9 CFR Part 166 the State status lists in § 166.15 from the have a significant economic impact on regulations to the APHIS website. a substantial number of small entities. [Docket No. APHIS–2018–0067] One commenter stated that we should RIN 0579–AE50 ensure that information be made Executive Order 12372 available in an alternative format for This program/activity is listed in the Swine Health Protection Act; persons without online access. Catalog of Federal Domestic Assistance Amendments to Garbage Feeding In § 166.15(b), we note that for under No. 10.025 and is subject to Regulations information concerning the feeding of Executive Order 12372, which requires garbage to swine, the public may contact intergovernmental consultation with AGENCY: Animal and Plant Health the APHIS Area Veterinarian in Charge, Inspection Service, USDA. State and local officials. (See 2 CFR the State animal health official, or chapter IV.) ACTION: Final rule. Veterinary Services, 4700 River Road, Unit 37, Riverdale, MD 20737–1231. Executive Order 12988 SUMMARY: We are amending the Swine Therefore, for the reasons given in the This final rule has been reviewed Health Protection Act regulations by proposed rule, we are adopting the removing the State status lists from the under Executive Order 12988, Civil proposed rule as a final rule, without Justice Reform. This rule: (1) Preempts regulations in order to maintain these change. lists on the Agency’s website. These all State and local laws and regulations changes will allow us to use a notice- Executive Orders 12866 and 13771 and that are in conflict with this rule; (2) has based, streamlined approach to update Regulatory Flexibility Act no retroactive effect; and (3) does not the lists while continuing to protect This final rule has been determined to require administrative proceedings swine health in the United States. be not significant for the purposes of before parties may file suit in court challenging this rule. DATES: Effective December 23, 2019. Executive Order 12866 and, therefore, FOR FURTHER INFORMATION CONTACT: Dr. has not been reviewed by the Office of Congressional Review Act Management and Budget. This rule is Ross Free, Veterinary Services, APHIS, Pursuant to the Congressional Review not an Executive Order 13771 regulatory 920 Main Campus Dr. #200, Raleigh, NC Act (5 U.S.C. 801 et seq.), the Office of action because this rule is not 27606; email: [email protected]; Information and Regulatory Affairs significant under Executive Order phone: (919) 855–7712. designated this rule as not a major rule, 12866. SUPPLEMENTARY INFORMATION: as defined by 5 U.S.C. 804(2). Background 1 To view the proposed rule, supporting Paperwork Reduction Act documents, and the comments we received, go to The Swine Health Protection Act (7 http://www.regulations.gov/#! In accordance with section 3507(d) of U.S.C. 3801 et seq., referred to below as docketDetail;D=APHIS-2018-0067. the Paperwork Reduction Act of 1995

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(44 U.S.C. 3501 et seq.), the information (b) For information concerning the 9613) contain an error that needs to be collection requirements included in this feeding of garbage to swine, the public corrected. final rule have already been approved may contact the APHIS Area List of Subjects in 26 CFR Part 1 by the Office of Management and Veterinarian in Charge, the State animal Budget (OMB) under OMB control health official, or Veterinary Services, Income taxes, Reporting and number 0579–0065. 4700 River Road, Unit 37, Riverdale, recordkeeping requirements. MD 20737–1231. E-Government Act Compliance Correction of Publication 2 The Animal and Plant Health https://www.aphis.usda.gov/aphis/ ourfocus/animalhealth/animal-disease- Accordingly, 26 CFR part 1 is Inspection Service is committed to information/swine-disease-information. corrected by making the following compliance with the E-Government Act correcting amendment: to promote the use of the internet and Done in Washington, DC, this 18th day of other information technologies, to November 2019. PART 1—INCOME TAXES provide increased opportunities for Kevin Shea, citizen access to Government Administrator, Animal and Plant Health ■ 1. The authority citation for part 1 is information and services, and for other Inspection Service. amended by adding a sectional purposes. For information pertinent to [FR Doc. 2019–25367 Filed 11–21–19; 8:45 am] authority for § 1.6654–2 in numerical E-Government Act compliance related BILLING CODE 3410–34–P order to read in part as follows: to this rule, please contact Mr. Joseph Authority: 26 U.S.C. 7805 * * * Moxey, APHIS’ Information Collection * * * * * Coordinator, at (301) 851–2483. DEPARTMENT OF THE TREASURY Section 1.6654–2 also issued under 26 U.S.C. 6654(n). List of Subjects in 9 CFR Part 166 Internal Revenue Service Animal diseases, Reporting and * * * * * recordkeeping requirements, Swine. 26 CFR Part 1 Martin V. Franks, Accordingly, we are amending 9 CFR [TD 9613] Chief, Publications and Regulations Branch, part 166 as follows: Legal Processing Division, Associate Chief RIN 1545–BI67 Counsel, (Procedure and Administration). PART 166—SWINE HEALTH [FR Doc. 2019–25346 Filed 11–21–19; 8:45 am] PROTECTION Reduced 2009 Estimated Income Tax Payments for Individuals With Small BILLING CODE 4830–01–P ■ 1. The authority citation for part 166 Business Income; Correction continues to read as follows: AGENCY: DEPARTMENT OF THE TREASURY Authority: 7 U.S.C. 3801–3813; 7 CFR Internal Revenue Service (IRS), Treasury. 2.22, 2.80, and 371.4. Office of Foreign Assets Control ACTION: ■ 2. Section 166.12 is amended by: Correcting amendment. ■ 31 CFR Part 591 a. Removing the phrase ‘‘listed in SUMMARY: This document contains § 166.15(d) of this part’’ each time it corrections to Treasury Decision TD Venezuela Sanctions Regulations appears and adding the phrase 9613, which was published in the ‘‘referenced in § 166.15(a)’’ in its place; Federal Register on Wednesday, AGENCY: ■ b. Revising the text of footnote 1; and Office of Foreign Assets ■ c. Removing the words ‘‘of this part’’ February 27, 2013. Treasury Decision Control, Treasury. in paragraph (c). 9623 contains final regulations under ACTION: Final rule. The revision reads as follows: section 6654 of the Internal Revenue Code relating to reduced estimated SUMMARY: The Department of the § 166.12 Cancellation of licenses. income tax payments for qualified Treasury’s Office of Foreign Assets * * * * * individuals with small business income Control (OFAC) is amending the 1 To find the name and address of the Area for any taxable year beginning in 2009 Venezuela Sanctions Regulations to Veterinarian in Charge, go to https:// and does not apply to any taxable years _ incorporate additional Executive orders, www.aphis.usda.gov/animal health/ beginning before or after 2009. add a general license authorizing U.S. contacts/field-operations-districts.pdf. DATES: This correction is effective on Government activities, and add an ■ 3. Section 166.15 is revised to read as November 22, 2019 and is applicable on interpretive provision. follows: or after February 27, 2013. DATES: Effective Date: November 22, § 166.15 State status. FOR FURTHER INFORMATION CONTACT: 2019. Janet Engel Kidd, Office of Associate (a) The Animal and Plant Health FOR FURTHER INFORMATION CONTACT: Chief Counsel (Procedure and Inspection Service (APHIS) will OFAC: Assistant Director for Licensing, Administration), (202) 317–3600 (not a maintain on its website 2 the following 202–622–2480; Assistant Director for toll-free number). lists of States: Regulatory Affairs, 202–622–4855; or (1) States that prohibit the feeding of SUPPLEMENTARY INFORMATION: Assistant Director for Sanctions garbage to swine; Background Compliance & Evaluation, 202–622– (2) States that allow the feeding of 2490. treated garbage to swine; The final regulations (TD 9613) that (3) States that have primary are the subject of this correction are SUPPLEMENTARY INFORMATION: enforcement responsibility under the issued under section 6654 of the Electronic Availability Act; and Internal Revenue Code. (4) States that issue licenses under This document and additional cooperative agreements with APHIS, but Need for Correction information concerning OFAC are do not have primary responsibility As published February 27, 2013 (78 available on OFAC’s website under the Act. FR 13221), the final regulations (TD (www.treasury.gov/ofac).

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Background awards, decrees, or other orders through Control amends 31 CFR chapter V as On July 10, 2015, OFAC issued the execution, garnishment, or other follows: Venezuela Sanctions Regulations, 31 judicial process. This interpretive provision clarifies that, notwithstanding PART 591—VENEZUELA SANCTIONS CFR part 591 (the ‘‘Regulations’’) (80 FR REGULATIONS 39676, July 10, 2015) to implement the the existence of any general license issued under 31 CFR part 591, or issued Venezuela Defense of Human Rights and ■ under any Executive order issued 1. The authority citation for part 591 Civil Society Act of 2014 (Pub. L. 113– is revised to read as follows: 278) and Executive Order 13692 of pursuant to the national emergency declared in E.O. 13692, the entry into a Authority: 3 U.S.C. 301; 31 U.S.C. 321(b); March 8, 2015 (‘‘Blocking Property and 50 U.S.C. 1601–1651, 1701–1706; Pub. L. Suspending Entry of Certain Persons settlement agreement or the enforcement of any lien, judgment, 101–410, 104 Stat. 890 (28 U.S.C. 2461 note); Contributing to the Situation in Pub. L. 110–96, 121 Stat. 1011 (50 U.S.C. Venezuela’’) (E.O. 13692). The arbitral award, decree, or other order through execution, garnishment, or 1705 note); Pub. L. 113–278, 128 Stat. 3011 Regulations were published in (50 U.S.C. 1701 note); E.O. 13692, 80 FR other judicial process purporting to abbreviated form for the purpose of 12747, March 11, 2015, 3 CFR, 2015 Comp., transfer or otherwise alter or affect providing immediate guidance to the p. 276; E.O. 13808, 82 FR 41155, August 29, property or interests in property blocked public. Since then, the President has 2017, 3 CFR, 2017 Comp., p. 377; E.O. 13827, pursuant to § 591.201 is prohibited issued six additional Executive orders 83 FR 12469, March 21, 2018, 3 CFR, 2018 unless authorized pursuant to a specific Comp., p. 794; E.O. 13835, 83 FR 24001, May pursuant to the national emergency license issued by OFAC. Finally, OFAC 24, 2018, 3 CFR, 2018 Comp., p. 817; E.O. declared in E.O. 13692: Executive Order is making certain technical and 13850, 83 FR 55243, November 2, 2018, 3 13808 of August 24, 2017 (‘‘Imposing conforming edits. CFR, 2018 Comp., p. 881; E.O. 13857, 84 FR Additional Sanctions With Respect to OFAC intends to supplement part 591 509, January 30, 2019; E.O. 13884, 84 FR the Situation in Venezuela’’) (82 FR with a more comprehensive set of 38843, August 7, 2019. 41155, August 29, 2017); Executive regulations, which may include Subpart B—Prohibitions Order 13827 of March 19, 2018 (‘‘Taking additional interpretive and definitional Additional Steps to Address the guidance and additional general ■ 2. Revise § 591.201 to read as follows: Situation in Venezuela’’) (83 FR 12469, licenses and statements of licensing March 21, 2018); Executive Order 13835 policy. § 591.201 Prohibited transactions. of May 21, 2018 (‘‘Prohibiting Certain All transactions prohibited pursuant Additional Transactions With Respect Public Participation to Executive Order 13692 of March 8, to Venezuela’’) (83 FR 24001, May 24, Because the Regulations involve a 2015, or any further Executive orders 2018); Executive Order 13850 of foreign affairs function, the provisions issued pursuant to the national November 1, 2018 (‘‘Blocking Property of Executive Order 12866 and the emergency declared in Executive Order of Additional Persons Contributing to Administrative Procedure Act (5 U.S.C. 13692, are prohibited pursuant to this the Situation in Venezuela’’) (83 FR 553) requiring notice of proposed part. 55243, November 2, 2018); Executive rulemaking, opportunity for public Order 13857 of January 25, 2019 Note 1 to § 591.201: The names of persons participation, and delay in effective designated pursuant to Executive Order (‘‘Taking Additional Steps To Address date, as well as the provisions of 13692, or pursuant to any further Executive the National Emergency With Respect to Executive Order 13771, are orders issued pursuant to the national Venezuela’’) (84 FR 509, January 30, inapplicable. Because no notice of emergency declared in Executive Order 2019); and Executive Order 13884 of proposed rulemaking is required for this 13692, whose property and interests in August 5, 2019 (‘‘Blocking Property of rule, the Regulatory Flexibility Act (5 property therefore are blocked pursuant to the Government of Venezuela’’) (84 FR U.S.C. 601–612) does not apply. this section, are published in the Federal 38843, August 7, 2019). Register and incorporated into OFAC’s In subpart B of the Regulations, OFAC Paperwork Reduction Act Specially Designated Nationals and Blocked is expanding existing § 591.201 to The collections of information related Persons List (SDN List) using the identifier specify that the prohibitions in that to the Regulations are contained in 31 formulation ‘‘[VENEZEULA–E.O. [E.O. number pursuant to which the person’s section include all transactions CFR part 501 (the ‘‘Reporting, property and interests in property are prohibited pursuant to E.O. 13692 of Procedures and Penalties Regulations’’). blocked]].’’ The SDN List is accessible March 8, 2015 or any further Executive Pursuant to the Paperwork Reduction through the following page on OFAC’s order issued pursuant to the national Act of 1995 (44 U.S.C. 3507), those website: www.treasury.gov/sdn. Additional emergency declared in E.O. 13692. In collections of information have been information pertaining to the SDN List can be subpart C of the Regulations, OFAC is approved by the Office of Management found in appendix A to this chapter. See making a technical amendment to the and Budget under control number 1505– § 591.406 concerning entities that may not be definition of financial, material, or 0164. An agency may not conduct or listed on the SDN List but whose property technological support at § 591.304 to sponsor, and a person is not required to and interests in property are nevertheless blocked pursuant to this section. reflect the changes being made to respond to, a collection of information § 591.201. unless the collection of information Note 2 to § 591.201: The International OFAC also is incorporating a general displays a valid control number. Emergency Economic Powers Act (50 U.S.C. license into subpart E that was 1701–1706), in Section 203 (50 U.S.C. 1702), previously posted only on OFAC’s List of Subjects in 31 CFR Part 591 authorizes the blocking of property and website. This general license, which is Administrative practice and interests in property of a person during the being added as new § 591.509, procedure, Banks, Banking, Blocking of pendency of an investigation. The names of authorizes the U.S. Government to assets, Legal services, Penalties, persons whose property and interests in property are blocked pending investigation engage in certain activities related to Reporting and recordkeeping requirements, Sanctions. pursuant to this section also are published in Venezuela. OFAC is adding a new the Federal Register and incorporated into interpretative provision at § 591.407 For the reasons set forth in the the SDN List using the identifier formulation regarding settlement agreements and the preamble, the Department of the ‘‘[BPI–VENEZEULA–E.O. [E.O. number enforcement of liens, judgments, arbitral Treasury’s Office of Foreign Assets pursuant to which the person’s property and

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interests in property are blocked pending § 591.509 Official business of the United ADDRESSES: To view documents investigation]].’’ States Government. mentioned in this preamble as being All transactions that are for the available in the docket, go to http:// Note 3 to § 591.201: Sections 501.806 and conduct of the official business of the 501.807 of this chapter describe the www.regulations.gov. Type USCG– procedures to be followed by persons United States Government by 2019–0120 in the ‘‘SEARCH’’ box and seeking, respectively, the unblocking of employees, grantees, or contractors click ‘‘SEARCH.’’ Click on Open Docket funds that they believe were blocked due to thereof are authorized. Folder on the line associated with this mistaken identity, or administrative Note 1 to § 591.509: For additional rulemaking. reconsideration of their status as persons information regarding requirements relating FOR FURTHER INFORMATION CONTACT: If whose property and interests in property are to the entry into a settlement agreement or you have questions on this rule, call or blocked pursuant to this section. the enforcement of any lien, judgment, email Mr. Lee D. Soule, Bridge arbitral award, decree, or other order through Management Specialist, Ninth Coast Subpart C—General Definitions execution, garnishment, or other judicial process purporting to transfer or otherwise Guard District; telephone 216–902– § 591.304 [Amended] alter or affect property or interests in 6085, email [email protected]. property blocked pursuant to § 591.201, see SUPPLEMENTARY INFORMATION: ■ 3. In § 591.304, remove the text ‘‘, as § 591.407. used in Executive Order 13692 of March I. Table of Abbreviations 8, 2015,’’. Subpart H—Procedures CFR Code of Federal Regulations DHS Department of Homeland Security Subpart D—Interpretations ■ 9. Revise § 591.802 to read as follows: FR Federal Register IGLD85 International Great Lakes Datum of ■ 4. Add § 591.407 to read as follows: § 591.802 Delegation of certain authorities 1985 of the Secretary of the Treasury. LWD Low Water Datum based on IGLD 85 § 591.407 Settlement agreements and Any action that the Secretary of the OMB Office of Management and Budget enforcement of certain orders through Treasury is authorized to take pursuant NPRM Notice of Proposed Rulemaking judicial process. to Executive Order 13692 of March 8, (Advance, Supplemental) Notwithstanding the existence of any § Section 2015, Executive Order 13808 of August U.S.C. United States Code general license issued under this part, or 24, 2017, Executive Order 13827 of issued under any Executive order issued March 19, 2018, Executive Order 13835 II. Background Information and pursuant to the national emergency of May 21, 2018, Executive Order 13850 Regulatory History declared in E.O. 13692, the entry into a of November 1, 2018, Executive Order On March 28, 2019, we published a settlement agreement or the 13857 of January 25, 2019, Executive NPRM entitled ‘‘Drawbridge Operation enforcement of any lien, judgment, Order 13884 of August 5, 2019, and any Regulation; River Rouge, Detroit, MI’’ in arbitral award, decree, or other order further Executive orders issued the Federal Register (84 FR 11694). We through execution, garnishment, or pursuant to the national emergency received no comments on this rule. other judicial process purporting to declared in Executive Order 13692 of transfer or otherwise alter or affect March 8, 2015, may be taken by the III. Legal Authority and Need for Rule property or interests in property blocked Director of OFAC or by any other person The Coast Guard is issuing this rule pursuant to § 591.201, as referenced in to whom the Secretary of the Treasury under authority 33 U.S.C. 499. § 591.506(c), is prohibited unless has delegated authority so to act. Conrail Railroad Bridge, mile 1.48, authorized pursuant to a specific license Dated: November 18, 2019. across the River Rouge is a single leaf bascule bridge. A horizontal navigation issued by OFAC pursuant to this part. Andrea Gacki, clearance of 123 feet is available. Eight Director, Office of Foreign Assets Control. Subpart E—Licenses, Authorizations, feet of vertical clearance, referred to and Statements of Licensing Policy [FR Doc. 2019–25343 Filed 11–21–19; 8:45 am] LWD is available in the closed position. BILLING CODE 4810–AL–P § 591.506 [Amended] The Conrail Bridge is advertised as having unlimited clearance in the open ■ 5. In § 591.506(a), (b), and (c), remove position; however, the tip of the bridge the text ‘‘or any further Executive orders DEPARTMENT OF HOMELAND leaf does encroach slightly into the relating to the national emergency SECURITY northern boundary of the navigation declared in Executive Order 13692 of channel. The Federal Channel has a Coast Guard March 8, 2015.’’ bend in the river immediately west of the Conrail Bridge. Because of this bend § 591.507 [Amended] 33 CFR Part 117 most large commercial vessels will not ■ 6. In § 591.507(a) and the note to [Docket No. USCG–2019–0120] enter the river unless they have paragraph (a), remove the text ‘‘or any RIN 1625–AA09 conformation that this bridge is opened. further Executive orders relating to the The Rouge River is primarily used by national emergency declared in Drawbridge Operation Regulation; commercial vessels. Executive Order 13692 of March 8, River Rouge, Detroit, MI IV. Discussion of Comments, Changes 2015.’’ AGENCY: Coast Guard, DHS. and the Final Rule § 591.508 [Amended] ACTION: Final rule. The Coast Guard provided a comment period of 180 days and no comments ■ 7. In § 591.508, remove the text ‘‘or SUMMARY: The Coast Guard is were received. We did not make any any further Executive orders relating to authorizing the Conrail Railroad Bridge, changes to regulatory language. the national emergency declared in mile 1.48, across the River Rouge, to be Executive Order 13692 of March 8, operated remotely. V. Regulatory Analyses 2015.’’ DATES: This rule is effective December We developed this rule after ■ 8. Add § 591.509 to read as follows: 23, 2019. considering numerous statutes and

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Executive Orders related to rulemaking. who enforce, or otherwise determine F. Environment Below we summarize our analyses compliance with, Federal regulations to based on a number of these statutes and the Small Business and Agriculture We have analyzed this rule under Executive Orders, and we discuss First Regulatory Enforcement Ombudsman Department of Homeland Security Amendment rights of protesters. and the Regional Small Business Management Directive 023–01, U.S. Coast Guard Environmental Planning A. Regulatory Planning and Review Regulatory Fairness Boards. The Ombudsman evaluates these actions Policy COMDTINST 5090.1 (series) and Executive Orders 12866 and 13563 annually and rates each agency’s U.S. Coast Guard Environmental direct agencies to assess the costs and responsiveness to small business. If you Planning Implementation Procedures benefits of available regulatory wish to comment on actions by (series) which guide the Coast Guard in alternatives and, if regulation is employees of the Coast Guard, call 1– complying with the National necessary, to select regulatory 888–REG–FAIR (1–888–734–3247). The Environmental Policy Act of 1969 approaches that maximize net benefits. Coast Guard will not retaliate against (NEPA) (42 U.S.C. 4321–4370f). We Executive Order 13771 directs agencies small entities that question or complain have made a determination that this to control regulatory costs through a about this rule or any policy or action action is one of a category of actions that budgeting process. This rule has not of the Coast Guard. do not individually or cumulatively been designated a ‘‘significant have a significant effect on the human regulatory action,’’ under Executive C. Collection of Information environment. This rule promulgates the Order 12866. Accordingly, it has not This rule calls for no new collection operating regulations or procedures for been reviewed by the Office of of information under the Paperwork drawbridges. This action is categorically Management and Budget (OMB) and Reduction Act of 1995 (44 U.S.C. 3501– excluded from further review, under pursuant to OMB guidance it is exempt 3520). paragraph L49, of Chapter 3, Table 3–1 from the requirements of Executive of the U.S. Coast Guard Environmental Order 13771. D. Federalism and Indian Tribal Planning Implementation Procedures. We did not change the operating Government Neither a Record of Environmental schedule of the bridge we only changed A rule has implications for federalism Consideration nor a Memorandum for the location of the drawtender. under Executive Order 13132, the Record are required for this rule. B. Impact on Small Entities Federalism, if it has a substantial direct G. Protest Activities The Regulatory Flexibility Act of 1980 effect on the States, on the relationship (RFA), 5 U.S.C. 601–612, as amended, between the national government and The Coast Guard respects the First requires federal agencies to consider the the States, or on the distribution of Amendment rights of protesters. potential impact of regulations on small power and responsibilities among the Protesters are asked to contact the entities during rulemaking. The term various levels of government. We have person listed in the FOR FURTHER ‘‘small entities’’ comprises small analyzed this rule under that Order and INFORMATION CONTACT section to businesses, not-for-profit organizations have determined that it is consistent coordinate protest activities so that your that are independently owned and with the fundamental federalism message can be received without operated and are not dominant in their principles and preemption requirements jeopardizing the safety or security of fields, and governmental jurisdictions described in Executive Order 13132. people, places or vessels. with populations of less than 50,000. Also, this rule does not have tribal List of Subjects in 33 CFR Part 117 The Coast Guard received no comments implications under Executive Order from the Small Business Administration 13175, Consultation and Coordination Bridges. with Indian Tribal Governments, on this rule. The Coast Guard certifies For the reasons discussed in the under 5 U.S.C. 605(b) that this rule will because it does not have a substantial direct effect on one or more Indian preamble, the Coast Guard amends 33 not have a significant economic impact CFR part 117 as follows: on a substantial number of small tribes, on the relationship between the entities. Federal Government and Indian tribes, PART 117—DRAWBRIDGE While some owners or operators of or on the distribution of power and OPERATION REGULATIONS vessels intending to transit the bridge responsibilities between the Federal may be small entities, for the reasons Government and Indian tribes. ■ 1. The authority citation for part 117 stated in section IV.A above this final E. Unfunded Mandates Reform Act continues to read as follows: rule would not have a significant economic impact on any vessel owner The Unfunded Mandates Reform Act Authority: 33 U.S.C. 499; 33 CFR 1.05–1; of 1995 (2 U.S.C. 1531–1538) requires and Department of Homeland Security or operator because the operating Delegation No. 0170.1. schedule did not change. Federal agencies to assess the effects of Under section 213(a) of the Small their discretionary regulatory actions. In ■ 2. Add § 117.645 to read as follows: Business Regulatory Enforcement particular, the Act addresses actions Fairness Act of 1996 (Pub. L. 104–121), that may result in the expenditure by a § 117.645 River Rouge. we want to assist small entities in State, local, or tribal government, in the The draw of the Conrail Bridge, mile understanding this rule. If the rule aggregate, or by the private sector of 1.48, is remotely operated, is required to would affect your small business, $100,000,000 (adjusted for inflation) or operate a radiotelephone, and shall organization, or governmental more in any one year. Though this rule open on signal. jurisdiction and you have questions will not result in such an expenditure, concerning its provisions or options for we do discuss the effects of this rule Dated: November 18, 2019. compliance, please contact the person elsewhere in this preamble. We D.L. Cottrell, listed in the FOR FURTHER INFORMATION provided a 180 day comment period and Rear Admiral, U.S. Coast Guard, Commander, CONTACT, above. we did not receive any comments Ninth Coast Guard District. Small businesses may send comments concerning the Unfunded Mandates [FR Doc. 2019–25347 Filed 11–21–19; 8:45 am] on the actions of Federal employees Reform Act of 1995. BILLING CODE 9110–04–P

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DEPARTMENT OF EDUCATION • Replacing the reference to ‘‘current- the NPRM, we identified an additional year’’ eligibility determinations with the change that needed to be made to 34 CFR Part 200 term ‘‘current performance reporting paragraph (b)(2)(ii), for consistency period.’’ A performance reporting throughout § 200.89(b)(2) in referring to [ED–2018–OESE–0079] period, sometimes referred to as a child current performance reporting period, RIN 1810–AB49 count year, is a more specific time instead of current year. frame: September 1 through August 31, Changes: Paragraph (b)(2)(i) describes Title I—Improving the Academic and thus clarifies any ambiguity the individuals who may conduct Achievement of the Disadvantaged; associated with the phrase ‘‘current- annual prospective re-interviews, with Education of Migratory Children year.’’ specific exceptions for years in which • Modifying the requirement that independent re-interviewers are AGENCY: Office of Elementary and SEAs use independent re-interviewers required. Paragraph (b)(2)(i)(A) contains Secondary Education, Department of for prospective re-interviews at least the requirements for independent re- Education. once every three years. Instead, the interviewers before September 1, 2020, ACTION: Final regulations. regulations require the use of and paragraph (b)(2)(i)(B) contains the independent re-interviewers at least requirements for independent re- SUMMARY: The Department modifies the once every three years until September interviewers beginning September 1, requirements related to the 1, 2020. After September 1, 2020, SEAs 2020. Paragraph (b)(2)(ii) has been responsibilities of State educational are required to use independent re- revised to reference the current agency (SEA) recipients of funds under interviewers for prospective re- performance reporting period instead of title I, part C, of the Elementary and interviews at least once during one of current year, consistent with this change Secondary Education Act of 1965, as the first three full performance reporting in paragraph (b)(2). amended (ESEA), to conduct annual periods (September 1 through August prospective re-interviews to confirm the 31) following the effective date of a Clarity of Regulations eligibility of children under the Migrant major statutory or regulatory change that Comment: One commenter suggested Education Program (MEP). We clarify impacts program eligibility (as that the Background and Proposed the definition of ‘‘independent re- determined by the Secretary), in order to Regulations sections of the preamble interviewer’’ and reduce the costs and test eligibility determinations made would be easier to understand if they burden of prospective re-interviews based on the changed eligibility criteria. were divided into more and shorter conducted by independent re- Except for minor editorial revisions, sections. The commenter indicated that interviewers while maintaining there are no substantive differences the proposed regulations were clearly adequate quality control measures to between the NPRM and these final stated. safeguard the integrity of program regulations. Discussion: We appreciate the eligibility determinations. Public Comment: In response to our commenter’s suggestions for clarifying DATES: These regulations are effective invitation in the NPRM, ten parties the preamble, and we will take these December 23, 2019. submitted comments on the proposed suggestions into consideration for future FOR FURTHER INFORMATION CONTACT: regulations. We group major issues NPRMs, to the extent feasible. Sarah Martinez, U.S. Department of according to subject. Generally, we do Changes: None. not address technical and other minor Education, 400 Maryland Avenue SW, Support for the Proposed Regulations Room 3E343, Washington, DC 20202. changes. In addition, we do not address Telephone: (202) 260–1334. Email: comments that raised concerns not Comment: Five commenters [email protected]. directly related to the proposed expressed support for the proposed If you use a telecommunications regulations. changes. One of the five commenters device for the deaf (TDD) or a text Analysis of Comments and Changes: specifically noted that the changes will telephone (TTY), call the Federal Relay An analysis of the comments and of any result in a significant cost savings for Service (FRS), toll-free, at 1–800–877– changes in the regulations since the State’s MEP. 8339. publication of the NPRM follows. Discussion: We appreciate the commenters’ support for these Structure of Regulations SUPPLEMENTARY INFORMATION: On regulations. November 29, 2018, the Secretary Comment: None. Changes: None. published a notice of proposed Discussion: Upon further rulemaking (NPRM) for this program in consideration, we have modified the Criteria for Individuals Conducting the Federal Register (83 FR 61342). In structure of § 200.89(b)(2) from what Annual Prospective Re-Interviews the preamble of the NPRM, we was proposed in the NPRM. We think it Comment: One commenter asked discussed the major changes proposed is clearer to include all of the whether individuals who provided in that document to the requirement for requirements for prospective re- consultation, guidance, or coaching to SEAs to annually validate MEP interviewing within § 200.89(b)(2), the recruiter who conducted the original eligibility determinations through re- rather than to add a new paragraph interview would be considered to have interviews for a randomly selected (b)(3). This modification does not worked on the initial eligibility sample of children identified as change the substance of the determination being tested. migratory during a single performance requirements as proposed, but, rather, Discussion: We consider individuals reporting period. These included the organizes the requirements in such a who worked on the initial eligibility following amendments to § 200.89(b): way that minimizes the changes to the determination being tested to be those • Clarifying for SEAs that as a quality previous structure. This modification individuals who conducted the initial control measure, individuals conducting also eliminates the need to make an interview used to document the child’s annual prospective re-interviews must additional change to § 200.89(d)(5), MEP eligibility (e.g., the recruiter). The be individuals who did not work on the which currently refers to prospective re- requirements for who may conduct initial eligibility determination being interviewing as described in paragraph annual prospective re-interviews do not reviewed. (b)(2). In addition, after publication of preclude other personnel involved in

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the eligibility determinations process Discussion: We appreciate the prospective re-interview process is to who may have provided consultation, commenters’ identification of help ensure that eligibility guidance, or coaching to the recruiter potentially confusing language. The determinations are being made (e.g., identification and recruitment revised regulations require the use of accurately, and to identify problems in coordinators, SEA-designated Certificate independent re-interviewers at least order for the SEA to implement of Eligibility reviewers) from conducting once every three years (performance corrective actions in a timely manner. annual prospective re-interviews. The reporting periods), only until September The SEA is not required to re-interview exception to this rule is for any year in 1, 2020. Beginning September 1, 2020, all currently eligible migratory children, which the SEA uses independent re- the use of independent re-interviewers nor is a re-interview required to interviewers to conduct the prospective will only be required in the event that maintain a child’s 36 months of MEP re-interviews. Those independent re- the Secretary determines there has been eligibility, which begins on the child’s interviewers may not be SEA or local a significant change to eligibility qualifying arrival date. operating agency personnel working to requirements made by statute or Changes: None. administer or operate the MEP, nor any regulations. other person who worked on the initial Changes: None. Delegation of Responsibility for eligibility determination being tested. Comment: One commenter indicated Prospective Re-Interviews Changes: None. that the changes to the required use of Comment: One commenter asked independent re-interviewers may be several questions regarding who will be § 200.89(b)(2)(i)(B) Prospective Re- confusing and asked whether the change Interviewing Following a Major responsible for conducting prospective would allow for a child selected in the re-interviewing (e.g., school district Statutory or Regulatory Change to sample to be re-interviewed in less than Child Eligibility staff, State staff), how independent re- three years, potentially losing eligibility interviewers will be selected, and Comment: One commenter identified when eligibility criteria are changed. whether funding will be made available two sentences in the preamble and The same commenter also asked to complete the process. proposed regulations that might signal whether the changes to the regulations Discussion: Because the MEP is a to readers that, if an SEA elects to would reduce the number of individuals State-administered and -operated conduct independent re-interviews in considered eligible due to the reduced program, the SEA is responsible for all the third performance reporting period frequency of interviews. aspects of the prospective re-interview following a major statutory or regulatory Discussion: In response to the process, which includes any delegation change, the sample must be drawn from commenter’s first question, a of responsibility and the process for eligibility determinations made during prospective re-interview considers selecting re-interviewers. In accordance all three performance reporting periods whether the child met the eligibility with § 200.82, the SEA may set aside following the statutory or regulatory criteria at the time the child’s eligibility MEP funds for program administrative was determined (i.e., at the time the change. The commenter suggested activities that are unique to the MEP. Certificate of Eligibility was completed alternative wording to clarify that the re- Therefore, the SEA may choose to use and approved). Independent re- interview sample would be limited to part of its MEP award for re-interviews. interviews taking place after a statutory those eligibility determinations made The specific amount of funds used, and or regulatory change would be during a single performance reporting the costs involved with re-interview conducted for children who were period. efforts will vary by State. Discussion: We appreciate the determined to be eligible after that Changes: None. commenter’s identification of change took effect. If, as a result of the potentially confusing regulatory re-interview process, the SEA Executive Orders 12866, 13563, and language and the suggested revisions. determines that the initial eligibility 13771 We agree with the commenter that the determination is incorrect (i.e., the child Regulatory Impact Analysis requirement is intended to validate did not meet the eligibility requirements child eligibility determinations made at the time the determination was Under Executive Order 12866, it must during one of the first three full made), the SEA must stop providing be determined whether this regulatory performance reporting periods following MEP services to the child and remove action is ‘‘significant’’ and, therefore, a major statutory or regulatory change the child from the database used to subject to the requirements of the that impacts eligibility. Therefore, the compile counts of eligible children. This Executive order and subject to review by sample must be drawn from eligibility corrective action, described in the Office of Management and Budget determinations made during a single § 200.89(b)(2)(v), is unchanged from the (OMB). Section 3(f) of Executive Order performance reporting period, and not previous requirements for prospective 12866 defines a ‘‘significant regulatory from determinations made during a re-interviews. action’’ as an action likely to result in three-year span. In response to the commenter’s a rule that may— Changes: We have revised second question, regarding the impact of (1) Have an annual effect on the § 200.89(b)(2)(i)(B) to clarify the these regulations on the number of economy of $100 million or more, or sampling universe for independent re- children considered eligible for the adversely affect a sector of the economy, interviews conducted following a major MEP, we do not anticipate that the productivity, competition, jobs, the statutory or regulatory change. reduced frequency of independent re- environment, public health or safety, or Comment: One commenter identified interviews will reduce the number of State, local, or Tribal governments or potential confusion regarding the children considered eligible for the communities in a material way (also changes to the requirements for program. SEAs must continue to referred to as an ‘‘economically independent re-interviewers. The conduct annual prospective re- significant’’ rule); commenter suggested that it may be interviews. The change from previous (2) Create serious inconsistency or difficult for readers to identify what has requirements concerns when an SEA otherwise interfere with an action taken changed from the previous requirement must use independent re-interviewers to or planned by another agency; to use independent re-interviewers at conduct those annual prospective re- (3) Materially alter the budgetary least once every three years. interviews. The purpose of the annual impacts of entitlement grants, user fees,

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or loan programs or the rights and Executive Order 13563 also requires reduced cost and burden. Further, we obligations of recipients thereof; or an agency ‘‘to use the best available do not believe that burden will be (4) Raise novel legal or policy issues techniques to quantify anticipated affected by the clarification that annual arising out of legal mandates, the present and future benefits and costs as prospective re-interviews must be President’s priorities, or the principles accurately as possible.’’ The Office of conducted by individuals who did not stated in the Executive order. Information and Regulatory Affairs of work on the initial eligibility This final regulatory action is not a OMB has emphasized that these determination being reviewed, as this is significant regulatory action subject to techniques may include ‘‘identifying consistent with the current practices of review by OMB under section 3(f) of changing future compliance costs that most SEAs. Executive Order 12866. Pursuant to the might result from technological We remain committed to providing Congressional Review Act (5 U.S.C. 801 innovation or anticipated behavioral SEAs with technical assistance to et seq.), the Office of Information and changes.’’ support their efforts to maintain Regulatory Affairs designated this rule We are issuing these final regulations effective quality control over program as not a ‘‘major rule,’’ as defined by 5 only on a reasoned determination that eligibility determinations, which U.S.C. 804(2). their benefits justify their costs. In includes prospective re-interviewing. Under Executive Order 13771, for choosing among alternative regulatory Past support has included the Technical each new regulation that the approaches, we selected those Assistance Guide on Re-interviewing Department proposes for notice and approaches that maximize net benefits. published in December 2010,1 updated comment or otherwise promulgates that Based on the analysis that follows, the non-regulatory guidance on program is a significant regulatory action under Department believes that these final eligibility published in March 2017,2 Executive Order 12866 and that imposes regulations are consistent with the the Identification and Recruitment total costs greater than zero, it must principles in Executive Order 13563. Manual updated in September 2018,3 identify two deregulatory actions. For We also have determined that this numerous presentations on program Fiscal Year 2020, any new incremental regulatory action does not unduly eligibility, ongoing responses to costs associated with a new regulation interfere with State, local, or Tribal questions from grantees regarding must be fully offset by the elimination governments in the exercise of their program eligibility and identification of existing costs through deregulatory governmental functions. and recruitment practices, and Title I, actions. The final regulations are not a In accordance with these Executive Part C Consortium Incentive Grant (CIG) significant regulatory action. Therefore, orders, the Department has assessed the funding for 13 SEAs participating in a the requirements of Executive Order potential costs and benefits, both five-year cohort focused on 13771 do not apply. quantitative and qualitative, of this identification and recruitment. We have also reviewed these regulatory action. The potential costs Elsewhere in this section, under regulations under Executive Order associated with this regulatory action Paperwork Reduction Act of 1995, we 13563, which supplements and are those resulting from statutory identify and explain burdens explicitly reaffirms the principles, requirements and those we have specifically associated with information structures, and definitions governing determined as necessary for collection requirements. administering the Department’s regulatory review established in Regulatory Flexibility Act Certification Executive Order 12866. To the extent programs and activities. permitted by law, Executive Order We anticipate that the changes to The Secretary certifies that these final 13563 requires that an agency— these regulations will reduce the cost regulations would not have a significant (1) Propose or adopt regulations only and burden associated with prospective economic impact on a substantial on a reasoned determination that their re-interviewing, specifically the use of number of small entities. Because these benefits justify their costs (recognizing independent re-interviewers, for some final regulations would affect only that some benefits and costs are difficult SEAs. While we believe that SEAs will States and State agencies, the final to quantify); be required to conduct independent re- regulations would not have an impact (2) Tailor its regulations to impose the interviews less frequently under the on small entities. States and State least burden on society, consistent with amended regulations than they are agencies are not defined as ‘‘small obtaining regulatory objectives and currently, we cannot predict when entities’’ in the Regulatory Flexibility taking into account—among other things statutory changes that directly impact Act. child eligibility will occur. To qualify as and to the extent practicable—the costs Paperwork Reduction Act of 1995 of cumulative regulations; ‘‘independent,’’ the re-interviewers (3) In choosing among alternative must be neither SEA nor local operating These regulations contain information regulatory approaches, select those agency staff members working to collection requirements that are approaches that maximize net benefits administer or operate the State MEP nor any other persons who worked on the 1 U.S. Department of Education, Office of (including potential economic, Elementary and Secondary Education, Office of environmental, public health and safety, initial eligibility determinations being Migrant Education, Technical Assistance Guide on and other advantages; distributive tested. Although there is no Federal Re-interviewing, Washington, DC 20202 (https:// impacts; and equity); requirement for SEAs to use a specific results-assets.s3.amazonaws.com/tools/mep- (4) To the extent feasible, specify funding mechanism to support reinterviewing-guide-dec-10.pdf). 2 U.S. Department of Education, Office of performance objectives, rather than the independent re-interviewers, such as a Elementary and Secondary Education, Office of behavior or manner of compliance a contract, or to use out-of-State personnel Migrant Education, Non-Regulatory Guidance for regulated entity must adopt; and who require travel costs, several SEAs the Title I, Part C Education of Migratory Children, (5) Identify and assess available have chosen to use such methods and Washington, DC, 2017 (https://results-assets.s3. amazonaws.com/legislation/MEP%20Non%20 alternatives to direct regulation, personnel for independent re- Regulatory%20Guidance%20March%202017.docx). including economic incentives—such as interviews. For those SEAs that have 3 U.S. Department of Education, Office of user fees or marketable permits—to chosen to use more costly methods for Elementary and Secondary Education, Office of encourage the desired behavior, or independent re-interviews, we Migrant Education, Migrant Education Program Identification and Recruitment Manual, provide information that enables the anticipate that the reduced frequency of Washington, DC 20202 (https://results.ed.gov/idr- public to make choices. independent re-interviews will result in manual).

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approved by OMB under OMB control the cost and burden estimates. Thus, the your search to documents published by number 1810–0662. burden estimated in the approved the Department. (Catalog of Federal A Federal agency may not conduct or information collection remains Domestic Assistance number 84.011: sponsor a collection of information unchanged. Education of Migratory Children) unless OMB approves the collection under the Paperwork Reduction Act of Intergovernmental Review List of Subjects in 34 CFR Part 200 1995 (PRA) and the corresponding This program is subject to the Education of disadvantaged, information collection instrument requirements of Executive Order 12372 Elementary and secondary education, displays a currently valid OMB control and the regulations in 34 CFR part 79. Grant programs—education, Indians— number. Notwithstanding any other One of the objectives of the Executive education, Infants and children, provision of law, no person is required order is to foster an intergovernmental Juvenile delinquency, Migrant labor, to comply with, or is subject to penalty partnership and a strengthened Private schools, Reporting and for failure to comply with, a collection federalism. The Executive order relies recordkeeping requirements. of information if the collection on processes developed by State and Dated: November 19, 2019. instrument does not display a currently local governments for coordination and Betsy DeVos, valid OMB control number. review of proposed Federal financial Section 200.89(b) contains an assistance. Secretary of Education. information collection requirement. This document provides early For the reasons discussed in the This information collection has been notification of our specific plans and preamble, the Secretary amends part approved by OMB Control Number actions for this program. 200 of title 34 of the Code of Federal 1810–0662. The currently approved Regulations as follows: Federalism collection includes cost and burden estimates for annual prospective re- Executive Order 13132 requires us to PART 200—TITLE I—IMPROVING THE interviewing that do not vary based on ensure meaningful and timely input by ACADEMIC ACHIEVEMENT OF THE the specific personnel used for re- State and local elected officials in the DISADVANTAGED interviews—i.e., there is no distinction development of regulatory policies that made between the cost and burden have federalism implications. ■ 1. The authority citation for part 200 hours associated with prospective re- ‘‘Federalism implications’’ means is revised to read as follows: interviews conducted by ‘‘independent’’ substantial direct effects on the States, Authority: 20 U.S.C. 6301 through 6576, re-interviewers compared to other re- on the relationship between the unless otherwise noted. interviewers. Although we anticipate National Government and the States, or Section 200.1 also issued under 20 U.S.C. that ‘‘independent’’ re-interviewers will on the distribution of power and 6311(b)(1). be used less frequently under the responsibilities among the various Section 200.11 also issued under 20 U.S.C. revised regulations than they are levels of government. 6311(c)(2), (g)(2)(D), (h)(1)(C)(xii), (h)(2)(C), In the NPRM we identified a specific 6312(c)(3), 9622(d)(1). currently, SEAs are still required to Section 200.25 also issued under 20 U.S.C. conduct prospective re-interviews on an section that may have federalism 6314. annual basis under the revised implications and encouraged State and Section 200.26 also issued under 20 U.S.C. regulations, so our cost and burden local elected officials to review and 6314. estimates for this information collection provide comments on the proposed Section 200.29 also issued under 20 U.S.C. are unchanged from the currently regulations. In the Public Comment 1413(a)(2)(D), 6311(g)(2)(E), 6314, 6396(b)(4), approved information collection. section of this preamble, we discuss any 7425(c), 7703(d). We estimate a standard number of comments we received on this subject. Section 200.61 also issued under 20 U.S.C. hours to conduct re-interviews— Accessible Format: Individuals with 6312(e). including multiple attempts to locate disabilities can obtain this document in Section 200.62 also issued under 20 U.S.C. the family and travel to their location (2 an accessible format (e.g., braille, large 6320(a). Section 200.63 also issued under 20 U.S.C. hours/child), analyze the findings (1 print, audiotape, or compact disc) on 6320(b). hour/child), and summarize findings for request to the program contact person Section 200.64 also issued under 20 U.S.C. annual reporting (2 hours/SEA). We listed under FOR FURTHER INFORMATION 6320. estimate costs based on a standard CONTACT. Section 200.65 also issued under 20 U.S.C. hourly rate for staff conducting re- Electronic Access to This Document: 6320(a)(1)(B). interviews ($10/hour) and a higher The official version of this document is Section 200.68 also issued under 20 U.S.C. standard hourly rate for staff responsible the document published in the Federal 6320(a)(3)(B). for analysis and reporting ($25/hour). Register. You may access the official Section 200.73 also issued under 20 U.S.C. Some SEAs have elected to use more edition of the Federal Register and the 6332(c), 6336(f)(3), 7221e(c). costly resources and methods when Section 200.77 also issued under 20 U.S.C. Code of Federal Regulations at 6313(c)(3)–(5), 6318(a)(3), 6320; 42 U.S.C. conducting independent re-interviews, govinfo.gov. At this site you can view 11432(g)(1)(J)(ii)–(iii), 11433(b)(1). such as contracts with private this document, as well as all other Section 200.78 also issued under 20 U.S.C. organizations and out-of-State documents of this Department 6313(a)(5)(B), (c), 6333(c)(2). personnel. Since these are not Federal published in the Federal Register, in Section 200.79 also issued under 20 U.S.C. requirements, under the PRA, any text or Adobe Portable Document 6313(b)(1)(D), (c)(2)(B), 6321(d). increased costs associated with these Format (PDF). To use PDF you must Section 200.81 also issued under 20 U.S.C. resources and methods were not have Adobe Acrobat Reader, which is 6391–6399. factored into the cost and burden available free at the site. Section 200.83 also issued under 20 U.S.C. estimates in the currently approved You may also access documents of the 6396. Section 200.85 also issued under 20 U.S.C. collection, and, accordingly, any Department published in the Federal 6398. decreased costs associated with these Register by using the article search Section 200.87 also issued under 20 U.S.C. resources and methods that would feature at: www.federalregister.gov. 7881(b)(1)(A). result from their less frequent use under Specifically, through the advanced Section 200.88 also issued under 20 U.S.C. the final regulations also do not affect search feature at this site, you can limit 6321(d).

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Section 200.89 also issued under 20 U.S.C. eligible in a single performance period, the base of Hot Springs Mountain in Hot 6391–6399, 6571, 18 U.S.C. 1001. based on eligibility requirements that Springs, Arkansas. For thousands of Section 200.90 also issued under 20 U.S.C. include the major statutory or regulatory years before it became a favored 6432, 6454, 6472. change. vacation destination in the 18th century, Section 200.100 also issued under 20 U.S.C. 6303, 6303b, 6304. (ii) Select a random sample of and prior to the arrival of early Section 200.103 also issued under 20 identified migratory children so that a European explorers journeying west of U.S.C. 6315(c)(1)(A)(ii), 6571(a), 8101(4). sufficient number of eligibility the Mississippi River, Native Americans ■ 2. Section 200.89 is amended by: determinations in the current from around the region traveled to the ■ a. Revising paragraphs (b)(2) performance reporting period are tested springs and surrounding rocky introductory text and (b)(2)(i) and (ii). on a statewide basis or within categories mountain slopes, quarrying novaculite ■ b. Removing the parenthetical associated with identified risk factors from the hilltops for their tools and authority citation at the end of the (e.g., experience of recruiters, size or weapons, and drinking and bathing in section. growth in local migratory child the mineral rich waters bubbling from The revisions read as follows: population, effectiveness of local quality the ground. The first permanent settlers control procedures) in order to help to reach the Hot Springs area in 1807 § 200.89 Re-interviewing; eligibility identify possible problems with the were quick to realize the springs’ documentation; and quality control. State’s child eligibility determinations; potential as a health resort, and a * * * * * * * * * * bustling town grew up around the hot (b) * * * springs to provide services for health (2) Prospective re-interviewing. As [FR Doc. 2019–25424 Filed 11–21–19; 8:45 am] BILLING CODE 4000–01–P seekers. part of the system of quality controls To protect this unique national identified in paragraph (d) of this resource and preserve it for the use of section, an SEA that receives MEP funds DEPARTMENT OF THE INTERIOR the public, Congress set aside the must annually validate child eligibility springs and adjoining mountains as a determinations from the current National Park Service Federal reservation in 1832, making it performance reporting period the oldest unit of the National Park (September 1 to August 31) through re- 36 CFR Part 7 System. Over the next 50 years, the area interviews for a randomly selected transformed from a rough frontier town sample of children identified as [NPS–HOSP–28641; PPMWMWROW2/ to an elegant and thriving spa city. In migratory during the same performance PMP00UP05.YP0000] 1921, Congress designated the reporting period. In conducting these re- RIN 1024–AE50 reservation as Hot Springs National Park interviews, an SEA must— (the Park). Today, the 5,500-acre Park (i) Except as specified in paragraphs Hot Springs National Park; Bicycling contains vegetation, thermal waters, (b)(2)(i)(A) and (B) of this section, use cold-water springs, bathhouses and AGENCY: National Park Service, Interior. one or more re-interviewers who may be associated cultural features, nearly 26 ACTION: SEA or local operating agency staff Final rule. miles of hiking and equestrian trails, members working to administer or SUMMARY: The National Park Service and prehistoric and historic novaculite operate the State MEP, or any other amends the special regulations for Hot quarries. The National Park Service person trained to conduct personal Springs National Park to allow bicycle (NPS) preserves and manages the interviews and to understand and apply use on a new trail connection between natural and cultural resources of the program eligibility requirements, but the Park and property owned by the City Park for more than 1.5 million annual who did not work on the initial of Hot Springs, Arkansas. The new 0.65- visitors. The City of Hot Springs, with eligibility determinations being tested; mile trail will provide local residents an approximate population of 37,000, is (A) At least once every three years and visitors with access in and across located next to the Park. until September 1, 2020, SEAs must use the Park to an extensive network of one or more independent re- Pullman Avenue Trail Connection/ recreational trails in the City’s interviewers (i.e., interviewers who are Environmental Assessment Northwoods Urban Forest Park. The neither SEA nor local operating agency The NPS will create a new 0.65-mile new natural surface, multi-use trail staff members working to administer or natural surface trail within the Park. connection will be open to both operate the State MEP nor any other This new Pullman Avenue Trail pedestrian and bicycle use. National persons who worked on the initial Connection will extend north from a Park Service regulations require eligibility determinations being tested trailhead at Pullman Avenue and promulgation of a special regulation to and who are trained to conduct personal connect the Park with ongoing trail designate new trails for bicycle use off interviews and to understand and apply development on City property at the park roads and outside developed areas. program eligibility requirements). Park’s northern boundary. The NPS will (B) Beginning September 1, 2020, an DATES: This rule is effective on build the trail using sustainable trail SEA must use one or more independent December 23, 2019. construction techniques and designate it re-interviewers to validate child FOR FURTHER INFORMATION CONTACT: for both pedestrian and bicycle use. The eligibility determinations made during Tokey Boswell, Chief of Planning and trail will follow the natural contours of one of the first three full performance Compliance, Serving DOI Unified the site, winding around obstacles such reporting periods (September 1 through Regions 3, 4, and 5, 601 Riverfront as trees, large rocks, and bushes; and August 31) following the effective date Drive, Omaha, Nebraska 68102. Phone: will feature shallower grades and wider of a major statutory or regulatory change 402 661–1534, Email: tokey_boswell@ turns to support user safety, reduce that directly impacts child eligibility (as nps.gov. water pooling and erosion, and reduce determined by the Secretary). Therefore, SUPPLEMENTARY INFORMATION: the overall maintenance costs associated the entire sample of eligibility with more complex trail features. This determinations to be tested by Background gently-graded bare soil and bedrock trail independent re-interviewers must be People have long recognized the connection will (1) better connect the drawn from children determined to be unique thermal waters that flow from Park with the adjacent City and county

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trail networks for the benefit of visitors Connection. This rule does not include not be significant, and could be and residents of the City; (2) expand any existing park trails, which are not mitigated by using appropriate recreational trail use opportunities for and will not be opened to bicycles by construction techniques. The NPS will hikers and bikers; and (3) enhance this rule. work with experts in trail design to visitor experience and safety while This rule complies with the minimize impacts to natural resources. protecting natural and cultural requirement in 36 CFR 4.30 that the 2. Comment: Several commenters resources. The NPS will implement NPS must promulgate a special raised general concerns about impacts to measures to promote safe use of the regulation in order to designate a new other visitors from mountain biking, trail, such as signage and trail bicycle trail that requires construction including impacts to hikers and maintenance. This trail will serve as a activities outside of developed areas. equestrians who seek a non-motorized formalized entry point into the Park for The rule adds a new paragraph (c) to 36 and quiet experience in national parks. hikers and bicyclists where currently CFR 7.18—Special Regulations, Areas of One commenter objected to the building there is none. This will increase access the National Park System for Hot of the trail because although it improves to the Park, which helps the NPS meet Springs National Park. After the trail is access for one recreational activity, it its mandate to manage the hot springs constructed, the rule requires the does not maximize the visitor for public health, wellness, and Superintendent to notify the public experience for the broader visiting enjoyment. prior to designating the trail for bicycle public. On February 1, 2019, the NPS use through one or more of the methods NPS Response: The NPS published the Pullman Avenue Trail listed in 36 CFR 1.7, and identify the acknowledges the potential for conflict Connection/Environmental Assessment designation on maps available at Park among trail user types. The EA and (EA). The EA presents two alternatives visitor centers and on the Park website FONSI determined that visitor conflicts for future trail opportunities at the Park, (www.nps.gov/hosp). Where the trail would not be significant. The new trail and identifies one of the alternatives as crosses or intersects other Park trails will not change the use patterns or the NPS preferred alternative. Under the closed to bicycle use, signage will opportunities for recreation on existing preferred alternative, the NPS will clearly indicate allowed uses and trails. The new trail and new uses construct the Pullman Avenue Trail restrictions at those intersections. The allowed on it expand options for Connection and designate it for rule also authorizes the superintendent recreation within the Park. pedestrian and bicycle use. The EA to establish closures, conditions, or 3. Comment: Some commenters raised evaluates (1) the suitability of the restrictions for bicycle use on the trail concerns about visitor safety on the Pullman Avenue Trail Connection for after considering public health and trail. One commenter requested the NPS bicycle use; and (2) life cycle safety, resource protection, and other maintenance costs, safety management activities and objectives, establish right-of-way rules to protect considerations, methods to prevent or provided public notice is given under pedestrians from bicycles. Another minimize user conflict, and methods to 36 CFR 1.7(a). E-bikes will be allowed commenter requested the NPS enforce a protect natural and cultural resources on the new trail in accordance with NPS bicycle speed limit of five miles per and mitigate impacts associated with Policy Memorandum 19–01—Electric hour. bicycle use on the trail in compliance Bicycles. NPS Response: The NPS with 36 CFR 4.30(e)(2). The EA contains acknowledges the potential for conflicts Summary of Public Comments a full description of the purpose and among visitors on the trail. Similar need for taking action, the alternatives The NPS published a proposed rule in conflicts currently exist within the Park considered, maps, and the the Federal Register on May 15, 2019 where equestrians and hikers share environmental impacts associated with (84 FR 21738). The NPS accepted public trails. The EA and FONSI determined the project. After a public review comments on the proposed rule for 60 that the potential impact to visitor safety period, the Acting Regional Director, days via the mail, hard delivery, and the was not significant, and could be Interior Regions 3, 4, and 5 (formerly the Federal eRulemaking Portal at http:// minimized through signage and Midwest Region) signed a Finding of No www.regulations.gov. Comments were education. The NPS will mark trails Significant Impact (FONSI) on July 28, accepted through July 15, 2019. A total with signs identifying rules about 2019 that identified the preferred of 15 comments were submitted and yielding to other user groups. The alternative (Alternative B) in the EA as reviewed. A majority of commenters natural surface of the trail would make the selected alternative. Concurrently, supported the proposed rule. A it difficult to establish lanes for different the Acting Regional Director signed a summary of the pertinent issues raised types of uses. Existing trails within the Written Determination to assure that in the comments and NPS responses are Park do not have speed limits and the bicycle use on the new trail is consistent provided below. terrain of the new trail will naturally with the protection of the Park’s natural, 1. Comment: Some commenters raised limit speeds. The NPS will monitor use scenic, and aesthetic values, safety general concerns about impacts to on the trail and the Superintendent may considerations and management natural resources from mountain biking, implement measures, including speed objectives, and that it will not disturb including soil erosion, habitat limits, that may become necessary to wildlife or park resources. The EA, degradation, and wildlife disturbance. promote safe use of the trail by all user FONSI, and Written Determination may One commenter suggested that the NPS groups. construct the trail surface to support be viewed online at http:// Compliance With Other Laws, bicycles without leaving ruts or parkplanning.nps.gov/Pullman Executive Orders and Department damaging natural resources. Connection, by clicking on ‘‘Document Policy Regulatory Planning and Review NPS Response: The NPS is aware of List.’’ (Executive Orders 12866 and 13563) the potential for erosion and other Final Rule disturbances to natural conditions that Executive Order 12866 provides that This rule implements the selected could be caused by constructing the the Office of Information and Regulatory alternative in the FONSI and authorizes new trail and allowing hiking and Affairs in the Office of Management and the Superintendent to designate bicycle biking on the trail. The EA and FONSI Budget will review all significant rules. use on the Pullman Avenue Trail determined that these impacts would The Office of Information and

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Regulatory Affairs has determined that (c) Does not have significant adverse consultation policy and have this rule is not significant. effects on competition, employment, determined that tribal consultation is Executive Order 13563 reaffirms the investment, productivity, innovation, or not required because the rule will have principles of Executive Order 12866 the ability of U.S.-based enterprises to no substantial direct effect on federally while calling for improvements in the compete with foreign-based enterprises. recognized Indian tribes. Nevertheless, in support of the Department of Interior nation’s regulatory system to promote Unfunded Mandates Reform Act predictability, to reduce uncertainty, and NPS commitment for government- and to use the best, most innovative, This rule does not impose an to-government consultation, through the and least burdensome tools for unfunded mandate on State, local, or EA process, the NPS initiated achieving regulatory ends. The tribal governments or the private sector consultation with the four Indian tribes executive order directs agencies to of more than $100 million per year. The traditionally associated with the Park. rule does not have a significant or consider regulatory approaches that Paperwork Reduction Act reduce burdens and maintain flexibility unique effect on State, local or tribal and freedom of choice for the public governments or the private sector. It This rule does not contain where these approaches are relevant, addresses public use of national park information collection requirements, feasible, and consistent with regulatory lands, and imposes no requirements on and a submission to the Office of objectives. Executive Order 13563 other agencies or governments. A Management and Budget under the emphasizes further that regulations statement containing the information Paperwork Reduction Act is not must be based on the best available required by the Unfunded Mandates required. We may not conduct or sponsor and you are not required to science and that the rulemaking process Reform Act (2 U.S.C. 1531 et seq.) is not respond to a collection of information must allow for public participation and required. unless it displays a currently valid OMB an open exchange of ideas. We have Takings (Executive Order 12630) control number. developed this rule in a manner consistent with these requirements. This rule does not effect a taking of National Environmental Policy Act of private property or otherwise have 1969 (NEPA) Reducing Regulation and Controlling takings implications under Executive Regulatory Costs (Executive Order Order 12630. A takings implication The NPS has prepared the EA to 13771) assessment is not required. determine whether this rule will have a significant impact on the quality of the Enabling regulations are considered Federalism (Executive Order 13132) human environment under the NEPA. deregulatory under guidance Under the criteria in section 1 of This rule does not constitute a major implementing E.O. 13771 (M–17–21). Executive Order 13132, the rule does Federal action significantly affecting the This rule authorizes the Superintendent not have sufficient federalism quality of the human environment. A to designate a trail for bicycle use at the implications to warrant the preparation detailed statement under the NEPA is Park, which will create an opportunity of a federalism summary impact not required because of the FONSI. A for recreation and access that would statement. This rule only affects use of copy of the EA and FONSI can be found otherwise be prohibited. federally-administered lands and online at http://parkplanning.nps.gov/ Regulatory Flexibility Act waters. It has no outside effects on other PullmanConnection, by clicking on the areas. A federalism summary impact link entitled ‘‘Document List.’’ This rule will not have a significant statement is not required. economic effect on a substantial number Effects on the Energy Supply (Executive of small entities under the Regulatory Civil Justice Reform (Executive Order Order 13211) Flexibility Act (5 U.S.C. 601 et seq.). 12988) This rule is not a significant energy This certification is based on This rule complies with the action under the definition in Executive information contained in the economic requirements of Executive Order 12988. Order 13211. A Statement of Energy analyses found in the report entitled This rule: Effects in not required. Draft Cost-Benefit and Regulatory (a) Meets the criteria of section 3(a) Drafting Information Flexibility Threshold Analyses: requiring that all regulations be Proposed Special Regulations to The primary authors of this regulation reviewed to eliminate errors and are Julia Larkin and Jay Calhoun, Designate a New Trail Connection for ambiguity and be written to minimize Bicycle Use at Hot Springs National National Park Service, Division of litigation; and Regulations, Jurisdiction, and Special Park. The document may be viewed at (b) Meets the criteria of section 3(b)(2) Park Uses. http://parkplanning.nps.gov/Pullman requiring that all regulations be written Connection, by clicking on the link in clear language and contain clear legal List of Subjects in 36 CFR Part 7 entitled ‘‘Document List.’’ standards. National parks, Reporting and Small Business Regulatory Enforcement Consultation With Indian Tribes recordkeeping requirements. Fairness Act (Executive Order 13175 and In consideration of the foregoing, the This rule is not a major rule under 5 Department Policy) National Park Service amends 36 CFR part 7 as set forth below: U.S.C. 804(2), the Small Business The Department of the Interior strives Regulatory Enforcement Fairness Act. to strengthen its government-to- PART 7—SPECIAL REGULATIONS, This rule: government relationship with Indian AREAS OF THE NATIONAL PARK (a) Does not have an annual effect on Tribes through a commitment to SYSTEM the economy of $100 million or more. consultation with Indian tribes and (b) Will not cause a major increase in recognition of their right to self- ■ 1. The authority citation for part 7 costs or prices for consumers, governance and tribal sovereignty. We continues to read as follows: individual industries, Federal, State, or have evaluated this rule under the Authority: 54 U.S.C. 100101, 100751, local government agencies, or criteria in Executive Order 13175 and 320102; Sec. 7.96 also issued under D.C. geographic regions. under the Department’s tribal Code 10–137 and D.C. Code 50–2201.07.

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■ 2. Amend § 7.18 by adding paragraph ENVIRONMENTAL PROTECTION website. Although listed in the index, (c) to read as follows: AGENCY some information is not publicly available, e.g., Confidential Business § 7.18 Hot Springs National Park. 40 CFR Part 52 Information (CBI) or other information * * * * * [EPA–R09–OAR–2019–0497; FRL–10002– whose disclosure is restricted by statute. (c) Bicycle use. (1) The 13–Region 9] Certain other material, such as Superintendent may designate all or a copyrighted material, is not placed on Air Plan Approval; Arizona; Maricopa portion of the following trail as open to the internet and will be publicly County Air Quality Department bicycle use: available only in hard copy form. Publicly available docket materials are AGENCY: Environmental Protection (i) Pullman Avenue Trail Connection available through https:// Agency (EPA). (full length of the trail approximately www.regulations.gov, or please contact ACTION: Final rule. 0.65 miles). the person identified in the FOR FURTHER (ii) [Reserved] SUMMARY: The Environmental Protection INFORMATION CONTACT section for additional availability information. (2) A map showing trails open to Agency (EPA) is taking final action to bicycle use will be available at park approve revisions to the Maricopa FOR FURTHER INFORMATION CONTACT: visitor centers and posted on the park County Air Quality Department Robert Schwartz, EPA Region IX, 75 website. The Superintendent will (MCAQD) portion of the Arizona State Hawthorne St., San Francisco, CA Implementation Plan (SIP). These provide notice of all trails designated for 94105. By phone: (415) 972–3286 or by revisions concern emissions of volatile bicycle use in accordance with § 1.7 of email at [email protected]. organic compounds (VOCs) and this chapter. The Superintendent may particulate matter (PM) from brick and SUPPLEMENTARY INFORMATION: limit, restrict, or impose conditions on structural clay products manufacturing, Throughout this document, ‘‘we,’’ ‘‘us’’ bicycle use, or close any trail to bicycle rubber sports ball manufacturing, and and ‘‘our’’ refer to the EPA. use, or terminate such conditions, vegetable oil extraction processes. We Table of Contents closures, limits, or restrictions in are approving the rescission of local accordance with § 4.30 of this chapter. rules that regulate these emission I. Proposed Action II. Public Comments and EPA Responses Rob Wallace, sources under the Clean Air Act (CAA III. EPA Action or the Act). Assistant Secretary for Fish and Wildlife and IV. Incorporation by Reference DATES: Parks. These rule rescissions will be V. Statutory and Executive Order Reviews effective on December 23, 2019. [FR Doc. 2019–25338 Filed 11–21–19; 8:45 am] I. Proposed Action ADDRESSES: The EPA has established a BILLING CODE 4312–EJ–P docket for this action under Docket ID On September 9, 2019 (84 FR 47211), No. EPA–R09–OAR–2019–0497. All the EPA proposed to approve the documents in the docket are listed on rescission of the following rules from the https://www.regulations.gov the Arizona SIP.

Adopted Rescission Local agency Rule No. Rule title revised submitted

MCAQD ...... 325 Brick and Structural Clay Products (BSCP) Manufacturing ... 08/10/2005 12/18/2017 MCAQD ...... 334 Rubber Sports Ball Manufacturing ...... 06/19/1996 12/18/2017 MCAQD ...... 339 Vegetable Oil Extraction Processes ...... 11/16/1992 12/18/2017

We proposed to approve the updated to account for the fact that rescinded, and not replaced, because the rescission of these rules because we these regulations no longer exist. The rules no longer apply to any sources. determined that the SIP revisions, i.e., EPA should require Maricopa County The sources for which the rules were rule rescissions, comply with the and Arizona to submit new plans to originally developed and adopted have relevant CAA requirements, including replace the old approved plans so the closed, and no new sources of the types CAA sections 110(l) and 193. Our EPA can ensure the county and state’s covered by the rules are expected to proposed action contains more plans still meet the necessary establish operations in Maricopa information on the rules and our requirements just as the old plans did County. As such, we find that no evaluation. previously. The EPA must require that replacement of the rules is necessary to the plans be updated to the most recent II. Public Comments and EPA avoid interference with attainment or regulations. Responses maintenance of any of the national The EPA’s Response: The SIP revision ambient air quality standards in The EPA’s proposed action provided that is the subject of our September 9, Maricopa County or any other a 30-day public comment period. During 2019 proposed rule rescinds three requirement of the CAA. this period, we received one anonymous MCAQD rules from the Arizona SIP. As III. EPA Action comment. noted in our September 9, 2019 Comment: The EPA should not proposed rule, MCAQD rescinded these No comments were submitted that approve this submission until Maricopa three rules from the local rulebook on change our assessment of the rules as County and Arizona move to strike the December 13, 2017, and ADEQ adopted described in our proposed action. aforementioned regulations from each the rule rescissions as a revision to the Therefore, as authorized in section applicable approved plan. These plans Maricopa County portion of the Arizona 110(k)(3) of the Act, the EPA is fully were approved with these regulations SIP on December 18, 2017. 84 FR 47211/ approving these rule rescissions from incorporated in them and now must be column 3. The three rules are being the Arizona SIP.

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IV. Incorporation by Reference • Does not provide the EPA with the Dated: November 4, 2019. In this document, as described in the discretionary authority to address, as Deborah Jordan, amendments to 40 CFR part 52 set forth appropriate, disproportionate human Acting Regional Administrator, Region IX. below, the EPA is removing provisions health or environmental effects, using Part 52, chapter I, title 40 of the Code of the EPA Approved Maricopa County practicable and legally permissible of Federal Regulations is amended as rules from the Arizona State methods, under Executive Order 12898 follows: Implementation Plan, which is (59 FR 7629, February 16, 1994). incorporated by reference in accordance In addition, the SIP is not approved PART 52—APPROVAL AND with the requirements of 1 CFR part 51. to apply on any Indian reservation land PROMULGATION OF IMPLEMENTATION PLANS V. Statutory and Executive Order or in any other area where the EPA or Reviews an Indian tribe has demonstrated that a ■ 1. The authority citation for part 52 Under the Clean Air Act, the tribe has jurisdiction. In those areas of continues to read as follows: Indian country, the rule does not have Administrator is required to approve a Authority: 42 U.S.C. 7401 et seq. SIP submission that complies with the tribal implications and will not impose provisions of the Act and applicable substantial direct costs on tribal Subpart D—[Amended] Federal regulations. 42 U.S.C. 7410(k); governments or preempt tribal law as 40 CFR 52.02(a). Thus, in reviewing SIP specified by Executive Order 13175 (65 ■ 2. Section 52.120 is amended in submissions, the EPA’s role is to FR 67249, November 9, 2000). paragraph (c), Table 4, by removing the approve state choices, provided that entries for ‘‘Rule 325,’’ ‘‘Rule 334’’ and The Congressional Review Act, 5 ‘‘Rule 339’’. they meet the criteria of the Clean Air U.S.C. 801 et seq., as added by the Small [FR Doc. 2019–25058 Filed 11–21–19; 8:45 am] Act. Accordingly, this action merely Business Regulatory Enforcement approves state law as meeting Federal BILLING CODE 6560–50–P Fairness Act of 1996, generally provides requirements and does not impose that before a rule may take effect, the additional requirements beyond those imposed by state law. For that reason, agency promulgating the rule must ENVIRONMENTAL PROTECTION this action: submit a rule report, which includes a AGENCY • Is not a significant regulatory action copy of the rule, to each House of the subject to review by the Office of Congress and to the Comptroller General 40 CFR Part 52 Management and Budget under of the United States. The EPA will [EPA–R04–OAR–2018–0711; FRL–10002– Executive Orders 12866 (58 FR 51735, submit a report containing this action 46–Region 4] October 4, 1993) and 13563 (76 FR 3821, and other required information to the January 21, 2011); U.S. Senate, the U.S. House of Air Plan Approval; GA; Miscellaneous • Is not an Executive Order 13771 (82 Representatives, and the Comptroller Revisions FR 9339, February 2, 2017) regulatory General of the United States prior to AGENCY: Environmental Protection action because SIP approvals are publication of the rule in the Federal Agency (EPA). exempted under Executive Order 12866; Register. A major rule cannot take effect • ACTION: Final rule. Does not impose an information until 60 days after it is published in the collection burden under the provisions Federal Register. This action is not a SUMMARY: The Environmental Protection of the Paperwork Reduction Act (44 ‘‘major rule’’ as defined by 5 U.S.C. Agency (EPA) is approving State U.S.C. 3501 et seq.); • 804(2). Implementation Plan (SIP) revisions Is certified as not having a submitted by the State of Georgia, Under section 307(b)(1) of the Clean significant economic impact on a through the Georgia Environmental Air Act, petitions for judicial review of substantial number of small entities Protection Division (GA EPD) of the this action must be filed in the United under the Regulatory Flexibility Act (5 Department of Natural Resources, in U.S.C. 601 et seq.); States Court of Appeals for the • letters dated September 19, 2006, with Does not contain any unfunded appropriate circuit by January 21, 2020. a clarification submitted on November mandate or significantly or uniquely Filing a petition for reconsideration by 6, 2006, and July 31, 2018. EPA is affect small governments, as described the Administrator of this final rule does approving miscellaneous changes to in the Unfunded Mandates Reform Act not affect the finality of this action for several Georgia rules. This action is of 1995 (Pub. L. 104–4); the purposes of judicial review nor does being finalized pursuant to the Clean • Does not have Federalism it extend the time within which a Air Act (CAA or Act) and its implications as specified in Executive petition for judicial review may be filed, implementing regulations. Order 13132 (64 FR 43255, August 10, and shall not postpone the effectiveness 1999); DATES: This rule will be effective of such rule or action. This action may • Is not an economically significant December 23, 2019. regulatory action based on health or not be challenged later in proceedings to ADDRESSES: EPA has established a safety risks subject to Executive Order enforce its requirements. (See section docket for this action under Docket 13045 (62 FR 19885, April 23, 1997); 307(b)(2).) Identification No. EPA–R04–OAR– • Is not a significant regulatory action List of Subjects in 40 CFR Part 52 2018–0711. All documents in the docket subject to Executive Order 13211 (66 FR are listed on the www.regulations.gov 28355, May 22, 2001); Environmental protection, Air website. Although listed in the index, • Is not subject to requirements of pollution control, Incorporation by some information is not publicly Section 12(d) of the National reference, Intergovernmental relations, available, i.e., Confidential Business Technology Transfer and Advancement Ozone, Particulate matter, Reporting Information or other information whose Act of 1995 (15 U.S.C. 272 note) because and recordkeeping requirements, disclosure is restricted by statute. application of those requirements would Volatile organic compounds. Certain other material, such as be inconsistent with the Clean Air Act; copyrighted material, is not placed on and the internet and will be publicly

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available only in hard copy form. made in the September 19, 2006, reference by EPA into that plan, are Publicly available docket materials are submittal and EPA’s rationale for fully federally enforceable under available either electronically through approving the revision. Comments were sections 110 and 113 of the CAA as of www.regulations.gov or in hard copy at due on July 31, 2017. EPA received the effective date of the final rulemaking the Air Regulatory Management Section, adverse comments related to other of EPA’s approval, and will be Air Planning and Implementation portions of the DFR, but withdrew the incorporated by reference in the next Branch, Air and Radiation Division, entire DFR on August 22, 2017 (82 FR update to the SIP compilation.6 U.S. Environmental Protection Agency, 39671). EPA received no comments on III. Final Action Region 4, 61 Forsyth Street SW, Atlanta, the changes made to Rule 391–3–1– Georgia 30303–8960. EPA requests that .03(6), ‘‘Exemptions.’’ Therefore, EPA is EPA is approving the aforementioned if at all possible, you contact the person finalizing approval of those changes in changes to Georgia’s SIP submitted on listed in the FOR FURTHER INFORMATION this action. September 19, 2006, and August 2, CONTACT section to schedule your See also EPA’s July 10, 2019 (84 FR 2018, that make revisions to Rule 391– inspection. The Regional Office’s 32851) NPRM 4 for further detail on the 3–1–.01, ‘‘Definitions,’’ Rule 391–3–1– official hours of business are Monday changes made in the July 31, 2018, .02(2)(c), ‘‘Incinerators,’’ Rule 391–3–1– through Friday 8:30 a.m. to 4:30 p.m., submittal and EPA’s rationale for .03(6), ‘‘Exemptions,’’ and Rule 391–3– excluding Federal holidays. approving the revision. Comments were 1–.03(11) ‘‘Permit by Rule.’’ EPA views FOR FURTHER INFORMATION CONTACT: due on August 9, 2019, and EPA these changes as being consistent with Sean Lakeman, Air Regulatory received no significant, adverse the CAA. comments on the NPRM. EPA is Management Section, Air Planning and IV. Statutory and Executive Order approving these SIP revisions because Implementation Branch, Air and Reviews Radiation Division, U.S. Environmental they are consistent with the CAA. Under the CAA, the Administrator is Protection Agency, Region 4, 61 Forsyth II. Incorporation by Reference Street SW, Atlanta, Georgia 30303–8960. required to approve a SIP submission The telephone number is (404) 562– In this document, EPA is finalizing that complies with the provisions of the 9043. Mr. Lakeman can also be reached regulatory text that includes Act and applicable Federal regulations. via electronic mail at lakeman.sean@ incorporation by reference. In See 42 U.S.C. 7410(k); 40 CFR 52.02(a). epa.gov. accordance with requirements of 1 CFR Thus, in reviewing SIP submissions, 51.5, EPA is finalizing the incorporation EPA’s role is to approve state choices, SUPPLEMENTARY INFORMATION: by reference of Georgia’s air quality provided that they meet the criteria of I. Background Rules 391–3–1–.01, ‘‘Definitions,’’ 391– the CAA. These actions merely approve 3–1–.02(2)(c), ‘‘Incinerators,’’ and 391– state law as meeting Federal GA EPD submitted a SIP revision 3–1–.03(11) ‘‘Permits by Rule,’’ State requirements and does not impose through a letter dated July 31, 2018, to effective July 23, 2018, and Rule 391–3– additional requirements beyond those EPA for review and approval into the 1–.03(6), ‘‘Exemptions,’’ State effective imposed by state law. For that reason, Georgia SIP that contains changes to a August 9, 2012,5 which contain these actions: number of Georgia’s air quality rules in clarifying and administrative edits as • 1 Are not a significant regulatory Rule 391–3–1. The changes that EPA is described in the NPRMs. EPA has made, action subject to review by the Office of approving into the SIP through this and will continue to make, these Management and Budget under rulemaking revise Rule 391–3–1–.01, materials generally available through 2 Executive Orders 12866 (58 FR 51735, ‘‘Definitions,’’ Rule 391–3–1–.02(2)(c), www.regulations.gov and at the EPA October 4, 1993) and 13563 (76 FR 3821, ‘‘Incinerators,’’ Rule 391–3–1–.03(6), Region 4 Office (please contact the January 21, 2011); ‘‘Exemptions,’’ and Rule 391–3–1– person identified in the FOR FURTHER • Are not an Executive Order 13771 .03(11) ‘‘Permits by Rule.’’ INFORMATION CONTACT section of this (82 FR 9339, February 2, 2017) See EPA’s June 29, 2017 (82 FR preamble for more information). 3 regulatory action because SIP approvals 29418) direct final rule (DFR) and Therefore, these materials have been are exempted under Executive Order accompanying June 29, 2017 (82 FR approved by EPA for inclusion in the 12866; 29469) notice of proposed rulemaking SIP, have been incorporated by • Do not impose an information (NPRM) for further detail on the changes collection burden under the provisions 4 EPA posted a memorandum of record in the of the Paperwork Reduction Act (44 1 EPA received the submittal on August 2, 2018. Docket Identification No EPA–R04–OAR–2018– The cover letter includes other rule changes that 0711, to provide non-substantive clarification for U.S.C. 3501 et seq.); have been or will be addressed in separate EPA two inadvertent errors in the NPRM, related to • Are certified as not having a actions. characterizing the changes as non-attainment new significant economic impact on a 2 Consistent with Georgia’s request, EPA is source review related in the summary only and substantial number of small entities approving only the changes to the following incorrectly listing the state-effective date in the definitions: 391–3–1–.01(oo), ‘‘Manager,’’ 391–3–1– incorporation by reference section. The changes under the Regulatory Flexibility Act (5 .01(kkk), ‘‘Small Business Compliance Advisory were correctly characterized in the remainder of the U.S.C. 601 et seq.); Panel,’’ 391–3–1–.01(lll), ‘‘Small business stationary NPRM, and the submittal, with the correct effective • Do not contain any unfunded source or facility,’’ and 391–3–1–.01(mmm), ‘‘Small date and changes noted, was available during the mandate or significantly or uniquely business stationary source technical and comment phase. Please see the memorandum for environmental office.’’ more information. affect small governments, as described 3 EPA published a DFR and accompanying NPRM 5 In this action, EPA is approving changes to Rule in the Unfunded Mandates Reform Act to approve changes to Rule 391–3–1–.03(6) and 391–3–1–.03(6), ‘‘Exemptions’’ with a State- of 1995 (Pub. L. 104–4); other changes on June 29, 2017 (82 FR 29418). EPA effective date of July 13, 2006. However, for • Do not have federalism implications received adverse comments on the direct final purposes of the State-effective date included at 40 rule—though not on the portion of the rule CFR 52.570(c), this change to Georgia’s rule is as specified in Executive Order 13132 approving changes to Rule 391–3–1–.03(6)—and captured and superseded by EPA’s April 9, 2013 (78 (64 FR 43255, August 10, 1999); published a document withdrawing the DFR on FR 21065) action, which approved changes to Rule • Are not an economically significant August 22, 2017 (82 FR 39671). EPA is finalizing 391–3–1–.03(6) with a State-effective date of August regulatory action based on health or approval of the changes submitted to 391–3–1– 9, 2012. EPA is therefore retaining the later State- .03(6) based on the June 29, 2017 (82 FR 29469) effective date for Rule 391–3–1–.03(6) at 40 CFR NPRM. 52.570(c). 6 See 62 FR 27968 (May 22, 1997).

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safety risks subject to Executive Order agency promulgating the rule must reference, Intergovernmental relations, 13045 (62 FR 19885, April 23, 1997); submit a rule report, which includes a Ozone, Volatile organic compounds. • Are not a significant regulatory copy of the rule, to each House of the Dated: November 13, 2019. action subject to Executive Order 13211 Congress and to the Comptroller General Mary S. Walker, (66 FR 28355, May 22, 2001); of the United States. EPA will submit a Regional Administrator, Region 4. • Are not subject to requirements of report containing this action and other Section 12(d) of the National required information to the U.S. Senate, 40 CFR part 52 is amended as follows: Technology Transfer and Advancement the U.S. House of Representatives, and Act of 1995 (15 U.S.C. 272 note) because the Comptroller General of the United PART 52—APPROVAL AND application of those requirements would States prior to publication of the rule in PROMULGATION OF be inconsistent with the CAA; and the Federal Register. A major rule IMPLEMENTATION PLANS cannot take effect until 60 days after it • Do not provide EPA with the is published in the Federal Register. discretionary authority to address, as ■ 1. The authority citation for part 52 This action is not a ‘‘major rule’’ as appropriate, disproportionate human continues to read as follows: defined by 5 U.S.C. 804(2). health or environmental effects, using Under section 307(b)(1) of the CAA, Authority: 42 U.S.C. 7401 et seq. practicable and legally permissible petitions for judicial review of this methods, under Executive Order 12898 action must be filed in the United States Subpart L—Georgia (59 FR 7629, February 16, 1994). Court of Appeals for the appropriate The SIP is not approved to apply on circuit by January 21, 2020. Filing a ■ 2. Section 52.570(c) is amended by: any Indian reservation land or in any petition for reconsideration by the ■ other area where EPA or an Indian tribe a. Revising the entry for ‘‘391–3–1– Administrator of this final rule does not .01’’; has demonstrated that a tribe has affect the finality of this action for the jurisdiction. In those areas of Indian purposes of judicial review nor does it ■ b. Revising the entry for ‘‘391–3–1– country, the rule does not have tribal extend the time within which a petition .02(2)(c)’’ under the heading ‘‘Emissions implications as specified by Executive for judicial review may be filed, and Standards’’; and Order 13175 (65 FR 67249, November 9, shall not postpone the effectiveness of ■ c. Revising the entries for ‘‘391–3–1– 2000), nor will it impose substantial such rule or action. This action may not .03(6)’’ and ‘‘391–3–1-.03(11)’’ under the direct costs on tribal governments or be challenged later in proceedings to heading ‘‘Permits’’. preempt tribal law. enforce its requirements. See section The revisions read as follows: The Congressional Review Act, 5 307(b)(2). U.S.C. 801 et seq., as added by the Small § 52.570 Identification of plan. Business Regulatory Enforcement List of Subjects in 40 CFR Part 52 Fairness Act of 1996, generally provides Environmental protection, Air * * * * * that before a rule may take effect, the pollution control, Incorporation by (c) * * *

EPA-APPROVED GEORGIA REGULATIONS

State effective State citation Title/subject date EPA approval date Explanation

391–3–1–.01 .... Definitions ...... 7/23/2018 11/22/2019, [Insert citation Except the first paragraph, sections (a)–(nn), (pp)–(ccc), of publication]. (eee)–(jjj), (nnn)–(bbbb), (dddd)–(mmmm), (rrrr)– (ssss), approved on 12/4/2018 with a State-effective date of 7/20/2017; sections (ddd) and (cccc) - ap- proved on 2/2/1996 with a State-effective date of 11/ 20/1994; (nnnn), approved on 1/5/2017 with a State- effective date of 8/14/2016; and sections (oooo)– (qqqq), which are not in the SIP.

*******

Emissions Standards

******* 391–3–1– Incinerators ...... 7/23/2018 11/22/2019, [Insert citation .02(2)(c). of publication].

*******

Permits

******* 391–3–1–.03(6) Exemptions ...... 8/9/2012 4/9/2013, 78 FR 21065 ......

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EPA-APPROVED GEORGIA REGULATIONS—Continued

State effective State citation Title/subject date EPA approval date Explanation

******* 391–3–1– Permit by Rule ..... 7/23/2018 11/22/2019, [Insert citation Except sections (a)–(b)(5) and (b)(7)–(b)(10), approved .03(11). of publication]. on 2/9/2010 with a State-effective date of 7/20/2005; section (b)(6), approved on 3/13/2000 with a State-ef- fective date of 12/25/1997; and the phrase ‘‘or en- forceable as a practical matter’’ in section .03(11)(b)11.(i), which is not in the SIP.

*******

* * * * * material, such as copyrighted material, action are explained in the NPRM and [FR Doc. 2019–25286 Filed 11–21–19; 8:45 am] is not placed on the internet and will be will not be restated here. No public BILLING CODE 6560–50–P publicly available only in hard copy comments were received on the NPRM. form. Publicly available docket III. Final Action materials are available through https:// ENVIRONMENTAL PROTECTION www.regulations.gov, or please contact EPA is approving the West Virginia AGENCY the person identified in the ‘‘For Further section 111(d) plan for MSW landfills Information Contact’’ section for submitted pursuant to 40 CFR part 60, 40 CFR Part 62 additional availability information. subpart Cf. Therefore, EPA is amending 40 CFR part 62, subpart XX to reflect [EPA–R03–OAR–2019–0187; FRL–9999–80– FOR FURTHER INFORMATION CONTACT: this action. The scope of the approval of Region 3] Mike Gordon, Permits Branch (3AD10), the section 111(d) plan is limited to the Air & Radiation Division, U.S. Approval and Promulgation of State provisions of 40 CFR parts 60 and 62 for Environmental Protection Agency, Plans for Designated Facilities and existing MSW landfills, as referenced in Region III, 1650 Arch Street, Pollutants; West Virginia; Control of the emission guidelines, subpart Cf. The Philadelphia, Pennsylvania 19103. The Emissions From Existing Municipal EPA Administrator continues to retain telephone number is (215) 814–2039. Solid Waste Landfills authority for approval of alternative Mr. Gordon can also be reached via methods to determine the nonmethane AGENCY: Environmental Protection electronic mail at [email protected]. organic compound concentration or a Agency (EPA). SUPPLEMENTARY INFORMATION: site-specific methane generation rate ACTION: Final rule. I. Background constant (k), as stipulated in 40 SUMMARY: The Environmental Protection CFR 60.30f(c), as well as section 4.8.b, On July 1, 2019 (84 FR 31278), EPA ‘‘Implementation of Emission Agency (EPA) is approving a Clean Air published a notice of proposed Act (CAA) section 111(d) plan Guidelines for Existing MSW Landfills,’’ rulemaking (NPRM) for the State of of West Virginia’s 111(d) plan submittal. submitted by the West Virginia West Virginia. In the NPRM, EPA Department of Environmental Protection proposed approval of a Clean Air Act IV. Incorporation by Reference (WVDEP). This plan was submitted to (CAA) section 111(d) plan submitted by In accordance with the requirements fulfill the requirements of the CAA and the WVDEP. The formal State Plan was of 1 CFR 51.5, EPA is finalizing in response to EPA’s promulgation of submitted by West Virginia on regulatory text that includes the Emissions Guidelines and Compliance September 13, 2018. incorporation by reference of West Times for municipal solid waste (MSW) Virginia Code, specifically, West landfills. The West Virginia plan II. Summary of State Plan and EPA Analysis Virginia legislative rule 45 C.S.R. 23, establishes emission limits for existing effective June 1, 2018, entitled ‘‘Control MSW landfills, and provides for the EPA has reviewed the West Virginia of Air Pollution from Municipal Solid implementation and enforcement of section 111(d) plan submittal in the Waste Landfills,’’ which is part of the those limits. context of the requirements of 40 CFR CAA section 111(d) plan applicable to DATES: This final rule is effective on part 60, subparts B and Cf, and part 62, existing MSW landfills in West Virginia December 23, 2019. The incorporation subpart A. In this action, EPA is as discussed in section II of this by reference of certain material listed in determining that the submitted section preamble. The regulatory provisions of the rule is approved by the Director of 111(d) plan meets the above-cited 45 C.S.R. 23 establish emission the Federal Register as of December 23, requirements. Included within the standards and compliance times for the 2019. section 111(d) plan are regulations control of methane and other organic ADDRESSES: EPA has established a under the West Virginia Code, compounds from certain existing MSW docket for this action under Docket ID specifically, West Virginia legislative landfills located in West Virginia that Number EPA- EPA–R03–OAR–2019– rule 45 C.S.R. 23, entitled ‘‘Control of commenced construction, modification, 0187. All documents in the docket are Air Pollution from Municipal Solid or reconstruction on or before July 17, listed on the https:// Waste Landfills.’’ A detailed 2014. These provisions set forth www.regulations.gov website. Although explanation of the rationale behind this requirements meeting criteria listed in the index, some information is proposed approval is available in the promulgated by EPA at 40 CFR part 60, not publicly available, e.g., confidential Technical Support Document (TSD). subpart Cf. EPA has made, and will business information (CBI) or other Other specific requirements of West continue to make, 45 C.S.R. 23, as well information whose disclosure is Virginia’s State Plan for MSW landfills as the entire West Virginia plan, restricted by statute. Certain other and the rationale for EPA’s proposed generally available through

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www.regulations.gov, Docket No. EPA– • Is not subject to requirements of Incorporation by reference, R03–OAR–2019–0187, and at the EPA Section 12(d) of the National Intergovernmental relations, Methane, Region III Office (please contact the Technology Transfer and Advancement Ozone, Reporting and recordkeeping person identified in the FOR FURTHER Act of 1995 (15 U.S.C. 272 note) because requirements, Sulfur oxides, Volatile INFORMATION CONTACT section of this application of those requirements would organic compounds. preamble for more information). This be inconsistent with the CAA; and Dated: August 27, 2019. • Does not provide the EPA with the incorporation by reference has been Cosmo Servidio, approved by the Office of the Federal discretionary authority to address, as Regional Administrator, Region III. Register and the Plans are federally appropriate, disproportionate human enforceable under the CAA as of the health or environmental effects, using For the reasons stated in the effective date of this final rulemaking. practicable and legally permissible preamble, the Environmental Protection methods, under Executive Order 12898 Agency amends 40 CFR part 62 as V. Statutory and Executive Order (59 FR 7629, February 16, 1994). follows: Reviews In addition, this rule does not have PART 62—APPROVAL AND A. General Requirements tribal implications as specified by PROMULGATION OF STATE PLANS Executive Order 13175 (65 FR 67249, Under the Clean Air Act, the FOR DESIGNATED FACILITIES AND November 9, 2000), because the State Administrator is required to approve POLLUTANTS section 111(d) state plan submissions Plan is not approved to apply in Indian that comply with the provisions of the country located in the state, and EPA ■ 1. The authority citation for part 62 Act and applicable Federal regulations. notes that it will not impose substantial continues to read as follows: direct costs on tribal governments or 42 U.S.C. 7411(d); 40 CFR part 60, Authority: 42 U.S.C. 7401 et seq. subparts B and Cf; and 40 CFR part 62, preempt tribal law. subpart A. Thus, in reviewing CAA B. Submission to Congress and the Subpart XX—West Virginia section 111(d) state plan submissions, Comptroller General the EPA’s role is to approve state ■ 2. Section 62.12125 is revised to read The Congressional Review Act, 5 choices, provided that they meet the as follows: U.S.C. 801 et seq., as added by the Small criteria of the Act and implementing Business Regulatory Enforcement § 62.12125 Identification of plan. regulations. Accordingly, this action (a) West Virginia 111(d) plan for merely approves state law as meeting Fairness Act of 1996, generally provides municipal solid waste landfills, Federal requirements and does not that before a rule may take effect, the including delegation of Federal plan impose additional requirements beyond agency promulgating the rule must compliance schedule and reporting those imposed by state law. For that submit a rule report, which includes a requirements, as submitted to the reason, this action: copy of the rule, to each House of the • Is not a ‘‘significant regulatory Congress and to the Comptroller General Environmental Protection Agency on action’’ subject to review by the Office of the United States. EPA will submit a May 29, 1998, and as amended on May of Management and Budget under report containing this action and other 15, 2000, and December 20, 2000, to Executive Orders 12866 (58 FR 51735, required information to the U.S. Senate, implement 40 CFR part 60, subpart Cc. (b)(1) Control of landfill gas emissions October 4, 1993) and 13563 (76 FR 3821, the U.S. House of Representatives, and from existing municipal solid waste January 21, 2011); the Comptroller General of the United • Is not an Executive Order 13771 (82 States prior to publication of the rule in landfills, submitted by the West Virginia FR 9339, February 2, 2017) regulatory the Federal Register. A major rule Department of Environmental Protection action because this action is not cannot take effect until 60 days after it on September 13, 2018, to implement 40 significant under Executive Order is published in the Federal Register. CFR part 60, subpart Cf. The Plan 12866. This action is not a ‘‘major rule’’ as includes regulatory provisions cited in • Does not impose an information defined by 5 U.S.C. 804(2). paragraph (c) of this section, which the EPA incorporates by reference. collection burden under the provisions C. Petitions for Judicial Review of the Paperwork Reduction Act (44 (2) After December 23, 2019, the U.S.C. 3501 et seq.); Under section 307(b)(1) of the CAA, substantive requirements of the • Is certified as not having a petitions for judicial review of this municipal solid waste landfills state significant economic impact on a action must be filed in the United States plan are contained in paragraph (b) of substantial number of small entities Court of Appeals for the appropriate this section and owners and operators of under the Regulatory Flexibility Act (5 circuit by January 21, 2020. Filing a municipal solid waste landfills in West U.S.C. 601 et seq.); petition for reconsideration by the Virginia must comply with the • Does not contain any unfunded Administrator of this final rule does not requirements in paragraph (b) of this mandate or significantly or uniquely affect the finality of this action for the section. affect small governments, as described purposes of judicial review nor does it (c) Incorporation by reference. (1) The in the Unfunded Mandates Reform Act extend the time within which a petition material incorporated by reference in of 1995 (Pub. L. 104–4); for judicial review may be filed, and this section was approved by the • Does not have Federalism shall not postpone the effectiveness of Director of the Federal Register in implications as specified in Executive such rule or action. This action accordance with 5 U.S.C. 552(a) and 1 Order 13132 (64 FR 43255, August 10, approving West Virginia’s State Plan for CFR part 51. A copy of the material is 1999); existing MSW landfills may not be available electronically through • Is not an economically significant challenged later in proceedings to www.regulations.gov, Docket No. EPA– regulatory action based on health or enforce its requirements. (See section R03–OAR–2019–0187, or at the EPA safety risks subject to Executive Order 307(b)(2).) Region III office, 1650 Arch Street, 13045 (62 FR 19885, April 23, 1997); Philadelphia, PA 19103, 215–814–5000. • Is not a significant regulatory action List of Subjects in 40 CFR Part 62 Copies may be inspected at the National subject to Executive Order 13211 (66 FR Environmental protection, Air Archives and Records Administration 28355, May 22, 2001); pollution control, Landfills, (NARA). For information on the

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availability of this material at NARA, ACTION: Determination of Exception: the research was initially approved by a email [email protected] or go to: required use of single institutional single IRB or multiple IRBs. www.archives.gov/federal-register/cfr/ review board for cooperative research. Regulatory Allowance of Exceptions to ibr-locations.html. Single IRB Review Requirement (2) State of West Virginia, Secretary of SUMMARY: The Office for Human State, Code of State Regulations. Research Protections (OHRP), Office of The revised Common Rule provides (i) 45 CSR 23: West Virginia the Assistant Secretary for Health that the agency conducting or legislative rule; Title 45, Department of (OASH), Department of Health and supporting cooperative research may Environmental Protection, Air Quality; Human Services (HHS), excepts two except the research from the single IRB Series 23, Control of Air Pollution from categories of research from the required mandate. To do so, the agency must Municipal Solid Waste Landfills, use of a single institutional review both determine and document that effective June 1, 2018. board (IRB) to review cooperative using a single IRB is not appropriate in (ii) [Reserved] research under the HHS regulations for the particular context. See 45 CFR ■ 3. Section 62.12126 is revised to read the protection of human subjects. This 46.114(b)(2). as follows: determination is specific to research conducted or supported by HHS. Research Contexts Qualifying for Exception § 62.12126 Identification of sources. DATES: This exception is applicable as of (a) The plan in § 62.12125(a) applies November 22, 2019. With respect to HHS-conducted or supported research, OHRP has to all existing West Virginia municipal FOR FURTHER INFORMATION CONTACT: determined that the following research solid waste landfills for which Irene Stith-Coleman, Director, Division is excepted from the single IRB construction, reconstruction, or of Policy and Assurances, Office for mandate: (1) Cooperative research modification was commenced before Human Research Protections (OHRP), conducted or supported by HHS May 30, 1991 and that accepted waste Department of Health and Human agencies other than the National at any time since November 8, 1987, or Services, 1101 Wootton Parkway, Suite Institutes of Health (NIH), if an IRB that have additional capacity available 200, Rockville, MD 20852; telephone: approved the research before January for future waste deposition, as described 240–453–6900 or 1–866–447–4777; 20, 2020, or (2) cooperative research in 40 CFR part 60, subpart Cc. facsimile: 240–453–8409; email: conducted or supported by NIH if either (b) The plan in § 62.12125(b) applies [email protected]. to all existing municipal solid waste (a) the NIH single IRB policy 1 does not landfills under the jurisdiction of the SUPPLEMENTARY INFORMATION: apply, and the research was initially West Virginia Department of I. Background approved by an IRB before January 20, Environmental Protection for which 2020, or (b) NIH excepted the research construction, reconstruction, or Regulatory History from its single IRB policy before January modification was commenced on or In a final rule published on January 20, 2020. before July 17, 2014. 19, 2017, HHS and other Federal Cooperative Research Approved Before ■ 4. Section 62.12127 is revised to read departments and agencies revised the January 20, 2020 as follows: Federal Policy for the Protection of Human Subjects (the ‘‘Common Rule’’), In May 2019, the Association of § 62.12127 Effective date. codified with respect to HHS at subpart American Medical Colleges (AAMC), (a) The effective date of the plan A of 45 CFR part 46. The Common Rule the Council on Governmental Relations submitted on May 29, 1998, and as is followed by 19 other Federal (COGR), the Association of American amended on May 15, 2000 by the West departments and agencies, either as Universities (AAU), and the Association Virginia Department of Environmental Common Rule signatories, or as required of Public Land-Grant Universities Protection for municipal solid waste by Executive Order or statute. The (APLGU) wrote to the director of OHRP landfills is July 23, 2001. revised Common Rule, including expressing concern regarding the (b) The effective date of the plan amendments made by a January 22, application of the single IRB submitted on September 13, 2018 by the 2018 interim final rule (83 FR 2885) and requirement to cooperative research West Virginia Department of June 19, 2018 final rule (83 FR 28497) subject to the revised Common Rule Environmental Protection for municipal (also referred to as the ‘‘2018 when the research was approved before solid waste landfills is December 23, Requirements’’), became effective on January 20, 2020 (available at https:// 2019. July 19, 2018. www.aamc.org/download/497410/data/ The revised Common Rule requires finaljointassociationlettertoohr [FR Doc. 2019–25168 Filed 11–21–19; 8:45 am] ponsingleirb.pdf). The organizations BILLING CODE 6560–50–P that U.S. institutions engaged in cooperative research must rely on a asserted that much of the research single institutional review board (IRB) community did not fully understand the to review and approve the portion of the way this requirement would operate, DEPARTMENT OF HEALTH AND research conducted at domestic sites. and informed OHRP that shifting a HUMAN SERVICES See 45 CFR 46.114(b). The compliance multisite study in midstream to a single date for the single IRB requirement is IRB review system would be difficult 45 CFR Part 46 January 20, 2020. and expensive. On this basis, the organizations requested that OHRP issue The revised Common Rule applies to HHS Policy for the Protection of an exception to the single IRB all research initially approved by an IRB Human Research Subjects requirement for cooperative research on or after January 21, 2019. See 45 CFR conducted under the revised Common AGENCY: Office for Human Research 46.101(l)(5). As of January 20, 2020, the Protections (OHRP), Office of the compliance date for the single IRB 1 See ‘‘Guidance on Exceptions to the NIH Single Assistant Secretary for Health (OASH), requirement, all cooperative research IRB Policy’’ released October 11, 2017. Available at: Department of Health and Human subject to the revised Common Rule will https://grants.nih.gov/grants/guide/notice-files/ Services (HHS) be required to use a single IRB, whether NOT-OD-18-003.html.

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Rule and initiated before January 20, categories of cooperative research (e.g., II. Determination of Exception: 2020. training protocols for activities that do Required Use of Single Institutional OHRP has considered this request. not involve human subjects research at Review Board for Cooperative Research One of the objectives of the revised initiation). NIH also has issued case- The Office for Human Research Common Rule’s single IRB requirement specific exceptions to its single IRB Protections (OHRP) has determined that is to reduce administrative costs of policy for particular research studies. for HHS cooperative research subject to cooperative research. For cooperative However, on January 20, 2020, the the 2018 Requirements, and for research that already has been initially revised Common Rule single IRB purposes of 45 CFR 46.114(b)(2)(ii), an approved by multiple IRBs, the cost requirement will take effect for certain institution may continue to use multiple savings associated with reduced IRB studies, regardless of whether they are IRBs, in lieu of a single IRB, for the reviews would not be achieved by subject to NIH’s policy, which would following research: making the single IRB requirement require this NIH-conducted or (1) Cooperative research conducted or applicable to such cooperative research. supported by HHS agencies other than Members of the regulated community supported research to use a single IRB review structure. the National Institutes of Health (NIH), report that transitioning cooperative if an IRB initially approved the research research from multiple IRBs to a single As stated above, if more than one IRB before January 20, 2020. IRB would, conversely, be costly for initially reviewed and approved (2) Cooperative research conducted or most institutions. Further, excepting cooperative research, imposition of the supported by NIH if either: such research from the single IRB single IRB mandate in mid-stream could a. The NIH single IRB policy does not mandate would not adversely affect the result in increased costs and burdens to apply, and the research was initially rights and welfare of the research regulated entities, rather than cost approved by an IRB before January 20, subjects. For these reasons, OHRP has savings. Excepting such NIH-conducted 2020, or decided to except cooperative research or supported research from mandated b. NIH excepted the research from its approved before January 20, 2020, from single IRB review will not adversely single IRB policy before January 20, the single IRB mandate. This general affect the rights and welfare of the 2020. exception does not apply to NIH research subjects. Further, NIH has Note that this determination is only research; an NIH-specific exception is given thoughtful consideration to these made for purposes of section discussed infra. research contexts, and already 46.114(b)(2)(ii)—namely, for OHRP has determined that a relatively determined that single IRB review determining whether certain small number of HHS protocols (other cooperative research may be excepted should not be required. NIH deliberately than NIH research) will be eligible for from the single IRB mandate. This structured its single IRB policy such exception. OHRP surveyed the HHS determination does not prevent, nor that certain research would fall outside agency, other than NIH, that OHRP should it be viewed as discouraging, the expects conducts or supports the the scope of coverage. Likewise, in voluntary use of a single IRB in majority of such human subjects issuing case-by-case exceptions to its cooperative research subject to the 2018 research. Based on the information single IRB policy, NIH concluded that Requirements that would fall within the provided by that agency, OHRP single IRB review is not appropriate for above two categories. Further, note that understands that this agency is those particular research contexts. Thus, category (2)(b), above, applies for the supporting five ongoing cooperative OHRP has decided to except NIH duration of NIH’s exception from its research studies that are subject to the cooperative research from the Common policy for the particular research study; revised Common Rule. Approximately Rule single IRB mandate if either (a) the categories (1) and (2)(a) apply for the three to five additional cooperative NIH single IRB policy does not apply, duration of the research. research studies supported by this and the research was initially approved Dated: November 12, 2019. agency that would be subject to the by an IRB before January 20, 2020, or (b) revised Common Rule are expected to NIH excepted the research from its Jerry Menikoff, be initiated before January 20, 2020. single IRB policy before January 20, Director, Office for Human Research 2020. For more information on the NIH Protections. Cooperative Research Conducted or [FR Doc. 2019–25358 Filed 11–21–19; 8:45 am] Supported by NIH single IRB policy, see: https:// grants.nih.gov/grants/guide/notice-files/ BILLING CODE 4150–36–P The NIH policy on the use of a single NOT-OD-16-094.html. IRB for multi-site research has been in effect since January 25, 2018. It requires This exception is an exercise of DEPARTMENT OF COMMERCE all U.S. sites participating in NIH- OHRP’s enforcement discretion, as funded multi-site (i.e., two or more specifically permitted by 45 CFR National Oceanic and Atmospheric sites) studies involving non-exempt 46.114(b)(2), that affects relatively few Administration human subjects research where the sites research protocols for a limited time. As are following the same protocol to use required by 45 CFR 46.114(b)(2), OHRP 50 CFR Part 679 determines and documents that using a a single IRB for the review. Exceptions [Docket No. 180713633–9174–02] to this policy are made where review by single IRB is not appropriate for the the proposed IRB is prohibited by a described categories of research, and, for RTID 0648–XY016 federal, tribal, or state law, regulation, the reasons stated above, OHRP excepts this research from the single IRB Fisheries of the Exclusive Economic or policy, or if there is a compelling Zone Off Alaska; Atka Mackerel in the justification for the exception. NIH mandate. The full text of the exception is listed below, and may also be found Bering Sea and Aleutian Islands determines whether to grant an Management Area exception after an assessment of the in the ‘‘Single IRB Requirement’’ tab in need. NIH’s single IRB policy is largely the ‘‘Regulations, Policy, & Posting’’ AGENCY: National Marine Fisheries coextensive with the Common Rule section of the OHRP website (see Service (NMFS), National Oceanic and single IRB requirement, although NIH https://www.hhs.gov/ohrp/regulations- Atmospheric Administration (NOAA), designed its policy to exclude certain and-policy/index.html). Commerce.

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ACTION: Temporary rule; closure. responding to the most recent fisheries SUPPLEMENTARY INFORMATION: NMFS data in a timely fashion and would manages the groundfish fishery in the SUMMARY: NMFS is prohibiting directed delay the closure of the Atka mackerel BSAI exclusive economic zone fishing for Atka mackerel in the Bering directed fishing in the BS/EAI for according to the Fishery Management Sea subarea and Eastern Aleutian vessels participating in the BSAI trawl Plan for Groundfish of the Bering Sea District (BS/EAI) of the Bering Sea and limited access sector fishing. NMFS was and Aleutian Islands Management Area Aleutian Islands management area unable to publish a notice providing (FMP) prepared by the North Pacific (BSAI) by vessels participating in the time for public comment because the Fishery Management Council under BSAI trawl limited access sector. This most recent, relevant data only became authority of the Magnuson-Stevens action is necessary to prevent exceeding available as of November 18, 2019. Fishery Conservation and Management the 2019 total allowable catch (TAC) of The AA also finds good cause to Act. Regulations governing fishing by Atka mackerel in the BS/EAI allocated waive the 30-day delay in the effective U.S. vessels in accordance with the FMP to vessels participating in the BSAI date of this action under 5 U.S.C. appear at subpart H of 50 CFR part 600 trawl limited access sector. 553(d)(3). This finding is based upon and 50 CFR part 679. DATES: Effective 1200 hrs, Alaska local the reasons provided above for waiver of The 2019 TAC of Pacific ocean perch, time (A.l.t.), November 19, 2019, prior notice and opportunity for public in the EAI, allocated to vessels through 2400 hrs, A.l.t., December 31, comment. participating in the BSAI trawl limited 2019. This action is required by § 679.20 access sector fishery was established as a directed fishing allowance of 973 FOR FURTHER INFORMATION CONTACT: and is exempt from review under metric tons by the final 2019 and 2020 Steve Whitney, 907–586–7228. Executive Order 12866. harvest specifications for groundfish in SUPPLEMENTARY INFORMATION: NMFS Authority: 16 U.S.C. 1801 et seq. the BSAI (84 FR 9000, March 13, 2019). manages the groundfish fishery in the Dated: November 19, 2019. In accordance with § 679.20(d)(1)(iii), BSAI exclusive economic zone Jennifer M. Wallace, the Regional Administrator finds that according to the Fishery Management Acting Director, Office of Sustainable this directed fishing allowance has been Plan for Groundfish of the Bering Sea Fisheries, National Marine Fisheries Service. reached. Consequently, NMFS is and Aleutian Islands Management Area [FR Doc. 2019–25385 Filed 11–19–19; 4:15 pm] prohibiting directed fishing for Pacific (FMP) prepared by the North Pacific BILLING CODE 3510–22–P ocean perch in the EAI by vessels Fishery Management Council under participating in the BSAI trawl limited authority of the Magnuson-Stevens access sector fishery. While this closure Fishery Conservation and Management DEPARTMENT OF COMMERCE is effective, the maximum retainable Act. Regulations governing fishing by amounts at § 679.20(e) and (f) apply at U.S. vessels in accordance with the FMP National Oceanic and Atmospheric any time during a trip. appear at subpart H of 50 CFR part 600 Administration and 50 CFR part 679. Classification The 2019 TAC of Atka mackerel, in 50 CFR Part 679 This action responds to the best the BS/EAI, allocated to vessels available information recently obtained participating in the BSAI trawl limited [Docket No. 180713633–9174–02] from the fishery. The Assistant access sector fishery was established as RIN 0648–XY017 Administrator for Fisheries, NOAA, a directed fishing allowance of 2,050 (AA) finds good cause to waive the metric tons by the final 2019 and 2020 Fisheries of the Exclusive Economic requirement to provide prior notice and harvest specifications for groundfish in Zone Off Alaska; Pacific Ocean Perch opportunity for public comment the BSAI (84 FR 9000, March 13, 2019). in the Bering Sea and Aleutian Islands pursuant to the authority set forth at 5 In accordance with § 679.20(d)(1)(iii), Management Area U.S.C. 553(b)(B) as such a requirement the Regional Administrator finds that is impracticable and contrary to the AGENCY: National Marine Fisheries public interest. This requirement is this directed fishing allowance has been Service (NMFS), National Oceanic and impracticable and contrary to the public reached. Consequently, NMFS is Atmospheric Administration (NOAA), interest as it would prevent NMFS from prohibiting directed fishing for Atka Commerce. mackerel in the BS/EAI by vessels responding to the most recent fisheries participating in the BSAI trawl limited ACTION: Temporary rule; closure. data in a timely fashion and would delay the closure of the Pacific ocean access sector fishing. While this closure SUMMARY: NMFS is prohibiting directed perch directed fishery in the EAI for is effective, the maximum retainable fishing for Pacific ocean perch in the vessels participating in the BSAI trawl amounts at § 679.20(e) and (f) apply at Eastern Aleutian district (EAI) of the limited access sector fishery. NMFS was any time during a trip. Bering Sea and Aleutian Islands unable to publish a notice providing management area (BSAI) by vessels Classification time for public comment because the participating in the BSAI trawl limited most recent, relevant data only became This action responds to the best access sector fishery. This action is available as of November 18, 2019. available information recently obtained necessary to prevent exceeding the 2019 from the fishing. The Assistant The AA also finds good cause to total allowable catch (TAC) of Pacific waive the 30-day delay in the effective Administrator for Fisheries, NOAA, ocean perch in the EAI allocated to (AA) finds good cause to waive the date of this action under 5 U.S.C. vessels participating in the BSAI trawl 553(d)(3). This finding is based upon requirement to provide prior notice and limited access sector fishery. opportunity for public comment the reasons provided above for waiver of pursuant to the authority set forth at 5 DATES: Effective 1200 hrs, Alaska local prior notice and opportunity for public U.S.C. 553(b)(B) as such a requirement time (A.l.t.), November 19, 2019, comment. is impracticable and contrary to the through 2400 hrs, A.l.t., December 31, This action is required by § 679.20 public interest. This requirement is 2019. and is exempt from review under impracticable and contrary to the public FOR FURTHER INFORMATION CONTACT: Executive Order 12866. interest as it would prevent NMFS from Steve Whitney, 907–586–7228. Authority: 16 U.S.C. 1801 et seq.

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Dated: November 19, 2019. Jennifer M. Wallace, Acting Director, Office of Sustainable Fisheries, National Marine Fisheries Service. [FR Doc. 2019–25378 Filed 11–19–19; 4:15 pm] BILLING CODE 3510–22–P

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Proposed Rules Federal Register Vol. 84, No. 226

Friday, November 22, 2019

This section of the FEDERAL REGISTER mail in the Washington, DC area and at In November 2013, the Bureau issued contains notices to the public of the proposed the Bureau is subject to delay, a final rule titled ‘‘Integrated Mortgage issuance of rules and regulations. The commenters are encouraged to submit Disclosures under the Real Estate purpose of these notices is to give interested comments electronically. In general, all Settlement Procedures Act (Regulation persons an opportunity to participate in the comments received will be posted X) and the Truth In Lending Act rule making prior to the adoption of the final rules. without change to http:// (Regulation Z)’’ to implement sections www.regulations.gov. In addition, 1098 and 1100A of the Dodd-Frank Act comments will be available for public and, as amended, the rule took effect on BUREAU OF CONSUMER FINANCIAL inspection and copying at 1700 G Street, October 3, 2015.2 This document refers PROTECTION NW, Washington, DC 20552, on official to this rule as the ‘‘2013 TILA–RESPA business days between the hours of 10 Final Rule.’’ The Bureau amended the 12 CFR Parts 1024 and 1026 a.m. and 5 p.m. Eastern Time. You can 2013 TILA–RESPA Final Rule on two occasions before its effective date.3 This [Docket No. CFPB–2019–0055] make an appointment to inspect the documents by telephoning 202–435– document refers to the rule as amended Request for Information Regarding the 9169. when it took effect on October 3, 2015 Integrated Mortgage Disclosures All submissions in response to this as ‘‘the TRID Rule’’ or ‘‘the Rule.’’ As Under the Real Estate Settlement request for information, including discussed below, the Bureau has Procedures Act (Regulation X) and the attachments and other supporting determined that the TRID Rule is a Truth In Lending Act (Regulation Z) materials, will become part of the public significant rule and it will conduct an Rule Assessment record and subject to public disclosure. assessment of the Rule. Proprietary information or sensitive The Bureau also amended the TRID AGENCY: Bureau of Consumer Financial personal information, such as account Rule after the October 3, 2015 effective Protection. numbers or Social Security numbers, or date, in amendments issued in July 2017 4 ACTION: Assessment and request for names of other individuals, should not and April 2018. While such public comment. be included. Submissions will not be amendments are not intended to be the edited to remove any identifying or subject of this assessment, the Bureau SUMMARY: The Bureau of Consumer contact information. may consider certain of the amendments Financial Protection (Bureau) is FOR FURTHER INFORMATION CONTACT: to the extent that doing so will facilitate conducting an assessment of the Dustin Beckett, Economist; Pedro De a more meaningful assessment of the Integrated Mortgage Disclosures Under Oliveira, Senior Counsel; Alan Ellison, TRID Rule and data is available. the Real Estate Settlement Procedures Small Business Program Manager; Furthermore, the Bureau acknowledges Act (Regulation X) and the Truth In Division of Research, Markets, and that certain information, such as data focused on current mortgage practices, Lending Act (Regulation Z) Rule and Regulations at 202–435–7700. If you may reflect these 2017 and 2018 certain amendments in accordance with require this document in an alternative amendments and therefore it may be section 1022(d) of the Dodd-Frank Wall electronic format, please contact CFPB_ difficult to isolate the effects of the TRID Street Reform and Consumer Protection [email protected]. Act (Dodd-Frank Act). The Bureau is Rule during this assessment. This SUPPLEMENTARY INFORMATION: requesting public comment on its plans assessment will treat and discuss the for assessing this rule as well as certain Background challenge of distinguishing between the effects of the TRID Rule and the effects recommendations and information that Section 1022(d) of the Dodd-Frank of the 2017 and 2018 amendments to it may be useful in conducting the Act requires the Bureau to conduct an as a factor that makes it difficult to planned assessment. assessment of each significant rule or evaluate the effectiveness of the TRID DATES: Comments must be received on order adopted by the Bureau under or before: January 21, 2020. Rule. In this document, the Bureau is Federal consumer financial law. The requesting public comment on the ADDRESSES: You may submit comments, Bureau must publish a report of the issues identified below as part of the identified by Docket No. CFPB–2019– assessment not later than five years after planned assessment. 0055, by any of the following methods: the effective date of such rule or order. • Federal eRulemaking Portal: http:// The assessment must address, among Assessment Process www.regulations.gov. Follow the other relevant factors, the rule or order’s Assessments pursuant to section instructions for submitting comments. effectiveness in meeting the purposes 1022(d) of the Dodd-Frank Act are for • Email: [email protected]. and objectives of title X of the Dodd- informational purposes only and are not Include Docket No. CFPB–2019–0055 in Frank Act and the specific goals stated part of any formal or informal the subject line of the email. by the Bureau. The assessment also rulemaking proceedings under the • Mail/Hand Delivery/Courier: must reflect available evidence and any Administrative Procedure Act. The Comment Intake—TRID Assessment, data that the Bureau reasonably may Consumer Financial Protection Bureau, collect. Before publishing a report of its 2 78 FR 79730 (Dec. 31, 2013), 80 FR 43911 (July 1700 G Street NW, Washington, DC assessment, the Bureau must invite 24, 2015). 20552. public comment on recommendations 3 See 80 FR 8767 (Feb. 19, 2015) (January 2015 Instructions: The Bureau encourages for modifying, expanding, or Amendments); 80 FR 43911 (July 24, 2015) (July 2015 Amendments). 1 the early submission of comments. All eliminating the rule or order. 4 See 82 FR 37656 (Aug. 11, 2017) (July 2017 submissions must include the document Amendments); 83 FR 19159 (May 2, 2018) (April title and docket number. Because paper 1 12 U.S.C. 5512(d). 2018 Amendments).

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Bureau plans to consider relevant 1. Integration of Certain Mortgage creditors.14 The TRID Rule also requires comments and other information Disclosures consistent formatting in the Loan received as it conducts the assessment Estimate and Closing Disclosure forms, The TRID Rule implemented the and prepares an assessment report. The to facilitate consumer understanding to Dodd-Frank Act’s directive to combine Bureau does not, however, expect that it aid in consumers’ ability to identify certain disclosures that consumers will respond to each comment received discrepancies or changes that occurred received under TILA and RESPA in pursuant to this document in the in loan terms or costs after a Loan connection with applying for and assessment report. Furthermore, the Estimate is provided.15 closing on a mortgage loan. Specifically, Bureau does not anticipate that the the TRID Rule’s Loan Estimate form 3. Disclosure Provision Responsibility assessment report will include specific integrated RESPA’s Good Faith Estimate proposals by the Bureau to modify any The TRID Rule changed how certain (GFE) and TILA’s initial disclosure, rules, although the findings made in the required information was disclosed. For while the TRID Rule’s Closing assessment will help to inform the example, the TRID Rule changed who Disclosure form integrated RESPA’s Bureau’s general understanding of was responsible for disclosing title HUD–1 settlement statement and TILA’s implementation costs and regulatory insurance premiums for federally final disclosure. benefits for future rulemakings.5 Upon related mortgage loans.16 Whereas TILA completion of the assessment, the 2. Disclosure Redesign required the creditor to provide the Bureau anticipates that it will issue an Truth in Lending disclosures and The TRID Rule not only combined assessment report not later than October RESPA required settlement agents to previous TILA and RESPA disclosures 3, 2020.6 provide the final HUD–1 settlement but also required that all creditors use statement, the TRID Rule reconciled The TILA–RESPA Integrated Disclosure standardized forms (i.e., the Loan these statutory differences by making Rule Estimate and the Closing Disclosure) for the creditor, rather than the settlement For more than 30 years, Federal law most transactions, so that consumers get agent, ultimately responsible for required creditors and settlement agents information in the same way across providing the integrated Closing to provide two different sets of multiple applications, including Disclosure.17 While creditors were disclosure forms to consumers applying applications to different creditors or for coordinating with settlement agents to for and consummating consumer different loan products, thereby making provide existing TILA and RESPA it easier for consumers to comparison disclosures before the TRID Rule, by mortgage transactions. Two different 9 Federal agencies, the Department of shop. While Regulation X already reallocating legal responsibility to required a standard form for RESPA creditors to provide disclosures, the Housing and Urban Development and 10 the Board of Governors of the Federal disclosures, TILA section 105(b) TRID Rule also reallocated to them some Reserve System, developed these explicitly provides that nothing in TILA of the risks of liability for regulatory disclosure forms separately, under two may be construed to require a creditor violations. distinct Federal statutes: the Truth in to use any model form or clause prescribed by the Bureau under that 4. Definition of an Application Lending Act (TILA) and the Real Estate 11 Settlement Procedures Act of 1974 section. Section 1100A (5) of the The TRID Rule revised the regulatory (RESPA). In 2010, under the Dodd- Dodd-Frank Act amended TILA section definition of a consumer mortgage loan Frank Act sections 1032(f), 1098, and 105(b) to require that the Bureau ‘‘application.’’ 18 Under the Rule, an 1100A, Congress directed the Bureau to publish a single, integrated disclosure ‘‘application’’ consists of six specific integrate TILA and RESPA mortgage for mortgage loan transactions items: The consumer’s name, income, loan disclosures.7 At the same time, (including real estate settlement cost social security number, property Congress also enacted a number of other statements) which includes the address, estimated property value, and new provisions governing disclosures disclosure requirements of TILA in the mortgage loan amount.19 conjunction with the disclosure related to origination and servicing of 5. Timing Requirements consumer mortgages, including several requirements of RESPA that, taken new disclosure requirements added to together, may apply to a transaction that The TRID Rule changed the timing of is subject to both or either provisions of when consumers receive certain TILA. Many of these requirements were 12 implemented by the Bureau in the TRID law. Unlike prior TILA mortgage information. The TRID Rule requires Rule.8 The major provisions of the TRID disclosure requirements, the TRID Rule that within three business days of Rule are summarized below. generally does not permit creditors to receiving an application, as defined by make changes to the standardized A. Major Provisions of the TRID Rule forms.13 The redesigned and 14 78 FR at 80079. 15 The TRID Rule contains six major standardized disclosures display key 78 FR at 80074. loan features in a manner intended to 16 78 FR at 79964. Previously, the simultaneous elements. title insurance premiums would be disclosed in enable consumers to locate the features accordance with State law allocations. The TRID 5 The Bureau announces its rulemaking plans in quickly through headings and labels. Rule mandated disclosure of the full cost of the semiannual updates of its rulemaking agenda, Moreover, the TRID Rule requires that creditor’s title insurance policy when such which are posted as part of the Federal creditors use a standardized format for insurance is required by the creditor and of the government’s Unified Agenda of Regulatory and incremental cost of the optional owner’s title Deregulatory Actions. The current Unified Agenda most consumer mortgage transactions, insurance policy. The Bureau decided that benefit can be found here: http://www.reginfo.gov/public/ so that consumers are presented of clearly disclosing a required cost outweighed the do/eAgendaMain. information in the same manner across benefit of disclosing the lender’s and owner’s 6 Section 1022(d)(2) of the Dodd-Frank Act multiple loan types and multiple nominal title insurance premiums since such a requires the Bureau to publish a report of nominal disclosure may result in confusion about assessment of a significant rule or order not later what the consumer would actually pay if the than five years after the rule or order’s effective 9 78 FR at 80079. consumer did not obtain an owner’s title insurance date. 10 12 CFR 1024.8. policy. 7 Public Law 111–203, 124 Stat. 1376, 2007, 11 15 U.S.C. 1604(b). 17 78 FR at 79731. 2103–04, 2107–09 (2010). 12 Id. 18 78 FR at 80083–84. 8 See 78 FR at 79750–53. 13 12 CFR 1026.37(o); 12 CFR 1026.38(t)(3). 19 12 CFR 1026.2(a)(3)(ii).

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the Rule, a creditor must provide a Loan 6. Tolerance Rules the TRID Rule. To avoid or mitigate this 20 Estimate to a consumer. The Rule also The TRID Rule also tightened the risk, creditors may have increased the integrated the timing requirements of tolerance rules that limit creditors and resources they devote to quality control the TILA final disclosure and RESPA third party service providers charging to eliminate or reduce such defects in HUD–1 by generally requiring that consumers settlement costs that exceed the disclosures they provide to consumers receive Closing Disclosures the estimates that had been previously consumers during origination. no later than three business days before disclosed.26 Absent timely revised Third, the TRID Rule may have also consummation.21 disclosures from the creditor based on affected quality control operations For applications submitted to a certain valid justifications such as a because, as described above, the Rule mortgage broker, prior to the TRID Rule, borrower-requested change, the TRID requires that all creditors use Regulation X had already permitted a Rule subjects a larger category of standardized forms for most consumer mortgage broker on a creditor’s behalf to charges to a ‘‘zero tolerance’’ transactions,29 which can alter the risk provide a RESPA GFE not later than prohibition on cost increases than was of formatting-related regulatory three business days after a mortgage the case under RESPA. Specifically, the violations whether that is risk broker received information from a TRID Rule expands that ‘‘zero increasing due to the change from consumer sufficient to complete an tolerance’’ category to also include fees model forms under TILA to prescribed, application. Regulation X also assigned charged by affiliates of creditors and standard forms consistent with RESPA, creditors the responsibility for fees charged by service providers or risk decreasing associated with ascertaining whether mortgage brokers selected by the creditor and fees for providing fewer number of forms per had provided GFEs to consumers.22 services for which the Rule does not mortgage transaction under TRID. 27 However, the TILA disclosure permit consumers to shop. Moreover, quality control operations are affected because the TRID Rule subjects requirements under Regulation Z did B. Significant Rule Determination not apply to mortgage brokers.23 a larger category of charges to a ‘‘zero The The Bureau has determined that the TRID Rule reconciled these differences tolerance’’ prohibition on cost TRID Rule is a significant rule for increases,30 and implemented several by making creditors responsible for purposes of Dodd-Frank Act section ensuring that mortgage brokers provide new disclosure requirements added to 1022(d).28 The Bureau made this Loan Estimates to consumers within TILA by the Dodd-Frank Act, including determination based on a number of three business days of mortgage brokers some disclosures that, if creditors did factors, including the following. First, receiving the six specific application not give accurate ones, can give the Bureau considered the TRID Rule’s items (i.e., the three-business-day period consumers private rights of action effect on the features of consumer 31 begins even if creditors have not yet against creditors. financial products and services, that is, received the six specific application Finally, the Bureau considered the mortgages, and the scale of operation items from mortgage brokers). costs of the TRID Rule. In the 1022(b)(2) changes caused by the Rule. The major cost-benefit analysis that accompanied The three-business-day period may elements of the TRID Rule described in the 2013 TILA–RESPA Final Rule, the facilitate consumers identifying whether the preceding section have caused Bureau estimated that the major costs of and how the terms of their loans or of significant changes in business the Rule would be one-time their transactions may have changed operations. implementation costs, primarily labor from what creditors or mortgage brokers Second, while generally creditors costs, which creditors, settlement agents previously disclosed to them.24 To were already responsible for the GFE, by or third-party providers would incur to prevent closing delays, the TRID Rule reallocating responsibility for update systems and procedures to allows creditors to update Closing completing and providing settlement comply with the Rule. Specifically, the Disclosures in certain circumstances disclosures to the consumer, the TRID Bureau estimated that the Rule would without triggering an additional three- Rule reallocated from settlement agents impose one-time costs of approximately business-day waiting period.25 to creditors some of the risks of liability $1 billion on creditors and for regulatory violations. Such legal risk approximately $340 million on 20 12 CFR 1026.19(e)(1). in turn may increase the risk to creditors settlement agents. In its analysis, the 21 78 FR at 80086. TILA, as implemented by that those who purchase their loans in Regulation Z, generally provides that, if the early Bureau amortized all costs over five the secondary market will demand that years, using a simple straight-line TILA disclosures contain an APR that becomes creditors repurchase the loans if they inaccurate, the creditor shall furnish corrected TILA amortization, resulting in an estimate of disclosures so that they are received by the were not originated in compliance with approximately $275 million per year of consumer not later than three business days before cost for each of the five years. The consummation. On the other hand, RESPA and 26 78 FR at 80084. The preexisting RESPA GFE Regulation X generally require that the RESPA tolerance rules generally place charges into three Bureau also stated that the ongoing costs settlement statement be provided to the borrower at categories: The creditor’s charges for its own of the Rule would be ‘‘negligible’’ or before settlement. services, which cannot exceed the creditor’s relative to the baseline of existing 22 78 FR at 79799–801. estimates unless an exception applies (‘‘zero regulatory requirements.32 23 Id. tolerance’’); charges for settlement services 24 78 FR at 80086. provided by third parties, which cannot exceed Taking these factors and others into 25 12 CFR 1026.19(f)(2)(i); see also 78 FR at 80086. estimated amounts by more than ten percent unless consideration, the Bureau concluded If, between the time the Closing Disclosure is first an exception applies (‘‘ten percent tolerance’’); and that the TRID Rule is ‘‘significant’’ for provided and consummation, the loan’s APR other charges that are not subject to any limitation purposes of section 1022(d) of the Dodd- becomes inaccurate (over and above the specified on increases (‘‘no tolerance limit’’). tolerance level), the loan product changes, or a 27 Id. Frank Act. Section 1022(d) therefore prepayment penalty is added, a corrected Closing 28 For more information on how the Bureau requires the Bureau to conduct an Disclosure must be issued with an additional three- determines a rule’s significance for purposes of assessment of the TRID Rule. business-day period to review the transaction. All section 1022(d) of the Dodd-Frank Act, see U.S. other changes to the Closing Disclosure may be Gov’t Accountability Office, Dodd-Frank 29 made without an additional three-business-day Regulations: Consumer Financial Protection Bureau 78 FR at 79993–94. waiting period, but a corrected Closing Disclosure Needs a Systematic Process to Prioritize Consumer 30 See supra note 23. must be provided at or before consummation. See Risks, December 2018, https://www.gao.gov/assets/ 31 See supra note 8. 12 CFR 1026.19(f)(2)(ii). 700/696200.pdf. 32 78 FR at 80076.

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The Assessment Plan understanding their mortgage loan data that the Bureau may reasonably Pursuant to section 1022(d) of the transactions, facilitate cost comparisons, collect, including third-party sources Dodd Frank Act, this assessment must and assist consumers in making (see more detail below regarding the address, among other relevant factors, decisions regarding their mortgage Bureau’s research activities, data the Rule’s effectiveness in meeting the loans, including helping consumers sources, and comment requests). purposes and objectives of title X of the decide whether they can afford a loan as 36 The Bureau has been conducting, and Dodd-Frank Act and the specific goals offered. By combining the TILA and RESPA will continue to conduct, external of the TRID Rule as stated by the outreach meetings with industry Bureau. disclosures, the TRID Rule also sought to identify and reconcile inconsistencies (including trade associations), other Purposes and Objectives of Title X. government agencies, and consumer Section 1021 of the Dodd-Frank Act between TILA and RESPA requirements to reduce regulatory burdens.37 groups (including housing counselors). states that the Bureau shall seek to The primary goal of this outreach is for implement and, where applicable, Scope and approach. To assess the effectiveness of the TRID Rule in the Bureau to become better informed of enforce Federal consumer financial law the potential effects of the Rule on consistently for the purpose of ensuring meeting these goals and the purposes various market segments. that all consumers have access to and objectives of the Dodd-Frank Act, markets for consumer financial products the Bureau’s current assessment plan is Other research activities in addition and services and that markets for informed by a cost-benefit perspective. to those described in the remainder of consumer financial products and While section 1022(d) of the Dodd- this section may also be considered as services are fair, transparent, and Frank Act does not expressly require appropriate, and the Bureau is competitive.33 Section 1021 also sets cost-benefit analysis, the Bureau interested in suggestions from forth the Bureau’s objectives, which are believes such a cost-benefit perspective stakeholders regarding additional to exercise its authorities under Federal could be helpful in conducting this research activities that the Bureau could consumer financial law for the purposes assessment, as a consideration of conduct to better assess the Rule. of ensuring that, with respect to benefits and costs will assist the Bureau consumer financial products and in evaluating the effectiveness of the 1. Assessing Consumer Effects TRID Rule. In particular, such an services: The approach to examining the TRID (a) Consumers are provided with approach to evaluating the TRID Rule is consistent with the fact that the Bureau Rule’s effect on consumers is shaped by timely and understandable information four broad research questions based on to make responsible decisions about issued the TRID Rule after conducting a the aforementioned goals of the Rule, financial transactions; benefit cost analysis under section (b) Consumers are protected from 1022(b)(2) of the Dodd-Frank Act. namely, how the TRID Rule affected unfair, deceptive, or abusive acts and Research questions under the Bureau’s consumers’: (i) Understanding of their practices and from discrimination; assessment plan seek to quantify the mortgage disclosures; (ii) mortgage and (c) Outdated, unnecessary, or unduly costs and benefits of the TRID Rule as settlement service shopping behaviors; burdensome regulations are regularly implemented, to the extent that (iii) satisfaction with their mortgage identified and addressed in order to available data and resources allow, with disclosures, mortgage products, and reduce unwarranted regulatory burdens; a focus on the: (i) Effects on consumers; settlement services; and (iv) ability to (d) Federal consumer financial law is (ii) effects on firms, particularly compare and choose among mortgages enforced consistently, without regard to creditors, settlement service providers and settlement services. Internal Bureau the status of a person as a depository (including title agents), mortgage data can provide insight on many of institution, in order to promote fair brokers, consumers, and others; and (iii) these research questions. The TRID competition; and effects on markets related to mortgage disclosure testing, conducted during the (e) Markets for consumer financial origination. The Bureau believes that process that resulted in the 2015 TRID products and services operate studying this set of effects will provide Rule, can provide causal estimates of transparently and efficiently to facilitate the most useful information for the effect of the new disclosures on access and innovation.34 stakeholders, including potential future consumer understanding and on Specific goals of the TRID Rule. policymakers. consumers’ ability to compare mortgage Sections 1098 and 1100A of the Dodd- To the extent possible, the assessment terms across different mortgage Frank Act set forth two goals for the will associate Rule requirements with products. In addition, analysis of the TRID Rule: ‘‘to facilitate compliance observed outcomes of interest. In certain National Survey of Mortgage with the disclosure requirements of cases, data may be available that will Originations (NSMO) can provide [TILA and RESPA]’’ and ‘‘to aid the allow the Bureau to identify effects correlational estimates of how much borrower or lessee in understanding the caused by the Rule. However, more consumers’ knowledge, shopping, and transaction by utilizing readily generally, the presence of multiple other satisfaction changed after the Rule took understandable language to simplify the factors that affect the mortgage market effect. technical nature of the disclosures.’’ 35 independently of the Rule may make it The Bureau stated a number of goals challenging to identify exact measures 2. Assessing Firm Effects in the final TRID Rule, the preamble to of the effects of the Rule. In general, any the final TRID Rule, and in public association between observed outcomes The approach to assessing the TRID statements surrounding the release of and requirements of the Rule, while Rule’s effect on firms is shaped by four the Rule. Generally, these goals reflect informative as to the effectiveness of the broad research questions: (i) What were the goals set forth in the Dodd-Frank Rule, does not necessarily prove the the TRID Rule’s implementation costs to Act. In promulgating the Rule, the Rule caused that outcome. In firms; (ii) what are the TRID Rule’s Bureau sought to: Aid consumers in conducting this assessment, the Bureau ongoing costs and cost savings to firms; will consider existing mortgage data and (iii) how did the TRID Rule affect 33 12 U.S.C. 5511(a) creditor’s ability to sell mortgages to 34 12 U.S.C. 5511(b)(1)–(5). 36 78 FR at 79730. others on the secondary market; and (iv) 35 12 U.S.C. 2603(a), 15 U.S.C. 1604(b). 37 78 FR at 79730. how did the TRID Rule affect the way

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creditors disclose information to transaction volume, and market approximately 63 comments related to consumers? 38 structure, among other ways. The the TRID Rule. Most TRID-related To address these questions, the assessment’s approach to market effects comments were submitted to the Bureau envisions conducting structured is thus reflected by three broad Adopted Regulations and New interviews and surveys with industry questions: (i) Did the TRID Rule affect Rulemaking Authorities RFI and to the participants as well as using relevant the price of mortgages or the volume of Inherited Regulations and Inherited data the Bureau already possesses and mortgage originations in the aggregate or Rulemaking Authorities RFI third-party information that may be for particular market segments or (Rulemaking RFIs).40 Trade useful. Surveying and interviewing mortgage product types (e.g., associations, consumer advocacy creditors and settlement agents will construction loans, subordinate liens, groups, and others from industry help the Bureau to assess firms’ manufactured housing, etc.)?, (ii) did provided comments relevant to the implementation costs, ongoing costs, the TRID Rule affect entry, exit, or TRID Rule. The assessment plan and and cost savings, and allow the consolidation in any parts of the research questions reflect the assessment to assess how the accuracy mortgage market?, and (iii) did the TRID information provided to the Bureau in and timing of disclosures changed as a Rule’s specific provisions affect market response to the Calls for Evidence, to result of the TRID Rule and where structure by changing the relationship the extent the comments highlighted creditors faced particular difficulties, if between various providers (e.g., topics concerning the TRID Rule. any, with respect to disclosures creditors and settlement agents or Comments to the Rulemaking RFIs creditors provided. creditors and their affiliates)? generally centered on topics and issues The Bureau anticipates that To assess market effects, the pertaining to TRID including curing interviewing creditors and quality assessment will rely first on data the violations, secondary market issues, control providers will provide insight Bureau already possess, such as Home applicability to specific products, on potential difficulties the TRID Rule Mortgage Disclosure Act (HMDA) data disclosure redesign, legal liability, and may cause for creditors seeking to sell and the National Mortgage Database title insurance. For example, with mortgage loans in the secondary market. (NMDB) and stress testing data from the regard to secondary market issues, two In addition, the Bureau may use loan- Federal Reserve (Y–14 data). These trade groups expressed concerns that level securities data from the Bloomberg datasets may be used to identify changes creditors will need to either retain in Terminal and aggregate secondary in overall loan volumes, mortgage portfolio or sell on the ‘‘scratch and market data from Inside Mortgage prices, price dispersions, and the dent’’ secondary market at a steep Finance (IMF) to assess the TRID Rule’s availability of mortgage products. In discount loans containing TRID errors. effect on creditors selling loans on the addition, the assessment will rely on the Commenters indicated that this secondary market. same survey and structured interviews treatment of loans results in lack of Additional data that would be with industry participants that would be liquidity or losses for the lender. informative to the Bureau in used to consider costs on the firm side. Commenters also indicated that lenders understanding the effects of the Rule on The industry survey will allow the can face higher risk of receiving creditors providing disclosures to Bureau to assess specific areas of the buyback requests, which are demands consumers include a consumer-level market or mortgage product types (e.g., from investors (most often GSEs) that dataset. Such a dataset would be most construction loans, subordinate liens, lenders buy back the loan from the informative if it covered a period before manufactured housing, etc.). Surveying creditor due to documentation errors or and after the effective date of the TRID creditors and settlement agents will other irregularities. As another example, Rule and if it included all or most TILA allow us to assess changes in the a trade group commented that many and RESPA related mortgage loan relationship between creditors and creditors have been hesitant to offer disclosures that creditors provided to settlement agents as a result of their more complex mortgage products, consumers in the process of obtaining a changing roles under the TRID Rule. including, among others, construction mortgage loan. The ideal fields Surveying creditors will also allow the loans, for fear of misinterpreting TRID contained in this dataset would include Bureau to assess changes in the requirements. Four commenters the type of disclosure, the date it was relationships between creditors and provided comments relating to the disclosed, if the creditor re-disclosed other entities involved in mortgage construction loan market specifically. forms, the reason for the creditor’s re- transactions as a result of the TRID Most of these commenters requested disclosure, and fields for information Rule’s changed disclosure tolerances. additional guidance or simpler contained on the forms (i.e., loan terms, Comments from the 2018 Call for disclosures for construction loans. loan structure, loan fees, closing costs, Evidence. The Bureau is considering in In March of 2018, as part of the 2018 etc.). This dataset would help the its TRID Rule assessment plan the Call for Evidence series, the Bureau also Bureau understand how the Rule comments received in relation to the issued the Bureau Guidance and affected the information consumers TRID Rule during the 2018 Call for Implementation Support Request for received from creditors (e.g., have initial Evidence Requests for Information Information (Guidance RFI), a request 39 disclosures become more accurate? Or (RFIs). The Bureau received for comment and information to assist timelier?). the Bureau in assessing the overall 39 In January 2018, the Bureau commenced a effectiveness and accessibility of its 3. Assessing the Effects on Markets ‘‘Call for Evidence’’ to ensure that the Bureau is guidance materials and activities Related to Mortgage Origination fulfilling its proper and appropriate functions to best protect consumers. Over a number of weeks, (including implementation support) to Consumer demand and firm supply the Bureau published in the Federal Register a interact in markets. This interaction can series of Requests for Information (RFIs) seeking 40 For comments on the Adopted Regulations and comment on enforcement, supervision, rulemaking, New Rulemaking Authorities Request for be measured in transaction prices, market monitoring, complaint handling, and Information, see https://www.regulations.gov/ education activities. These RFIs provided an docket?D=CFPB-2018-0011. For comments on the 38 In assessing the effects of the Rule on firms, the opportunity for the public to submit feedback and Bureau’s Inherited Regulations and Inherited Bureau will also strive to identify outdated, suggest ways to improve outcomes for both Rulemaking Authorities Request for Information, unnecessary, or unduly burdensome aspects of the consumers and covered entities. Altogether, over see https://www.regulations.gov/docket?D=CFPB- TRID Rule. See 12 U.S.C. 5511(b)(3). 88,000 comments were received across 12 dockets. 2018-0012.

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members of the general public and (2) Data and other factual information certain International Aero Engines, LLC regulated entities.41 The comments the that the Bureau may find useful in (IAE) PW1133G–JM, PW1133GA–JM, Bureau received in response to the executing its assessment plan and PW1130G–JM, PW1129G–JM, Guidance RFI highlight the importance answering related research questions, PW1127G–JM, PW1127GA–JM, of guidance and compliance aids for particularly research questions that may PW1127G1–JM, PW1124G–JM, regulatory implementation, specifically be difficult to address with the data PW1124G1–JM, and PW1122G–JM for implementing highly technical rules currently available to the Bureau, as model turbofan engines. This proposed such as the TRID Rule.42 They also described in part IV above; AD was prompted by reports of failures highlighted certain aspects of guidance (3) Recommendations to improve the of certain low-pressure turbine (LPT) that were not addressed or guidance assessment plan, as well as data, other 3rd-stage blades. This proposed AD styles that did not work well such as factual information, and sources of data would require replacement of the providing more guidance on what that would be useful and available to affected LPT 3rd-stage blades. The FAA requirements of the TRID Rule apply to the Bureau to execute any is proposing this AD to address the different segments of the market and recommended improvements to the unsafe condition on these products. providing specific examples to facilitate assessment plan; DATES: The FAA must receive comments compliance. For assessment purposes of (4) Data and other factual information on this proposed AD by January 6, 2020. the TRID Rule, the Bureau is interested about the benefits and costs of the TRID ADDRESSES: You may send comments, in learning more about any aspects of Rule for consumers, creditors, or other using the procedures found in 14 CFR the Rule that were confusing or on stakeholders; 11.43 and 11.45, by any of the following which more guidance was needed, (5) Data and other factual information methods: whether at the time the Rule took effect about the effects of the Rule on • Federal eRulemaking Portal: Go to or afterwards, and the effects of this transparency, efficiency, access, and https://www.regulations.gov. Follow the confusion or lack of guidance (including innovation in the mortgage market; instructions for submitting comments. any unintended effects on market (6) Data and other factual information • Fax: 202–493–2251. liquidity in any sectors of the housing about the Rule’s effectiveness in • Mail: U.S. Department of finance system). meeting the purposes and objectives of Transportation, Docket Operations, M– Request for Comment title X of the Dodd-Frank Act (section 30, West Building Ground Floor, Room 1021), which are listed in part IV above; W12–140, 1200 New Jersey Avenue SE, The Bureau hereby invites members (7) Data and other factual information of the public to submit information and Washington, DC 20590. on the disclosure dataset specified in • Hand Delivery: Deliver to Mail other comments relevant to the issues the Assessing Firm Effects section above identified above and below, information address above between 9 a.m. and 5 under part IV; p.m., Monday through Friday, except relevant to enumerating costs and (8) Comments on any aspects of the benefits of the TRID Rule to inform the Federal holidays. TRID Rule that were or are confusing or For service information identified in assessment’s cost-benefit perspective, on which more guidance was or is and any other information relevant to this NPRM, contact International Aero needed during implementation Engines, LLC, 400 Main Street, East assessing the effectiveness of the TRID including whether the issues have been Rule in meeting the purposes and Hartford, CT 06118; phone: 800–565– resolved or remain unresolved; and 0140; email: [email protected]; objectives of title X of the Dodd-Frank (9) Recommendations for modifying, Act (section 1021) and the specific goals internet: https://fleetcare.pw.utc.com. expanding, or eliminating the TRID You may view this service information of the Bureau. In particular, the Bureau Rule. invites the public, including consumers at the FAA, Engine and Propeller and their advocates, housing counselors, Dated: November 13, 2019. Standards Branch, 1200 District mortgage creditors, settlement agents, Kathleen L. Kraninger, Avenue, Burlington, MA 01803. For and other industry participant, industry Director, Bureau of Consumer Financial information on the availability of this analysts, and other interested persons to Protection. material at the FAA, call 781–238–7759. submit comments on any or all of the [FR Doc. 2019–25260 Filed 11–21–19; 8:45 am] Examining the AD Docket following: BILLING CODE 4810–AM–P (1) Comments on the feasibility and You may examine the AD docket on effectiveness of the assessment plan, the the internet at https:// www.regulations.gov by searching for objectives of the TRID Rule that the DEPARTMENT OF TRANSPORTATION Bureau intends to use in the assessment, and locating Docket No. FAA–2019– and the outcomes, metrics, baselines, Federal Aviation Administration 0906; or in person at Docket Operations and analytical methods for assessing the between 9 a.m. and 5 p.m., Monday effectiveness of the Rule as described in 14 CFR Part 39 through Friday, except Federal holidays. part IV above; The AD docket contains this NPRM, the [Docket No. FAA–2019–0906; Product regulatory evaluation, any comments Identifier 2019–NE–31–AD] 41 For the full electronic docket, see https:// received, and other information. The www.regulations.gov/docket?D=CFPB-2018-0013. RIN 2120–AA64 street address for Docket Operations is The Bureau received approximately 49 comments listed above. Comments will be on this RFI (42 that addressed the substance of the Airworthiness Directives; International RFI). The Bureau received a number of comments available in the AD docket shortly after related to guidance but for the purpose of the TRID Aero Engines Turbofan Engines receipt. assessment, only comments received related to AGENCY: Federal Aviation FOR FURTHER INFORMATION CONTACT: TRID guidance are mentioned. Kevin M. Clark, Aerospace Engineer, 42 The Bureau continues to update and improve Administration (FAA), DOT. ECO Branch, FAA, 1200 District its regulatory guidance and implementation aids. ACTION: Notice of proposed rulemaking Several materials were, and will be, published after Avenue, Burlington, MA 01803; phone: (NPRM). the implementation of the TRID Rule to provide 781–238–7088; fax: 781–238–7199; more guidance and clarity, and the Bureau continues to work to identify and address SUMMARY: The FAA proposes to adopt a email: [email protected]. additional guidance needs. new airworthiness directive (AD) for SUPPLEMENTARY INFORMATION:

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Comments Invited Discussion FAA’s Determination The FAA invites you to send any The FAA received several reports of The FAA is proposing this AD failures of the affected LPT 3rd-stage written relevant data, views, or because the Agency evaluated all the blades. These failures appear to be arguments about this proposal. Send relevant information and determined caused by debris passing through the the unsafe condition described your comments to an address listed engine. The manufacturer has under the ADDRESSES section. Include determined the need to replace any previously is likely to exist or develop ‘‘Docket No. FAA–2019–0906; Product affected LPT 3rd-stage blade with an in other products of the same type Identifier 2019–NE–31–AD’’ at the LPT blade made of a different material design. beginning of your comments. The FAA that is less susceptible to impact Proposed AD Requirements specifically invites comments on the damage. This condition, if not overall regulatory, economic, addressed, could result in uncontained This proposed AD would require environmental, and energy aspects of release of the LPT 3rd-stage blades, removal from service of LPT 3rd-stage this NPRM. The FAA will consider all failure of one or more engines, loss of blades part/number (P/N) 5387343, comments received by the closing date thrust control, and loss of the airplane. 5387493, 5387473, or 5387503, and and may amend this NPRM because of Related Service Information their replacement with parts eligible for those comments. installation. The FAA reviewed Pratt & Whitney The FAA will post all comments Service Bulletin PW1000G–C–72–00– Costs of Compliance received, without change, to https:// 0111–00A–930A–D, Issue No. 002, www.regulations.gov, including any dated October 18, 2019. The service The FAA estimates that this proposed personal information you provide. The information describes procedures for AD affects 65 engines installed on FAA will also post a report removal of the affected LPT 3rd-stage airplanes of U.S. registry. summarizing each substantive verbal blades and their replacement with parts The FAA estimates the following contact received about this NPRM. eligible for installation. costs to comply with this proposed AD:

ESTIMATED COSTS

Cost per Cost on U.S. Action Labor cost Parts cost product operators

Replace set of LPC 3rd-stage blades .. 0 work-hours × $85 per hour = $0 ...... $750,000 per blade set ...... $750,000 $48,750,000

Authority for This Rulemaking applicable to engines, propellers, and The Proposed Amendment associated appliances to the Manager, Title 49 of the United States Code Accordingly, under the authority Engine and Propeller Standards Branch, specifies the FAA’s authority to issue delegated to me by the Administrator, rules on aviation safety. Subtitle I, Policy and Innovation Division. the FAA proposes to amend 14 CFR part section 106, describes the authority of Regulatory Findings 39 as follows: the FAA Administrator. Subtitle VII: Aviation Programs, describes in more The FAA determined that this PART 39—AIRWORTHINESS detail the scope of the Agency’s proposed AD would not have federalism DIRECTIVES authority. implications under Executive Order ■ The FAA is issuing this rulemaking 13132. This proposed AD would not 1. The authority citation for part 39 under the authority described in have a substantial direct effect on the continues to read as follows: Subtitle VII, Part A, Subpart III, Section States, on the relationship between the Authority: 49 U.S.C. 106(g), 40113, 44701. 44701: ‘‘General requirements.’’ Under national government and the States, or § 39.13 [Amended] that section, Congress charges the FAA on the distribution of power and with promoting safe flight of civil responsibilities among the various ■ 2. The FAA amends § 39.13 by adding aircraft in air commerce by prescribing levels of government. the following new airworthiness regulations for practices, methods, and directive (AD): For the reasons discussed above, the procedures the Administrator finds FAA certifies this proposed regulation: International Aero Engines Turbofan necessary for safety in air commerce. Engines: Docket No. FAA–2019–0906; This regulation is within the scope of (1) Is not a ‘‘significant regulatory Product Identifier 2019–NE–31–AD. action’’ under Executive Order 12866, that authority because it addresses an (a) Comments Due Date unsafe condition that is likely to exist or (2) Will not affect intrastate aviation develop on products identified in this The FAA must receive comments by in Alaska, and January 6, 2020. rulemaking action. (3) Will not have a significant This AD is issued in accordance with (b) Affected ADs economic impact, positive or negative, authority delegated by the Executive None. on a substantial number of small entities Director, Aircraft Certification Service, (c) Applicability as authorized by FAA Order 8000.51C. under the criteria of the Regulatory In accordance with that order, issuance Flexibility Act. This AD applies to International Aero Engines (IAE) PW1133G–JM, PW1133GA–JM, of ADs is normally a function of the List of Subjects in 14 CFR Part 39 PW1130G–JM, PW1129G–JM, PW1127G–JM, Compliance and Airworthiness PW1127GA–JM, PW1127G1–JM, PW1124G– Division, but during this transition Air transportation, Aircraft, Aviation JM, PW1124G1–JM, and PW1122G–JM period, the Executive Director has safety, Incorporation by reference, turbofan model engines with low-pressure delegated the authority to issue ADs Safety. turbine (LPT) 3rd-stage blades, part number

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(P/N) 5387343, 5387493, 5387473 or referenced service information at the FAA, p.m., Monday through Friday, except 5387503, installed. Engine and Propeller Standards Branch, 1200 Federal holidays. District Avenue, Burlington, MA 01803. For (d) Subject For the material identified in this information on the availability of this proposed AD that will be incorporated Joint Aircraft System Component (JASC) material at the FAA, call 781–238–7759. Code 7250, Turbine Section. by reference (IBR), contact the EASA, Issued in Burlington, Massachusetts, on Konrad-Adenauer-Ufer 3, 50668 (e) Unsafe Condition November 15, 2019. Cologne, Germany; telephone +49 221 This AD was prompted by reports of failure Robert J. Ganley, 89990 1000; email [email protected]; of certain LPT 3rd-stage blades. The FAA is Manager, Engine and Propeller Standards internet www.easa.europa.eu. You may issuing this AD to prevent failure of these Branch, Aircraft Certification Service. find this IBR material on the EASA LPT 3rd-stage blades. The unsafe condition, [FR Doc. 2019–25224 Filed 11–21–19; 8:45 am] website at https://ad.easa.europa.eu. if not addressed, could result in uncontained You may view this IBR material at the release of the LPT 3rd-stage blades, failure of BILLING CODE 4910–13–P one or more engines, loss of thrust control, FAA, Transport Standards Branch, 2200 and loss of the airplane. South 216th St., Des Moines, WA. For DEPARTMENT OF TRANSPORTATION information on the availability of this (f) Compliance material at the FAA, call 206–231–3195. Comply with this AD within the Federal Aviation Administration It is also available in the AD docket on compliance times specified, unless already the internet at https:// done. 14 CFR Part 39 www.regulations.gov by searching for (g) Required Actions [Docket No. FAA–2019–0873; Product and locating Docket No. FAA–2019– At the next engine shop visit after the Identifier 2019–NM–164–AD] 0873. effective date of this AD, remove from service Examining the AD Docket any LPT 3rd-stage blade, P/N 5387343, RIN 2120–AA64 5387493, 5387473, or 5387503, and replace You may examine the AD docket on with a part eligible for installation. Airworthiness Directives; Airbus SAS the internet at https:// Airplanes www.regulations.gov by searching for (h) Definitions and locating Docket No. FAA–2019– (1) For the purpose of this AD, an ‘‘engine AGENCY: Federal Aviation Administration (FAA), DOT. 0873; or in person at Docket Operations shop visit’’ is the induction of an engine into between 9 a.m. and 5 p.m., Monday the shop for maintenance involving the ACTION: Notice of proposed rulemaking through Friday, except Federal holidays. separation of pairs of major mating engine (NPRM). flanges, except that the separation of engine The AD docket contains this NPRM, the flanges solely for the purposes of SUMMARY: The FAA proposes to adopt a regulatory evaluation, any comments transportation of the engine without new airworthiness directive (AD) for received, and other information. The subsequent engine maintenance does not certain Airbus SAS Model A319–112, street address for Docket Operations is constitute an engine shop visit. listed above. Comments will be (2) For the purpose of this AD, a ‘‘part –115, and –132 airplanes; and Model A320–214, –216, –232, and –233 available in the AD docket shortly after eligible for installation’’ is any LPT 3rd-stage receipt. blade that does not have a P/N 5387343, airplanes. This proposed AD was 5387493, 5387473, or 5387503. prompted by a report that a possible FOR FURTHER INFORMATION CONTACT: interference was identified between 1M Sanjay Ralhan, Aerospace Engineer, (i) Alternative Methods of Compliance International Section, Transport (AMOCs) and 2M wiring harnesses and the tapping units, and that the interference Standards Branch, FAA, 2200 South (1) The Manager, ECO Branch, FAA, has could adversely affect the lavatory 216th St., Des Moines, WA 98198; the authority to approve AMOCs for this AD, telephone and fax 206–231–3223. if requested using the procedures found in 14 smoke detection system and/or the SUPPLEMENTARY INFORMATION: CFR 39.19. In accordance with 14 CFR 39.19, passenger oxygen system. This proposed send your request to your principal inspector AD would require modifying the 1M Comments Invited or local Flight Standards District Office, as and 2M harness routing, as specified in appropriate. If sending information directly a European Union Aviation Safety The FAA invites you to send any to the manager of the certification office, Agency (EASA) AD, which will be written relevant data, views, or send it to the attention of the person incorporated by reference. The FAA is arguments about this proposal. Send identified in paragraph (j)(1) of this AD. You proposing this AD to address the unsafe your comments to an address listed may email your request to: ANE-AD-AMOC@ condition on these products. under the ADDRESSES section. Include faa.gov. ‘‘Docket No. FAA–2019–0873; Product (2) Before using any approved AMOC, DATES: The FAA must receive comments Identifier 2019–NM–164–AD’’ at the notify your appropriate principal inspector, on this proposed AD by January 6, 2020. beginning of your comments. The FAA or lacking a principal inspector, the manager ADDRESSES: You may send comments, specifically invites comments on the of the local flight standards district office/ using the procedures found in 14 CFR certificate holding district office. overall regulatory, economic, 11.43 and 11.45, by any of the following environmental, and energy aspects of (j) Related Information methods: this NPRM. The FAA will consider all (1) For more information about this AD, • Federal eRulemaking Portal: Go to comments received by the closing date contact Kevin M. Clark, Aerospace Engineer, https://www.regulations.gov. Follow the and may amend this NPRM based on ECO Branch, FAA, 1200 District Avenue, instructions for submitting comments. those comments. Burlington, MA, 01803; phone: 781–238– • Fax: 202–493–2251. The FAA will post all comments, 7088; fax: 781–238–7199; email: • Mail: U.S. Department of without change, to https:// [email protected]. Transportation, Docket Operations, M– www.regulations.gov, including any (2) For service information identified in this AD, contact International Aero Engines, 30, West Building Ground Floor, Room personal information you provide. The LLC, 400 Main Street, East Hartford, CT, W12–140, 1200 New Jersey Avenue SE, FAA will also post a report 06118; phone: 800–565–0140; email: help24@ Washington, DC 20590. summarizing each substantive verbal pw.utc.com; internet: https:// • Hand Delivery: Deliver to Mail contact the agency receives about this fleetcare.pw.utc.com. You may view this address above between 9 a.m. and 5 NPRM.

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Discussion reasonably available because the source of information for compliance The EASA, which is the Technical interested parties have access to it with requirements for corresponding Agent for the Member States of the through their normal course of business FAA ADs. The FAA has since European Union, has issued EASA AD or by the means identified in the coordinated with other manufacturers 2019–0227, dated September 11, 2019 ADDRESSES section. and civil aviation authorities (CAAs) to (‘‘EASA AD 2019–0227’’) (also referred FAA’s Determination and Requirements use this process. As a result, EASA AD to as the Mandatory Continuing of This Proposed AD 2019–0227 will be incorporated by Airworthiness Information, or ‘‘the reference in the FAA final rule. This MCAI’’), to correct an unsafe condition This product has been approved by proposed AD would, therefore, require for certain Airbus SAS Model A319– the aviation authority of another compliance with EASA AD 2019–0227 112, –115, and –132 airplanes; and country, and is approved for operation in its entirety, through that Model A320–214, –216, –232 and –233 in the United States. Pursuant to the incorporation, except for any differences airplanes. FAA’s bilateral agreement with the State identified as exceptions in the This proposed AD was prompted by of Design Authority, the FAA has been regulatory text of this proposed AD. a report that a possible interference was notified of the unsafe condition Using common terms that are the same identified between 1M and 2M wiring described in the MCAI referenced as the heading of a particular section in harnesses and the tapping units. It was above. The FAA is proposing this AD the EASA AD does not mean that determined that the root cause for this because the FAA evaluated all the operators need comply only with that interference was caused by a modified relevant information and determined section. For example, where the AD optional tapping unit design, reducing the unsafe condition described requirement refers to ‘‘all required the clearance between the wire previously is likely to exist or develop actions and compliance times,’’ harnesses and the tapping unit. Further in other products of the same type compliance with this AD requirement is investigation determined that design. not limited to the section titled interference could adversely affect the Proposed AD Requirements ‘‘Required Action(s) and Compliance lavatory smoke detection system and/or Time(s)’’ in the EASA AD. Service This proposed AD would require the passenger oxygen system. The FAA information specified in EASA AD accomplishing the actions specified in is proposing this AD to address possible 2019–0227 that is required for EASA AD 2019–0227 described loss of lavatory smoke detection and/or compliance with EASA AD 2019–0227 previously, as incorporated by loss of passenger oxygen system will be available on the internet at commands, which could prevent the reference, except for any differences identified as exceptions in the http://www.regulations.gov by searching delivery of passenger oxygen during an for and locating Docket No. FAA–2019– emergency, and possibly result in injury regulatory text of this AD. 0873 after the FAA final rule is to airplane occupants. See the MCAI for Explanation of Required Compliance published. additional background information. Information Costs of Compliance Related IBR Material Under 1 CFR Part In the FAA’s ongoing efforts to 51 improve the efficiency of the AD The FAA estimates that this proposed EASA AD 2019–0227 describes process, the FAA initially worked with AD affects 6 airplanes of U.S. registry. procedures for modifying the 1M and Airbus and EASA to develop a process The FAA estimates the following costs 2M harness routing. This material is to use certain EASA ADs as the primary to comply with this proposed AD:

ESTIMATED COSTS FOR REQUIRED ACTIONS

Cost per Cost on U.S. Labor cost Parts cost product operators

6 work-hours × $85 per hour = $510 ...... $180 $690 $4,140

Authority for This Rulemaking This regulation is within the scope of Regulatory Findings that authority because it addresses an The FAA determined that this Title 49 of the United States Code unsafe condition that is likely to exist or specifies the FAA’s authority to issue proposed AD would not have federalism develop on products identified in this rules on aviation safety. Subtitle I, implications under Executive Order rulemaking action. section 106, describes the authority of 13132. This proposed AD would not the FAA Administrator. Subtitle VII: This proposed AD is issued in have a substantial direct effect on the Aviation Programs, describes in more accordance with authority delegated by States, on the relationship between the detail the scope of the Agency’s the Executive Director, Aircraft national Government and the States, or authority. Certification Service, as authorized by on the distribution of power and responsibilities among the various The FAA is issuing this rulemaking FAA Order 8000.51C. In accordance with that order, issuance of ADs is levels of government. under the authority described in For the reasons discussed above, I Subtitle VII, Part A, Subpart III, Section normally a function of the Compliance certify this proposed regulation: 44701: ‘‘General requirements.’’ Under and Airworthiness Division, but during (1) Is not a ‘‘significant regulatory that section, Congress charges the FAA this transition period, the Executive action’’ under Executive Order 12866, with promoting safe flight of civil Director has delegated the authority to (2) Will not affect intrastate aviation aircraft in air commerce by prescribing issue ADs applicable to transport in Alaska, and regulations for practices, methods, and category airplanes and associated (3) Will not have a significant procedures the Administrator finds appliances to the Director of the System economic impact, positive or negative, necessary for safety in air commerce. Oversight Division. on a substantial number of small entities

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under the criteria of the Regulatory (h) Exceptions to EASA AD 2019–0227 International Section, Transport Standards Flexibility Act. (1) Where EASA AD 2019–0227 refers to its Branch, FAA, 2200 South 216th St., Des effective date, this AD requires using the Moines, WA 98198; telephone and fax 206– List of Subjects in 14 CFR Part 39 effective date of this AD. 231–3223. Air transportation, Aircraft, Aviation (2) The ‘‘Remarks’’ section of EASA AD Issued in Des Moines, Washington, on safety, Incorporation by reference, 2019–0227 does not apply to this AD. November 15, 2019. Safety. (i) Other FAA AD Provisions Dionne Palermo, The Proposed Amendment The following provisions also apply to this Acting Director, System Oversight Division, AD: Aircraft Certification Service. Accordingly, under the authority (1) Alternative Methods of Compliance [FR Doc. 2019–25205 Filed 11–21–19; 8:45 am] delegated to me by the Administrator, (AMOCs): The Manager, International BILLING CODE 4910–13–P the FAA proposes to amend 14 CFR part Section, Transport Standards Branch, FAA, 39 as follows: has the authority to approve AMOCs for this AD, if requested using the procedures found PART 39—AIRWORTHINESS in 14 CFR 39.19. In accordance with 14 CFR DEPARTMENT OF HOMELAND DIRECTIVES 39.19, send your request to your principal SECURITY inspector or local Flight Standards District ■ 1. The authority citation for part 39 Office, as appropriate. If sending information Coast Guard continues to read as follows: directly to the International Section, send it to the attention of the person identified in 33 CFR Part 165 Authority: 49 U.S.C. 106(g), 40113, 44701. paragraph (j)(2) of this AD. Information may be emailed to: 9-ANM-116-AMOC- § 39.13 [Amended] [Docket Number USCG–2019–0838] [email protected]. Before using any ■ 2. The FAA amends § 39.13 by adding approved AMOC, notify your appropriate RIN 1625–AA00 the following new airworthiness principal inspector, or lacking a principal directive (AD): inspector, the manager of the local flight Temporary Safety Zone for Explosive standards district office/certificate holding Dredging, Tongass Narrows, Airbus SAS: Docket No. FAA–2019–0873; district office. Ketchikan, AK Product Identifier 2019–NM–164–AD. (2) Contacting the Manufacturer: For any (a) Comments Due Date requirement in this AD to obtain instructions AGENCY: Coast Guard, DHS. from a manufacturer, the instructions must The FAA must receive comments by ACTION: Notice of proposed rulemaking. be accomplished using a method approved January 6, 2020. by the Manager, International Section, SUMMARY: The Coast Guard is proposing (b) Affected ADs Transport Standards Branch, FAA; or EASA; to establish a temporary safety zone for None. or Airbus SAS’s EASA Design Organization Approval (DOA). If approved by the DOA, certain waters of the Tongass Narrows. (c) Applicability the approval must include the DOA- This action is necessary to provide for This AD applies to Airbus SAS Model authorized signature. the safety of life on all navigable waters A319–112, –115, and –132 airplanes; and (3) Required for Compliance (RC): For any of the Tongass Narrows, from shoreline Model A320–214, –216, –232 and –233 service information referenced in EASA AD to shoreline, within a 500-yard radius of airplanes; certificated in any category; as 2019–0227 that contains RC procedures and the Pinnacle Rock before, during, and identified in European Union Aviation Safety tests: Except as required by paragraph (i)(2) after the scheduled operation between Agency (EASA) AD 2019–0227, dated of this AD, RC procedures and tests must be December 16, 2019 and January 31, done to comply with this AD; any procedures September 11, 2019 (‘‘EASA AD 2019– 2020. This proposed rulemaking would 0227’’). or tests that are not identified as RC are recommended. Those procedures and tests prohibit persons and vessels from being (d) Subject that are not identified as RC may be deviated in the safety zone unless authorized by Air Transport Association (ATA) of from using accepted methods in accordance the Captain of the Port Southeast Alaska America Code 92, Electric and Electronic with the operator’s maintenance or or a designated representative. We Common Installation. inspection program without obtaining invite your comments on this proposed approval of an AMOC, provided the rulemaking. (e) Reason procedures and tests identified as RC can be This AD was prompted by a report that a done and the airplane can be put back in an DATES: Comments and related material possible interference was identified between airworthy condition. Any substitutions or must be received by the Coast Guard on 1M and 2M wiring harnesses and the tapping changes to procedures or tests identified as or before December 9, 2019. The Coast units, and that the interference could RC require approval of an AMOC. Guard has shortened the comment adversely affect the lavatory smoke detection (j) Related Information period to ensure the public’s ability to system and/or the passenger oxygen system. comment on this proposed rule despite (1) For information about EASA AD 2019– The FAA is issuing this AD to address our organization’s delayed notification possible loss of lavatory smoke detection 0227, contact the EASA, Konrad-Adenauer- and/or passenger oxygen system commands, Ufer 3, 50668 Cologne, Germany; telephone of all details surrounding this operation. which could prevent the delivery of +49 221 89990 6017; email ADs@ ADDRESSES: You may submit comments passenger oxygen during an emergency and easa.europa.eu; Internet identified by docket number USCG– possibly result in injury to airplane www.easa.europa.eu. You may find this 2019–0838 using the Federal occupants. EASA AD on the EASA website at https:// eRulemaking Portal at https:// ad.easa.europa.eu. You may view this (f) Compliance material at the FAA, Transport Standards www.regulations.gov. See the ‘‘Public Comply with this AD within the Branch, 2200 South 216th St., Des Moines, Participation and Request for compliance times specified, unless already WA. For information on the availability of Comments’’ portion of the done. this material at the FAA, call 206–231–3195. SUPPLEMENTARY INFORMATION section for This material may be found in the AD docket further instructions on submitting (g) Requirements on the internet at https:// comments. Except as specified in paragraph (h) of this www.regulations.gov by searching for and AD: Comply with all required actions and locating Docket No. FAA–2019–0873. FOR FURTHER INFORMATION CONTACT: If compliance times specified in, and in (2) For more information about this AD, you have questions about this proposed accordance with, EASA AD 2019–0227. contact Sanjay Ralhan, Aerospace Engineer, rulemaking, call or email LT Jesse

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Collins, Sector Juneau Waterways IV. Regulatory Analyses and that this rule would have a Management Division, U.S. Coast We developed this proposed rule after significant economic impact on it, Guard; telephone 907–463–2846, email considering numerous statutes and please submit a comment (see [email protected]. Executive orders related to rulemaking. ADDRESSES) explaining why you think it SUPPLEMENTARY INFORMATION: Below we summarize our analyses qualifies and how and to what degree based on a number of these statutes and this rule would economically affect it. I. Table of Abbreviations Under section 213(a) of the Small Executive orders and we discuss First Business Regulatory Enforcement CFR Code of Federal Regulations Amendment rights of protestors. COTP Captain of the Port Southeast Alaska Fairness Act of 1996 (Pub. L. 104–121), DHS Department of Homeland Security A. Regulatory Planning and Review we want to assist small entities in FR Federal Register understanding this proposed rule. If the NPRM Notice of proposed rulemaking Executive Orders 12866 and 13563 direct agencies to assess the costs and rule would affect your small business, § Section organization, or governmental U.S.C. United States Code benefits of available regulatory alternatives and, if regulation is jurisdiction and you have questions II. Background, Purpose, and Legal necessary, to select regulatory concerning its provisions or options for Basis approaches that maximize net benefits. compliance, please call or email the person listed in the FOR FURTHER Contract Drilling & Blasting LLC Executive Order 13771 directs agencies INFORMATION CONTACT section. The Coast notified the Coast Guard that it will be to control regulatory costs through a Guard will not retaliate against small conducting explosive dredging from 30 budgeting process. This NPRM has not entities that question or complain about minutes after sunrise to one hour before been designated a ‘‘significant this proposed rule or any policy or sunset between December 16, 2019 and regulatory action,’’ under Executive action of the Coast Guard. January 31, 2020. The operation will Order 12866. Accordingly, the NPRM take place approximately 300 yards has not been reviewed by the Office of C. Collection of Information southwest of Berth II in Ketchikan, AK. Management and Budget (OMB), and This proposed rule would not call for Hazards from explosive dredging pursuant to OMB guidance it is exempt a new collection of information under include concussive forces. The COTP from the requirements of Executive the Paperwork Reduction Act of 1995 has determined that potential hazards Order 13771. (44 U.S.C. 3501–3520). associated with the explosives to be This regulatory action determination used in this operation would be a safety is based on the size, location, duration, D. Federalism and Indian Tribal concern for anyone above the water’s time-of-day and time-of-year of the Governments surface within a 500-yard radius of safety zone. Vessel traffic would be able A rule has implications for federalism Pinnacle Rock (located at approximately to safely transit around this safety zone, under Executive Order 13132 latitude 55°20′37″ N, longitude south of Pennock Island, which would (Federalism), if it has a substantial 131°38′96″ W). impact a small designated area of the direct effect on the States, on the The purpose of this rulemaking is to Tongass Narrows for less than one hour relationship between the national ensure the safety of vessels and the per day when Contract Drilling & government and the States, or on the navigable waters of the Tongass Blasting LLC would decide to detonate distribution of power and Narrows, from shoreline to shoreline, the explosives. The Coast Guard will responsibilities among the various within a 500-yard radius of Pinnacle issue a Broadcast Notice to Mariners via levels of government. We have analyzed Rock before, during, and after the VHF–FM marine channel 16 about the this proposed rule under that Order and scheduled operation December 16, 2019 zone. have determined that it is consistent and January 31, 2020. The Coast Guard B. Impact on Small Entities with the fundamental federalism is proposing this rulemaking under principles and preemption requirements authority in 46 U.S.C. 70034 (previously The Regulatory Flexibility Act of described in Executive Order 13132. 33 U.S.C. 1231). 1980, 5 U.S.C. 601–612, as amended, Also, this proposed rule does not have requires Federal agencies to consider III. Discussion of Proposed Rule tribal implications under Executive the potential impact of regulations on Order 13175 (Consultation and The COTP is proposing to establish a small entities during rulemaking. The Coordination with Indian Tribal safety zone from 30 minutes after term ‘‘small entities’’ comprises small Governments) because it would not sunrise to one hour before sunset businesses, not-for-profit organizations have a substantial direct effect on one or between December 16, 2019 and January that are independently owned and more Indian tribes, on the relationship 31, 2020. The safety zone would cover operated and are not dominant in their between the Federal Government and all navigable waters within 500 yards of fields, and governmental jurisdictions Indian tribes, or on the distribution of Pinnacle Rock during explosive with populations of less than 50,000. power and responsibilities between the dredging operations in the Tongass The Coast Guard certifies under 5 U.S.C. Federal Government and Indian tribes. Narrows located approximately 300 605(b) that this proposed rule would not If you believe this proposed rule has yards southwest of Berth II in have a significant economic impact on implications for federalism or Indian Ketchikan, AK. The duration of the zone a substantial number of small entities. tribes, please call or email the person is intended to ensure the safety of While some owners or operators of listed in the FOR FURTHER INFORMATION vessels and these navigable waters vessels intending to transit the safety CONTACT section. before, during, and after the daily 35- zone may be small entities, for the minute period of explosive dredging. reasons stated in section IV.A above, E. Unfunded Mandates Reform Act No vessel or person would be this proposed rule would not have a The Unfunded Mandates Reform Act permitted to enter the safety zone significant economic impact on any of 1995 (2 U.S.C. 1531–1538) requires without obtaining permission from the vessel owner or operator. Federal agencies to assess the effects of COTP or a designated representative. If you think that your business, their discretionary regulatory actions. In The regulatory text we are proposing organization, or governmental particular, the Act addresses actions appears at the end of this document. jurisdiction qualifies as a small entity that may result in the expenditure by a

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State, local, or tribal government, in the www.regulations.gov. If your material authorized by the Captain of the Port aggregate, or by the private sector of cannot be submitted using https:// Southeast Alaska to assist in enforcing $100,000,000 (adjusted for inflation) or www.regulations.gov, call or email the the safety zone described in paragraph more in any one year. Though this person in the FOR FURTHER INFORMATION (a) of this section. proposed rule would not result in such CONTACT section of this document for (c) Regulations. (1) Under the general an expenditure, we do discuss the alternate instructions. safety zone regulations in subpart C of effects of this rule elsewhere in this We accept anonymous comments. All this part, you may not enter the safety preamble. comments received will be posted zone described in paragraph (a) of this F. Environment without change to https:// section unless authorized by the COTP www.regulations.gov and will include or the COTP’s designated representative. We have analyzed this proposed rule any personal information you have All vessels underway within this safety under Department of Homeland provided. For more about privacy and zone at the time it is activated are to Security Directive 023–01 and submissions in response to this depart the zone. Environmental Planning COMDTINST document, see DHS’s Correspondence (2) To seek permission to enter, 5090.1 (series), which guide the Coast System of Records notice (84 FR 48645, contact the COTP or the COTP’s Guard in complying with the National September 26, 2018). designated representative by telephone Environmental Policy Act of 1969 (42 Documents mentioned in this NPRM at 907–463–2980 or on Marine Band U.S.C. 4321–4370f), and have made a as being available in the docket, and all Radio VHF–FM channel 16 (156.8 preliminary determination that this public comments, will be in our online MHz). The Coast Guard vessels action is one of a category of actions that docket at https://www.regulations.gov enforcing this section can be contacted do not individually or cumulatively and can be viewed by following that on Marine Band Radio VHF–FM have a significant effect on the human website’s instructions. Additionally, if channel 16 (156.8 MHz). environment. This proposed rule you go to the online docket and sign up (3) Those in the safety zone must involves a safety zone lasting less than for email alerts, you will be notified comply with all lawful orders or an hour daily for 47 days that would when comments are posted or a final directions given to them by the COTP or prohibit entry within 500 yards of an rule is published. the COTP’s designated representative. explosive dredging operation. Normally List of Subjects in 33 CFR Part 165 (d) Enforcement officials. The U.S. such actions are categorically excluded Coast Guard may be assisted in the from further review under paragraph Harbors, Marine safety, Navigation patrol and enforcement of the safety L60(a) in Table 3–1 of U.S. Coast Guard (water), Reporting and recordkeeping zone by Federal, State, and local Environmental Planning Implementing requirements, Security measures, agencies. Procedures. A preliminary Record of Waterways. (e) Enforcement. This safety zone may Environmental Consideration For the reasons discussed in the be enforced during the period described supporting this determination is preamble, the Coast Guard is proposing in paragraph (f) of this section. Contract available in the docket where indicated to amend 33 CFR part 165 as follows: Drilling & Blasting LLC will have two under ADDRESSES. We seek any safety vessels on-scene near the location comments or information that may lead PART 165—REGULATED NAVIGATION described in paragraph (a) of this to the discovery of a significant AREAS AND LIMITED ACCESS AREAS section. environmental impact from this ■ (f) Enforcement period. This section proposed rule. 1. The authority citation for part 165 may be enforced from 30 minutes after continues to read as follows: G. Protest Activities sunrise to one hour before sunset Authority: 46 U.S.C. 70034, 70051; 33 CFR between December 16, 2019, and The Coast Guard respects the First 1.05–1, 6.04–1, 6.04–6, and 160.5; January 31, 2020, during explosive Amendment rights of protesters. Department of Homeland Security Delegation dredging operations by Contract Drilling Protesters are asked to call or email the No. 0170.1. & Blasting LLC. person listed in the FOR FURTHER ■ 2. Add § 165.T17–0838 to read as INFORMATION CONTACT section to follows: Dated: November 18, 2019. coordinate protest activities so that your Stephen R. White, message can be received without § 165.T17–0838 Safety Zone for Explosive Captain, U.S. Coast Guard, Captain of the jeopardizing the safety or security of Dredging Operations; Tongass Narrows, Port Southeast Alaska. Ketchikan, AK. people, places, or vessels. [FR Doc. 2019–25350 Filed 11–21–19; 8:45 am] (a) Location. The following area is a BILLING CODE 9110–04–P V. Public Participation and Request for safety zone: All navigable waters of the Comments Tongass Narrows, from shoreline to We view public participation as shoreline, within a 500-yard radius of DEPARTMENT OF TRANSPORTATION essential to effective rulemaking, and Pinnacle Rock (located at approximately ° ′ ″ will consider all comments and material latitude 55 20 37 N, longitude Federal Railroad Administration received during the comment period. 131°38′96″ W) before, during, and after Your comment can help shape the the scheduled operation between 49 CFR Part 243 outcome of this rulemaking. If you December 16, 2019 and January 31, submit a comment, please include the 2020. [Docket No. FRA–2019–0095, Notice No. 1] docket number for this rulemaking, (b) Definitions. As used in this RIN 2130–AC86 indicate the specific section of this section: document to which each comment (1) Captain of the Port (COTP) means Training, Qualification, and Oversight applies, and provide a reason for each the Commander, U.S. Coast Guard for Safety-Related Railroad Employees suggestion or recommendation. Sector Juneau. We encourage you to submit (2) Designated representative means AGENCY: Federal Railroad comments through the Federal any Coast Guard commissioned, Administration (FRA), Department of eRulemaking Portal at https:// warrant, or petty officer who has been Transportation (DOT).

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ACTION: Notice of proposed rulemaking Attorney, Federal Railroad definition of fewer than 400,000 total (NPRM). Administration, Office of Chief Counsel, employee work hours annually, these 1200 New Jersey Avenue SE, other entities will likely implement SUMMARY: In response to a petition for Washington, DC 20590 (telephone: 202– model programs in the same way as the rulemaking, FRA proposes amending its 493–6038). small entities, rather than develop their regulation on Training, Qualification, SUPPLEMENTARY INFORMATION: On own programs as is expected for Class and Oversight for Safety-Related November 7, 2014, FRA published a I railroads. In the June 27, 2019 petition, Railroad Employees by delaying the final rule (2014 Final Rule) that the Associations state that Class II regulation’s implementation dates for all established minimum training standards regional railroads are more like Class III contractors, and those Class II and III for each category and subcategory of shortlines in terms of structure, railroads that are not intercity or safety-related railroad employees and resources, and operations than Class I commuter passenger railroads with required railroad carriers, contractors, railroads. For example, Class II regional 400,000 total employee work hours and subcontractors to submit training railroads operate trains for shorter annually or more. programs to FRA for approval. See 79 distances and at lower speeds than Class DATES: Written comments on the FR 66459. The 2014 Final Rule was I railroads. Class II regional railroads proposed rule must be received by required by section 401(a) of the Rail also were described in the June 27, 2019 December 23, 2019. FRA will consider Safety Improvement Act of 2008 (RSIA), petition as typically having fewer comments received after that date to the Public Law 110–432, 122 Stat. 4883 managerial layers and without their own extent practicable. (Oct. 16, 2008), codified at 49 U.S.C. training facilities, which would further ADDRESSES: You may send comments, 20162. The Secretary of Transportation differentiate them from Class I railroads. identified by docket number FRA– delegated the authority to conduct this That petition also asserts that even large 2019–0095 and RIN 2130–AC86, by any rulemaking and implement the rule to contractors are often not comparable to of the following methods: the Federal Railroad Administrator. 49 Class I railroads considering that a • Federal eRulemaking Portal: Go to CFR 1.89(b). contractor’s workforce is likely to be http://www.regulations.gov and follow On May 3, 2017, FRA delayed more spreadout, resulting in the the online instructions for submitting implementation dates in the 2014 Final contractor incurring greater comments; Rule by one year. On April 27, 2018, implementation costs and stretched • Mail: Docket Management Facility, FRA responded to a petition for resources than a Class I railroad. U.S. DOT, 1200 New Jersey Avenue SE, reconsideration of that May 2017 rule by Further, the June 27, 2019 petition states W12–140, Washington, DC 20590; granting the American Short Line and that FRA’s regulation treats medium and • Hand Delivery: Docket Management Regional Railroad Association’s large contractors the same as a Class I Facility, located in Room W12–140, (ASLRRA) request to delay the railroad even if the contractor’s railroad- West Building Ground Floor, U.S. DOT, implementation dates by an additional related work is only a small percentage 1200 New Jersey Avenue SE, year. of its work and is equal to that of a small entity contractor. Washington, DC, between 9 a.m. and 5 Petition for Rulemaking p.m., Monday through Friday, except On June 27 and July 12, 2019, FRA’s Response Federal holidays; or ASLRRA and the National Railroad In the 2014 Final Rule’s Regulatory • Fax: 202–493–2251. Construction and Maintenance Impact Analysis (2014 RIA), FRA made Instructions: All submissions must Association, Inc. (NRC) (collectively certain assumptions. For instance, FRA include the agency name and docket Associations) filed petitions for assumed that all seven Class I freight number (Federal Railroad rulemaking that were docketed in the railroads, all 26 commuter railroads, Administration, FRA–2019–0095) or U.S. DOT’s Docket Management System and two intercity passenger railroads Regulatory Identification Number (RIN) as FRA–2019–0050. In the June 27, 2019 would not rely on model programs. for this rulemaking (2130–AC86). All petition, ASLRRA and NRC request that Another assumption in the 2014 RIA comments received will be posted FRA make several substantive changes was that 10 other entities (5 Class II without change to http:// to the part 243 regulation. In that railroads, 2 Class III railroads, and 3 www.regulations.gov; this includes any petition, ASLRRA and NRC assert that contractors) would not rely on model personal information. Please see the as the regulation currently exists, it programs. Thus, FRA agrees with the Privacy Act heading in the presents short line and regional premise in ASLRRA and NRC’s June 27, SUPPLEMENTARY INFORMATION section of railroads and contractors with 2019 petition that, except for the this document for Privacy Act ‘‘substantial and unnecessary regulatory approximately 45 employers who FRA information related to any submitted burdens’’ and therefore additional estimated would develop their own comments or materials. regulatory flexibility should be afforded programs, it is likely that the remainder Docket: For access to the docket to to short line and regional railroads and will implement model programs read background documents, petitions contractors. In the July 12, 2019 petition because doing so would minimize costs for reconsideration, or comments ASLRRA and NRC request that FRA for each employer. Treating this received, go to http:// initiate a rulemaking to delay the remainder group of employers in the www.regulations.gov and follow the implementation dates in part 243 as same manner as the small entities online instructions for accessing the applicable to Class II and III railroads would therefore reflect a more docket or visit the Docket Management and contractors for two years while FRA consistent approach to those employers Facility described above. considers its June 27, 2019 petition. In adopting model programs. FOR FURTHER INFORMATION CONTACT: the alternative, ASLRRA and NRC ask In responding to the petitions for Robert J. Castiglione, Staff Director that FRA suspend the current rulemaking, FRA is proposing to delay –Human Performance Division, Federal implementation dates as applied to the implementation dates in the rule for Railroad Administration, 4100 Class II and III railroads and contractors. all contractors, and those Class II and III International Plaza, Suite 450, Fort ASLRRA and NRC take the position railroads that are not intercity or Worth, TX 76109–4820 (telephone: 817– that even though some of their members commuter passenger railroads with 447–2715); or Alan H. Nagler, Senior are not small entities by FRA’s 400,000 total employee work hours

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annually or more. However, FRA does so that it is limited to Class I railroads, issued, at least two prior regulations be not agree with the request in ASLRRA and those intercity or commuter identified for elimination, and that the and NRC’s petition to propose delaying passenger railroads with 400,000 total cost of planned regulations be prudently all the implementation dates for an employee work hours annually or more. managed and controlled through a additional two years or to suspend the Also, FRA proposes to amend this budgeting process.’’ This rulemaking is rule indefinitely while FRA considers section so that all employers not a deregulatory action under Executive the other requests in the June 27, 2019 covered by § 243.101(a)(1) will now be Order 13771, ‘‘Reducing Regulation and petition. covered by § 243.101(a)(2), unless the Controlling Regulatory Costs.’’ See 82 FRA’s proposed response is employer is commencing operations FR 9339, Jan. 30, 2017. specifically targeted to equalize the after January 1, 2020 and would be As explained in the Supplementary implementation dates for those covered by § 243.101(b). In other words, Information section, FRA published the employers most likely to adopt model § 243.101(a)(1) would specifically 2014 Final Rule to fulfill a statutory programs rather than develop their own except all contractors, and those Class II mandate. On May 3, 2017, FRA delayed programs as FRA identified in the 2014 and III railroads that are not intercity or implementation dates in the 2014 Final RIA. The reason for this specifically commuter passenger railroads with Rule by one year. On April 27, 2018, targeted proposed rule is that FRA is 400,000 total employee work hours FRA responded to a petition for considering whether to initiate a annually or more from complying with reconsideration of that May 2017 rule by separate rulemaking which would be the January 1, 2020 training program granting the ASLRRA’s request to delay limited to amending FRA’s training submission implementation deadline. the implementation dates an additional regulation so that the regulatory text Instead, under proposed § 243.101(a)(2), year. FRA is issuing a proposed includes the latest guidance that is all contractors, and those Class II and III rulemaking targeted to equalize the intended to help small entities and railroads that are not intercity or implementation dates for Class II other users of model training programs. commuter passenger railroads with railroads, Class III railroads, and Thus, without any changes to the 400,000 total employee work hours contractors regardless of their annual implementation dates, the targeted annually or more, will be required to employee work hours with the employers might not understand that comply with a training program exception of those intercity or the regulation contains more flexibility submission deadline of May 1, 2021. commuter passenger railroads with than is commonly understood or they Thus, those entities that benefit from the 400,000 total employee work hours may not feel comfortable following the proposed rule will have an additional annually or more. With adoption of this guidance believing there is regulatory 16 months to submit a training program proposed rule, the targeted employers uncertainty. for their safety-related railroad will have until May 1, 2021 to submit FRA understands that many regulated employees. a training program to FRA instead of the entities are on schedule to meet the previous January 1, 2020 deadline Subpart C—Program Implementation deadlines in the part 243 regulation. For which was applicable to railroads and Oversight Requirements those regulated entities that are (regardless of whether they were Class prepared to move forward in advance of Section 243.201 Employee II or III railroads), and contractors with any deadline, there is certainly no Qualification Requirements 400,000 annual employee work hours or prohibition against doing so and FRA proposes to amend the more. FRA believes that the proposed rule implementing a compliant training implementation dates in paragraphs will reduce the regulatory burden on the program earlier than required should (a)(1) and (e)(1) of this section so that railroad industry by delaying the benefit the overall safety of those they are limited to Class I railroads, and implementation dates. This proposed employers’ operations. those intercity or commuter passenger rule will extend the implementation In consideration of the foregoing, FRA railroads with 400,000 total employee deadlines for some regulated entities by is proposing to reclassify those work hours annually or more. Also, FRA a total of 16 months from the 2018 employers that FRA anticipates will proposes to amend this section so that request. This proposed rule would be likely adopt a model program so that all employers not covered by § 243.201 beneficial for regulated entities by they have the same implementation (a)(1) and (e)(1) will now be covered by adding time for some railroads and deadlines as the small entities. For § 243.201(a)(2) and (e)(2). Please note purposes of this proposed rule, the Class contractors to comply. that an employer commencing The costs arising from the training II and III railroads and the contractors operations after January 1, 2020 would who would get relief provide training rule in 49 CFR part 243 over the 20-year still be covered by § 243.201(b) and period considered include: The costs of and operations in a manner more would be expected to implement a similar to that of a small entity than a revising training programs to include refresher training program upon ‘‘hands-on’’ training where appropriate, Class I railroad thereby justifying delays commencing operations. in the implementation schedule. The as well as the costs of creating entirely proposed implementation date delays Regulatory Impact and Notices new training programs for any employer will not impact the Class I railroads, and that does not have one already; the costs Executive Order 12866 and DOT of customizing model training programs those commuter and intercity passenger Regulatory Policies and Procedures railroads with 400,000 total employee for those employers that choose to adopt work hours annually or more. This proposed rule is a non- a model program rather than create a significant regulatory action within the new program; the costs of annual data Section-by-Section Analysis meaning of Executive Order 12866 and review and analysis required in order to Subpart B—Program Components and DOT policies and procedures. See 44 FR improve training programs; the costs of Approval Process 11034 (Feb. 26, 1979). The proposed revising programs in later years; the rule also has followed the guidance of costs of additional time new employees Section 243.101 Employer Program Executive Order 13771, which directs may have to spend in initial training; Required agencies to reduce regulation and the costs of additional periodic FRA proposes to amend the control regulatory costs and provides oversight tests and inspections; the costs implementation date in § 243.101(a)(1) that ‘‘for every one new regulation of additional qualification tests; and the

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costs of additional time all safety-related accident history, the values of ‘‘small entities’’ governments of cities, railroad employees may have to spend preventing future fatalities and injuries counties, towns, townships, villages, in refresher training. FRA is proposing sustained, and the cost of property school districts, or special districts with to reclassify those employers that FRA damage. Full accident costs are populations less than 50,000. Federal anticipated in the 2014 RIA would determined by the number of fatalities agencies may adopt their own size likely adopt a model program so that the and injuries multiplied by their standards for small entities, in regulation would reflect a more respective prevention valuations, and consultation with SBA and in consistent approach to those employers the cost of property damage. By conjunction with public comment. adopting model programs. Until the delaying the implementation dates, all Pursuant to that authority, FRA has petitions for rulemaking were filed, FRA contractors, and those Class II and III published a final statement of agency did not appreciate that the Class II and railroads that are not intercity or policy that formally establishes ‘‘small III railroads and the contractors who commuter passenger railroads with entities’’ or ‘‘small businesses’’ as being 400,000 total employee work hours were not identified as small entities railroads, contractors, and hazardous annually or more will realize a cost could be expected to encounter the materials shippers that meet the revenue same types of obstacles to training savings. All contractors, and those Class II and III railroads that are not intercity requirements of a Class III railroad as set program implementation as that of a forth in 49 CFR 1201.1–1, which is $20 small entity. The proposed or commuter passenger railroads with million or less in inflation-adjusted implementation date delay will not 400,000 total employee work hours annual revenues, and commuter impact Class I railroads, and those annually or more will not incur costs railroads or small governmental commuter and intercity passenger during the first 16 months of this railroads with 400,000 total employee analysis. Also, costs incurred in future jurisdictions that serve populations of work hours annually or more. However, years will be discounted an extra 16 50,000 or less. See 68 FR 24891 (May 9, this rule proposes to provide all months, which will decrease the present 2003), codified at appendix C to 49 CFR contractors, and those Class II and III value burden. The present value of costs part 209. The $20-million limit is based railroads that are not currently would be less than if the original on the Surface Transportation Board’s identified as small entities in part 243 implementation dates were maintained. revenue threshold for a Class III or commuter or intercity passenger FRA has estimated this cost savings to railroad. Railroad revenue is adjusted railroads with 400,000 total employee be approximately $3.0 million, at a 7% for inflation by applying a revenue work hours annually or more, with an discount rate, for impacted railroads deflator formula in accordance with 49 additional 16 months to submit a and contractors that will experience CFR 1201.1–1. FRA is using this training program for their safety-related relief as a result of this proposed rule. definition for this rulemaking. railroad employees. FRA is also Regulatory Flexibility Determination The requirements of this proposed proposing that those same employers get The Regulatory Flexibility Act of rule would apply to employers of safety- an additional 16 months to designate 1980, 5 U.S.C. 601 et seq., and Executive related railroad employees that FRA each of their existing safety-related Order 13272, 67 FR 53461 (Aug. 16, previously determined were not small railroad employees by occupational 2002), require agency review of entities. This proposed rule would have category or subcategory, and only proposed and final rules to assess their no direct impact on small units of permit designated employees to perform impact on small entities. An agency government, businesses, or other safety-related service in that must prepare an initial regulatory organizations. State rail agencies are not occupational category or subcategory. flexibility analysis (IRFA) unless it required to participate in this program. Finally, FRA proposes that those same determines and certifies that a rule, if State owned railroads would receive a employers get one additional year to promulgated, would not have a positive impact by having additional complete refresher training for each of significant impact on a substantial time to comply. Therefore, the proposed their safety-related railroad employees. number of small entities. Pursuant to rule would not impact any small With this proposed rule, the training the Regulatory Flexibility Act of 1980, 5 entities. Pursuant to the Regulatory program submission date for Class II U.S.C. 605(b), the FRA Administrator Flexibility Act, 5 U.S.C. 601(b), the FRA railroads, Class III railroads, and certifies that this proposed rule would Administrator hereby certifies that this contractors regardless of their annual not have a significant economic impact proposed rule would not have a employee work hours, with the on a substantial number of small exception of those intercity or significant impact on a substantial entities. number of small entities. FRA requests commuter passenger railroads with ‘‘Small entity’’ is defined in 5 U.S.C. 400,000 total employee work hours comments on all aspects of this 601 as including a small business certification. annually or more, would be delayed concern that is independently owned from January 1, 2020, to a new and operated, and is not dominant in its Paperwork Reduction Act implementation date of May 1, 2021; the field of operation. The U.S. Small designation of employee date would be Business Administration (SBA) has There are no new collection of delayed from September 1, 2020, to a authority to regulate issues related to information requirements contained in new implementation date of January 1, small businesses, and stipulates in its this proposed rule and, in accordance 2022; and, the deadline for the first size standards that a ‘‘small entity’’ in with the Paperwork Reduction Act of refresher training cycle would be the railroad industry is a for profit 1995, 44 U.S.C. 3501 et seq., the delayed from December 31, 2024, to a ‘‘linehaul railroad’’ that has fewer than recordkeeping and reporting new deadline of December 31, 2025. 1,500 employees, a ‘‘short line railroad’’ requirements already contained in the FRA believes that additional hands-on with fewer than 500 employees, or a 2014 Final Rule have been approved by and refresher training will reduce the ‘‘commuter rail system’’ with annual OMB. The OMB approval number is frequency and severity of some future receipts of less than 15 million dollars. OMB No. 2130–0597. Thus, FRA is not accidents and incidents. Expected safety See ‘‘Size Eligibility Provisions and required to seek additional OMB benefits were calculated using full Standards,’’ 13 CFR part 121, subpart A. approval under the Paperwork accident costs, which are based on past Additionally, 5 U.S.C. 601(5) defines as Reduction Act.

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Federalism Implications private sector (other than to the extent confidential information, please contact This proposed rule will not have a that such regulations incorporate the agency for alternate submission substantial effect on the States, on the requirements specifically set forth in instructions. law). Section 202 of the Act (2 U.S.C. relationship between the national List of Subjects in 49 CFR Part 243 government and the States, or on the 1532) further requires that before Administrative practice and distribution of power and promulgating any general notice of procedure, Penalties, Railroad responsibilities among the various proposed rulemaking that is likely to levels of government. Thus in result in the promulgation of any rule employees, Railroad safety, Reporting accordance with Executive Order 13132, that includes any Federal mandate that and recordkeeping requirements. ‘‘Federalism’’ (64 FR 43255, Aug. 10, may result in expenditure by State, The Proposed Rule local, and tribal governments, in the 1999), preparation of a Federalism For the reasons discussed in the Assessment is not warranted. aggregate, or by the private sector, of $100,000,000 or more (adjusted preamble, FRA proposes to amend part International Trade Impact Assessment annually for inflation) in any 1 year, and 243 of chapter II, subtitle B of title 49 The Trade Agreement Act of 1979 before promulgating any final rule for of the Code of Federal Regulations as prohibits Federal agencies from which a general notice of proposed follows: engaging in any standards or related rulemaking was published, the agency shall prepare a written statement PART 243—TRAINING, activities that create unnecessary QUALIFICATION, AND OVERSIGHT obstacles to the foreign commerce of the detailing the effect on State, local, and tribal governments and the private FOR SAFETY-RELATED RAILROAD United States. Legitimate domestic EMPLOYEES [AMENDED] objectives, such as safety, are not sector. This proposed rule will not considered unnecessary obstacles. The result in such an expenditure, and thus ■ 1. The authority citation for part 243 statute also requires consideration of preparation of such a statement is not continues to read as follows: international standards and where required. appropriate, that they be the basis for Authority: 49 U.S.C. 20103, 20107, 20131– Energy Impact 20155, 20162, 20301–20306, 20701–20702, U.S. standards. Executive Order 13211 requires 21301–21304, 21311; 28 U.S.C. 2461, note; This proposed rule is purely domestic and 49 CFR 1.89. in nature and is not expected to affect Federal agencies to prepare a Statement trade opportunities for U.S. firms doing of Energy Effects for any ‘‘significant Subpart B—Program Components and business overseas or for foreign firms energy action.’’ 66 FR 28355 (May 22, Approval Process doing business in the United States. 2001). FRA evaluated this proposed rule in accordance with Executive Order ■ 2. Revise § 243.101 paragraph (a) to Environmental Impact 13211, and determined that this read as follows: FRA has evaluated this proposed rule regulatory action is not a ‘‘significant § 243.101 Employer program required. in accordance with its ‘‘Procedures for energy action’’ within the meaning of Considering Environmental Impacts’’ the Executive Order. (a)(1) Effective January 1, 2020, each (FRA’s Procedures) (64 FR 28545, May Executive Order 13783, ‘‘Promoting Class I railroad, and each intercity or 26, 1999) as required by the National Energy Independence and Economic commuter passenger railroad Environmental Policy Act (42 U.S.C. Growth,’’ requires Federal agencies to conducting operations subject to this 4321 et seq.), other environmental review regulations to determine whether part with 400,000 total employee work statutes, Executive Orders, and related they potentially burden the hours annually or more, shall submit, regulatory requirements. FRA has development or use of domestically adopt, and comply with a training determined that this proposed rule is produced energy resources, with program for its safety-related railroad not a major FRA action, requiring the particular attention to oil, natural gas, employees. preparation of an environmental impact coal, and nuclear energy resources. 82 (2) Effective May 1, 2021, each statement or environmental assessment, FR 16093 (Mar. 31, 2017). FRA employer conducting operations subject because it is categorically excluded from determined this proposed rule will not to this part not covered by paragraph detailed environmental review pursuant burden the development or use of (a)(1) of this section shall submit, adopt, to section 4(c)(20) of FRA’s Procedures. domestically produced energy and comply with a training program for See 64 FR 28547 (May 26, 1999). resources. its safety-related railroad employees. In accordance with section 4(c) and * * * * * Privacy Act (e) of FRA’s Procedures, the agency has further concluded that no extraordinary In accordance with 5 U.S.C. 553(c), Subpart C—Program Implementation circumstances exist with respect to this DOT solicits comments from the public and Oversight Requirements proposed rule that might trigger the to better inform its rulemaking process. ■ 3. Revise § 243.201 paragraphs (a)(1) need for a more detailed environmental DOT posts these comments, without and (2), and (e)(1) and (2) to read as review. As a result, FRA finds that this edit, to www.regulations.gov, as follows: proposed rule is not a major Federal described in the system of records action significantly affecting the quality notice, DOT/ALL–14 FDMS, accessible § 243.201 Employee qualification of the human environment. through www.dot.gov/privacy. In order requirements. to facilitate comment tracking and (a) * * * Unfunded Mandates Reform Act of 1995 response, we encourage commenters to (1) By no later than September 1, Pursuant to section 201 of the provide their name, or the name of their 2020, each Class I railroad, and each Unfunded Mandates Reform Act of 1995 organization; however, submission of intercity or commuter passenger (Pub. L. 104–4, 2 U.S.C. 1531), each names is completely optional. Whether railroad conducting operations subject Federal agency shall, unless otherwise or not commenters identify themselves, to this part with 400,000 total employee prohibited by law, assess the effects of all timely comments will be fully work hours annually or more in Federal regulatory actions on State, considered. If you wish to provide operation as of January 1, 2020, shall local, and tribal governments, and the comments containing proprietary or declare the designation of each of its

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existing safety-related railroad part with 400,000 total employee work refresher training at an interval not to employees by occupational category or hours annually or more, shall deliver exceed 3 calendar years from the date of subcategory, and only permit designated refresher training at an interval not to an employee’s last training event, except employees to perform safety-related exceed 3 calendar years from the date of where refresher training is specifically service in that occupational category or an employee’s last training event, except required more frequently in accordance subcategory. The Associate where refresher training is specifically with this chapter. If the last training Administrator may extend this period required more frequently in accordance event occurs before FRA’s approval of based on a written request. with this chapter. If the last training the employer’s training program, the (2) By no later than January 1, 2022, event occurs before FRA’s approval of employer shall provide refresher each employer conducting operations the employer’s training program, the training either within 3 calendar years subject to this part not covered by employer shall provide refresher from that prior training event or no later paragraph (a)(1) of this section in training either within 3 calendar years than December 31, 2025. Each employer operation as of January 1, 2021, shall from that prior training event or no later shall ensure that, as part of each declare the designation of each of its than December 31, 2024. Each employer employee’s refresher training, the existing safety-related railroad shall ensure that, as part of each employee is trained and qualified on the employees by occupational category or employee’s refresher training, the application of any Federal railroad subcategory, and only permit designated employee is trained and qualified on the safety laws, regulations, and orders the employees to perform safety-related application of any Federal railroad person is required to comply with, as service in that occupational category or safety laws, regulations, and orders the well as any relevant railroad rules and subcategory. The Associate person is required to comply with, as procedures promulgated to implement Administrator may extend this period well as any relevant railroad rules and those Federal railroad safety laws, based on a written request. procedures promulgated to implement regulations, and orders. * * * * * those Federal railroad safety laws, Issued in Washington, DC. (e) * * * regulations, and orders. Ronald L. Batory, (1) Beginning January 1, 2022, each (2) Beginning May 1, 2023, each Administrator, Federal Railroad Class I railroad, and each intercity or employer conducting operations subject Administration. commuter passenger railroad to this part not covered by paragraph [FR Doc. 2019–24822 Filed 11–21–19; 8:45 am] conducting operations subject to this (e)(1) of this section shall deliver BILLING CODE 4910–06–P

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Notices Federal Register Vol. 84, No. 226

Friday, November 22, 2019

This section of the FEDERAL REGISTER grant of the license would not be this information collection and related contains documents other than rules or consistent with the requirements of 35 instructions can be obtained without proposed rules that are applicable to the U.S.C. 209 and 37 CFR 404.7. charge from David Hancock, NASS— public. Notices of hearings and investigations, OMB Clearance Officer, at (202)690– Mojdeh Bahar, committee meetings, agency decisions and 2388 or at [email protected]. rulings, delegations of authority, filing of Assistant Administrator, ARS. SUPPLEMENTARY INFORMATION: petitions and applications and agency [FR Doc. 2019–25372 Filed 11–21–19; 8:45 am] statements of organization and functions are Title: Cotton Ginning Survey. examples of documents appearing in this BILLING CODE 3410–03–P OMB Control Number: 0535–0220. section. Expiration Date of Approval: March 31, 2020. DEPARTMENT OF AGRICULTURE Type of Request: Intent to Seek DEPARTMENT OF AGRICULTURE National Agricultural Statistics Service Approval to Revise and Extend an Information Collection for a period of Forest Service Notice of Intent To Request Revision three years. Abstract: The primary objective of the Notice of Intent To Grant Exclusive and Extension of a Currently Approved National Agricultural Statistics Service License Information Collection (NASS) is to collect, prepare and issue AGENCY: Forest Service, USDA. AGENCY: National Agricultural Statistics State and national estimates of crop and ACTION: Notice of intent. Service, USDA. livestock production, prices, and ACTION: Notice and request for disposition as well as economic SUMMARY: Notice is hereby given that comments. statistics, environmental statistics the U.S. Department of Agriculture, related to agriculture and also to Forest Service, intends to grant to SUMMARY: In accordance with the conduct the Census of Agriculture. The Hunter Farms dba Whispering Green Paperwork Reduction Act of 1995, this Cotton Ginning surveys provide cotton Energy of 684 County Road #2 Hillier, notice announces the intention of the ginning statistics from August through Ontario K0K 2J0, Canada, an exclusive National Agricultural Statistics Service May by State. Data collected consists of license to U.S. Patent Application No. (NASS) to request revision and bales of cotton ginned to date, cotton to 15/882,078, ‘‘LOW TEMPERATURE extension of a currently approved be ginned, lint cotton produced, AND EFFICIENT FRACTIONATION OF information collection, the Cotton cottonseed produced, cottonseed sold to LIGNOCELLULOSIC BIOMASS USING Ginning Survey. Revision to burden oil mills, cottonseed used for other uses, RECYCLABLE ORGANIC SOLID hours may be needed due to possible number of gins by type, and bales ACIDS’’, filed on January 29, 2018. changes in the size of the target produced by county of origin. The DATES: Comments must be received on population, sampling design, and/or forecasting procedure involves or before December 9, 2019. questionnaire length. calculating a weighted percent ginned to ADDRESSES: Send comments to: Thomas DATES: Comments on this notice must be date as well as an allowance for cross- Moreland, Technology Transfer received by January 21, 2020 to be state movement and bale weight Coordinator, USDA Forest Service, 443– assured of consideration. adjustments. Production by State allows 677–6858, [email protected]. ADDRESSES: You may submit comments, adjustments for year-end State and FOR FURTHER INFORMATION CONTACT: identified by docket number 0535–0220, county estimates. Total pounds of lint Thomas Moreland, Technology Transfer by any of the following methods: cotton produced, is used to derive an Coordinator, USDA Forest Service, 443– • Email: [email protected]. actual bale weight which increases the 677–6858, [email protected]. Include docket number above in the precision of production estimates. SUPPLEMENTARY INFORMATION: The subject line of the message. Authority: These data will be Federal Government’s patent rights in • E-fax: (855) 838–6382. collected under authority of 7 U.S.C. • this invention are assigned to the United Mail: Mail any paper, disk, or CD– 2204(a). Individually identifiable data States of America, as represented by the ROM submissions to: David Hancock, collected under this authority are Secretary of Agriculture. It is in the NASS Clearance Officer, U.S. governed by Section 1770 of the Food public interest to so license this Department of Agriculture, Room 5336 Security Act of 1985 as amended, 7 invention as Hunter Farms dba South Building, 1400 Independence U.S.C. 2276, which requires USDA to Whispering Green Energy of 684 County Avenue SW, Washington, DC 20250– afford strict confidentiality to non- Road #2 Hillier, Ontario K0K 2J0, 2024. aggregated data provided by Canada has submitted a complete and • Hand Delivery/Courier: Hand respondents. This Notice is submitted in sufficient application for a license. The deliver to: David Hancock, NASS accordance with the Paperwork prospective exclusive license will be Clearance Officer, U.S. Department of Reduction Act of 1995, Pub. L. 104–13 royalty-bearing and will comply with Agriculture, Room 5336 South Building, (44 U.S.C.3501, et seq.) and Office of the terms and conditions of 35 U.S.C. 1400 Independence Avenue SW, Management and Budget regulations at 209 and 37 CFR 404.7. The prospective Washington, DC 20250–2024. 5 CFR part 1320. exclusive license may be granted unless, FOR FURTHER INFORMATION CONTACT: NASS also complies with OMB within fifteen (15) days from the date of Kevin L. Barnes, Associate Implementation Guidance, this published Notice, the USDA Forest Administrator, National Agricultural ‘‘Implementation Guidance for Title V Service receives written evidence and Statistics Service, U.S. Department of of the E-Government Act, Confidential argument which establishes that the Agriculture, (202)720–2707. Copies of Information Protection and Statistical

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Efficiency Act of 2002 (CIPSEA),’’ ADDRESSES: Direct all written comments Legal Authority: Section 758 of the Federal Register, Vol. 72, No. 115, June to Mark Crace, IC Liaison, Bureau of Export Administration Regulations, 15, 2007, p. 33362. Industry and Security, 1401 section 1768 of the Export Control Estimate of Burden: Public reporting Constitution Avenue, Suite 2099B, Reform Act 2018. burden for this collection of information Washington, DC 20233 (or via the IV. Request for Comments is estimated to be between 10 to 15 internet at [email protected]). All minutes per respondent per survey. comments received are part of the Comments are invited on: (a) Whether Respondents: Active Cotton Gins. public record. Comments will generally the proposed collection of information Estimated Number of Respondents: be posted without change. All is necessary for the proper performance 600. Personally Identifiable Information (for of the functions of the agency, including Estimated Total Annual Burden on example, name and address) voluntarily whether the information shall have Respondents: 1,200 hours. submitted by the commenter may be practical utility; (b) the accuracy of the Comments: Comments are invited on: publicly accessible. Do not submit agency’s estimate of the burden (a) Whether the proposed collection of Confidential Business Information or (including hours and cost) of the information is necessary for the proper otherwise sensitive or protected proposed collection of information; (c) performance of the functions of the information. You may submit ways to enhance the quality, utility, and agency, including whether the attachments to electronic comments in clarity of the information to be information will have practical utility; Microsoft Word, Excel, or Adobe PDF collected; and (d) ways to minimize the (b) the accuracy of the agency’s estimate file formats. burden of the collection of information of the burden of the proposed collection SUPPLEMENTARY INFORMATION: on respondents, including through the of information including the validity of use of automated collection techniques the methodology and assumptions used; I. Abstract or other forms of information (c) ways to enhance the quality, utility, This collection of information technology. and clarity of the information to be involves ten miscellaneous activities Comments submitted in response to collected; and (d) ways to minimize the described in Sections 744.15(b), Part this notice will be summarized and/or burden of the collection of information 744 Supplement No. 7, paragraph (d), included in the request for OMB on those who are to respond, including § 748.4 and Part 758 of the EAR that are approval of this information collection; through the use of appropriate associated with the export of items they also will become a matter of public automated, electronic, mechanical, controlled by the Department of record. technological, or other forms of Commerce. Most of these activities do Sheleen Dumas, information technology collection not involve submission of documents to Departmental Lead PRA Officer, Office of the methods. the Bureau of Industry and Security Chief Information Officer, Commerce All responses to this notice will (BIS) but instead involve exchange of Department. become a matter of public record and be documents among parties in the export [FR Doc. 2019–25363 Filed 11–21–19; 8:45 am] summarized in the request for OMB transaction to ensure that each party BILLING CODE 3510–07–P approval. understands its obligations under U.S. Signed at Washington, DC, November 7, law. Others involve writing certain 2019. export control statements on shipping DEPARTMENT OF COMMERCE Kevin L. Barnes, documents or reporting unforeseen Bureau of Industry and Security Associate Administrator. changes in shipping and disposition of exported commodities. These activities [FR Doc. 2019–25415 Filed 11–21–19; 8:45 am] are needed by the Office of Export Proposed Information Collection; BILLING CODE 3410–20–P Enforcement and the U.S. Customs Comment Request; Application for Service to document export NATO International Bidding transactions, enforce the EAR and AGENCY: Bureau of Industry and DEPARTMENT OF COMMERCE protect the National Security of the Security, Commerce. United States Bureau of Industry and Security ACTION: Notice. II. Method of Collection SUMMARY: The Department of Proposed Information Collection; This information can be transmitted Commerce, as part of its continuing Comment Request; Licensing electronically, orally, in paper format, or effort to reduce paperwork and Responsibilities and Enforcement by other conventional means as respondent burden, invites the general AGENCY: Bureau of Industry and requested. public and other Federal agencies to Security. III. Data take this opportunity to comment on ACTION: Notice. proposed and/or continuing information OMB Control Number: 0694–0122. collections, as required by the SUMMARY: The Department of Form Number(s): N/A. Paperwork Reduction Act of 1995. Type of Review: Regular submission. Commerce, as part of its continuing Affected Public: Business or other for- DATES: To ensure consideration, written effort to reduce paperwork and profit organizations. comments must be submitted on or respondent burden, invites the general Estimated Number of Respondents: before January 21, 2020. public and other federal agencies to take 2,224,151. ADDRESSES: Direct all written comments this opportunity to comment on Estimated Time per Response: 5 to Mark Crace, IC Liaison, Bureau of proposed and/or continuing information seconds to 2 hours per response. Industry and Security, 1401 collections, as required by the Estimated Total Annual Burden Constitution Avenue, Suite 2099B, Paperwork Reduction Act of 1995. Hours: 97,456 hours. Washington, DC 20233 (or via the DATES: To ensure consideration, written Estimated Total Annual Cost to internet at [email protected]). All comments must be submitted on or Public: $0. Personally Identifiable Information (for before January 21, 2020. Respondent’s Obligation: Voluntary. example, name and address) voluntarily

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submitted by the commenter may be Legal Authority: Section 401 (10) of dumping margins listed in the ‘‘Final publicly accessible. Do not submit Executive order 12656 (November 18, Results of Review’’ section below. Confidential Business Information or 1988), 15 U.S.C. Section 1512. DATES: Applicable November 22, 2019. otherwise sensitive or protected IV. Request for Comments information. You may submit FOR FURTHER INFORMATION CONTACT: attachments to electronic comments in Comments are invited on: (a) Whether William Horn or Alexis Cherry, AD/ Microsoft Word, Excel, or Adobe PDF the proposed collection of information CVD Operations, Office VIII, file formats. is necessary for the proper performance Enforcement and Compliance, International Trade Administration, SUPPLEMENTARY INFORMATION: of the functions of the agency, including whether the information shall have U.S. Department of Commerce, 1401 I. Abstract practical utility; (b) the accuracy of the Constitution Avenue NW, Washington, All U.S. firms desiring to participate agency’s estimate of the burden DC 20230; telephone: (202) 482–4868 or in the NATO International Competitive (including hours and cost) of the (202) 482–0607, respectively. Bidding (ICB) process under the NATO proposed collection of information; (c) SUPPLEMENTARY INFORMATION: Security Investment Program (NSIP) ways to enhance the quality, utility, and Background must be certified as technically, clarity of the information to be financially and professionally collected; and (d) ways to minimize the Commerce published the Preliminary competent. The U.S. Department of burden of the collection of information Results on July 19, 2019.1 For events Commerce provides the Declaration of on respondents, including through the subsequent to the Preliminary Results, Eligibility that certifies these firms. Any use of automated collection techniques see Commerce’s Issues and Decision such firm seeking certification is or other forms of information Memorandum.2 required to submit a completed Form technology. Scope of the Order BIS–4023P along with a current annual Comments submitted in response to financial report and a resume of past this notice will be summarized and/or The products covered by the order are projects in order to become certified and included in the request for OMB HWR pipes and tubes from Turkey. A placed on the Consolidated List of approval of this information collection; full description of the scope of the order Eligible Bidders. they also will become a matter of public is contained in the Issues and Decision record. II. Method of Collection Memorandum. Sheleen Dumas, Analysis of Comments Received Applications are submitted to the U.S. Departmental Lead PRA Officer, Office of the Department of Commerce’s Office of Chief Information Officer, Commerce The issues raised by the petitioners in Strategic Industries and Economic Department. their case brief are addressed in the Security, Defense Programs Division [FR Doc. 2019–25361 Filed 11–21–19; 8:45 am] Issues and Decision Memorandum.3 A where the contents are reviewed for BILLING CODE 3510–07–P list of topics included in the Issues and completeness and accuracy by the Decision Memorandum is attached as an NATO Program Specialist. The Appendix to this notice. The Issues and application is a one-time effort. The DEPARTMENT OF COMMERCE Decision Memorandum is a public information provided on the BIS–4023P document and is on file electronically form is used to certify the U.S. firm and International Trade Administration via Enforcement and Compliance’s place it in the bidders list database. [A–489–824] Antidumping and Countervailing Duty BIS has developed a form-fillable Centralized Electronic Service System .PDF version of the BIS–4023P to enable Heavy Walled Rectangular Welded (ACCESS). ACCESS is available to electronic submission of this form. The Carbon Steel Pipes and Tubes From registered users at http:// form is available at the following URL: the Republic of Turkey: Final Results access.trade.gov and in the Central http://www.bis.doc.gov/index.php/ of Antidumping Duty Administrative Records Unit, room B8024 of the main other-areas/strategic-industries-and- Review and Final Determination of No Commerce building. In addition, a economic-security-sies/nato-related- Shipments; 2017–2018 complete version of the Issues and business-opportunities. Completed Decision Memorandum can be accessed applications and supporting AGENCY: Enforcement and Compliance, directly on the internet at http:// documentation may be submitted International Trade Administration, enforcement.trade.gov/frn/. The signed electronically via email. Department of Commerce. Issues and Decision Memorandum and SUMMARY: III. Data The Department of Commerce the electronic version of the Issues and (Commerce) continues to determine that OMB Control Number: 0694–0128. Noksel Celik Boru Sanayi A.S. (Noksel), 1 See Heavy Walled Rectangular Welded Carbon Form Number(s): BIS–4023P. a producer and/or exporter of heavy Steel Pipes and Tubes from the Republic of Turkey: Type of Review: Regular submission. walled rectangular welded carbon steel Preliminary Results of Antidumping Duty Affected Public: Business or other For Administrative Review and Preliminary pipes and tubes (HWR pipes and tubes) Determination of No Shipments; 2017–2018, 84 FR Profit. from the Republic of Turkey (Turkey), 34863 (July 19, 2019) (Preliminary Results), and Estimated Number of Respondents: sold subject merchandise in the United accompanying Preliminary Decision Memorandum 50. States at prices below normal value (PDM). Estimated Time per Response: 1 hour. (NV) during the period of review (POR) 2 See Memorandum, ‘‘Heavy Walled Rectangular Welded Carbon Steel Pipes and Tubes from the Estimated Total Annual Burden September 1, 2017 through August 31, Republic of Turkey: Issues and Decision Hours: 50. 2018. We also determine that Cinar Boru Memorandum for the Final Results of Antidumping Estimated Total Annual Cost to Profil San Ve Tic A.S. (Cinar Boru) had Duty Administrative Review and Final Public: There is no cost to the no shipments of HWR pipes and tubes Determination of No Shipments; 2017–2018,’’ dated concurrently with, and hereby adopted by, this respondent other than time to answer during the POR. Based on an analysis of notice (Issues and Decision Memorandum). the information request. the comments received, we have not 3 The petitioners were the only party which filed Respondent’s Obligation: Voluntary. made changes to the weighted-average a case brief in this administrative review.

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Decision Memorandum are identical in administrative review.6 As discussed in determined that Cinar Boru had no content. the Preliminary Results, Commerce’s shipments of the subject merchandise, practice in calculating a rate for non- for entries of subject merchandise Application of Adverse Facts Available selected companies has been to look to during the POR produced, but not For these final results, we continue to section 735(c)(5) of the Act for guidance. exported by, Cinar Boru, we will find that Noksel withheld necessary In particular, section 735(c)(5)(B) of the instruct CBP to liquidate any entries at information requested by Commerce, Act provides that where all rates are the all-others rate (i.e., 17.73 percent) if failed to provide information to zero, de minimis, or based entirely on there is no rate for the intermediate Commerce by the required deadline, facts available, Commerce may use ‘‘any company(ies) involved in the and significantly impeded the reasonable method’’ for assigning the transaction.11 proceeding. Further, we continue to find rate to the non-selected companies. In We intend to issue instructions to that because Noksel received this review, the rate assigned to Noksel CBP 15 days after the date of Commerce’s questionnaire but did not is the only rate determined for an publication of the final results of this respond to our request for information, individual respondent. Thus, in review. Noksel failed to cooperate to the best of accordance with the U.S. Court of its ability. Therefore, we continue to Appeals for the Federal Circuit’s Cash Deposit Requirements find that the application of adverse facts decision in Albemarle Corp. v. United The following deposit requirements available, pursuant to sections 776(a) States,7 we continue to find that a will be effective for all shipments of the and (b) of the Act, is warranted with reasonable method for determining the subject merchandise entered, or respect to Noksel. rate for the non-selected companies is to withdrawn from warehouse, for Final Determination of No Shipments use the dumping margin applied to consumption on or after the publication Noksel in this review.8 date of the final results of this In the Preliminary Results, we found administrative review, as provided by 4 that Cinar Boru made no shipments of Final Results of the Review section 751(a)(2)(C) of the Act: (1) The the subject merchandise to the United As a result of this review, we cash deposit rates for each specific States during the POR. Also, in the determine the following weighted- company listed above will be the Preliminary Results, we stated that average dumping margins exist for the weighted-average dumping margins consistent with our practice, it was not POR: established in the final results of this appropriate to rescind the review with administrative review; (2) for respect to Cinar Boru, but rather to Weighted- merchandise exported by manufacturers complete the review and issue average or exporters not covered in this review appropriate instructions to U.S. Exporter/producer dumping margin but covered in a prior segment of the Customs and Border Protection (CBP) (percent) proceeding, the cash deposit rate will based on the final results of this 5 continue to be the company-specific rate review. Agir Haddecilik A.S ...... 35.66 published for the most recently After issuing the Preliminary Results, MTS Lojistik ve Tasimacilik completed segment of this proceeding in we received no information that Hizmetleri TIC A.S. Istanbul ... 35.66 which the manufacturer or exporter contradicted our preliminary results. Noksel Celik Boru Sanayi A.S .... 35.66 participated; (3) if the exporter is not a Therefore, for these final results, we Ozdemir Boru Profil San. ve Tic. 9 firm covered in this review, a prior continue to find that Cinar Boru made Ltd. Sti ...... 35.66 review, or the original less-than-fair- no shipments of subject merchandise value (LTFV) investigation, but the during the POR. See the Issues and Assessment Rates manufacturer is, the cash deposit rate Decision Memorandum for further Commerce has determined, and CBP will be the rate established for the most discussion. shall assess, antidumping duties on all recently completed segment of the appropriate entries of subject Rate for AFA and Non-Selected proceeding for the manufacturer of the merchandise in accordance with these Companies merchandise; and (4) the cash deposit final results of review.10 Pursuant to rate for all other manufacturers or For these final results, we continue to section 776(a) and (b) of the Act, exporters will continue to be 17.73 assign to Noksel as AFA the highest rate because Commerce has applied AFA to percent ad valorem, the all-others rate on the record of this proceeding. We Noksel, we will instruct CBP to apply established in the LTFV investigation.12 will also apply to the non-selected the rate of 35.66 percent to Noksel’s These cash deposit requirements, when companies the dumping margin that we suspended entries of the subject imposed, shall remain in effect until are applying to Noksel in this merchandise for the POR. For the further notice. companies that were not selected for 4 Commerce initiated a review of Cinar Boru individual examination, we used as the Profil San Ve Tic Stl. See Initiation of Antidumping Notification to Importers Regarding the and Countervailing Duty Administrative Reviews, assessment rate the cash deposit rate Reimbursement of Duties 83 FR 57411 (November 15, 2018). However, the assigned to Noksel. Because we This notice also serves as a final company has identified itself as Cinar Boru Profil San Ve Tic A.S. in its letters to Commerce. See, e.g., reminder to importers of their 6 See, e.g., Diamond Sawblades and Parts Thereof Cinar Boru’s Letter, ‘‘Heavy Walled Rectangular responsibility under 19 CFR from the People’s Republic of China: Final Results Welded Carbon Steel Pipes and Tubes from Turkey of Antidumping Duty Administrative Review; 2015– 351.402(f)(2) to file a certificate (A–489–824),’’ dated March 14, 2019 (Cinar Boru’s 2016, 83 FR 17527 (April 20, 2018), and regarding the reimbursement of No Shipment Letter). Commerce is hereby using accompanying Issues and Decision Memorandum at Cinar Boru’s spelling of its name. Comment 4. 5 11 For a full discussion of this practice, see See Preliminary Results, 84 FR at 34863–64; see 7 also, e.g., Magnesium Metal from the Russian See Ablemarle Corp. v. United States, 821 F.3d Antidumping and Countervailing Duty Proceedings: Federation: Preliminary Results of Antidumping 1345 (Fed. Cir. 2016). Assessment of Antidumping Duties, 68 FR 23954 Duty Administrative Review, 75 FR 26922, 26923 8 See PDM at 7–8. (May 6, 2003). (May 13, 2010), unchanged in Magnesium Metal 9 This rate only applies to subject merchandise 12 See Heavy Walled Rectangular Welded Carbon from the Russian Federation: Final Results of that was not both exported and produced by Steel Pipes and Tubes From the Republic of Turkey: Antidumping Duty Administrative Review, 75 FR Ozdemir Boru Profil San. ve Tic. Ltd. Sti. Final Determination of Sales at Less Than Fair 56989 (September 17, 2010). 10 See 19 CFR 351.212(b). Value, 81 FR 47355 (July 21, 2016).

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antidumping duties prior to liquidation Vietnam-wide entity. The period of have any reviewable transactions during of the relevant entries during the POR. review (POR) is February 1, 2018 the POR. As we have not received any Failure to comply with this requirement through January 31, 2019. information to contradict this could result in Commerce’s DATES: Applicable November 22, 2019. preliminary finding, Commerce presumption that reimbursement of FOR FURTHER INFORMATION CONTACT: determines that these three companies antidumping duties occurred and the Irene Gorelik, AD/CVD Operations, did not have any reviewable entries of subsequent assessment of double Office VIII, Enforcement and subject merchandise during the POR, antidumping duties. Compliance, International Trade and will issue appropriate instructions Administration, U.S. Department of that are consistent with our ‘‘automatic Notification Regarding Administrative assessment’’ clarification, for these final Protective Order Commerce, 1401 Constitution Avenue NW, Washington, DC 20230; telephone: results. This notice also serves as a reminder (202) 482–6905. to parties subject to administrative Final Results of the Review SUPPLEMENTARY INFORMATION: protective orders (APO) of their As no parties submitted comments responsibility concerning the return or Background regarding the Preliminary Results, Commerce made no changes to its destruction of proprietary information On September 12, 2019, Commerce determinations for the final results of disclosed under APO in accordance published in the Federal Register the this review. For these final results, with 19 CFR 351.305(a)(3), which Preliminary Results 1 of the Commerce continues to find that the continues to govern business administrative review of the four selected mandatory respondents 5 proprietary information in this segment antidumping duty order on certain did not respond to the questionnaire; of the proceeding. Timely written frozen warmwater shrimp from the thus, they have not established notification of the return/destruction of Socialist Republic of Vietnam eligibility for a separate rate. Further, APO materials, or conversion to judicial (Vietnam). This review covers 73 protective order, is hereby requested. Commerce continues to find that 73 companies preliminarily determined to companies under review, including the Failure to comply with the regulations be part of the Vietnam-wide entity and and the terms of an APO is a four mandatory respondents, are part of three companies preliminarily the Vietnam-wide entity, and are thus sanctionable violation. determined to have no reviewable We are issuing and publishing this subject to the Vietnam-wide entity rate transactions during the POR. We invited of 25.76 percent (see Appendix II). notice in accordance with sections parties to comment on the Preliminary 751(a)(1) and 777(i)(1) of the Act and 19 Results.2 No interested party submitted Disclosure and Public Comment CFR 351.221(b)(5). case briefs in the instant review. Normally, Commerce will disclose the Dated: November 15, 2019. Commerce conducted this calculations used in its analysis to Jeffrey I. Kessler, administrative review in accordance parties in this review within five days Assistant Secretary, for Enforcement and with section 751(a) of the Tariff Act of of the date of publication of the notice Compliance. 1930, as amended (the Act). of final results in the Federal Register, Appendix Scope of the Order in accordance with 19 CFR 351.224(b). However, here Commerce only applied List of Topics Discussed in the Issues and The merchandise subject to the order the Vietnam-wide rate, established in Decision Memorandum is certain frozen warmwater shrimp. the underlying investigation, to the 73 I. Summary The product is currently classified companies identified in Appendix II.6 II. Background under the following Harmonized Tariff Thus, there are no calculations to III. Scope of the Order Schedule of the United States (HTSUS) disclose. IV. Discussion of the Issue: Certification of item numbers: 0306.17.00.03, No Shipments 0306.17.00.06, 0306.17.00.09, Assessment Rates V. Recommendation 0306.17.00.12, 0306.17.00.15, Pursuant to section 751(a)(2)(A) of the [FR Doc. 2019–25376 Filed 11–21–19; 8:45 am] 0306.17.00.18, 0306.17.00.21, Act and 19 CFR 351.212(b), Commerce BILLING CODE 3510–DS–P 0306.17.00.24, 0306.17.00.27, will determine, and U.S. Customs and 0306.17.00.40, 1605.21.10.30, and Border Protection (CBP) shall assess, 1605.29.10.10. Although the HTSUS antidumping duties on all appropriate DEPARTMENT OF COMMERCE numbers are provided for convenience entries of subject merchandise in International Trade Administration and for customs purposes, the written accordance with the final results of this product description remains review. Commerce intends to issue [A–552–802] dispositive.3 assessment instructions to CBP 15 days after the date of publication of these Final Determination of No Shipments Certain Frozen Warmwater Shrimp final results of review. From the Socialist Republic of In the Preliminary Results, Commerce Vietnam: Final Results and Final found that (1) BIM Foods Joint Stock 5 The four companies selected for individual Determination of No Shipments of Company, (2) Camranh Seafoods Co., examination are: (1) Cadovimex Seafood Import- Antidumping Duty Administrative Ltd, and (3) Vinh Hoan Corp.4 did not Export & Processing Joint-Stock Company; (2) Review; 2018–2019 Phuong Nam Co., Ltd.; (3) New Generation Seafood Joint Stock Company; and (4) Viet Asia Foods 1 AGENCY: Enforcement and Compliance, See Certain Frozen Warmwater Shrimp from the Company Limited. Socialist Republic of Vietnam: Preliminary Results, International Trade Administration, 6 See Final Determination of Sales at Less Than Partial Rescission, and Preliminary Determination Fair Value: Certain Frozen and Canned Warmwater Department of Commerce. of No Shipments, of Antidumping Duty Shrimp from the Socialist Republic of Vietnam, 69 SUMMARY: The Department of Commerce Administrative Review; 2018–2019, 84 FR 48109 FR 71005, 71008 (December 8, 2004), and (September 12, 2019) (Preliminary Results). (Commerce) determines that no accompanying Issues and Decision Memorandum at 2 Id. Comments 6 and 10C (‘‘we have applied a rate of companies under review qualify for a 3 For a complete description of the scope of the 25.76 percent, a rate calculated in the initiation separate rate, and that these companies order, see Appendix I. stage of the investigation from information provided are therefore considered part of the 4 See Preliminary Results, 84 FR at 48110. in the petition . . .’’).

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With regard to the companies Administrative Protective Order (APO) meals,’’ that contain more than 20 percent by weight of shrimp or prawn are also included identified in Appendix II as part of the This notice also serves as a final Vietnam-wide entity, we will instruct in the scope of the order. reminder to parties subject to APO of Excluded from the scope are: (1) Breaded CBP to apply an ad valorem assessment their responsibility concerning the shrimp and prawns (HTS subheading rate of 25.76 percent to all entries of return or destruction of proprietary 1605.20.10.20); (2) shrimp and prawns subject merchandise during the POR information disclosed under APO in generally classified in the Pandalidae family which were exported by those accordance with 19 CFR 351.305, which and commonly referred to as coldwater companies. Additionally, consistent continues to govern business shrimp, in any state of processing; (3) fresh shrimp and prawns whether shell-on or with Commerce’s assessment practice in proprietary information in this segment non-market economy (NME) cases, if peeled (HTS subheadings 0306.23.00.20 and of the proceeding. Timely written 0306.23.00.40); (4) shrimp and prawns in Commerce determines that an exporter notification of the return or destruction prepared meals (HTS subheading under review had no shipments of the of APO materials, or conversion to 1605.20.05.10); (5) dried shrimp and prawns; subject merchandise, any suspended judicial protective order, is hereby (6) canned warmwater shrimp and prawns entries that entered under that requested. Failure to comply with the (HTS subheading 1605.20.10.40); and (7) exporter’s case number (i.e., at that regulations and terms of an APO is a certain battered shrimp. Battered shrimp is a exporter’s rate) will be liquidated at the violation which is subject to sanction. shrimp-based product: (1) That is produced NME-wide rate.7 from fresh (or thawed-from-frozen) and Notification to Interested Parties peeled shrimp; (2) to which a ‘‘dusting’’ layer Cash Deposit Requirements of rice or wheat flour of at least 95 percent This determination is issued and purity has been applied; (3) with the entire The following cash deposit published in accordance with sections surface of the shrimp flesh thoroughly and requirements will be effective upon 751(a)(1) and 777(i)(1) of the Act and 19 evenly coated with the flour; (4) with the publication of the final results of this CFR 351.221(b)(4). non-shrimp content of the end product constituting between four and 10 percent of administrative review for shipments of Dated: November 18, 2019. the product’s total weight after being dusted, the subject merchandise from Vietnam Jeffrey I. Kessler, but prior to being frozen; and (5) that is entered, or withdrawn from warehouse, Assistant Secretary for Enforcement and subjected to individually quick frozen for consumption on or after the Compliance. (‘‘IQF’’) freezing immediately after publication date, as provided by application of the dusting layer. When sections 751(a)(2)(C) of the Act: (1) For Appendix I dusted in accordance with the definition of all Vietnam exporters of subject Scope of the Order dusting above, the battered shrimp product is merchandise that have not been found also coated with a wet viscous layer The scope of the order includes certain containing egg and/or milk, and par-fried. to be entitled to a separate rate, the cash frozen warmwater shrimp and prawns, The products covered by this order are deposit rate will be the existing rate for whether wild-caught (ocean harvested) or currently classified under the following HTS the Vietnam-wide entity of 25.76 farm-raised (produced by aquaculture), head- subheadings: 0306.17.00.03, 0306.17.00.06, percent; (2) for previously investigated on or head-off, shell-on or peeled, tail-on or 0306.17.00.09, 0306.17.00.12, 0306.17.00.15, 8 or reviewed Vietnam and non-Vietnam tail-off, deveined or not deveined, cooked or 0306.17.00.18, 0306.17.00.21, 0306.17.00.24, raw, or otherwise processed in frozen form. exporters, not listed in this notice, that 0306.17.00.27, 0306.17.00.40, 1605.21.10.30, The frozen warmwater shrimp and prawn and 1605.29.10.10. These HTS subheadings received a separate rate in a prior products included in the scope of the order, segment of this proceeding, the cash are provided for convenience and for regardless of definitions in the Harmonized customs purposes only and are not deposit rate will continue to be the Tariff Schedule of the United States (‘‘HTS’’), dispositive, but rather the written description existing exporter-specific rate; and (3) are products which are processed from of the scope of this order is dispositive.9 for all non-Vietnam exporters of subject warmwater shrimp and prawns through merchandise which have not received freezing and which are sold in any count Appendix II their own rate, the cash deposit rate will size. The products described above may be Companies Subject to Review Determined To be the rate applicable to the Vietnam processed from any species of warmwater Be Part of the Vietnam-Wide Entity exporter that supplied that non-Vietnam shrimp and prawns. Warmwater shrimp and 1. A & CDN Foods Co., Ltd. exporter. These deposit requirements, prawns are generally classified in, but are not 2. Amanda Seafood Co., Ltd. when imposed, shall remain in effect limited to, the Penaeidae family. Some 3. An Huy B.T Co. Ltd. until further notice. examples of the farmed and wild-caught 4. Anh Koa Seafood warmwater species include, but are not 5. Anh Minh Quan Joint Stock Company Reimbursement of Duties limited to, white-leg shrimp (Penaeus 6. Asia Food Stuffs Import Export Co., Ltd. vannemei), banana prawn (Penaeus 7. B.O.P Company Limited This notice also serves as a final merguiensis), fleshy prawn (Penaeus 8. B.O.P. Limited Co. reminder to importers of their chinensis), giant river prawn responsibility under 19 CFR (Macrobrachium rosenbergii), giant tiger 9 On April 26, 2011, Commerce amended the 351.402(f)(2) to file a certificate prawn (Penaeus monodon), redspotted order to include dusted shrimp, pursuant to the regarding the reimbursement of shrimp (Penaeus brasiliensis), southern U.S. Court of International Trade (CIT) decision in Ad Hoc Shrimp Trade Action Committee v. United antidumping duties prior to liquidation brown shrimp (Penaeus subtilis), southern pink shrimp (Penaeus notialis), southern States, 703 F. Supp. 2d 1330 (CIT 2010) and the of the relevant entries during this POR. U.S. International Trade Commission (ITC) rough shrimp (Trachypenaeus curvirostris), Failure to comply with this requirement determination, which found the domestic like southern white shrimp (Penaeus schmitti), could result in Commerce’s product to include dusted shrimp. See Certain blue shrimp (Penaeus stylirostris), western Frozen Warmwater Shrimp from Brazil, India, the presumption that reimbursement of white shrimp (Penaeus occidentalis), and People’s Republic of China, Thailand, and the antidumping duties occurred and the Indian white prawn (Penaeus indicus). Socialist Republic of Vietnam: Amended subsequent assessment of double Frozen shrimp and prawns that are packed Antidumping Duty Orders in Accordance with Final antidumping duties. with marinade, spices or sauce are included Court Decision, 76 FR 23277 (April 26, 2011); see in the scope of the order. In addition, food also Ad Hoc Shrimp Trade Action Committee v. United States, 703 F. Supp. 2d 1330 (CIT 2010) and 7 For a full discussion of this practice, see Non- preparations, which are not ‘‘prepared Frozen Warmwater Shrimp from Brazil, China, Market Economy Antidumping Proceedings: India, Thailand, and Vietnam (Investigation Nos. Assessment of Antidumping Duties, 76 FR 65694 8 ‘‘Tails’’ in this context means the tail fan, which 731–TA–1063, 1064, 1066–1068 (Review), USITC (October 24, 2011). includes the telson and the uropods. Publication 4221, March 2011.

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9. Binh Dong Fisheries Joint Stock Company 48. Nha Trang Fisheries Joint Stock Company (Commerce) is notifying the public that 10. Binh Thuan Import–Export Joint Stock Nha Trang Fisheries Joint Stock Company the final judgment in this case is not in Company (THAIMEX) (‘‘Nha Trang Fisco’’) harmony with the final determination of 11. Ca Mau Agricultural Products and 49. Nhat Duc Co., Ltd. the CVD investigation and that Foodstuff Imp-Exp Joint Stock Company 50. Nigico Co., Ltd. (Agrimexco Camau) 51. Phu Cuong Jostoco Corp. Commerce is amending the final 12. Cadovimex Seafood Import-Export and Phu Cuong Jostoco Seafood Corporation determination with respect to the net Processing Joint Stock Company 52. Phu Minh Hung Seafood Joint Stock countervailable subsidy rates assigned (‘‘Cadovimex’’) Company to POSCO and all other producers/ Cadovimex Seafood Import-Export and 53. Phuong Nam Foodstuff Corp. exporters not individually investigated. Processing Joint Stock Company Phuong Nam Foodstuff Corp., Ltd. DATES: (Cadovimex) 54. Quoc Ai Seafood Processing Import Applicable November 18, 2019. Cai Doi Vam Seafood Import-Export Co. Export Co., Ltd. FOR FURTHER INFORMATION CONTACT: (‘‘CADOVIMEX’’) 55. Quoc Toan Seafood Processing Factory Yasmin Bordas, AD/CVD Operations, 13. Cholimex Food Joint Stock Company (Quoc Toan PTE) Office VI, Enforcement and Compliance, 14. CJ Cau Tre Foods Joint Stock Company 56. Quy Nhon Frozen Seafoods Joint Stock International Trade Administration, 15. CJ Freshway (FIDES Food System Co., Company U.S. Department of Commerce, 1401 Ltd.) 57. Saigon Aquatic Product Trading Joint 16. Coastal Fisheries Development Stock Company (APT Co.) Constitution Avenue NW, Washington, Corporation (‘‘COFIDEC’’) 58. Saigon Food Joint Stock Company DC 20230; telephone: (202) 482–3813. 17. Cty Tnhh Anh Khoa Seafood 59. Seafood Joint Stock Company No.4 SUPPLEMENTARY INFORMATION: 18. Danang Seaproducts Import-Export 60. South Ha Tinh Seaproducts Import- Corporation (SEADANANG) Export Joint Stock Company Background 19. Dong Do Profo., Ltd. 61. Special Aquatic Products Joint Stock Company (SEASPIMEX VIETNAM) On April 4, 2017, Commerce 20. Dong Hai Seafood Limited Company 1 21. Dong Phuong Seafood Co., Ltd. 62. T & P Seafood Company Limited published its Final Determination. In 22. Duc Cuong Seafood Trading Co., Ltd. 63. Tai Nguyen Seafood Co., Ltd. the Final Determination, Commerce 23. Fine Foods Company (FFC) 64. Tan Phong Phu Seafood Co., Ltd. (‘‘TPP calculated a net countervailable subsidy Fine Foods Company (FFC) (Ca Mau Foods Co., Ltd.’’) rate of 4.31 percent for POSCO.2 & Fishery Export Joint Stock Company) Tan Phong Phu Seafood Co., Ltd. (TPP Co. On December 6, 2018, the Court 24. Gallant Dachan Seafood Co., Ltd. Ltd.) remanded various aspects of the Final 25. Gallant Ocean (Vietnam) Co., Ltd. 65. Tan Thanh Loi Frozen Food Co., Ltd. Determination to Commerce.3 In its 66. Thien Phu Export Seafood Processing Gallant Ocean Viet Nam Co., Ltd. Remand Order, the Court upheld 26. Green Farms Joint Stock Company Company Limited Green Farms Seafood Joint Stock Company 67. Thinh Hung Co., Ltd. Commerce’s application of adverse facts Green Farms Seafoods Joint Stock Company 68. Trang Corporation (Vietnam) available (AFA) to POSCO’s cross- 27. Ha Cat A International Co., Ltd. 69. Trang Khan Seafood Co., Ltd. owned company POSCO M-Tech’s 28. Hanh An Trading Service Co., Ltd. 70. Viet Asia Foods Co., Ltd. unreported additional government 29. Hanoi Seaproducts Import & Export Joint 71. Viet Nam Seaproducts—Joint Stock subsidies, but remanded to the agency Stock Corporation (Seaprodex Hanoi) Company for reconsideration its determination 30. Hoa Trung Seafood Corporation (HSC) 72. Viet Phu Foods and Fish Corp. that the assistance received by POSCO 31. Hong Ngoc Seafood Co., Ltd. 73. Viet Shrimp Export Processing Joint M-Tech was countervailable.4 Stock Company 32. Hung Bang Co., Ltd. Specifically, the Court held that 33. HungHau Agricultural Joint Stock [FR Doc. 2019–25374 Filed 11–21–19; 8:45 am] Company Commerce did not sufficiently justify its BILLING CODE 3510–DS–P 34. Huynh Huong Seafood Processing application of AFA in making its benefit 35. Huynh Huong Trading and Import-Export and specificity findings regarding this Joint Stock Company program.5 DEPARTMENT OF COMMERCE 36. JK Fish Co., Ltd. Separately, the Court held that 37. Kaiyo Seafood Joint Stock Company International Trade Administration Commerce did not ‘‘evaluate the 38. Khai Minh Trading Investment application of the highest available AFA Corporation [C–580–888] rates’’ as required by section 776(d)(2) of 39. Khanh Hoa Seafoods Exporting Company the Tariff Act of 1930, as amended (the (KHASPEXCO) Certain Carbon and Alloy Steel Cut-To- Act).6 Accordingly, it remanded the 40. Lam Son Import-Export Foodstuff Length Plate From the Republic of Final Determination to Commerce for Company Limited (Lamson Fimexco) Korea: Notice of Court Decision Not in reconsideration of ‘‘why the highest Lam Son Import-Export Foodstuffs Harmony With Final Countervailing Corporation available rate should apply to 41. Long Toan Frozen Aquatic Products Joint Duty Determination, and Notice of Amended Final Countervailing Duty Stock Company 1 See Certain Carbon and Alloy Steel Cut-To- 42. Minh Bach Seafood Company (Minh Binh Determination Length Plate from the Republic of Korea: Final Seafood Foods Co., Ltd.) AGENCY: Enforcement and Compliance, Affirmative Countervailing Duty Determination and Minh Bach Seafood Company Limited Final Negative Critical Circumstances 43. Minh Cuong Seafood Import Export International Trade Administration, Determination, 82 FR 16341 (April 4, 2017) (Final Processing Joint Stock Company (‘‘MC Department of Commerce. Determination), and accompanying Issues and Seafood’’) SUMMARY: On November 8, 2019, the Decision Memorandum. 2 Minh Cuong Seafood Import-Export United States Court of International See Final Determination, 82 FR at 16342; see Processing (‘‘MC Seafood’’) also Memorandum, ‘‘Countervailing Duty Trade (Court) sustained the final Investigation: Certain Carbon and Alloy Steel Cut- 44. Minh Phu Seafood Corporation remand results pertaining to the To-Length Plate from the Republic of Korea: Final 45. Namcan Seaproducts Import Export Joint countervailing duty (CVD) investigation Determination Calculation Memorandum for Stock Company (Seanamico) on certain carbon and alloy steel cut-to- POSCO,’’ dated March 29, 2017. 46. New Generation Seafood Joint Stock 3 See POSCO v. United States, 353 F. Supp. 3d Company length (CTL) plate from the Republic of 1357 (CIT 2018) (Remand Order). New Generation Seafood Joint Stock Korea (Korea) covering the period 4 Id. at 1374, 1376. Company (‘‘New Generation’’) January 1, 2015 through December 31, 5 Id. at 1374. 47. New Wind Seafood Co., Ltd. 2015. The Department of Commerce 6 Id. at 1374 and 1382–83.

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POSCO.’’ 7 Because the Court remanded pending a final and conclusive court Dated: November 18, 2019. Commerce’s Final Determination on decision. Jeffrey I. Kessler, these bases, it did not address whether Amended Final Determination Assistant Secretary for Enforcement and the agency corroborated the AFA rates Compliance. 8 at issue. Because there is now a final court [FR Doc. 2019–25392 Filed 11–21–19; 8:45 am] Shortly thereafter, POSCO filed a decision, Commerce is amending its BILLING CODE 3510–DS–P motion for reconsideration of the Court’s opinion. In its Reconsideration Final Determination with respect to the Order,9 the Court concluded that net countervailable subsidy rate DEPARTMENT OF COMMERCE ‘‘Commerce did not provide any assigned to POSCO. Additionally, because the rate for all other producers/ additional explanation of how it International Trade Administration determined that there was no identical exporters not individually investigated program before moving to the second was based on the net countervailable step of its AFA methodology—using the subsidy rate calculated for POSCO, [A–523–810] rate in another investigation—and, thus, Commerce is amending the all-others did not make the requisite factual rate.15 As previously indicated, in Polyethylene Terephthalate Resin findings to address POSCO’s contention accordance with the scope of the From the Sultanate of Oman: Final that the {Industrial Technology underlying investigation, this Results of Antidumping Duty Innovation Promotion Act} grant was an application of POSCO’s subsidy rate to Administrative Review; 2017–2018 identical program in the proceeding.’’ 10 all other producers/exporters applies AGENCY: Enforcement and Compliance, Accordingly, it further remanded the only to subject CTL plate not within the International Trade Administration, Final Determination to Commerce for physical description of cut-to-length Department of Commerce. consideration of this issue. carbon quality steel plate in the 1999 Pursuant to the Remand Order and Korea CVD Order.16 The revised net SUMMARY: The Department of Commerce Reconsideration Order, Commerce countervailable subsidy rates for (Commerce) determines that OCTAL issued its Final Redetermination, which POSCO, and all other producers/ SAOC–FZC (OCTAL) did not make sales addressed the Court’s holdings and revised the net countervailable subsidy exporters not individually investigated of polyethylene terephthalate resin (PET rate assigned to POSCO to 3.72 for the period January 1, 2015, through resin) from the Sultanate of Oman percent.11 On November 8, 2019, the December 31, 2015, are as follows: (Oman) at less than normal value during Court sustained Commerce’s Final the period of review (POR), May 1, 2017 Redetermination and entered final Subsidy through April 30, 2018. 12 Producer/exporter rate judgment. (percent) DATES: Applicable November 22, 2019. Timken Notice POSCO ...... 3.72 FOR FURTHER INFORMATION CONTACT: 13 In its decision in Timken, as All Others ...... 3.72 Jonathan Hill, AD/CVD Operations, clarified by Diamond Sawblades,14 the Office IV, Enforcement and Compliance, United States Court of Appeals for the Cash Deposit Requirements International Trade Administration, Federal Circuit held that, pursuant to U.S. Department of Commerce, 1401 sections 516A(e) of the Act, Commerce Because POSCO does not have a Constitution Avenue NW, Washington, must publish a notice of a court superseding cash deposit rate, i.e., there DC 20230; telephone: (202) 482–3518. decision that is not ‘‘in harmony’’ with have been no final results published in SUPPLEMENTARY INFORMATION: a Commerce determination, and must a subsequent administrative review for suspend liquidation of entries pending POSCO, Commerce will issue revised Background a ‘‘conclusive’’ court decision. The cash deposit instructions to U.S. Court’s November 8, 2019, judgment Customs and Border Protection (CBP). On July 18, 2019, Commerce sustaining Commerce’s Final Effective November 18, 2019, the cash published the Preliminary Results of the Redetermination constitutes a final deposit rate applicable to entries of 2017–2018 antidumping duty (AD) decision of that court, which is not in subject merchandise exported by administrative review of PET resin from harmony with Commerce’s Final 1 POSCO is 3.72 percent. Similarly, Oman. On August 19, 2019, DAK Determination. This notice is published Americas, LLC, Indorama Ventures in fulfillment of the publication Commerce will also instruct CBP to collect cash deposits for companies USA, Inc., and Nan Ya Plastics requirements of Timken. Commerce will Corporation, America (petitioners) continue the suspension of liquidation covered by the all-others cash deposit rate according to the table above, requested that Commerce conduct a of the subject merchandise at issue 2 effective November 18, 2019. hearing in this proceeding. On August 20, 2019, we received a case brief from 7 Id. at 1374 and 1383. This notice is issued and published in the petitioners and on August 30, 2019, 8 Id. at 1383 n.15. accordance with sections 516A(c)(1) and 9 we received a rebuttal brief from See POSCO v. United States, 382 F. Supp. 3d (e)(1), 705(c)(1)(B), and 777(i)(1) of the 1346 (CIT 2019) (Reconsideration Order). 10 Id. at 1349. Act. 1 See Polyethylene Terephthalate Resin from the 11 See Final Results of Redetermination Pursuant Sultanate of Oman: Preliminary Results of to Court Order, Consol. Court No. 17–00137, dated Antidumping Duty Administrative Review; 2017– July 1, 2019 (Final Redetermination). 15 See Final Determination, 82 FR at 16342. 2018, 84 FR 34343 (July 18, 2019) (Preliminary 12 See POSCO v. United States, Slip Op. 18–169, Consol. Ct. No. 17–00137 (CIT 2018). 16 See id. n.10 (citing Final Affirmative Results), and accompanying Preliminary Decision 13 See Timken Co. v. United States, 893 F. 2d 337 Countervailing Duty Determination: Certain Cut-to- Memorandum. (Fed. Cir. 1990) (Timken). Length Carbon-Quality Steel Plate from the 2 See Petitioners’ Letter, ‘‘Polyethylene 14 See Diamond Sawblades Mfrs. Coalition v. Republic of Korea, 64 FR 6587 (December 29, 1999), Terephthalate Resin from the Sultanate of Oman— United States, 626 F. 3d 1374 (Fed. Cir. 20 10) as amended, 65 FR 6587 (February 10, 2000) (1999 Petitioners’ Request for Hearing,’’ dated August 19, (Diamond Sawblades). Korea CVD Order)). 2019.

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OCTAL.3 On October 3, 2019, we held can be accessed directly at http:// company-specific rate published for the a public hearing.4 enforcement.trade.gov/frn/index.html. most recent period; (3) if the exporter The signed IDM and the electronic was not covered in this review, a prior Scope of the Order version of the IDM are identical in review, or the investigation, but the The merchandise covered by this content. producer was, the cash deposit rate will order is PET resin having an intrinsic be the rate established in the most Changes Since the Preliminary Results viscosity of at least 0.70, but not more recently completed segment of this than 0.88, deciliters per gram. The Based on our review of the record and proceeding for the producer of the merchandise subject to this order is comments received from interested subject merchandise; and (4) the cash properly classified under subheadings parties, we made no revisions to the deposit rate for all other producers or 3907.60.00.30, 3907.61.0000, preliminary dumping margin exporters will continue to be 7.62 3907.61.0010, 3907.61.0050, calculations for OCTAL. percent ad valorem, the all-others rate 3907.69.0000, 3907.69.0010, and 7 Final Results of the Administrative established in the investigation. These 3907.69.0050 of the Harmonized Tariff Review cash deposit requirements, when Schedule of the United States imposed, shall remain in effect until (HTSUS).5 Although the HTSUS We have determined that the further notice. subheadings are provided for following weighted-average dumping convenience and customs purposes, the margin exists for the firm listed below Notification to Importers Regarding the written description of the merchandise for the period May 1, 2017 through Reimbursement of Duties covered by this order is dispositive. For April 30, 2018: This notice serves as a final reminder a complete description of the scope of to importers of their responsibility the order, see the Issues and Decision Weighted- under 19 CFR 351.402(f) to file a 6 average Memorandum (IDM). Exporter\producer dumping certificate regarding the reimbursement Analysis of Comments Received margin of AD duties prior to liquidation of the (percent) relevant entries during the POR. Failure All issues raised in the case and to comply with this requirement could OCTAL SAOC–FZC ...... 0.00 rebuttal briefs by parties to this result in Commerce’s presumption that administrative review are addressed in reimbursement of AD duties occurred the IDM, which is hereby adopted by Assessment Rates and the subsequent assessment of this notice. A list of the issues raised is Pursuant to section 751(a)(2)(A) of the doubled AD duties. attached to this notice as an Appendix. Tariff Act of 1930, as amended (the Act), The IDM is a public document and is and 19 CFR 351.212(b)(1), Commerce Administrative Protective Order on-file electronically via Enforcement will determine, and U.S. Customs and This notice also serves as a reminder and Compliance’s Antidumping and Border Protections (CBP) shall assess, to parties subject to administrative Countervailing Duty Centralized AD duties on all appropriate entries of protective orders (APO) of their Electronic Service System (ACCESS). subject merchandise in accordance with responsibility concerning the return or ACCESS is available to registered users the final results of this review. Because destruction of proprietary information at https://access.trade.gov and in the OCTAL’s weighted-average dumping disclosed under APO in accordance Central Records Unit, Room B8024 of margin is zero percent, we will instruct with 19 CFR 351.305(a)(3). Timely the main Commerce building. In CBP to liquidate the appropriate entries written notification of the return or addition, a complete version of the IDM without regard to AD duties. destruction of APO materials, or For POR entries of subject conversion to judicial protective order, 3 See Petitioners’ Letter, ‘‘Polyethylene merchandise produced by OCTAL for is hereby requested. Failure to comply Terephthalate Resin from the Sultanate of Oman: which it did not know the merchandise Petitioners’ Case Brief,’’ dated August 20, 2019’; see with the regulations and the terms of an also OCTAL’s Rebuttal Brief, ‘‘OCTAL’s Rebuttal was destined for the United States, we APO is a sanctionable violation. Brief: Polyethylene Terephthalate Resin (PET) from will instruct CBP to liquidate these the Sultanate of Oman,’’ dated August 30, 2019. unreviewed entries at the all-others rate Notification to Interested Parties 4 See Memorandum, ‘‘2017–2018 Antidumping if there is no rate for the intermediate We are issuing and publishing this Duty Administrative Review of Polyethylene company(ies) involved in the notice in accordance with sections Terephthalate Resin from the Sultanate of Oman: Hearing Schedule,’’ dated September 25, 2019; see transaction. We intend to issue 751(a)(1) and 777(i) of the Act and 19 also Public Hearing Transcript dated October 10, liquidation instructions to CBP 15 days CFR 351.221(b)(5). 2019. after publication of the final results of Dated: November 15, 2019. 5 On January 27, 2017, Commerce added HTS this review. numbers 3907.61.0000 and 3907.69.0000 to the Jeffrey I. Kessler, Case Reference File. See Memorandum, ‘‘Request Cash Deposit Requirements Assistant Secretary for Enforcement and from Customs and Border Protection to Update the Compliance. ACE Case Reference File: Polyethylene The following cash deposit Terephthalate Resin form the Sultanate of Oman requirements will be effective upon Appendix (A–523–810),’’ dated January 31, 2017. Further, on publication of this notice of final results February 28, 2019, Commerce added HTS numbers List of Topics Discussed in the Issues and 3907.61.0010, 3907.61.0050, 3907.69.0010, and of administrative review in the Federal Decision Memorandum Register for all shipments of subject 3907.69.0050 to the Case Reference File. See I. Summary Memorandum, ‘‘Request from U.S. Customs and merchandise entered, or withdrawn II. Background Border Protection to Update the ACE Case from warehouse, for consumption on or Reference File: Polyethylene Terephthalate Resin III. Scope of the Order form the Sultanate of Oman (A–523–810),’’ dated after the date of publication of the IV. Changes Since the Preliminary Results February 28, 2019. notice, as provided by section 751(a)(2) 6 See Memorandum, ‘‘Issues and Decision of the Act: (1) The cash deposit rate for 7 See Certain Polyethylene Terephthalate Resin Memorandum for the Final Results of the 2017– OCTAL is zero percent; (2) for from Canada, the People’s Republic of China, India, 2018 Administrative Review of the Antidumping previously reviewed or investigated and the Sultanate of Oman: Amended Final Duty Order on Polyethylene Terephthalate Resin Affirmative Antidumping Determination (Sultanate from the Sultanate of Oman,’’ dated concurrently companies not listed above, the cash of Oman) and Antidumping Duty Orders, 81 FR with, and hereby adopted by, this notice. deposit rate will continue to be the final 27979 (May 6, 2016).

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V. Discussion of the Issues protectors are attached. The scope of the preliminary determination, we continue Comment 1: Whether to Apply Total order also covers OCTG coupling stock. to find that GVN had no shipments of Adverse Facts Available Excluded from the scope of the order subject merchandise during the POR.3 VI. Recommendation are: Casing or tubing containing 10.5 Consistent with our practice, we will [FR Doc. 2019–25375 Filed 11–21–19; 8:45 am] percent or more by weight of chromium; issue appropriate instructions to U.S. BILLING CODE 3510–DS–P drill pipe; unattached couplings; and Customs and Border Protection (CBP) unattached thread protectors. based on these final results.4 The merchandise subject to the order DEPARTMENT OF COMMERCE is currently classified in the Assessment Rates Harmonized Tariff Schedule of the We have calculated no assessment International Trade Administration United States (HTSUS) under item rates in this administrative review. [A–533–857] numbers: 7304.29.10.10, 7304.29.10.20, Pursuant to Commerce’s assessment 7304.29.10.30, 7304.29.10.40, practice, because we have determined Oil Country Tubular Goods From India: 7304.29.10.50, 7304.29.10.60, that GVN had no shipments of the Final Results and No Shipments 7304.29.10.80, 7304.29.20.10, subject merchandise, any suspended Determination of Antidumping Duty 7304.29.20.20, 7304.29.20.30, entries that entered under that Administrative Review; 2017–2018 7304.29.20.40, 7304.29.20.50, exporter’s case number (i.e., at that 7304.29.20.60, 7304.29.20.80, exporter’s rate) will be liquidated at the AGENCY: Enforcement and Compliance, all-others rate. Commerce intends to International Trade Administration, 7304.29.31.10, 7304.29.31.20, issue appropriate assessment Department of Commerce. 7304.29.31.30, 7304.29.31.40, 7304.29.31.50, 7304.29.31.60, instructions to CBP 15 days after the SUMMARY: The Department of Commerce 7304.29.31.80, 7304.29.41.10, publication of these final results. (Commerce) continues to find that GVN 7304.29.41.20, 7304.29.41.30, Cash Deposit Requirements Fuels, Ltd. (GVN) had no shipments of 7304.29.41.40, 7304.29.41.50, subject merchandise during the period 7304.29.41.60, 7304.29.41.80, As a result of this administrative of review (POR) September 1, 2017 7304.29.50.15, 7304.29.50.30, review, there are no changes to the through August 31, 2018. 7304.29.50.45, 7304.29.50.60, existing cash deposit requirements, FOR FURTHER INFORMATION CONTACT: 7304.29.50.75, 7304.29.61.15, which shall remain in effect until Charlotte Baskin-Gerwitz, AD/CVD 7304.29.61.30, 7304.29.61.45, further notice. Operations, Office VII, Enforcement and 7304.29.61.60, 7304.29.61.75, Notification to Importers Compliance, International Trade 7305.20.20.00, 7305.20.40.00, Administration, Department of 7305.20.60.00, 7305.20.80.00, This notice serves as a final reminder Commerce, 1401 Constitution Avenue 7306.29.10.30, 7306.29.10.90, to importers of their responsibility NW, Washington, DC 20230; telephone: 7306.29.20.00, 7306.29.31.00, under 19 CFR 351.402(f)(2) to file a certificate regarding the reimbursement (202) 482–4880. 7306.29.41.00, 7306.29.60.10, of antidumping duties prior to SUPPLEMENTARY INFORMATION: 7306.29.60.50, 7306.29.81.10, and liquidation of the relevant entries Background 7306.29.81.50. The merchandise subject to the order during this POR. Failure to comply with On August 13, 2019, Commerce may also enter under the following this requirement could result in published the Preliminary Results.1 We HTSUS item numbers: 7304.39.00.24, Commerce’s presumption that invited interested parties to comment on 7304.39.00.28, 7304.39.00.32, reimbursement of antidumping duties the Preliminary Results, but we received 7304.39.00.36, 7304.39.00.40, occurred and the subsequent assessment no comments. Accordingly, we made no 7304.39.00.44, 7304.39.00.48, of doubled antidumping duties. changes to the Preliminary Results for 7304.39.00.52, 7304.39.00.56, Administrative Protective Orders purposes of these final results. 7304.39.00.62, 7304.39.00.68, This notice also serves as the only Scope of the Order 7304.39.00.72, 7304.39.00.76, reminder to parties subject to 7304.39.00.80, 7304.59.60.00, The merchandise covered by the order administrative protective order (APO) of 7304.59.80.15, 7304.59.80.20, is certain oil country tubular goods their responsibility concerning the 7304.59.80.25, 7304.59.80.30, (OCTG), which are hollow steel return or destruction of proprietary 7304.59.80.35, 7304.59.80.40, products of circular cross-section, information disclosed under APO in 7304.59.80.45, 7304.59.80.50, including oil well casing and tubing, of accordance with 19 CFR 351.305(a)(3). 7304.59.80.55, 7304.59.80.60, iron (other than cast iron) or steel (both Timely written notification of the return 7304.59.80.65, 7304.59.80.70, carbon and alloy), whether seamless or or destruction of APO materials or 7304.59.80.80, 7305.31.40.00, welded, regardless of end finish (e.g., conversion to judicial protective order is 7305.31.60.90, 7306.30.50.55, whether or not plain end, threaded, or hereby requested. Failure to comply 7306.30.50.90, 7306.50.50.50, and threaded and coupled) whether or not 7306.50.50.70. 3 Because Commerce did not modify its analysis conforming to American Petroleum The HTSUS subheadings above are Institute (API) or non-API from that presented in the Preliminary Results, no provided for convenience and customs decision memorandum accompanies this Federal specifications, whether finished purposes only. The written description Register notice. (including limited service OCTG of the scope of the order is dispositive. 4 See, e.g., Certain Frozen Warmwater Shrimp products) or unfinished (including from Thailand; Preliminary Results of Antidumping green tubes and limited service OCTG Final Determination of No Shipments Duty Administrative Review, Partial Rescission of Review, Preliminary Determination of No products), whether or not thread Commerce preliminarily determined Shipments; 2012–2013, 79 FR 15951, 15952 (March that GVN had no shipments of subject 24, 2014), unchanged in Certain Frozen Warmwater 1 See Oil Country Tubular Goods from India: merchandise during the POR.2 As we Shrimp from Thailand: Final Results of Preliminary No Shipments Determination of Antidumping Duty Administrative Review, Final Antidumping Duty Administrative Review; 2017– received no comments concerning our Determination of No Shipments, and Partial 2018, 84 FR 40028 (August 13, 2019) (Preliminary Rescission of Review; 2012–2013, 79 FR 51306 Results). 2 Id. (August 28, 2014).

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with the regulations and terms of an Act).2 Subsequent to the initiation of the Ltd.; 21 Tension Steel Industries Co., APO is a violation subject to sanction. administrative review, several interested Ltd.; 22 Titan Fastech Ltd.; 23 YC Inox parties timely withdrew their requests Co., Ltd.; 24 Yeong Shien Industrial Co., Notification to Interested Parties for 26 of these companies for which a Ltd.; 25 Yieh Hsing Enterprise Co., These final results of administrative review had been requested, as discussed Ltd.; 26 Yousing Precision Industry Co., are issued and published in accordance below. No other party requested an Ltd.27 and Yujin Steel Industry Co., with sections 751(a)(1) and 777(i) of the administrative review of these Ltd.28 All review requests were Tariff Act of 1930, as amended, and 19 companies. withdrawn for each of these 26 CFR 351.221(b)(5). companies, as detailed above. As a Partial Rescission of Administrative result, pursuant to 19 CFR Dated: November 18, 2019. Review Jeffrey I. Kessler, 351.213(d)(1), Commerce is rescinding Pursuant to 19 CFR 351.213(d)(1), the administrative review of the AD Assistant Secretary for Enforcement and Commerce will rescind an Compliance. order on certain circular welded carbon administrative review, in whole or in steel pipes and tubes with respect to [FR Doc. 2019–25391 Filed 11–21–19; 8:45 am] part, if the party that requested the these 26 companies. The instant review BILLING CODE 3510–DS–P review withdraws its request within 90 will continue with respect to the days of the publication of the notice of remaining company for which a review initiation. The request for an was initiated. DEPARTMENT OF COMMERCE administrative review of the following Assessment International Trade Administration companies was withdrawn within 90 days of the date of publication of the Commerce will instruct U.S. Customs [A–583–008] Initiation Notice: Chite Enterprises Co., and Border Protection (CBP) to assess Ltd.; 3 Chung Hung Steel Corp.; 4 Far antidumping duties on all appropriate Certain Circular Welded Carbon Steel East Machinery Group; 5 Far East entries. For the companies for which Pipes and Tubes From Taiwan: Partial Machinery Co., Ltd.; 6 Fine Blanking & this review is rescinded, antidumping Rescission of Antidumping Duty Tool Co., Ltd.; 7 Froch Enterprises; 8 Kao duties shall be assessed at rates equal to Administrative Review; 2018–2019 Hsing Chang Iron & Steel Corp.; 9 Hou the cash deposit of estimated 10 11 AGENCY: Enforcement and Compliance, Lih Co., Ltd.; Locksure Inc.; Lang antidumping duties required at the time 12 13 International Trade Administration, Hwang Corp.; Pacific Star Express; of entry, or withdrawal from warehouse 14 Department of Commerce. Pat & Jeff Enterprise Co., Ltd.; Pin Tai for consumption, in accordance with 19 Metal Inc.; 15 New Chance Products Co., CFR 351.212(c)(l)(i). Commerce intends SUMMARY: The Department of Commerce Ltd.; 16 Shanghai TR Steel Building to issue appropriate assessment (Commerce) is partially rescinding its Products Co., LTD.; 17 Shang Jouh instruction to CBP 15 days after administrative review of the Industrial Co., Ltd.; 18 Shengyu Steel publication of this notice in the Federal antidumping duty order on certain Co., Ltd.; 19 Shuan Hwa Industrial Co., Register, if appropriate. circular welded carbon steel pipes and Ltd; 20 Ta Chen Stainless Pipe Co., tubes from Taiwan for the period May Notification to Importers 1, 2018, through April 30, 2019. 2 See Initiation of Antidumping and This notice serves as a final reminder DATES: Applicable November 22, 2019. Countervailing Duty Administrative Reviews, 84 FR to importers of their responsibility FOR FURTHER INFORMATION CONTACT: 33739 (July 15, 2019). under 19 CFR 351.402(f)(2) to file a 3 Hannah Falvey or Nicolas Mayora, AD/ See Independence Tube Corporation and certificate regarding the reimbursement Southland Tube, Incorporated (Nucor Pipe Mills) of any antidumping duties prior to CVD Operations, Office V, Enforcement Letter, ‘‘Certain Welded Carbon Steel Standard and Compliance, International Trade Pipes and Tubes from Taiwan: Partial Withdrawal liquidation of the relevant entries Administration, Department of of Request for Administrative Review,’’ dated during this review period. Failure to Commerce, 1401 Constitution Avenue October 15, 2019 (Nucor Pipe Mills Withdrawal comply with this requirement could Letter). result in the presumption that NW, Washington, DC 20230; telephone: 4 See Nucor Pipe Mills Withdrawal Letter; see (202) 482–4889 or (202) 482–3053, also Wheatland Tube Letter, ‘‘Certain Circular reimbursement of any antidumping respectively. Welded Carbon Steel Pipes and Tubes from Taiwan: duties occurred and the subsequent Withdrawal of Request for Administrative Review,’’ assessment of doubled antidumping SUPPLEMENTARY INFORMATION: dated October 15, 2019 (Petitioner Withdrawal duties. Letter). Background 5 See Nucor Pipe Mills Withdrawal Letter. Notification Regarding Administrative On May 1, 2019, Commerce published 6 See Nucor Pipe Mills Withdrawal Letter; see Protective Orders in the Federal Register a notice of also Petitioner Withdrawal Letter. 7 Id. This notice also serves as a final opportunity to request an administrative 8 See Nucor Pipe Mills Withdrawal Letter. reminder to parties subject to review of the antidumping duty (AD) 9 See Nucor Pipe Mills Withdrawal Letter; see administrative protective order (APO) of order on certain circular welded carbon also Petitioner Withdrawal Letter. their responsibility concerning the steel pipes and tubes from Taiwan for 10 Id. disposition of proprietary information the period of review May 1, 2018, 11 Id. disclosed under APO in accordance through April 30, 2019.1 Pursuant to 12 Id. with 19 CFR 351.305(a)(3), which 13 requests from interested parties, See Nucor Pipe Mills Withdrawal Letter. continues to govern business 14 See Nucor Pipe Mills Withdrawal Letter; see Commerce initiated an administrative also Petitioner Withdrawal Letter. review with respect to 27 companies in 15 See Nucor Pipe Mills Withdrawal Letter. 21 Id. accordance with section 751(a) of the 16 See Nucor Pipe Mills Withdrawal Letter; see 22 Id. Tariff Act of 1930, as amended (the also Petitioner Withdrawal Letter. 23 Id. 17 See Nucor Pipe Mills Withdrawal Letter. 24 Id. 25 1 See Antidumping or Countervailing Duty Order, 18 Id. Id. Finding, or Suspended Investigation; Opportunity 19 See Nucor Pipe Mills Withdrawal Letter; see 26 See Petitioner Withdrawal Letter. to Request Administrative Review, 84 FR 18479 also Petitioner Withdrawal Letter. 27 See Nucor Pipe Mills Withdrawal Letter. (May 1, 2019). 20 See Nucor Pipe Mills Withdrawal Letter. 28 Id.

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proprietary information in this segment directed to Christopher ‘‘J’’ Dunn, LTJG/ proper medical documents to NOAA’s of the proceeding. Timely written NOAA. NOAA Office of Ocean Office of Marine and Aviation notification of the return or destruction Exploration and Research, 215 South Operations, if the person is up to date of APO materials, or conversion to Ferry Road, Narragansett, RI 02882; with required security documents such judicial protective order, is hereby 401–874–6478; christopher.dunn@ as a passport, if the ship is traveling to requested. Failure to comply with the noaa.gov. a foreign port, or any dietary restrictions regulations and terms of an APO is a SUPPLEMENTARY INFORMATION: so that the person will be served food violation which is subject to sanction. that is safe. (2) Okeanos Explorer I. Abstract Participation Assessment. This Notification to Interested Parties This request is for a revision of an voluntary form is sent to the scientists This notice is issued and published in existing information collection. that sailed on any Okeanos Explorer accordance with sections 751(a)(1) and NOAA’s Office of Ocean Exploration cruise funded by NOAA’s Office of 777(i)(1) of the Act, and 19 CFR and Research (OER) is the only federal Ocean Exploration and Research to 351.213(d)(4). organization dedicated to ocean record any feedback they wish to Dated: November 15, 2019. exploration. By using unique provide to the office about their James Maeder, capabilities in terms of personnel, experience. The office uses their Deputy Assistant Secretary for Antidumping technology, infrastructure, and feedback in assessments for improving and Countervailing Duty Operations. exploration missions, OER is reducing the utility and experience of these [FR Doc. 2019–25379 Filed 11–21–19; 8:45 am] unknowns in deep-ocean areas and scientific guests sailing on the Okeanos Explorer. (3) EX Collaboration Tools BILLING CODE 3510–DS–P providing high-value environmental intelligence needed by NOAA and the Feedback (new). This voluntary form is nation to address both current and sent to members of the marine scientific DEPARTMENT OF COMMERCE emerging science and management community at the beginning of a fiscal needs. Our expertise, work products, year to ask if members would like to National Oceanic and Atmospheric and services generally fall into the areas participate in any of the upcoming Administration of expedition planning and operations; cruises and to what degree, such as marine archaeology; coastal and ocean simply asking to be included in emailed Proposed Information Collection; mapping; science; technology; data updates or if they want to be on a direct Comment Request; Analysis of and management; and education. line to the ship for remotely operated Participation in Ocean Exploration Since the inception of NOAA’s vehicle dive operations. (4) Citizen Video Products exploration program in 2001, OER data Scientist. This voluntary form is available to general members of the AGENCY: National Oceanic and management has been guided by the public and is used for members to Atmospheric Administration (NOAA), 2000 President’s Panel Report improve the annotation efforts when Commerce. recommendations which prioritized rapid and unrestricted data sharing as watching short video clips of 30 seconds ACTION: Notice. one of five critical exploration program to 5 minutes. SUMMARY: The Department of components. More recently, Public law II. Method of Collection Commerce, as part of its continuing 111–11 [Section XII Ocean Exploration] reinforced and expanded OER data Information is only collected via effort to reduce paperwork and online form. respondent burden, invites the general management objectives, continuing to public and other Federal agencies to stress the importance of sharing unique III. Data exploration data and information to take this opportunity to comment on OMB Control Number: 0648–0748. proposed and/or continuing information improve public understanding of the Form Number(s): N/A. collections, as required by the oceans, and for research and Type of Review: Revision of a Paperwork Reduction Act of 1995. management purposes. currently approved collection. DATES: To ensure consideration, written Telepresence satellite communication Affected Public: Individuals or or on-line comments must be submitted from the ship to shore brings the households; business or other for-profit on or before January 21, 2020. unknown ocean to the screens of both organizations; not-for-profit institutions; scientists and the general public in their ADDRESSES: Direct all written comments Federal government. homes, schools or offices in near real Estimated Number of Respondents: to Adrienne Thomas, PRA Officer, time. With technology constantly NOAA, 151 Patton Avenue, Room 159, 1,000. evolving it is important to address the Estimated Time per Response: 10 Asheville, NC 28801 (or via internet at needs of the shore-based scientists and [email protected]). All comments minutes public to maintain a high level of Estimated Total Annual Burden received are part of the public record. participation. We use voluntary surveys Comments will generally be posted Hours: 166 hours. to identify the needs of users of data and Estimated Total Annual Cost to without change. All Personally best approaches to leverage expertise of Public: $0 in recordkeeping/reporting Identifiable Information (for example, shore-based participants for meaningful costs. name and address) voluntarily public engagement focused on ocean submitted by the commenter may be exploration. IV. Request for Comments publicly accessible. Do not submit This information collection consists Comments are invited on: (a) Whether Confidential Business Information or of four forms. (1) Sailing Contact the proposed collection of information otherwise sensitive or protected Information (new). This form is sent to is necessary for the proper performance information. the few scientists that directly sail on of the functions of the agency, including FOR FURTHER INFORMATION CONTACT: NOAA Ship Okeanos Explorer. The whether the information shall have Requests for additional information or ship’s operational officer needs certain practical utility; (b) the accuracy of the copies of the information collection information such as: If a sailing agency’s estimate of the burden instrument and instructions should be individual has securely submitted their (including hours and cost) of the

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proposed collection of information; (c) • Mail: Attn: Lauren Latchford or shark research fishery are authorized to ways to enhance the quality, utility, and Delisse M Ortiz, HMS Management land sandbar sharks subject to the clarity of the information to be Division (F/SF1), NMFS, 1315 East-West sandbar quota available each year. The collected; and (d) ways to minimize the Highway, Silver Spring, MD 20910. base quota is 90.7 metric tons (mt) burden of the collection of information • Email: NMFS.Research.Fishery@ dressed weight (dw) per year, although on respondents, including through the noaa.gov. this number may be reduced in the use of automated collection techniques For copies of the Shark Research event of overharvests, if any. The or other forms of information Fishery Permit Application, please write selected shark research fishery technology. to the HMS Management Division at the permittees will also be allowed to land Comments submitted in response to address listed above, call (301) 427– other LCS, SCS, smoothhound, and this notice will be summarized and/or 8503 (phone), or email a request to pelagic sharks consistent with any included in the request for OMB [email protected]. restrictions established on their shark approval of this information collection; Copies of the Shark Research Fishery research fishery permit. Generally, the they also will become a matter of public Application are also available at the shark research fishery permits are valid record. HMS website at https:// only for the calendar year for which www.fisheries.noaa.gov/atlantic-highly- they are issued. Sheleen Dumas, migratory-species/atlantic-highly- The specific 2020 trip limits and Departmental Lead PRA Officer, Office of the migratory-species-permits-and- number of trips per month will depend Chief Information Officer, Commerce reporting-forms. Additionally, please be on the availability of funding, number of Department. advised that your application may be selected vessels, the availability of [FR Doc. 2019–25271 Filed 11–21–19; 8:45 am] released under the Freedom of observers, the available quota, and the BILLING CODE 3510–KD–P Information Act. objectives of the research fishery, and FOR FURTHER INFORMATION CONTACT: will be included in the permit terms at time of issuance. The number of DEPARTMENT OF COMMERCE Karyl Brewster-Geisz, Lauren Latchford at (301) 427–8503 (phone) or Delisse participants in the research fishery changes each year. In 2019, five National Oceanic and Atmospheric Ortiz at (240) 681–9037 or email fishermen were chosen to participate. Administration [email protected]. From 2008 through 2019, there has been [RTID 0648–XT021] SUPPLEMENTARY INFORMATION: The an average of seven participants each Atlantic shark fisheries are managed year with the range from five to eleven. Atlantic Highly Migratory Species; under the authority of the Magnuson- The number of trips allowed per month Atlantic Shark Management Measures; Stevens Fishery Conservation and can change, but in the last few years this 2020 Research Fishery Management Act (Magnuson-Stevens number has remained constant with Act). The 2006 Consolidated HMS partipating vessels on average been able AGENCY: National Marine Fisheries Fishery Management Plan (FMP), as Service (NMFS), National Oceanic and to take one trip per month. However, the amended, is implemented by number of trips taken per month are Atmospheric Administration (NOAA), regulations at 50 CFR part 635. Commerce. limited by the scientific and research The shark research fishery was needs of the Agency and the number of ACTION: Notice of intent; request for established, in part, to maintain time NMFS-approved observers available. applications. series data for stock assessments and to Participants may also be limited on the meet NMFS’ research objectives. Since amount of gear they can deploy on a SUMMARY: NMFS announces its request the shark research fishery was for applications for the 2020 shark given set (e.g., number of hooks and established in 2008, the research fishery sets, soak times, length of longline). research fishery from commercial shark has allowed for: The collection of fishermen with directed or incidental These limits may change both between fishery-dependent data for current and years and during the year depending on shark limited access permits. The shark future stock assessments; the operation research fishery allows for the collection research goals and bycatch limits. of cooperative research to meet NMFS’ In the 2019 fishing season, NMFS of fishery-dependent and biological data ongoing research objectives; the split 90 percent of the sandbar and LCS for future stock assessments and to meet collection of updated life-history research fishery quotas equally among the research objectives of the Agency. information used in the sandbar shark selected participants, with each vessel The only commercial vessels authorized (and other species) stock assessment; allocated 16.3 mt dw (35,992 lb dw) of to land sandbar sharks are those the collection of data on habitat sandbar shark research fishery quota participating in the shark research preferences that might help reduce and 9.0 mt dw (19,841 lb dw) of other fishery. Shark research fishery fishery interactions through bycatch LCS research fishery quota. The permittees may also land other large mitigation; evaluation of the utility of remaining quota was held in reserve to coastal sharks (LCS), small coastal the mid-Atlantic closed area on the ensure the overall sandbar and LCS sharks (SCS), smoothhound, and pelagic recovery of dusky sharks and collection research fishery quotas were not sharks. Commercial shark fishermen of hook-timer and pop-up satellite exceeded. NMFS also established a who are interested in participating in archival tag information to determine at- regional dusky bycatch limit, which was the shark research fishery need to vessel and post-release mortality of implemented in 2013, specific to this submit a completed Shark Research dusky sharks; and collection of sharks to small research fishery, where once three Fishery Permit Application in order to determine the weight conversion factor or more dusky sharks were brought to be considered. from dressed weight to whole weight. the vessel dead in any of four regions DATES: Shark Research Fishery The shark research fishery allows across the Gulf of Mexico and Atlantic Applications must be received no later selected commercial fishermen the through the entire year, any shark than December 23, 2019. opportunity to earn revenue from selling research fishery permit holder in that ADDRESSES: Please submit completed additional sharks, including sandbar region was not able to soak their gear for applications to the HMS Management sharks. Only the commercial shark longer than 3 hours. If, after the change Division at: fishermen selected to participate in the in soak time, there were two additional

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dusky shark interactions (alive or dead) these stock assessments can be found at an application, to ensure that an observed, shark research fishery permit http://sedarweb.org/). The 2020 research appropriate number of sharks are landed holders were not able to make a trip in objectives are: to meet the research objectives for this that region for the remainder of the year, • Collect reproductive, length, sex, year, NMFS will give priority to unless otherwise permitted by NMFS. and age data from sandbar and other directed permit holders as There were slightly different measures sharks throughout the calendar year for recommended by the shark board. As established for shark research fishery species-specific stock assessments; such, qualified incidental permit participants in the mid-Atlantic shark • Monitor the size distribution of holders will be selected only if there are closed area in order to allow NMFS sandbar sharks and other species not enough qualified directed permit observers to place satellite archival tags captured in the fishery; holders to meet research objectives. • on dusky sharks and collect other Continue on-going tagging shark The Shark Research Fishery Permit scientific information on dusky sharks programs for identification of migration Application includes, but is not limited while also minimizing any dusky shark corridors and stock structure using dart to, a request for the following mortality. and/or spaghetti tags; • information: Type of commercial shark Participants were also required to Maintain time-series of abundance permit possessed; past participation and land any dead sharks, unless they were from previously derived indices for the availability in the commercial shark a prohibited species, in which case they shark bottom longline observer program; • fishery (not including sharks caught for were required to discard them. All Sample fin sets (e.g., dorsal, display); past involvement and prohibited species must be released, pectoral) from prioritized species to compliance with HMS observer unless the observer requests that the further develop fin identification programs per 50 CFR 635.7; past shark be retained for research purposes. guides; compliance with HMS regulations at 50 If the regional non-blacknose SCS, • Acquire fin-clip samples of all CFR part 635; past and present blacknose, and/or pelagic shark shark and other species for genetic availability to participate in the shark commercial management group quotas analysis; research fishery year-round; ability to were closed, then any shark research • Attach satellite archival tags to fish in the regions and season requested; fishery permit holder fishing in the endangered smalltooth sawfish to ability to attend necessary meetings region was required to discard all of the provide information on critical habitat regarding the objectives and research species from the closed management and preferred depth, consistent with the protocols of the shark research fishery; groups regardless of condition. Any requirements listed in the take permit and ability to carry out the research sharks, except prohibited species or issued under section 10 of the objectives of the Agency. Preference will species from closed commercial Endangered Species Act to the SEFSC be given to those applicants who are management groups, caught and brought observer program; to the vessel alive could be released • Attach satellite archival tags to willing and available to fish year-round alive or landed. The vessels prohibited dusky and other sharks, as and who affirmatively state that they participating in the shark research needed, to provide information on daily intend to do so, in order to ensure the fishery took on average 9 trips in 2019, and seasonal movement patterns, and timely and accurate data collection but the timing, and number of the trips preferred depth; NMFS needs to meet this year’s research varied based on seasonal availability of • Evaluate hooking mortality and objectives. An applicant who has been certain species and individual allocated post-release survivorship of dusky, charged criminally or civilly (e.g., quotas. hammerhead, blacktip, and other sharks issued a Notice of Violation and In order to participate in the shark using hook-timers and temperature- Assessment (NOVA) or Notice of Permit research fishery, commercial shark depth recorders; Sanction) for any HMS-related violation fishermen need to submit a completed • Evaluate the effects of controlled will not be considered for participation Shark Research Fishery Application by gear experiments in order to determine in the shark research fishery. In the deadline noted above (see DATES) the effects of potential hook changes to addition, applicants who were selected showing that the vessel and owner(s) prohibited species interactions and to carry an observer in the previous two meet the specific criteria outlined fishery yields; years for any HMS fishery, but failed to below. • Examine the size distribution of contact NMFS to arrange the placement of an observer as required per 50 CFR Research Objectives sandbar and other sharks captured throughout the fishery including in the 635.7, will not be considered for Each year, the research objectives are Mid-Atlantic shark time/area closure off participation in the 2020 shark research developed by a shark board, which is the coast of North Carolina from January fishery. Applicants who were selected comprised of representatives within 1 through July 31; to carry an observer in the previous two NMFS, including representatives from • Develop allometric and weight years for any HMS fishery and failed to the Southeast Fisheries Science Center relationships of selected species of comply with all the observer regulations (SEFSC) Panama City Laboratory, the sharks (e.g., hammerhead, sandbar, per 50 CFR 635.7 will also not be Southeast Regional Office Protected blacktip shark); and considered. Exceptions will be made for Resources Division, and the HMS • Collect samples such as liver and vessels that were selected for HMS Management Division. The research muscle plugs for stable isotope analysis observer coverage but did not fish in the objectives for 2020 are based on various as a part of a trophic level-based quarter when selected and thus did not documents, including the 2012 ecosystem study. require an observer. Applicants who do Biological Opinion for the Continued not possess a valid USCG safety Authorization of the Atlantic Shark Selection Criteria inspection decal when the application is Fisheries and the Federal Authorization Shark Research Fishery Permit submitted will not be considered. of a Smoothhound Fishery, as well as Applications will only be accepted from Applicants who have been non- recent stock assessments for the U.S. commercial shark fishermen who hold a compliant with any of the HMS observer South Atlantic blacknose, U.S Gulf of current directed or incidental shark program regulations in the previous two Mexico blacknose, U.S. Gulf of Mexico limited access permit. While incidental years, as described above, may be blacktip, sandbar, and dusky sharks (all permit holders are welcome to submit eligible for future participation in shark

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research fishery activities by of a shark research permit does not DATES: Date deleted from the demonstrating two subsequent years of guarantee that the permit holder will be Procurement List: December 22, 2019. compliance with observer regulations at assigned a NMFS-approved observer on ADDRESSES: Committee for Purchase 50 CFR 635.7. any particular trip. Rather, issuance From People Who Are Blind or Severely indicates that a vessel may be issued a Selection Process Disabled, 1401 S. Clark Street, Suite NMFS-approved observer for a 715, Arlington, Virginia, 22202–4149. The HMS Management Division will particular trip, and on such trips, may FOR FURTHER INFORMATION CONTACT: review all submitted applications and be allowed to harvest Atlantic sharks, Michael R. Jurkowski, Telephone: (703) develop a list of qualified applicants including sandbar sharks, in excess of 603–2117, Fax: (703) 603–0655, or email from those applications that are deemed the retention limits described in 50 CFR [email protected]. complete. A qualified applicant is an 635.24(a). These retention limits will be SUPPLEMENTARY INFORMATION: applicant that has submitted a complete based on available quota, number of application by the deadline (see DATES) vessels participating in the 2020 shark Deletions and has met the selection criteria listed research fishery, the research objectives On 10/11/2019 and 10/18/2019, the above. Qualified applicants are eligible set forth by the shark board, the extent Committee for Purchase From People to be selected to participate in the shark of other restrictions placed on the Who Are Blind or Severely Disabled research fishery for 2020. The HMS vessel, and may vary by vessel and/or published notice of proposed deletions Management Division will provide the location. When not operating under the from the Procurement List. list of qualified applicants without auspices of the shark research fishery, After consideration of the relevant identifying information to the SEFSC. the vessel would still be able to land matter presented, the Committee has The SEFSC will then evaluate the list of LCS, SCS, and pelagic sharks subject to determined that the products and qualified applicants and, based on the existing retention limits on trips services listed below are no longer temporal and spatial needs of the without a NMFS-approved observer. suitable for procurement by the Federal research objectives, the availability of NMFS annually invites commercial Government under 41 U.S.C. 8501–8506 observers, the availability of qualified shark permit holders (directed and and 41 CFR 51–2.4. applicants, and the available quota for a incidental) to submit an application to given year, will randomly select participate in the shark research fishery. Regulatory Flexibility Act Certification qualified applicants to conduct the Permit applications can be found on the I certify that the following action will prescribed research. Where there are HMS Management Division’s website at not have a significant impact on a multiple qualified applicants that meet https://www.fisheries.noaa.gov/atlantic- substantial number of small entities. the criteria, permittees will be randomly highly-migratory-species/atlantic- The major factors considered for this selected through a lottery system. If a highly-migratory-species-permits-and- certification were: public meeting is deemed necessary, reporting-forms or by calling (301) 427– 1. The action will not result in NMFS will announce details of a public 8503. Final decisions on the issuance of additional reporting, recordkeeping or selection meeting in a subsequent a shark research fishery permit will other compliance requirements for small Federal Register notice. depend on the submission of all entities. Once the selection process is required information by the deadline 2. The action may result in complete, NMFS will notify the selected (see DATES), and NMFS’ review of authorizing small entities to furnish the applicants and issue the shark research applicant information as outlined above. products and services to the fishery permits. The shark research The 2020 shark research fishery will Government. fishery permits will be valid through start after the opening of the shark 3. There are no known regulatory December 31, 2020, unless otherwise fishery and under available quotas as alternatives which would accomplish specified. If needed, NMFS will published in a separate Federal Register the objectives of the Javits-Wagner- communicate with the shark research final rule. O’Day Act (41 U.S.C. 8501–8506) in fishery permit holders to arrange a connection with the products and captain’s meeting to discuss the Dated: November 18, 2019. Jennifer M. Wallace, services deleted from the Procurement research objectives and protocols. List. NMFS usually holds mandatory Acting Director, Office of Sustainable captain’s meetings before observers are Fisheries, National Marine Fisheries Service. End of Certification placed on vessels and may hold one for [FR Doc. 2019–25307 Filed 11–21–19; 8:45 am] Accordingly, the following products the 2020 shark research fishery in early BILLING CODE 3510–22–P and services are deleted from the 2020. Once the fishery starts, the shark Procurement List: research fishery permit holders must Products contact the NMFS observer coordinator COMMITTEE FOR PURCHASE FROM to arrange the placement of a NMFS- PEOPLE WHO ARE BLIND OR NSN(s)—Product Name(s): SEVERELY DISABLED MR 1173—Refill, Sweeper Set, Dry Cloths, approved observer for each shark 16 Count research trip. Additionally, selected Procurement List; Deletions MR 1175—Refill, Sweeper Set, Wet Cloths, applicants are expected to allow 24 Count observers the opportunity to perform AGENCY: Committee for Purchase From Mandatory Source of Supply: LC Industries, their duties as required and assist People Who Are Blind or Severely Inc., Durham, NC observers as necessary. Disabled. Contracting Activity: Military Resale-Defense Commissary Agency A shark research fishery permit will ACTION: Deletions from the Procurement NSN(s)—Product Name(s): only be valid for the vessel and owner(s) List. and terms and conditions listed on the MR 339—Slicer, Banana, Plastic MR 400—Bag, Shopping Tote, Laminated, permit, and, thus, cannot be transferred SUMMARY: This action deletes products Small, ‘‘Live Spicy’’ to another vessel or owner(s). Shark and services to the Procurement List MR 401—Bag, Shopping Tote, Laminated, research fishery permit holders must that were furnished by nonprofit Small, ‘‘Live Fresh’’ carry a NMFS-approved observer in agencies employing persons who are MR 408—Bag, Insulated, Thermal, order to land sandbar sharks. Issuance blind or have other severe disabilities. Reusable, Small

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Mandatory Source of Supply: Industries for The following services are proposed Mandatory Source of Supply: NewView the Blind and Visually Impaired, Inc., for addition to the Procurement List for Oklahoma, Inc., Oklahoma City, OK West Allis, WI production by the nonprofit agencies Contracting Activity: DLA SUPPORT Contracting Activity: Military Resale-Defense listed: SERVICES—DSS, FORT BELVOIR, VA Commissary Agency Services NSN(s)—Product Name(s): Services 7210–01–245–4393—Cover, Mattress Service Type: Custodial Service Service Type: Janitorial/Custodial Mandatory for: US Air Force, Hurlburt Field, Mandatory Source of Supply: Winston-Salem Mandatory for: Jimmy Carter National FL Industries for the Blind, Inc., Winston- Historic Site, Plains, GA Mandatory Source of Supply: Brevard Salem, NC Mandatory Source of Supply: Middle Flint Achievement Center, Inc. Rockledge, FL Contracting Activity: DLA TROOP SUPPORT, Behavioral HealthCare—Sumter County Contracting Activity: FA4417 1 SOCONS PHILADELPHIA, PA MR Center, Americus, GA LGC Contracting Activity: NATIONAL PARK Services SERVICE, SER REGIONAL Service Type: Operations and Maintenance Services Service Type: Administrative Services CONTRACTING OPO Mandatory for: U.S. Department of Health & Mandatory for: Robert C. Byrd Federal Amy B. Jensen, Human Services, Hubert H. Humphrey Building: United States Courthouse, Deputy Director, Business Operations. Building, Washington, DC Charleston, WV Mandatory Source of Supply: Melwood [FR Doc. 2019–25394 Filed 11–21–19; 8:45 am] Mandatory Source of Supply: Goodwill Horticultural Training Center, Inc., Industries of Kanawha Valley, BILLING CODE 6353–01–P Upper Marlboro, MD Charleston, WV Contracting Activity: HHS, PROGRAM SUPPORT CENTER ACQ MGMT SVC Contracting Activity: GENERAL SERVICES ADMINISTRATION, FPDS AGENCY COMMITTEE FOR PURCHASE FROM Service Type: Hospitality Services PEOPLE WHO ARE BLIND OR Mandatory for: Customs and Border COORDINATOR SEVERELY DISABLED Protection, Advanced Training Center Service Type: Dining Facility Attendant (ATC) Lodge and Conference Center, Services Procurement List; Proposed Additions (ATC Lodge only), Harpers Ferry, WV Mandatory for: 29th Engineering Battalion: and Deletions Mandatory Source of Supply: Professional Building 503B, Fort Shafter, HI Contract Services, Inc., Austin, TX Mandatory for: 65th Engineering Battalion: AGENCY: Committee for Purchase From Contracting Activity: U.S. CUSTOMS AND Building 1492, Schofield Barracks, HI People Who Are Blind or Severely BORDER PROTECTION, MISSION Mandatory Source of Supply: Opportunities SUPPORT CTR DIV Disabled. and Resources, Inc., Wahiawa, HI ACTION: Proposed additions to and Service Type: Warehouse and Distribution Contracting Activity: DEPT OF THE ARMY, Services deletions from the Procurement List. W40M RHCO-ATLANTIC USAHCA Mandatory for: US Department of Justice, Service Type: Janitorial/Custodial SUMMARY: The Committee is proposing Office of Community Oriented Policing Mandatory for: U.S. Federal Building, to add services to the Procurement List Services, Washington, DC Courthouse and Post Office: Main and that will be furnished by nonprofit Mandatory Source of Supply: Melwood Horticultural Training Center, Inc., Poplar Streets, Greenville, MS agencies employing persons who are Upper Marlboro, MD Contracting Activity: GENERAL SERVICES blind or have other severe disabilities, Contracting Activity: OFFICES, BOARDS ADMINISTRATION, FPDS AGENCY and deletes products and services AND DIVISIONS, U.S. DEPT OF COORDINATOR previously furnished by such agencies. JUSTICE Service Type: Grounds Maintenance Service Service Type: Administrative Support DATES: Comments must be received on Mandatory for: U.S. Coast Guard Facility, or before: December 22, 2019. Service Mandatory for: Defense Threat Reduction 9640 Clinton Drive, Houston, TX ADDRESSES: Committee for Purchase Agency (DTRA), DTRA Headquarters, Mandatory Source of Supply: On Our Own From People Who Are Blind or Severely Fort Belvoir, VA Services, Inc., Houston, TX Disabled, 1401 S. Clark Street, Suite Mandatory Source of Supply: Melwood Contracting Activity: U.S. COAST GUARD, 715, Arlington, Virginia, 22202–4149. Horticultural Training Center, Inc., BASE NEW ORLEANS FOR FURTHER INFORMATION CONTACT: For Upper Marlboro, MD Service Type: Mailing Services further information or to submit Contracting Activity: DEFENSE THREAT Mandatory for: Centers for Disease Control comments contact: Michael R. REDUCTION AGENCY (DTRA), and Prevention, National Center for DEFENSE THREAT REDUCTION Infectious Diseases, Atlanta, GA Jurkowski, Telephone: (703) 603–2117, AGENCY Fax: (703) 603–0655, or email Mandatory Source of Supply: Nobis [email protected]. Deletions Enterprises, Inc., Marietta, GA Contracting Activity: HEALTH AND HUMAN SUPPLEMENTARY INFORMATION: This The following products and services notice is published pursuant to 41 are proposed for deletion from the SERVICES, DEPARTMENT OF, DEPT OF U.S.C. 8503(a)(2) and 41 CFR 51–2.3. Its Procurement List: HHS Service Type: Janitorial/Custodial purpose is to provide interested persons Products an opportunity to submit comments on Mandatory for: Fort McPherson, GA the proposed actions. NSN(s)—Product Name(s): Contracting Activity: DEPT OF THE ARMY, 7510–00–NIB–1783—Portfolio Pad Holder, W6QM MICC–FDO FT SAM HOUSTON Additions with Pad, Custom Logo & Color, 9″ x 12″ Mandatory Source of Supply: Alphapointe, Amy B. Jensen, If the Committee approves the Kansas City, MO Deputy Director, Business Operations. proposed additions, the entities of the Contracting Activity: GSA/FAS ADMIN [FR Doc. 2019–25393 Filed 11–21–19; 8:45 am] Federal Government identified in this SVCS ACQUISITION BR(2, NEW YORK, notice will be required to procure the NY BILLING CODE 6353–01–P services listed below from nonprofit NSN(s)—Product Name(s): agencies employing persons who are 2540–00–T27–8865—Chock Block blind or have other severe disabilities. 2540–00–T27–9043—Chock Block

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DEPARTMENT OF DEFENSE Mail: Department of Defense, Office of human resources management; (3) the Chief Management Officer, recruit, develop, motivate, and retain a Office of the Secretary Directorate for Oversight and high quality workforce; and (4) adjust [Docket ID DOD–2019–OS–0127] Compliance, 4800 Mark Center Drive, workforce levels to meet strategic Mailbox #24, Suite 08D09, Alexandria, program and organizational needs. Department of Defense Science and VA 22350–1700. This demonstration project involves: Technology Reinvention Laboratory Instructions: All submissions received (1) New appointment authorities; (STRL) Personnel Demonstration must include the agency name, docket (2) Extended probationary periods; (Demo) Project in the U.S. Army number and title for this Federal (3) Supervisory probationary periods; Research Institute for the Behavioral Register (FR) document. The general (4) Pay banding; and Social Sciences (ARI) policy for comments and other (5) Streamlined delegated examining; submissions from members of the public (6) Simplified job classification; AGENCY: Under Secretary of Defense for is to make these submissions available (7) A pay-for-performance based Research and Engineering (USD(R&E)), for public viewing on the internet at appraisal system; Department of Defense (DoD). http://www.regulations.gov as they are (8) A sabbatical program; ACTION: Notice of proposal to adopt a received without change, including any (9) Academic degree and certificate demonstration project plan and personal identifiers or contact training; additional flexibilities. information. (10) A Volunteer Emeritus Corps; and (11) Senior Scientific Technical SUMMARY: This Federal Register Notice FOR FURTHER INFORMATION CONTACT: Manager (SSTM) positions. • (FRN) serves as notice of the proposed ARI: Dr. Scott Shadrick, U.S ARI, The demonstration project also adoption by the U.S. Army Research Research Program Manager (DAPE– involves the use of numerous direct hire Institute for the Behavioral and Social ARI), 6000 6th Street, Fort Belvoir, VA authorities, as appropriate and in Sciences (ARI) of the personnel 22060, (254) 288–3800. accordance with guidance. Many • demonstration project flexibilities DoD: Dr. Jagadeesh Pamulapati, aspects of a demonstration project are implemented by the Combat Director, Laboratories and Personnel experimental. Modifications may be Capabilities Development Command Office, 4800 Mark Center Drive, made from time to time as we gain (CCDC) Command, Control, Alexandria, VA 22350, (571) 372–6372. experience, analyze results, and reach Communications, Computers, Cyber, SUPPLEMENTARY INFORMATION: Section conclusions on how the system is Intelligence, Surveillance, and 342(b) of the National Defense working. The provisions of Department Reconnaissance (C5ISR) Center Authorization Act (NDAA) for Fiscal of Defense Instruction (‘‘DoDI’’) 1400.37, (previously designated as the U.S. Army Year (FY) 1995, Public Law (Pub. L.) ‘‘Science and Technology Reinvention Communications–Electronics Research, 103–337, as amended, authorizes the Laboratory (STRL) Personnel Development and Engineering Center Secretary of Defense (SECDEF), through Demonstration Projects’’ (available at and the U.S. Army Communications– the USD(R&E), to conduct personnel https://www.esd.whs.mil/Portals/54/ Electronics Command, Research, demonstration projects at DoD Documents/DD/issuances/dodi/ Development and Engineering), the laboratories designated as STRLs. 140037p.pdf) (including subsequently CCDC Chemical Biological Center (CBC) 1. Background issued or superseding instructions), will (previously designated as the Edgewood be followed to modify, supplement Chemical Biological Center), and the Since 1966, many studies of DoD through adoption, or otherwise change CCDC Soldier Center (SC) (previously laboratories have been conducted on this demonstration project plan. designated as the Natick Soldier laboratory quality and personnel. Most Research, Development and Engineering of these studies have recommended 2. Overview Center). The majority of flexibilities and improvements in civilian personnel ARI intends to build its administrative procedures are adopted policy, organization, and management. demonstration project using flexibilities without changes. However, Pursuant to the authority provided in adopted from existing STRL modifications were made when section 342(b) of the NDAA for FY 1995, demonstration programs with necessary to address ARI’s specific as amended, a number of DoD STRL significant overlap with the CCDC organizational, management structure, personnel demonstration projects were C5ISR, CCDC CBC, and CCDC SC. workforce, and approval needs and to approved. These projects are ‘‘generally As described in 73 FR 73248, conform to changes in applicable law similar in nature’’ to the Department of December 2, 2008, flexibilities are and regulations after the publication of Navy’s ‘‘China Lake’’ Personnel defined as those features described in a the adopted personnel demonstration Demonstration Project. The terminology, STRL FRN; amendments thereto project flexibilities. In addition, changes ‘‘generally similar in nature,’’ does not published in an FRN; minor changes were made based on current law, best imply an emulation of various features, made within the authorities of a practices, and administrative guidance. but rather implies a similar opportunity demonstration project plan, DATES: The ARI demonstration project and authority to develop personnel documented in laboratory internal proposal may not be implemented until flexibilities that significantly increase issuances and disseminated to a 30-day comment period is provided, the decision authority of laboratory employees; and official laboratory comments addressed, and a final FRN commanders and/or directors. implementing issuances that have been published. To be considered, written ARI conducted a thorough review of distributed. comments must be submitted on or the personnel practices of existing DoD before December 23, 2019. laboratories designated as STRLs and 3. Access to Flexibilities of Other STRLs ADDRESSES: You may submit comments, applicable laws, regulations, and Flexibilities published in this FR will identified by docket number and title, guidance to identify potential be available for use by all STRLs listed by any of the following methods: flexibilities that would allow ARI to (1) enumerated in section 1105(a) of Public Federal eRulemaking Portal: http:// improve effectiveness through a more Law 111–84, as amended, in accordance www.regulations.gov. Follow the flexible, responsive personnel system; with DoDI 1400.37 (including revised or instructions for submitting comments. (2) increase management authority over superseded instructions) and after the

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fulfillment of any collective bargaining scientists, supported by skilled business gained during this specific obligations. management and administrative implementation based on evaluations of professionals, as well as a skilled how the system is working to meet the Table of Contents administrative and technical support goals and objectives of the personnel I. Executive Summary staff. demonstration project. II. Introduction The goal of the current project is to B. Problems With the Present System A. Purpose enhance the quality and professionalism B. Problems With the Present System of the ARI workforce through The current Civil Service GS system C. Changes Required/Expected Benefits improvements in the efficiency and has existed in essentially the same form D. Participating Organizations effectiveness of the human resource since the 1920s. Work is classified into E. Participating Employees and Union one of fifteen overlapping pay ranges Representation system. The project interventions will F. Project Design strive to achieve the best workforce for that correspond with the fifteen grades. G. Personnel Management Board the ARI mission, adjust the workforce Base pay is set at one of those fifteen H. Organizational Structure and Design for change, and improve workforce grades and the ten interim steps within I. Funding Levels satisfaction. This demonstration project each grade. The Classification Act of III. Personnel System Changes extends the CCDC C5ISR/CCDC CBC/ 1949 rigidly defines types of work by A. Pay Banding CCDC SC demonstration projects to ARI. occupational series and grade, with very B. Classification The CCDC C5ISR/CCDC CBC/CCDC SC precise qualifications for each job. This C. Pay for Performance projects built on the concepts, and use system does not quickly or easily D. Hiring Authority respond to new ways of designing work E. Internal Placement much of the same language, as the F. Pay Setting demonstration projects developed by and changes in the work itself. In G. Employee Development the CCDC Army Research Laboratory addition, the GS system makes it IV. Implementation Training (ARL) (previously designated as the difficult for the DoD labs to recruit and V. Conversion ARL); the CCDC Aviation and Missile retain the best and the brightest A. Conversion to the Demonstration Project Center (previously designated as the scientists. B. Converstion or Movement From a Aviation and Missile Research, The need to change the current hiring Project Position to a General Schedule Development, and Engineering Center); system is essential, as ARI must be able Position to recruit and retain professional C. Personnel Administration the Navy’s ‘‘China Lake;’’ as well as other laboratories designated as an scientific researchers, support staff, and D. Automation other professionals and skilled E. Revision STRL. The results of this project will be VI. Project Duration evaluated by ARI within five years of technicians. ARI must be able to VII. Evaluation Plan implementation. compete with the private sector for the A. Overview best talent and be able to make job offers B. Method of Data Collection II. Introduction in a timely manner with the attendant VIII. Demonstration Project Costs A. Purpose bonuses and incentives to attract high- A. Cost Discipline quality employees. B. Developmental Costs The purpose of the project is to Finally, current limitations on IX. Required Waivers to Law and Regulation demonstrate that the effectiveness of training, retraining, and otherwise A. Waivers to Title 5, United States Code DoD STRLs can be enhanced by developing employees make it difficult (U.S.C.) expanding opportunities available to to correct skill imbalances and to B. Waivers to Title 5, Code of Federal employees and by allowing greater Regulations (CFR) prepare current employees for new lines managerial control over personnel of research needed to meet the Army’s Appendix A: ARI Employees by Duty functions through a more responsive Locations changing missions and emerging Appendix B: Occupational Series by and flexible personnel system. Federal technology requirements. Occupational Family laboratories need more efficient, cost Appendix C: Performance Elements effective, and timely processes and C. Changes Required/Expected Benefits methods to acquire and retain a highly The primary benefit expected from I. Executive Summary creative, productive, educated, and this demonstration project is greater ARI operates as a Field Activity of the trained workforce. This project, in its organizational effectiveness through Deputy Chief of Staff, G–1. As a Science entirety, attempts to improve increased employee satisfaction. The and Technology (S&T) lab, ARI has the employees’ opportunities and provide long-standing Department of the Navy core mission of inventing for the future managers, at the lowest practical level, ‘‘China Lake’’ and subsequent while maintaining an organizational the authority, control, and flexibility demonstration projects have produced culture of action in support of emerging needed to achieve the highest quality impressive statistics on increased job Army needs. ARI’s S&T program is organization and hold them accountable satisfaction and quality of employees focused on developing innovative for the proper exercise of this authority versus that for the Federal workforce in measures and methods to optimize the within the framework of an improved general. Similar results have been Soldier lifecycle and talent personnel management system. demonstrated in more recent STRL management, developing theories and While many aspects of a demonstration projects and other investigating new domains in the demonstration project were once alternative personnel systems behavioral and social sciences, considered experimental, many have implemented in the DoD and other conducting scientific assessments, been implemented in various DoD agencies. providing behavioral and social science laboratories for a number of years. This project will demonstrate that a advice to human resource authorities Modifications have been made based on human resource system tailored to the and informing human resource policies. the implementation experience of other mission and needs of the ARI workforce To sustain these unique capabilities, DoD laboratories, best practices, and will facilitate: ARI must be able to hire, retain, and formative evaluation efforts. Additional (1) Increased quality in the workforce continuously motivate enthusiastic, modifications may be needed from time and resultant research products and innovative, and highly-educated to time as additional experience is outcomes,

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(2) More effective, efficient, and location. Those represented employees implementing the specific flexibility. adaptable organizational systems may or may not participate in the The LQEP–P members were invaluable required to respond to Army needs, personnel demonstration project in this process. This resulted in a subset (3) Increased timeliness of key depending on negotiations with the of personnel demonstration flexibilities personnel processes, Union, specific hiring actions, and other that were best matched to ARI personnel (4) Increased retention of excellent factors. Of those employees assigned to needs and requirements. A team of performers, ARI, approximately seven percent are senior leaders reviewed the potential (5) Increased success in recruitment of represented by a labor union. flexibilities and provided personnel with critical skills, F. Project Design recommendations for further (6) Increased management authority consideration. and accountability, Upon notification of the initial This preparatory work resulted in a (7) Simpler and more effective human authority granted by Congress proposed IOP that fully described how resources management process, and designating ARI as an STRL, the ARI the proposed personnel management (8) Increased workforce satisfaction Director assigned an experienced and program would be implemented in ARI. with the personnel management system. tenured leader within the organization The IOP was reviewed by and discussed to contact appropriate agencies to D. Participating Organizations with senior managers and supervisors to develop the project plan. Initial determine if the proposed system would ARI is comprised of the ARI guidance was provided by the DoD, meet ARI needs and workforce Headquarters located at Fort Belvoir, Defense Civilian Personnel Advisory expectations. Following these internal Virginia, and ARI research, technical, Services (DCPAS) and HQDA, Office of reviews, final changes were made to the and support personnel located at Fort the Assistant Chief of Staff, G–1, IOP and the associated FRN. Belvoir, with geographically dispersed Civilian Personnel Staffing and research units located at key strategic Classification Division. As a result of G. Personnel Management Board locations at Fort Benning, Georgia; Fort those initial discussions, ARI conducted ARI will create a Personnel Hood, Texas; and Fort Leavenworth, a comprehensive review of the Management Board (PMB) to oversee Kansas. ARI also has a small number of personnel practices of existing DoD and monitor the fair, equitable, and employees dispersed at other locations laboratories designated as STRLs. That consistent implementation of the in small numbers required to meet review resulted in a detailed list of provisions of the demonstration project Army needs and mission requirements. personnel flexibilities adopted by the to include establishment of internal As in the past and as expected in the various DoD laboratories. As a part of controls and accountability. Members of future, there may be modifications to the initial review, the Laboratory the board will be senior ARI managers/ organizational structure and locations Quality Enhancement Program (LQEP)— supervisors and independent based on changing needs. Personnel Subpanel was contacted. The contributors appointed by the ARI LQEP—Personnel Subpanel (LQEP–P) E. Participating Employees and Union Director. As needed, ad hoc members consists of STRL/Personnel Representation (such as Human Resources Management Demonstration representatives), will serve as advisory This demonstration project will cover professionals and experts. LQEP–P members to the board. approximately 114 ARI civilian members provided extensive advice and Based on guidance and consistent employees under Title 5 U.S.C. in the example materials for consideration. interaction with the ARI Director, the occupations listed in Appendix B. Detailed discussions with LQEP–P Additional employees and other members focused on the capabilities board will execute the following: occupations may be added after provided by the various flexibilities (1) Carry out the guidance and implementation of the project. The employed, lessons learned and best procedures in all aspects of the project plan does not cover members of practices, and implementation personnel demonstration program in the Senior Executive Service (SES), guidance. Concurrent to the review of accordance with the direction given by Senior Level (SL), Scientific and existing flexibilities, a review of ARI’s the ARI Director. Professional (ST) employees, Federal specific organizational personnel needs (2) Determine the composition of the Wage System (FWS) employees, and and requirements was conducted. pay-for-performance pay pools in employees presently covered by the Finally, a review of innovative accordance with the guidelines of the Defense Civilian Intelligence Personnel personnel practices used outside of the IOP; System (DCIPS). federal government was conducted. (3) Review operation of pay pools and Department of the Army, Army The initial set of existing flexibilities, provide guidance to pay pool managers; Command centrally funded, local with descriptions, waiver requirements, (4) Oversee disputes in pay pool interns, and Pathways Program and expected benefits was briefed to issues; employees (hired prior to ARI leadership and supervisors. (5) Formulate and execute the civilian implementation of the project) will not Detailed discussion focused on how the pay budget; be converted to the demonstration proposed flexibility would help ARI (6) Manage the awards pools; project until they reach their full accomplish its personnel management (7) Determine hiring and promotion performance level. Pathways employees goals and how it would impact the base pay as well as exceptions to pay- will continue to follow the Defense workforce. The briefing and subsequent for-performance base pay increases; Performance Management and discussions resulted in a set of (8) Conduct classification review and Appraisal Program (DPMAP) until they flexibilities for further research and oversight, monitoring, and adjusting have reached their full performance consideration that were aligned with classification practices and deciding level and are transitioned to the STRL ARI personnel management needs. broad classification issues; personnel system. Those flexibilities were then extensively (9) Approve major changes in position The American Federation of researched and discussed with LQEP–P structure; Government Employees (AFGE) Local members to determine if the proposed (10) Address issues associated with 1920 represents a small percentage of flexibility would meet those needs and multiple pay systems during the ARI’s workforce located at one research to determine the cost and benefit of demonstration project;

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(11) Establish Standard Performance reviews performed by DA and DoD. The occupational families: Engineering and Elements and Benchmarks; design has the benefit of being preceded Science (E&S), Business & Technical (12) Assess the need for changes to by exhaustive studies of pay banding (B&T), and General Support (GEN). demonstration project procedures and systems currently practiced in the Engineering and Science (E&S) (Pay policies; Federal sector, to include those Plan DB): This occupational family (13) Review requests for Supervisory/ practiced by the Navy’s ‘‘China Lake’’ includes technical professional Team Leader Base Pay Adjustments and experiment and subsequent demo/STRL positions, such as psychologist and provide recommendations to the ARI demonstration projects. In addition, the statisticians. Additional occupational Director; pay plans, occupational families, pay series may be added in the future. (14) Ensure in-house personnel bands, and general schedule equivalent Specific course work or educational budget discipline; grade structures for all the existing DoD degrees are required for these (15) Develop policies and procedures laboratories were reviewed. ARI’s pay occupations. Six pay bands have been for administering Developmental banding system will replace the current established for the E&S occupational Opportunity Programs; GS structure. Currently, the fifteen family: (16) Ensure all employees are treated grades of the GS are used to classify (1) Band I is a student trainee track in a fair and equitable manner in positions and, therefore, to set pay. The covering GS–1, step 1 through GS–4, accordance with all policies, GS covers all white-collar work: step 10. regulations, and guidelines covering this administrative, technical, clerical and (2) Band II is a developmental track demonstration project; and professional. Changes in this rigid covering GS–5, step 1 through GS–11, (17) Conduct a formative evaluation of structure are required to allow step 10. the project. flexibility in hiring, developing, (3) Band III is a full-performance In executing these duties and retaining, and motivating the workforce. technical track covering GS–12, step 1 responsibilities, the board will keep in The pay banding structure adopted by through GS–13, step 10. close contact and consultation with the ARI’s STRL is similar to the one (4) Band IV includes senior technical/ ARI Director to ensure policies and employed by the U.S. Army Armament team leader positions covering GS–14, procedures are executed consistently Research, Development, and step 1 through GS–14, step 10. across the organization and aligned with Engineering Center as well as other DoD (5) Band V includes supervisor/ the Director’s guidance. laboratories. manager/senior technical positions H. Organizational Structure and Design covering GS–15, step 1 through GS–15, 1. Occupational Families step 10. To optimize the effectiveness and Occupations with similar (6) Band VI includes SSTM positions. efficiency of ARI during the adoption of characteristics will be grouped together The pay range is: Minimum base pay is the new STRL personnel system, the into one of three occupational families 120 percent of the minimum base pay of ARI Director will review and realign the with pay band levels designed to GS–15; maximum base pay is Level IV organization structure to best meet facilitate pay progression. The naming of the Executive Schedule (EX–IV); and mission needs and requirements. structure and other occupational family maximum adjusted base pay is Level III Realignment may include removing features adopted for ARI’s STRL are of the Executive Schedule (EX–III). limitations in terms of supervisory consistent with other Army laboratories Business & Technical (B&T) (Pay Plan ratios consistent with section 342(b) of implementing a similar system. Each DE): This occupational family includes the NDAA for FY 1995 as amended by occupational family will be composed such positions as procurement section 1109 of the NDAA for FY 2000, of pay bands corresponding to specialists, finance, accounting, and the alignment and organization of recognized advancement and career management analysis, computer the workforce required to accomplish progression expected within the specialists, and quality assurance the mission of the STRL consistent with occupations. These pay bands will specialists. Employees in these 10 U.S.C. 2358a. replace individual grades and will not positions may or may not require The ARI Director will manage be the same for each occupational specific course work or educational workforce strength, structure, positions, family. Each occupational family will be degrees. Five pay bands have been and compensation without regard to any divided into three to six pay bands with established for the B&T occupational limitation on appointments, positions, each pay band covering the same pay family: or funding in a manner consistent with range now covered by one or more GS (1) Band I is a student trainee track the budget available in accordance with grades. Employees track into an covering GS–1, step 1 through GS–4, 10 U.S.C. 2358a. occupational family based on their step 10. I. Funding Levels current series as provided in Appendix (2) Band II is a developmental track B. The upper and lower pay rate for base covering GS–5, step 1 through GS–11, The Under Secretary of Defense pay of each pay band is defined by the step 10. (Personnel & Readiness), may, at his/her GS rate for the grade and step as (3) Band III is a full performance track discretion, adjust the minimum funding indicated in Figure 1 except for Pay covering GS–12, step 1 through GS–13, levels to take into account factors such Band VI of the Engineering & Scientist step 10. as the Department’s fiscal condition, (E&S) occupational family. Comparison (4) Band IV includes first-level guidance from the Office of to the GS grades was used in setting the supervisors and senior technical Management and Budget, and equity in upper and lower base pay dollar limits personnel covering GS–14, step 1 circumstances when funding is reduced of the pay band levels. However, once through GS–14, step 10. or eliminated for GS pay raises or employees are moved into the (5) Band V is a supervisor/manager awards. demonstration project, GS grades will track covering GS–15, step 1 through III. Personnel System Changes no longer apply. The current GS–15, step 10. occupations have been examined, and General Support (GEN) (Pay Plan DK): A. Pay Banding their characteristics and distribution This occupational family is composed of The design of the ARI pay banding have served as guidelines in the positions for which specific course work system takes advantage of the many development of the following three or educational degrees are not required.

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Clerical work usually involves the bands have been established for the covering GS–9 step 1 through GS–10, processing and maintaining of records. GEN occupational family: step 10. Assistant work requires knowledge of (1) Band I includes entry-level 2. Pay Band Design methods and procedures within a positions covering GS–1, step 1 through GS–4, step 10. specific administrative area. This family The pay bands for the occupational (2) Band II includes full-performance includes such positions as secretaries, families and how they relate to the office automation clerks, and budget/ positions covering GS–5, step 1 through GS–8, step 10. current GS framework are shown in program/computer assistants. Three pay (3) Band III includes senior Figure 1. technicians/assistants/secretaries

Employees will be converted into the development in the physical, biological, technical experts from outside ARI may occupational family and pay band that medical, or engineering sciences, or serve, as appropriate. The panel will corresponds to their GS series and another field closely related to the ARI apply criteria developed largely from grade. Each employee converted to the mission and to carry out technical the OPM Research Grade Evaluation demonstration project is assured, upon supervisory responsibilities. Guide for positions exceeding the GS– conversion, an initial place in the As a part of the initial implementation 15 level and other OPM guidance system without loss of pay. However, of the STRL, the Director will review related to positions exceeding the GS– exceptional qualifications or other organizational and mission 15 level. The purpose of the panel is to compelling reasons based on specific requirements to determine appropriate ensure impartiality and a rigorous and criteria may lead to a higher entrance use of available SSTM positions and, if demanding review. base pay within a band, commensurate appropriate, will establish SSTM Consistent with 10 U.S.C. 2358a, the with the employee’s experience and positions consistent with long-term demonstration project will implement qualifications. As the pay rates of the GS organizational plans and limitations set SSTM flexibilities described in 79 FR scale are increased due to the annual forth by Congress (e.g., number of SSTM 43722. general pay increases, the upper and positions based on percent of workforce B. Classification lower base pay rates of the pay bands requirements). The pay range for SSTM will also increase. Since pay progression positions is as follows: Minimum base 1. Occupational Series through the bands depends directly on pay is 120 percent of the minimum base The present GS classification system performance, there will be no scheduled pay of GS–15, maximum rate of base has over 400 occupational series, which Within-Grade Increases (WGIs) or pay is Level IV of the Executive are divided into 23 occupational Quality Step Increases (QSIs) for Schedule (EX–IV), and maximum groupings. ARI currently has positions employees once the pay banding system adjusted base pay is Level III of the in fewer than 20 occupational series. All is in place. Executive Schedule (EX–III). Adjusted positions listed in Appendix B will be base pay is base rate plus locality or 3. Pay Band VI in the classification structure. supervisory pay differential as Provisions will be made for including The pay banding plan expands the appropriate. other occupations in response to pay banding concept used at ‘‘China After full implementation of the changing missions and agency Lake’’ and other laboratories by creating STRL, newly vacant SSTM positions requirements. Pay Band VI for the E&S occupational will be filled competitively. Panels will family. The band is designed for SSTM be created to assist in the review of 2. Classification Standards and Position as authorized in 10 U.S.C. 2358a and candidates for SSTM positions. Panel Descriptions described in 79 FR 43722. Pay Band VI members typically will be SES If available, ARI will use a fully will apply exclusively to positions members, ST employees, and, after full automated classification system designated as SSTMs. implementation, those employees modeled after the Navy’s ‘‘China Lake’’ The primary function of these designated as SSTMs. In addition, and ARL’s automated systems. The positions is to engage in research and General Officers and recognized Web-based automation tool is a fully

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integrated classification system that can be easier to prepare, minimize the nonexempt, meaning they are covered create standardized, classified position amount of writing time and make the by the overtime entitlements prescribed descriptions under the new pay banding position description a more useful and by the FLSA. An exception to this system. The present system of OPM accurate tool for other personnel guideline includes supervisors/ classification standards will be used for management functions. managers whose primary duties meet the identification of proper series and Specialty work codes (narrative the definitions outlined in the OPM GS occupational titles of positions within descriptions) will be used to further Supervisory Guide. Therefore, the demonstration project. Current OPM differentiate types of work and the supervisors/managers in any of the pay position classification standards, in competencies required for particular bands who meet the foregoing criteria some cases, will not be used to grade positions within an occupational family are exempt from the FLSA. The positions in this project. However, the and pay band. Each code represents a Director/manager/or supervisor with grading criteria in those standards will specialization or type of work within classification authority will make the be used as a framework to develop new the occupation. determinations on a case-by-case basis and simplified standards for the by comparing assigned duties and 3. Fair Labor Standards Act purpose of pay band determinations. responsibilities to the classification The objective is to record the essential Fair Labor Standards Act (FLSA) standards for each pay band and the 5 criteria for each pay band within each exemption and non-exemption CFR part 551 FLSA criteria. occupational family by stating the determinations will be consistent with Additionally, the advice and assistance characteristics of the work, the criteria found in 5 CFR part 551. All of the servicing Civilian Personnel responsibilities of the position, and the employees are covered by the FLSA Advisory Center (CPAC) will be competencies required. The unless they meet the criteria for obtained in making determinations. The classification standard for each pay exemption. The duties and benchmark position descriptions will band will serve as an important responsibilities outlined in the not be the sole basis for the component to update existing position classification standards for each pay determination. Basis for exemption will descriptions, which will include band will be compared to the FLSA be documented and attached to each position-specific information, and criteria. As a general rule, the FLSA position description. Exemption criteria provide data element information status can be matched to occupational will be narrowly construed and applied pertinent to the job. The computer- family and pay band as indicated in only to those employees who clearly assisted process will produce Figure 2. For example, positions meet the spirit of the exemption. information necessary for position classified in Pay Band I of the E&S Changes will be documented and descriptions. The new descriptions will occupational family are typically provided to the CPAC.

4. Classification Authority appropriate levels. Any individual with in exercising delegated position delegated classification authority must classification authority. Those leaders The ARI Director will have complete required training. Position with classification authority will classification authority and may, in descriptions will be developed to assist identify the occupational family, job turn, delegate this authority to

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series, functional code, specialty work system allows for greater employee objectives will be developed and code, pay band level, and other critical involvement in the assessment process, provided to supervisors and employees information. Personnel specialists will strives to increase communication to highlight appropriate performance provide ongoing consultation and between supervisor and employee, requirements at various pay levels. guidance to managers and supervisors promotes a clear accountability of These exemplars will be used to help throughout the classification process. performance, facilitates employee career define performance expectations These decisions will be documented in progression, and provides an commensurate to employee pay. the position description. understandable and rational basis for In contrast, performance elements as pay changes by linking pay and 5. Classification Appeals described in the next paragraph will performance. identify generic performance Classification appeals under this The pay-for-performance system uses characteristics, against which the demonstration project will be processed annual performance payouts based on accomplishment of objectives will be using the following procedures: An the employee’s total performance score measured. As a part of this employee may appeal the determination rather than within-grade increases, demonstration project, training focused of occupational family, occupational quality step increases, promotions from on overall organizational objectives and series, position title, and pay band of one grade to another where both grades the development of performance his/her position at any time. An are now in the same pay band (i.e., there objectives will be held for both employee must formally raise the area of are no within-band promotions), and supervisors and employees. concern to supervisors in the immediate performance awards. The standard Performance objectives may be jointly chain of command, either verbally or in rating period will be one year. The modified, changed, or deleted as writing. If the employee is not satisfied minimum rating period will be 120 appropriate during the rating cycle. with the supervisory response, he/she days. Pay-for-performance payouts can Changes initiated by employees must be may then appeal to the Personnel be in the form of increases to base pay, approved by their supervisor. As a Management Board. A final appeal may cash bonuses and time off awards; the general rule, performance objectives be made to the DoD appellate level. bonuses are not added to base pay but, should only be changed when the Appeal decisions rendered by DoD will rather, are given as a lump sum bonus. employee successfully meets or exceeds be final and binding on all Other awards, such as Special Acts, will the original objectives or circumstances administrative, certifying, payroll, be retained separately from the pay-for- outside the employee’s control prevent disbursing, and accounting officials of performance payouts. or hamper the accomplishment of the The system will have the flexibility to the government. Classification appeals original objectives. It is also appropriate be modified, if necessary, as more are not accepted on positions which to change objectives when mission or experience is gained under the project. exceed the equivalent of a GS–15 level. workload shifts occur. Objectives will Time periods for cases processed under 2. Performance Objectives not be changed when an employee’s 5 CFR part 511 apply. Performance objectives define a target lack of performance prevents or hinders An employee may not appeal the level of activity, expressed as tangible, successful performance. accuracy of the position description, the measurable objective statements against demonstration project classification 3. Performance Elements which actual achievement can be criteria, or the pay-setting criteria; the compared. These objectives will Performance elements define generic assignment of occupational series to the specifically identify what is expected of performance characteristics that will be occupational family; the propriety of a the employee during the rating period used to evaluate the employee’s success pay schedule; or matters grievable under and will typically consist of three to ten in accomplishing his/her performance an administrative or negotiated results-oriented statements. Employees objectives. The use of generic grievance procedure, or an alternative are encouraged to participate in characteristics for scoring purposes dispute resolution procedure. developing their performance objectives helps to ensure comparable scores are The evaluations of classification with their supervisor at the beginning of assigned while accommodating diverse appeals under this demonstration the rating cycle. These are to be individual objectives. This pay-for- project are based upon the reflective of the employee’s duties/ performance system will utilize those demonstration project classification responsibilities and pay band along performance elements provided in criteria. Case files will be forwarded for with the mission/organizational goals Appendix C; as adapted from the system adjudication through the CPAC and priorities. Objectives will be of performance elements implemented providing personnel service and will reviewed annually and revised upon at other DoD Labs designated as STRLs. include copies of appropriate changes in pay reflecting increased All elements are critical. A critical demonstration project criteria. responsibilities commensurate with pay performance element is defined as an C. Pay for Performance increases. Supervisors will make the attribute of job performance that is of final decision for approving their sufficient importance that performance 1. Overview employee’s performance objective. Use below the minimally acceptable level The purpose of the pay-for- of generic one-size-fits-all objectives requires remedial action and may be the performance system is to provide an will be avoided, as performance basis for removing an employee from effective, efficient, and flexible method objectives are meant to define an his/her position. Non-critical elements for assessing, compensating, and individual’s specific responsibilities will not be used. Each of the managing the ARI workforce. It is and expected accomplishments. While performance elements will be assigned essential for the development of a generic objectives will be avoided, a weight, which reflects its importance highly productive workforce and to objectives will be commensurate to the in accomplishing an individual’s provide management at the lowest employees pay and employees at similar performance objectives. A minimum practical level, the authority, control, positions in the pay band are expected weight (expressed as a percentage) is set and flexibility needed to achieve a to have objectives of similar complexity, for each performance element. The sum quality organization and meet mission responsibility, and/or another defining of the weights for all of the elements requirements. The pay-for-performance characteristic. Thus, exemplar, baseline, must equal 100.

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A single set of performance elements their performance goals or quality at any number as follows: If the digit to the will be used for evaluating the annual time, they are encouraged to initiate right of the decimal is between five and performance of all ARI personnel discussions with their supervisor. In nine, it should be rounded to the next covered by this plan. This set of addition, supervisors will initiate higher whole number; if the digit to the performance elements may evolve over discussions at the earliest possible sign right of the decimal is between one and time, based on experience gained during of unacceptable performance or as four, it should be dropped. each rating cycle. This evolution is needed to maintain successful For each performance element, a total, essential to capture the critical performance. The supervisor and unweighted score of 10 or above will competencies that enable the workforce employee will discuss job performance result in a rating of acceptable. A total, to meet individual and organizational and accomplishments in relation to the unweighted score of 9 or below will performance objectives. The evolving performance objectives and performance result in a rating of unacceptable, and nature of performance elements may be elements. At least two reviews, requires the employee be placed on a particularly necessary in an normally the mid-point review and Performance Improvement Plan (PIP) environment where mission annual review, will be documented as a within 30 days of the rating. An requirements, technology, and work formal progress review. More frequent unweighted score of nine or below in a processes are changing at an informal task-specific discussions may single performance element also will increasingly rapid pace. Thus, the ARI be appropriate in certain circumstances. result in a rating of unacceptable, and Personnel Management Board will In cases where work is accomplished by requires the employee be placed on a annually review the set of performance a team, team discussions regarding goals PIP. An out-of-cycle rating of record will elements and set them for the entire and expectations may also be conducted be issued if the employee’s performance organization before the beginning of the as appropriate. improves to an acceptable level at the rating period. The following is an initial Employees will provide a summary of conclusion of the PIP. their accomplishments to their set of performance elements: 5. Unacceptable Performance supervisor at both the mid-point and (1) Technical Rigor end of the rating period and, at a Informal employee performance (2) Interpersonal Effectiveness minimum, will highlight the three most reviews will be a continuous process so (3) Managing Time and Other Resources important performance outcomes. Space that corrective action, to include placing (4) Driving Organizational Success limitations may be imposed in the an employee on a PIP, may be taken at (5) Team Leadership performance management system to any time during the rating cycle. (6) Supervision/Leadership, and Equal limit the length of the employee’s self- Whenever a supervisor recognizes an Employment Opportunity (EEO). summary of their accomplishments. The employee’s performance on one or more All employees will be rated against goal of employee self-reports is to performance elements is unacceptable, the first four (Core) performance highlight significant employee the supervisor will immediately inform elements. Team Leadership is accomplishments rather than to describe the employee. Efforts will be made to mandatory for team leaders (within this job processes at a granular level of identify the possible reasons for the document ‘‘team leader’’ refers to non- detail. unacceptable performance. An supervisory team leaders as determined At the end of the rating period and employee who is on a PIP is not eligible by the OPM GS Leader Grade Evaluation following a review of the employee’s to receive the general pay increase. Guide). accomplishments, the supervisor will If an employee performs at an Supervision/Leadership, and Equal rate each performance element by unacceptable level or has received an Employment Opportunity is mandatory assigning a score between 0 and 50. unacceptable rating, a PIP will be for all managers/supervisors. At the Supervisors will use benchmark provided to the employee as well as an beginning of the rating period, pay pool performance standards that describe the opportunity period for the employee to managers will review the objectives and level of performance associated with a improve his/her performance. The weights assigned to employees within score. Benchmark standards ensure the supervisor will identify the items/ the pay pool, to verify consistency and employee’s performance is accurately actions that need to be corrected or appropriateness across the organization. captured and ensures different improved, outline required time frames (generally 30 days) for such 4. Performance Feedback and Formal supervisors apply a similar rating improvement, and provide the Ratings standard and scoring approach to their employees during the rating process. employee with available assistance as The most effective means of During the rating and point assignment appropriate. Progress will be monitored communicating job requirements, process, the supervisor reflects on the during the PIP, and all counseling/ performance goals, and desired results specific objectives for each employee feedback sessions will be documented. is person-to-person discussion between and rates the individual on each If the employee’s performance is supervisors and employees. Employees performance element using specific acceptable at the conclusion of the PIP, and supervisors alike are expected to descriptors of performance related to the the servicing CPAC should be contacted actively participate in these discussions benchmark performance criteria. It for additional guidance. If a PIP ends to clarify expectations and identify should be noted these scores are not prior to the end of the annual potential obstacles to meeting discussed with the employee or performance cycle and the employee’s performance goals. To the extent considered final until scores for all performance improves to, and remains possible, employees should describe employees are reconciled and approved at, an acceptable level, the employee is what they need from their supervisors to by the Pay Pool Manager. The element appraised again at the end of the annual support goal accomplishment. The scores will then be multiplied by the performance cycle. If the employee’s timing of performance feedback and element-weighting factor to determine performance deteriorates to an discussions will vary based on the the weighted score expressed to two unacceptable level in any element nature of work performed, but at a decimal points. The weighted scores for within two years from the beginning of minimum will occur formally at the each element will then be totaled to a PIP, follow-on actions may be initiated beginning, mid-point, and end of the determine the employee’s overall with no additional opportunity to rating period. If employees are unsure of appraisal score and rounded to a whole improve. If an employee’s performance

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is at an acceptable level for two years compared. Through discussion and distribution of ratings but not so large as from the beginning of the PIP, and consensus building, consistent and to compromise rating consistency. performance once again declines to an equitable ratings are reached. There will Supervisory personnel will be placed in unacceptable level, the employee will not be a prescribed distribution of total a pay pool separate from subordinate be given an additional opportunity to scores. The Pay Pool Manager will chair non-supervisory personnel. Neither the improve before management proposes a final review with the rating officials/ Pay Pool Manager nor supervisors follow-on actions. supervisors to validate these ratings and within a pay pool will recommend or If the employee fails to improve at the resolve any remaining scoring issues. If set their own individual pay. Decisions conclusion of the PIP, the employee will consensus on scoring cannot be reached regarding the amount of the be given notice of proposed appropriate for one or more employees in this performance payout are based on the action. This action can include removal process, the Pay Pool Manager makes all established formal payout calculations. from the Federal service, placement in final decisions. IOPs will provide Funds within a pay pool available for a lower pay band with a corresponding details on this process to employees and performance payouts are calculated reduction in pay (demotion), reduction supervisors. from anticipated pay increases under in pay within the same pay band, or Given the unique organizational the existing system and divided into change in position or occupational structure of ARI, the reconciliation two components, base pay and bonus. family. In many situations, employees process of employees who report The funds within a pay pool used for with an unacceptable rating will not be directly to the ARI Director may be base pay increases are those that would permitted to remain at their current pay different from the procedures described have been available from within-grade and may be reduced in pay band. above. In those cases, the ARI Director Reductions in base pay within the increases, quality step increases, and will review and resolve all ratings as promotions. This amount will be same pay band or changes to a lower pay pool manager for those direct pay band will be accomplished with a defined based on historical data and reports. Should the organization’s will be set at no less than two percent minimum of a five-percent decrease in structure change to allow for a pay pool an employee’s base pay. of total adjusted base pay annually. The process comparable to the one funds available to be used for bonus Note: Nothing in this subsection will previously described, the procedures for payouts are funded separately within preclude action under 5 U.S.C. chapter 75 the ARI Director’s direct reports are [Adverse Actions], when appropriate. the constraints of the organization’s likely to change to incorporate pay pool overall award budget. This amount will All relevant documentation panel participation and reconciliation. be defined based on historical data and concerning a reduction in pay or After the reconciliation process is at no less than one percent of total removal based on unacceptable complete, scores are finalized. Payouts adjusted base pay annually. The pay performance will be preserved and proceed according to each employee’s pool funding percentages are the same made available for review by the final score and adjusted base pay. for all pay pools. The sum of these two affected employee or a designated Information pertaining to the factors is referred to as the pay pool representative. At a minimum, the reconciliation process will be made percentage factor. record will consist of a copy of the available to all employees. notice of proposed personnel action, the The ARI Personnel Management 7. Pay Pools employee’s written reply, if provided, or Board will annually review the pay pool a summary when the employee makes ARI will have one or more pay pools, funding and recommend adjustments to an oral reply. Additionally, the record and each ARI employee will be placed the ARI Director to ensure cost will contain the written notice of into one of these pools. Pay pools are discipline over the life of the decision and the reasons therefore along combinations of organizational elements demonstration project. The ARI Director with any supporting material (including that are defined for the purpose of makes the final decision on pay pool documentation regarding the determining performance payouts under funding. opportunity afforded the employee to the pay-for-performance system. The 8. Performance Payout Determination demonstrate improved performance). next paragraph provides the guidelines for determining pay pools. These The performance payout an employee 6. Reconciliation Process guidelines will normally be followed, will receive is based on the total Following the initial scoring of each but deviations may occur if there is a performance score from the pay for employee by the supervisor, a panel of compelling need. The rationale for any performance assessment process. An rating officials and supervisors will deviations will be documented in employee will receive a performance meet in a structured review and writing, and final procedures will be payout as a percentage of adjusted base reconciliation process panel managed published prior to start of the rating pay. This percentage is based on the by the Pay Pool Manager. In this step, period. number of shares that equates to an each employee’s performance The ARI Director will establish pay employee’s final appraisal score. Shares objectives, accomplishments, pools. A pay pool should be large will be awarded on a continuum as preliminary scores, and pay are enough to encompass a reasonable follows:

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Fractional shares will be awarded for The share value is expressed as a total number of shares awarded in the scores that fall between these scores. For percentage. The formula that computes pay pool. This formula assures that each example, a score of 38 will equate to 1.8 the value of each share uses base pay employee within the pool receives a shares, and a score of 44 will equate to rates and is based on (1) the sum of the share amount equal to other employees 2.4 shares. base pay of all employees in the pay in the same pool who are at the same The value of a share cannot be exactly pool times the pay pool percentage rate of base pay and receive the same determined until the rating and factor, (2) the employee’s base pay, (3) score. The formula is shown in Figure reconciliation process is completed and the number of shares awarded to each 3. scores for all employees are finalized. employee in the pay pool, and (4) the

An individual payout is calculated by FRN and IOPs, such that all the step 10, except for employees in Pay first multiplying the shares earned by allocated funds are disbursed. To Band VI of the E&S occupational family. the share value and multiplying that provide performance incentives while Based on pay pool operating product by base pay. An adjustment is ensuring cost discipline, base pay procedures and business rules, the then made to account for locality pay. increases may be limited or capped. organization may re-allocate a portion A pay pool manager is accountable for Certain employees will not be able to (up to the maximum possible amount) staying within pay pool limits. The pay receive the projected base pay increase of the unexpended base pay funds. This pool manager makes the final decision due to base pay caps. Base pay is re-allocation will be determined by the on base pay increases and/or bonuses to capped when an employee reaches the Pay Pool Manager. Any dollar increase individuals based on rater maximum rate of base pay in an in an employee’s projected base pay recommendation, the final score, the assigned pay band, when the mid-point increase will be offset, dollar for dollar, pay pool funds available, and the rule applies (see below) or when the by an accompanying reduction in the employee’s pay. Significant Accomplishment/ employee’s projected bonus payment. Contribution rule applies (see below). Thus, the employee’s total performance 9. Base Pay Increases and Bonuses Also, for employees receiving retained payout is unchanged. This re-allocation The amount of money available for rates above the applicable pay band could be required for a number of performance payouts is divided into two maximum, the entire performance reasons to include the use of re- components: Base pay increases and payout will be in the form of a bonus allocation of to reduce extreme pay-for- bonuses. The base pay and bonus funds payment. performance gaps. are based on the pay pool funding When capped, the payout an In addition, the pay pool manager formula established annually. Once the employee receives will be in the form of may request approval from the PMB for individual performance amounts have a bonus versus the combination of base use of an Extraordinary Achievement been determined, the next step is to pay and bonus. Bonuses are cash Recognition. Such recognition grants a determine what portion of each payout payments and are not part of the base base pay increase and/or bonus to an will be in the form of a base pay pay for any purpose (e.g., lump sum employee that is higher than the one increase as opposed to a bonus payments of annual leave on separation, generated by the compensation formula payment. The payouts made to life insurance, and retirement). The for that employee. The funds available employees from the pay pool may be a maximum base pay rate under this for an Extraordinary Achievement mix of base pay and bonus as personnel demonstration project will be Recognition are separately funded determined by the rules set forth in this the unadjusted base pay rate of GS–15/ within the constraints of the

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organization’s budget. Extraordinary 12. Awards with 5 U.S.C. 5307 and 5 CFR part 530, Achievement Recognition, if warranted, In addition to the annual performance subpart B. Further details will be will be determined by the Review and evaluation and payout process, the ARI published in the IOP. Reconciliation Panel, and the pay pool Director may recognize outstanding 15. Grievances manager will provide the request to the individual or group achievements as An employee may grieve the PMB who will make the final decision they occur. Awards may include, but are based on the merits and funds available. performance rating/score received under not limited to, honorary, special act or the pay-for-performance system. Non- 10. Mid-Point Rule on-the-spot monetary awards, and time- bargaining unit employees, and off awards. The ARI Director may re- bargaining unit employees covered by a To provide added performance delegate this authority. The ARI Director negotiated grievance procedure that incentives as an employee progresses will have the authority to grant special does not permit grievances over through a pay band, a mid-point rule act awards to covered employees of up performance ratings, must file under will be used to determine base pay to $10,000 IAW the criteria of AR 672– administrative grievance procedures. increases. The mid-point rule dictates 20, Incentive Awards. The funds Bargaining unit employees whose that any employee must receive a score available to be used for traditional 5 negotiated grievance procedures cover of 30 or higher for his/her base pay to U.S.C. awards are separately funded performance rating grievances must file cross the mid-point of the base pay within the constraints of the under those negotiated procedures. range for his/her pay band. Also, once organization’s budget. an employee’s base pay exceeds the 16. Adverse Actions mid-point, the employee must receive a 13. General Pay Increase—Limitations for Unacceptable Performance Except where specifically waived or score of 30 or higher to receive any modified in this plan, adverse action additional base pay increases. Any Employees on a PIP at the time pay procedures under 5 CFR part 752 amount of an employee’s performance determinations are made do not receive remain unchanged. payout, not paid in the form of a base performance payouts or the annual pay increase because of the mid-point general pay increase. An employee who D. Hiring Authority rule, will be paid as a bonus. This rule receives an unacceptable rating of 1. Qualifications effectively raises the standard of record will not receive any portion of A candidate’s basic eligibility will be performance expected of an employee the general pay increase until such time determined using OPM’s Qualification once the mid-point of a band is crossed. as his/her performance improves to the Standards Handbook for General This applies to all employees in every acceptable level and remains acceptable Schedule Positions. Candidates must occupational family and pay band. The for at least 90 days. When the employee meet the minimum standards for entry performance rating of 30 is set as an has performed acceptably for at least 90 into the payband. For example, if the initial value and may be changed by the days, the general pay increase will not payband includes positions in grades PMB, as necessary, with a goal of be retroactive but will be granted at the GS–5 and GS–7, the candidate must continuously increasing employee and beginning of the next pay period after meet the qualifications for positions at organizational performance. the supervisor authorizes its payment. the GS–5 level. Specific experience/ 11. Significant Accomplishment/ These actions may result in a base pay education requirements will be Contribution Rule that is identified in a lower pay band. determined based on whether a position This occurs because the minimum rate to be filled is at the lower or higher end The purpose of this rule is to maintain of base pay in a pay band increases as of the band. Selective placement factors cost discipline while ensuring that the result of the general pay increase (5 can be established in accordance with employee payouts are in consonance U.S.C. 5303). This situation (a reduction the OPM Qualification Handbook, when with accomplishments and levels of in band level with no reduction in pay) judged to be critical to successful job responsibility. The rule will apply only will not be considered an adverse performance. These factors will be to employees in E&S Pay Band III whose action, nor will band retention communicated to all candidates for base pay would fall within the top 15 provisions apply. particular position vacancies and must percent of the band. For employees 14. Retention Counteroffers be met for basic eligibility. meeting these criteria, the following Restructuring the examining process provisions will apply: The Director, working with the PMB, and providing an authority to appoint (1) If an employee’s score falls in the may offer a retention counteroffer to candidates meeting distinguished top third of scores received in his/her retain high performing employees with scholastic achievements will allow the pay pool, he/she will receive the full critical scientific or technical skills who laboratory to compete more effectively allowable base pay increase portion of present evidence of an alternative for high quality personnel and the performance payout. The balance of employment opportunity with higher strengthen the manager’s role in the payout will be paid as a lump sum compensation. Such employees may be personnel management as well as the bonus. provided increased base pay (up to the goals of the demonstration project. ceiling of the payband) and/or a one- (2) If an employee’s score falls in the time cash payment that does not exceed 2. Delegated Examining middle third of scores received in his/ 50 percent of one year of base pay. Competitive service positions will be her pay pool, the base pay increase Further details will be published in the filled through Merit Staffing, and portion will not exceed one percent of IOP. This flexibility addresses the through direct-hire authority or under base pay. The balance of the payout will expected benefits described in Delegated Examining. Section 1108 of be paid as a lump sum bonus. paragraph II. C, particularly ‘‘increased the NDAA for FY 2009, as amended by (3) If an employee’s appraisal score retention of high quality employees.’’ section 1103 of the NDAA for FY 2012, falls in the bottom third of scores Retention allowances, either in the form provides for delegation of direct-hire received in his/her pay pool, the full of a base pay increase and/or a bonus, authority for qualified candidates with payout will be paid as a lump sum count toward the Executive Level I an advanced degree to scientific and bonus. aggregate limitation on pay consistent engineering positions within STRL

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laboratories designated under section 4. Legal Authority forth by the ARI Director. These 1105 of NDAA FY2010. Direct-hire For actions taken under the auspices appointments will allow ARI to authority will be exercised in of the demonstration project, the first dynamically shape the workforce to accordance with the requirements of the legal authority code (LAC)/legal respond to mission requirements. delegation of authority. authority Z2U/Public Law 103–337 will Consistent with section 1109(b)(1) of the When there are no more than 15 be used. The second LAC/legal NDAA for FY 2016, as amended, qualified applicants and no preference authority may identify the authority employees hired under this provision eligibles, all eligible applicants are utilized (e.g., Direct Hires). For all other will be counted as fractional employees immediately referred to the selecting actions, the nature of action codes and of the laboratory for the purpose of official without rating and ranking. legal authority codes prescribed by determining workforce size of the Rating and ranking may occur when the OPM, DoD, or DA will continue to be laboratory. All waivers published in 82 number of qualified candidates exceeds used. FR 43339 apply to this demonstration 15 or there is a mix of preference and project. 5. Revisions to Term Appointments non-preference applicants. Category Employees appointed under Flexible rating may be used to provide for a more ARI will continue to have career and Length and Renewable Term Technical streamlined and responsive hiring career-conditional appointments and Appointments may be eligible for system to increase the number of temporary appointments not to exceed noncompetitive conversion to a eligible candidates referred to selecting one year. These appointments will use permanent appointment if the job officials. This provides for the grouping existing authorities and entitlements. announcement clearly states the of eligible candidates into quality Under the demonstration project, ARI possibility of being made permanent, in categories and the elimination of will have the added authority to hire addition to any other provision in the individuals under a modified term consideration according to the ‘‘rule of STRL’s modified term appointment appointment, and the Flexible Length three.’’ This includes the coordination authority. Unless otherwise eligible for of recruitment and public notices, the and Renewable Term Technical a noncompetitive hiring authority, administration of the examining Appointments authorized by section positions filled under this authority process, the administration of veterans’ 1109(b)(1) of the NDAA for FY 2016, as must be competed. Job opportunity preference, the certification of amended by section 1106 of the NDAA announcements must clearly identify candidates, and selection and for FY 2019, and published in 82 FR the type of appointment and the appointment consistent with merit 43339. principles. Specific procedures used for Employees hired under the modified expected duration of initial competitive examining authority will be term appointment authority are in a appointment (up to six years). detailed in the IOP. non-permanent status in the competitive Appointees will also be afforded the opportunity to apply for vacancies that Statutes and regulations covering service for up to five years. The ARI Director is authorized to extend a are otherwise limited to ‘‘status’’ veterans’ preference will be observed in candidates as described in 82 FR 43339. the selection process when rating and modified term appointment for up to ranking are required. Veterans with one additional year. Employees on Employees serving under term preference will be referred ahead of modified term appointments may be appointments will be covered by the non-veterans with the same score/ eligible for conversion to career plan’s pay-for-performance system. category. conditional appointments. To be converted, the employee must (1) have 6. Extended Probationary or Trial Period 3. Direct Hire been selected for the term position The current two-year probationary under competitive procedures, with the period (Pub. L. 114–92) for DoD ARI will use the direct-hire announcement specifically stating that authorities authorized by section 1108 employees will be extended to three the individual(s) selected for the term years for all newly hired permanent of the NDAA for FY 2009, as amended position may be eligible for conversion by section 1103 of the NDAA for FY career-conditional employees. Trial to a career-conditional appointment at a periods for term appointments will also 2012, the direct hire authorities later date; (2) have served two years of be extended to three years. The purpose published in 79 FR 43722, and the continuous service in the term position; of extending the probationary period is direct hire authorities in 10 U.S.C. (3) be selected under merit promotion to allow supervisors an adequate period 2358a, as appropriate, to appoint the procedures for the permanent position; of time to fully evaluate an employee’s following: and (4) be performing at the acceptable ability to complete cycles of work and (1) Candidates with advanced degrees level of performance with a current to fully assess an employee’s to scientific and engineering positions; score of 30 or greater. contribution and conduct. The three- The Flexible Length and Renewable (2) Candidates with bachelor’s degrees year probationary period will apply to scientific and engineering positions; Term Technical Appointment authority will allow ARI to appoint qualified only to new hires subject to a (3) Veteran candidates to scientific, probationary period. technical, engineering, and mathematics candidates who are not currently DoD civilian employees, or who are DoD Aside from extending the time period positions (STEM), including for probationary or trial periods, all technicians; and civilian employees in term appointments, into any scientific, other features of the current (4) Student candidates enrolled in a technical, engineering, and mathematic probationary and trial period are program of instruction leading to a positions, including technicians, for a retained including the potential to bachelors or advanced degree in a STEM period of more than one year but not remove an employee without providing discipline. more than six years. The appointment of the full substantive and procedural In addition, other Direct Hire any individual under this authority may rights afforded a non-probationary authorities, documented in FRNs and be extended without limit in up to six employee. Any employee appointed available to all DoD STRL laboratories, year increments at any time during any prior to the implementation date will may be utilized, as appropriate. term of service under conditions set not be affected.

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7. Termination of Probationary The ARI Director may place the The agreement must be finalized before Employees supervisor on a Performance the assumption of duties and will Probationary employees may be Improvement Plan (PIP) at any time include: terminated when they fail to during the supervisory probationary (1) A statement that the service demonstrate proper conduct, technical period to help improve performance to provided is gratuitous, that the competency, and/or acceptable a successful level. volunteer assignment does not constitute an appointment in the civil performance for continued employment, 9. Volunteer Emeritus Program (VEP) and for conditions arising before service and is without compensation or The ARI Director will have the other benefits except as provided for in employment. When a supervisor authority to offer former Federal decides to terminate an employee the agreement itself, and that, except as employees who have retired or provided in the agreement regarding during the probationary period because separated from the Federal service, his/her work performance or conduct is work-related injury compensation, any voluntary assignments in ARI. VEP and all claims against the Government unacceptable, the supervisor will assignments are not considered terminate the employee’s services by (stemming from or in connection with ‘‘employment’’ by the Federal the volunteer assignment) are waived by written notification stating the reasons government. Thus, such assignments do for termination and the effective date of the volunteer; not affect an employee’s entitlement to (2) a statement that the volunteer will the action. The information in the notice buyouts or severance payments based be considered a federal employee for the will, at a minimum, consist of the on an earlier separation from Federal purpose of: supervisor’s conclusions as to the service. The VEP will ensure continued (a) 18 U.S.C. 201, 203, 205, 207, 208, inadequacies of the employee’s quality research while reducing the 209, 603, 606, 607, 643, 654, 1905, and performance or conduct, or those overall salary line by allowing higher 1913; conditions arising before employment paid individuals to accept retirement (b) 31 U.S.C. 1343, 1344, and 1349(b); that support the termination. incentives with the opportunity to (c) 5 U.S.C. chapters 73 and 81; 8. Supervisory Probationary Periods retain a presence in the scientific (d) The Ethics in Government Act of community. The program will be of 1978; Supervisory probationary periods will most benefit during manpower (e) 41 U.S.C. chapter 21; be consistent with 5 CFR part 315, reductions as senior employees could (f) 28 U.S.C. chapter 171 (tort claims subpart I. Existing Federal employees accept retirement and return to provide procedure), and any other Federal tort who are competitively selected or valuable on-the-job training or liability statute; reassigned to a supervisory position will mentoring to less experienced (g) 5 U.S.C. 552a (records maintained be required to complete a two-year employees. Volunteer service will not on individuals); and supervisory probationary period for be used to replace any employee, or (3) The volunteer’s work schedule; initial appointment to a supervisory interfere with career opportunities of (4) The length of agreement (defined position. Newly appointed supervisors, employees. The VEP may not be used to by length of project or time defined by new to Federal service, must complete replace or substitute for work performed weeks, months, or years); the probationary periods in accordance by civilian employees occupying regular (5) The support to be provided by ARI with section III.D.6 of this FRN for positions required to perform the ARI’s (travel, administrative, office space, Extended Probationary Periods. mission. supplies); Consistent with 5 U.S.C. 3321, if, during To be accepted into the VEP, a (6) The volunteer’s duties; this supervisory probationary period, candidate must be recommended by an (7) A provision that states no the decision is made to return the ARI manager to the ARI Director. additional time will be added to a employee to a non-supervisory position Everyone who applies is not entitled to volunteer’s service credit for such for reasons related to supervisory participate in the program. The Director purposes as retirement, severance pay, performance, the employee will be will document the decision process for and leave as a result of being a returned to a position comparable in each candidate and retain selection and participant in the VEP; pay and job duties to the position from non-selection documentation for the (8) A provision allowing either party which they were originally promoted or duration of the assignment or two years, to void the agreement with 10 working reassigned. whichever is longer. days written notice; Supervisors hired, new to the To ensure success and encourage (9) The level of security access Government, who have not participation, the volunteer’s federal required (any security clearance demonstrated successful performance in retirement pay (whether military or required by the assignment will be a lower position at ARI and who do not civilian) will not be affected while managed by ARI while the volunteer is successfully complete their serving in a volunteer capacity. Retired a participant in the VEP); probationary period may be terminated or separated federal employees may (10) A provision that any written when they fail to demonstrate proper accept an emeritus position without a products prepared for publication that conduct, technical competency, and/or break or mandatory waiting period. are related to VEP participation will be acceptable performance for continued Volunteers will not be permitted to submitted to the ARI Director for review employment, and for conditions arising monitor contracts on behalf of the and must be approved prior to before employment. As with non- government or to participate on any publication; supervisors and consistent with 5 U.S.C. contracts or solicitations where a (11) A statement that the volunteer 3321, a supervisor who is not conflict of interest exists. The same accepts accountability for loss or performing at an acceptable level may rules that currently apply to source damage to Government property be moved to another position in a selection members will apply to occasioned by the volunteer’s different pay band. Such a move would volunteers. negligence or willful action; result in a reduction of pay of no less An agreement will be established (12) A statement that the volunteer’s than 6 percent or to the top of the lower between the volunteer and the ARI activities on the premises will conform pay band, whichever reduction is Director. The agreement will be to the ARI’s regulations and greater. reviewed by the servicing legal office. requirements;

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(13) A statement that the volunteer System Principles and requirements of current position description. For will not improperly use or disclose any the local merit promotion plan. instance, a Research Psychologist could non-public information, to include any To be promoted competitively or non- be assigned to any project, task, or pre-decisional or draft deliberative competitively from one band to the function requiring similar expertise. information related to DoD next, an employee must meet the Likewise, a manager/supervisor could programming, budgeting, resourcing, minimum qualifications for the job and be assigned to manage any similar acquisition, procurement or other have a current performance rating of 30 function or organization consistent with matter, for the benefit or advantage of or better, or equivalent under a different that individual’s qualifications. This the VEP participant or any non-Federal performance appraisal system. The flexibility allows broader latitude in entities. VEP participants will handle all minimum performance rating of 30 is assignments and further streamlines the non-public information in a manner that set as an initial value and may be administrative process and system. reduces the possibility of improper changed by the PMB, as necessary, with 5. Details and Expanded Temporary disclosure. a goal of continuously increasing Promotions (14) A statement that the volunteer employee and laboratory performance. If agrees to disclose any inventions made an employee does not have a current Employees may be detailed or in the course of work performed at ARI. performance rating, the employee will temporarily promoted to a position in The ARI Director will have the option be treated the same as an employee with the same band (requiring a different to obtain title to any such invention on an ‘‘acceptable’’ rating as long as there level of expertise and qualifications) or behalf of the U.S. Government. Should is no documented evidence of lower pay band (or its equivalent in a the Director elect not to take title, the unacceptable performance. different occupational family) or to a Center will retain a non-exclusive, 2. Reassignment position in a higher band for up to two years. Details and temporary promotions irrevocable, paid up, royalty-free license A reassignment is the movement of an to practice or have practiced the may be determined by a competitive or employee from one position to a a non-competitive process. invention worldwide on behalf of the different position within the same U.S. Government. occupational family and pay band or to 6. Exceptions to Competitive Procedures (15) A statement that the VEP another occupational family and pay for Assignment to a Position participant must complete either a band wherein the band in the new The following actions are excepted Confidential or Public Financial family has the same maximum base pay. from competitive procedures: Disclosure Report, whichever applies, The employee must meet the (1) Re-promotion to a position which and ethics training in accordance with qualifications requirements for the is in the same pay band or GS office of Government Ethics regulations occupational family and pay band. equivalent and occupational family as prior to implementation of the the employee previously held on a agreement; and 3. Demotion or Placement in a Lower Pay Band permanent basis within the competitive (16) A statement that the VEP service. participant must receive post- A demotion is a placement of an (2) Promotion, reassignment, government employment advice from a employee into a lower pay band within demotion, transfer, or reinstatement to a DoD ethics counselor at the conclusion the same occupational family or position having promotion potential no of program participation. VEP placement into a pay band in a different greater than the potential of a position participants are deemed Federal occupational family with a lower an employee currently holds or employees for purposes of post- maximum base pay. Demotions may be previously held on a permanent basis in government employment restrictions. for cause (performance or conduct) or the competitive service. for reasons other than cause (e.g., E. Internal Placement (3) A position change permitted by erosion of duties, reclassification of RIF procedures. 1. Promotion duties to a lower pay band, application (4) Promotion without current under competitive announcements, at competition when the employee was A promotion is the movement of an the employee’s request—if approved, employee to a higher pay band in the appointed through competitive placement actions resulting from procedures to a position with a same occupational family or to another reduction-in-force ((RIF) procedures). pay band in a different occupational documented career ladder. family, wherein the band in the new 4. Simplified Assignment Process (5) A temporary promotion, or detail family has a higher maximum base pay Today’s environment of downsizing to a position in a higher pay band, of than the band from which the employee and workforce fluctuations mandates two years or less. is moving. Positions with known that the organization have maximum (6) A promotion due to the promotion potential to a specific band flexibility to assign duties and reclassification of positions based on within an occupational family will be responsibilities to individuals. Pay accretion (addition) of duties. identified when they are filled. banding can be used to address this (7) A promotion resulting from the Movement from one occupational need, as it enables the organization to correction of an initial classification family to another will depend upon have maximum flexibility to assign an error or the issuance of a new individual competencies, qualifications, employee with no change in base pay, classification standard. and the needs of the organization. within broad descriptions, consistent (8) Consideration of a candidate who Progression within a pay band is with the needs of the organization and did not receive proper consideration in based upon performance based pay the individual’s qualifications and level. a competitive promotion action. increases; as such, these actions are not Subsequent assignments to projects, F. Pay Setting considered promotions and are not tasks, or functions anywhere within the subject to the provisions of this section. organization requiring the same level, 1. General Except as specified below, promotions area of expertise, and qualifications Pay administration policies will be will be processed under competitive would not constitute an assignment established by the PMB. These policies procedures in accordance with Merit outside the scope or coverage of the will be exempt from Army Regulations

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or local pay fixing policies. Employees 4. Pay Setting for Promotion at the time pay determinations are made whose performance is acceptable will The minimum base pay increase upon do not receive performance payouts or receive the full annual general pay promotion to a higher pay band will be the general pay increase. This action increase and the full locality pay. The six percent or the minimum base pay may result in a base pay that is ARI Director shall have delegated rate of the new pay band, whichever is identified in a lower pay band. This authority to may make full use of greater. The maximum amount of a pay occurs because the minimum rate of recruitment, retention, and relocation increase for a promotion is 20 percent base pay in a pay band increases as the payments as currently provided for by but will not normally exceed $10,000 or result of the general pay increase (5 OPM. other such amount as established by the U.S.C. 5303). This situation (a reduction Grade and pay retention will follow Personnel Management Board. The in band level with no reduction in pay) current law and regulations at 5 U.S.C. maximum base pay increase for will not be considered an adverse 5362, 5363, and 5 CFR part 536, except promotion may be exceeded when action, nor will band retention as waived or modified in Section IX, the necessary to allow for the minimum provisions apply. waiver section of this plan. The ARI base pay increase. For employees A supervisor who fails to successfully Director may also grant pay retention to assigned to occupational categories and complete a supervisory probationary employees who meet general eligibility geographic areas covered by special period will no longer receive a requirements, but do not have specific rates, the minimum base pay rate in the supervisory pay adjustment entitlement by law, provided they are pay band to which promoted is the (supervisory differential/adjustment). not specifically excluded. minimum base pay for the 7. Supervisory and Team Leader Pay corresponding special rate or locality 2. Pay and Compensation Ceilings Adjustments rate, whichever is greater. For employees covered by a staffing Supervisory and team leader pay An demonstration project employee’s adjustments may be approved by the total monetary compensation paid in a supplement (described in III.F.9.), the demonstration staffing supplement ARI Director at his/her discretion, based calendar year may not exceed the base on the recommendation of the PMB, to pay of Level I of the Executive Schedule adjusted pay is considered base pay for promotion calculations. When a compensate employees with supervisory consistent with 5 U.S.C. 5307 and 5 CFR or team leader responsibilities. part 530 subpart B. In addition, each temporary promotion is terminated, the employee’s pay entitlements will be re- Supervisory and team leader pay pay band will have its own pay ceiling, adjustments are a tool that may be just as grades do in the GS system. Base determined based on the employee’s position of record, with appropriate implemented at the discretion of the pay rates for the various pay bands will ARI Director and are not to be be directly keyed to the GS rates, except adjustments to reflect pay events during the temporary promotion, subject to the considered an employee entitlement as noted for the Pay Band VI of the due solely to his/her position as a Engineer and Scientist occupational specific policies and rules established by the PMB. In no case may those supervisor or team leader. Only family. Other than where retained rate employees in supervisory or team leader applies, base pay will be limited to the adjustments increase the base pay for the position of record beyond the positions as defined by the OPM GS maximum base pay payable for each pay Supervisory Guide or GS Leader Grade band. applicable pay range maximum base pay rate. Evaluation Guide may be considered for 3. Pay Setting for Appointment the pay adjustment. These pay 5. Pay Setting for Reassignment adjustments are funded separately from For initial appointments to Federal A reassignment may be effected performance pay pools. These pay service, the individual’s pay may be set without a change in base pay. However, adjustments are increases to base pay, at the lowest base pay in the pay band a base pay increase may be granted ranging up to 10 percent of that pay rate or anywhere within the band level where a reassignment significantly for supervisors and for team leaders. Pay consistent with the special increases the complexity, responsibility, adjustments are subject to the constraint qualifications of the individual, specific authority, or for other compelling that the adjustment may not cause the organizational requirements, the unique reasons. Such an increase is subject to employee’s base pay to exceed the pay requirements of the position, or other the specific guidelines established by band maximum base pay. Criteria to be compelling reason. These special the PMB. considered in determining the pay qualifications may be in the form of increase percentage include: education, training, experience or any 6. Pay Setting for Demotion or (1) Needs of the organization to combination thereof that is pertinent to Placement in a Lower Pay Band attract, retain, and motivate high-quality the position in which the employee is Employees demoted for cause supervisors/team leaders; being placed. Guidance on pay setting (performance or conduct) are not (2) Budgetary constraints; for new hires will be established by the entitled to pay retention and will (3) Years and quality of related PMB and documented in IOPs. receive a minimum of a five percent experience; Highest Previous Rate (HPR) may be decrease in base pay. Employees (4) Relevant training; considered in placement actions demoted for reasons other than cause (5) Performance appraisals and authorized under rules similar to the (e.g., erosion of duties, reclassification experience as a supervisor/team leader; HPR rules in 5 CFR 531.221. Request to of duties to a lower pay band, or (6) Unique requirements of a specific use HPR must be made to the PMB and placement actions resulting from RIF position or level of complexity is subject to policies established by the procedures) may be entitled to pay and compared to other positions of a similar PMB, as approved by the ARI Director. grade retention in accordance with the nature; To maintain consistent application of provisions of 5 U.S.C. 5363 and 5 CFR (7) Organizational level of position; pay setting decisions, the PMB will part 536, except as waived or modified and collect and track pay setting data, in Section IX of this plan. (8) Impact on the organization. qualifications, and other relevant Employees who receive an A pay adjustment may be considered information. unacceptable rating or who are on a PIP under the following conditions:

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(1) New supervisory/team leader of the base pay. Criteria to be considered current, near- and mid-term workload positions will have their initial rate of in determining the amount of the pay requirements, budget, and employee base pay set within the pay range of the differential are the same as those performance scores. applicable pay band and rules identified for Supervisory/Team Leader (1) Sabbatical. The ARI Director has established by the PMB. Request for Pay Adjustments. the authority to grant paid or unpaid initial rate of pay will be made to the The pay differential may be sabbaticals to all career employees. The PMB and approved by the ARI Director considered, either during conversion purpose of a sabbatical will be to permit or delegated official. This rate of pay into or after initiation of the employees to engage in study or may include a pay adjustment demonstration project. The differential uncompensated work experience that determined by using the ranges and must be terminated if the employee is will benefit the organization and criteria outlined above. removed from a supervisory/team leader contribute to the employee’s (2) A career employee selected for a position, regardless of cause. development and effectiveness. Each supervisory/team leader position may After initiation of the demonstration sabbatical must result in a product, also be considered for a base pay project, all personnel actions involving service, report, or study that will benefit adjustment. If a supervisor/team leader a supervisory/team leader differential the ARI mission as well as increase the is already authorized a base pay will require a statement signed by the employee’s individual effectiveness. adjustment and is subsequently selected employee acknowledging that the Various learning or developmental for another supervisor/team leader differential may be terminated or experiences may be considered, such as position, then the base pay adjustment reduced at the discretion of the ARI research, self-directed or guided study, will be re-determined. Upon initial Director. The termination or reduction and on-the-job work experience. conversion into the demonstration of the differential is not an adverse Limitations and eligibility requirements project into the same or substantially action and is not subject to appeal. for sabbaticals will be published in the similar position, supervisors/team IOP. Employees approved for a paid leaders will be converted at their 9. Staffing Supplements sabbatical must sign a service obligation existing base rate of pay and will not be Employees assigned to occupational agreement to continue in service in ARI eligible for a base pay adjustment. categories and geographic areas covered for a period of three times the length of (3) The supervisory/team leader pay by special rates will be entitled to a the sabbatical. If an employee adjustment will be reviewed annually, staffing supplement if the maximum voluntarily leaves ARI before the service or more often as needed, and may be adjusted base pay for the banded GS obligation is completed he/she is liable increased or decreased by a portion or grades (i.e., the maximum GS locality for repayment of expenses incurred by by the entire amount of the supervisory/ rate) to which assigned is a special rate ARI that are associated with the team leader pay adjustment based upon that exceeds the maximum GS locality sabbatical. Expenses do not include the employee’s performance appraisal rate for the banded grades. Specific salary costs. The ARI Director has the score for the performance element, provisions will be described in IOPs. authority to waive this requirement. Team Project Leadership or Criteria for such waivers will be Supervision/EEO, needs of the G. Employee Development addressed in the operating procedures. organization, and/or criteria outlined 1. Expanded Developmental Specific procedures will be developed above. If the entire portion of the Opportunity Program for processing sabbatical applications supervisory/team leader pay adjustment upon implementation of the is to be decreased, the initial dollar The Expanded Developmental demonstration project. amount of the supervisory/team leader Opportunity Program will be available (2) Critical Skills Training. The ARI pay adjustment will be removed. A to all demonstration project employees. Director has the authority to approve decrease to the supervisory/team leader Expanded developmental opportunities academic degree training. Training is an pay adjustment as a result of the annual complement existing developmental essential component of an organization review or when an employee voluntarily opportunities such as long-term that requires continuous acquisition of leaves a position is not an adverse training; rotational job assignments; advanced and specialized knowledge. action and is not subject to appeal. developmental assignments to ARI, Degree training is also a tool for Army, or DoD; and self-directed study maintaining required knowledge and 8. Supervisory/Team Leader Pay via correspondence courses, local skills critical to the present and future Differentials colleges, and universities. Each requirements of the organization. Degree Supervisory and team leader pay developmental opportunity must result or certificate payment may not be differentials may be used by the ARI in a product, service, report, or study authorized where it would result in a Director to provide an incentive and that will benefit ARI or customer tax liability for the employee without reward supervisors and team leaders. organization as well as increase the the employee’s express and written Supervisory and team leader pay employee’s individual effectiveness. consent. Any variance from this policy differentials are a tool that may be The PMB will provide written guidance must be rigorously determined and implemented at the discretion of the for employees on application documented. Guidelines will be ARI Director and is not to be considered procedures and develop a process that developed to ensure a fully competitive an entitlement due to an employee will be used to review and evaluate approval process for expanded critical solely due to their position as a applicants for development skills training. Employees approved for supervisor or team leader. Pay opportunities. These expanded degree training must sign a service differentials are not funded from developmental opportunities may be obligation agreement to continue service performance pay pools. A pay made available when there is a critical in the ARI for a period three times the differential is a cash incentive that may skill, need, or gap that must be filled for length of the training period range up to 10 percent of base pay for organizational success. Determinations commencing after the completion of the supervisors and for team leaders. It is for sabbaticals and critical skills training entire degree program. If an employee paid on a pay period basis with a shall be made based on the needs of ARI voluntarily leaves ARI before the service specified not-to-exceed (NTE) of one and the relationship to the research obligation is completed, he/she is liable year or less and is not included as part mission, merit, organization fill rates, for repayment of expenses incurred by

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ARI that are related to the critical skills demonstration project, employees will project (before any other action). For training. Expenses do not include salary be awarded that portion of the next employee movement from within DoD costs. The ARI Director has the higher step they have completed up (transfers), promotions, and other authority to waive this requirement. until the effective date of conversion. As actions, the converted GS grade and rate Criteria for such waivers will be under the current system, supervisors will be used in applying any GS pay addressed in the operating procedures. will be able to withhold these partial administration rules applicable in step increases if the employee’s connection with the employee’s IV. Implementation Training performance is below an acceptable movement out of the project (e.g., Critical to the success of the level of competence. promotion rules, highest previous rate demonstration project is the training Rules governing WGIs will continue rules, pay retention rules), as if the GS developed to promote understanding of in effect until conversion. Adjustments converted grade and rate were actually the broad concepts and finer details to the employee’s base salary for WGI in effect immediately before the needed to implement and successfully equity will be computed as of the employee left the demonstration project. execute this project. Training will be effective date of conversion. WGI equity 1. Grade-Setting Provisions tailored to address employee concerns will be acknowledged by increasing and to encourage comprehensive base pay by a prorated share based upon An employee in a pay band understanding of the demonstration the number of full weeks an employee corresponding to a single GS grade is project. Training will be required both has completed toward the next higher converted to that grade. An employee in prior to implementation and at various step. Payment will equal the value of a pay band corresponding to two or times during the life of the the employee’s next WGI times the more grades is converted to one of those demonstration project. proportion of the waiting period grades according to the following rules: A training program will begin prior to completed (weeks completed in waiting (1) The employee’s adjusted rate of implementation and will include period/weeks in the waiting period) at basic pay under the demonstration modules tailored for employees, the time of conversion. Employees at project (including any locality payment supervisors, and administrative staff. step 10, or receiving retained rates, on or staffing supplement) is compared Typical modules are: the day of implementation will not be with step four rates on the highest (1) An overview of the demonstration eligible for WGI equity adjustments applicable GS rate range. (For this project personnel system. since they are already at or above the purpose, a ‘‘GS rate range’’ includes a (2) How employees are converted into top of the step scale. Employees serving rate in (1) the GS base schedule, (2) the and out of the system. on retained grade will receive WGI locality rate schedule for the locality (3) Pay banding. equity adjustments provided they are pay area in which the position is (4) The pay-for-performance system. not at step 10 or receiving a retained located, or (3) the appropriate special (5) Defining performance objectives. rate. rate schedule for the employee’s (6) How to assign weights to Employees who enter the occupational series, as applicable.) If the performance elements. demonstration project after initial series is a two-grade interval series, only (7) Assessing performance and giving implementation by lateral transfer, odd-numbered grades are considered feedback. reassignment, or realignment will be below GS–11. (8) New position descriptions. subject to the same pay conversion rules (2) If the employee’s adjusted project (9) Demonstration project as above. If conversion into the rate equals or exceeds the applicable administration and formal evaluation. demonstration project is accompanied step four rate of the highest GS grade in Various types of training are being by a geographic move, the employee’s the band, the employee is converted to considered, including videos, video- GS pay entitlements in the new that grade. teleconference tutorials, and train-the- geographic area must be determined (3) If the employee’s adjusted project trainer concepts. To the extent possible, before performing the pay conversion. rate is lower than the applicable step materials already developed from other four rate of the highest grade, the B. Conversion or Movement From a adjusted rate is compared with the step STRLs will be utilized when Project Position to a General Schedule four rate of the second highest grade in appropriate to reduce implementation Position cost and to maintain consistency in the employee’s pay band. If the If a demonstration project employee is employee’s adjusted rate equals or application of similar procedures across moving to a GS position not under the laboratories. exceeds step four rate of the second demonstration project, or if the project highest grade, the employee is V. Conversion ends and each project employee must be converted to that grade. converted back to the GS system, the (4) This process is repeated for each A. Conversion to the Demonstration following procedures will be used to successively lower grade in the band Project convert the employee’s project pay band until a grade is found in which the Conversion from current GS grade and to a GS-equivalent grade and the employee’s adjusted project rate equals pay into the new pay band system will employee’s project rate of pay to GS or exceeds the applicable step four rate be accomplished during implementation equivalent rate of pay. The converted of the grade. The employee is then of the demonstration project. Initial GS grade and GS rate of pay must be converted at that grade. If the entry into the demonstration project determined before movement or employee’s adjusted rate is below the will be accomplished through a full conversion out of the demonstration step four rate of the lowest grade in the employee-protection approach that project and any accompanying band, the employee is converted to the ensures each employee an initial place geographic movement, promotion, or lowest grade. in the appropriate pay band without other simultaneous action. For (5) Exception: An employee will not loss of pay on conversion. conversions upon termination of the be converted to a lower grade than the Under the GS pay structure, project and for lateral reassignments, the grade held by the employee employees progress through their converted GS grade and rate will immediately preceding a conversion, assigned grade in step increments. Since become the employee’s actual GS grade lateral reassignment, or transfer from this system is being replaced under the and rate after leaving the demonstration within DoD into the project, unless

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since that time the employee has 10. These procedures will be increases (including a zero increase) undergone a reduction in band or documented in IOPs. under the demonstration project are accepted a lower grade/band position. equivalent increases for the purpose of 4. E&S Pay Band VI Employees determining the commencement of a 2. Pay-Setting Provisions E&S Pay Band VI Employees: An within-grade increase waiting period An employee’s pay within the employee in Pay Band VI of the E&S under 5 CFR 531.405(b). converted GS grade is set by converting occupational family will convert out of the employee’s demonstration project the demonstration project at the GS–15 C. Personnel Administration rate of pay to GS rate of pay in level. Procedures will be documented in All personnel laws, regulations, and accordance with the following rules: IOPs to ensure that employees entering guidelines not waived by this plan will (1) The pay conversion is done before Pay Band VI understand that if they remain in effect. Basic employee rights any geographic movement or other pay- leave the demonstration project and will be safeguarded and Merit System related action that coincides with the their adjusted base pay under the Principles will be maintained. Servicing employee’s movement or conversion out demonstration project exceeds the CPAC(s) will continue to process of the demonstration project. highest applicable GS–15, step 10 rate, personnel-related actions and provide (2) An employee’s adjusted rate of there is no entitlement to retained pay. consultative and other appropriate basic pay under the project (including However, consistent with 79 FR 43722, services. any locality payment or staffing July 28, 2014, pay retention may be D. Automation supplement) is converted to the GS provided to SSTM members under adjusted rate on the highest applicable criteria established by the PMB (and ARI will use the DoD approved rate range for the converted GS grade. approved by the Director) who are automated personnel system for the (For this purpose, a ‘‘GS rate range’’ impacted by a reduction in force, work processing of personnel-related data. includes a rate range in (1) the GS base realignment, or other planned Payroll servicing will continue from the schedule, (2) an applicable locality rate management action that would respective payroll offices. schedule, or (3) an applicable special necessitate moving the incumbent to a An automated tool or other rate schedule.) position in a lower pay band within the appropriate procedures will be used to (3) If the highest applicable GS rate STRL. Pay retention may also be support computation of performance range is a locality pay rate range, the provided under criteria established related pay increases and awards and employee’s adjusted project rate is when an SES or ST employee is placed other personnel processes and systems converted to a GS locality rate of pay. in a SSTM position as a result of associated with this project. If this rate falls between two steps in the reduction in force or other management E. Revision locality-adjusted schedule, the rate must action. SSTM positions not entitled to be set at the higher step. The converted Constant assessment and refinement pay retention above the GS–15, step 10 is needed to maximize the effectiveness GS unadjusted rate of basic pay would rate will be deemed to be the rate for be the GS base rate corresponding to the of the system. Modifications may be GS–15, step 10. For those Pay Band VI made from time to time as experience is converted GS locality rate (i.e., same employees paid below the adjusted GS– step position). (If this employee is also gained, results are analyzed, and 15, step 10 rate, the converted rates will conclusions are reached on how the covered by a special rate schedule as a be set in accordance with paragraph 2. GS employee, the converted special rate new system is working. Modifications will be determined based on the GS step 5. Employees With Band or Pay will be made in accordance with the position. This underlying special rate Retention provisions of DoDI 1400.37, or will be basic pay for certain purposes (1) If an employee is retaining a band applicable superseding instructions. for which the employee’s higher locality level under the demonstration project, VI. Project Duration rate is not basic pay.) apply the procedures in paragraphs 1.a. Public Law 103–337 removed any (4) If the highest applicable GS rate and 1.b. (Grade-Setting Provisions) mandatory expiration date for this range is a special rate range, the above, using the grades encompassed in demonstration project. ARI, DA, and employee’s adjusted project rate is the employee’s retained band to DoD will ensure this project is evaluated converted to a special rate. If this rate determine the employee’s GS-equivalent for the first five years after falls between two steps in the special retained grade and pay rate. The time in implementation in accordance with 5 rate schedule, the rates must be set at a retained band under the U.S.C. 4703. Modifications to the the higher step. The converted GS demonstration project counts toward the original evaluation plan or any new unadjusted rate of basic pay will be the 2-year limit on grade retention in 5 evaluation will ensure the project is GS rate corresponding to the converted U.S.C. 5382. evaluated for its effectiveness, its impact special rate (i.e., same step position). (2) If an employee is retaining rate on mission, and any potential adverse under the demonstration project, the 3. E&S Pay Band III Employees impact on any employee groups. employee’s GS-equivalent grade is the An employee in Pay band III of the highest grade encompassed in his or her VII. Evaluation Plan E&S Occupational family will convert band level. ARI will coordinate with A. Overview out of the demonstration project at no DoD to prescribe a procedure for higher than the GS–13, step 10 level. determining the GS-equivalent pay rate Chapter 47 of 5 U.S.C. requires that an ARI, in consultation with the CPAC, for an employee retaining a rate under evaluation be performed to measure the will develop a procedure to ensure that the demonstration project. effectiveness of the demonstration employees entering E&S Pay band III project, and its impact on improving understand that if they leave the 6. Within-Grade Increase public management. A comprehensive demonstration project and their Equivalent Increase Determinations: evaluation plan for the entire adjusted pay exceeds the GS–13, step 10 Service under the demonstration project demonstration program, originally rate, there is no entitlement to retained is creditable for within-grade increase covering 24 DoD laboratories, was pay; their GS-equivalent rate will be purposes upon conversion back to the developed by a joint OPM/DoD deemed to be the rate for GS–13, step GS pay system. Performance pay Evaluation Committee in 1995. This

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plan was submitted to the Office of Information from existing management established at the start of the project and Defense Research & Engineering and information systems supplemented with labor expenditures will be tracked was subsequently approved. The main perceptual survey data from employees yearly. Implementation costs (including purpose of the evaluation is to will be used to assess variables related project development, automation costs, determine whether the waivers granted to effectiveness. Multiple methods step buy-in costs, and evaluation costs) result in a more effective personnel provide more than one perspective on are considered one-time costs and will system and improvements in ultimate how the demonstration project is not be included in the cost discipline. outcomes (i.e., organizational working. Information gathered through The Personnel Management Board effectiveness, mission accomplishment, one method will be used to validate will track personnel cost changes and and customer satisfaction). That plan, information gathered through another. recommend adjustments if required to while useful, is dated and does not fully Confidence in the findings will increase achieve the objective of cost discipline. afford the laboratories the ability to as they are substantiated by the different evaluate all aspects of the collection methods. The following types B. Developmental Costs demonstration project in a way that of qualitative and/or quantitative data Costs associated with the fully facilitates assessment and effective will be collected as part of the development of the personnel modification based on actionable data. evaluation: (1) Workforce data; (2) demonstration project include software Therefore, in conducting the evaluation personnel office data; (3) employee automation, training, and project ARI will ensure USD(R&E) evaluation attitudes and feedback using surveys, evaluation. All funding will be provided requirements are met in addition to structured interviews, and focus groups; through the organization’s budget. The applying knowledge gained from other (4) local activity histories; and, (5) core projected annual expenses are DoD laboratories and their evaluations measures of laboratory effectiveness. summarized in Table 1. Project to ensure a timely, useful evaluation of VIII. Demonstration Project Costs evaluation costs are not expected to the demonstration project. continue beyond the first five years A. Cost Discipline B. Method of Data Collection unless the results warrant further An objective of the demonstration evaluation. Additional cost may be Data from a variety of different project is to ensure in-house cost incurred as a part of the implementation sources will be used in the evaluation. discipline. A baseline will be and operation of the project.

IX. Required Waivers to Law and contemplated under this demonstration Chapter 31, section 3104: Regulation project. Nothing in this plan is intended Employment of specially qualified to preclude the demonstration project scientific and professional personnel. Public Law 106–398 gave the DoD the from adopting or incorporating any law Waived to allow SSTMs. authority to experiment with several or regulation enacted, adopted, or Chapter 31, section 3132: The Senior personnel management innovations. In Executive Service: Definitions and addition to the authorities granted by amended after the effective date of this demonstration project. exclusions. Waived as necessary to the law, the following are waivers of law allow for the Pay Band VI of the E&S and regulation that will be necessary for A. Waivers to Title 5, United States Occupational Family. implementation of the demonstration Code Chapter 33, section 3317(a): project. In due course, additional laws Competitive Service; certification from and regulations may be identified for Chapter 5, section 552a: Records registers. Waived insofar as ‘‘rule of waiver request. maintained on individuals. This section three’’ is eliminated under the The following waivers and is waived only to the extent required to demonstration projects. adaptations of certain Title 5 U.S.C. clarify that volunteers under the Chapter 33, section 3318(a): provisions are required only to the Volunteer Emeritus Corps are Competitive Service, selection from extent that these statutory provisions considered employees of the Federal certificate. Waived to the extent limit or are inconsistent with the actions government for purposes of this section. necessary to eliminate the requirement

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for selection using the ‘‘Rule of Three’’ supervisory differentials. Waived to the to eliminate time-in-grade restrictions in and other limitations on recruitment extent necessary to allow (1) employees the demonstration project. list. and positions under the demonstration Part 315, section 315.801(a), Chapter 33, section 3321: Competitive project to be treated as employees and 315.801(b)(1), (c), and (e) and service; probationary period. This positions under the GS, (2) employees 315.802(a) and (b)(1): Probationary section waived only to the extent in Pay Band VI of the E&S occupational period and length of probationary necessary to replace grade with ‘‘pay family to be treated as ST and/or GS period. Waived to the extent necessary band.’’ employees as appropriate, (3) previsions to (1) allow for up to a three-year Chapter 33, section 3324 and section of the retention counteroffer and probationary period and to permit 3325: Appointments to positions incentives as described in this FRN, and termination during the extended classified above GS–15. Waived in (4) to allow SSTMs to receive probationary period without using entirety to fully allow for positions supervisory pay differentials as adverse action procedures for those above GS–15. described in 79 FR 43722. employees serving a probationary Chapter 33, section 3341: Details. Chapter 59, section 5941: Allowances period under an initial appointment Waived as necessary to extend the time based on living costs and conditions of except for those with veterans’ limits for details. environment; employees stationed preference and (2) to the extent Chapter 41, section 4107: Pay for outside continental U.S. or Alaska. necessary to allow for supervisory Degrees. Waived in entirety. Waived to the extent necessary to probationary periods to permit Chapter 41, section 4108(a)–(c): provide that cost-of-living allowances reassignment during the supervisory Employee agreements; service after paid to employees under the probationary period without using training. Waived to the extent necessary demonstration project are paid in adverse action procedures for to require the employee to continue in accordance with regulations prescribed employees serving a probationary the service of ARI for the period of the by the President (as delegated to OPM). period. required service and to the extent Chapter 75, sections 7501(1), Part 315, section 315.804: necessary to permit the Director, ARI, to 7511(a)(1)(A)(ii), and 7511(a)(1)(C)(ii): Termination of probationers for waive in whole or in part a right of Adverse actions—definitions. Waived to unsatisfactory performance or conduct. recovery. the extent necessary to allow for up to Waived to the extent necessary to Chapter 43, sections 4301–4305: a three-year probationary period and to reduce a supervisor who fails to Related to performance appraisal. These permit termination during the extended successfully complete a supervisory sections are waived to the extent probationary period without using probationary period to a lower grade/ necessary to allow provisions of the adverse action procedures for those band. performance management system as Part 315, section 315.805: employees serving a probationary described in this FRN. Termination of probationers for period under an initial appointment Chapter 51, sections 5101–5112: conditions arising before appointment. except for those with veterans’ Classification. Waived as necessary to Waived to the extent necessary to preference. Waived to the extent allow for the demonstration project pay permit termination during the extended necessary to allow for two-year banding system. probationary period without using supervisory probationary periods and to Chapter 53, sections 5301–5307: adverse procedures. Related to pay comparability system and permit re-assignment of supervisors Part 315, section 315.901–315.909: GS pay rates. Waived to the extent during the probationary period without Statutory requirement. Waived to the necessary to allow demonstration adverse action procedures for those extent necessary to (1) replace ‘‘grade’’ project employees, including SSTM employees serving in a supervisory with ‘‘pay band;’’ (2) establish a two- employees, to be treated as GS probationary period. year supervisory probationary period; employees, and to allow basic rates of Chapter 75, section 7512(3): Adverse and (3) allow the movement of a newly pay under the demonstration project to actions. Waived to the extent necessary hired supervisor who fails to meet be treated as scheduled rates of pay. to replace ‘‘grade’’ with ‘‘pay band.’’ requirements to a lower grade/band. SSTM pay will not exceed EX–IV and Chapter 75, section 7512(4): Adverse Part 316, sections 316.301, 316.303, locality adjusted SSTM rates will not actions. Waived to the extent necessary and 316.304: Term employment. exceed EX III. to provide that adverse action Waived to the extent necessary to allow Chapter 53, sections 5331–5336: GS provisions do not apply to (1) modified term appointments and pay rates. Waived in its entirety to allow reductions in pay due to the removal of Flexible Length and Renewable Term for the demonstration project’s pay a supervisory or team leader pay Technical Appointments as described in banding system and pay provisions. adjustment/differential upon voluntary this FRN and in 82 FR 43339. Chapter 53, sections 5361–5366: movement to a non-supervisory or non- Part 332, section 332.401, 332.402 Grade and pay retention. Waived to the team leader position or (2) decreases in and 332.404: Order of selection from extent necessary to allow pay retention the amount of a supervisory or team certificates. Waived to the extent provisions described in this FR notice leader pay adjustment/differential necessary to eliminate the requirement and to allow SSTMs to receive pay during the annual review process. for selection using the ‘‘Rule of Three’’ retention as described in 79 FR 43722. B. Waivers to Title 5, Code of Federal or other procedures to limit recruitment Chapter 55, section 5545(d): Regulations lists. Hazardous duty differential. Waived to Part 335, section 335.103: Agency the extent necessary to allow Part 300–330: Employment (general) promotion programs. Waived to the demonstration project employees to be other than subpart G of 300. Waived to extent necessary to extend the length of treated as GS employees. This waiver the extent necessary to allow provisions details and temporary promotions does not apply to employees in Pay of the direct hire authorities as without requiring competitive Band VI of the E&S occupational family. described in 79 FR 43722 and 82 FR procedures. Chapter 57, section 5753, 5754, and 29280. Part 337, section 337.101(a): Rating 5755: Recruitment and relocation, Part 300, sections 300.601 through applicants. Waived to the extent bonuses, retention allowances and 605: Time-in-grade restrictions. Waived necessary to allow referral without

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rating when there are 15 or fewer as GS employees; and (2) base rates of supervisory differentials. Waived to the qualified candidates and no qualified pay under the demonstration project to extent necessary to allow (1) employees preference eligibles. be treated as scheduled annual rates of and positions under the demonstration Part 340, subpart A, subpart B, and pay. project covered by pay banding to be subpart C: Other than full-time career Part 536: Grade and pay retention. treated as employees and positions employment. These subparts are waived Waived to the extent necessary to (1) under the GS system, (2) to allow to the extent necessary to allow a replace ‘‘grade’’ with ‘‘pay band;’’ (2) SSTMs to receive supervisory pay Volunteer Emeritus Corps. provide that pay retention provisions do differentials as described in 73 FR Part 359, section 359.705: Pay. not apply to conversions from GS 43727, and (3) to allow the Director to Waived to allow demonstration project special rates to demonstration project pay an offer up to 50 percent of basic rules governing pay retention to apply pay, as long as total pay is not reduced, pay of either a base pay and/or a cash to a former SES or ST placed on an and to reductions in pay due solely to payment to retain quality employees; SSTM position. the removal of a supervisory pay and to the extent necessary to allow Part 410, section 410.308(a–e): adjustment upon voluntarily leaving a SSTMs to receive supervisory pay Training to obtain an academic degree. supervisory position; (3) allow differentials. Criteria for retention Waived to the extent necessary to allow demonstration project employees to be determination and preparing written provisions described in this FR. treated as GS employees; (4) provide service agreements will be as prescribed Part 410, section 410.309: Agreements that pay retention provisions do not in 5 U.S.C. 5754 and as waived herein. to continue in service. Waived to the apply to movements to a lower pay band extent necessary to allow the ARI as a result of not receiving the general Part 591, subpart B: Cost-of-living Director to determine requirements increase due to an annual performance allowance and post differential—Non- related to continued service agreements. rating of ‘‘Unacceptable;’’ (5) provide foreign Areas. Waived to the extent Part 430, subpart B: Performance that an employee on pay retention necessary to allow demonstration appraisal for GS, prevailing rate, and whose rating of record is project employees to be treated as certain other employees. Waived to the ‘‘Unacceptable’’ is not entitled to 50 employees under the GS system. extent necessary to be consistent with percent of the amount of the increase in Part 752, sections 752.101, 752.201, the demonstration project’s pay-for- the maximum rate of base pay payable 752.301 and 752.401: Principal statutory performance system. for the pay band of the employee’s requirements and coverage. Waived to Part 432, section 432.102–432.106: position; (6) ensure that for employees the extent necessary to (1) allow for up Performance based reduction in grade of Pay Band VI in the E&S occupational to a three-year probationary period; (2) and removal actions. Waived to the family, pay retention provisions are permit termination during the extended extent necessary to allow provisions modified so that no rate established probationary period without using described in the FRN. under these provisions may exceed the adverse action procedures for those Part 511: Classification under the rate of base pay for GS–15, step 10 (i.e., employees serving a probationary general schedule. Waived to the extent there is no entitlement to retained rate); period under an initial appointment necessary to allow classification and (7) provide that pay retention does except for those with veterans’ provisions outlined in this FR to not apply to reduction in base pay due preference; (3) allow for supervisory include the list of issues that are neither solely to the reallocation of probationary periods and to permit appealable nor reviewable, the demonstration project pay rates in the reassignment during the supervisory assignment of series under the project implementation of a staffing probationary period without use of plan to appropriate occupational supplement. This waiver applies to ST adverse action procedures for those families; and to allow appeals to be employees only if they move to a GS- employees serving a probationary decided by the ARI Director. If the equivalent position within the period under a supervisory probationary employee is not satisfied with the ARI demonstration project under conditions period; (4) replace ‘‘grade’’ with ‘‘pay Director’s response to the appeal, he/she that trigger entitlement to pay retention. band;’’ and (5) provide that a reduction may then appeal to the DoD appellate Part 536, section 536.306(a): in pay band level is not an adverse level. Limitation on retained rates. Waived to action if it results from the employee’s Part 530, subpart C: Special rate the extent necessary to allow SSTMs to rate of base pay being exceeded by the schedules for recruitment and retention. receive pay retention as described in 79 minimum rate of base pay for his/her Waived in its entirety to allow for FR 43727. staffing supplements, if applicable. Part 550, section 550.703: Definitions. pay band. Waived to the extent Part 531, subpart B: Determining rate Waived to the extent necessary to necessary to provide that adverse action of basic pay. Waived to the extent modify the definition of ‘‘reasonable provisions do not apply to (1) necessary to allow for pay setting and offer’’ by replacing ‘‘two grade or pay conversions from GS special rates to pay-for-performance under the levels’’ with ‘‘one band level’’ and demonstration project pay, as long as provisions of the demonstration project. ‘‘grade or pay level’’ with ‘‘band level.’’ total pay is not reduced and (2) Part 531, subparts D and E: Within- Part 550, section 550.902: Definitions. reductions in pay due to the removal of grade increases and quality step Waived to the extent necessary to allow a supervisory or team leader pay increases. Waived in its entirety. demonstration project employees to be adjustment/differential upon voluntary Part 531, subpart F: Locality-based treated as GS employees. This waiver movement to a non-supervisory or non- comparability payments. Waived to the does not apply to employees in Pay team leader position or decreases in the extent necessary to allow (1) Band VI of the E&S occupational family. amount of a supervisory or team leader demonstration project employees, Part 575, subparts A, B, C, and D: pay adjustment based on the annual except employees in Pay Band VI of the Recruitment incentives, relocation review. E&S occupational family, to be treated incentives, retention incentives and BILLING CODE 5001–06–P

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Dated: November 15, 2019. Compliance, 4800 Mark Center Drive, EXWC to implement a STRL Personnel Aaron T. Siegel, Mailbox #24, Suite 08D09, Alexandria, Demonstration Project. Upon Alternate OSD Federal Register Liaison VA 22350–1700. designation, NAVFAC EXWC chartered Officer, Department of Defense. Instructions: All submissions received an Implementation Team (Team) to [FR Doc. 2019–25201 Filed 11–21–19; 8:45 am] must include the agency name, docket design and implement a new BILLING CODE 5001–06–C number and title for this Federal demonstration project plan. The Team is Register document. The general policy developing all associated deliverables, for comments and other submissions proposals and implementation details. DEPARTMENT OF DEFENSE from members of the public is to make The Team is working with the these submissions available for public Laboratories and Personnel Office Office of the Secretary viewing on the internet at http:// (L&PO), the Lab Quality Enhancement [Docket ID DOD–2019–OS–0126] www.regulations.gov as they are Program Panel on Personnel, Workforce received without change, including any Development, and Talent Management Science and Technology Reinvention personal identifiers or contact (LQEP–P) and organizations with Laboratory (STRL) Personnel information. ongoing demonstration projects for Demonstration Project in the Naval information and advice. NAVFAC FOR FURTHER INFORMATION CONTACT: EXWC employees are updated through Facilities Engineering Command, NAVFAC EXWC: Ms. Carol Frash, Engineering and Expeditionary ongoing communications such as fact 1000 23rd Avenue, Port Hueneme, CA Warfare Center (NAVFAC EXWC) sheets, briefings and small group 93043 (805) 982–2422, or meetings. This FRN is based on specific [email protected]. AGENCY: Under Secretary of Defense for flexibilities adopted by other STRLs and DoD: Dr. Jagadeesh Pamulapati, Research and Engineering (USD(R&E)), global flexibilities available for use by Director, Laboratories and Personnel Department of Defense (DoD). all DoD STRLs. ACTION: Notice of proposal to adopt and Office, 4800 Mark Center Drive, NAVFAC EXWC will adopt, with modify an existing personnel Alexandria, VA 22350, (571) 372–6372, some modifications, flexibilities from management demonstration project. [email protected]. the following approved STRL personnel SUPPLEMENTARY INFORMATION: Section demonstration projects: SUMMARY: This Federal Register Notice 342(b) of the National Defense • Department of the Navy: NAVAIR— (FRN) serves as notice of the proposed Authorization Act (NDAA) for Fiscal 76 FR 8530, February 14, 2011. adoption of an existing STRL Personnel Year (FY) 1995, Public Law (Pub. L.) • Department of the Navy: NIWC Management Demonstration Project by 103–337; as amended, authorizes the Atlantic and Pacific—76 FR 1924, the Naval Facilities Engineering Secretary of Defense (SECDEF), through January 11, 2011. Command, Engineering and the USD(R&E), to conduct personnel • Department of the Navy: Expeditionary Warfare Center (NAVFAC demonstration projects at DoD NAVSEA—62 FR 64050, December 3, EXWC). NAVFAC EXWC proposes to laboratories designated as STRLs. All 1997. adopt, with some modifications, the STRLs authorized by section 1105(a) of • Department of the Army: CCDC STRL Personnel Demonstration Project the NDAA for FY 2010, Public Law 111– ARL—63 FR 10679, March 4, 1998. implemented at the: Naval Air Systems 84, as well as any newly designated 3. Access to Flexibilities of Other STRLs Command (NAVAIR) Naval Warfare STRLs authorized by SECDEF, or future Center, Aircraft Division, Naval Air legislation, may use the provisions Flexibilities published in this FRN Warfare Center, Weapons Division; described in this FRN. will be available for use by the STRLs Naval Information Warfare Centers enumerated in section 1105(a) of the Atlantic and Pacific (NIWC Atlantic and 1. Background NDAA for FY 2010, Public Law 111–84 Pacific) (previously designated as the Many studies have been conducted as amended, if they wish to adopt them Space and Naval Warfare Systems since 1966 on the quality of the in accordance with DoD Instruction Command, Space and Naval Warfare laboratories and personnel. Most of the 1400.37, ‘‘Science and Technology Systems Centers Atlantic and Pacific), studies recommended improvements in Reinvention Laboratory (STRL) Naval Sea Systems Command Warfare civilian personnel policy, organization, Personnel Demonstration Projects’’ Centers (NAVSEA), and the Combat and management. Pursuant to the (available at https://www.esd.whs.mil/ Capabilities Development Command authority provided in section 342(b) of Portals/54/Documents/DD/issuances/ (CCDC) Army Research Laboratory Public Law 103–337, as amended, a dodi/140037p.pdf) (including revised or (ARL) (previously designated as ARL). number of DoD STRL personnel superseded instructions) and after the DATES: NAVFAC EXWC’s personnel demonstration projects were approved. fulfillment of any collective bargaining demonstration project proposal may not The demonstration projects are obligations. be implemented until a 30-day comment ‘‘generally similar in nature’’ to the Table of Contents period is provided, comments Department of Navy’s China Lake addressed, and a final FRN published. Personnel Demonstration Project. The I. Executive Summary II. Introduction To be considered, written comments terminology, ‘‘generally similar in A. Purpose must be submitted on or before nature,’’ does not imply an emulation of B. Problems With the Present System December 23, 2019. various features, but rather implies a C. Expected Benefits ADDRESSES: You may submit comments, similar opportunity and authority to D. Participating Organizations, Employees identified by docket number and title, develop personnel flexibilities that and Union Representation by any of the following methods: significantly increase the decision E. Project Design Federal eRulemaking Portal: http:// authority of laboratory commanders F. Executive STRL Policy Board G. Funding Level www.regulations.gov. Follow the and/or directors. III. Personnel System Changes instructions for submitting comments. 2. Overview A. Hiring, Appointment, and Related Mail: Department of Defense, Office of Authorities the Chief Management Officer, Section 1104 of the FY18 NDAA, B. Classification, Career Paths and Pay Directorate for Oversight and Public Law 115–91 authorizes NAVFAC Banding

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C. Pay and Compensation II. Introduction enable management to respond quickly D. Employee Development and Awards to new ways of designing work or A. Purpose E. Performance Management changes in the work itself. It does not F. Workforce Shaping The purpose of the project is to offer flexibilities to accurately capture IV. Conversion demonstrate that the effectiveness of employee performance or to quickly A. Initial Conversion or Movement Into the DoD laboratories can be enhanced by adjust management expectations for Demonstration Project greater managerial control over critical scientific, engineering, B. Movement Out of the Demonstration personnel functions and to expand the acquisition support and other Project opportunities available to employees C. Implementation Training professional positions, including skilled through a more responsive and flexible technicians. The current hiring system’s V. Project Duration personnel system. The NAVFAC EXWC VI. Evaluation Plan inability to provide job offers in a timely personnel demonstration project will A. Overview manner also hampers the NAVFAC B. Data Collection To Support Evaluation incorporate legal authorities and adopt EXWC’s ability to attract high quality VII. Demonstration Project Costs practices from other STRLs to meet the candidates. VIII. Management and Oversight specific needs of this command. These C. Expected Benefits A. Project Management With Automation tools will enable NAVFAC EXWC to dynamically shape the mix of technical B. Oversight To remain the Department of the skills and expertise in the laboratory IX. Required Waivers to Laws and Navy’s leader in supporting combatant workforce. As the Navy’s leader in Regulations capabilities and sustainable facilities, A. Waivers to Title 5, United States Code specialized facilities engineering, NAVFAC EXWC must compete with the B. Waivers to Title 5, Code of Federal technology solutions, and life-cycle Regulations management of expeditionary private sector for the most talented, Appendix A: Career Paths and Occupational equipment, NAVFAC EXWC must have technically proficient candidates. Series the flexibility needed to quickly NAVFAC EXWC must have a human Appendix B: Rating Benchmark Examples respond to changes in mission, resource system that fosters employee development, enhances performance I. Executive Summary organizational constraints, workload, and market conditions. and experience, and provides a strong NAVFAC EXWC is a Warfare Center NAVFAC EXWC’s Technical Director retention incentive. This personnel and distinguished DoD laboratory has overall oversight and management demonstration project is expected to established in 2012. NAVFAC EXWC’s of these authorities. Unless specifically enable and enhance: dedicated workforce provides stated otherwise, the Technical Director 1. Recruitment of highly qualified specialized facilities engineering, of NAVFAC EXWC may delegate scientific, technical, business, and technology solutions, and life-cycle authority to effectively implement the support employees in today’s management of expeditionary provisions of this notice. NAVFAC competitive environment; equipment to the Navy, Marine Corps, EXWC Internal Operating Procedures 2. Selection of candidates and Federal agencies, and other DoD (IOPs) will document any delegation, extension of job offers in a timely and customers. A majority of NAVFAC including details of implementation. efficient manner, with compensation EXWC’s civilian employees were hired Many aspects of a demonstration sufficient to attract high quality, in- in the General Schedule (GS) project are experimental. Modifications demand employees; classification and pay scale. The GS may be made from time to time as we 3. Employee satisfaction with pay classification and pay scale does not gain experience, analyze results, and setting and adjustment, recognition, and offer the same flexibilities and tools to reach conclusions on how the system is career advancement opportunities; attract, retain, motivate and fully working. The provisions of Department compensate staff as the NAVFAC EXWC of Defense Instruction (‘‘DoDI’’) 1400.37, 4. A quality workforce that rapidly personnel demonstration project. ‘‘Science and Technology Reinvention adjusts to evolving requirements for the Laboratory (STRL) Personnel future; Through this project, NAVFAC EXWC Demonstration Projects’’ (including competes with the private sector for the 5. Retention of high-level performers; subsequently issued or superseding best talent by making timely job offers 6. Simple and cost-effective HR instructions) will be followed to modify, with attractive compensation packages management processes. supplement through adoption, or that land high-quality employees. Once otherwise change this demonstration To effectively meet the above these employees are hired, NAVFAC project plan. expectations, this notice identifies and EXWC incentivizes performance and establishes those features and rewards innovation and motivation B. Problems With the Present System flexibilities this demonstration project through compensation directly linked to Using the current Federal personnel will use to achieve these objectives. The individual performance. Linking system is incompatible with NAVFAC demonstration project primarily compensation to performance increases EXWC’s need for a highly specialized, emphasizes streamlined hiring, a more job satisfaction and retention of high quality workforce to support the DoD flexible performance-based performing employees and encourages and the Department of the Navy’s compensation system, talent acquisition continued performance because reduced overall strategic objectives. The and retention, and professional human performance will draw less reward. characteristics of the current general capital planning and execution. Those NAVFAC EXWC’s personnel schedule (GS) system have remained features and flexibilities alone, however, demonstration project takes advantage unchanged since its inception many will not ensure success. Delivering that of flexibilities to simplify and speed years ago. Under the GS system, work is vision requires a human resources classification and staffing actions for classified into 15 grades with 10 interim service model that is highly proactive, employees, such as direct hire steps within each grade. It is rigidly expertly skilled in analytical tools, and authorities, expanded details, temporary defined by occupational series and fully engaged as a strategic partner and promotions, and modified/flexible term grade with precise qualifications for trusted agent of this modern multi- appointments. each position. This system does not faceted defense laboratory.

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D. Participating Organizations, performance and an appropriate pay position in the S&E career path Pay Employees and Union Representation allocation predicated on the assessed Band II, individuals must meet the basic NAVFAC EXWC has major facilities level of performance. requirements for a GS–5 as specified in the OPM ‘‘Qualification Standard for in three geographic locations: Port F. Executive STRL Policy Board Hueneme, California, Gulfport, Professional and Scientific Positions.’’ The Executive STRL Policy Board Selective factors may be established Mississippi, and Washington, DC. (ESPB) will oversee and monitor the for a position in accordance with the Additionally, the organization employs fair, equitable, and consistent OPM’s ‘‘Operating Manual: personnel at more than ten sites implementation of the provisions of the Qualifications Standards for General worldwide. The sites are diverse in demonstration project to include Schedule Positions,’’ when determined employment profiles and size and have establishment of internal controls and to be critical to successful job bargaining unit populations. The accountability. Members of the ESPB performance. These factors may become organization operates throughout the will be appointed by the Technical part of the minimum requirements for full spectrum of research, development, Director. Ad hoc members may serve in the position, and applicants must meet test and evaluation, engineering and an advisory capacity to the ESPB. The them in order to be eligible. If used, fleet support delivered by five business ESPB duties will include the following: selective factors will be stated as part of lines and six support lines. Wage Grade • Establish policies and issue the qualification requirements in positions will not be included in this guidance on composition of pay pools vacancy announcements and recruiting personnel demonstration project; in accordance with the guidelines of bulletins. however, NAVFAC EXWC will continue this proposal and internal procedures; to evaluate possible future inclusion. • Review pay pool operation and 2. Science and Engineering Direct Hire Prior to including bargaining unit resolve pay pool disputes; Authorities employees in the personnel • Establish policies and issue a. NAVFAC EXWC will use the direct demonstration project, NAVFAC EXWC guidance concerning the civilian pay hire authorities authorized by section will fulfill its obligation to consult and/ budget, pay administration, awards and 1108 of the NDAA for FY 2009, as or negotiate with the labor organizations performance based pay increases; amended by section 1103 of the NDAA in accordance with 5 U.S.C. 4703(f) and • Establish policies and issue FY 2012; the direct hire authorities 7117 as appropriate. guidance to ensure in-house budget published in 79 FR 43722, and the NAVFAC EXWC is predominantly a discipline and implement workforce direct hire authorities in 10 U.S.C. Navy Working Capital Fund (NWCF) staffing and budget plans; 2358a to appoint the following: activity. Over 60 percent of the • Develop policies and procedures for (1) Candidates with advanced degrees employees to be initially included in the administering Developmental to scientific and engineering positions; personnel demonstration project are Opportunity Programs; ensure all (2) Candidates with bachelor’s degrees funded by NWCF. Under NWCF, the employees are treated in a fair, equitable to scientific and engineering positions; cost of business and operations is built manner. (3) Veteran candidates to scientific, into the Stabilized Billing Rate (SBR) technical, engineering, and mathematics paid by customers for work performed; G. Funding Level positions (STEM), including technician by maximizing management flexibility, The Under Secretary of Defense positions; and NAVFAC EXWC can remain cost (Personnel & Readiness) may, at his/her (4) Student candidates enrolled in a competitive. discretion, adjust the minimum funding program of instruction leading to a bachelors or advanced degree in a STEM E. Project Design levels to take into account factors such as the Department’s fiscal condition, discipline. There are four fundamental elements guidance from the Office of b. STEM Student Employment of this personnel demonstration project: Management and Budget, and equity in Program (SSEP). (1) Hiring and staffing flexibilities, (2) circumstances when funding is reduced NAVFAC EXWC will use this direct simplified classification, (3) pay or eliminated for GS pay raises or hire authority for students in a banding, and (4) performance-based awards. scientific, technical, engineering, and compensation and assessment. The mathematical course of study at an hiring and staffing flexibilities will help III. Personnel System Changes accredited institution of higher to better recruit, hire, and retain the A. Hiring, Appointment, and Related education. The purpose of this direct most capable, qualified, and competent Authorities hire authority is to provide a workforce in the job market today. streamlined and accelerated hiring Simplified classification will streamline 1. Qualifications process that allows NAVFAC EXWC to the job classification process, reduce the OPM’s ‘‘Qualification Standards for compete successfully with private effect of administrative processes on General Schedule Positions,’’ with industry for high quality scientific, personnel, and allow for more flexibility minor modifications to address technical, engineering, or mathematics in making job reassignments. The pay application of OPM qualifications in a students for filling scientific and banding structure will create four career pay banding environment, are used to engineering positions. Students paths with multiple pay bands within determine qualifications for personnel appointed under the SSEP are afforded each career path representing the phases demonstration project positions. ‘‘Band’’ an opportunity for non-competitive of career progression that are typical for is substituted for ‘‘Grade’’ where conversion to a permanent scientific or the respective career paths. This appropriate and time in grade engineering position upon graduation banding structure will enable managers requirements are eliminated. from an accredited institution of higher to more appropriately reward and retain Since the pay bands are anchored to education. Use of this authority will be a diverse workforce using principles of the GS grade levels, the minimum consistent with the merit system pay equity and career progression. The qualification requirements for a position principles. The SSEP student performance-based compensation will be the requirements corresponding employment standards will be similar to system is characterized by an to the lowest GS grade incorporated into the Pathways qualification standards, assessment of an employee’s that pay band. For example, for a which will allow students appointed

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under this authority to be aligned to a on an earlier separation from Federal the volunteer assignment) are waived by pay band commensurate with the service. The Volunteer Emeritus the volunteer; highest level of education completed Program will ensure continued quality b. A statement that the volunteer will and/or prior experience. SSEP students research while reducing the overall be considered a federal employee for the will remain on a term appointment until salary line by allowing higher paid purpose of: the completion of their educational individuals to accept retirement (1) 18 U.S.C. 201, 203, 205, 207, 208, program. incentives with the opportunity to 209, 603, 606, 607, 643, 654, 1905, and retain a presence in the scientific 1913; 3. Distinguished Scholastic community. The program will be of (2) 31 U.S.C. 1343, 1344, and 1349(b); Achievement Appointments (DSAA) most benefit during manpower (3) 5 U.S.C. chapters 73 and 81; NAVFAC EXWC will use the reductions as senior employees could (4) The Ethics in Government Act of Distinguished Scholastic Achievement accept retirement and return to provide 1978; Appointment Authority (DSAA) for pay valuable on-the-job training or (5) 41 U.S.C. chapter 21; banded positions. The DSAA uses an mentoring to less experienced (6) 28 U.S.C. chapter 171 (tort claims alternative examining process which employees. Volunteer service will not procedure), and any other Federal tort provides the authority to appoint be used to replace any employee, or liability statute; candidates possessing a bachelor’s interfere with career opportunities of (7) 5 U.S.C. 552a (records maintained degree or higher to positions up to the employees. The Volunteer Emeritus on individuals); and equivalent of GS–12 for positions in the Program may not be used to replace or c. The volunteer’s work schedule; Science and Engineering (S&E) pay substitute for work performed by d. The length of agreement (defined bands. This enables NAVFAC EXWC to civilian employees occupying regular by length of project or time defined by respond quickly to hiring needs for positions required to perform the weeks, months, or years), eminently qualified candidates NAVFAC EXWC mission. e. The support to be provided by the possessing distinguished scholastic To be accepted into the Volunteer NAVFAC EXWC (travel, administrative, achievements. Emeritus Program, a candidate must be office space, supplies), The alternative examining process recommended by a NAVFAC EXWC f. The volunteer’s duties, specifies that candidates may be manager to the Director. Everyone who g. A provision that states no appointed provided they meet the applies is not entitled to participate in additional time will be added to a minimum standards for the position as the program. The NAVFAC EXWC volunteer’s service credit for such published in OPM’s operating manual, Director will document the decision purposes as retirement, severance pay, ‘‘Qualification Standards for General process for each candidate and retain and leave as a result of being a Schedule Positions,’’ plus any selective selection and non-selection participant in the Volunteer Emeritus placement factors stated in the vacancy documentation for the duration of the Program, announcement; the occupation has a assignment or two years, whichever is h. A provision allowing either party to positive education requirement; and the longer. void the agreement with 10 working candidate has a cumulative grade point To ensure success and encourage days written notice; average of 3.5 (on a 4.0 scale) or better participation, the volunteer’s federal i. The level of security access required in their field of study (or other retirement pay (whether military or (any security clearance required by the equivalent score) or are within the top civilian) will not be affected while assignment will be managed by the 10 percent in their field of study in a serving in a volunteer capacity. Retired NAVFAC EXWC while the volunteer is graduate program. or separated federal employees may a participant in the Volunteer Emeritus accept an emeritus position without a Program); 4. Reemployment of Annuitants break or mandatory waiting period. j. A provision that any written NAVFAC EXWC will use the Volunteers will not be permitted to products prepared for publication that authorities provided by 5 U.S.C. 9902(g) monitor contracts on behalf of the are related to Volunteer Emeritus and 82 FR 43339 to appoint reemployed government or to participate on any Program participation will be submitted annuitants, as appropriate. The contracts or solicitations where a to the NAVFAC EXWC Director for laboratory director may approve the conflict of interest exists. The same review and must be approved prior to appointment of reemployed annuitants rules that currently apply to source publication; and determine the salary, to include selection members will apply to k. A statement that the volunteer whether the annuitant’s salary will be volunteers. accepts accountability for loss or reduced by any portion of the annuity An agreement will be established damage to Government property received, up to the amount of the full between the volunteer and the NAVFAC occasioned by the volunteer’s annuity as a condition of employment. EXWC Director. The agreement will be negligence or willful action; Use of this authority will be consistent reviewed by the servicing legal office. 1. A statement that the volunteer’s with merit system principles. The agreement must be finalized before activities on the premises will conform the assumption of duties and will to the NAVFAC EXWC regulations and 5. Volunteer Emeritus Program (VEP) include: requirements; NAVFAC EXWC Director will have a. A statement that the service m. A statement that the volunteer will the authority to offer former Federal provided is gratuitous, that the not improperly use or disclose any non- employees who have retired or volunteer assignment does not public information, to include any pre- separated from the Federal service, constitute an appointment in the civil decisional or draft deliberative voluntary assignments in NAVFAC service and is without compensation or information related to DoD EXWC. Volunteer Emeritus Program other benefits except as provided for in programming, budgeting, resourcing, assignments are not considered the agreement itself, and that, except as acquisition, procurement or other ‘‘employment’’ by the Federal provided in the agreement regarding matter, for the benefit or advantage of government. Thus, such assignments do work-related injury compensation, any the Volunteer Emeritus Program not affect an employee’s entitlement to and all claims against the Government participant or any non-Federal entities. buyouts or severance payments based (stemming from or in connection with Volunteer Emeritus Program

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participants will handle all non-public authority expires or is rescinded, it may (FLSA) coverage; selective placement information in a manner that reduces be used to appoint qualified candidates factors or specialized knowledge, skills the possibility of improper disclosure. who are not currently DoD civilian and abilities; degree requirements or n. A statement that the volunteer employees, or DoD employees on term other professional certification agrees to disclose any inventions made appointments into any scientific, requirements; staffing requirements; and in the course of work performed at technical, engineering, and mathematic other data element information NAVFAC EXWC. The NAFVAC EXWC positions, including technicians, for a pertinent to the position. Director will have the option to obtain period of more than one year but not 3. Simplified Assignment Process title to any such invention on behalf of more than six years. The appointment of the U.S. Government. Should the any individual under this authority may Today’s environment of rapid Director elect not to take title, the Center be extended without limit in up to six- technology development and workforce will retain a non-exclusive, irrevocable, year increments at any time during any transition mandates that the paid up, royalty-free license to practice term of service under conditions set organization have maximum flexibility or have practiced the invention forth by the Technical Director. to assign individuals. Pay banding may worldwide on behalf of the U.S. The Technical Director, or designee, be used to address these needs. As a Government. will establish implementing guidance result of the assignment to a particular o. A statement that the Volunteer and procedures on the use of this pay band descriptor, the organization Emeritus Program participant must authority. will have maximum flexibility to assign complete either a Confidential or Public an employee within pay band Financial Disclosure Report, whichever B. Classification, Career Paths and Pay descriptors consistent with the needs of applies, and ethics training in Banding the organization, the individual’s accordance with office of Government 1. Delegation of Classification Authority qualifications and rank, and pay band. Ethics regulations prior to Subsequent assignments to projects, Managers will provide input to implementation of the agreement; and tasks, or functions anywhere within the p. A statement that the Volunteer classification requests as a means of organization requiring the same area of Emeritus Program participant must increasing managerial effectiveness and expertise and qualifications would not receive post-government employment expediting the classification function. constitute an assignment outside the advice from a DoD ethics counselor at Classification authority will be scope or coverage of the employee’s pay the conclusion of program participation. delegated as follows: The NAVFAC band descriptor. EXWC Technical Director may delegate Volunteer Emeritus Program 4. Career Paths participants are deemed Federal classification authority to the Human employees for purposes of post- Resources Office (HRO) Director. The A fundamental element of the government employment restrictions. HRO Director may further delegate NAVFAC EXWC personnel authority to Human Resource demonstration project is a simplified 6. Expanded Detail Authority and professionals of the immediate classification and pay component. Like Temporary Promotions organization of the position being other STRL demonstration projects, the NAVFAC EXWC will have an classified. If so delegated, the HRO proposed pay banding approach is tied Expanded Detail and Temporary Director will exercise oversight to to the 15 GS grade levels and the above Promotion Authority providing the ensure consistency across the GS–15 grade level. Career paths at ability to: organization. NAVFAC EXWC are grouped by four career paths based on similarities in the (1) Effect details up to one year to 2. Classification specified positions at the same or type of work and customary similar level (positions in a pay band The present system of OPM requirements for formal education, with the same maximum salary) without classification standards will be used for training and credentials. Common the current 120-day renewal the identification of the proper patterns of advancement within the requirement specified at 5 U.S.C. 3341; occupational series of positions and occupations as practiced at NAVFAC and certain occupational titles within the EXWC were considered. Current (2) Effect details or temporary NAVFAC EXWC demonstration project. occupations and grades were examined promotions to a higher-level position up Current OPM position classification and their characteristics and to 1 year within a 24-month period standards will not be used to grade distribution were used to develop the without competition. Details to higher- positions in this project. However, the career paths described below: level positions beyond one year in a 24- grading criteria in those standards will a. Science and Engineering (ND Pay month period require approval of the be used as a framework to develop new Plan): This career path includes Technical Director and are subject to and simplified standards for the technical professional positions, such as competitive procedures. The specifics of purpose of pay band determinations. engineers, physicists, chemists, these authorities will be stipulated by The classification standard for each pay mathematicians, operations analysts, NAVFAC EXWC IOPs. band will serve as an important and computer scientists. Specific course component in the creation of Standard work or educational degrees are 7. Flexible Length and Renewable Term Level Descriptors (SLDs) that record the required for these occupations. Technical Appointments essential criteria for each pay band b. Science and Engineering NAVFAC EXWC may use the Flexible within each career path by stating the Technician (NR Pay Plan): This career Length and Renewable Term Technical characteristics of the work, the path includes technician positions such Appointments workforce shaping tool responsibilities of the position, and the as engineering technicians, electronics temporarily authorized by section 1109 competencies required. SLDs replace technicians, and physical science (b) of the NDAA for FY 2016, as current position descriptions. SLDs technicians. These occupations require amended by section 1112(b) of the combined with the Position practical expertise in scientific or NDAA for FY 2019. Further details on Requirements Document (PRD) will engineering support but specific course the implementation of this authority are include position specific information work or educational degrees are not contained in 82 FR 43339. Until this such as Fair Labor Standards Act required for these occupations.

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c. Administrative/Professional (NT lowest grade in that pay band and ends performance. A key feature is the Pay Plan): This career path includes with step 10 of the highest grade in the overlap in Science and Engineering positions such as attorneys, IT pay band. The grouping of GS grades (ND) career path between bands III and specialists, paralegals, program into a particular band was based on a IV. ND–III begins at GS–12, step 1, and managers, accountants, budget analysts, careful examination of NAVFAC ends at GS–14, step 10. ND–IV begins at administrative officers, human EXWC’s occupations, grade levels, and GS–14, step 1, and ends at GS–15, step resources specialists, and management career development practices. Career 10. A second noteworthy feature is the analysts. Employees in these positions paths and the associated classification introduction of categories within the may or may not require specific course occupational series for each are Administrative/Professional (NT) career work or educational degrees. provided in Appendix A. The path, Bands III and IV. These bands d. General Support (NG Pay Plan): distribution of the occupational series to contain two full performance levels This career path includes the clerical career paths reflects only those because not all work assignments and administrative support positions occupational series that currently exist support movement to the top of the providing support in such fields as within NAVFAC EXWC. Additional band. The NT–III band includes finance, supply, and human resources; occupational series may be added as a Category I, where the full performance positions applying typing, clerical or result of changes in mission maximum salary rate is equivalent to secretarial knowledge and skills; and requirements or OPM-recognized student positions for training in these occupations. These additional GS–12, step 10, and Category II, where disciplines. occupational series will be placed in the the full performance maximum salary Each career path is composed of appropriate career path consistent with rate is equivalent to GS–13, step 10. The discrete pay bands (levels) the established career path definitions. NT–IV band includes Category I, where corresponding to recognized the full performance maximum salary advancement within these occupations. 5. Pay Band Structure rate is equivalent to GS–14 step 10, and These pay bands replace grades and are The pay banding structure is the Category II, where the full performance not the same for all career paths. Each structure in use at the CCDC ARL. The maximum salary rate is equivalent to career path is divided into three to five pay bands and their relation to the GS–15, Step 10. In order to move pay bands; each pay band covering the current GS framework are shown in beyond Category I, duties and work same pay range formerly covered by one Figure 1. This pay band structure allows assignments must satisfy the highest or more GS grades. The salary range of greater flexibility to define and classify level of the criteria in the classification each band begins with step 1 of the work assignments and to reward for the applicable pay band.

6. Fair Labor Standards Act 7. Senior Scientific Technical Managers the number of scientists and engineers (SSTM) employed at the Technical Center as of Fair Labor Standards Act (FLSA) the close of the last fiscal year before the exemption and nonexempt The SSTM program will be managed fiscal year in which any appointments determinations will be made consistent and administered by the Technical subject to the numerical limitation are with criteria found in 5 CFR part 551. Director, consistent with the provisions made. This authority is expected to Generally, employees will be converted 10 U.S.C. 2358a and NAVFAC EXWC provide an opportunity for career to the demonstration project with the IOPs. The primary function of these development and expansion of a pool of same FLSA status they had previously. positions is to engage in research and experienced, prominent technical All employees are covered by the FLSA development in the physical, biological, candidates meeting the levels of unless they meet the criteria for medical, or engineering sciences, or proficiency and leadership essential to exemption. The duties and another field closely related to the create and maintain a DoD state-of-the- responsibilities outlined in the NAVFAC EXWC mission and to carry art scientific, engineering and classification standards for each pay out technical supervisory technological facility. The minimum band will be compared to the FLSA responsibilities. The number of such basic pay for SSTM positions is 120 criteria. positions may not exceed two percent of percent of the minimum rate of basic

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pay for GS–15. Maximum SSTM basic binding on all administrative, certifying, positions in a career path will have pay with locality pay is limited to payroll, disbursing, and accounting promotion potential to the same band. Executive Level III (EX–III), and officials of the government. Movement from one career path to maximum salary without locality pay Classification appeals are not accepted another will depend upon individual may not exceed EX–IV. The on positions that exceed the equivalent competencies, and qualifications. contribution management system used of a GS–15 level. An employee may not Progression within a pay band is to evaluate an SSTM employee will be appeal the accuracy of the position based upon performance-based pay documented in the NAVFAC EXWC description, the demonstration project increases; as such, these actions are not IOPs. Pay retention may be provided to classification criteria, or the pay-setting considered promotions and are not SSTM, under criteria required by criteria; the assignment of occupational subject to provisions of this section. NAVFAC EXWC IOPs for those series to the career path; the propriety Promotions will follow Merit System impacted by a reduction in force, work of a pay schedule; command developed Principles and basic Federal Merit realignment or other planned position titles; or matters covered by an Staffing policy that provides for management action that would administrative or negotiated grievance competitive and non-competitive necessitate moving the incumbent to a procedure or an alternative dispute promotions. To be promoted position in a lower pay band within the resolution procedure. The evaluations of competitively or non-competitively, STRL for other than cause (performance classification appeal are based upon the from one pay band to the next, an or conduct). demonstration project classification employee must meet the minimum criteria. Additional guidance will be qualifications for the job and have a 8. Professional Licensure Designations documented in NAVFAC EXWC IOPs. current rating of record of ‘‘mission for Architectural and Engineering success’’ or better, or equivalent under Positions C. Pay and Compensation a different appraisal system. Other The Technical Director and the Pay administration policies are specific guidelines regarding NAVFAC EXWC Chief Engineer have established by the ESPB. The following promotions will be documented in non-delegable authority to designate definitions and policies will apply to NAVFAC EXWC IOPs. those positions within NAVFAC EXWC the pay setting of new hires, movement requiring professional licensure. of employees within the demonstration 3. Reassignment Engineering and Architectural positions project from one career path or pay band A reassignment occurs when an requiring professional licensure will be to another, as well as any other pay employee moves, voluntarily or monitored by the EXWC Chief Engineer. action outside the performance-based involuntarily, to a different position or It is the policy of NAVFAC EXWC to assessment system. set of duties within their pay band or to recruit, hire, professionally develop, a position in a comparable pay band at 1. Pay Setting for Appointment and maintain a professional workforce a comparable level of work, or from a of the highest caliber. Professional For initial appointments to the non-demonstration project position to a licensing is required for any position, Federal service, base pay may be set demonstration project position at a regardless of pay band, in responsible anywhere within the pay band comparable level of work, on either a charge of engineering/architectural consistent with the special temporary or permanent basis. Under work, whether performed in-house or by qualifications of the individual and the this system, employees may be eligible contract. The specific guidelines will be unique requirements of the position. for an increase to base pay upon documented in NAVFAC EXWC’s IOPs. These special qualifications may be in temporary or permanent reassignment. However, the Technical Director has the form of education, training, and/or Such an increase is subject to the final authority regarding professional experience. Unique position specific guidelines established by the licensure requirements. requirements may include scarcity of ESPB and documented in NAVFAC qualified candidates, labor market 9. Classification Appeals EXWC IOPs. considerations, programmatic urgency, Employees have the right to appeal or any combination thereof that is 4. Demotion or Change to Lower Pay the classification of their position at any pertinent to the position in which the Band time. A classification complaint is an employee is being placed. Specific A demotion is the placement of an employee’s request for a review, at the guidelines for application of pay setting employee into a lower pay band or activity level, of the pay plan, for appointments will be contained in movement from a non-demonstration occupational series, position title, and NAVFAC EXWC IOPs. project position to a demonstration pay band of their position. The project position at a lower level of work. 2. Promotion employee must formally make a Demotions may be for cause complaint which raises the area of The minimum base pay increase upon (performance or conduct) or for reasons concern to their immediate supervisor promotion to a higher pay band will be other than cause (e.g., erosion of duties, to initiate the classification complaint six percent or the minimum base pay reclassification of duties to a lower pay review process. The Human Resource rate of the new pay band, whichever is band, application under competitive Office will review the complaint and greater. A promotion is the movement of announcements, at the employee’s issue a determination. If the employee is an employee to a higher pay band in the request, or placement actions resulting dissatisfied with the outcome of the same career path or to a higher pay band from Reduction-in-Force (RIF) classification complaint review, the in a different career path. It also procedures). In cases where change to a employee may appeal the classification includes movement of an employee lower pay band is involuntary and of the position to the Technical Director. currently covered by a non- accompanied by a reduction in pay, If the employee is dissatisfied with the demonstration project personnel system procedures under 5 CFR part 752 and decision rendered by the Technical to a demonstration project position in a 432 remain unchanged. Director, the employee may initiate a pay band with a higher level of work. formal classification appeal to the DoD Positions with a known promotion 5. Locality Pay appellate level. Appeal decisions potential to a specific band will be Employees will be entitled to the rendered by DoD will be final and identified when they are filled. Not all locality pay authorized for their official

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duty station in accordance with 5 CFR provided that an employee’s total individuals who have acquired a level part 531 subpart F. The locality adjusted compensation does not exceed the rate of mission-related education that would pay of any employee may not exceed the of basic pay for Executive Level IV in otherwise make the employee qualified rate for Executive Level IV. Geographic effect at the end of such calendar year. for an appointment at a higher level and movement within the demonstration It is paid on either a bi-weekly basis would be used in lieu of a new project will result in the employee’s concurrent with normal pay days, or as appointment. For example, this locality pay being recomputed using the a lump sum following completion of a authority may be used to adjust the base newly applicable locality pay designated contribution period, or pay of employees who are participating percentage which may result in a higher combination of these, at the discretion in a graduate level Student Educational or lower locality payment. of the Technical Director (or designee). Employment Program, or employees It is not base pay for any purpose, e.g., who have obtained an advanced degree, 6. Staffing Supplements retirement, life insurance, severance such as a Ph.D., in a field related to the Employees assigned to occupational pay, promotion, or any other payment or work of their position or the mission of categories and geographic areas where benefit calculated as a percentage of their organization. GS special rates apply may be entitled base pay. The EAA will be available to to a staffing supplement if the maximum certain employees whose present D. Employee Development and Awards adjusted base pay rate for the contributions are worthy of a higher 1. Expanded Development demonstration band to which the career level and whose level of Opportunities Program employee is assigned is exceeded by a achievement is expected to continue at NAVFAC EXWC will establish an GS special rate for the employee’s the higher career level for at least one Expanded Development Opportunities occupational category and geographic year as specified by the ESPB and Program that will cover all area. Employees receiving a staffing outlined in NAVFAC EXWC IOPs. demonstration project employees. supplement remain entitled to an 10. Pay Differential for Supervisory Expanded development opportunities underlying locality rate, which may Positions include: (1) Long term training, (2) one- over time supersede the need for a year work experiences in an industrial staffing supplement. If OPM NAVFAC EXWC will establish a pay setting via the Relations With Industry discontinues or decreases a special rate differential to be provided at the Program, (3) one-year work experiences schedule, retained pay provisions will discretion of the Technical Director or in laboratories of allied nations via the be applied. If at any time after assigned delegates to incentivize and Science and Engineer Exchange establishment of the demonstration reward personnel in supervisory Program, (4) rotational job assignments project, special salary rates (SSRs) are positions. A pay differential is a cash within NAVFAC EXWC, (5) deemed necessary by NAVFAC EXWC incentive that may range up to 10 developmental assignments in higher leadership, they will be implemented percent of the employee’s base rate of headquarters within the DON and DoD, via a staffing supplement, and also pay. It is paid on a pay period basis and (6) self-directed study via documented in NAVFAC EXWC IOPs. is not included as part of the employee’s base rate of pay. The pay differential correspondence courses and at colleges 7. Grade and Pay Retention must be terminated if the employee is and universities, (7) details within The project will eliminate retained removed from the supervisory position NAVFAC EXWC and to other Federal grade under 5 CFR part 536. Pay (and is not placed in another agencies, (8) Intergovernmental retention will follow current law and supervisory position), regardless of Personnel Act Program Agreements, and regulations at 5 U.S.C. 5362 and 5363, cause. All personnel actions involving a (9) sabbaticals. Each developmental and 5 CFR part 536, except as modified pay differential will require a statement opportunity period should benefit the in the Staffing Supplements section and signed by the employee acknowledging organization and increase the waived in Section IX of this plan. If an that the differential is not part of base employee’s individual effectiveness as employee is receiving retained pay pay for any purpose and may be well. Various learning or developmental under the personnel demonstration terminated or reduced as dictated by work experiences may be considered, project, the employee’s GS-equivalent fiscal limitations, changes in assignment such as advanced academic teaching or grade is the highest grade encompassed or scope of work, or by the Technical research and sabbaticals. An expanded in their pay band level. Director. Positions, titles, duties and developmental opportunity period will responsibilities that are eligible for not result in loss of or reduction in base 8. Recruitment, Retention, and supervisory differential, as well as pay, loss of leave to which the employee Relocation Incentives standards for differential awards, will be is otherwise entitled, or any loss of The project will continue to employ defined in an NAVFAC EXWC IOP. Any credit for time or service. recruitment, retention, and relocation adjustment or termination of a Program openings will be announced incentives as described in 5 CFR part supervisory pay differential will be in as opportunities arise. Instructions for 575. Approval for use of recruitment, accordance with NAVFAC EXWC’s IOPs application and the selection criteria retention, and relocation incentives is and all applicable laws and regulations. will be included in the announcement. delegated to the Technical Director and The termination or reduction of the Final selection/approval for further described in an NAVFAC EXWC differential is not an adverse action and participation in the program will be IOP. is not subject to appeal or grievance. made by the Technical Director. The position of an employee participating in 9. Extraordinary Achievement 11. Educational Base Pay Adjustment an expanded development opportunity Allowance (EAA) NAVFAC EXWC will establish an may be backfilled by temporary NAVFAC EXWC will employ an educational base pay adjustment that is assignment of other employee or Extraordinary Achievement Allowance separate from other incentive pay and temporary redistribution of work. (EAA) designed to optimize may not exceed the top of the However, that position or its equivalent organizational effectiveness. An EAA is employee’s assigned pay band. The must be made available to the employee defined as a temporary monetary educational base pay adjustment may be upon return from the expanded allowance up to 25 percent of base pay, used to adjust the base pay of developmental opportunity. An

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employee accepting an Expanded acquisition of job related competencies compensation outcomes, objectives Developmental Opportunity must sign a combined with successful performance. facilitate employee career progression continuing service agreement up to Promotions for such employees are and provide an understandable and three times the length of the assignment, limited to: (1) Employees in rational basis for pay changes. The with the service obligation to NAVFAC developmental or trainee level positions normal rating period will be one year. EXWC. If the employee voluntarily and (2) those employees in Pathways or Objectives, developed jointly by leaves the organization before the other career training or internship employees and their supervisors must service obligation is completed, the programs. Promotions for those be in place within 30 days from the employee is liable for repayment unless employees in developmental positions beginning of each rating period. The the service agreement or the repayment will be provided in NAVFAC EXWC minimum rating period is 90 days. is waived by Technical Director. IOPs. Employees who do not meet the 90-day Conditions for waiver of service minimum requirement will be ineligible agreements or repayments will be 4. Awards for a normal rating and will be given a established in the NAVFAC EXWC IOP. To provide additional flexibility to presumptive rating. They may receive motivate and reward individuals and only the general pay increase and they 2. Skills Training groups, some portion of the performance may also receive Title 5 cash awards, if a. Training is essential for an award budget will be reserved for appropriate. First-time hires must have organization that requires continuous special acts and other categories as they performance plans in place within 30 development of advanced and occur. Awards may include, but are not days of their demonstration project specialized knowledge. Degree studies limited to, recognition for special/ entry effective date. Current are also critical tools for recruiting and extraordinary achievements, patents, demonstration performance project retaining employees with skills essential inventions, suggestions, and on-the-spot employees who change positions during to the NAVFAC EXWC mission. The awards. The funds available for awards the performance year should have their Technical Director has the authority to are separately funded within the plans updated with new objectives no approve training. constraints of the organization’s overall later than 30 days after assignment to b. Individual training programs may award budget. While not directly linked their new position. be approved based upon a complete to the mission aligned objectives and Mission aligned objective and individual study program plan. Such performance compensation system, this performance compensation can be in the training programs will ensure additional flexibility is important to form of increases to base pay and/or continuous development of advanced encourage outstanding lump sum cash bonuses that are not specialized knowledge essential to the accomplishments and innovation in added to base pay. The system can be organization and enhance the ability to accomplishing NAVFAC EXWC’s modified, if necessary, as more recruit and retain personnel critical to diverse missions. Additionally, group experience is gained under the project. the present and future requirements of awards may be given to foster and The flexibilities in this mission aligned the organization. Tuition payment may encourage teamwork. The Technical objectives and performance not be authorized where it would result Director will have the authority to grant compensation section are similar in in a tax liability for the employee special act or achievement awards to nature to the authority granted to: (1) without the employee’s express and covered employees of up to $25,000. The Naval Ocean Systems Center and written consent. Any variance from this the Naval Weapons Center, China Lake, policy must be rigorously determined E. Performance Management 45 FR 26504, (2) the CCDC ARL, 65 FR and documented. Guidelines will be 1. Mission Aligned Objectives and 3500, and (3) NAVAIR Aircraft and developed to ensure competitive Performance Compensation Weapons Divisions, 76 FR 8529. approval of training and those decisions 2. Individual Mission Objectives will be fully documented. Employees The purpose of mission aligned approved for training must sign a objectives and performance Individual mission objectives are service obligation agreement to continue compensation is to link the work of the directly related to achieving the service at NAVFAC EXWC for a period employee to the mission of the NAVFAC EXWC mission. Objectives three times the length of the training organization and to provide a identify expectations and typically period commencing after the mechanism for recognizing the impact consist of 3 to 10 results-oriented completion of the entire training of the employee’s accomplishments and statements. Objectives are tangible and program. If an employee voluntarily performance to help achieve that measurable so that achievements can be leaves NAVFAC EXWC before the mission. It provides an effective, identified. These objectives incorporate service obligation is completed, he/she efficient, and flexible method for important behavioral practices such as is liable for repayment of expenses assessing, compensating, and managing teamwork and cooperation where they incurred by NAVFAC EXWC that are NAVFAC EXWC’s workforce. This are key to a successful outcome. One related to the training. Expenses do not performance management system better supervisory objective, including include salary costs. The Technical aligns with developing a highly adherence to EEO principles, is Director has the authority to waive this productive workforce and for providing mandatory for all managers/supervisors. requirement. Criteria for such waivers the authority, control, and flexibility to The employee and their supervisor will will be addressed in NAVFAC EXWC achieve a quality organization and meet jointly develop the employee’s IOPs. mission requirements. Mission aligned individual mission objectives at the objectives and performance beginning of the rating period. The 3. Developmental Promotions compensation encourages more supervisor has final approval authority NAVFAC EXWC will continue to employee involvement in the of the objectives. Objectives will reflect utilize student training, internship assessment process, strives to increase the employee’s duties/responsibilities, programs (such as Pathways, SSEP), and communication between supervisor and pay band and pay level in the pay band career development positions under the employee and promotes performance as well as support the NAVFAC EXWC demonstration project to recognize accountability. By linking mission mission, organizational goals and growth and development in the directly to both annual evaluations and priorities. Objectives will be reviewed

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annually and revised to reflect increased benchmarks used may evolve over time, decides where each employee’s responsibilities commensurate with pay based on experience gained during each achievements and performance most increases. Generic one-size-fits-all rating cycle. Critical characteristics closely match the benchmarks and objectives are to be avoided, so that evolve as our workforce actively moves assigns an appropriate score. These individual mission objectives define an toward meeting their individual and scores are not discussed with the individual’s specific responsibilities organizational objectives. This is employee or considered final until all and expected accomplishments for the particularly true in an environment scores are reconciled and approved by performance year. Supervisors and where technology and work processes the Pay Pool Manager. The scores will employees should focus on overall are changing at an increasingly rapid then be multiplied by the objective- organizational objectives and develop pace. The ESPB will annually review weighting factor to determine the supporting individual mission the set of benchmarks and set them for weighted score expressed to two objectives. the entire organization before the decimal points. The weighted scores for Individual mission objectives may be beginning of the rating period. each objective will then be totaled to jointly modified, changed, or deleted as 4. Performance Feedback and Formal determine the employee’s overall appropriate during the rating cycle. As appraisal score and rounded to a whole a general rule, objectives should only be Ratings number as follows: If the first two digits changed when circumstances outside Employees, and supervisors, are to the right of the decimal are 0.51 or the employee’s control prevent or expected to actively discuss higher, it will be rounded to the next hamper the accomplishment of the expectations and identify potential higher whole number; if the first two original objectives. It is also appropriate obstacles to meeting goals. Employees digits to the right of the decimal are 0.50 to change objectives when mission or should explain (to the extent possible) workload shifts occur. what they need from their supervisor to or lower, then the decimal value is All objectives are critical. A critical support goal accomplishment. The truncated. The resulting score mission objective is defined as an timing of these discussions will vary determines the rating. attribute of job performance that is of based on the nature of work performed, NAVFAC EXWC will use a five-level sufficient importance that achievement but will occur at least 30 days from the rating methodology with associated below the minimally acceptable level beginning of each rating period, at the payout point ranges in which level five requires remedial action and may be the mid-point, and at the end of the rating signifies the highest level of basis for removing an employee from period. The supervisor and employee performance. The supervisor will his/her position. Each objective may be will discuss job performance and prepare and recommend the rating, assigned a weight, which reflects its accomplishments in relation to the number of payout points, and the importance in accomplishing an expectations in the mission aligned distribution of the payout between base individual’s mission objectives. The objectives. At least one review, normally pay increase and bonus, as applicable, minimum weight that can be assigned is the mid-point review, will be for each employee. These 10 percent. The sum of the weights for documented as a formal progress recommendations will then be reviewed all of the objectives must equal 100 review. More frequent, task specific, by the pay pool panel to ensure percent. At the beginning of the rating discussions may be appropriate in some equitable rating criteria and period, higher-level managers will organizations. In cases where work is methodologies have been applied to all review the objectives and weights accomplished by a team, team pay pool employees. The final assigned to employees within the pay discussions regarding goals and determination of the rating, number of pool to verify consistency and expectations will be appropriate. The payout points, and payout distribution appropriateness. employee may provide a statement of will be a function of the pay pool panel their accomplishments to the supervisor 3. Rating Benchmarks process and will be approved by the Pay at both the mid-point and end of the Pool Manager. The criteria used to Rating benchmarks define rating period. However, this provision characteristics that will be used to determine the number and distribution does not preclude an employee from of payout points to assign an employee evaluate the employee’s success in providing a statement of their may include: Assessment of the accomplishing their individual mission accomplishments to their supervisor employee’s contribution towards objectives. Scoring characteristics help that are outside the mid-year and year- achieving the mission, the employee’s to ensure comparable scores are end evaluations and rating period. assigned while accommodating diverse Following a review of the employee’s type and level of work, the employee’s individual objectives. A single set of accomplishments at the end of the current compensation and the criticality rating benchmarks for each band or rating period, the supervisor will rate of their contribution to mission success, career stage may be used for evaluating each of the individual mission consideration of specific achievements, the annual performance of all NAVFAC objectives. Benchmark performance or other job-related significant EXWC personnel covered by this plan. standards will be developed that accomplishments or contributions. An example of rating benchmarks is describe the level of performance The proposed rating and payout point shown in Appendix B. The set of associated with a score. The supervisor schema is:

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Employees with a rating of two or way recommend or participate in setting Funds within a pay pool available for above for each mission aligned objective their own rating or individual payout performance payouts are divided into will receive the equivalent of the except for the normal employee self- two components, base pay and bonus. authorized GS general pay increase assessment process. The funds within a pay pool used for (GPI). An employee receiving an Each employee is initially scored by base pay increases are those that would ‘‘Unacceptable’’ rating of one for any their supervisor. Next, the rating have been available for within-grade mission-aligned objective will not officials in an organizational unit increases, quality step increases and receive the GPI and will require (Directorates, Divisions, Branches, promotions under the GS system administrative action to address the Teams, etc.), along with their next level (excluding the costs of promotions still performance deficiency. A rating of ‘‘1’’ of supervision, will review and compare provided under the pay banding on a single objective will also result in recommended ratings to ensure system). The funds available to be used a rating of ‘‘Unacceptable.’’ Supervisors consistency and equity of the ratings. In for bonus payouts are funded separately of employees who are assessed to be at this step, each employee’s individual within the constraints of the the ‘‘Unacceptable’’ level, will take mission objectives, accomplishments, organization’s overall award budget. appropriate action as soon as preliminary scores, and pay are Both amounts will be defined based on practicable. However, at the end of the compared to benchmark performance historical data and will initially be set performance year, employees who are standards. Through discussion and at no less than one percent of total base assessed to be at the ‘‘Unacceptable’’ consensus building, consistent and pay annually. As changes in the level will have their rating deferred equitable ratings are reached. Managers demographics of the workforce or other until the end of a performance will not prescribe a distribution of exigencies occur, adjustments may be improvement period. If the employee’s made to these two factors. The sum of performance is found to be unacceptable ratings. The Pay Pool Manager will then chair a final review with the rating these two factors is referred to as the following a performance improvement pay pool percentage factor. The ESPB period a rating of record will be ‘‘1’’ and officials who report directly to him or her to validate these ratings and resolve will annually review the pay pool administrative action will be taken. If funding and recommend adjustments to the employee’s performance is found to any scoring issues. If consensus cannot be reached in this process, the Pay Pool the Technical Director (or designee) to be acceptable at the end of the ensure cost discipline over the life of improvement period, rating of record Manager makes all final decisions. Ratings are finalized after this the demonstration project. Additional and associated payouts will be guidance on pay pool design and applicable to the end of the appraisal reconciliation process is complete. Decisions regarding the amount and composition will be included in period. If an employee’s performance NAVFAC EXWC IOPs. deteriorates again in any objective distribution of the payouts are based on within two years from the beginning of the employee’s most recent rating of 6. Performance Payout Determination the performance improvement period, record for the performance year, the actions may be initiated to effect a criteria listed above under performance The payout an employee will receive performance based action with no feedback, the type and nature of the is based on the total performance rating additional opportunity to improve. funding available to the pay pool, and from the mission aligned objectives and the number of payout points assigned by performance compensation assessment 5. Pay Pools the pay pool. In the case of NAVFAC process. An employee will receive a The Technical Director (or designee) EXWC attorneys, special consideration payout as a percentage of base pay. This of NAVFAC EXWC will establish pay must be made relative to assigned score. percentage is based on the number of pools. Typically, pay pools will have To avoid conflict with state bar rules, payout points that equates to their final between 35 and 300 employees. A pay the pay pool panel may not alter the appraisal score. The value of a payout pool should be large enough to mission aligned objective performance point cannot be determined until the encompass a reasonable distribution of ratings or the overall score that rating and reconciliation process is ratings but not so large as to NAVFAC HQ counsel assigns to an completed and all scores are finalized. compromise rating consistency. Large attorney; however, the pay pool panel The payout point value is expressed as pay pools may use sub pay pools may make independent judgments, such a percentage. subordinate to the pay pool due to the as pay adjustments after considering The formula that computes the value size of the pay pool population, the that score. A reconsideration from a of each payout point uses base pay rates complexity of the mission, or other NAVFAC EXWC attorney will be and is based on: similar criteria. The covered handled in accordance with the Office organizations’ employees will be placed of General Counsel’s grievance a. The sum of the base pay of all the into pay pools. Neither the Pay Pool procedures after NAVFAC HQ counsel employees in the pay pool times the pay Manager, supervisors, or pay pool panel and the pay pool panel recommends a pool percentage factor; members within a pay pool will in any resolution. b. The employee’s base pay;

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c. The number of payout points This formula assures that each score. The formula is shown in Figure awarded to each employee in the pay employee within the pool receives a 2. pool; and payout point amount equal to all others d. The total number of payout points in the same pool who are at the same awarded in the pay pool. rate of base pay and receiving the same

An individual payout is calculated by unadjusted base pay rate of GS–15, Step the agency administrative grievance first multiplying the payout points 10, except for employees in ND Pay system, or any negotiated grievance earned by the payout point value and Band V. procedures. multiplying that product by base pay. Consistent with this part, a 8. Pay Band Progression An adjustment is then made to account Designated Management Official (DMO) for locality pay or staffing supplement. As a compensation management tool, will make the decision on A Pay Pool Manager is accountable for NAVFAC EXWC will use salary points reconsiderations of rating of record. The staying within pay pool limits and final and categories to manage position and DMOs’ decisions are final. The DMO is decisions on base pay increases and/or pay progression within each band. a senior EXWC manager who is bonuses to individuals based on rater Salary points may be set within each appointed by the Technical Director to recommendations, the final score, the band and may be used in the pay pool make this final determination. The DMO pay pool funds available, and the process to manage performance salary will not be the pay pool manager who employee’s base pay. increases. Taking an employee’s salary made the decision on the subject rating. across a point will require review of The payout point determination, payout 7. Base Pay Increases and Bonuses both the position and performance of distribution determination, or any other The amount of money available for the employee. Advancement may not payout matter will not be subject to the the performance payouts is divided into occur without approval of the Pay Pool reconsideration process, any other two components: Base pay increases Manager and the ESPB. agency administrative grievance system and bonuses. The base pay and bonus Employees who display exemplary or any negotiated grievance procedures. funds are based on the pay pool funding performance for two consecutive years In the event of a reconsideration that formula established annually. Once the may be candidates for pay band results in an adjusted rating of record, individual performance amounts have movement to the next higher pay band. the revised rating will be referred to the been determined, the next step is to The request must be made by a Pay Pool Pay Pool Manager for recalculation of determine what portion of each payout Manager and must demonstrate that an the employee’s performance payout will be in the form of a base pay employee’s high-level of performance is amount and distribution. Any increase as opposed to a bonus commensurate with the complexities adjustment to base pay will be payment. The payouts made to and responsibilities of a position in the retroactive to the effective date of the employees from the pay pool may be a next higher pay band and will continue performance payout. Base pay mix of base pay and bonus, such that all into the future. Movement to a higher adjustments will be based on the payout of the allocated funds are disbursed. To pay band level is not guaranteed. point range appropriate for the adjusted continue to provide performance Approval of requests for movement to rating of record. Payout point values for incentives while also ensuring cost the next higher level pay band based on the adjusted rating of record will reflect discipline, base pay increases may be employee performance reside with the the payout point value paid to other limited or capped. Certain employees ESPB. Criteria for crossing salary points, members across the pay pool for that will not be able to receive the projected categories, and movement to a higher rating cycle. Decisions made through base pay increase due to base pay caps. pay band based on high-level the reconsideration process will not Base pay is capped when an employee performance will be contained in result in recalculation of the payout reaches the maximum rate of base pay NAVFAC EXWC IOPs. made to other employees in the pay in an assigned pay band, category, or pool. when a control point applies. Also, for 9. Requests for Reconsideration Appeals that contain allegations that employees receiving retained rates An employee may request a performance rating was based on above the applicable pay band reconsideration of the rating-of-record prohibited actions that are subject to maximum, the entire performance received under the mission aligned formal review and adjudication by a payout will be in the form of a bonus objectives and performance third party may not be processed payment. compensation system. A rating of record through the reconsideration process, but When capped, the total payout an or job objective rating may be instead may be processed by the employee receives will be in the form of reconsidered by request of an employee employee through an applicable third a bonus versus the combination of base only through the reconsideration party process. Such third parties pay and bonus. Bonuses are cash process specified in an NAVFAC EXWC include, but are not limited to: The payments and are not part of the base IOP (except for NAVFAC EXWC’s Merit Systems Protection Board (MSPB), pay for any purpose (e.g., lump sum attorneys, see section III.E.5.). This the Office of Special Counsel (OSC), the payments of annual leave on separation, process will be the sole and exclusive OPM, the Federal Labor Relations life insurance, and retirement). The agency administrative process for Authority (FLRA) and the Equal maximum base pay rate under this employees to request reconsideration of Employment Opportunity Commission demonstration project will be the a rating of record and is not subject to (EEOC).

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F. Workforce Shaping and responsibilities of the position and period upon conversion from GS to the individual qualifications. demonstration plan will receive credit 1. Modified Voluntary Early Retirement for probationary service to date, (VERA) and Voluntary Separation 2. Within-Grade Increase (WGI) Buy-In however they must serve any remaining Incentive Pay (VSIP) On the date that employees are probationary time to complete the full NAVFAC EXWC will use the converted to the project pay plans, they two-year DOD probationary period. will be given a prorated permanent modified VERA and VSIP authorities 6. Supervisory Probationary Period authorized by sections 1109(b)(3) and increase in pay equal to the earned (time (4) of the NDAA for FY 2016. The spent in step) portion of their next NAVFAC EXWC will implement an Technical Director may use VERA and Within Grade Increase (WGI) based on extended supervisory probationary VSIP whenever such incentives will the value of the WGI at the time of period. The probationary period for new help the STRL to achieve one or more conversion. Employees at the 10th step supervisors will be two years, rather of the objectives in section 1109(a). This or receiving a retained rate will not be than the normal one-year probationary authority may not be delegated further. eligible for the increase. period specified by 5 CFR part 315. DOD has published, at 82 FR 43339, 3. Transition Equity Except for the increased length, specific direction and authorization for supervisory probationary periods will During the first 12 months following the use of VERA and VSIP authorities by be made consistent with 5 CFR part 315. conversion, employees may receive pay STRLs for workforce shaping. If the Employees who have already increases for non-competitive laboratory workforce is being successfully completed an initial one- promotion equivalents when the grade downsized, VERA and VSIP incentives year probationary period for supervisory level of the promotion is encompassed may be used to minimize the need for positions will not be required to within the same pay band, the involuntary separations. VERA and complete a two-year probationary employee’s performance warrants the VSIP may also be used to restructure the period for initial appointment to a promotion and promotions would have laboratory workforce without reducing supervisory position. Employees who otherwise occurred during that period. the number of assigned personnel. In are serving an initial supervisory Employees who receive an in-pay band this restructuring scenario, incentives probationary period upon conversion level promotion at the time of may be offered for the purpose of into this demonstration project will conversion will not receive a prorated creating vacancies that will be reshaped serve the time remaining on their one- step increase equivalent. Employees to align with mission objectives. Details year supervisory probationary period. If will not be eligible for a basic pay on the specific use of this authority are the decision is made to return the increase if their current rating of record contained in 82 FR 43339. employee to a non-supervisory position is unacceptable at the time of for reasons related to supervisory IV. Conversion conversion. The decision to grant a pay performance and/or conduct, the equity adjustment is at the sole A. Initial Conversion or Movement Into employee will be returned to a discretion of management and is not the Demonstration Project comparable position of no lower base subject to employee appeal procedures. pay that the position from which 1. Placement Into Career Paths and Pay 4. Conversion From Other Personnel promoted or reassigned immediately Bands Systems prior to the supervisory assignment. Employees will be converted Employees who enter this B. Movement Out of the Demonstration automatically from their current GS demonstration project from other Project series and grade to the appropriate personnel systems (e.g., Defense 1. Termination of Coverage Under the career paths and pay band levels. It is Civilian Intelligence Personnel System, Demonstration Project Pay Plans essential to the success of the project DoD Civilian Acquisition Workforce that employees, upon entering the Demonstration Project, or other STRLs) In the event employees’ coverage project, know that they are not losing a due to a reorganization, mandatory under the NAVFAC EXWC STRL pay entitlement accrued under the GS conversion, Base Closure and personnel demonstration project pay system. Employees that were covered by Realignment Commission decision, or plans is terminated, employees move local or national special salary rates will other directed action will be converted with their position to another system no longer be considered a special salary into the NAVFAC EXWC personnel applicable to NAVFAC EXWC STRL employee under the demonstration demonstration project via movement of employees. The grade of their project and thus will gain eligibility for their positions using the appropriate demonstration project position in the full locality pay. To control conversion Nature of Action Code. If applicable, a new system will be based upon the costs and to avoid a salary increase WGI buy-in may also be applied. The position classification criteria of the windfall for these employees, the employee’s position will be classified gaining system. Employees may be adjusted salaries will not change. based upon the position classification eligible for pay retention under 5 CFR Rather, the employees will receive a criteria under the NAVFAC EXWC IOP part 536 when converted to their new basic pay rate computed by the and their pay upon conversion, positions classified under the new locality pay factor for their area. A full maintained under applicable pay setting system, if applicable. locality adjustment will then be added rules. to the new basic pay rate. Adverse 2. Determining GS Equivalent Grade and action provisions will not apply to the 5. Initial Probationary Period Pay When an Employee Exits the conversion process, as there will be no Employees who have completed an Demonstration Project change to total salary. New hires, initial probationary period prior to If a demonstration project employee is including employees transferring from conversion to the NAVFAC EXWC moving to a GS or other pay system other Federal activities, will be personnel demonstration project plan position, the following procedures will converted into the demonstration will not be required to serve another be used to translate the employee’s project in the career path and at the probationary period. Employees who are personnel demonstration project pay level and pay consistent with the duties still serving an initial probationary band to a GS-equivalent grade and the

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employee’s project base pay to the GS- the step four adjusted base pay rate of employee’s adjusted base pay under the equivalent rate of pay for pay setting the second highest grade, the employee demonstration project is converted to a purposes. The equivalent GS grade and is converted to that grade. special rate. If this rate falls between GS rate of pay must be determined d. This process is repeated for each two steps in the special rate schedule, before movement out of the personnel successively lower grade in the band the rate must be set at the higher step. demonstration project and any until a grade is found in which the The converted GS unadjusted rate of accompanying geographic movement, employee’s adjusted base pay under the base pay will be the GS rate promotion, or other simultaneous demonstration project rate equals or corresponding to the converted special action. For lateral reassignments, the exceeds the applicable step four rate (i.e., same step position). equivalent GS grade and rate will adjusted base pay rate of the grade. The become the employee’s converted GS employee is then converted at that C. Implementation Training grade and rate after leaving the grade. If the employee’s adjusted base Training to promote understanding of demonstration project (before any other pay is below the step four adjusted base the broad concepts and finer details is action). For transfers, promotions, and pay rate of the lowest grade in the band, critical to successfully implement and other actions, the converted GS grade the employee is converted to the lowest execute this project. A new pay banding and rate will be used in applying any grade. schema and performance management GS pay administration rules applicable e. Exception: An employee will not be system both represent significant in connection with the employee’s provided a lower grade than the grade cultural change to the organization. movement out of the project (e.g., held by the employee immediately Training is tailored to address promotion rules, highest previous rate preceding a conversion, lateral employee concerns and encourage rules, pay retention rules), as if the GS reassignment, or lateral transfer into the comprehensive understanding of the converted grade and rate were actually project, unless since that time the demonstration project. Training is in effect immediately before the employee has either undergone a required prior to implementation and at employee left the demonstration project. reduction in pay band or a reduction various times during the life of the 3. Equivalent GS-Grade-Setting within the same pay band due to demonstration project. The training Provisions unacceptable performance. This program includes modules tailored for provision does not apply to voluntary employees, supervisors, senior An employee in a pay band movement out of the demonstration managers, and administrative staff. corresponding to a single GS grade is project. Typical modules are: provided that grade as the GS equivalent 1. An overview of the demonstration 4. Equivalent GS-Rate-of-Pay-Setting grade. An employee in a pay band project personnel system; Provisions corresponding to two or more grades is 2. How employees are converted into determined to have a GS equivalent An employee’s pay within the and out of the system; grade corresponding to one of those converted GS grade is set by converting 3. Pay banding; grades according to the following rules: the employee’s personnel demonstration 4. The mission aligned objectives and a. The employee’s adjusted base pay project rates of pay to GS rates of pay performance compensation system; under the demonstration project in accordance with the following rules: 5. Defining mission aligned (including any locality payment or a. The pay conversion is done before performance objectives; staffing supplement) is compared with any geographic movement or other pay 6. How weights may be used with the step four rates in the highest applicable related action that coincides with the mission aligned performance objectives; GS rate range. For this purpose, a GS employee’s movement or conversion out 7. Assessing performance—giving rate range includes a rate in: of the demonstration project. feedback; i. The GS base schedule; b. An employee’s adjusted base pay ii. The locality rate schedule for the 8. New position descriptions; and under the demonstration project (i.e., 9. Demonstration project locality pay area in which the position including any locality payment or is located; or administration and formal evaluation. staffing supplement) is converted to a Various types of training including iii. The appropriate special rate GS adjusted base pay rate on the highest schedule for the employee’s videos, on-line tutorials, and train-the- applicable GS rate range for the trainer concepts will be used. occupational series, as applicable. converted GS grade. For this purpose, a If the series is a two-grade interval GS rate range includes a rate range in: V. Project Duration series, only odd-numbered grades are i. The GS base schedule, Section 342 of the NDAA for FY 1995 considered below GS–11. ii. An applicable locality rate (Pub. L. 103–337) does not require a b. If the employee’s adjusted base pay schedule, or mandatory expiration date for this under the demonstration project equals iii. An applicable special rate demonstration project. The project or exceeds the applicable step four schedule. evaluation plan addresses how each adjusted base pay rate of the highest GS c. If the highest applicable GS rate flexibility will be comprehensively grade in the band, the employee is range is a locality pay rate range, the evaluated for at least the first five years converted to that grade. employee’s adjusted base pay under the of the demonstration project. Changes c. If the employee’s adjusted base pay demonstration project is converted to a and modifications to the interventions under the demonstration project is GS locality rate of pay. If this rate falls will be made using the provisions of lower than the applicable step four between two steps in the locality- DoDI 1400.37, or applicable superseding adjusted base pay rate of the highest adjusted schedule, the rate must be set instructions. grade, the adjusted base pay under the at the higher step. The converted GS demonstration project is compared with unadjusted rate of base pay would be VI. Evaluation Plan the step four adjusted base pay rate of the GS base rate corresponding to the A. Overview the second highest grade in the converted GS locality rate (i.e., same employee’s pay band. If the employee’s step position). Chapter 47 of 5 U.S.C. requires that an adjusted base pay under the d. If the highest applicable GS rate evaluation be performed to measure the demonstration project equals or exceeds range is a special rate range, the effectiveness of the demonstration

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project and its impact on improving the evaluation will be on intermediate The evaluation effort will consist of public management. A comprehensive outcomes, i.e., the results of the two phases, formative and summative evaluation plan for the entire authorized personnel system changes, evaluation, covering at least five years to demonstration program, originally which are expected to contribute to the permit inter- and intra-organizational covering 24 DoD laboratories, was desired goals and benefits identified estimates of effectiveness. The formative developed by a joint OPM/DoD Sections II.A and II.C. Data from several evaluation phase will include baseline Evaluation Committee in 1995. This sources will be used in the evaluation. data collection and analysis, plan was submitted to the Office of Information from existing management implementation evaluation, and interim Defense Research & Engineering and information systems and from personnel assessments. The formal reports and was subsequently approved. The main office records will be supplemented interim assessments will provide purpose of the evaluation is to with perceptual survey data from information on the accuracy of project determine whether the waivers granted employees to assess the effectiveness operation, and current information on result in a more effective personnel and perception of the project. The impact of the project on veterans and system and improvements in ultimate multiple sources of data collection will protected groups, Merit System outcomes (i.e., organizational provide a more complete picture as to Principles, and Prohibited Personnel effectiveness, mission accomplishment, how the flexibilities are working. The Practices. The summative evaluation and customer satisfaction). That plan, information gathered from one source will focus on an overall assessment of while useful, is dated and does not fully will serve to validate information project outcomes after five years. The afford the laboratories the ability to obtained through another source. The final report will provide information on evaluate all aspects of the confidence of overall findings will be how well the HR system changes demonstration project in a way that strengthened as the different collection achieved the desired goals, which fully facilitates assessment and effective methods substantiate each other. Both flexibilities were most effective, and modification based on actionable data. quantitative and qualitative data will be whether the results can be generalized Therefore, the STRL Director will used when evaluating outcomes. The to other Federal installations. conduct an internal evaluation of the following data will be collected: STRL Personnel Demonstration Program 1. Workforce data (advanced degrees, VII. Demonstration Project Costs and will ensure USD(R&E) evaluation etc.); NAVFAC EXWC will model its 2. Personnel office data (hiring requirements are met in addition to demonstration project on existing actions, time to hire, retention, etc.); applying knowledge gained from other demonstration projects but must assume DoD laboratories and their evaluations 3. Employee attitude surveys; 4. Structured interviews and focus some expanded project costs. Current to ensure a timely, useful evaluation of cost estimates associated with the demonstration project. group data; 5. Comparison of desired results from implementing the demonstration project B. Data Collection To Support the flexibilities implemented with are shown in Figure 3. These include Evaluation actual results achieved; possible automation of training and 6. Customer satisfaction surveys; project evaluation systems. The The ultimate outcomes sought are 7. Core measures of laboratory automation and training costs are improved organizational effectiveness, effectiveness; and startup costs. Transition costs are one- mission accomplishment, and customer 8. Any additional data requested by time costs. Costs for project evaluation satisfaction. However, the main focus of Director, Defense Laboratories Office. will be ongoing for at least five years.

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VIII. Management and Oversight experience is gained, results are waived with respect to the scholastic analyzed, and conclusions are reached achievement appointment authority. A. Project Management With on how the new system is working. Chapter 33, section 3321: Competitive Automation Modifications will be made in Service; Probationary Period. This One of the major goals of the accordance with the provisions of DoDI section is waived only to the extent demonstration project is to streamline 1400.37, or applicable superseding necessary to replace ‘‘grade’’ with ‘‘pay the personnel processes to increase cost instructions. band’’ and to allow for probationary effectiveness. Automation should play periods of two years. an integral role in achieving that goal. IX. Required Waivers to Laws and Chapter 33, section 3324: Without the necessary automation to Regulations Appointments to Positions Classified support the flexibilities proposed for the Public Law 106–398 gave the DoD the Above GS–15; and 5 U.S.C. 3325, demonstration project, optimal cost authority to experiment with several Appointments to Scientific and benefit may not be realized. In addition, personnel management innovations. In Professional Positions. Waived in its adequate information to support addition to the authorities granted by entirety. decision-making must be available to the law, the following are waivers of law Chapter 33, section 3327: Civil service managers if line management is to and regulation that will be necessary for employment information. Waived to the assume greater authority and implementation of the demonstration extent necessary to allow public notice responsibility for human resources project. In due course, additional laws other than USAJobs for the management. Automation to support the and regulations may be identified for Distinguished Scholastic Appointment demonstration project is required at the waiver request. The following waivers Authority described in this FRN. DON and DoD level (in the form of and adaptations of certain Title 5 U.S.C. Chapter 33, section 3330: changes to the Defense Civilian and 5 CFR provisions are required only Government-wide List of Vacant Personnel Data System (DCPDS) or to the extent that these statutory Positions. Waived to the extent successor DoD personnel system) to provisions limit or are inconsistent with necessary to allow public notice other facilitate processing and reporting of the actions contemplated under this than USAJobs for the Distinguished demonstration project personnel actions demonstration project. Nothing in this Scholastic Appointment Authority and may be ultimately required by the plan is intended to preclude the described in this FRN. command to assist in processing a demonstration project from applying, Chapter 33, section 3341: Details. variety of personnel-related actions in adopting or incorporating any law or Waived in its entirety, to extend the order to facilitate management processes OPM, DoD, or DON regulation enacted, time limits for details. and decision making. adopted, or amended after the effective Chapter 35, section 3522: Agency DCPDS is the DoD’s authoritative date of this demonstration project. VSIP Plans; Approval. Waived to personnel data system and program of remove the requirement to submit a A. Waivers to Title 5, United States record and as such, DCPDS or its plan to OPM prior to obligating any Code successor system will be the system of resources for voluntary separation choice for the STRL labs. The detailed Chapter 5, section 552a: Records. incentive payments. specifications for required system Waived to the extent required to clarify Chapter 35, section 3523 (b)(3): changes will be provided in the System that volunteers under the Voluntary Authority to Provide Voluntary Change Request (SCR), Form 804, Emeritus Program are considered Separation Incentive Payments. As concurrent with submission of this employees of the Federal government provided for in 82 FR 43339, September document. for purposes of this section. 15, 2017, waived to remove the Chapter 31, section 3104: prescribed method of incentive payment B. Oversight Employment of Specially Qualified calculation and the $25,000 incentive Oversight will be carried out by the Scientific and Professional Personnel. limit. Allows STRL director to command’s Senior Leadership, Waived to allow SSTM authority as determine amount of incentive paid to composed of the Technical Director and described in this FRN and 79 FR 43722. employees under the workforce shaping Commanding Officer. The Technical Chapter 31, section 3132: The Senior pilot program voluntary early retirement Director and Commanding Officer will Executive Service: Definitions and and separation incentive payment be assisted initially by the NAVFAC Exclusions. Waived to allow SSTMs. authorities within the limit prescribed EXWC STRL Demonstration Project Chapter 33, Subchapter I: herein. Implementation Team, and once Examination, Certification, and Chapter 41, section 4107(a)(2): established, by the NAVFAC EXWC Appointment. Waived except for Academic Degree Training. Waived in STRL Policy Board (ESPB). sections 3302 and 3328 to allow for its entirety. direct hire authority for scientists and Chapter 41, section 4108: Employee 1. Personnel Administration engineers with advanced degrees for Agreements; Service After Training. All personnel laws, regulations, and professional positions, and bachelor Waived to the extent necessary to: (1) guidelines not waived by this plan will degree candidates for scientific and Provide that the employee’s service remain in effect. Basic employee rights engineering positions. Waived for obligation is to NAVFAC EXWC for the will be safeguarded and merit system veteran candidates for scientific, period of the required service; (2) permit principles will be maintained. Except technical, engineering and mathematics the Technical Director to waive in where specifically waived or modified positions, including technician whole or in part a right of recovery; and in this plan, adverse action procedures positions. Also waived to the extent to (3) require an employee in the student under 5 CFR part 752 remain allow employees appointed on a educational employment program who unchanged. Flexible Length or Renewable Term has received tuition assistance to sign a Technical Appointment to apply for service agreement up to three times the 2. Modifications federal positions as status candidates. length of the training. Many aspects of a demonstration Chapter 33, section 3308: Competitive Chapter 43, section 4301–4305: project are experimental. Modifications Service; Examinations; Educational Related to Performance Appraisal. may be made from time to time as Requirements Prohibited. This section is Waived to the extent necessary to allow

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provisions of the performance receiving a staffing supplement to retain promotions of general or locality pay compensation system as described in the adjusted base pay if the staffing increases, as long as the employee’s this FRN. Replace ‘‘grade’’ with ‘‘pay supplement is discontinued or reduced. total rate of pay is not reduced; (4) band’’; does not apply to employees This waiver may apply to Scientific and exclude reductions in base pay due reduced in pay band without a Professional (ST), Senior Level (SL) and solely to the operations of the pay reduction in pay; allows for removal for SSTM employees only if they move to setting rules for geographic movement unacceptable performance within two a GS-equivalent position within the within the demonstration project; and years from the beginning of the demonstration project under conditions (5) exclude reduction in pay due to the performance improvement period; OPM that trigger entitlement to pay retention. removal of a supervisory or team leader responsibilities to the demonstration Chapter 55, section 5542(a)(1)–(2): pay adjustment upon voluntary project are waived. Overtime Rates; Computation. These movement to a non-supervisory, or non- Chapter 45, section 4502: Limitation sections are adapted only to the extent team leader position. of Cash Awards to Ten-Thousand necessary to provide that the GS–10 Chapter 99, section 9902(f): Related to Dollars. Waived to allow Technical minimum special rate (if any) for the Voluntary Separation Incentive Director to award up to $25,000 with the special rate category to which a project Payments. Waived to the extent same level of authority as the Secretary employee belongs is deemed to be the necessary to utilize the authorities of Defense to grant cash awards. The ‘‘applicable special rate’’ in applying the authorized by Public Law 114–92 and requirement for certification and pay cap provisions in 5 U.S.C. 5542. detailed in 82 FR 43339. approval of the cash awards by OPM is Chapter 55, section 5545(d): Related not required. All other provisions of to Hazardous Duty Premium Pay. B. Waivers to Title 5, Code of Federal section 4502 apply. Waived only to the extent necessary to Regulations Chapter 51, section 5101–5112: allow demonstration project employees Part 210, section 210.102(b) (12): Purpose, Definitions, Basis, to be treated as GS employees. Definitions, Reassignment. Waived to Classification of Positions, Review, Chapter 55, section 5547(a)–(b): the extent necessary to allow assigning Authority. Waived to the extent that (1) Limitation on Premium Pay. These an employee, without a position change, white collar employees will be covered sections are adapted only to the extent to any work falling within their general by broad banding, (2) to allow necessary to provide that the GS–15 level descriptor. Waived to the extent classification provisions described in maximum special rate (if any) for the necessary to allow tracking of such this FRN and to allow for SSTM special rate category to which a project assignments as a ‘‘realignment.’’ positions, and (3) classification appeals employee belongs is deemed to be the Part 300–330: Employment (General). will be decided by the Technical ‘‘applicable special rate’’ in applying the Other than Subpart G of 300. Waived to Director with final appeal to the DoD pay cap provisions in 5 U.S.C. 5547. the extent necessary to allow provisions Appellate level. Chapter 57, sections 5753, 5754, and of the direct hire authorities as Chapter 53, sections 5301–5307: 5755: Related to Recruitment, described in 79 FR 43722 and 82 FR Related to Pay Comparability System Relocation, Retention Payments, and 29280. and General Schedule Pay Rates. Supervisory Differential. These sections Part 300.601–300.605: Time-in-Grade Waived to the extent necessary to allow waived to the extent necessary to allow: Requirements. Waived to eliminate demonstration project employees, (1) Employees and positions under the time-in-grade restrictions. including SSTM employees, to be demonstration project to be treated as Part 315, section 315.901 and treated as GS employees, and to allow employees and positions under the GS; 315.907: Related to Supervisory base rates of pay under the and (2) that management may offer a Probationary Periods. This waiver demonstration project to be treated as bonus to incentivize geographic applies to the extent necessary to: (1) scheduled rates of pay. SSTM pay will mobility to employees in a student Replace ‘‘grade’’ with ‘‘pay band’’ or not exceed EX–IV and locality adjusted educational employment program. Also ‘‘broad band;’’ (2) allow NAVFAC SSTM rates will not exceed EX III. to the extent necessary, to allow SSTMs EXWC to establish the length of Chapter 53, section 5331–5336: to receive pay retention and supervisory supervisory probationary period; and (3) General Schedule Pay Rates. Waived in differentials as described in this FRN allow time spent in a temporary entirety. and 79 FR 43722. position to be creditable toward Chapter 53, sections 5361–5366: Chapter 59, section 5941: Allowances completion of a supervisory Grade and Pay Retention. Waived to the Based on Living Costs and Conditions of probationary period. extent necessary to: (1) Replace ‘‘grade’’ Environment; employees stationed Part 316, sections 316.301, 316.303, with ‘‘pay band;’’ (2) allow outside continental United States or and 316.304: Subpart D, Term demonstration project employees to be Alaska. Waived to the extent necessary Employment and Temporary Limited treated as GS employees; (3) provide to provide that cost-of-living-adjustment Employment. These sections are waived that an employee on pay retention (COLA)’s paid to employees under the to the extent necessary to allow whose rating of record is demonstration project are paid in modified term appointments and ‘‘Unacceptable’’ is not entitled to 50 accordance with regulations prescribed Flexible Length and Renewable Term percent of the amount of the increase in by the President (as delegated to OPM). Technical Appointments as described in the maximum rate of base pay payable Chapter 75, section 7512(3)–(4): this FRN. for the pay band of the employee’s Adverse Actions. Waived to the extent Part 330.103–330.105: Requirement to position; (4) provide that pay retention necessary to: (1) Replace ‘‘grade’’ with Notify OPM. Waived to the extent does not apply to reduction in base pay ‘‘pay band;’’ (2) exclude reductions in necessary to allow the STRL to publish due solely to the reallocation of pay band that are not accompanied by competitive announcements outside of demonstration project pay rates in the a reduction in pay; (3) exclude USAJobs. implementation of a staffing conversions from GS special rates to Part 332 and 335: Related to supplement; (5) allow no provision of demonstration project pay and Competitive Examination. Waived to the grade/pay band retention under this reallocations of demonstration project extent necessary to allow employees demonstration project; and (6) allow pay rates within special rate extensions appointed on a Flexible Length and demonstration project employees to locality adjusted pay rates due to Renewable Term Technical

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Appointment to apply for federal cash award. The requirement for staffing supplement; and (8) allow positions as status candidates. certification and approval of cash demonstration project employees Part 335, section 335.103: Agency awards by OPM is not required. All receiving a staffing supplement to retain Promotion Programs. Waived to the other provisions of 5 CFR 451.106 the adjusted base pay if the staffing extent necessary to extend the length of apply. supplement is discontinued or reduced. details and temporary promotions Part 511, Subpart A, B and F: This waiver may apply to Scientific and without requiring competitive Classification Under the General Professional (ST), Senior Level (SL) and procedures or numerous short-term Schedule. Waived to the extent SSTM employees only if they move to renewals. necessary to allow classification a GS-equivalent position within the Part 338.301: Competitive Service provisions outlined in this FRN to demonstration project under conditions Appointment. Waived to allow for include the list of issues that are neither that trigger entitlement to pay retention. Distinguished Scholastic Achievement appealable nor reviewable, the Part 550, section 550.113(a): Appointment grade point average assignment of series under the project Computation of Overtime Pay. This requirements as described in this FRN. plan to appropriate career paths; and to section is adapted only to the extent Part 359.705: Related to SES Pay. allow classification appeals to be necessary to provide that the GS–10 Waived to allow demonstration project decided by the Technical Director with minimum special rate (if any) for the rules governing pay retention to apply final appeal to the DoD Appellate level. special rate category to which a project to a former SES placed on an SSTM Part 530, Subpart C: Special Rate employee belongs is deemed to be the position. Schedules for Recruitment and ‘‘applicable special rate’’ in applying the Part 410, section 410.308(a) and (c): Retention. Waived in its entirety to pay cap provisions in 5 U.S.C. 5542. Related to Degree Programs. Waived to allow for staffing supplements. Part 550, sections 550.703: Severance allow the command to pay for all Part 531, Subparts B, D, and E: Pay, Definitions. Definition of courses related to an academic degree Determining the Rate of Basic Pay, ‘‘reasonable offer’’ waived by replacing program approved by the NAVFAC Within-Grade Increases and Quality ‘‘two grade or pay levels’’ with ‘‘one pay EXWC Technical Director. Step Increases. Waived in its entirety. band’’ and ‘‘grade or pay level’’ with Part 410, section 410.309: Agreements Part 531, Subpart F: Locality-Based ‘‘pay band.’’ to Continue in Service. Waived to the Comparability Adjustments. This waiver Part 550, section 550.902: Definition extent necessary to allow the Technical applies only to the extent necessary to of ‘‘Employee’’ Hazardous Duty Pay Director to determine requirements allow: (1) Demonstration project Differential. Waived to the extent related to continued service agreements, employees covered by broad banding to necessary to treat demonstration project including employees under the Student be treated as GS employees; (2) basic employees covered by broad banding as Educational Employment Program who rates of pay under the demonstration GS employees. have received tuition assistance. project to be treated as scheduled Part 575, Subparts A, B, C, and D: Part 430, Subpart B: Performance annual rates of pay; and (3) SSTM Recruitment Bonuses, Relocation Appraisal for General Schedule, employees to be treated as GS Bonuses, Retention Allowances, and Prevailing Rate and Certain Other employees and basic rates of pay under Supervisory Differentials. Waived only Employees. Waived to the extent the SSTM to be treated as scheduled to the extent necessary to allow: (1) necessary to allow the performance annual rates of pay. This waiver does Employees and positions under the appraisal program as described in this not apply to FWS employees. demonstration project covered by broad FRN. Section 430.208(a)(1) and (2), Part 536: Grade and Pay Retention: banding to be treated as employees and waived to allow presumptive ratings for Waived to the extent necessary to: (1) positions under the GS; (2) relocation new employees hired less than 90 days Replace ‘‘grade’’ with ‘‘pay band;’’ (2) incentives to new employees in the before the end of the appraisal cycle, or provide that pay retention provisions do student educational employment for other situations not providing not apply to conversions from GS program whose worksite is in a different adequate time for an appraisal. special rates to demonstration project geographic location than that of the Part 432: Performance Based pay, as long as total pay is not reduced, college enrolled; and (3) SSTMs to Reduction-in-grade and Removal and to movement from a supervisory receive supervisory pay differentials as Actions. Replace ‘‘grade’’ with ‘‘pay position to a non-supervisory position, described in this FRN and 79 FR 43726. band.’’ Modified to the extent that an as long as total pay is not reduced; (3) Part 591, Subpart B: Cost-of-Living employee may be removed, reduced in allow demonstration project employees Allowances and Post Differential-Non pay band level with a reduction in pay, to be treated as GS employees; (4) Foreign Areas. Waived to the extent reduced in pay without a reduction in provide that pay retention provisions do necessary to allow demonstration pay band level and reduced in pay band not apply to movements to a lower pay project employees covered by broad level without a reduction in pay based band as a result of not receiving the banding to be treated as employees on unacceptable performance. Also, general increase due to an annual under the GS. modified to delete reference to critical performance rating of ‘‘Unacceptable;’’ Part 752, sections 752.201, 752.301 element and to allow removal for (5) provide that an employee on pay and 752.401: Principal Statutory unacceptable performance with two retention whose rating of record is Requirements and Coverage. Waived to years from the beginning of a ‘‘Unacceptable’’ is not entitled to 50 the extent necessary to: (1) Exclude performance improvement period. For percent of the amount of the increase in reductions in pay band not employees who are reduced in pay band the maximum rate of base pay payable accompanied by a reduction in pay; (2) level without a reduction in pay, for the pay band of the employee’s replace ‘‘grade’’ with ‘‘pay band;’’ (3) sections 432.105 and 432.106(a) do not position; (6) allow no provision of the extent necessary to exclude apply. grade/pay band retention under this conversions from a GS special rate to Part 451, section 451.106(b): Agency demonstration project; (7) provide that demonstration project pay that do not Responsibilities. Waived to allow the pay retention does not apply to result in a reduction in the employee’s Technical Director to award up to reduction in base pay due solely to the total rate of pay; and (4) the extent $25,000 with the same level of authority reallocation of demonstration project necessary to provide that adverse action as the Secretary of Defense to grant a pay rates in the implementation of a provisions do not apply to: (1)

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Conversions from GS special rates to promotions or general or locality pay geographic movement within the demonstration project pay; (2) increases, as long as the employee’s demonstration project. reallocations of demonstration project total rate of pay is not reduced; and (3) BILLING CODE 5001–06–P pay rates within special rate extensions reductions in base pay due solely to the to locality adjusted pay rates due to operation of the pay setting rules for

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Dated: November 15, 2019. Reduction Act of 1995 (PRA) (44 U.S.C. Dated: November 19, 2019. Aaron T. Siegel, 3506(c)(2)(A)), provides the general Kate Mullan, Alternate OSD Federal Register Liaison public and Federal agencies with an PRA Coordinator, Strategic Collections and Officer, Department of Defense. opportunity to comment on proposed, Clearance, Governance and Strategy Division, [FR Doc. 2019–25200 Filed 11–21–19; 8:45 am] revised, and continuing collections of Office of Chief Data Officer. BILLING CODE 5001–06–C information. This helps the Department [FR Doc. 2019–25380 Filed 11–21–19; 8:45 am] assess the impact of its information BILLING CODE 4000–01–P collection requirements and minimize DEPARTMENT OF EDUCATION the public’s reporting burden. It also helps the public understand the DEPARTMENT OF EDUCATION [Docket No. ED–2019–ICCD–0118] Department’s information collection [Docket No. ED–2019–ICCD–0112] Agency Information Collection requirements and provide the requested Activities; Submission to the Office of data in the desired format. ED is Agency Information Collection Management and Budget for Review soliciting comments on the proposed Activities; Submission to the Office of and Approval; Comment Request; information collection request (ICR) that Management and Budget for Review Agreements Between an Eligible is described below. The Department of and Approval; Comment Request; School and the Secretary To Education is especially interested in Presidential Cybersecurity Education Participate in the Direct Loan Program public comment addressing the Award following issues: (1) Is this collection AGENCY: Federal Student Aid (FSA), necessary to the proper functions of the AGENCY: Office of Planning, Evaluation Department of Education (ED). Department; (2) will this information be and Policy Development (OPEPD), ACTION: Notice. processed and used in a timely manner; Department of Education (ED). (3) is the estimate of burden accurate; ACTION: Notice. SUMMARY: In accordance with the (4) how might the Department enhance SUMMARY: Paperwork Reduction Act of 1995, ED is the quality, utility, and clarity of the In accordance with the proposing an extension of an existing information to be collected; and (5) how Paperwork Reduction Act of 1995, ED is information collection. might the Department minimize the proposing an extension of an existing DATES: Interested persons are invited to burden of this collection on the information collection. submit comments on or before respondents, including through the use DATES: Interested persons are invited to December 23, 2019. of information technology. Please note submit comments on or before ADDRESSES: To access and review all the that written comments received in December 23, 2019. documents related to the information response to this notice will be ADDRESSES: To access and review all the collection listed in this notice, please considered public records. documents related to the information use http://www.regulations.gov by Title of Collection: Agreements collection listed in this notice, please searching the Docket ID number ED– between an eligible school and the use http://www.regulations.gov by 2019–ICCD–0118. Comments submitted Secretary to participate in the Direct searching the Docket ID number ED– in response to this notice should be Loan Program. 2019–ICCD–0112. Comments submitted submitted electronically through the OMB Control Number: 1845–0143. in response to this notice should be Federal eRulemaking Portal at http:// Type of Review: An extension of an submitted electronically through the www.regulations.gov by selecting the existing information collection. Federal eRulemaking Portal at http:// Docket ID number or via postal mail, Respondents/Affected Public: Private www.regulations.gov by selecting the commercial delivery, or hand delivery. Sector. Docket ID number or via postal mail, If the regulations.gov site is not Total Estimated Number of Annual commercial delivery, or hand delivery. available to the public for any reason, Responses: 1,010,519. If the regulations.gov site is not ED will temporarily accept comments at Total Estimated Number of Annual available to the public for any reason, [email protected]. Please include the Burden Hours: 179,362. ED will temporarily accept comments at docket ID number and the title of the Abstract: The Department of [email protected]. Please include the information collection request when Education (the Department) requests an docket ID number and the title of the requesting documents or submitting extension of this information collection information collection request when comments. Please note that comments tied to the William D. Ford Federal requesting documents or submitting submitted by fax or email and those Direct Loan (Direct Loan) Program comments. Please note that comments submitted after the comment period will regulations issued under the Higher submitted by fax or email and those not be accepted. Written requests for Education Act of 1965, as amended submitted after the comment period will information or comments submitted by (HEA). The 2018 negotiated rulemaking not be accepted. Written requests for postal mail or delivery should be made final in the rule to be published information or comments submitted by addressed to the Director of the Strategic in September 2019 makes changes made postal mail or delivery should be Collections and Clearance Governance to the regulations in § 685.300. These addressed to the Director of the Strategic and Strategy Division, U.S. Department final regulations are a result of Collections and Clearance Governance of Education, 400 Maryland Ave SW, negotiated rulemaking and will rescind and Strategy Division, U.S. Department LBJ, Room 6W208, D, Washington, DC the requirements of the current of Education, 400 Maryland Ave. SW, 20202–4537. regulations in paragraphs (e), (f), (g), and LBJ, Room 6W208B, Washington, DC FOR FURTHER INFORMATION CONTACT: For (h) . The final rule and this rescission 20202–4537. specific questions related to collection will not take effect until July 1, 2020. FOR FURTHER INFORMATION CONTACT: For activities, please contact Beth The Department is asking to extend the specific questions related to collection Grebeldinger, 202–377–4018. current burden assessment until the activities, please contact Jean Morrow, SUPPLEMENTARY INFORMATION: The effective date of the change and at that 202–453–7233. Department of Education (ED), in time a discontinuation request will be SUPPLEMENTARY INFORMATION: The accordance with the Paperwork filed. Department of Education (ED), in

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accordance with the Paperwork Dated: November 19, 2019. require special accommodations due to Reduction Act of 1995 (PRA) (44 U.S.C. Stephanie Valentine, a disability, please contact Greg 3506(c)(2)(A)), provides the general PRA Coordinator, Strategic Collections and Simonton at least seven days in advance public and Federal agencies with an Clearance, Governance and Strategy Division, of the meeting at the telephone number opportunity to comment on proposed, Office of Chief Data Officer, Office of listed above. Written statements may be revised, and continuing collections of Planning, Evaluation and Policy filed with the Board either before or information. This helps the Department Development. after the meeting. Individuals who wish assess the impact of its information [FR Doc. 2019–25365 Filed 11–21–19; 8:45 am] to make oral statements pertaining to collection requirements and minimize BILLING CODE 4000–01–P agenda items should contact Greg the public’s reporting burden. It also Simonton at the address or telephone helps the public understand the number listed above. Requests must be Department’s information collection DEPARTMENT OF ENERGY received five days prior to the meeting requirements and provide the requested and reasonable provision will be made data in the desired format. ED is Environmental Management Site- to include the presentation in the soliciting comments on the proposed Specific Advisory Board, Portsmouth agenda. The Deputy Designated Federal information collection request (ICR) that AGENCY: Office of Environmental Officer is empowered to conduct the is described below. The Department of Management, Department of Energy. meeting in a fashion that will facilitate Education is especially interested in the orderly conduct of business. ACTION: Notice of open meeting. public comment addressing the Individuals wishing to make public following issues: (1) Is this collection SUMMARY: This notice announces a comments will be provided a maximum necessary to the proper functions of the meeting of the Environmental of five minutes to present their Department; (2) will this information be Management Site-Specific Advisory comments. processed and used in a timely manner; Board (EM SSAB), Portsmouth. The Minutes: Minutes will be available by (3) is the estimate of burden accurate; Federal Advisory Committee Act writing or calling Greg Simonton at the (4) how might the Department enhance requires that public notice of this address and telephone number listed the quality, utility, and clarity of the meeting be announced in the Federal above. Minutes will also be available at information to be collected; and (5) how Register. the following website: https:// might the Department minimize the www.energy.gov/pppo/ports-ssab/ burden of this collection on the DATES: Thursday, January 9, 2020, 6 listings/meeting-materials. respondents, including through the use p.m. Signed in Washington, DC, on November of information technology. Please note ADDRESSES: Ohio State University, 18, 2019. that written comments received in Endeavor Center, 1862 Shyville Road, LaTanya Butler, response to this notice will be Piketon, Ohio 45661. Deputy Committee Management Officer. considered public records. FOR FURTHER INFORMATION CONTACT : Greg [FR Doc. 2019–25359 Filed 11–21–19; 8:45 am] Title of Collection: Presidential Simonton, Alternate Deputy Designated BILLING CODE 6450–01–P Cybersecurity Education Award. Federal Officer, U.S. Department of OMB Control Number: 1875–0292. Type of Review: An extension of an Energy, Portsmouth/Paducah Project existing information collection. Office, Post Office Box 700, Piketon, DEPARTMENT OF ENERGY Respondents/Affected Public: Ohio 45661, (740) 897–3737, Individuals or Households. [email protected]. Federal Energy Regulatory Total Estimated Number of Annual SUPPLEMENTARY INFORMATION: Commission Responses: 120. Purpose of the Board: The purpose of Total Estimated Number of Annual the Board is to make recommendations Combined Notice of Filings #1 Burden Hours: 120. to DOE–EM and site management in the Take notice that the Commission Abstract: Pursuant to Executive Order areas of environmental restoration, received the following electric corporate 13870 of May 2, 2019, as published in waste management and related filings: the Federal Register at 84 FR 20,523– activities. Docket Numbers: EC20–16–000. 20,527 (May 9, 2019)(Executive Order Tentative Agenda: Applicants: MidAmerican Energy 13870), the Department, in consultation • Call to Order, Introductions, Review Company. with the Deputy Assistant to the of Agenda Description: Application for President for Homeland Security and • Approval of November 2019 Minutes Authorization Under Section 203 of the Counterterrorism and the National • Deputy Designated Federal Officer’s Federal Power Act, et al. of Science Foundation, has developed and Comments MidAmerican Energy Company. implemented, consistent with • Federal Coordinator’s Comments Filed Date: 11/15/19. applicable law, an annual Presidential • Liaison’s Comments Accession Number: 20191115–5205. Cybersecurity Education Award to be • Presentation Comments Due: 5 p.m. ET 12/6/19. • presented to one elementary and one Administrative Issues Docket Numbers: EC20–17–000. • secondary school educator per year who Subcommittee Updates Applicants: Traverse Wind Energy • best instill skills, knowledge, and Public Comments LLC, Maverick Wind Project, LLC, passion with respect to cybersecurity • Final Comments from the Board • Sundance Wind Project, LLC, Public and cybersecurity-related subjects. The Adjourn Service Company of Oklahoma, Department will solicit nominations for Public Participation: The meeting is Southwestern Electric Power Company. the two individual educators who will open to the public. The EM SSAB, Description: Joint Application for be awarded this Presidential Portsmouth, welcomes the attendance of Authorization Under Section 203 of the Cybersecurity Education Award. The the public at its advisory committee Federal Power Act, et al. of Traverse Department is extending the currently meetings and will make every effort to Wind Energy LLC, et al. approved information collection for a 3- accommodate persons with physical Filed Date: 11/15/19. year approval. disabilities or special needs. If you Accession Number: 20191115–5224.

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Comments Due: 5 p.m. ET 12/6/19. Applicants: Susquehanna Nuclear, Accession Number: 20191115–5188. Take notice that the Commission LLC. Comments Due: 5 p.m. ET 12/6/19. received the following exempt Description: Compliance filing: Docket Numbers: ER20–396–000. wholesale generator filings: Informational Filing to be effective N/A. Applicants: Evergy Kansas Central, Docket Numbers: EG20–34–000. Filed Date: 11/18/19. Inc. Applicants: Invenergy Wilkinson Accession Number: 20191118–5073. Description: § 205(d) Rate Filing: Solar Holdings LLC. Comments Due: 5 p.m. ET 12/9/19. Revisions, Full Requirements Electric Description: Notice of Self- Docket Numbers: ER18–406–002. Svc Agreements & Tariff to be effective Certification of Exempt Wholesale Applicants: Brunner Island, LLC. 6/28/2018. Generator Status of Invenergy Wilkinson Description: Compliance filing: Filed Date: 11/18/19. Solar Holdings LLC. Informational Filing to be effective N/A. Accession Number: 20191118–5060. Filed Date: 11/18/19. Filed Date: 11/18/19. Comments Due: 5 p.m. ET 12/9/19. Accession Number: 20191118–5128. Accession Number: 20191118–5061. Docket Numbers: ER20–397–000. Comments Due: 5 p.m. ET 12/9/19. Comments Due: 5 p.m. ET 12/9/19. Applicants: Duke Energy Florida, Take notice that the Commission Docket Numbers: ER18–2254–002. LLC. received the following electric rate Applicants: MC Project Company Description: § 205(d) Rate Filing: DEF- filings: LLC. Vandolah LGIA/FMPA NITSA (FRCC Revisions) to be effective 11/1/2019. Docket Numbers: ER10–2718–033. Description: Compliance filing: Filed Date: 11/18/19. Applicants: Cogen Technologies Informational Filing to be effective N/A. Filed Date: 11/18/19. Accession Number: 20191118–5096. Linden Venture, L.P. Comments Due: 5 p.m. ET 12/9/19. Description: Notice of Non-Material Accession Number: 20191118–5070. Change in Status of Cogen Technologies Comments Due: 5 p.m. ET 12/9/19. Docket Numbers: ER20–398–000. Linden Venture, L.P. Docket Numbers: ER19–2669–001. Applicants: California Independent Filed Date: 11/15/19. Applicants: Southwest Power Pool, System Operator Corporation. Accession Number: 20191115–5200. Inc. Description: § 205(d) Rate Filing: Comments Due: 5 p.m. ET 12/6/19. Description: Tariff Amendment: 2019–11–18 CRR Exchange Agreement Deficiency Response in ER19–2669— with TANC to be effective 2/1/2020. Docket Numbers: ER11–1858–008. Filed Date: 11/18/19. Applicants: NorthWestern Financial Security for System Upgrades to be effective 10/20/2019. Accession Number: 20191118–5154. Corporation. Comments Due: 5 p.m. ET 12/9/19. Description: Supplement to June 28, Filed Date: 11/18/19. 2019 Triennial Market Power Analysis Accession Number: 20191118–5082. Take notice that the Commission for the Northwest Region of Comments Due: 5 p.m. ET 12/9/19. received the following qualifying NorthWestern Corporation. Docket Numbers: ER20–28–001. facility filings: Filed Date: 11/18/19. Applicants: MidAmerican Energy Docket Numbers: QF20–293–000. Accession Number: 20191118–5040. Company. Applicants: UE–00801MD LLC. Comments Due: 5 p.m. ET 12/9/19. Description: Tariff Amendment: Description: Form 556 of UE– Docket Numbers: ER17–801–007. Amendment of Pending Tariff Filing in 00801MD LLC. Applicants: Constellation Power ER20–28 to be effective 11/1/2019. Filed Date: 11/15/19. Source Generation, LLC. Filed Date: 11/18/19. Accession Number: 20191115–5221. Description: Compliance filing: Accession Number: 20191118–5043. Comments Due: None-Applicable. Reactive Service Rate Schedule Comments Due: 5 p.m. ET 12/9/19. The filings are accessible in the Compliance Filings to be effective 3/1/ Docket Numbers: ER20–217–001. Commission’s eLibrary system by 2017. Applicants: GridLiance West LLC. clicking on the links or querying the Filed Date: 11/18/19. Description: Tariff Amendment: GLW docket number. Accession Number: 20191118–5088. TRBAA Amendment Filing 2020 to be Any person desiring to intervene or Comments Due: 5 p.m. ET 12/9/19. effective 1/1/2020. protest in any of the above proceedings Docket Numbers: ER17–802–007. Filed Date: 11/18/19. must file in accordance with Rules 211 Applicants: Exelon Generation Accession Number: 20191118–5001. and 214 of the Commission’s Company, LLC. Comments Due: 5 p.m. ET 12/2/19. Regulations (18 CFR 385.211 and 385.214) on or before 5:00 p.m. Eastern Description: Compliance filing: Docket Numbers: ER20–394–000. time on the specified comment date. Reactive Service Rate Schedule Applicants: ISO New England Inc., Protests may be considered, but Compliance Filings to be effective 8/27/ New England Power Pool Participants intervention is necessary to become a 2017. Committee. party to the proceeding. Filed Date: 11/18/19. Description: § 205(d) Rate Filing: IS0– eFiling is encouraged. More detailed Accession Number: 20191118–5093. NE & NEPOOL; Changes to ISO–NE information relating to filing Comments Due: 5 p.m. ET 12/9/19. Financial Assurance Policy: Trading FA requirements, interventions, protests, to be effective 1/15/2020. Docket Numbers: ER17–803–004. service, and qualifying facilities filings Applicants: Handsome Lake Energy, Filed Date: 11/15/19. can be found at: http://www.ferc.gov/ LLC. Accession Number: 20191115–5187. docs-filing/efiling/filing-req.pdf. For Description: Compliance filing: Comments Due: 5 p.m. ET 12/6/19. other information, call (866) 208–3676 Reactive Service Rate Schedule Docket Numbers: ER20–395–000. (toll free). For TTY, call (202) 502–8659. Compliance Filings to be effective 4/10/ Applicants: ISO New England Inc. 2017. Description: § 205(d) Rate Filing: ISO Dated: November 18, 2019. Filed Date: 11/18/19. New England; Changes to ISO–NE Nathaniel J. Davis, Sr., Accession Number: 20191118–5129. Financial Assurance Policy: Net CONE Deputy Secretary. Comments Due: 5 p.m. ET 12/9/19. to be effective 1/15/2020. [FR Doc. 2019–25397 Filed 11–21–19; 8:45 am] Docket Numbers: ER17–2175–001. Filed Date: 11/15/19. BILLING CODE 6717–01–P

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DEPARTMENT OF ENERGY DEPARTMENT OF ENERGY clicking on the links or querying the docket number. Federal Energy Regulatory Federal Energy Regulatory Any person desiring to intervene or Commission Commission protest in any of the above proceedings must file in accordance with Rules 211 [Docket No. ID–7658–001] Combined Notice of Filings 1 and 214 of the Commission’s Take notice that the Commission has Regulations (18 CFR 385.211 and Malandro, Michael E.; Notice of Filing received the following Natural Gas 385.214) on or before 5:00 p.m. Eastern time on the specified comment date. Take notice that on November 15, Pipeline Rate and Refund Report filings: Protests may be considered, but 2019, Michael E. Malandro, submitted Docket Numbers: RP20–227–000. intervention is necessary to become a for filing, application for authority to Applicants: Elba Express Company, party to the proceeding. hold interlocking positions, pursuant to L.L.C. eFiling is encouraged. More detailed section 305(b) of the Federal Power Act, Description: § 4(d) Rate Filing: EEC information relating to filing 16 U.S.C. 825d (b), Part 45 of the Housekeeping Filing—2019 to be requirements, interventions, protests, Federal Energy Regulatory effective 1/1/2020. service, and qualifying facilities filings Commission’s Rules of Practice and Filed Date: 11/13/19. can be found at: http://www.ferc.gov/ Procedure, 18 CFR part 45.8 (2019), and Accession Number: 20191113–5017. docs-filing/efiling/filing-req.pdf. For Order No. 664, 112 FERC 61,298 (2005). Comments Due: 5 p.m. ET 11/25/19. other information, call (866) 208–3676 Any person desiring to intervene or to Docket Numbers: RP20–228–000. (toll free). For TTY, call (202) 502–8659. protest this filing must file in Applicants: Discovery Gas accordance with Rules 211 and 214 of Transmission LLC. Dated: November 18, 2019. the Commission’s Rules of Practice and Description: § 4(d) Rate Filing: 2020 Nathaniel J. Davis, Sr., Procedure (18 CFR 385.211, 385.214). HMRE Surcharge Filing to be effective Deputy Secretary. Protests will be considered by the 1/1/2020. [FR Doc. 2019–25398 Filed 11–21–19; 8:45 am] Commission in determining the Filed Date: 11/14/19. BILLING CODE 6717–01–P appropriate action to be taken, but will Accession Number: 20191114–5019. not serve to make protestants parties to Comments Due: 5 p.m. ET 11/26/19. the proceeding. Any person wishing to Docket Numbers: RP20–229–000. ENVIRONMENTAL PROTECTION become a party must file a notice of Applicants: Kern River Gas AGENCY intervention or motion to intervene, as Transmission Company. appropriate. Such notices, motions, or Description: § 4(d) Rate Filing: 2019 [ER–FRL–9048–1] protests must be filed on or before the ConocoPhillips Amendment to be comment date. On or before the Environmental Impact Statements; effective 11/15/2019. Notice of Availability comment date, it is not necessary to Filed Date: 11/14/19. serve motions to intervene or protests Accession Number: 20191114–5036. Responsible Agency: Office of Federal on persons other than the Applicant. Comments Due: 5 p.m. ET 11/26/19. Activities, General Information 202– The Commission encourages Docket Numbers: RP20–230–000. 564–5632 or https://www.epa.gov/nepa/. electronic submission of protests and Applicants: Columbia Gas Weekly receipt of Environmental Impact interventions in lieu of paper using the Transmission, LLC. Statements eFiling link at http://www.ferc.gov. Description: § 4(d) Rate Filing: TCO Filed 11/11/2019 10 a.m. ET Through Persons unable to file electronically Equinor Neg Rate Amendment to be 11/18/2019 10 a.m. ET should submit an original and 5 copies effective 11/14/2019. Pursuant to 40 CFR 1506.9. of the protest or intervention to the Filed Date: 11/14/19. Federal Energy Regulatory Commission, Accession Number: 20191114–5103. Notice 888 First Street NE, Washington, DC Comments Due: 5 p.m. ET 11/26/19. Section 309(a) of the Clean Air Act 20426. Docket Numbers: RP20–231–000. requires that EPA make public its This filing is accessible on-line at Applicants: Gulf South Pipeline comments on EISs issued by other http://www.ferc.gov, using the eLibrary Company, LP. Federal agencies. EPA’s comment letters link and is available for electronic Description: § 4(d) Rate Filing: Filing on EISs are available at: https:// review in the Commission’s Public to incorporate approved changes and cdxnodengn.epa.gov/cdx-enepa-public/ Reference Room in Washington, DC. clean-up item to be effective 12/15/ action/eis/search. There is an eSubscription link on the 2019. EIS No. 20190274, Draft, BIA, OK, Osage website that enables subscribers to Filed Date: 11/15/19. receive email notification when a County Oil and Gas Draft Accession Number: 20191115–5031. Environmental Impact Statement, document is added to a subscribed Comments Due: 5 p.m. ET 11/27/19. docket(s). For assistance with any FERC Comment Period Ends: 01/06/2020, Online service, please email Docket Numbers: RP20–232–000. Contact: Mosby Halterman 918–781– [email protected], or call Applicants: Dominion Energy Cove 4660 (866) 208–3676 (toll free). For TTY, call Point LNG, LP. EIS No. 20190275, Final, USFS, CA, Description: § 4(d) Rate Filing: (202) 502–8659. Squaw Valley-Alpine Meadows Base- DECP—Negotiated Rate and Non- Comment Date: 5 p.m. Eastern Time to-Base Gondola Project, Review Conforming Service Agreement to be on December 6, 2019. Period Ends: 12/23/2019, Contact: Joe effective 12/15/2019. Flannery 530–478–6205 Dated: November 18, 2019. Filed Date: 11/15/19. EIS No. 20190276, Final, FERC, OR, Nathaniel J. Davis, Sr., Accession Number: 20191115–5156. Jordan Cove Energy Project, Review Deputy Secretary. Comments Due: 5 p.m. ET 11/27/19. Period Ends: 12/23/2019, Contact: [FR Doc. 2019–25399 Filed 11–21–19; 8:45 am] The filings are accessible in the Office of External Affairs 866–208– BILLING CODE 6717–01–P Commission’s eLibrary system by 3372

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EIS No. 20190277, Final, BLM, WA, San collection of information unless it and periodic reports by the owners/ Juan Islands National Monument displays a currently valid OMB control operators of the affected facilities. They Proposed Resource Management Plan number. are also required to maintain records of and Final Environmental Impact DATES: Additional comments may be the occurrence and duration of any Statement, Review Period Ends: 12/ submitted on or before December 23, startup, shutdown, or malfunction in 23/2019, Contact: Lauren Pidot 503– 2019. the operation of an affected facility, or 808–6297 ADDRESSES: Submit your comments, any period during which the monitoring EIS No. 20190278, Draft, BLM, AK, referencing Docket ID Number EPA– system is inoperative. These National Petroleum Reserve in Alaska HQ–OECA–2013–0318, to: (1) EPA notifications, reports, and records are Integrated Activity Plan and online using www.regulations.gov (our essential in determining compliance, Environmental Impact Statement, preferred method), or by email to and are required of all affected facilities Comment Period Ends: 01/21/2020, [email protected], or by mail to: EPA subject to NSPS. Contact: Stephanie Rice 907–271– Docket Center, Environmental Form Numbers: None. 3202 Protection Agency, Mail Code 28221T, Respondents/affected entities: EIS No. 20190279, Draft, USACE, CO, 1200 Pennsylvania Ave. NW, Magnetic tape coating facilities. Halligan Water Supply Project, Washington, DC 20460; and (2) OMB via Respondent’s obligation to respond: Comment Period Ends: 01/27/2020, email to [email protected]. Mandatory (40 CFR part 60, subpart Contact: Cody Wheeler 720–922–3846 Address comments to OMB Desk Officer SSS). EIS No. 20190280, Draft, USACE, LA, for EPA. Estimated number of respondents: 6 South Central Coast Louisiana Draft EPA’s policy is that all comments (total). Feasibility Study with Integrated received will be included in the public Frequency of response: Initially, Environmental Impact Statement, docket without change, including any quarterly, and semiannually. Comment Period Ends: 01/06/2020, personal information provided, unless Total estimated burden: 2,030 hours Contact: Joe Jordan 309–794–5791 the comment includes profanity, threats, (per year). Burden is defined at 5 CFR Dated: November 18, 2019. information claimed to be Confidential 1320.3(b). Total estimated cost: $321,000 (per Robert Tomiak, Business Information (CBI), or other year), includes $86,400 in annualized Director, Office of Federal Activities. information whose disclosure is restricted by statute. capital and/or operation & maintenance [FR Doc. 2019–25377 Filed 11–21–19; 8:45 am] FOR FURTHER INFORMATION CONTACT: costs. BILLING CODE 6560–50–P Patrick Yellin, Monitoring, Assistance, Changes in the Estimates: There is no and Media Programs Division, Office of change in the labor hours in this ICR Compliance, Mail Code 2227A, compared to the previous ICR. This is ENVIRONMENTAL PROTECTION due to two considerations. First, the AGENCY Environmental Protection Agency, 1200 Pennsylvania Ave. NW, Washington, DC regulations have not changed over the [EPA–HQ–OECA–2013–0318; FRL—10002– 20460; telephone number: (202) 564– past three years and are not anticipated 50–OMS] 2970; fax number: (202) 564–0050; to change over the next three years. email address: [email protected]. Secondly, the growth rate for the Information Collection Request industry is very low, negative or non- Submitted to OMB for Review and SUPPLEMENTARY INFORMATION: Supporting documents, which explain existent, so there is no significant Approval; Comment Request; NSPS change in the overall burden. for Magnetic Tape Coating Facilities in detail the information that the EPA (Renewal) will be collecting, are available in the Courtney Kerwin, public docket for this ICR. The docket Director, Regulatory Support Division. AGENCY : Environmental Protection can be viewed online at [FR Doc. 2019–25410 Filed 11–21–19; 8:45 am] Agency (EPA). www.regulations.gov, or in person at the BILLING CODE 6560–50–P ACTION: Notice. EPA Docket Center, WJC West, Room 3334, 1301 Constitution Ave. NW, SUMMARY: The Environmental Protection Washington, DC. The telephone number ENVIRONMENTAL PROTECTION Agency (EPA) has submitted an for the Docket Center is 202–566–1744. AGENCY information collection request (ICR), For additional information about EPA’s NSPS for Magnetic Tape Coating public docket, visit: http:// [EPA–HQ–OECA–2013–0334; FRL—10002– 47–OMS] Facilities (EPA ICR Number 1135.13, www.epa.gov/dockets. OMB Control Number 2060–0171), to Abstract: The New Source Information Collection Request the Office of Management and Budget Performance Standards (NSPS) for NSPS Submitted to OMB for Review and (OMB) for review and approval in for Magnetic Tape Coating Facilities (40 Approval; Comment Request; NSPS accordance with the Paperwork CFR part 60, subpart SSS) apply to each for Secondary Brass and Bronze Reduction Act. This is a proposed new and existing coating operation and Production, Primary Copper Smelters, extension of the ICR, which is currently coating mixing equipment at magnetic Primary Zinc Smelters, Primary Lead approved through January 31, 2020. tape coating facilities for which Smelters, Primary Aluminum Public comments were previously construction, modification, or Reduction Plants, and Ferroalloy requested, via the Federal Register, on reconstruction began after January 22, Production Facilities (Renewal) May 6, 2019 during a 60-day comment 1986. New facilities include those that period. This notice allows for an commenced construction, modification AGENCY: Environmental Protection additional 30 days for public comments. or reconstruction after the date of Agency (EPA). A fuller description of the ICR is given proposal. This information is being ACTION: Notice. below, including its estimated burden collected to assure compliance with 40 and cost to the public. An agency may CFR part 60, subpart SSS. SUMMARY: The Environmental Protection neither conduct nor sponsor, and a In general, all NSPS standards require Agency has submitted an information person is not required to respond to, a initial notifications, performance tests, collection request (ICR), NSPS for

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Secondary Brass and Bronze 3334, 1301 Constitution Ave. NW, ferrochrome silicon, silvery iron, high- Production, Primary Copper Smelters, Washington, DC. The telephone number carbon ferrochrome, charge chrome, Primary Zinc Smelters, Primary Lead for the Docket Center is 202–566–1744. standard ferromanganese, Smelters, Primary Aluminum Reduction For additional information about EPA’s silicomanganese, ferromanganese Plants, and Ferroalloy Production public docket, visit: http:// silicon, or calcium carbide; and dust- Facilities (EPA ICR Number 1604.12, www.epa.gov/dockets. handling equipment. OMB Control Number 2060–0110), to Abstract: The NSPS for Secondary In general, all NSPS standards require the Office of Management and Budget Brass and Bronze Production (40 CFR initial notifications, performance tests, (OMB) for review and approval in part 60, subpart M) apply to existing and periodic reports by the owners/ accordance with the Paperwork facilities and new facilities that operators of the affected facilities. They Reduction Act. This is a proposed commence construction or modification are also required to maintain records of extension of the ICR, which is currently after June 11, 1973. These standards the occurrence and duration of any approved through January 31, 2020. apply to the following facilities in startup, shutdown, or malfunction in Public comments were previously secondary brass or bronze production the operation of an affected facility, or requested, via the Federal Register, on plants: Reverberatory and electric May 6, 2019 during a 60-day comment any period during which the monitoring furnaces of 1,000 kg or greater system is inoperative. These period. This notice allows for an production capacity and blast (cupola) additional 30 days for public comments. notifications, reports, and records are furnaces of 250 kg/hr or greater essential in determining compliance, A fuller description of the ICR is given production capacity. Furnaces from below, including its estimated burden and are required of all affected facilities which molten brass or bronze are cast subject to NSPS. and cost to the public. An agency may into the shape of finished products, neither conduct nor sponsor, and a such as foundry furnaces, are not Form Numbers: None. person is not required to respond to, a considered to be affected facilities. New Respondents/affected entities: collection of information unless it facilities include those that commenced Secondary Brass/Bronze Production (40 displays a currently valid OMB control construction, modification or CFR part 60, subpart M), Primary number. reconstruction after the date of proposal. Copper Smelters (40 CFR part 60, DATES: Additional comments may be The NSPS for Primary Copper Smelters subpart P), Primary Zinc Smelters (40 submitted on or before December 23, (40 CFR part 60, subpart P) apply to CFR part 60, subpart Q), Primary Lead 2019. existing facilities and new facilities that Smelters (40 CFR part 60, subpart R), ADDRESSES: Submit your comments, commence construction or modification Primary Aluminum Reduction Plants referencing Docket ID Number EPA– after October 16, 1974. These standards (40 CFR part 60, subpart S), and HQ–OECA–2013–0334, to: (1) EPA apply to the following facilities in Ferroalloy Production Facilities (40 CFR online using www.regulations.gov (our primary copper smelters: Dryer, roaster, part 60, subpart Z). preferred method), or by email to smelting furnace, and copper converter. Respondent’s obligation to respond: [email protected], or by mail to: EPA The NSPS for Primary Zinc Smelters (40 Mandatory, 40 CFR part 60. Docket Center, Environmental CFR part 60, subpart Q) apply to Protection Agency, Mail Code 28221T, existing facilities and new facilities that Estimated number of respondents: 18 1200 Pennsylvania Ave. NW, commence construction or modification (total). Washington, DC 20460; and (2) OMB via after October 16, 1974. These standards Frequency of response: Initially, email to [email protected]. apply to the following facilities in monthly, semiannually and annually. Address comments to OMB Desk Officer primary zinc smelters: Roaster and Total estimated burden: 3,880 hours for EPA. sintering machines. The NSPS for (per year). Burden is defined at 5 CFR EPA’s policy is that all comments Primary Lead Smelters (40 CFR part 60, 1320.3(b). received will be included in the public subpart R) apply to existing facilities docket without change, including any and new facilities that commence Total estimated cost: $576,000 (per personal information provided, unless construction or modification after year), which includes $127,000 in the comment includes profanity, threats, October 16, 1974. These standards apply annualized capital and/or operation & information claimed to be Confidential to the following facilities in primary maintenance costs. Business Information (CBI), or other lead smelters: Sintering machine, Changes in the Estimates: There is no information whose disclosure is sintering machine discharge end, blast change in the labor hours in this ICR restricted by statute. furnace, dross reverberatory furnace, compared to the previous ICR. This is FOR FURTHER INFORMATION CONTACT: electric smelting furnace, and converter. due to two considerations. First, the Patrick Yellin, Monitoring, Assistance, The NSPS for Primary Aluminum regulations have not changed over the and Media Programs Division, Office of Reduction Plants (40 CFR part 60, past three years and are not anticipated Compliance, Mail Code 2227A, subpart S) apply to existing facilities to change over the next three years. Environmental Protection Agency, 1200 and new facilities that commence Secondly, the growth rate for the Pennsylvania Ave. NW, Washington, DC construction or modification after industry is very low, negative or non- 20460; telephone number: (202) 564– October 23, 1974. The NSPS for existent, so there is no significant 2970; fax number: (202) 564–0050; Ferroalloy Production Facilities (40 CFR change in the overall burden. There is email address: [email protected]. part 60, subpart Z) apply to existing an adjustment increase in the labor SUPPLEMENTARY INFORMATION: facilities and new facilities that burden in this ICR compared to the Supporting documents, which explain commence construction or modification previous ICR due to the increase in in detail the information that the EPA after October 21, 1974. These standards labor costs over the past three years. will be collecting, are available in the apply to the following facilities in public docket for this ICR. The docket ferroalloy production plants: Electric Courtney Kerwin, can be viewed online at submerged arc furnaces which produce Director, Regulatory Support Division. www.regulations.gov, or in person at the silicon metal, ferrosilicon, calcium [FR Doc. 2019–25408 Filed 11–21–19; 8:45 am] EPA Docket Center, WJC West, Room silicon, silicomanganese zirconium, BILLING CODE 6560–50–P

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FEDERAL COMMUNICATIONS FEDERAL RESERVE SYSTEM DEPARTMENT OF HEALTH AND COMMISSION HUMAN SERVICES Formations of, Acquisitions by, and Radio Broadcasting Services; AM or Mergers of Bank Holding Companies Agency for Healthcare Research and FM Proposals To Change the Quality Community of License The companies listed in this notice have applied to the Board for approval, Supplemental Evidence and Data AGENCY: Federal Communications pursuant to the Bank Holding Company Request on Management of Primary Commission. Act of 1956 (12 U.S.C. 1841 et seq.) Headache During Pregnancy (BHC Act), Regulation Y (12 CFR part ACTION: Notice. AGENCY: Agency for Healthcare Research 225), and all other applicable statutes and Quality (AHRQ), HHS. and regulations to become a bank ACTION: Request for supplemental DATES: The agency must receive holding company and/or to acquire the evidence and data submissions. comments on or before January 21, assets or the ownership of, control of, or 2020. the power to vote shares of a bank or SUMMARY: The Agency for Healthcare Research and Quality (AHRQ) is seeking ADDRESSES: Federal Communications bank holding company and all of the banks and nonbanking companies scientific information submissions from Commission, 445 12th Street SW, the public. Scientific information is Washington, DC 20554. owned by the bank holding company, including the companies listed below. being solicited to inform our review on FOR FURTHER INFORMATION CONTACT: Management of Primary Headache The applications listed below, as well Rolanda F. Smith, 202–418–2054. during Pregnancy, which is currently as other related filings required by the being conducted by the AHRQ’s SUPPLEMENTARY INFORMATION: The Board, if any, are available for Evidence-based Practice Centers (EPC) following applicants filed AM or FM immediate inspection at the Federal Program. Access to published and proposals to change the community of Reserve Bank indicated. The unpublished pertinent scientific license: OMNI BROADCASTING, LLC, applications will also be available for information will improve the quality of WTKP(FM), Fac. ID No. 67579, Channel inspection at the offices of the Board of this review. 229C3, From: YOUNGSTOWN, FL, To: Governors. Interested persons may DATES: Submission Deadline on or PORT ST. JOE, FL, File No. 0000082907; express their views in writing on the before 30 days after date of publication. SUN MEDIA, INC., WJLI(FM), Fac. ID standards enumerated in the BHC Act ADDRESSES: No. 63817, Channel 252C1, From: (12 U.S.C. 1842(c)). Email submissions: epc@ PADUCAH, KY, To: METROPOLIS, IL, Comments regarding each of these ahrq.hhs.gov. File No. 0000082340; HI-LINE RADIO applications must be received at the Print submissions: FELLOWSHIP INC., KZLM(FM), Fac. ID Reserve Bank indicated or the offices of Mailing Address: Center for Evidence No. 171025, Channel 300A, From: the Board of Governors, Ann E. and Practice Improvement, Agency for HARLOWTON, MT, To: LEWISTOWN, Misback, Secretary of the Board, 20th Healthcare Research and Quality, MT, File No. BPED–20190815ABG; Street and Constitution Avenue NW, ATTN: EPC SEADs Coordinator, 5600 KIZART MEDIA PARTNERSHIP, Washington DC 20551–0001, not later Fishers Lane, Mail Stop 06E53A, NEW(FM), Fac. ID No. 198799, FROM: than December 20, 2019. Rockville, MD 20857. Cleveland, MS, TO: Shaw, MS, File No. Shipping Address (FedEx, UPS, etc.): A. Federal Reserve Bank of St. Louis BNPH–20151013ADH; and SALEM Center for Evidence and Practice (David L. Hubbard, Senior Manager) COMMUNICATIONS HOLDING Improvement, Agency for Healthcare P.O. Box 442, St. Louis, Missouri CORPORATION, WBZW(AM), Fac. ID Research and Quality, ATTN: EPC 63166–2034. Comments can also be sent No. 1185, Channel 1520 kHz, From: SEADs Coordinator, 5600 Fishers Lane, electronically to Apopka, FL, To: Fairview Shores, FL, Mail Stop 06E77D, Rockville, MD [email protected]: File No. BP–20191114AAX. 20857. 1. Citizens Union Bancorp of The full text of these applications is FOR FURTHER INFORMATION CONTACT: Shelbyville, Inc., Shelbyville, Kentucky; available for inspection and copying Jenae Benns, Telephone: 301–427–1496 to merge with Owenton Bancorp, Inc., during normal business hours in the or Email: [email protected]. and thereby indirectly acquire Peoples Commission’s Reference Center, 445 SUPPLEMENTARY INFORMATION: The Bank & Trust Company, both of 12th Street SW, Washington, DC 20554 Agency for Healthcare Research and Owenton, Kentucky. or electronically via the Media Bureau’s Quality has commissioned the Consolidated Data Base System, http:// Board of Governors of the Federal Reserve Evidence-based Practice Centers (EPC) licensing.fcc.gov/prod/cdbs/pubacc/ System, November 18, 2019. Program to complete a review of the prod/app_sear.htm. and the Licensing Yao-Chin Chao, evidence Management of Primary and Management System (LMS), https:// Assistant Secretary of the Board. Headache during Pregnancy. AHRQ is conducting this systematic review apps2int.fcc.gov/dataentry/public/tv/ [FR Doc. 2019–25344 Filed 11–21–19; 8:45 am] publicAppSearch.html. pursuant to Section 902(a) of the Public BILLING CODE P Health Service Act, 42 U.S.C. 299a(a). Federal Communications Commission. The EPC Program is dedicated to Nazifa Sawez, identifying as many studies as possible Assistant Chief, Audio Division, Media that are relevant to the questions for Bureau. each of its reviews. In order to do so, we [FR Doc. 2019–25396 Filed 11–21–19; 8:45 am] are supplementing the usual manual BILLING CODE 6712–01–P and electronic database searches of the literature by requesting information from the public (e.g., details of studies

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conducted). We are looking for studies provided as background. AHRQ is not Æ Migraine, tension headache, cluster that report on Management of Primary requesting that the public provide headache or other trigeminal Headache during Pregnancy, including answers to these questions. autonomic cephalgia (TACs) those that describe adverse events. The Æ Women attempting to become Key Questions (KQ) entire research protocol is available pregnant include those actively online at: https://effective KQ 1: What are the (comparative) planning pregnancy, by any healthcare.ahrq.gov/products/ benefits and harms of interventions to method, who may wish to use only headaches-pregnancy/protocol. prevent attacks of primary headache in treatments found to be safe and This is to notify the public that the women who are pregnant (or attempting effective during pregnancy. EPC Program would find the following to become pregnant), postpartum, or • Exclude: Women with history of information on Management of Primary breastfeeding? secondary headache of any origin Headache during Pregnancy helpful: KQ 1a. Do the (comparative) benefits Interventions: D A list of completed studies that and harms vary by phase (i.e., • Pharmacologic interventions your organization has sponsored for this preconception, first trimester of Æ indication. In the list, please indicate pregnancy, second trimester of Tricyclic antidepressants (e.g., whether results are available on pregnancy, third trimester of pregnancy, amitriptyline, nortriptyline, imipramine) ClinicalTrials.gov along with the postpartum, breastfeeding)? Æ ClinicalTrials.gov trial number. KQ 1b. Do the (comparative) benefits Beta blockers (e.g., metoprolol, D For completed studies that do not and harms vary by type of primary propranolol, nadolol, atenolol, have results on ClinicalTrials.gov, a timolol, nebivolol) headache (i.e., migraine, tension Æ summary, including the following headache, cluster headache, and other Calcium channel blockers (e.g., elements: Study number, study period, trigeminal autonomic cephalgias)? verapamil, nimodipine, nifedipine, design, methodology, indication and nicardipine) KQ 2: What are the (comparative) Æ diagnosis, proper use instructions, benefits and harms of interventions to Other antihypertensive medications inclusion and exclusion criteria, treat acute attacks of primary headache (e.g., lisinopril, candesartan, primary and secondary outcomes, clonidine) in women who are pregnant (or Æ baseline characteristics, number of attempting to become pregnant), Antiepileptic drugs (e.g., patients screened/eligible/enrolled/lost postpartum, or breastfeeding? divalproex sodium, sodium to follow-up/withdrawn/analyzed, KQ 2a. Do the (comparative) benefits valproate, valproic acid, topiramate, effectiveness/efficacy, and safety results. and harms vary by phase (i.e., gabapentin, carbamazepine, D A list of ongoing studies that your preconception, first trimester of lamotrigine) Æ organization has sponsored for this pregnancy, second trimester of Serotonin and norepinephrine indication. In the list, please provide the pregnancy, third trimester of pregnancy, reuptake inhibitors (SSNRIs) (e.g., ClinicalTrials.gov trial number or, if the postpartum, breastfeeding)? venlafaxine, duloxetine) Æ trial is not registered, the protocol for KQ 2b. Do the (comparative) benefits Benzodiazepines (e.g., clonazepam) Æ the study including a study number, the and harms vary by type of primary N-methyl-D-aspartate (NMDA) study period, design, methodology, headache (i.e., migraine, tension receptor antagonists (e.g., indication and diagnosis, proper use headache, cluster headache, and other memantine) Æ instructions, inclusion and exclusion trigeminal autonomic cephalgias)? Calcitonin gene-related peptide criteria, and primary and secondary (CGRP) inhibitors (e.g., erenumab, Contextual Question outcomes. fremanezumab, galcanezumab) D Description of whether the above What is the available evidence Æ Antihistamines (e.g., studies constitute ALL Phase II and concerning levels in maternal serum/ cyproheptadine) above clinical trials sponsored by your blood, fetal/infant serum/blood, breast Æ Antimanic agents (e.g., lithium) organization for this indication and an milk, amniotic fluid, meconium, cord Æ Tetracyclic antidepressants (e.g., index outlining the relevant information blood, or child urine of drugs used to mirtazapine) in each submitted file. prevent or treat attacks of primary Æ Corticosteroids (e.g., Your contribution is very beneficial to headache in women who are pregnant methylprednisolone, triamcinolone the Program. Materials submitted must (or attempting to become pregnant), acetonide, combinations of local be publicly available or able to be made postpartum, or breastfeeding? anesthetics and corticosteroids) public. Materials that are considered Æ Other pharmacologic interventions Study Eligibility Criteria confidential; marketing materials; study used to prevent primary headache types not included in the review; or We had discussions with a Technical (whether or not available or information on indications not included Expert Panel (TEP) during which we approved in the United States) in the review cannot be used by the EPC reviewed the specific eligibility criteria. • Non-pharmacologic interventions Program. This is a voluntary request for As part of the discussions, we asked the Æ Supplements (e.g., riboflavin, information, and all costs for complying TEP to provide guidance on prioritizing magnesium, coenzyme Q10, with this request must be borne by the outcomes and selecting among harms/ melatonin, feverfew, butterbur, submitter. adverse events of interest. frankincense) Æ Nerve blocks (e.g., occipital nerve The draft of this review will be posted KQ 1 (Prevention of Primary Headache) on AHRQ’s EPC Program website and blocks, sphenopalantine ganglion available for public comment for a Population(s): blocks, trigger point injections) period of 4 weeks. If you would like to • Women who are pregnant (or Æ Chemodenervation (e.g., be notified when the draft is posted, attempting to become pregnant/in the onabotulinum toxin A, please sign up for the email list at: preconception phase), postpartum abobotulinum toxin A) https://www.effective (defined as up to 12 months post- Æ Physical therapy healthcare.ahrq.gov/email-updates. delivery), or breastfeeding (for any Æ Hydration The systematic review will answer the length of time) with history of Æ Noninvasive neuromodulation following questions. This information is primary headache devices (e.g., transcutaneous

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electrical nerve stimulation, • Number of days with acute Design: transcranial magnetic stimulation, medication use • Randomized controlled trials transcutaneous vagal stimulation, • Adverse events • Nonrandomized comparative studies, remote electrical neurostimulation) Æ Maternal including pre-post studies Æ Behavioral therapy (e.g., cognitive D Serious maternal adverse events* • Single group studies behavioral therapy, diet therapy, • ‘‘Serious’’ adverse events (including • N-of-1 studies sleep therapy, exercise therapy, those that are composite outcomes), • Case-control studies support group therapy) as defined by study authors • Case reports or series of case reports Æ Complementary therapies (e.g., • Cardiovascular outcomes, such as • Cross-sectional studies/surveys biofeedback, acupuncture, stroke, myocardial infarction Æ Prospective or retrospective (all mindfulness-based stress reduction) D Non-serious maternal adverse applicable study types) Æ Other non-pharmacologic events • For harms, we will start by searching interventions used to prevent • Nonobstetrical (e.g., maternal for existing systematic reviews of primary headache weight gain, tachycardia, interventions used during pregnancy, Comparators: hypertension, gastrointestinal) postpartum, or breastfeeding, • • Pharmacologic interventions Preterm labor, cesarean section regardless of their indication (i.e., for • Æ Other class Reduced breast milk production any disease/condition, not only • Æ Other drug within class Symptoms related to withdrawal of primary headaches). We will not Æ Same drug(s), different route, medication enforce a date restriction when treatment duration, initiation time, D Discontinuation of intervention (or screening for eligible systematic or other aspect of study participation) due to reviews, but when multiple eligible Æ As comparator to maternal adverse events* systematic reviews exist for a certain Æ nonpharmacologic intervention Fetal/infant drug/class of drugs, we will use the • Nonpharmacologic interventions D Serious fetal/infant adverse events* most recent or most complete one. Æ Æ Other nonpharmacologic • ‘‘Serious’’ adverse events (including We will subsequently search for, intervention class those that are composite outcomes), and include, large primary studies Æ Other nonpharmacologic as defined by study authors of interventions not adequately intervention, within class • Death—spontaneous abortion, covered by the existing systematic Æ As comparator to pharmacologic stillbirth, infant death reviews of harms. The specific intervention • Preterm birth eligibility criteria (particularly • No pharmacologic or • Low birth weight for gestational age pertaining to study design, nonpharmacologic interventions • Congenital anomalies or other minimum sample size, and Æ Placebo newborn abnormalities publication date) will be Æ No intervention • Perinatal complications, e.g., low determined based on available EPC Outcomes: (* denotes important APGAR score, respiratory distress, resources, the number of outcomes that will be used when neonatal intensive care unit time interventions without adequate • developing Strength of Evidence tables) Neurodevelopmental—social, existing systematic reviews, and the volume of potentially eligible • Acute headache attacks* emotional, or cognitive delay or studies. Æ Occurrence of acute headache disability D Non-serious fetal/infant adverse Æ For harms, we will also search the attacks U.S. Food and Drug Administration, Æ Frequency of acute headache events • other international equivalent attacks Breastfeeding—delayed initiation, agencies, and pharmacopoeia. Æ Severity of acute headache attacks cessation, reduced frequency, reduced Æ volume of breast milk Duration of acute headache attacks • KQ 2 (Treatment of Primary Headache) • Headache-related symptoms (e.g., Poor infant attachment/bonding • Symptoms related to withdrawal of Population(s): nausea/vomiting, photosensitivity, • dizziness)* medication Women who are pregnant (or Æ Occurrence of headache-related D Discontinuation of intervention (or attempting to become pregnant/in the symptoms of study participation) due to fetal/ preconception phase), postpartum Æ Frequency of headache-related infant adverse events* (defined as up to 12 months post- symptoms Potential Modifiers: delivery), or breastfeeding (for any length of time) with acute attacks of Æ Severity of headache-related • Phase primary headache symptoms Æ Preconception Æ Migraine, tension headache, cluster Æ Duration of headache-related Æ First trimester headache, or other trigeminal symptoms Æ Second trimester autonomic cephalgia (TACs) Æ Most bothersome symptom Æ Third trimester Æ Women attempting to become • Emergency department visits, clinic Æ Postpartum pregnant include those actively visits, or hospitalizations* Æ Breastfeeding planning pregnancy, by any • Quality of life* • Type of primary headache method, who may wish to use only • Functional outcomes Æ Migraine treatments found to be safe and Æ Impact on family life Æ Tension headache effective during pregnancy. Æ Employment/school attendance Æ Cluster headache • Exclude: Women with attacks of Æ Time spent managing disease Æ Other TACs • Resource use secondary headache of any origin • Timing: Interventions: Acceptability of intervention by • patients Any • Pharmacologic interventions • Patient satisfaction with intervention Setting: Æ Analgesics/antipyretics (e.g., • Number of prescribed medications • Any acetaminophen)

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Æ Nonsteroidal antiinflammatory electrical nerve stimulation, those that are composite outcomes), drugs (NSAIDs) (e.g., ibuprofen, transcranial magnetic stimulation, as defined by study authors naproxen, aspirin, celecoxib, transcutaneous vagal stimulation, • Cardiovascular outcomes, such as ketorolac, indomethacin, remote electrical neurostimulation) stroke, myocardial infarction ketoprofen, diclofenac, mefenamic Æ Behavioral therapy (e.g., cognitive D Non-serious maternal adverse events acid) behavioral therapy, diet therapy, • Nonobstetrical (e.g., maternal Æ Other over-the-counter analgesics sleep therapy, exercise therapy, weight gain, tachycardia, (e.g., combination aspirin, support group therapy) hypertension, gastrointestinal) acetaminophen, and caffeine; Æ Supplements (e.g., magnesium, • Preterm labor, cesarean section combination acetaminophen, cannabidiol) • Reduced breast milk production isometheptene, and Æ Complementary therapies (e.g., • Symptoms related to withdrawal of dichloralphenazone) biofeedback, acupuncture, medication Æ Antiemetics: dopamine receptor mindfulness-based stress reduction) D Discontinuation of intervention (or antagonists (e.g., metoclopramide, Æ Other non-pharmacologic of study participation) due to promethazine, prochlorperazine, interventions used to treat acute maternal adverse events* droperidol, chlorpromazine) attacks of primary headache Æ Fetal/infant Æ Antiemetics: 5HT3 antagonists (e.g., Comparators: D Serious fetal/infant adverse events* ondansetron) • • Pharmacologic interventions ‘‘Serious’’ adverse events (including Æ Antihistamines (e.g., meclizine, Æ Other class those that are composite outcomes), diphenhydramine, dimenhydrinate, Æ Other drug within class as defined by study authors promethazine) • Æ Same drug(s), different route, Death—spontaneous abortion, Æ Central nervous system stimulants treatment duration, initiation time, stillbirth, infant death (e.g., caffeine) • or other aspect Preterm birth Æ Muscle relaxants (e.g., baclofen, • Æ As comparator to Low birth weight for gestational age tizanidine, metaxalone, • nonpharmacologic intervention Congenital anomalies or other carisoprodol) newborn abnormalities Æ • Nonpharmacologic interventions Corticosteroids (e.g., prednisolone, Æ • Perinatal complications, e.g., low prednisolone, methylprednisolone, Other nonpharmacologic intervention class APGAR score, respiratory distress, dexamethasone, betamethasone) Æ neonatal intensive care unit time Æ Triptans/Serotonin receptor Other nonpharmacologic • intervention, within class Neurodevelopmental—social, agonists (e.g., sumatriptan, Æ emotional, or cognitive delay or frovatriptan, naratriptan, As comparator to pharmacologic intervention disability rizatriptan, almotriptan, eletriptan, • D Non-serious fetal/infant adverse zolmitriptan, combination No pharmacologic or nonpharmacologic interventions events sumatriptan and naproxen) Æ • Breastfeeding—delayed initiation, Æ Opioid containing analgesics (e.g., Placebo Æ No intervention cessation, reduced frequency, codeine, hydrocodone, oxycodone, reduced volume of breast milk morphine, meperidine, tramadol, Outcomes (* denotes important • outcomes that will be used when Poor infant attachment/bonding butorphanol, nalbuphine) • Symptoms related to withdrawal of Æ Butalbital-containing analgesics developing Strength of Evidence tables): • medication (e.g., butalbital; combination Acute headache attack* D Discontinuation of intervention (or of butalbital and acetaminophen; Æ Severity of acute headache attack Æ study participation) due to fetal/ combination butalbital, aspirin, and Resolution of acute headache attack infant adverse events * caffeine) Æ Duration of acute headache attack Æ • Headache-related symptoms (e.g., Potential Modifiers: Ergot products (e.g., • dihydroergotamine, ergotamine, nausea/vomiting, photosensitivity)* Phase Æ Severity of headache-related Æ Preconception combination ergotamine and Æ caffeine) symptoms First trimester Æ Æ Resolution of headache-related Æ Second trimester Sympathomimetic amines (e.g., Æ isometheptene) symptoms Third trimester Æ Æ Duration of headache-related Æ Postpartum Topical anesthetics (e.g., lidocaine) Æ Æ symptoms Breastfeeding Antipsychotics (e.g., • Æ Most bothersome symptom Type of primary headache chlorpromazine, olanzapine) Æ Æ • Emergency department visits, clinic Migraine Somatostatin analogs (e.g., Æ visits, or hospitalizations* Tension headache octreotide) Æ Æ Intravenous magnesium • Quality of life* Cluster headache Æ Æ Other pharmacologic interventions • Functional outcomes Other TACs used to treat acute attacks of Æ Impact on family life Timing: primary headache (whether or not Æ Employment/school attendance • Any Æ available or approved in the United Time spent managing disease Setting: States) • Resource use • Any • Non-pharmacologic interventions • Acceptability of intervention by Æ Hydration patients Design: Æ Physical therapy • Patient satisfaction with intervention • Randomized controlled trials Æ Procedures (e.g., occipital nerve • Number of prescribed medications • Nonrandomized comparative studies, blocks, sphenopalantine ganglion • Adverse events including pre-post studies blocks, trigger point injections) Æ Maternal • Single group studies Æ Noninvasive neuromodulation D Serious maternal adverse events* • N-of-1 studies devices (e.g., transcutaneous • ‘‘Serious’’ adverse events (including • Case-control studies

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• Case reports or series of case reports FOR FURTHER INFORMATION CONTACT: Mailstop H21–6, Atlanta, Georgia • Cross-sectional studies/surveys Gwendolyn H. Cattledge, Ph.D., 30329–4027, telephone (404) 718–3420; Æ Prospective or retrospective (all M.S.E.H., Deputy Associate Director for Email address [email protected]. applicable study types) Science, National Center for Injury The Director, Strategic Business • For harms, we will start by searching Prevention and Control, Centers for Initiatives Unit, Office of the Chief for existing systematic reviews of Disease Control and Prevention, Operating Officer, Centers for Disease interventions used during pregnancy, Department of Health and Human Control and Prevention, has been postpartum, or breastfeeding, Services, 4770 Buford Highway NE, delegated the authority to sign Federal regardless of their indication (i.e., for Mailstop F–63, Atlanta, Georgia 30341, Register notices pertaining to any disease/condition, not only telephone (770) 488–1430l; email announcements of meetings and other primary headaches). We will not address [email protected]. committee management activities, for enforce a date restriction when The Director, Strategic Business both the Centers for Disease Control and screening for eligible systematic Initiatives Unit, Office of the Chief Prevention and the Agency for Toxic reviews, but when multiple eligible Operating Officer, Centers for Disease Substances and Disease Registry. systematic reviews exist for a certain Control and Prevention, has been Kalwant Smagh, drug/class of drugs, we will use the delegated the authority to sign Federal most recent or most complete one. Register notices pertaining to Director, Strategic Business Initiatives Unit, Æ We will subsequently search for, Office of the Chief Operating Officer, Centers announcements of meetings and other for Disease Control and Prevention. and include, large primary studies committee management activities, for [FR Doc. 2019–25354 Filed 11–21–19; 8:45 am] of interventions not adequately both the Centers for Disease Control and covered by the existing systematic Prevention and the Agency for Toxic BILLING CODE 4163–18–P reviews of harms. The specific Substances and Disease Registry. eligibility criteria (particularly DEPARTMENT OF HEALTH AND pertaining to study design, Kalwant Smagh, HUMAN SERVICES minimum sample size, and Director, Strategic Business Initiatives Unit, publication date) will be Office of the Chief Operating Officer, Centers for Disease Control and Prevention. Centers for Disease Control and determined based on available EPC Prevention resources, the number of [FR Doc. 2019–25352 Filed 11–21–19; 8:45 am] interventions without adequate BILLING CODE 4163–18–P Board of Scientific Counselors, Deputy existing systematic reviews, and the Director for Infectious Diseases (BSC, volume of potentially eligible DEPARTMENT OF HEALTH AND DDID); (Formerly Known as the Board studies. HUMAN SERVICES of Scientific Counselors, Office of Æ For harms, we will also search the Infectious Diseases (BSC, OID)); U.S. Food and Drug Administration, Centers for Disease Control and Notice of Charter Renewal other international equivalent Prevention agencies, and pharmacopoeia. AGENCY: Centers for Disease Control and Board of Scientific Counselors, Center Prevention (CDC), Department of Health Dated: November 19, 2019. and Human Services (HHS). Virginia Mackay-Smith, for Preparedness and Response (BSC, CPR); (Formerly Known as the Board ACTION: Notice of charter renewal. Associate Director. of Scientific Counselors, Office of SUMMARY: This gives notice under the [FR Doc. 2019–25414 Filed 11–21–19; 8:45 am] Public Health Preparedness and BILLING CODE 4160–90–P Federal Advisory Committee Act of Response (BSC, OPHPR)); Notice of October 6, 1972, that the Board of Charter Renewal Scientific Counselors, Deputy Director DEPARTMENT OF HEALTH AND AGENCY: Centers for Disease Control and for Infectious Diseases (BSC, DDID); HUMAN SERVICES Prevention (CDC), Department of Health (formerly known as the Board of and Human Services (HHS). Scientific Counselors, Office of Centers for Disease Control and ACTION: Notice of charter renewal. Infectious Diseases, (BSC, OID)), Centers Prevention for Disease Control and Prevention, SUMMARY: This gives notice under Department of Health and Human Board of Scientific Counselors, (specific statutes and regulations Services, has been renewed for a 2-year National Center for Injury Prevention citations and) the Federal Advisory period through October 31, 2021. and Control (BSC, NCIPC); Notice of Committee Act of October 6, 1972, that FOR FURTHER INFORMATION CONTACT: Charter Renewal the Board of Scientific Counselors, Sarah Wiley, MPH, Designated Federal AGENCY: Centers for Disease Control and Center for Preparedness and Response Officer, BSC, DDID, Centers for Disease Prevention (CDC), Department of Health (BSC, CPR); (formerly known as the Control and Prevention, Department of and Human Services (HHS). Board of Scientific Counselors, Office of Health and Human Services, 1600 Public Health Preparedness and ACTION: Notice of charter renewal. Clifton Road NE, Mailstop H24–12, Response (BSC, OPHPR)), Centers for Atlanta, Georgia 30329–4027, telephone SUMMARY: This gives notice under the Disease Control and Prevention, (404) 639–2100; email address SWiley@ Federal Advisory Committee Act of Department of Health and Human cdc.gov. October 6, 1972, that the Board of Services, has been renewed for a 2-year The Director, Strategic Business Scientific Counselors, National Center period through November 5, 2021. Initiatives Unit, Office of the Chief for Injury Prevention and Control (BSC, FOR FURTHER INFORMATION CONTACT: Operating Officer, Centers for Disease NCIPC), Centers for Disease Control and Kimberly Lochner, ScD, Designated Control and Prevention, has been Prevention, Department of Health and Federal Officer, BSC, CPR, Centers for delegated the authority to sign Federal Human Services, has been renewed for Disease Control and Prevention, Register notices pertaining to a 2-year period through November 5, Department of Health and Human announcements of meetings and other 2021. Services, 1600 Clifton Road NE, committee management activities, for

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both the Centers for Disease Control and DEPARTMENT OF HEALTH AND including allowing notifications for food Prevention and the Agency for Toxic HUMAN SERVICES contact substances to become effective; Substances and Disease Registry. approving food additive petitions, color Food and Drug Administration additive petitions, generally recognized Kalwant Smagh, [Docket No. FDA–2013–N–1147] as safe affirmation petitions, and Director, Strategic Business Initiatives Unit, requests for exemption from regulation Office of the Chief Operating Officer, Centers for Disease Control and Prevention. Agency Information Collection as a food additive; and approving Activities; Submission for Office of actions on certain food labeling citizen [FR Doc. 2019–25353 Filed 11–21–19; 8:45 am] petitions, nutrient content claims BILLING CODE 4163–18–P Management and Budget Review; Comment Request; Preparing a Claim petitions, and health claims petitions. of Categorical Exclusion or an We have provided guidance that DEPARTMENT OF HEALTH AND Environmental Assessment for contains sample formats to help HUMAN SERVICES Submission to the Center for Food industry submit a claim of categorical Safety and Applied Nutrition exclusion (CE) or an environmental Centers for Disease Control and assessment (EA) to the Center for Food Prevention AGENCY: Food and Drug Administration, Safety and Applied Nutrition (CFSAN). HHS. The document entitled ‘‘Preparing a Notice of Closed Meeting ACTION: Notice. Claim of Categorical Exclusion or an Environmental Assessment for In accordance with Section 10(a)(2) of SUMMARY: The Food and Drug Submission to the Center for Food the Federal Advisory Committee Act Administration (FDA or we) is Safety and Applied Nutrition’’ (Pub. L. 92–463), the Centers for Disease announcing that a proposed collection identifies, interprets, and clarifies Control and Prevention (CDC) of information has been submitted to the existing requirements imposed by announces the following meeting. Office of Management and Budget statute and regulation, consistent with The meeting will be closed to the (OMB) for review and clearance under the Council on Environmental Quality public in accordance with provisions set the Paperwork Reduction Act of 1995. regulations (40 CFR 1507.3). It consists forth in Section 552b(c) (4) and (6), Title of recommendations that do not 5 U.S.C., and the Determination of the DATES: Fax written comments on the themselves create requirements; rather, Director, Strategic Business Initiatives collection of information by December they are explanatory guidance for our Unit, Office of the Chief Operating 23, 2019. own procedures in order to ensure full Officer, CDC, pursuant to Public Law ADDRESSES: To ensure that comments on compliance with the purposes and 92–463. the information collection are received, provisions of NEPA. Name of Committee: Safety and OMB recommends that written The guidance provides information to Occupational Health Study Section comments be faxed to the Office of Information and Regulatory Affairs, assist in the preparation of claims of CE (SOHSS), National Institute for and EAs for submission to CFSAN. The Occupational Safety and Health OMB, Attn: FDA Desk Officer, Fax: 202– 395–7285, or emailed to oira_ following questions are covered in this (NIOSH). guidance: (1) What types of industry- Date: February 19–20, 2020. [email protected]. All initiated actions are subject to a claim Time: 8:00 a.m.–5:00 p.m., EST. comments should be identified with the of categorical exclusion? (2) What must Place: Embassy Suites, 1900 Diagonal OMB control number 0910–0541. Also a claim of categorical exclusion include Road, Alexandria, VA 22314. include the FDA docket number found by regulation? (3) What is an EA? (4) Agenda: The meeting will convene to in brackets in the heading of this When is an EA required by regulation address matters related to the conduct of document. Study Section business and for the and what format should be used? (5) study section to consider safety and FOR FURTHER INFORMATION CONTACT: What are extraordinary circumstances? occupational health-related grant Domini Bean, Office of Operations, and (6) What suggestions does CFSAN applications. Food and Drug Administration, Three have for preparing an EA? Although For Further Information Contact: Nina White Flint North, 10A–12M, 11601 CFSAN encourages industry to use the Turner, Ph.D., Scientific Review Officer, Landsdown St., North Bethesda, MD EA formats described in the guidance NIOSH, 1095 Willowdale Road, 20852, 301–796–5733, PRAStaff@ because standardized documentation Morgantown, WV 26506, (304) 285– fda.hhs.gov. submitted by industry increases the 5976; [email protected]. SUPPLEMENTARY INFORMATION: In efficiency of the review process, The Director, Strategic Business compliance with 44 U.S.C. 3507, FDA alternative approaches may be used if Initiatives Unit, Office of the Chief has submitted the following proposed these approaches satisfy the Operating Officer, Centers for Disease collection of information to OMB for requirements of the applicable statutes Control and Prevention, has been review and clearance. and regulations. delegated the authority to sign Federal Description of Respondents: The Register notices pertaining to Preparing a Claim of Categorical likely respondents include businesses announcements of meetings and other Exclusion or an Environmental engaged in the manufacture or sale of committee management activities, for Assessment for Submission to the food, food ingredients, and substances both the Centers for Control and Center for Food Safety and Applied used in materials that come into contact Prevention and the Agency for Toxic Nutrition with food. In the Federal Register of June 25, Substances and Disease Registry. OMB Control Number 0910–0541— 2019 (84 FR 29864), we published a 60- Extension Kalwant Smagh, day notice requesting public comment Director, Strategic Business Initiatives Unit, As an integral part of our decision on the proposed collection of Office of the Chief Operating Officer, Centers making process, we are obligated under information. No comments were for Disease Control and Prevention. the National Environmental Policy Act received. [FR Doc. 2019–25351 Filed 11–21–19; 8:45 am] of 1969 (NEPA) to consider the We estimate the burden of this BILLING CODE 4163–18–P environmental impact of our actions, collection of information as follows:

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TABLE 1—ESTIMATED ANNUAL REPORTING BURDEN 1

Number of Average 21 CFR section/environmental impact considerations Number of responses per Total annual burden per Total hours respondents respondent responses response

25.15(a) and (d) (to cover CEs under 25.32(i)) ...... 47 1 47 8 376 25.15(a) and (d) (to cover CEs under 25.32(o)) ...... 1 1 1 8 8 25.15(a) and (d) (to cover CEs under 25.32 (q)) ...... 3 1 3 8 24 25.40(a) and (c) EAs ...... 57 1 57 180 10,260

Total ...... 10,668 1 There are no capital costs or operating and maintenance costs associated with this collection of information.

The estimates for respondents and Dated: November 14, 2019. electronic filing system will accept numbers of responses are based on the Lowell J. Schiller, comments until midnight Eastern Time annualized numbers of petitions and Principal Associate Commissioner for Policy. at the end of January 21, 2020. notifications qualifying for CEs listed [FR Doc. 2019–25370 Filed 11–21–19; 8:45 am] Comments received by mail/hand under § 25.32(i) and (q) (21 CFR 25.32(i) BILLING CODE 4164–01–P delivery/courier (for written/paper and (q)) that we have received in the submissions) will be considered timely past 3 years. To avoid counting the if they are postmarked or the delivery burden attributed to § 25.32(o) as zero, DEPARTMENT OF HEALTH AND service acceptance receipt is on or we have estimated the burden for this HUMAN SERVICES before that date. categorical exclusion at one respondent Electronic Submissions Food and Drug Administration making one submission a year for a total Submit electronic comments in the of one annual submission. The burden [Docket No. FDA–2012–N–0129] following way: for submitting a categorical exclusion is • Federal eRulemaking Portal: captured under 21 CFR 25.15(a) and (d). Agency Information Collection https://www.regulations.gov. Follow the Activities; Proposed Additional To calculate the estimate for the hours instructions for submitting comments. Collection; Comment Request; General per response values, we assumed that Comments submitted electronically, Licensing Provisions; Section 351(k) the information requested in this including attachments, to https:// Biosimilar Applications; Formal guidance for each of these three www.regulations.gov will be posted to Meetings Between the Food and Drug categorical exclusions is readily the docket unchanged. Because your Administration and Sponsors or comment will be made public, you are available to the submitter. For the Applicants information requested for the exclusion solely responsible for ensuring that your in § 25.32(i), we expect that the AGENCY: Food and Drug Administration, comment does not include any submitter will need to gather HHS. confidential information that you or a third party may not wish to be posted, information from appropriate persons in ACTION: Notice. the submitter’s company and to prepare such as medical information, your or this information for attachment to the SUMMARY: The Food and Drug anyone else’s Social Security number, or claim for categorical exclusion. We Administration (FDA or Agency) is confidential business information, such believe that this effort should take no announcing an opportunity for public as a manufacturing process. Please note that if you include your name, contact longer than 8 hours per submission. For comment on the proposed collection of information, or other information that the information requested for the certain information by the Agency. identifies you in the body of your categorical exclusions in § 25.32(o) and Under the Paperwork Reduction Act of comments, that information will be (q), the submitters will copy existing 1995 (PRA), Federal Agencies are required to publish notice in the posted on https://www.regulations.gov. documentation and attach it to the claim • Federal Register concerning each If you want to submit a comment for categorical exclusion. We believe with confidential information that you that collecting this information should proposed collection of information, including each proposed extension/ do not wish to be made available to the take no longer than 8 hours per revision of an existing collection of public, submit the comment as a submission. information, and to allow 60 days for written/paper submission and in the For the information requested for the public comment in response to the manner detailed (see ‘‘Written/Paper environmental assessments in 21 CFR notice. This notice solicits comments on Submissions’’ and ‘‘Instructions’’). 25.40(a) and (c), we believe that ‘‘General Licensing Provisions; Section Written/Paper Submissions submitters will submit an average of 57 351(k) Biosimilar Applications; Formal environmental assessments annually. Meetings Between the FDA and Submit written/paper submissions as follows: We estimate that each submitter will Sponsors or Applicants.’’ • prepare an EA within 3 weeks (120 Mail/Hand Delivery/Courier (for DATES: Submit either electronic or written/paper submissions): Dockets hours) and revise the EA based on written comments on the collection of Management Staff (HFA–305), Food and Agency comments (between 40 to 60 information by January 21, 2020. Drug Administration, 5630 Fishers hours), for a total preparation time of ADDRESSES: You may submit comments Lane, Rm. 1061, Rockville, MD 20852. 180 hours. as follows. Please note that late, • For written/paper comments Based on a current review of the untimely filed comments will not be submitted to the Dockets Management information collection, we have made considered. Electronic comments must Staff, FDA will post your comment, as no adjustments to the currently be submitted on or before January 21, well as any attachments, except for approved estimate. 2020. The https://www.regulations.gov information submitted, marked and

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identified, as confidential, if submitted Landsdown St. North Bethesda, MD addition to the submission requirements as detailed in ‘‘Instructions.’’ 20852, 301–796–5733, PRAStaff@ associated with a 351(k) application for Instructions: All submissions received fda.hhs.gov. a proposed biosimilar or must include the Docket No. FDA– SUPPLEMENTARY INFORMATION: Under the interchangeable biological product, FDA 2012–N–0129 for ‘‘General Licensing PRA (44 U.S.C. 3501–3521), Federal is committed to meeting certain Provisions; Section 351(k) Biosimilar Agencies must obtain approval from the performance goals in connection with Applications; Formal Meetings Between Office of Management and Budget the FDA Reauthorization Act of 2017 the FDA and Sponsors or Applicants.’’ (OMB) for each collection of (FDARA) and its Biosimilar User Fee Received comments, those filed in a information they conduct or sponsor. (BsUFA) program. These performance timely manner (see ADDRESSES), will be ‘‘Collection of information’’ is defined goals are found in the commitment placed in the docket and, except for in 44 U.S.C. 3502(3) and 5 CFR letter entitled, ‘‘Biosimilar Biological those submitted as ‘‘Confidential 1320.3(c) and includes Agency requests Product Reauthorization Performance Submissions,’’ publicly viewable at or requirements that members of the Goals and Procedures Fiscal Years 2018 https://www.regulations.gov or at the public submit reports, keep records, or Through 2022’’ available from our Dockets Management Staff between 9 provide information to a third party. website at: https://www.fda.gov/media/ a.m. and 4 p.m., Monday through Section 3506(c)(2)(A) of the PRA (44 100573/download. Included in the Friday. U.S.C. 3506(c)(2)(A)) requires Federal performance goals is information • Confidential Submissions—To Agencies to provide a 60-day notice in collection associated with meetings and submit a comment with confidential the Federal Register concerning each other communications with FDA, and information that you do not wish to be proposed collection of information, we are therefore revising the made publicly available, submit your including each proposed extension of an information collection to cover these comments only as a written/paper existing collection of information, provisions. Also consistent with the submission. You should submit two before submitting the collection to OMB commitment letter, we have developed copies total. One copy will include the for approval. To comply with this the associated guidance document information you claim to be confidential requirement, FDA is publishing notice entitled ‘‘Formal Meetings Between the with a heading or cover note that states of the proposed collection of FDA and Sponsors or Applicants of ‘‘THIS DOCUMENT CONTAINS information set forth in this document. BsUFA Products.’’ The guidance CONFIDENTIAL INFORMATION.’’ The With respect to the following document discusses the BsUFA meeting Agency will review this copy, including additional collection of information, management goal provisions set forth in the claimed confidential information, in FDA invites comments on these topics: the commitment letter and provides its consideration of comments. The (1) Whether the proposed collection of instruction and recommendations to second copy, which will have the information is necessary for the proper respondents on formal meetings claimed confidential information performance of FDA’s functions, between FDA and sponsors or redacted/blacked out, will be available including whether the information will applicants relating to the development for public viewing and posted on have practical utility; (2) the accuracy of and review of biosimilar biological https://www.regulations.gov. Submit FDA’s estimate of the burden of the products regulated by the Center for both copies to the Dockets Management proposed collection of information, Drug Evaluation and Research (CDER) or Staff. If you do not wish your name and including the validity of the the Center for Biologics Evaluation and contact information to be made publicly methodology and assumptions used; (3) Research (CBER). The guidance is available, you can provide this ways to enhance the quality, utility, and intended to assist sponsors or applicants information on the cover sheet and not clarity of the information to be in generating and submitting meeting in the body of your comments and you collected; and (4) ways to minimize the requests and associated meeting must identify this information as burden of the collection of information packages to FDA for biosimilar ‘‘confidential.’’ Any information marked on respondents, including through the biological products. A formal meeting as ‘‘confidential’’ will not be disclosed use of automated collection techniques, includes any meeting that is requested by a sponsor or applicant following the except in accordance with 21 CFR 10.20 when appropriate, and other forms of procedures provided in the guidance and other applicable disclosure law. For information technology. and includes meetings conducted in any more information about FDA’s posting General Licensing Provisions; Section format (i.e., face to face, teleconference/ of comments to public dockets, see 80 351(k) Biosimilar Applications; Formal videoconference, written response only FR 56469, September 18, 2015, or access Meetings Between the FDA and (WRO)). The guidance, available from the information at: https://www.gpo.gov/ Sponsors or Applicants our website at https://www.fda.gov/ fdsys/pkg/FR-2015-09-18/pdf/2015- media/113913/download, includes the 23389.pdf. OMB Control Number 0910–0719— following recommendations pertaining Docket: For access to the docket to Revision to BsUFA meeting requests and read background documents or the The Biologics Price Competition and information packages: electronic and written/paper comments Innovation Act of 2009 (BPCI Act) received, go to https:// amended the Public Health Service Act A. Request for a Meeting www.regulations.gov and insert the (PHS Act) and other statutes to create an We recommend that a sponsor or docket number, found in brackets in the abbreviated licensure pathway for applicant interested in meeting with heading of this document, into the biological products shown to be CDER or CBER submit a meeting request ‘‘Search’’ box and follow the prompts biosimilar to, or interchangeable with an electronically to the sponsor’s or and/or go to the Dockets Management FDA-licensed reference product. Section applicant’s application (i.e., Staff, 5630 Fishers Lane, Rm. 1061, 351(k) of the PHS Act (42 U.S.C. 262(k)), investigational new drug application, Rockville, MD 20852. added by the BPCI Act, sets forth the biologics license application). If there is FOR FURTHER INFORMATION CONTACT: requirements for an application for a no application, a sponsor or applicant Domini Bean, Office of Operations, proposed biosimilar product and an should submit the request to either the Food and Drug Administration, Three application or a supplement for a appropriate CDER division director, White Flint North, 10A–12M, 11601 proposed interchangeable product. In with a copy sent to the division’s chief

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of project management staff, or to the summary of completed or planned 4. proprietary and proper names of division director of the appropriate studies and clinical trials or data the the reference product, product office within CBER, but only sponsor or applicant intends to discuss 5. proposed indication(s) or context of after first contacting the appropriate at the meeting, the general nature of the product development, review division or the Biosimilars critical questions to be asked, and where 6. dosage form, route of Program staff, CDER, Office of New the meeting fits in the overall administration, dosing regimen Drugs to determine to whom the request development plans. (frequency and duration), and should be directed, how it should be 13. a list of specific objectives/ presentation(s), submitted, and the appropriate format outcomes expected from the meeting, 7. pediatric study plans, if applicable, for the request and to arrange for 14. a proposed agenda, including 8. human factors engineering plan, if confirmation of receipt of the request. times required for each agenda item, applicable, We recommend the following 15. a list of questions grouped by 9. combination product information, information be included in the meeting discipline and a brief explanation of the if applicable, request: context and purpose of each question, 10. a list of all individuals with their 1. Application number (if previously 16. a list of all individuals with their titles and affiliations who will attend assigned), titles and affiliations who will attend the requested meeting from the 2. development-phase code name of the requested meeting from the requestor’s organization and any the product (if prelicensure), requestor’s organization and any consultants and interpreters, consultants and interpreters, 3. proper name (if post licensure), 11. background that includes a brief 17. a list of FDA staff, if known, or 4. structure (if applicable), history of the development program and disciplines asked to participate in the 5. proper and proprietary names of the status of product development (e.g., requested meeting, and the reference product, chemistry, manufacturing, and controls; 6. proposed indication(s) or context of 18. suggested dates and times for the nonclinical; and clinical, including any product development, meeting. development outside the United States, 7. pediatric study plans, if applicable, We use the information to determine the as applicable), 8. human factors engineering plan, if utility of the meeting, to identify FDA applicable, 12. a brief statement summarizing the staff necessary to discuss proposed purpose of the meeting, 9. combination product information agenda items, and to schedule the 13. the proposed agenda, and (e.g., constituent parts, including details meeting. of the device constituent part, intended 14. a list of questions for discussion packaging, planned human factors B. Information Package grouped by discipline and with a brief studies), if applicable, We recommend that a sponsor or summary for each question to explain 10. meeting type being requested (the applicant submit a meeting package to the need or context for the question, and rationale for requesting the meeting type the appropriate review division with the data to support discussion organized by should be included), meeting request and that the following discipline and question. 11. proposed format of the meeting information be included in the package: The purpose of the meeting package is (face to face, tele-conference/video- 1. Application number (if previously to provide FDA staff the opportunity to conference/WRO), assigned), adequately prepare for the meeting, 12. a brief statement of the purpose of 2. development-phase code name of including the review of relevant data the meeting, including a brief product (if pre-licensure) or proper concerning the product. background of the issues underlying the name (if post-licensure), We estimate the burden of this agenda. It can also include a brief 3. structure (if applicable), collection of information as follows:

TABLE 1—ESTIMATED ANNUAL REPORTING BURDEN 1

Number of Average BsUFA information collection Number of responses per Total annual burden per Total hours respondents respondent responses response

CDER Meeting Requests ...... 36 2.5 89 15 1,335 CDER Information Packages ...... 29 2.2 64 30 1,920 CBER Meeting Requests ...... 2 1 2 15 30 CBER Information Packages ...... 2 2 4 30 120

Total ...... 3,405 1 There are no capital costs or operating and maintenance costs associated with this collection of information.

Since last OMB review of the Dated: November 13, 2019. DEPARTMENT OF HEALTH AND information collection we have Lowell J. Schiller, HUMAN SERVICES increased our burden estimate by 95 Principal Associate Commissioner for Policy. Food and Drug Administration annual responses and 1,965 annual [FR Doc. 2019–25328 Filed 11–21–19; 8:45 am] hours. This adjustment corresponds BILLING CODE 4164–01–P [Docket No. FDA–2007–D–0369] with an increase in submissions received by the Agency over the past 3 Product-Specific Guidances; Draft and years. Revised Draft Guidances for Industry; Availability AGENCY: Food and Drug Administration, HHS.

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ACTION: Notice of availability. Management Staff (HFA–305), Food and You may submit comments on any Drug Administration, 5630 Fishers guidance at any time (see 21 CFR SUMMARY: The Food and Drug Lane, Rm. 1061, Rockville, MD 20852. 10.115(g)(5)). Submit written requests Administration (FDA or Agency) is • For written/paper comments for single copies of the draft guidances announcing the availability of submitted to the Dockets Management to the Division of Drug Information, additional draft and revised draft Staff, FDA will post your comment, as Center for Drug Evaluation and product-specific guidances. The well as any attachments, except for Research, Food and Drug guidances provide product-specific information submitted, marked and Administration, 10001 New Hampshire recommendations on, among other identified, as confidential, if submitted Ave., Hillandale Building, 4th Floor, things, the design of bioequivalence as detailed in ‘‘Instructions.’’ Silver Spring, MD 20993–0002. Send (BE) studies to support abbreviated new Instructions: All submissions received one self-addressed adhesive label to drug applications (ANDAs). In the must include the Docket No. FDA– assist that office in processing your Federal Register of June 11, 2010, FDA 2007–D–0369 for ‘‘Product-Specific requests. See the SUPPLEMENTARY announced the availability of a guidance Guidances; Draft and Revised Draft INFORMATION section for electronic for industry entitled ‘‘Bioequivalence Guidances for Industry.’’ Received access to the draft guidance documents. Recommendations for Specific comments will be placed in the docket Products’’ that explained the process and, except for those submitted as FOR FURTHER INFORMATION CONTACT: that would be used to make product- ‘‘Confidential Submissions,’’ publicly Wendy Good, Center for Drug specific guidances available to the viewable at https://www.regulations.gov Evaluation and Research, Food and public on FDA’s website. The guidances or at the Dockets Management Staff Drug Administration, 10903 New identified in this notice were developed between 9 a.m. and 4 p.m., Monday Hampshire Ave., Bldg. 75, Rm. 4714, using the process described in that through Friday. Silver Spring, MD 20993–0002, 240– guidance. • Confidential Submissions—To 402–1146. DATES: Submit either electronic or submit a comment with confidential SUPPLEMENTARY INFORMATION: written comments on the draft guidance information that you do not wish to be by January 21, 2020 to ensure that the made publicly available, submit your I. Background Agency considers your comment on this comments only as a written/paper In the Federal Register of June 11, draft guidance before it begins work on submission. You should submit two 2010 (75 FR 33311), FDA announced the the final version of the guidance. copies total. One copy will include the availability of a guidance for industry ADDRESSES: You may submit comments information you claim to be confidential entitled ‘‘Bioequivalence on any guidance at any time as follows: with a heading or cover note that states Recommendations for Specific ‘‘THIS DOCUMENT CONTAINS Electronic Submissions Products’’ that explained the process CONFIDENTIAL INFORMATION.’’ The that would be used to make product- Submit electronic comments in the Agency will review this copy, including specific guidances available to the the claimed confidential information, in following way: public on FDA’s website at https:// • its consideration of comments. The Federal eRulemaking Portal: www.fda.gov/Drugs/Guidance second copy, which will have the https://www.regulations.gov. Follow the ComplianceRegulatoryInformation/ claimed confidential information instructions for submitting comments. Guidances/default.htm. Comments submitted electronically, redacted/blacked out, will be available As described in that guidance, FDA including attachments, to https:// for public viewing and posted on adopted this process as a means to www.regulations.gov will be posted to https://www.regulations.gov. Submit develop and disseminate product- the docket unchanged. Because your both copies to the Dockets Management specific guidances and provide a comment will be made public, you are Staff. If you do not wish your name and meaningful opportunity for the public to solely responsible for ensuring that your contact information to be made publicly consider and comment on those comment does not include any available, you can provide this guidances. Under that process, draft confidential information that you or a information on the cover sheet and not guidances are posted on FDA’s website third party may not wish to be posted, in the body of your comments and you and announced periodically in the such as medical information, your or must identify this information as Federal Register. The public is anyone else’s Social Security number, or ‘‘confidential.’’ Any information marked encouraged to submit comments on confidential business information, such as ‘‘confidential’’ will not be disclosed those recommendations within 60 days as a manufacturing process. Please note except in accordance with 21 CFR 10.20 of their announcement in the Federal that if you include your name, contact and other applicable disclosure law. For Register. FDA considers any comments information, or other information that more information about FDA’s posting received and either publishes final identifies you in the body of your of comments to public dockets, see 80 guidances or publishes revised draft comments, that information will be FR 56469, September 18, 2015, or access guidances for comment. Guidances were posted on https://www.regulations.gov. the information at: https://www.gpo.gov/ • If you want to submit a comment fdsys/pkg/FR-2015-09-18/pdf/2015- last announced in the Federal Register with confidential information that you 23389.pdf. on September 17, 2019. This notice do not wish to be made available to the Docket: For access to the docket to announces draft product-specific public, submit the comment as a read background documents or the guidances, either new or revised, that written/paper submission and in the electronic and written/paper comments are posted on FDA’s website. manner detailed (see ‘‘Written/Paper received, go to https:// II. Drug Products for Which New Draft Submissions’’ and ‘‘Instructions’’). www.regulations.gov and insert the Product-Specific Guidances are docket number, found in brackets in the Available Written/Paper Submissions heading of this document, into the Submit written/paper submissions as ‘‘Search’’ box and follow the prompts FDA is announcing the availability of follows: and/or go to the Dockets Management new draft product-specific guidances for • Mail/Hand Delivery/Courier (for Staff, 5630 Fishers Lane, Rm. 1061, industry for drug products containing written/paper submissions): Dockets Rockville, MD 20852. the following active ingredients:

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TABLE 1—NEW DRAFT PRODUCT-SPE- TABLE 2—REVISED DRAFT PRODUCT- Dated: November 18, 2019. CIFIC GUIDANCES FOR DRUG PROD- SPECIFIC GUIDANCES FOR DRUG Lowell J. Schiller, UCTS PRODUCTS—Continued Principal Associate Commissioner for Policy. [FR Doc. 2019–25326 Filed 11–21–19; 8:45 am] Active ingredient(s) Active ingredient(s) BILLING CODE 4164–01–P

Acetaminophen; Benzhydrocodone hydro- Disopyramide phosphate. chloride. Doxepin hydrochloride. DEPARTMENT OF HEALTH AND Betamethasone dipropionate; Calcipotriene. Estradiol (multiple reference listed drugs). HUMAN SERVICES Cefaclor. Estradiol; Levonorgestrel. Chlorzoxazone (multiple reference listed Estradiol; Norethindrone acetate. Food and Drug Administration drugs). Ethinyl estradiol; Norelgestromin. Copper. Fentanyl. [Docket No. FDA–2016–N–0736] Dolutegravir sodium; Rilpivirine hydro- Flavoxate hydrochloride. chloride. Granisetron. Agency Information Collection Doxycycline hyclate. Indapamide. Activities; Proposed Collection; Encorafenib. Lidocaine. Comment Request; Tracking Network Fluorometholone acetate. Lithium carbonate. for PETNet, LivestockNet, and Indocyanine green. Menthol; Methyl salicylate. SampleNet Isoniazid; Pyrazinamide; Rifampin. Metformin hydrochloride; Repaglinide. Isosorbide dinitrate. Methylphenidate. AGENCY: Food and Drug Administration, Ketoprofen. Mifepristone. HHS. Latanoprost; Netarsudil dimesylate. Molindone hydrochloride. Lidocaine. Mycophenolate mofetil. ACTION: Notice. Lorlatinib. Nicotine. Lovastatin. Nitrofurantoin, Macrocrystalline. SUMMARY: The Food and Drug Lutetium dotatate Lu-177. Nitrofurantoin; Nitrofurantoin, Administration (FDA, the Agency, or Medroxyprogesterone acetate. Macrocrystalline. we) is announcing an opportunity for Meloxicam. Nitroglycerin (multiple reference listed drugs). public comment on the proposed Mifepristone. Oxybutynin (multiple reference listed drugs). collection of certain information by the Migalastat hydrochloride. Pimecrolimus. Agency. Under the Paperwork Omadacycline tosylate (multiple reference Prednisolone sodium phosphate. Reduction Act of 1995 (PRA), Federal listed drugs). Rivastigmine. Agencies are required to publish notice Oxymetazoline hydrochloride. Roflumilast. Pimavanserin tartrate. Rotigotine. in the Federal Register concerning each Sumatriptan succinate. Scopolamine. proposed collection of information, Tetracaine hydrochloride. Selegiline. including each proposed extension of an Timolol maleate. Sulfacetamide sodium. existing collection of information, and Sulfadiazine. to allow 60 days for public comment in III. Drug Products for Which Revised Tazarotene (multiple reference listed drugs). response to the notice. This notice Draft Product-Specific Guidances are Terazosin hydrochloride. solicits comments on our use of a Available Testosterone. tracking network to collect and share Tinidazole. safety information about animal food FDA is announcing the availability of Tipiracil hydrochloride; Trifluridine. revised draft product-specific guidances Tretinoin (multiple reference listed drugs). from Federal, State, and Territorial for industry for drug products Agencies. containing the following active For a complete history of previously DATES: Submit either electronic or ingredients: published Federal Register notices written comments on the collection of related to product-specific guidances, go information by January 21, 2020. TABLE 2—REVISED DRAFT PRODUCT- to https://www.regulations.gov and ADDRESSES: You may submit comments SPECIFIC GUIDANCES FOR DRUG enter Docket No. FDA–2007–D–0369. as follows. Please note that late, PRODUCTS These draft guidances are being untimely filed comments will not be issued consistent with FDA’s good considered. Electronic comments must Active ingredient(s) guidance practices regulation (21 CFR be submitted on or before January 21, 10.115). These draft guidances, when 2020. The https://www.regulations.gov Adapalene (multiple reference listed drugs). finalized, will represent the current electronic filing system will accept Adapalene; Benzoyl peroxide (multiple ref- thinking of FDA on, among other things, erence listed drugs). comments until 11:59 p.m. Eastern Time Azacitidine. the product-specific design of BE at the end of January 21, 2020. Baclofen. studies to support ANDAs. They do not Comments received by mail/hand Benzoyl peroxide; Clindamycin phosphate establish any rights for any person and delivery/courier (for written/paper (multiple reference listed drugs). are not binding on FDA or the public. submissions) will be considered timely Benzoyl peroxide; Erythromycin (multiple ref- You can use an alternative approach if if they are postmarked or the delivery erence listed drugs). it satisfies the requirements of the service acceptance receipt is on or Capsaicin. applicable statutes and regulations. before that date. Cariprazine hydrochloride. Clindamycin phosphate (multiple reference IV. Electronic Access Electronic Submissions listed drugs). Persons with access to the internet Clindamycin phosphate; Tretinoin. Submit electronic comments in the Clonidine. may obtain the draft guidances at either following way: Clonidine hydrochloride. https://www.fda.gov/Drugs/Guidance • Federal eRulemaking Portal: Dapsone (multiple reference listed drugs). ComplianceRegulatoryInformation/ https://www.regulations.gov. Follow the Diclofenac epolamine. Guidances/default.htm or https:// instructions for submitting comments. Didanosine. www.regulations.gov. Comments submitted electronically,

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including attachments, to https:// second copy, which will have the is necessary for the proper performance www.regulations.gov will be posted to claimed confidential information of FDA’s functions, including whether the docket unchanged. Because your redacted/blacked out, will be available the information will have practical comment will be made public, you are for public viewing and posted on utility; (2) the accuracy of FDA’s solely responsible for ensuring that your https://www.regulations.gov. Submit estimate of the burden of the proposed comment does not include any both copies to the Dockets Management collection of information, including the confidential information that you or a Staff. If you do not wish your name and validity of the methodology and third party may not wish to be posted, contact information to be made publicly assumptions used; (3) ways to enhance such as medical information, your or available, you can provide this the quality, utility, and clarity of the anyone else’s Social Security number, or information on the cover sheet and not information to be collected; and (4) confidential business information, such in the body of your comments and you ways to minimize the burden of the as a manufacturing process. Please note must identify this information as collection of information on that if you include your name, contact ‘‘confidential.’’ Any information marked respondents, including through the use information, or other information that as ‘‘confidential’’ will not be disclosed of automated collection techniques, identifies you in the body of your except in accordance with 21 CFR 10.20 when appropriate, and other forms of comments, that information will be and other applicable disclosure law. For information technology. posted on https://www.regulations.gov. more information about FDA’s posting • If you want to submit a comment of comments to public dockets, see 80 Tracking Network for PETNet, with confidential information that you FR 56469, September 18, 2015, or access LivestockNet, and SampleNet do not wish to be made available to the the information at: https://www.gpo.gov/ OMB Control Number 0910–0680— public, submit the comment as a fdsys/pkg/FR-2015-09-18/pdf/2015- Extension written/paper submission and in the 23389.pdf. manner detailed (see ‘‘Written/Paper Docket: For access to the docket to The Center for Veterinary Medicine Submissions’’ and ‘‘Instructions’’). read background documents or the and the Partnership for Food Protection Written/Paper Submissions electronic and written/paper comments developed a web-based tracking received, go to https:// network (the tracking network) to allow Submit written/paper submissions as www.regulations.gov and insert the Federal, State, and Territorial regulatory follows: docket number, found in brackets in the and public health Agencies to share • Mail/Hand Delivery/Courier (for heading of this document, into the safety information about animal food. written/paper submissions): Dockets ‘‘Search’’ box and follow the prompts Information is submitted to the tracking Management Staff (HFA–305), Food and and/or go to the Dockets Management network by regulatory and public health Drug Administration, 5630 Fishers Staff, 5630 Fishers Lane, Rm. 1061, Agency employees with membership Lane, Rm. 1061, Rockville, MD 20852. rights. The efficient exchange of safety • For written/paper comments Rockville, MD 20852. information is necessary because it submitted to the Dockets Management FOR FURTHER INFORMATION CONTACT: improves early identification and Staff, FDA will post your comment, as Jonnalynn Capezzuto, Office of evaluation of a risk associated with an well as any attachments, except for Operations, Food and Drug animal food product. We use the information submitted, marked and Administration, Three White Flint information to assist regulatory identified, as confidential, if submitted North, 10A–12M, 11601 Landsdown St., Agencies to quickly identify and as detailed in ‘‘Instructions.’’ North Bethesda, MD 20852, 301–796– Instructions: All submissions received 3794, [email protected]. evaluate a risk and take whatever action must include the Docket No. FDA– SUPPLEMENTARY INFORMATION: Under the is necessary to mitigate or eliminate 2016–N–0736 for ‘‘Agency Information PRA (44 U.S.C. 3501–3521), Federal exposure to the risk. Earlier Collection Activities; Proposed Agencies must obtain approval from the identification and communication with Collection; Comment Request; Tracking Office of Management and Budget respect to emerging safety information Network for PETNet, LivestockNet, and (OMB) for each collection of may also mitigate the potential adverse SampleNet.’’ Received comments, those information they conduct or sponsor. economic impact for the impacted filed in a timely manner (see ‘‘Collection of information’’ is defined parties associated with such safety ADDRESSES), will be placed in the docket in 44 U.S.C. 3502(3) and 5 CFR issues. The tracking network was and, except for those submitted as 1320.3(c) and includes Agency requests developed under the requirements set ‘‘Confidential Submissions,’’ publicly or requirements that members of the forth under section 1002(b) of the Food viewable at https://www.regulations.gov public submit reports, keep records, or and Drug Administration Amendments or at the Dockets Management Staff provide information to a third party. Act of 2007 (FDAAA) (Pub. L. 110–085). between 9 a.m. and 4 p.m., Monday Section 3506(c)(2)(A) of the PRA (44 Section 1002(b) of the FDAAA required through Friday. U.S.C. 3506(c)(2)(A)) requires Federal FDA, in relevant part, to establish a pet • Confidential Submissions—To Agencies to provide a 60-day notice in food early warning alert system. submit a comment with confidential the Federal Register concerning each The tracking network collects: (1) information that you do not wish to be proposed collection of information, Reports of pet food-related illness and made publicly available, submit your including each proposed extension of an product defects associated with dog comments only as a written/paper existing collection of information, food, cat food, and food for other pets, submission. You should submit two before submitting the collection to OMB which are submitted via the Pet Event copies total. One copy will include the for approval. To comply with this Tracking Network (PETNet); (2) reports information you claim to be confidential requirement, FDA is publishing notice of animal food-related illness and with a heading or cover note that states of the proposed collection of product defects associated with animal ‘‘THIS DOCUMENT CONTAINS information set forth in this document. food for livestock animals, aquaculture CONFIDENTIAL INFORMATION.’’ The With respect to the following species, and horses (LivestockNet); and Agency will review this copy, including collection of information, FDA invites (3) reports about animal food laboratory the claimed confidential information, in comments on these topics: (1) Whether samples considered adulterated by State its consideration of comments. The the proposed collection of information or FDA regulators (SampleNet).

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PETNet and LivestockNet reports member logs in to the system). For the number, the reason for testing, whether share the following common data LivestockNet report, additional data the food was reported to the Reportable elements, the majority of which are drop elements specific to livestock animals Food Registry, who performed the down menu choices: product details are captured: Product details (indication analysis); and results information (product name, lot code, product form, of whether the product is a medicated (analyte, test method, analytical results, and the manufacturer or distributor/ product, product packaging, and whether the results contradict a label packer (if known)), the species affected, intended purpose of the product), class claim or guarantee, and whether action number of animals exposed to the of the animal species affected, and was taken as a result of the sample product, number of animals affected, production loss. For PETNet reports, the analysis). body systems affected, product only additional data field is the animal Description of Respondents: problem/defect, date of onset or the date life stage. The SampleNet reports have product problem was detected, the State the following data elements, many of Voluntary respondents to this collection where the incident occurred, the origin which are drop down menu choices: of information are Federal, State, and of the information, whether there are Product information (product name, lot Territorial regulatory and public health supporting laboratory results, and code, guarantor information, date and Agency employees with membership contact information for the reporting location of sample collection, and access to the Animal Feed Network. member (i.e., name, telephone number product description); laboratory FDA estimates the burden of this will be captured automatically when information (sample identification collection of information as follows:

TABLE 1—ESTIMATED ANNUAL REPORTING BURDEN 1

Number of Number of Total annual Average burden Activity responses per Total hours respondents respondent responses per response

PETNet ...... 20 5 100 0.25 (15 minutes) ...... 25 LivestockNET ...... 20 5 100 0.25 (15 minutes) ...... 25 SampleNet ...... 20 5 100 0.25 (15 minutes) ...... 25

Total ...... 75 1 There are no capital costs or operating and maintenance costs associated with this collection of information.

Based on a review of the information DATES: Fax written comments on the (FD&C Act) (21 U.S.C. 393(d)(2)), the collection since our last request for collection of information by December Commissioner of Food and Drugs is OMB approval, we have made no 23, 2019. authorized to implement general powers adjustments to our burden estimate. ADDRESSES: To ensure that comments on (including conducting research) to carry the information collection are received, out effectively the mission of FDA. Dated: November 14, 2019. After the events of September 11, Lowell J. Schiller, OMB recommends that written comments be faxed to the Office of 2001, and as part of broader Principal Associate Commissioner for Policy. Information and Regulatory Affairs, counterterrorism and emergency [FR Doc. 2019–25327 Filed 11–21–19; 8:45 am] OMB, Attn: FDA Desk Officer, Fax: 202– preparedness activities, FDA’s Center BILLING CODE 4164–01–P 395–7285, or emailed to oira_ for Devices and Radiological Health [email protected]. All (CDRH) began developing operational comments should be identified with the plans and interventions that would DEPARTMENT OF HEALTH AND OMB control number 0910–0491. Also enable CDRH to anticipate and respond HUMAN SERVICES include the FDA docket number found to medical device shortages that might arise in the context of federally declared in brackets in the heading of this disasters/emergencies or regulatory Food and Drug Administration document. actions. In particular, CDRH identified [Docket No. FDA–2012–N–0197] FOR FURTHER INFORMATION CONTACT: the need to acquire and maintain JonnaLynn Capezzuto, Office of detailed data on domestic inventory, Agency Information Collection Operations, Food and Drug manufacturing capabilities, distribution Activities; Submission for Office of Administration, Three White Flint plans, and raw material constraints for Management and Budget Review; North, 10A–12M, 11601 Landsdown St., medical devices that would be in high Comment Request; Medical Devices; North Bethesda, MD 20852, 301–796– demand and/or would be vulnerable to Shortages Data Collection System 3794, [email protected]. shortages in specific disaster/emergency SUPPLEMENTARY INFORMATION: In situations or following specific AGENCY: Food and Drug Administration, compliance with 44 U.S.C. 3507, FDA regulatory actions. Such data could HHS. has submitted the following proposed support prospective risk assessment, collection of information to OMB for help inform risk mitigation strategies, ACTION: Notice. review and clearance. support real-time decision making by the Department of Health and Human SUMMARY: The Food and Drug Medical Devices; Shortages Data Services during actual emergencies or Administration (FDA) is announcing Collection System emergency preparedness exercises, and that a proposed collection of mitigate or prevent harm to the public OMB Control Number 0910–0491— information has been submitted to the health. Office of Management and Budget Reinstatement The data collection process will (OMB) for review and clearance under Under section 1003(d)(2) of the consist of an initial telephone call to the Paperwork Reduction Act of 1995. Federal Food, Drug, and Cosmetic Act firms who have been identified as

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producing an essential medical device. quarterly basis to keep the data current In the Federal Register of December In this initial call, the intent and goals and accurate. Additional followup 28, 2018 (83 FR 67298), FDA published of the data collection effort will be correspondence may occasionally be a 60-day notice requesting public described, and the specific data request needed to verify/validate data, confirm comment on the proposed collection of made. Data will be collected, using least receipt of followup correspondence(s), information. No comments were burdensome methods, in a structured and/or request additional details to received. manner to answer specific questions. further inform FDA’s public health FDA estimates the burden of this After the initial outreach, we will response. request updates to the information on a collection of information as follows:

TABLE 1—ESTIMATED ANNUAL REPORTING BURDEN1

Number of Activity Number of responses per Total annual Average burden Total hours respondents respondent responses per response

Shortages Data Collection ...... 260 4 1,040 0.5 (30 minutes) ...... 520 1 There are no capital costs or operating and maintenance costs associated with this collection of information.

FDA based the burden estimates in DEPARTMENT OF HEALTH AND delivery/courier (for written/paper table 1 on past experience with direct HUMAN SERVICES submissions) will be considered timely contact with the medical device if they are postmarked or the delivery manufacturers and anticipated changes Food and Drug Administration service acceptance receipt is on or in the medical device manufacturing [Docket No. FDA–2018–N–3728] before that date. patterns for the specific devices being Electronic Submissions monitored. FDA estimates that Agency Information Collection Submit electronic comments in the approximately 260 manufacturers Activities; Proposed Collection; Comment Request; Collection of following way: would be contacted by telephone and/ • Federal eRulemaking Portal: or electronic mail 4 times per year either Information for Participation in the Food and Drug Administration Non- https://www.regulations.gov. Follow the to obtain primary data or to verify/ instructions for submitting comments. Employee Fellowship and Traineeship validate data. Because the requested Comments submitted electronically, Programs data represent data elements that are including attachments, to https:// monitored or tracked by manufacturers AGENCY: Food and Drug Administration, www.regulations.gov will be posted to as part of routine inventory management HHS. the docket unchanged. Because your activities, it is anticipated that for most ACTION: Notice. comment will be made public, you are manufacturers, the estimated time solely responsible for ensuring that your required of manufacturers to complete SUMMARY: The Food and Drug comment does not include any the data request will not exceed 30 Administration (FDA or Agency) is confidential information that you or a minutes per request cycle. announcing an opportunity for public third party may not wish to be posted, comment on the proposed collection of such as medical information, your or This information collection is a certain information by the Agency. anyone else’s Social Security number, or reinstatement without change. There is Under the Paperwork Reduction Act of confidential business information, such an increase (an adjustment) of 332 hours 1995 (PRA), Federal Agencies are as a manufacturing process. Please note in the total estimated burden compared required to publish notice in the that if you include your name, contact with that identified in the information Federal Register concerning each information, or other information that collection request previously approved proposed collection of information, identifies you in the body of your by OMB. This increase reflects changes including each proposed extension of an comments, that information will be in market demands, in which existing collection of information, and posted on https://www.regulations.gov. manufacturers are increasingly adopting to allow 60 days for public comment in • If you want to submit a comment just-in-time production methods. response to the notice. This notice with confidential information that you do not wish to be made available to the Dated: November 18, 2019. solicits comments on ‘‘Collection of public, submit the comment as a Lowell J. Schiller, Information for Participation in FDA Non-Employee Fellowship and written/paper submission and in the Principal Associate Commissioner for Policy. Traineeship Programs.’’ manner detailed (see ‘‘Written/Paper [FR Doc. 2019–25368 Filed 11–21–19; 8:45 am] Submissions’’ and ‘‘Instructions’’). DATES: Submit either electronic or BILLING CODE 4164–01–P written comments on the collection of Written/Paper Submissions information by January 21, 2020. Submit written/paper submissions as ADDRESSES: You may submit comments follows: as follows. Please note that late, • Mail/Hand Delivery/Courier (for untimely filed comments will not be written/paper submissions): Dockets considered. Electronic comments must Management Staff (HFA–305), Food and be submitted on or before January 21, Drug Administration, 5630 Fishers 2020. The https://www.regulations.gov Lane, Rm. 1061, Rockville, MD 20852. electronic filing system will accept • For written/paper comments comments until 11:59 p.m. Eastern Time submitted to the Dockets Management at the end of January 21, 2020. Staff, FDA will post your comment, as Comments received by mail/hand well as any attachments, except for

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information submitted, marked and White Flint North, 10A–12M, 11601 (1) To begin the program, the non- identified, as confidential, if submitted Landsdown St., North Bethesda, MD employee must submit the following as detailed in ‘‘Instructions.’’ 20852, 301–796–8867, PRAStaff@ information: (A) New Non-Employee Instructions: All submissions received fda.hhs.gov. Data Form; (B) Proof of Health must include the Docket No. FDA– SUPPLEMENTARY INFORMATION: Under the Insurance; (C) Emergency Contact 2018–N–3728 for ‘‘Collection of PRA (44 U.S.C. 3501–3521), Federal Information; (D) Unified Financial Information for Participation in FDA Agencies must obtain approval from the Management System (UFMS) Supplier Non-Employee Fellowship and Office of Management and Budget and Site Information for Stipend Traineeship Programs.’’ Received (OMB) for each collection of Payments, Financial Information; and comments, those filed in a timely information they conduct or sponsor. (E) CONCUR GOV New Traveler Profile manner (see ADDRESSES), will be placed ‘‘Collection of information’’ is defined Form. in the docket and, except for those in 44 U.S.C. 3502(3) and 5 CFR (A) New non-employee data form to submitted as ‘‘Confidential 1320.3(c) and includes Agency requests begin on-boarding process—The New Submissions,’’ publicly viewable at or requirements that members of the Non-Employee Data form collects https://www.regulations.gov or at the public submit reports, keep records, or information that includes: (1) Name; (2) Dockets Management Staff between 9 provide information to a third party. Gender; (3) Birthplace; (4) Date of Birth; a.m. and 4 p.m., Monday through Section 3506(c)(2)(A) of the PRA (44 (5) Email; (6) Home Address; (7) FDA Friday. U.S.C. 3506(c)(2)(A)) requires Federal Center/Organization/Supervisor; (8) • Confidential Submissions—To Agencies to provide a 60-day notice in Citizenship; (9) Social Security number submit a comment with confidential the Federal Register concerning each (SSN); (10) Start Date; (11) End Date; information that you do not wish to be proposed collection of information (12) Contract Information; (13) Location; made publicly available, submit your before submitting the collection to OMB and (14) Question regarding current or comments only as a written/paper for approval. To comply with this previous Federal work experience. (B) Proof of health insurance— submission. You should submit two requirement, FDA is publishing notice Participants in FDA fellowship and copies total. One copy will include the of the proposed collection of traineeship programs will be asked for information you claim to be confidential information set forth in this document. with a heading or cover note that states With respect to the following certain information to demonstrate ‘‘THIS DOCUMENT CONTAINS collection of information, FDA invites proof of health insurance: (1) Name of CONFIDENTIAL INFORMATION.’’ The comments on these topics: (1) Whether Health Insurance Plan Provider; (2) Agency will review this copy, including the proposed collection of information Name/Contact Information of Primary the claimed confidential information, in is necessary for the proper performance Member; (3) Member Identification Number/Group Number; (4) Begin Date/ its consideration of comments. The of FDA’s functions, including whether Policy Expiration Date; and (5) second copy, which will have the the information will have practical Signature. The purpose of the health claimed confidential information utility; (2) the accuracy of FDA’s insurance information is for FDA to redacted/blacked out, will be available estimate of the burden of the proposed substantiate that participants of the for public viewing and posted on collection of information, including the program are covered by health https://www.regulations.gov. Submit validity of the methodology and assumptions used; (3) ways to enhance insurance. both copies to the Dockets Management (C) Emergency contact information— the quality, utility, and clarity of the Staff. If you do not wish your name and Participants in FDA fellowship and information to be collected; and (4) contact information to be made publicly traineeship programs will be asked for ways to minimize the burden of the available, you can provide this certain information about emergency information on the cover sheet and not collection of information on contact demographics: (1) Name of in the body of your comments and you respondents, including through the use Fellow/Trainee; (2) Center; (3) Name of must identify this information as of automated collection techniques, Emergency Contact; (4) Telephone ‘‘confidential.’’ Any information marked when appropriate, and other forms of Number of Emergency Contact; and (5) as ‘‘confidential’’ will not be disclosed information technology. Relationship to Contact. The purpose of except in accordance with 21 CFR 10.20 Collection of Information for emergency contact information of and other applicable disclosure law. For Participation in FDA Non-Employee Fellows/Trainees is to ensure there is a more information about FDA’s posting Fellowship and Traineeship Programs primary contact should emergencies of comments to public dockets, see 80 arise. FR 56469, September 18, 2015, or access OMB Control Number 0910–NEW (D) UFMS supplier and site the information at: https://www.gpo.gov/ In compliance with 44 U.S.C. 3507, information for stipend payments, fdsys/pkg/FR-2015-09-18/pdf/2015- FDA will submit to OMB a request to financial information—Participants in 23389.pdf. review and approve a new collection of FDA fellowship and traineeship Docket: For access to the docket to information: Collection of Information programs will be asked for their read background documents or the for Participation in FDA Non-Employee financial institution routing number and electronic and written/paper comments Fellowship and Traineeship Programs. account information for direct deposit of received, go to https:// Section 746(b) of the Federal Food, Drug stipend payments: (1) Name; (2) www.regulations.gov and insert the and Cosmetic Act (21 U.S.C. 379l(b)) Taxpayer ID or SSN; (3) Classification/ docket number, found in brackets in the allows FDA to conduct and support Vendor type; (4) Payment Options heading of this document, into the intramural training programs through (Electronic Payment Only); (5) Mailing ‘‘Search’’ box and follow the prompts fellowship and traineeship programs. Address; (6) Bank/Financial Institution and/or go to the Dockets Management These mandatory collection forms Information (Name, Routing Number, Staff, 5630 Fishers Lane, Rm. 1061, provide FDA with information from the Account Number, Account type); and Rockville, MD 20852. non-employee to: (1) Begin the program, (7) Signature. The purpose of the FOR FURTHER INFORMATION CONTACT: (2) administer the program, (3) financial information is for FDA to Amber Sanford, Office of Operations, coordinate training, and (4) end the process a direct deposit transaction for Food and Drug Administration, Three program. a monthly stipend payment.

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(E) CONCUR GOV new traveler FDA Mentor; (6) Center/Office Division; (C) Training request—Participants in profile form—Participants in FDA’s (7) Location; (8) Date; (9) Primary Care FDA fellowship and traineeship Non-Employee Scientist programs may Physician and Contact Information; (10) programs will be asked to identify the be asked to travel and will need to Immunizations; (11) Social History; (12) following for external training requests: complete an online profile for the Relationship History; (13) Allergies; and (1) Name of Fellow/Trainee; (2) Concur Government Edition (CGE) (14) Medical History. Operating Office/Staff Division; (3) Title System, which requires the following (D) Discovery and invention— and Topic of Training; (4) Name of information: (1) Personal Information Participants in FDA fellowship and Hosting Agency/Organization; (5) (Name, Agency, Office/Operating traineeship programs will be asked for Purpose/Justification for External Division, Residence City, Residence information about discoveries and Training; (6) Dates; (7) Location; and (8) State, Signatures); (2) Agency inventions at FDA. The Discovery and Approving Signatures. The purpose of Information (ID #, Title, CAN); (3) Invention Report collects information the External Training Request is to Business Contact Information; (4) Email that includes: (1) Title of Discovery; (2) provide justification substantiating the Addresses; Emergency Contact; (5) Description of Discovery; (3) benefits to the Operating Office/Staff Travel Preferences (Preferred Airline, Identification of collaborators, Division and/or benefits to the Fellows/ Hotel, Airline Seats, Frequent Flyer Cooperative Research and Development Trainee professional development and Number); (6) Credit Card Number; (7) Agreement (CRADA), and human training. The collection of information Banking Account for Reimbursement; materials or subjects; (4) Publications; is mandatory to participate in FDA’s and (8) Approving Signatures. The CGE (5) Technology Stage; (6) Commercial fellowship and traineeship programs. Profile provides assistance to travel Potential; and (7) Competition, Potential (D) Travel request—Participants in preparers who are booking travel for Users, and Manufacturers. FDA fellowship and traineeship FDA program participants. (3) For the coordination of training, programs will be asked for certain (2) To administer the program, non- non-employee scientists must complete information about travel requests and employee scientists must submit information for the: (A) Training authorizations/approvals: (1) Office/ information for: (A) Absence Recording Development Plan; (B) Final Project Division; (2) Research Project Title; (3) Form, (B) Personal Custody Property Report; (C) Training Request; (D) Travel Mentor/Sponsor Name; (4) Mentor/ Record, (C) FDA Health Summary, and Request; (E) Learning Management Sponsor Email and Telephone; (5) (D) Discovery and Invention. System (LMS) Request; (F) Standard Fellow’s Name; (6) Appointment Period; (A) Absence recording form— (7) Funding Source and Fiscal Year; (8) Operating Procedures (SOP) Participants in FDA fellowship and Brief Description of Travel; (9) Verification; and (G) Program traineeship programs will be asked for Anticipated Travel Dates; and (10) Evaluation. certain information about tracking Travel Justification and Relation to (A) Training development plan— attendance and absences: (1) Name of Project. The purpose of authorization for Fellow/Trainee; (2) Office/Division of Participants in FDA fellowship and travel of Fellows/Trainees is to Placement; (3) Mentor/Sponsor Name; traineeship programs will be required to determine if the travel has been (4) Type of Absence; (5) Dates of develop the individual plan in approved by the Sponsor/Mentor and if Absence; (6) Reason for Absence; and partnership with their Mentor. The plan the travel is a mission-related activity to (7) Mentor/Sponsor Approval. The collects the following information: (1) the Fellow/Trainee training plan or purpose of tracking attendance and Fellow Name; (2) Mentor(s)/Preceptor(s) appointment/assignment. The collection absences for Fellows/Trainees is to Name; (3) Sign-On Date; (4) Year 1 of information is mandatory to determine the monthly stipend payment Goals, Courses/Training, Regulatory participate in FDA’s fellowship and and potential modifications to purchase Activities, and Completion Date; (5) traineeship programs. orders for extended absences. Year 2 Goals, Courses/Trainings, (E) Learning Management System (B) Personal custody property Regulatory Activities, and Completion (LMS) access—Participants in FDA record—Participants in FDA fellowship Date; (6) Fellow Signature; and (7) fellowship and traineeship programs and traineeship programs will be Mentor(s)/Preceptor(s) Signature. The will be asked for information to obtain required to sign the property request, purpose of this individual development/ access to the LMS: (1) Name, (2) acknowledging personal responsibility training plan is to have a record of Location, (3) Organizational Unit, and for government property. The plan mandatory training and specific goals (4) Email Address. The purpose of LMS collects the following information: (1) and tasks for the contributions and/or Access Request is to obtain information Fellow Name; (2) Operative Division/ completion of a project. of Non-Employee Scientists to ensure Division; (3) Location; (4) Telephone; (5) (B) Final project report—Participants they have access to receive training and Description of Items; (6) Items to be in FDA fellowship and traineeship educational opportunities offered in the Returned; (7) Return Date; (8) Fellow programs will be required to complete Health and Human Services LMS Signature; (9) Custodial Officer the final report in partnership with their System. Signature; and (10) Issuing Office. The Mentor. The plan collects the following (F) SOP verification—Participants in purpose of this record is to acknowledge information: (1) Fellow Name; (2) FDA fellowship and traineeship that an individual has received Mentor/Preceptor Name; (3) Goals; (4) programs will be asked for certain government property and accepts Objectives; (5) Alignment with Center or information to verify that they have read personal responsibility for items issued FDA Goals; (6) Project Summary/ and received instructional training on to perform their roles. Abstract; (7) Accomplishments; and (8) the SOPs for said program. The form (C) FDA health summary— Impact on Public Health. The purpose of collects the following: (1) Name; (2) Participants in FDA fellowship and this report is to acknowledge the Signature; (3) Date; and (4) Center. traineeship programs will be asked for contributions to the overall project and (G) Program Evaluation—Participants information about health for laboratory identify performance successes or in FDA fellowship and traineeship activities. The FDA Occupational Health challenges. The collection of programs will be asked to complete an Services Health Summary form collects information is mandatory to participate evaluation providing program data that information that includes: (1) Name; (2) in FDA’s fellowship and traineeship will be synthesized into program reports Program; (3) Email; (4) Work Phone; (5) programs. on the overall effectiveness of the

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program. The evaluation collects the feedback from participants to improve System Applications inactive; (4) following information: (1) Demographic the quality of the experience. Library Materials; (5) Government Data; (2) Expectations of Fellowship or (4) To end the program, a non- Issued Documents (i.e., passports); (6) Training Program; (3) Administration employee must submit the Exit Check Personal Identity Verification Card/ Processes and Support to Fellow or List—Participants in FDA fellowship Badge; (7) Borrowed Records; (8) Trainee; (4) FDA Retention and Plans of and traineeship programs may be asked Employee Records; and (9) Information Fellow or Trainee; (5) Training and to complete the exit check list to Technology Accounts. Education Completed; and (6) manage the exit process and return of All exit information will be entered to Professional/Research Goals. The FDA property. The Exit Checklist guides terminate access to any FDA purpose of this evaluation is to assess the exit process for the following information. the effectiveness of the program and operations components: (1) Access Key/ FDA estimates the burden of this Pass; (2) Accountable Property; (3) collection of information as follows:

TABLE 1—ESTIMATED ANNUAL REPORTING BURDEN 1

Number of Activity Number of responses per Total annual Average burden Total hours respondents respondent responses per response

New Non-Employee Data Form ...... 1,220 1 1 0.25 (15 minutes) ...... 305 Proof of Health Insurance ...... 600 1 1 0.25 (15 minutes) ...... 150 Emergency Contact Information ...... 1,220 1 1 0.25 (15 minutes) ...... 305 UFMS Supplier and Site Information for Stipend 600 1 1 0.25 (15 minutes) ...... 150 Payments, Financial Information. CONCUR GOV New Traveler Profile ...... 620 1 1 0.25 (15 minutes) ...... 155 Absence Recording Form ...... 1,220 1 1 0.25 (15 minutes) ...... 305 Personal Custody Property Record ...... 1,220 1 1 0.25 (15 minutes) ...... 305 FDA Health Summary ...... 1,220 1 1 1 ...... 1,220 Discovery and Invention Form ...... 1,220 1 1 1 ...... 1,220 Training Development Plan ...... 1,220 1 1 1 ...... 1,220 Final Project Report ...... 1,220 1 1 1 ...... 1,220 Training Request ...... 610 1 1 0.5 (30 minutes) ...... 305 Travel Request ...... 610 1 1 0.5 (30 minutes) ...... 305 LMS Access ...... 1,220 1 1 0.25 (15 minutes) ...... 305 SOP Verification ...... 1,220 1 1 0.25 (15 minutes) ...... 305 Program Evaluation ...... 1,220 1 1 0.5 (30 minutes) ...... 610 Exit Checklist ...... 1,220 1 1 1 ...... 1,220

Total ...... 9,605 1 There are no capital costs or operating and maintenance costs associated with this collection of information.

Dated: November 15, 2019. PRA), Federal Agencies are required to Electronic Submissions Lowell J. Schiller, publish notice in the Federal Register Submit electronic comments in the Principal Associate Commissioner for Policy. concerning each proposed collection of following way: [FR Doc. 2019–25332 Filed 11–21–19; 8:45 am] information and to allow 60 days for • Federal eRulemaking Portal: http:// BILLING CODE 4164–01–P public comment in response to the www.regulations.gov. Follow the notice. This notice solicits comments on instructions for submitting comments. information collection associated with Comments submitted electronically, DEPARTMENT OF HEALTH AND certain Freedom of Information Act and including attachments, to http:// HUMAN SERVICES Privacy Act requests. www.regulations.gov will be posted to the docket unchanged. Because your Food and Drug Administration DATES: Submit either electronic or comment will be made public, you are written comments on the collection of [Docket No. FDA–2016–N–2066] solely responsible for ensuring that your information by January 21, 2020. comment does not include any Agency Information Collection ADDRESSES: You may submit comments confidential information that you or a Activities; Proposed Collection; as follows. Please note that late, third party may not wish to be posted, Comment Request; Certification of untimely filed comments will not be such as medical information, your or anyone else’s Social Security number, or Identity for Freedom of Information Act considered. Electronic comments must confidential business information, such and Privacy Act Requests be submitted on or before January 21, as a manufacturing process. Please note AGENCY: Food and Drug Administration, 2020. The https://www.regulations.gov that if you include your name, contact HHS. electronic filing system will accept information, or other information that comments until 11:59 p.m. Eastern Time ACTION: Notice. identifies you in the body of your at the end of January 21, 2020. comments, that information will be SUMMARY: The Food and Drug Comments received by mail/hand posted on http://www.regulations.gov. Administration (FDA) is announcing an delivery/courier (for written/paper • If you want to submit a comment opportunity for public comment on the submissions) will be considered timely with confidential information that you proposed collection of certain if they are postmarked or the delivery do not wish to be made available to the information by the Agency. Under the service acceptance receipt is on or public, submit the comment as a Paperwork Reduction Act of 1995 (the before that date. written/paper submission and in the

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manner detailed (see ‘‘Written/Paper must identify this information as estimate of the burden of the proposed Submissions’’ and ‘‘Instructions’’). ‘‘confidential.’’ Any information marked collection of information, including the as ‘‘confidential’’ will not be disclosed validity of the methodology and Written/Paper Submissions except in accordance with 21 CFR 10.20 assumptions used; (3) ways to enhance Submit written/paper submissions as and other applicable disclosure law. For the quality, utility, and clarity of the follows: more information about FDA’s posting information to be collected; and (4) • Mail/Hand Delivery/Courier (for of comments to public dockets, see 80 ways to minimize the burden of the written/paper submissions): Dockets FR 56469, September 18, 2015, or access collection of information on Management Staff (HFA–305), Food and the information at: https://www.gpo.gov/ respondents, including through the use Drug Administration, 5630 Fishers fdsys/pkg/FR-2015-09-18/pdf/2015- of automated collection techniques, Lane, Rm. 1061, Rockville, MD 20852. 23389.pdf. when appropriate, and other forms of • For written/paper comments Docket: For access to the docket to information technology. submitted to the Dockets Management read background documents or the Staff, FDA will post your comment, as electronic and written/paper comments Certification of Identity; Form FDA well as any attachments, except for received, go to http:// 3975 information submitted, marked and www.regulations.gov and insert the OMB Control Number 0910–0832— identified, as confidential, if submitted docket number, found in brackets in the Extension as detailed in ‘‘Instructions.’’ heading of this document, into the Instructions: All submissions received ‘‘Search’’ box and follow the prompts This information collection supports must include the Docket No. FDA– and/or go to the Dockets Management Form FDA 3975 entitled ‘‘Certification 2016–N–2066 for ‘‘Agency Information Staff, 5630 Fishers Lane, Rm. 1061, of Identity,’’ which is used by FDA to Collection Activities; Proposed Rockville, MD 20852. identify an individual requesting a Collection; Comment Request; FOR FURTHER INFORMATION CONTACT: particular record under the Freedom of Certification of Identity for Freedom of Domini Bean, Office of Operations, Information Act (FOIA) and the Privacy Information Act and Privacy Act Food and Drug Administration, Three Act. The form is available from our Requests.’’ Received comments, those White Flint North, 10A–12M, 11601 website at: https://www.fda.gov/ filed in a timely manner (see Landsdown St., North Bethesda, MD RegulatoryInformation/FOI/default.htm, ADDRESSES), will be placed in the docket 20852, 301–796–5733, PRAStaff@ although if an individual requests one, and, except for those submitted as fda.hhs.gov. we will send it by mail or email. The form is required only if an individual ‘‘Confidential Submissions,’’ publicly SUPPLEMENTARY INFORMATION: Under the viewable at http://www.regulations.gov makes an FOIA request or Privacy Act PRA (44 U.S.C. 3501–3521), Federal request for records about himself and or at the Dockets Management Staff Agencies must obtain approval from the has not provided sufficient assurances between 9 a.m. and 4 p.m., Monday Office of Management and Budget of identity in the incoming FOIA or through Friday. (OMB) for each collection of • Privacy Act request. Confidential Submissions—To information they conduct or sponsor. submit a comment with confidential ‘‘Collection of information’’ is defined The FOIA grants the public a right to information that you do not wish to be in 44 U.S.C. 3502(3) and 5 CFR access Federal records not normally made publicly available, submit your 1320.3(c) and includes Agency requests prepared for public distribution. The comments only as a written/paper or requirements that members of the Privacy Act grants a right of access to submission. You should submit two public submit reports, keep records, or members of the public who seek access copies total. One copy will include the provide information to a third party. to one’s own records that are information you claim to be confidential Section 3506(c)(2)(A) of the PRA (44 maintained in an Agency’s system of with a heading or cover note that states U.S.C. 3506(c)(2)(A)) requires Federal records (i.e. the records are retrieved by ‘‘THIS DOCUMENT CONTAINS Agencies to provide a 60-day notice in that individual’s name or other personal CONFIDENTIAL INFORMATION.’’ The the Federal Register concerning each identifier). The statutes overlap, and Agency will review this copy, including proposed collection of information individuals who request their own the claimed confidential information, in before submitting the collection to OMB records are processed under both its consideration of comments. The for approval. To comply with this statutes. The Agency may need to second copy, which will have the requirement, FDA is publishing notice confirm that the individual making the claimed confidential information of the proposed collection of FOIA or Privacy Act request is indeed redacted/blacked out, will be available information set forth in this document. the same person named in the Agency for public viewing and posted on http:// With respect to the following records. Respondents to the information www.regulations.gov. Submit both collection of information, FDA invites collection are asked for certain copies to the Dockets Management Staff. comments on these topics: (1) Whether information including name, citizenship If you do not wish your name and the proposed collection of information status, social security number, address, contact information to be made publicly is necessary for the proper performance date of birth, place of birth, signature, available, you can provide this of FDA’s functions, including whether and date of signature. information on the cover sheet and not the information will have practical We estimate the burden of this in the body of your comments and you utility; (2) the accuracy of FDA’s collection of information as follows:

TABLE 1—ESTIMATED ANNUAL REPORTING BURDEN 1

Number of Total Average FDA Form No. Number of responses per annual burden per Total hours respondents respondent responses response

3975; Certification of Identity ...... 50 1 50 .17 (10 minutes) ..... 8.5 1 There are no capital costs or operating and maintenance costs associated with this collection of information.

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Based on Agency data, we have 163.123, 163.124, 163.130, 163.135, Dated: November 18, 2019. received no more than 50 submissions 163.140, and 163.145). Lowell J. Schiller, since establishing the collection in For the purpose of this permit, ‘‘ruby Principal Associate Commissioner for Policy. 2017. chocolate’’ is the solid or semiplastic [FR Doc. 2019–25325 Filed 11–21–19; 8:45 am] Dated: November 18, 2019. food prepared by mixing and grinding BILLING CODE 4164–01–P Lowell J. Schiller, cacao fat with one or more of the cacao Principal Associate Commissioner for Policy. ingredients (namely, chocolate liquor, [FR Doc. 2019–25364 Filed 11–21–19; 8:45 am] breakfast cocoa, cocoa, and lowfat DEPARTMENT OF HEALTH AND cocoa), citric acid, one or more of BILLING CODE 4164–01–P HUMAN SERVICES optional dairy ingredients, and one or more optional nutritive carbohydrate Food and Drug Administration DEPARTMENT OF HEALTH AND sweeteners. ‘‘Ruby chocolate’’ contains HUMAN SERVICES not less than 1.5 percent nonfat cacao [Docket No. FDA–2010–D–0319] solids, not less than 20 percent by Food and Drug Administration weight of cacao fat, not less than 2.5 Agency Information Collection percent by weight of milk fat, not less Activities; Submission for Office of [Docket No. FDA–2019–N–4844] than 12 percent by weight of total milk Management and Budget Review; solids, not more than 1.5 percent of ‘‘Ruby Chocolate’’ Deviating From Comment Request; Dear Health Care emulsifying agents, and not more than Identity Standard; Temporary Permit Provider Letters: Improving 5 percent of whey or whey products. It for Market Testing Communication of Important Safety may also contain other ingredients such Information AGENCY: Food and Drug Administration, as antioxidants approved for food use, HHS. spices, natural and artificial flavorings, AGENCY: Food and Drug Administration, ACTION: Notice. and other seasonings. However, these HHS. other ingredients cannot imitate the SUMMARY: The Food and Drug flavor of chocolate, milk or butter, berry ACTION: Notice. Administration (FDA or we) is or another fruit. Additionally, ‘‘ruby announcing that a temporary permit has chocolate’’ contains no added coloring. SUMMARY: The Food and Drug been issued to Barry Callebaut U.S.A. The test product ‘‘ruby chocolate’’ Administration (FDA, the Agency, or LLC (the applicant) to market test a contains the principal ingredients used we) is announcing that a proposed product identified as ‘‘ruby chocolate’’ in most of the current standards for collection of information has been that deviates from the U.S. standards of cacao products under 21 CFR part 163; submitted to the Office of Management identity for chocolate products. The however, it deviates from the current and Budget (OMB) for review and temporary permit will allow the standards of identity for chocolate clearance under the Paperwork applicant to evaluate commercial products in terms of its final Reduction Act of 1995. viability of the product and to collect composition, taste, and color. DATES: Fax written comments on the data on consumer acceptance of the The purpose of the temporary permit product. is to allow the applicant to market test collection of information by December 23, 2019. DATES: This permit is effective for 15 the product throughout the United months, beginning on the date the States. The permit will allow the ADDRESSES: To ensure that comments on applicant introduces or causes applicant to evaluate commercial the information collection are received, introduction of the test product into viability of the product and to collect OMB recommends that written interstate commerce, but not later than data on consumer acceptance of the comments be faxed to the Office of February 20, 2020. product. Information and Regulatory Affairs, FOR FURTHER INFORMATION CONTACT: The permit provides for the temporary OMB, Attn: FDA Desk Officer, Fax: 202– Marjan Morravej, Center for Food Safety marketing of approximately 60 million 395–7285, or emailed to oira_ and Applied Nutrition (HFS–820), Food pounds (27,215,540 kilograms) of the [email protected]. All and Drug Administration, 5001 Campus test product. The test product will be comments should be identified with the Dr., College Park, MD 20740, 240–402– manufactured at the Barry Callebaut OMB control number 0910–0754. Also 2371. facilities located at Aalstersestraat 122, include the FDA docket number found SUPPLEMENTARY INFORMATION: We are 9280 Lebbeke, Belgium; 400 Industrial in brackets in the heading of this giving notice that we have issued a Park Rd., St. Albans, VT 05478; and document. temporary permit to Barry Callebaut 1175 Commerce Blvd., American U.S.A. LLC. We are issuing the Canyon, CA 94503. FOR FURTHER INFORMATION CONTACT: temporary permit in accordance with 21 Barry Callebaut U.S.A. LLC will Domini Bean, Office of Operations, CFR 130.17, which addresses temporary distribute the test product to various Food and Drug Administration, Three permits for interstate shipment of manufacturers throughout the United White Flint North, 10A–12M, 11601 experimental packs of food varying from States for further manufacturing and Landsdown St., North Bethesda, MD the requirements of definitions and market testing. Each ingredient used in 20852, 301–796–5733, PRAStaff@ standards of identity issued under the food must be declared on the label fda.hhs.gov. section 401 of the Federal Food, Drug, as required by 21 CFR part 101. The and Cosmetic Act (21 U.S.C. 341). permit is effective for 15 months, SUPPLEMENTARY INFORMATION: In The permit covers the interstate beginning on the date the applicant compliance with 44 U.S.C. 3507, FDA market testing of the product identified introduces or causes the introduction of has submitted the following proposed as ‘‘ruby chocolate.’’ The test product the test product into interstate collection of information to OMB for deviates from the U.S. standards of commerce, but not later than February review and clearance. identity for chocolates (21 CFR 163.111, 20, 2020.

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Agency Information Collection at: https://www.fda.gov/media/79793/ Document Archiving, Reporting, and Activities; Proposed Collection; download. Regulatory Tracking System for 2016— Comment Request; Guidance for The guidance document gives specific 2018, we identified 38 DHCP letters that Industry on Dear Health Care Provider instruction on what should and should were sent by 24 distinct sponsors during Letters: Improving Communication of not be included in DHCP letters. Some the 3-year timeframe. We estimate that Important Safety Information DHCP letters have been too long, have we will receive approximately 13 DHCP contained promotional material, or letters annually from approximately 8 OMB Control Number 0910–0754— otherwise have not met the goals set application holders. FDA professionals Extension forth in the applicable regulation (21 familiar with DHCP letters, and with the This information collection supports CFR 200.5). In some cases, health care recommendations in the guidance, recommendations found in the Agency providers have not been aware of estimate that it should take an guidance document entitled ‘‘Dear important new information, and have application holder approximately 100 Health Care Provider Letters: Improving been unable to communicate it to hours to prepare and send DHCP letters Communication of Important Safety patients, because the letters’ content and in accordance with the guidance. Information.’’ The guidance provides length have made it difficult to find the In the Federal Register of August 19, instruction to industry and FDA staff on relevant information. In addition, letters 2019 (84 FR 42929), we published a 60- the content and format of Dear Health have sometimes been sent for the wrong day notice requesting public comment Care Provider (DHCP) letters. These reasons. on the proposed collection of letters are sent by manufacturers or In addition to content and format information. One comment was received distributors to health care providers to recommendations for each type of DHCP expressing the importance of communicate an important drug letter, the guidance also includes communicating safety information, for warning, a change in prescribing recommendations on consulting with which we are appreciative. No other information, or a correction of FDA on how to develop a DHCP letter, comments were received. misinformation in prescription drug when to send a letter, what type of letter We estimate the annual reporting promotional labeling or advertising. The to send, and how to assess the letter’s burden of this collection of information guidance is available from our website impact. Based on a review of FDA’s as follows:

TABLE 1—ESTIMATED ANNUAL REPORTING BURDEN 1

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

Dear Health Care Provider Letters ...... 8 1.625 13 100 1,300 1 There are no capital costs or operating and maintenance costs associated with this collection of information.

Based on a review of the information confidential trade secrets or commercial Dated: November 15, 2019. collection, we have reduced our burden property such as patentable material, Tyeshia M. Roberson, estimate by 17 respondents with a and personal information concerning Program Analyst, Office of Federal Advisory corresponding decrease in annual hours individuals associated with the grant Committee Policy. by 1,200. We attribute the decrease to applications, the disclosure of which [FR Doc. 2019–25306 Filed 11–21–19; 8:45 am] the effectiveness of the guidance. would constitute a clearly unwarranted BILLING CODE 4140–01–P Dated: November 14, 2019. invasion of personal privacy. Lowell J. Schiller, Name of Committee: National Institute of DEPARTMENT OF HEALTH AND Principal Associate Commissioner for Policy. Allergy and Infectious Diseases Special HUMAN SERVICES [FR Doc. 2019–25333 Filed 11–21–19; 8:45 am] Emphasis Panel; Centers for AIDS Research BILLING CODE 4164–01–P (P30) and Developmental Centers for AIDS National Institutes of Health Research (P30). Date: December 16–17, 2019. National Institute of Mental Health; DEPARTMENT OF HEALTH AND Time: 9:00 a.m. to 6:00 p.m. Amended Notice of Meeting HUMAN SERVICES Agenda: To review and evaluate grant applications. Notice is hereby given of a change in National Institutes of Health Place: Hyatt Regency Bethesda, One the meeting of the National Institute of Bethesda Metro Center, 7400 Wisconsin Mental Health Special Emphasis Panel, National Institute of Allergy and Avenue, Bethesda, MD 20814. November 25, 2019, 11:00 a.m. to Infectious Diseases; Notice of Closed Contact Person: Chelsea D. Boyd, Ph.D., November 25, 2019, 4:00 p.m., National Meeting Scientific Review Officer, Scientific Review Institutes of Health Neuroscience Center Program, Division of Extramural Activities, Pursuant to section 10(d) of the Building (NSC), 6001 Executive National Institutes of Health, NIAID, 5601 Federal Advisory Committee Act, as Boulevard, Rockville, MD 20852, which Fishers Lane, MSC–9823, Rockville, MD amended, notice is hereby given of the was published in the Federal Register 20852–9834, 240–669–2081, chelsea.boyd@ on November 14, 2019, 84 FR 61920. following meeting. nih.gov. The meeting will be closed to the This notice is to amend the date of the (Catalogue of Federal Domestic Assistance public in accordance with the NIMH HIV/AIDS Review meeting from Program Nos. 93.855, Allergy, Immunology, provisions set forth in sections November 25, 2019, from 11:00 a.m.– and Transplantation Research; 93.856, 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., Microbiology and Infectious Diseases 4:00 p.m. to December 17, 2019, from as amended. The grant applications and Research, National Institutes of Health, HHS) 1:00 p.m.–5:00 p.m. The meeting is the discussions could disclose closed to the public.

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Dated: November 18, 2019. DEPARTMENT OF HEALTH AND The meetings will be closed to the Melanie J. Pantoja, HUMAN SERVICES public in accordance with the Program Analyst, Office of Federal Advisory provisions set forth in sections Committee Policy. National Institutes of Health 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., [FR Doc. 2019–25312 Filed 11–21–19; 8:45 am] as amended. The grant applications and National Center for Advancing the discussions could disclose BILLING CODE 4140–01–P Translational Sciences; Notice of confidential trade secrets or commercial Meeting property such as patentable material, DEPARTMENT OF HEALTH AND Pursuant to section 10(a) of the and personal information concerning HUMAN SERVICES Federal Advisory Committee Act, as individuals associated with the grant amended, notice is hereby given of a applications, the disclosure of which National Institutes of Health meeting of the Cures Acceleration would constitute a clearly unwarranted Network Review Board. invasion of personal privacy. Center for Scientific Review; Notice of The meeting will be open to the Name of Committee: Center for Scientific Closed Meeting public, viewing virtually by WebEx. Review Special Emphasis Panel; Member Individuals can register to view and Conflict: AIDS and AIDS-Related Research. Pursuant to section 10(d) of the access the meeting by the link below. Date: December 12, 2019. Federal Advisory Committee Act, as https://nih.webex.com/nih/onstage/ Time: 11:30 a.m. to 2:30 p.m. Agenda: To review and evaluate grant amended, notice is hereby given of the g.php?MTID=e546cfc8baef0 applications. following meeting. c0b50c44b24d9601d2c4. Place: National Institutes of Health, The meeting will be closed to the 1. Click ‘‘Register’’. On the Rockledge II, 6701 Rockledge Drive, public in accordance with the registration form, enter your information Bethesda, MD 20892 (Telephone Conference provisions set forth in sections and then click ‘‘Submit’’ to complete the Call). 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., required registration. Contact Person: John C. Pugh, Ph.D., Scientific Review Officer, Center for as amended. The grant applications and 2. You will receive a personalized email with the live event link. Scientific Review, National Institutes of the discussions could disclose Health, 6701 Rockledge Drive, Room 1206, confidential trade secrets or commercial Name of Committee: Cures Acceleration MSC 7808, Bethesda, MD 20892, (301) 435– property such as patentable material, Network Review Board. 2398, [email protected]. and personal information concerning Date: December 13, 2019. Time: 11:00 a.m. to 2:30 p.m. Name of Committee: Center for Scientific individuals associated with the grant Agenda: The CAN Review Board will meet Review Special Emphasis Panel; Aging- applications, the disclosure of which virtually to discuss updates regarding CAN Associated Brain Changes in Animals and would constitute a clearly unwarranted programs and next steps. Reanalysis of RDoC Data. Date: December 16, 2019. invasion of personal privacy. Place: National Institutes of Health, One Democracy Plaza, 6701 Democracy Time: 1:00 p.m. to 5:00 p.m. Name of Committee: Center for Scientific Boulevard, Bethesda, MD 20892 (Virtual Agenda: To review and evaluate grant Review Special Emphasis Panel; Meeting). applications. Interdisciplinary Molecular Sciences and Contact Person: Anna L. Ramsey-Ewing, Place: National Institutes of Health, Training Member Conflicts. Ph.D., Executive Secretary, National Center Rockledge II, 6701 Rockledge Drive, Date: December 17, 2019. for Advancing, Translational Sciences, 1 Bethesda, MD 20892 (Virtual Meeting). Contact Person: Suzan Nadi, Ph.D., Time: 11:00 a.m. to 11:45 a.m. Democracy Plaza, Room 1072, Bethesda, MD Scientific Review Officer, Center for Agenda: To review and evaluate grant 20892, 301–435–0809, anna.ramseyewing@ nih.gov. Scientific Review, National Institutes of applications. Health, 6701 Rockledge Drive, Room 5217B, Place: National Institutes of Health, (Catalogue of Federal Domestic Assistance MSC 7846, Bethesda, MD 20892, 301–435– Rockledge II, 6701 Rockledge Drive, Program Nos. 93.859, Pharmacology, 1259, [email protected]. Physiology, and Biological Chemistry Bethesda, MD 20892 (Telephone Conference Name of Committee: Center for Scientific Call). Research; 93.350, B—Cooperative Agreements; 93.859, Biomedical Research Review Special Emphasis Panel; Contact Person: Raj K. Krishnaraju, Ph.D., and Research Training, National Institutes of Neuroimmunology of Brain Tumor and Scientific Review Officer, Center for Health, HHS) Neuroimmunology of Brain Tumor and Viral Scientific Review, National Institutes of Infection. Health, 6701 Rockledge Drive, Room 6190, Dated: November 18, 2019. Date: December 16, 2019. Bethesda, MD 20892, 301–435–1047, Melanie J. Pantoja, Time: 2:00 p.m. to 5:00 p.m. [email protected]. Program Analyst, Office of Federal Advisory Agenda: To review and evaluate grant Committee Policy. applications. (Catalogue of Federal Domestic Assistance Place: National Institutes of Health, [FR Doc. 2019–25302 Filed 11–21–19; 8:45 am] Program Nos. 93.306, Comparative Medicine; Rockledge II, 6701 Rockledge Drive, 93.333, Clinical Research, 93.306, 93.333, BILLING CODE 4140–01–P Bethesda, MD 20892 (Telephone Conference 93.337, 93.393–93.396, 93.837–93.844, Call). 93.846–93.878, 93.892, 93.893, National Contact Person: Wei-Qin Zhao, Ph.D., Institutes of Health, HHS) DEPARTMENT OF HEALTH AND Scientific Review Officer, Center for HUMAN SERVICES Scientific Review, National Institutes of Dated: November 18, 2019. Health, 6701 Rockledge Drive, Room 5181, Melanie J. Pantoja, National Institutes of Health MSC 7846, Bethesda, MD 20892–7846, 301– Program Analyst, Office of Federal Advisory 827–7238, [email protected]. Committee Policy. Center for Scientific Review; Notice of Name of Committee: Center for Scientific Closed Meetings [FR Doc. 2019–25301 Filed 11–21–19; 8:45 am] Review Special Emphasis Panel; Auditory Brainstem Physiology. BILLING CODE 4140–01–P Pursuant to section 10(d) of the Date: December 16, 2019. Federal Advisory Committee Act, as Time: 2:30 p.m. to 4:00 p.m. amended, notice is hereby given of the Agenda: To review and evaluate grant following meetings. applications.

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Place: National Institutes of Health, Agenda: To review and evaluate contract Dated: November 18, 2019. Rockledge II, 6701 Rockledge Drive, proposals. Miguelina Perez, Bethesda, MD 20892 (Telephone Conference Place: The William F. Bolger Center, 9600 Program Analyst, Office of Federal Advisory Call). Newbridge Drive, Potomac, MD 20854. Committee Policy. Contact Person: Janita N. Turchi, Scientific Contact Person: Julio C. Aliberti, Ph.D., Review Officer, Center for Scientific Review, Scientific Review Officer, Immunology [FR Doc. 2019–25300 Filed 11–21–19; 8:45 am] National Institutes of Health, 6701 Rockledge Review Branch, Scientific Review Program, BILLING CODE 4140–01–P Drive, Bethesda, MD 20892, turchij@ Division of Extramural Activities, National mail.nih.gov. Institutes of Health, NIAID, 5601 Fishers Name of Committee: Center for Scientific Lane, RM 3G53A, MSC 9823, Rockville, MD DEPARTMENT OF HEALTH AND Review Special Emphasis Panel; 20892–9823, 301–761–7322, julio.aliberti@ HUMAN SERVICES Neuropsychological and Neurobiological nih.gov. Disorders. (Catalogue of Federal Domestic Assistance National Institutes of Health Date: December 17, 2019. Program Nos. 93.855, Allergy, Immunology, Time: 12:00 p.m. to 5:00 p.m. and Transplantation Research; 93.856, National Eye Institute; Notice of Closed Agenda: To review and evaluate grant Microbiology and Infectious Diseases Meeting applications. Research, National Institutes of Health, HHS) Place: National Institutes of Health, 6701 Pursuant to section 10(d) of the Rockledge Drive, Bethesda, MD 20892 Dated: November 15, 2019. Federal Advisory Committee Act, as (Telephone Conference Call). Tyeshia M. Roberson, Contact Person: Samuel C. Edwards, Ph.D., amended, notice is hereby given of the Program Analyst, Office of Federal Advisory Chief, BDCN IRG, Center for Scientific following meeting. Committee Policy. Review, National Institutes of Health, 6701 The meeting will be closed to the Rockledge Drive, Room 5210, MSC 7846, [FR Doc. 2019–25305 Filed 11–21–19; 8:45 am] public in accordance with the Bethesda, MD 20892, (301) 435–1246, BILLING CODE 4140–01–P provisions set forth in sections [email protected]. 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., (Catalogue of Federal Domestic Assistance as amended. The grant applications and Program Nos. 93.306, Comparative Medicine; DEPARTMENT OF HEALTH AND the discussions could disclose 93.333, Clinical Research, 93.306, 93.333, HUMAN SERVICES 93.337, 93.393–93.396, 93.837–93.844, confidential trade secrets or commercial 93.846–93.878, 93.892, 93.893, National National Institutes of Health property such as patentable material, Institutes of Health, HHS) and personal information concerning individuals associated with the grant Dated: November 18, 2019. National Institute on Aging; Notice of Closed Meeting applications, the disclosure of which Tyeshia M. Roberson, would constitute a clearly unwarranted Program Analyst, Office of Federal Advisory invasion of personal privacy. Committee Policy. Pursuant to section 10(d) of the Federal Advisory Committee Act, as [FR Doc. 2019–25298 Filed 11–21–19; 8:45 am] Name of Committee: National Eye Institute amended, notice is hereby given of the Special Emphasis Panel; NEI Genetic BILLING CODE 4140–01–P following meeting. Epidemiology and Secondary Data Analysis The meeting will be closed to the Applications 2. Date: December 3, 2019. DEPARTMENT OF HEALTH AND public in accordance with the Time: 3:00 p.m. to 4:00 p.m. HUMAN SERVICES provisions set forth in sections Agenda: To review and evaluate grant 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., applications. National Institutes of Health as amended. The grant applications and Place: National Eye Institute, 6700B the discussions could disclose Rockledge Drive, Bethesda, MD 20817 National Institute of Allergy and confidential trade secrets or commercial (Telephone Conference Call). Infectious Diseases; Notice of Closed property such as patentable material, Contact Person: Brian Hoshaw, Ph.D., Meeting and personal information concerning Acting Review Chief, Division of Extramural individuals associated with the grant Research, National Eye Institute, National Pursuant to section 10(d) of the Institutes of Health, 6700 B Rockledge Dr., Federal Advisory Committee Act, as applications, the disclosure of which Ste 3400, Rockville, MD 20892, (301) 451– amended, notice is hereby given of the would constitute a clearly unwarranted 2020, [email protected]. following meeting. invasion of personal privacy. (Catalogue of Federal Domestic Assistance The meeting will be closed to the Name of Committee: National Institute on Program Nos. 93.867, Vision Research, public in accordance with the Aging Initial Review Group; Neuroscience of National Institutes of Health, HHS) provisions set forth in sections Aging Review Committee NIA–N. Dated: November 18, 2019. Date: January 30–31, 2020. 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., Program Analyst, Office of Federal Advisory Time: 8:00 a.m. to 2:00 p.m. as amended. The contract proposals and Committee Policy. Agenda: To review and evaluate grant the discussions could disclose [FR Doc. 2019–25299 Filed 11–21–19; 8:45 am] confidential trade secrets or commercial applications. BILLING CODE 4140–01–P property such as patentable material, Place: Bethesda North Marriott Hotel & Conference Center, 5701 Marinelli Road, and personal information concerning Bethesda, MD 20852. individuals associated with the contract Contact Person: Greg Bissonette, Ph.D., DEPARTMENT OF HEALTH AND proposals, the disclosure of which Scientific Review Officer, Scientific Review HUMAN SERVICES would constitute a clearly unwarranted Branch, National Institute on Aging, National invasion of personal privacy. Institutes of Health, 7201 Wisconsin Avenue, National Institutes of Health Name of Committee: National Institute of Gateway Building, Suite 2W200, Bethesda, Allergy and Infectious Diseases Special MD 20892, (301) 402–1622, bissonettegb@ National Institute of Mental Health; Emphasis Panel; Development of Vaccines mail.nih.gov. Notice of Closed Meeting for the Treatment of Opioid Use Disorder. (Catalogue of Federal Domestic Assistance Date: December 11, 2019. Program Nos. 93.866, Aging Research, Pursuant to section 10(d) of the Time: 8:00 a.m. to 6:30 p.m. National Institutes of Health, HHS) Federal Advisory Committee Act, as

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amended, notice is hereby given of the constitute a clearly unwarranted 451 7th Street SW, Room 10282, following meeting. invasion of personal privacy. Washington, DC 20410–0500, telephone The meeting will be closed to the Name of Committee: National Institute of 202–708–5300 (this is not a toll-free public in accordance with the Allergy and Infectious Diseases Special number). Persons with hearing- or provisions set forth in sections Emphasis Panel; HIV/AIDS Prevention speech-impairments may access this 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., Clinical Trials Network Leadership and number through TTY by calling the toll- as amended. The grant applications and Operations Center (UM1—Clinical Trial free Federal Relay Service at 800–877– the discussions could disclose Required). 8339. confidential trade secrets or commercial Date: December 11, 2019. For information concerning a property such as patentable material, Time: 12:00 p.m. to 4:00 p.m. particular waiver that was granted and Agenda: To review and evaluate and personal information concerning cooperative agreement applications. for which public notice is provided in individuals associated with the grant Place: National Institutes of Health, 5601 this document, contact the person applications, the disclosure of which Fishers Lane, Rockville, MD 20892 whose name and address follow the would constitute a clearly unwarranted (Telephone Conference Call). description of the waiver granted in the invasion of personal privacy. Contact Person: Kumud K. Singh, Ph.D., accompanying list of waivers that have Scientific Review Officer, Scientific Review Name of Committee: National Institute of been granted in the third quarter of Program, Division of Extramural Activities, Mental Health Special Emphasis Panel; calendar year 2019. National Institutes of Health, NIAID, 5601 NIMH: Limited Competition for a SUPPLEMENTARY INFORMATION: Fishers Lane, MSC–9823, Rockville, MD Section Connectome Coordination Facility. 20852, 301–761–7830, kumud.singh@ 106 of the HUD Reform Act added a Date: December 10, 2019. nih.gov. new section 7(q) to the Department of Time: 12:30 p.m. to 1:30 p.m. (Catalogue of Federal Domestic Assistance Housing and Urban Development Act Agenda: To review and evaluate grant (42 U.S.C. 3535(q)), which provides applications. Program Nos. 93.855, Allergy, Immunology, Place: National Institutes of Health, and Transplantation Research; 93.856, that: Neuroscience Center Building (NSC), 6001 Microbiology and Infectious Diseases 1. Any waiver of a regulation must be Executive Boulevard, Rockville, MD 20852 Research, National Institutes of Health, HHS) in writing and must specify the grounds (Telephone Conference Call). Dated: November 15, 2019. for approving the waiver; Contact Person: Vinod Charles, Ph.D., Tyeshia M. Roberson, 2. Authority to approve a waiver of a Scientific Review Officer, Division of regulation may be delegated by the Extramural Activities, National Institute of Program Analyst, Office of Federal Advisory Committee Policy. Secretary only to an individual of Mental Health, NIH, Neuroscience Center, Assistant Secretary or equivalent rank, [FR Doc. 2019–25304 Filed 11–21–19; 8:45 am] 6001 Executive Blvd., Room 6151, MSC 9606, and the person to whom authority to Bethesda, MD 20892–9606, 301–443–1606, BILLING CODE 4140–01–P [email protected]. waive is delegated must also have authority to issue the particular (Catalogue of Federal Domestic Assistance regulation to be waived; Program Nos. 93.242, Mental Health Research DEPARTMENT OF HOUSING AND Grants, National Institutes of Health, HHS) 3. Not less than quarterly, the URBAN DEVELOPMENT Secretary must notify the public of all Dated: November 18, 2019. [Docket No. FR–6164–N–03] waivers of regulations that HUD has Melanie J. Pantoja, approved, by publishing a notice in the Program Analyst, Office of Federal Advisory Notice of Regulatory Waiver Requests Federal Register. These notices (each Committee Policy. Granted for the Third Quarter of covering the period since the most [FR Doc. 2019–25303 Filed 11–21–19; 8:45 am] Calendar Year 2019 recent previous notification) shall: BILLING CODE 4140–01–P a. Identify the project, activity, or AGENCY: Office of the General Counsel, undertaking involved; HUD. b. Describe the nature of the provision DEPARTMENT OF HEALTH AND ACTION: Notice. waived and the designation of the HUMAN SERVICES provision; SUMMARY: Section 106 of the Department c. Indicate the name and title of the National Institutes of Health of Housing and Urban Development person who granted the waiver request; Reform Act of 1989 (the HUD Reform National Institute of Allergy and d. Describe briefly the grounds for Act) requires HUD to publish quarterly approval of the request; and Infectious Diseases; Notice of Closed Federal Register notices of all Meeting e. State how additional information regulatory waivers that HUD has about a particular waiver may be Pursuant to section 10(d) of the approved. Each notice covers the obtained. Federal Advisory Committee Act, as quarterly period since the previous Section 106 of the HUD Reform Act amended, notice is hereby given of the Federal Register notice. The purpose of also contains requirements applicable to following meeting. this notice is to comply with the waivers of HUD handbook provisions The meeting will be closed to the requirements of section 106 of the HUD that are not relevant to the purpose of public in accordance with the Reform Act. This notice contains a list this notice. provisions set forth in sections of regulatory waivers granted by HUD This notice follows procedures 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., during the period beginning on July 1, provided in HUD’s Statement of Policy as amended. The cooperative agreement 2019 and ending on September 30, on Waiver of Regulations and Directives applications and the discussions could 2019. issued on April 22, 1991 (56 FR 16337). disclose confidential trade secrets or FOR FURTHER INFORMATION CONTACT: For In accordance with those procedures commercial property such as patentable general information about this notice, and with the requirements of section material, and personal information contact Aaron Santa Anna, Acting 106 of the HUD Reform Act, waivers of concerning individuals associated with Associate General Counsel for regulations are granted by the Assistant the cooperative agreement applications, Legislation and Regulations, Department Secretary with jurisdiction over the the disclosure of which would of Housing and Urban Development, regulations for which a waiver was

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requested. In those cases in which a II. Regulatory waivers granted by the Office a single unit and it is administratively General Deputy Assistant Secretary of Housing. burdensome to require a project owner to granted the waiver, the General Deputy III. Regulatory waivers granted by the establish and implement different utility Assistant Secretary was serving in the Office of Public and Indian Housing. allowances for HOME-assisted units and non- HOME assisted units in a project. absence of the Assistant Secretary in I. Regulatory Waivers Granted by the Office Contact: Virginia Sardone, Director, Office accordance with the office’s Order of of Community Planning and Development of Affordable Housing Programs, Department Succession. For further information about the following of Housing and Urban Development, 451 This notice covers waivers of regulatory waivers, please see the name of Seventh Street SW, Room 7160, Washington, regulations granted by HUD from July 1, the contact person that immediately follows DC 20410, telephone (202) 708–2684. 2019 through September 30, 2019. For the description of the waiver granted. • Regulation: 24 CFR 92.252(d)(1) Utility ease of reference, the waivers granted by • Regulation: 24 CFR 92.252(d)(1) Utility Allowance Requirements. HUD are listed by HUD program office Allowance Requirements. Project/Activity: City of San Buenaventura, (for example, the Office of Community Project/Activity: Contra Costa County, California, requested a waiver of 24 CFR California, requested a waiver of 24 CFR Planning and Development, the Office 92.252(d)(1) to allow use of utility allowance 92.252(d)(1) to allow use of utility allowance established by local public housing agency of Housing, and the Office of Public and established by local public housing agency (PHA) for a HOME-assisted project— Indian Housing, etc.). Within each (PHA) for a HOME-assisted project—Antioch Westview Village Phase 1. program office grouping, the waivers are Scattered Site. Nature of Requirement: The regulation at listed sequentially by the regulatory Nature of Requirement: The regulation at 24 CFR 92.252(d)(1) requires participating section of title 24 of the Code of Federal 24 CFR 92.252(d)(1) requires participating jurisdictions to establish maximum monthly Regulations (CFR) that is being waived. jurisdictions to establish maximum monthly allowances for utilities and services For example, a waiver of a provision in allowances for utilities and services (excluding telephone) and update the 24 CFR part 58 would be listed before (excluding telephone) and update the allowances annually. However, participating a waiver of a provision in 24 CFR part allowances annually. However, participating jurisdictions are not permitted to use the jurisdictions are not permitted to use the utility allowance established by the local 570. utility allowance established by the local public housing authority for HOME-assisted Where more than one regulatory public housing authority for HOME-assisted rental projects. provision is involved in the grant of a rental projects. Granted By: David C. Woll Jr., Principal particular waiver request, the action is Granted By: David C. Woll Jr., Principal Deputy Assistant Secretary for Community listed under the section number of the Deputy Assistant Secretary for Community Planning and Development. first regulatory requirement that appears Planning and Development. Date Granted: September 10, 2019. in 24 CFR and that is being waived. For Date Granted: July 30, 2019. Reason Waived: The HOME requirements example, a waiver of both § 58.73 and Reason Waived: The HOME requirements for establishing a utility allowances conflict § 58.74 would appear sequentially in the for establishing a utility allowances conflict with Project Based Voucher program listing under § 58.73. with Project Based Voucher program requirements. It is not possible to use two Waiver of regulations that involve the requirements. It is not possible to use two different utility allowances to set the rent for same initial regulatory citation are in different utility allowances to set the rent for a single unit and it is administratively a single unit and it is administratively burdensome to require a project owner to time sequence beginning with the burdensome to require a project owner to establish and implement different utility earliest-dated regulatory waiver. establish and implement different utility allowances for HOME-assisted units and non- Should HUD receive additional allowances for HOME-assisted units and non- HOME assisted units in a project. information about waivers granted HOME assisted units in a project. Contact: Virginia Sardone, Director, Office during the period covered by this report Contact: Virginia Sardone, Director, Office of Affordable Housing Programs, Department (the third quarter of calendar year 2019) of Affordable Housing Programs, Department of Housing and Urban Development, 451 before the next report is published (the of Housing and Urban Development, 451 Seventh Street SW, Room 7160, Washington, fourth quarter of calendar year 2019), Seventh Street SW, Room 7160, Washington, DC 20410, telephone (202) 708–2684. DC 20410, telephone (202) 708–2684. • Regulation: 24 CFR 92.252(d)(1) Utility HUD will include any additional • waivers granted for the third quarter in Regulation: 24 CFR 92.252(d)(1) Utility Allowance Requirements. Allowance Requirements. Project/Activity: City of Santa Rosa, the next report. Project/Activity: Oakland County, California, requested a waiver of 24 CFR Accordingly, information about California, requested a waiver of 24 CFR 92.252(d)(1) to allow use of utility allowance approved waiver requests pertaining to 92.252(d)(1) to allow use of utility allowance established by local public housing agency HUD regulations is provided in the established by local public housing agency (PHA) for a HOME-assisted project— Appendix that follows this notice. (PHA) for a HOME-assisted project—3628 Parkwood Apartments. Dated: November 15, 2019. San Pablo Avenue. Nature of Requirement: The regulation at Nature of Requirement: The regulation at 24 CFR 92.252(d)(1) requires participating J. Paul Compton Jr., 24 CFR 92.252(d)(1) requires participating jurisdictions to establish maximum monthly General Counsel. jurisdictions to establish maximum monthly allowances for utilities and services Appendix allowances for utilities and services (excluding telephone) and update the (excluding telephone) and update the allowances annually. However, participating Listing of Waivers of Regulatory allowances annually. However, participating jurisdictions are not permitted to use the Requirements Granted by Offices of the jurisdictions are not permitted to use the utility allowance established by the local Department of Housing and Urban utility allowance established by the local public housing authority for HOME-assisted Development July 1, 2019 Through public housing authority for HOME-assisted rental projects. September 30, 2019 rental projects for which HOME funds were Granted By: David C. Woll Jr., Principal NOTE TO READER: More information about committed. Deputy Assistant Secretary for Community the granting of these waivers, including a Granted By: David C. Woll Jr., Principal Planning and Development. copy of the waiver request and approval, may Deputy Assistant Secretary for Community Date Granted: September 10, 2019. be obtained by contacting the person whose Planning and Development. Reason Waived: The HOME requirements name is listed as the contact person directly Date Granted: August 27, 2019. for establishing a utility allowances conflict after each set of regulatory waivers granted. Reason Waived: The HOME requirements with Project Based Voucher program The regulatory waivers granted appear in for establishing a utility allowances conflict requirements. It is not possible to use two the following order: with Project Based Voucher program different utility allowances to set the rent for I. Regulatory waivers granted by the Office requirements. It is not possible to use two a single unit and it is administratively of Community Planning and Development. different utility allowances to set the rent for burdensome to require a project owner to

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establish and implement different utility throughout the county. A Presidentially reasonable notice and an opportunity to allowances for HOME-assisted units and non- declared disaster declaration (FEMA–4353– comment will be given and require a 30-day HOME assisted units in a project. DR) was issued on October 10, 2017. The public comment period prior to the Contact: Virginia Sardone, Director, Office county requested an extension of its August implementation of a substantial amendment. of Affordable Housing Programs, Department 20, 2018, waiver of the limitation on 24 CFR 91.105(k) requires the grantee to of Housing and Urban Development, 451 emergency grant payments to facilitate follow its citizen participation plan. Seventh Street SW, Room 7160, Washington, recovery and assist individuals and families Project/Activity: City and County of DC 20410, telephone (202) 708–2684. affected by the disaster. The waiver extends Honolulu. • Regulation: 75 FR 64328, II.B.3.a. emergency grant payments to individuals for Nature of Requirement: 24 CFR Project/Activity: The State of West up to six consecutive months. The waiver 91.105(c)(2) and (k) require a 30-day public Virginia—Riverview at Clendenin Building. granted will allow the county to expedite comment period. Nature of Requirement: The Housing and recovery efforts for low and moderate income Granted By: David C. Woll, Jr., Principal Economic Recovery Act of 2008 (HERA) residents affected by the wildfires and Assistant Secretary for Community Planning requires, to the maximum extent practicable subsequent mudslides; pay for additional and Development. and for the longest feasible term, the sale, support services for affected individuals and Date Granted: September 13, 2019. rental or redevelopment of abandoned and families, including, but not limited to, food, Reason Waived: The Honolulu floods foreclosed Neighborhood Stabilization health, employment, and case management caused substantial damage to neighborhoods Program (NSP)-assisted homes and services to help county residents impacted by throughout the island of Oahu. A residential properties remain affordable to the fires and enable the county to pay for the Presidentially declared disaster declaration individuals or families whose incomes do not basic daily needs of individuals and families (FEMA–4365–DR) was issued on May 8, exceed 120 percent of area median income. affected by the fires on an interim basis. 2018. The city and county requested a waiver Section II.B.3.a of the NSP Federal Register Contact: Steve Johnson, Director, for the CDBG public comment period from Notice implementing HERA requires grantees Entitlement Communities Division, thirty to five days to expedite recovery and to adopt, at a minimum, the HOME program Department of Housing and Urban assist individuals and families affected by the standards in 24 CFR part 92 to comply with Development, 451 Seventh Street SW, Room disaster. the continued affordability requirement. 7282, Washington, DC 20410, telephone (202) Contact: Steve Johnson, Director, Granted By: David C. Woll, Jr., Principal 402–4548. Entitlement Communities Division, Assistant Secretary for Community Planning • Regulation: 24 CFR 91.105(c)(2) and (k). Department of Housing and Urban and Development. Project/Activity: San Bernardino County, Development, 451 Seventh Street SW, Room Date Granted: April 2, 2019. CA. 7282, Washington, DC 20410, telephone (202) Reason Waived: The Riverview at Nature of Requirement: 24 CFR 402–4548. Clendenin Building was redeveloped using 91.105(c)(2) requires the citizen participation NSP funds, historic tax credits and developer plan to provide residents with reasonable II. Regulatory Waivers Granted by the Office equity to produce 18 housing units for notice and an opportunity to comment on of Housing—Federal Housing seniors on the first and third floors and a substantial amendments to the consolidated Administration (FHA) health clinic on the second floor. The project plan. The citizen participation plan must For further information about the following is in the 500-year floodplain and was greatly state how reasonable notice and an regulatory waivers, please see the name of impacted by a 1,000-year flood event on June opportunity to comment will be given and the contact person that immediately follows 23, 2016. The first-floor units and building require a 30-day public comment period the description of the waiver granted. mechanicals were destroyed by water and prior to the implementation of a substantial • Regulation: 24 CFR 219.220(b). mud that rose up to just below the second amendment. 24 CFR 91.105(k) requires the Project/Activity: Gloria Dei Manor/ floor. The State requested the waiver because grantee to follow its citizen participation Augustana Lutheran Homes, FHA Project the State determined it was not feasible to plan. Number 092–SH128, Litchfield, MN. continue to use the first floor for housing. Granted By: David C. Woll, Jr., Principal Augustana Lutheran Homes, Incorporated The waiver allows the State of West Virginia Assistant Secretary for Community Planning (Owner) seeks approval to defer repayment of to redevelop the first floor of the building for and Development. the Flexible Subsidy Operating Assistance non-residential uses while returning the Date Granted: September 10, 2019. Loan on the subject project. second and third floors to their intended Reason Waived: San Bernardino County Nature of Requirement: The regulation at uses. The state will explore options for earthquakes and subsequent aftershocks 24 CFR 219.220(b) (1995), which governs the developing replacement housing units at a caused substantial damage to Trona, an repayment of operating assistance provided different site to replace the lost first-floor unincorporated community located in San under the Flexible Subsidy Program for units. Bernardino County. An Emergency Troubled Properties, states ‘‘Assistance that Contact: Steve Johnson, Director, Management declaration (FEMA–3415–EM) has been paid to a project owner under this Entitlement Communities Division, was issued on July 8, 2019. The waiver subpart must be repaid at the earlier of the Community Planning and Development, U.S. reduces the public comment period from expiration of the term of the mortgage, Department of Housing and Urban thirty to seven days and allows the county of termination of mortgage insurance, Development, 451 Seventh Street SW, Room San Bernardino to determine what prepayment of the mortgage, or a sale of the 7282, Washington, DC 20410, telephone (202) constitutes reasonable notice to comment on project.’’ 402–4548. the proposed amendments to its Granted By: Brian D. Montgomery, • Regulation: 24 CFR 570.207(b)(4). Consolidated Plan. These waived CDBG Assistant Secretary for Housing-Federal Project/Activity: Extension of waiver for requirements allow the county to expedite Housing Commissioner. emergency grant payments for Santa Barbara recovery efforts for low- and moderate- Date Granted: August 8, 2019. County, CA. income residents affected by the earthquakes Reason Waived: The Owner requested and Nature of Requirement: The regulations at and aftershocks. was granted waiver of the requirement to 24 CFR 570.207(b)(4) prohibit the use of Contact: Steve Johnson, Director, repay the Flexible Subsidy Operating CDBG funds for income payments except in Entitlement Communities Division, Assistance Loan in full when it became due. the case of emergency grant payments made Department of Housing and Urban Deferring the loan payment will preserve the for up to three consecutive months to a Development, 451 Seventh Street SW, Room affordable housing resource for an additional service provider, respectively. 7282, Washington, DC 20410, telephone (202) 30 years through the execution and Granted By: David C. Woll, Jr., Principal 402–4548. recordation of a Rental Use Agreement. Assistant Secretary for Community Planning • Regulation: 24 CFR 91.105(c)(2) requires Contact: Nathaniel Johnson, Senior and Development. the citizen participation plan to provide Account Executive, Department of Housing Date Granted: September 9, 2019. residents with reasonable notice and an and Urban Development, 451 Seventh Street Reason Waived: The Santa Barbara County opportunity to comment on substantial SW, Washington, DC 20410, telephone (202) wildfires and subsequent mudslides caused amendments to the consolidated plan. The 402–5156. substantial damage to neighborhoods citizen participation plan must state how • Regulation: 24 CFR 219.220(b).

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Project/Activity: Memorial Apartments, been paid to a project owner under this rooms through a hallway. The project meets FHA Project Number 052–35724, Baltimore, subpart must be repaid at the earlier of the State of New Mexico’s licensing MD. Memorial Development Partners, expiration of the term of the mortgage, requirements for bathing and toileting Limited Partnership (Owner) seeks approval termination of mortgage insurance, facilities. to defer repayment of the Flexible Subsidy prepayment of the mortgage, or a sale of the Contact: Nicole M. Johnson, Operations, Operating Assistance Loan on the subject project.’’ Office of Healthcare Programs, Office of project. Granted By: Brian Montgomery, Assistant Housing, Department of Housing and Urban Nature of Requirement: The regulation at Secretary for Housing-Federal Housing Development, 1670 Broadway, 23rd Floor, 24 CFR 219.220(b) (1995), which governs the Commissioner. Denver, CO 80202, telephone (303) 672– repayment of operating assistance provided Date Granted: August 8, 2019. 5401. under the Flexible Subsidy Program for Reason Waived: Pursuant to the authority • Regulation: 24 CFR 266.410(e). Troubled Properties, states ‘‘Assistance that contained in 24 CFR 5.110, good cause has Project/Activity: Colorado Housing and has been paid to a project owner under this been shown that it is in the public’s best Finance Agency (CHFA), Denver, Colorado, subpart must be repaid at the earlier of the interest to grant this waiver. no project number. The Agency have expiration of the term of the mortgage, Contact: Mirline Labissiere, Transaction requested approval of a one-year extension of termination of mortgage insurance, Manager, Department of Housing and Urban the waiver through July 31, 2020. prepayment of the mortgage, or a sale of the Development, 451 Seventh Street SW, Nature of Requirement: The 24 CFR project.’’ Washington, DC 20410, telephone (202) 402– 266.410(e), which requires mortgages insured Granted By: Brian D. Montgomery, 6207. under the 542(c) Housing Finance Agency Assistant Secretary for Housing—Federal • Regulation: 24 CFR 232.7. Risk Sharing Program to be fully amortized Housing Commissioner. Project/Activity: Oak Hills Terrace, FHA over the term of the mortgage. The waiver Date Granted: September 3, 2019. #113–22278, is an Assisted Living/Memory would permit CHFA to use balloon loans that Reason Waived: The Owner requested and Care facility. The facility does not meet the would have a minimum term of 17 years and was granted waiver of the requirement to requirements of 24 CFR 232.7 ‘‘Bathroom’’ of a maximum amortization period of 40 years repay the Flexible Subsidy Operating FHA’s regulations. The project location is for the projects identified in the ‘‘Multifamily Assistance Loan in full when it became due. Tyler, TX. Pipeline Projects’’. Deferring the loan payment will preserve the Nature of Requirement: The regulation at Granted By: Brian D. Montgomery, affordable housing resource for an additional 24 CFR 232.7 mandates in a board and care Assistant Secretary for Housing-Federal 40 years through the execution and home or assisted living facility that not less Housing Commissioner. recordation of a Rental Use Agreement. than one full bathroom must be provided for Date Granted: July 12, 2019. Contact: Cindy Bridges, Senior Account every four residents. Also, the bathroom Reason Waived: The extension would Executive, Department of Housing and Urban cannot be accessed from a public corridor or provide the CHFA additional time to process Development, 451 Seventh Street SW, area. the financial transactions. CHFA would offer Washington, DC 20410–8000, telephone (202) Granted By: Brian D. Montgomery, Balloon Loans which have become a standard 402–2603. Assistant Secretary for Housing—Federal product in the affordable housing industry. • Regulation: 24 CFR 219.220(b)(1995). Housing Commissioner. Granting this request will reduce Colorado Project/Activity: Presbyterian Apartments, Date Granted: August 9, 2019. Housing and Finance Agency’s cost of FHA Project Number 034–SH006, Harrisburg, Reason Waived: The project currently has capital, which should translate into lower PA. The owner request to defer repayment of a resident to shower ratio of 7:1. The memory rates for their borrowers, and will support the Flexible Subsidy loan on the subject care residents require assistance with their preservation efforts. project. bathing. These residents are housed in units Contact: Patricia M. Burke, Director, Office Nature of Requirement: The regulation at in a secure, lock-down area, with a half- of Multifamily Production, HTD, Department 24 CFR 219.220(b)(1995), which governs the bathroom each and access to the shower of Housing and Urban Development, 451 repayment operating assistance provided rooms through a hallway. The project meets Seventh Street SW, Washington, DC 20410– under the Flexible Subsidy Program for the State of Texas’s licensing requirements 8000, telephone (202) 402–5693. Troubled Projects, states ‘‘Assistance that has for bathing and toileting facilities. • Regulation: 24 CFR 891.805. been paid to a project owner under this Contact: Nicole M. Johnson, Operations, Project/Activity: Forest Towers-Metro, FHA subpart must be repaid at the earlier of Office of Healthcare Programs, Office of Number 075–EH051, and Meadows expiration of the term of the mortgage, Housing, Department of Housing and Urban Apartments, FHA Number 075–EH354, termination of mortgage insurance, Development, 1670 Broadway, 23rd Floor, Milwaukee, Wisconsin. The Steele prepayment of the mortgage, or a sale of the Denver, CO 80202, telephone (303) 672– Lakeshore, Limited Partnership (Proposed project.’’ 5401. Owner) seeks approval of the single-asset Granted By: Brian Montgomery, Assistant • Regulation: 24 CFR 232.7. entity requirement that will allow the Secretary for Housing-Federal Housing Project/Activity: The Retreat and Retreat projects to participate in Low-Income Commissioner. Gardens, FHA #116–22026, is an Assisted Housing Tax Credits (LIHTC) granted by the Date Granted: August 8, 2019. Living/Memory Care facility. The facility Wisconsin Housing and Economic Reason Waived: Pursuant to the authority does not meet the requirements of 24 CFR Development Authority. The projects will be contained in 24 CFR 5.110, good cause has 232.7 ‘‘Bathroom’’ of FHA’s regulations. The substantially rehabilitated and combined for been shown that it is in the public’s best project location is Rio Rancho, New Mexico. financing purposes as a single property. interest to grant this waiver. Nature of Requirement: The regulation at Nature of Requirement: The regulation at Contact: Mirline Labissiere, Transaction 24 CFR 232.7 mandates in a board and care 24 CFR 891.805, Subpart F ‘‘For-Profit Manager, Department of Housing and Urban home or assisted living facility that not less Limited Partnerships and Mixed-Finance Development, 451 Seventh Street SW, than one full bathroom must be provided for Development for Supportive Housing for the Washington, DC 20410, telephone (202) 402– every four residents. Also, the bathroom Elderly or Persons with Disabilities.’’ 6207. cannot be accessed from a public corridor or Specifically, that provision, 24 CFR 891.805 • Regulation: 24 CFR 219.220(b)(1995). area. ‘‘Definitions,’’ which defines the term Project/Activity: Jefferson Towers Granted By: Brian D. Montgomery, ‘‘Mixed-finance owner’’ as ‘‘. . . a single- Apartments, FHA Number: 047–SH018, Assistant Secretary for Housing—Federal asset, for-profit limited partnership of which Muskegon, Michigan. The owner request to Housing Commissioner. a private nonprofit organization is the sole defer repayment of the Flexible Subsidy loan Date Granted: August 9, 2019. general partner.’’ on the subject project. Reason Waived: The project currently has Granted By: Brian D. Montgomery, Nature of Requirement: The regulation at a resident to shower ratio of 5:1. The memory Assistant Secretary for Housing—Federal 24 CFR 219.220(b)(1995), which governs the care residents require assistance with Housing Commissioner. repayment operating assistance provided bathing. These residents are housed in units Date Granted: August 27, 2019. under the Flexible Subsidy Program for in a secure, lock-down area, with a half- Reason Waived: The Owner requested and Troubled Projects, states ‘‘Assistance that has bathroom each and access to the shower was granted waiver of the single-asset entity

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requirement at 24 CFR 891.805 to allow the Date Granted: August 30, 2019. to submit their SEMAP before the deadline. projects to be owned by a single for-profit Reason Waived: The HA requested relief Approval of this waiver prevents the waste Limited Partnership to facilitate tax credit from compliance for additional time to of staff resources and funding needed to financing. Granting this waiver allows the submit its financial reporting requirements complete corrective action plans and conduct projects to participate in LIHTC financing for the fiscal year end (FYE) of June 30, 2018. site visits at an agency that does not have and meet the Department’s criteria with The HA is still recovering from damages compliance related issues. respect to the refinancing and rehabilitation. resulting from Hurricane Maria that were Contact: Becky Primeaux, Housing Contact: Crystal Martinez, Senior Account compounded by Hurricane Dorian, which Voucher Management and Operations Executive, Department of Housing and Urban began September 5, 2019. The circumstances Division, Office of Public Housing and Development, 451 Seventh Street SW, preventing the HA from submitting its FYE Voucher Programs, Office of Public and Washington, DC 20410–8000, telephone (202) 2018 audited financial data by the due date Indian Housing, Department of Housing and 402–3718. was acceptable. Accordingly, the HA has Urban Development, 451 Seventh Street SW, until September 30, 2019, to submit its Room 4216, Washington, DC 20410, III. Regulatory Waivers Granted by the audited financial information to the telephone (202) 708–0477. Office of Public and Indian Housing Department. The approval of the Financial • Regulation: 24 CFR 983.301(f)(2)(ii). For further information about the following Assessment Subsystem (FASS) audited Project/Activity: The Housing Authority of regulatory waivers, please see the name of financial submission only permits the the City of Buenaventura (HACSB) in the contact person that immediately follows extension for filing. The HA is required to Ventura, California, requested a waiver of 24 the description of the waiver granted. contact the HUDOIG Single Audit CFR 983.301(f)(2)(ii) to establish a site- • Regulation: 24 CFR 5.801(c) and 24 CFR Coordinator at specific utility allowance for all project-based 5.801(d)(1). [email protected] voucher units at Westview Village 1. Project/Activity: Municipality of San for Single Audit extensions applicable to the Nature of Requirement: The regulation 24 Lorenzo (RQ037). Federal Audit Clearinghouse. CFR 983.301(f)(2)(ii) states that the PHA may Nature of Requirement: The regulation Contact: Dee Ann R. Walker, Program not establish or apply different utility establishes certain reporting compliance Manager, NASS, Real Estate Assessment allowance amounts for the project-based dates. The audited financial statements are Center, Office of Public and Indian Housing, voucher (PBV) program. The same PHA required to be submitted to the Real Estate Department of Housing and Urban utility allowance schedule applies to both the Assessment Center (REAC) no later than nine Development, 550 12th Street SW, Suite 100, tenant-based and PBV programs. months after the housing authority’s (HA) Washington, DC 20410, telephone (202) 475– Granted By: R. Hunter Kurtz, Assistant fiscal year end (FYE), in accordance with the 7908. Secretary for Public and Indian Housing. Single Audit Act and OMB Circular A–133. • Regulation: 24 CFR 983.503(a)(3). Date Granted: July 31, 2019. Granted By: R. Hunter Kurtz, Assistant Project/Activity: Housing Catalyst in Fort Reason Waived: HACSB has demonstrated Secretary for Public and Indian Housing. Collins, CO, requested a waiver of 24 CFR that the utility allowance provided under the Date Granted: August 30, 2019. 983.503(a)(3) to set payment standards HCV Program would discourage conservation Reason Waived: The HA requested relief specific to its HUD–VASH program for one- and ultimately lead to inefficient use of HAP from compliance for additional time to bedroom and two-bedroom units. funds at Westview Village I. submit its financial reporting requirements Nature of Requirement: The regulation 24 Contact: Becky Primeaux, Housing for the fiscal year end (FYE) of June 30, 2018. CFR 983.503(a)(3) states that the PHA must Voucher Management and Operations The HA is still recovering from damages establish one payment standard for each unit Division, Office of Public Housing and resulting from Hurricane Maria that were size in its program. Voucher Programs, Office of Public and compounded by Hurricane Dorian, which Granted By: R. Hunter Kurtz, Assistant Indian Housing, Department of Housing and began September 5, 2019. The circumstances Secretary for Public and Indian Housing. Urban Development, 451 Seventh Street SW, preventing the HA from submitting its FYE Date Granted: July 19, 2019. Room 4216, Washington, DC 20410, 2018 audited financial data by the due date Reason Waived: Housing Catalyst has telephone (202) 708–0477. was acceptable. Accordingly, the HA has demonstrated that a high percentage of HUD– [FR Doc. 2019–25390 Filed 11–21–19; 8:45 am] until August 31, 2019, to submit its audited VASH voucher recipients were unsuccessful financial information to the Department. The in finding a unit due to extremely low BILLING CODE 4210–67–P approval of the Financial Assessment vacancy rates, increasing rents, and scarcity Subsystem (FASS) audited financial of one-bedroom units. The higher payment submission only permits the extension for standards for HUD–VASH participants will DEPARTMENT OF HOUSING AND filing. The HA is required to contact the help participants find housing in a URBAN DEVELOPMENT HUDOIG Single Audit Coordinator at reasonable timeframe. [Docket No. FR–6187–N–01] [email protected] Contact: Becky Primeaux, Housing Voucher Management and Operations for Single Audit extensions applicable to the White House Council on Eliminating Federal Audit Clearinghouse. Division, Office of Public Housing and Contact: Dee Ann R. Walker, Program Voucher Programs, Office of Public and Regulatory Barriers to Affordable Manager, NASS, Real Estate Assessment Indian Housing, Department of Housing and Housing; Request for Information Center, Office of Public and Indian Housing, Urban Development, 451 Seventh Street SW, AGENCY: Office of the Assistant Department of Housing and Urban Room 4216, Washington, DC 20410, Development, 550 12th Street SW, Suite 100, telephone (202) 708–0477. Secretary for Policy Development and Washington, DC 20410, telephone (202) 475– • Regulation: 24 CFR 985.101(a). Research (PD&R), Department of 7908. Project/Activity: Cozad Housing Authority Housing and Urban Development • Regulation: 24 CFR 5.801(c) and 24 CFR in Dawson, Nebraska, requested a waiver of (HUD). 5.801(d)(1). 24 CFR 985.101(a) for HUD to approve their ACTION: Request for Information. Project/Activity: Puerto Rico Department of SEMAP certification submission after the end Housing (RQ901). of the fiscal year. SUMMARY: Consistent with President Nature of Requirement: The regulation Nature of Requirement: The regulation at Trump’s Executive Order 13878, establishes certain reporting compliance 24 CFR 985.101(a) states that the PHA must ‘‘Establishing a White House Council on dates. The audited financial statements are submit the HUD-required SEMAP Eliminating Regulatory Barriers to required to be submitted to the Real Estate certification form within 60 calendar days Affordable Housing,’’ dated June 25, Assessment Center (REAC) no later than nine after the end of the fiscal year. months after the housing authority’s (HA) Granted By: R. Hunter Kurtz, Assistant 2019, this document informs the public fiscal year end (FYE), in accordance with the Secretary for Public and Indian Housing. that HUD requests public comment on Single Audit Act and OMB Circular A–133. Date Granted: July 23, 2019. Federal, State, local, and Tribal laws, Granted By: R. Hunter Kurtz, Assistant Reason Waived: Due to unexpected staffing regulations, land use requirements, and Secretary for Public and Indian Housing. and system related issues, CHA was not able administrative practices that artificially

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raise the costs of affordable housing access this number through TTY by live in or near the communities they development and contribute to calling the toll-free Federal Relay serve.’’ shortages in housing supply. Service at 1–800–877–8339. As referenced in the Executive Order, DATES: Comment Due Date: January 21, SUPPLEMENTARY INFORMATION: common examples of regulatory barriers 2020. include: overly restrictive zoning and I. Context: Why the White House ADDRESSES: Interested persons are growth management controls; rent Council on Eliminating Regulatory invited to submit comments responsive controls; cumbersome building and Barriers to Affordable Housing to this request for information (RFI) to rehabilitation codes; excessive energy (Council) was Established the Regulations Division, Office of and water efficiency mandates; General Counsel, Department of President Donald J. Trump unreasonable maximum-density Housing and Urban Development, 451 established a White House Council on allowances; historic preservation 7th Street SW, Room 10276, Eliminating Regulatory Barriers to requirements; overly burdensome Washington, DC 20410–0500. Affordable Housing 1 because for many wetland or environmental regulations; Communications must refer to the above American citizens, the supply of outdated manufactured-housing regulations and restrictions; undue docket number and title. There are two available housing has not kept pace parking requirements; cumbersome and methods for submitting public with the demand for housing by time-consuming permitting and review comments. All submissions must refer prospective renters and homebuyers. procedures; tax policies that discourage to the above docket number and title. Rising housing costs are forcing families 1. Submission of Comments by Mail. to dedicate larger shares of their investment or reinvestment; overly Comments may be submitted by mail to monthly incomes to housing. In 2017, complex labor requirements; and the Regulations Division, Office of approximately 37 million renter and inordinate impact or developer fees. General Counsel, Department of owner households spent more than 30 These regulatory barriers increase the costs associated with development, and, Housing and Urban Development, 451 percent of their incomes on housing, as a result, restrict the supply of 7th Street SW, Room 10276, with more than 18 million spending housing, particularly unsubsidized Washington, DC 20410–0500. more than half of their incomes on 2. Electronic Submission of housing. Between 2001 and 2017, the middle market housing affordable to Comments. Interested persons may number of renter households allocating working families. Many of the markets with the most submit comments electronically through more than half of their incomes toward severe shortages in affordable housing the Federal eRulemaking Portal at rent increased by nearly 45 percent.2 contend with the most restrictive http://www.regulations.gov. HUD Driving the rise in housing costs is a regulatory barriers to housing strongly encourages commenters to lack of housing supply to meet rising development. submit their feedback and demand. Research has provided recommendations electronically. evidence that a major driver of high-cost II. Overview of the White House Electronic submission of comments housing is compliance with overly Council on Eliminating Regulatory allows the commenter maximum time to prescriptive construction and Barriers to Affordable Housing prepare and submit a response, ensures development requirements or The Executive Order directs the timely receipt by HUD, and enables regulations.3 Regulations are often Secretary of HUD, or his designee, to HUD to make comments immediately necessary to protect the health and chair the Council, in tandem with the available to the public. Comments safety of American citizens, such as Assistant to the President for Domestic submitted electronically through the clean air, water or disaster mitigation Policy and the Assistant to the President http://www.regulations.gov website can practices. However, outdated and overly for Economic Policy, or their designees, be viewed by other commenters and burdensome, time-consuming, and as Vice Chairs. In addition to the Chair interested members of the public. costly regulatory requirements and and Vice Chairs, the Council consists of Commenters should follow the restrictions prolong the completion of the following officials, or their instructions provided on that site to new housing supply and those costs are designees: The Secretaries of the submit comments electronically. shifted to the consumer, particularly in Treasury, Interior, Agriculture, Labor, Note: To receive consideration as public tight markets. Transportation, Energy; the comments, responses must be submitted As the Executive Order states, Administrator of the Environmental through one of the two methods specified ‘‘Increasing the supply of housing by Protection Agency; the Director of the above. It is not acceptable to submit removing overly burdensome regulatory Office of Management and Budget; the comments by facsimile (fax) or electronic barriers will reduce housing costs, boost Chairman of the Council of Economic mail. Again, all submissions must refer to the economic growth, and provide more docket number and title of the notice. Advisors; the Deputy Assistant to the Americans with opportunities for President and Director of Public Inspection of Public economic mobility. In addition, it will Intergovernmental Affairs; and the Comments. All properly submitted strengthen American communities and heads of such other executive comments and communications the quality of services offered in them departments and agencies (agencies) submitted to HUD will be available for by allowing hardworking Americans to and offices as the President, Chair, or public inspection and downloading at Vice Chairs may, from time to time, http://www.regulations.gov. 1 Executive Order 13878 of June 25, 2019. designate or invite, as appropriate. FOR FURTHER INFORMATION CONTACT: ‘‘Establishing a White House Council on The Executive Order directs the Eliminating Regulatory Barriers to Affordable Contact Pamela Blumenthal, Office of Housing,’’ 84 FR 30853. June 28, 2019. Council to: Policy Development and Research, www.federalregister.gov/d/2019-14016. (a) Solicit feedback from State, local, Department of Housing and Urban 2 Joint Center for Housing Studies (2019). State of and Tribal government officials, as well Development, 451 7th Street SW, Room the Nation’s Housing 2019. https:// as relevant private-sector stakeholders, 8138, Washington, DC 20410–0500; www.jchs.harvard.edu/state-nations-housing-2019. developers, homebuilders, creditors, 3 Joseph Gyourko and Raven Molloy, ‘‘Regulation telephone number 202–402–7012 (this and Housing Supply,’’ (working paper No. 20536, real estate professionals, manufacturers, is not a toll-free number). Persons with National Bureau of Economic Research, Cambridge, academic researchers, renters, hearing or speech impairments may MA, October 2014), 1. advocates, and homeowners, to:

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i. Identify Federal, State, local, and manufacturers, architects, engineers, fair authority to their local government Tribal laws, regulations, and housing professionals, urban planners, units. Additionally, States have left it to administrative practices that artificially economists, academic researchers, the local jurisdictions to create their raise the costs of housing development renters, homeowners, creditors, own governing structure and to delegate and contribute to shortages in housing multifamily-housing owners, and further authority across local supply, and public-housing agencies. government silos, often leading to ii. Identify practices and strategies fragmented, overlapping or duplicative IV. Specific Information Requested that most successfully reduce and review processes of construction remove burdensome Federal, State, While HUD welcomes comments on projects. Finally, States almost always local, and Tribal laws, regulations, and all aspects of developing a plan for impose a bifurcated review process for administrative practices that artificially reducing barriers to affordable housing larger scale infrastructure projects that raise the costs of housing development, development, HUD is particularly require environmental review. However, while highlighting actors that interested in receiving information, States, by their regional nature, are more successfully implement such practices data, analyses, and recommendations on attuned with how local policies have and strategies; the following: larger economic consequences to (b) Evaluate and quantify the effect (1) Federal Barriers to Affordable regional economies. In thinking about that various Federal, State, local, and Housing Development. HUD requests the role of the state in the building Tribal regulatory barriers have on comments that identify specific HUD construction industry, consider the affordable-housing development, and regulations, statutes, programs and following questions: the economy in general, and identify practices that directly or indirectly a. In what ways do State-level laws, ways to improve the data available to restrict the supply of housing or practices, and programs contribute to the public and private researchers who increase the cost of housing. In thinking delays in the construction industry? Are evaluate such effects, without violating about the impact that the laws, there particular laws, practices and privacy laws or creating unnecessary regulations, statutes, programs and programs that could be reviewed for burdens; policies of HUD programs may have on potential barriers? (c) Identify and assess the actions the housing construction and b. What are the policy interventions, each agency can take under existing development industry, please consider: solutions or strategies available to State authorities to minimize Federal a. Federal laws, regulations, and decision makers for incentivizing local regulatory barriers that unnecessarily administrative practices of HUD governments to review their regulatory raise the costs of housing development; programs that directly or indirectly environment? To aid them in (d) Assess the actions each agency can artificially raise the costs of housing streamlining, reducing or eliminating take under existing authorities to align, development and contribute to the negative impact of local and State support, and encourage State, local, and shortages in housing supply, in HUD’s laws, regulations, and administrative Tribal efforts to reduce regulatory program implementation itself, or practices identified in the question barriers that unnecessarily raise the because of their impact on State, local, above? costs of housing development; and and Tribal government policymaking. (3) Local Barriers to Affordable (e) Recommend Federal, State, local, Do these laws, regulations, or Housing Development. While a and Tribal actions and policies that administrative practices produce any traditional characterization for the would: benefits to the resident, homeowner, adoption and maintenance of some i. Reduce and streamline statutory, state, or locality that would be barriers to affordable housing regulatory, and administrative burdens eliminated if the requirement were development is that they reflect a ‘‘Not at all levels of government that inhibit reduced or eliminated? in My Back Yard’’ (‘‘NIMBY’’) the development of affordable housing; b. Recommendations, strategies, disposition, their widespread and long- and solutions or best practice models that term prevalence suggests some ii. Encourage state and local have been established to streamline, substantive bases for their existence. For governments to reduce regulatory reduce or eliminate overly restrictive the purposes of this RFI, we define barriers to the development of construction and development ‘‘local’’ to include all local government affordable housing. regulations, requirements or units that have constitutional authority administrative practices identified given by the State to make decisions on III. Purpose of This Request for above. land use planning and growth Information c. What are the policy interventions, management, including cities, towns, The purpose of this Request for solutions or strategies available to parishes, designated places, counties, Information (RFI) is to solicit feedback federal decision makers for and rural communities, as well as that will assist the Council in incentivizing state and local regional entities that have decision- identifying Federal, State, local, and governments to review their regulatory making authority on these land-use Tribal laws, regulations, and environment? To aid them in issues under State statutes. When administrative practices that artificially streamlining, reducing or eliminating identifying regulatory barriers and raise the costs of affordable-housing the negative impact of state and local understanding the impacts on housing development and contribute to laws, regulations, and administrative costs, there are several issues to shortages in housing supply. It also practices identified in the questions consider: seeks data, other information, analyses, below? a. What are the common motivations and recommendations on methods for d. What is the potential impact, or factors that underlie the adoption of reducing these regulatory barriers. positive or negative, of streamlining, laws, regulations, and practices that The Council encourages participation reducing, or eliminating the identified demonstrably raise the cost of housing from Federal, State, local, and Tribal regulations, requirements or development? Do these considerations government officials, as well as relevant administrative practices? vary geographically? stakeholders, including developers, (2) State Barriers to Affordable b. How do local decision makers homebuilders, real estate professionals, Housing Development. Since the 1920s determine whether laws, regulations, or affordable housing advocates, States have given ultimate zoning practices artificially or unnecessarily

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contribute to this problem? Do decision recommend or implement to assist or grant/program-specific waiver) or makers undertake cost-benefit analyses, States, Tribes, and local governments in permanent; and if so, how do they use them? reducing or eliminating barriers to vii. Whether there are fair housing c. What are the policy interventions, affordable housing development. barriers to the development of solutions or strategies available to local a. Regarding HUD’s rules, regulations, affordable housing; and decision makers for streamlining, and statutes, what actions can the viii. Whether the permitting process reducing or eliminating the negative Department take to significantly reduce poses a greater, comparable, or smaller impact of these laws, regulations, and (or eliminate) barriers to affordable barrier to building housing than do the administrative practices identified in housing development while remaining regulations, such as regarding timeliness the question above? committed to its mission to expand and consistency of permitting decisions. (4) Basis for Reducing Barriers to affordable housing options and support c. HUD’s Regulatory Barriers Affordable Housing Development. In decent, safe and sanitary housing for all Clearinghouse (RBC) 4 was created to thinking about streamlining, reducing or Americans? Please provide detailed document the prevalence of regulatory eliminating barriers to affordable examples, if possible. barriers that influence the cost of housing development, please consider b. Regarding the recommendations affordable housing and offer best the following: provided to HUD above, what actions practice solutions for their removal. The a. What are the economic and social could the Department implement to clearinghouse is an easily searchable benefits to American families and create incentives for States, Tribes, or electronic database that contains more individuals, the local community, the local jurisdictions to encourage than 4,800 barriers and solutions and State or Tribe, and the nation that regulatory review and reform? For catalogs information that spans all 50 would be realized by reducing communities that have achieved states and more than 460 cities and regulatory barriers to affordable housing regulatory reform, how might the counties. Best practices have been development? Department learn from successful previously highlighted in a HUD i. To what extent is there agreement policies that were adopted at the State, publication called Breakthroughs, that specific regulations and Tribal, or local level? How might the which was a bi-monthly e-newsletter administrative practices result in higher Department create guidance for other accessible where community actors cost or reduced availability of affordable jurisdictions looking to achieve reform? could share their stories about reform market rate housing for potential (6) Research Questions. strategies that work. Representatives homeowners and renters? a. What peer-reviewed research and/ from the housing industry, the National ii. Assuming agreement that specific or representative surveys provide League of Cities, the National regulations and administrative practices quantitative analyses on the impact of Association of Counties, the National create impediments to affordable regulations on cost of affordable housing Association of Mayors and many other housing development by increasing the development? Do these analyses private, public and advocacy groups costs of either construction of housing demonstrate evidence on the degree or have contributed to these efforts. HUD’s or preservation of housing supply, are severity of impact? How strongly Office of Policy Development & these costs of such regulation and supported are the conclusions of the Research continues to manage the RBC practices quantifiable? What evidence is research? Provide citations for research database and staff are developing ideas there to support this finding? referenced. b. Are there regulations that may for how the research community could b. What performance measures, delay the process of building affordable use the information to conduct quantitative and/or qualitative, should housing but are necessary to ensure a regulatory barriers research. For the the Council consider in assessing the certain level of quality is achieved in purpose of this RFI, we ask for reduction of barriers nationally or the construction? recommendations on how best to utilize c. How should one evaluate the cost regionally? What are the advantages and this important source of information for of burdensome regulations on the local disadvantages of each measure? Among States, local governments, researchers housing market? How should one the measures recommended above, how and policy analysts who are tracking determine the benefits of reducing those should they be prioritized? Such reform activity across the country. measures could include, but would not costs? IV. Request for Information Response be limited to, the following: i. If you have knowledge of Guidelines jurisdictions that have successfully i. The rate of housing production, implemented creative solutions to considering a range of cofactors, If you submit comments by mail, your reduce regulatory barriers, please including domestic and international response should be no longer than 50 describe specific land use requirements migration patterns and rates of family pages. Please provide the following that were demonstrated to have raised formation; information at the start of your response the cost of housing. ii. The number of housing to this RFI: Company/institution name ii. In responding to item (i) above, construction permits, construction (if applicable); contact information, please discuss how these jurisdictions starts, and completions; including address, phone number, and offered incentives, sanctions or iii. The number of burden-reducing email address. Do not submit implemented policies that effectively legislative or regulatory actions, Confidential Business Information (CBI) reduced or eliminated overly restrictive, considering suitable baselines; in your response to this RFI. Responses outdated, or otherwise burdensome land iv. A list of best practice models based identified as containing CBI will not be use regulations. on recommendations from stakeholders reviewed and will be discarded. iii. For jurisdictions that considered and the public and reviewed by subject Please identify each answer by reducing the barriers but ultimately did matter experts; responding to a specific question or not take action to do so, what was the v. Housing development processing topic if applicable. You may answer as basis for that inaction? times and costs, considering a range of many or as few questions as you wish. (5) Plan Development and cofactors; HUD will not respond to individual Implementation. In general, HUD is vi. Whether jurisdictions’ barrier interested in what actions it should reduction was temporary (e.g., a project- 4 https://www.huduser.gov/portal/rbc/home.html.

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submissions or publish publicly a MAHRA, all of which prescribe the use data sources for the nine cost indicators compendium of responses. of the OCAF in the calculation of selected used were as follows: To help you prepare your comments, renewal rents, contain similar language. • Labor Costs: First quarter, 2019 please see the How Do I Prepare HUD has therefore used a single Bureau of Labor Statistics (BLS) ECI, Effective Comments segment of the methodology for establishing OCAFs, Private Industry Wages and Salaries, All Commenting on HUD Rules web page, which vary among states and territories. Workers (Series ID CIU2020000000000I) https://www.hud.gov/program_offices/ MAHRA gives HUD broad discretion at the national level and Private general_counsel/Commenting-On-HUD- in setting OCAFs, referring, for example, Industry Benefits, All Workers (Series Rules#1. While that web page is written in sections 524(a)(4)(C)(i), 524(b)(1)(A), ID CIU2030000000000I) at the national for commenting on regulatory proposals, 524(b)(3)(A) and 524(c)(1) simply to ‘‘an level. • these tips are generally applicable to operating cost adjustment factor Property Taxes: Census Quarterly this RFI. established by the Secretary.’’ The sole Summary of State and Local Government Tax Revenue—Table 1 Dated: November 14, 2019. limitation to this grant of authority is a specific requirement in each of the https://www.census.gov/econ/ Seth Appleton, currentdata/dbsearch?program= Assistant Secretary for Policy Development foregoing provisions that application of an OCAF ‘‘shall not result in a negative QTAX&startYear=2017&end and Research. Year=2019&categories=QTAXCAT1& [FR Doc. 2019–25388 Filed 11–21–19; 8:45 am] adjustment.’’ Contract rents are adjusted by applying the OCAF to that portion of dataType=T01&geoLevel= BILLING CODE 4210–67–P the rent attributable to operating US¬Adjusted=1&submit= expenses exclusive of debt service. GET+DATA&releaseScheduleId=12- month property taxes are computed as The OCAFs provided in this notice DEPARTMENT OF HOUSING AND the total of four quarters of tax receipts are applicable to eligible projects having URBAN DEVELOPMENT for the period from April through a contract anniversary date of February March. Total 12-month taxes are then [Docket No. FR–6183–N–01] 11, 2020 or after and were calculated divided by the number of occupied using the same method as those Notice of Certain Operating Cost housing units to arrive at average 12- published in HUD’s 2019 OCAF notice Adjustment Factors for 2020 month tax per housing unit. The published on November 23, 2018 (83 FR number of occupied housing units is AGENCY: Office of the Assistant 59404). Specifically, OCAFs are taken from the estimates program at the Secretary for Housing—Federal Housing calculated as the sum of weighted Bureau of the Census. http:// Commissioner, HUD. component cost changes for wages, www.census.gov/housing/hvs/data/ employee benefits, property taxes, ACTION: Notice. histtab8.xlsx. insurance, supplies and equipment, fuel • Goods, Supplies, Equipment: May SUMMARY: This notice establishes oil, electricity, natural gas, and water/ operating cost adjustment factors 2018 to May 2019 Bureau of Labor sewer/trash using publicly available Statistics (BLS) Consumer Price Index, (OCAFs) for project-based assistance indices. The weights used in the OCAF contracts issued under Section 8 of the All Items Less Food, Energy and Shelter calculations for each of the nine cost (Series ID CUUR0000SA0L12E) at the United States Housing Act of 1937 and component groupings are set using renewed under the Multifamily Assisted national level. current percentages attributable to each • Insurance: May 2018 to May 2019 Housing Reform and Affordability Act of the nine expense categories. These Bureau of Labor Statistic (BLS) of 1997 (MAHRA) for eligible weights are calculated in the same Consumer Price Index, Tenants and multifamily housing projects having an manner as in the November 23, 2018 Household Insurance Index (Series ID anniversary date on or after February 11, notice. Average expense proportions CUUR0000SEHD) at the national level. 2020. OCAFs are annual factors used to were calculated using three years of • Fuel Oil: October 2018–March 2019 adjust Section 8 rents renewed under audited Annual Financial Statements U.S. Weekly Heating Oil and Propane section 515 or section 524 of MAHRA. from projects covered by OCAFs. The Prices report. Average weekly DATES: Applicability Date: February 11, expenditure percentages for these nine residential heating oil prices in cents 2020. categories have been found to be very per gallon excluding taxes for the period FOR FURTHER INFORMATION CONTACT: stable over time but using three years of from October 1, 2018 through the week Carissa Janis, Program Analyst, Office of data increases their stability. The nine of March 25, 2019 are compared to the Asset Management and Portfolio cost component weights were calculated average from October 2, 2017 through Oversight, Department of Housing and at the state level, which is the lowest the week of March 26, 2018. For the Urban Development, 451 7th Street SW, level of geographical aggregation with States with insufficient fuel oil Washington, DC 20410; telephone enough projects to permit statistical consumption to have separate estimates, number 202–402–2487 (this is not a toll- analysis. These data were not available the relevant regional Petroleum free number). Hearing- or speech- for the Western Pacific Islands, so data Administration for Defense Districts impaired individuals may access this for Hawaii were used as the best (PADD) change between these two number through TTY by calling the toll- available indicator of OCAFs for these periods is used; if there is no regional free Federal Relay Service at 800–877– areas. PADD estimate, the U.S. change 8339. The best current price data sources for between these two periods is used. SUPPLEMENTARY INFORMATION: the nine cost categories were used in http://www.eia.gov/dnav/pet/pet_pri_ calculating annual change factors. State- wfr_a_EPD2F_prs_dpgal_w.htm. I. OCAFs level data for fuel oil, electricity, and • Electricity: Energy Information Section 514(e)(2) and section 524(c)(1) natural gas from Department of Energy Agency, February 2019 ‘‘Electric Power of MAHRA (42 U.S.C. 1437f note) surveys are relatively current and Monthly’’ report, Table 5.6.B. http:// require HUD to establish guidelines for continue to be used. Data on changes in www.eia.gov/electricity/monthly/epm_ the development of OCAFs for rent employee benefits, insurance, property table_grapher.cfm?t=epmt_5_06_b. adjustments. Sections 524(a)(4)(C)(i), taxes, and water/sewer/trash costs are • Natural Gas: Energy Information 524(b)(1)(A), and 524(b)(3)(A) of only available at the national level. The Agency, Natural Gas, Residential Energy

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Price, 2017–2018 annual prices in allowed for tenant-purchased utilities); OPERATING COST ADJUSTMENT dollars per 1,000 cubic feet at the state or (3) comparable market rents for the FACTORS FOR 2020—Continued level. Due to EIA data quality standards market area. several states were missing data for one III. Findings and Certifications State OCAF (%) or two months in 2018; in these cases, data for these missing months were Environmental Impact Michigan ...... 2.3 Minnesota ...... 2.5 estimated using data from the This notice sets forth rate surrounding months in 2018 and the Mississippi ...... 2.2 determinations and related external Missouri ...... 1.8 relationship between that same month administrative requirements and Montana ...... 2.1 and the surrounding months in 2017. _ _ procedures that do not constitute a Nebraska ...... 2.1 http://www.eia.gov/dnav/ng/ng pri Nevada ...... 2.5 _ _ _ _ _ development decision affecting the sum a EPG0 PRS DMcf a.htm. physical condition of specific project New Hampshire ...... 2.6 • Water and Sewer: May 2018 to May areas or building sites. Accordingly, New Jersey ...... 2.2 2019 Consumer Price Index, All Urban New Mexico ...... 2.1 under 24 CFR 50.19(c)(6), this notice is Consumers, Water and Sewer and Trash New York ...... 2.5 categorically excluded from Collection Services (Series ID North Carolina ...... 2.4 environmental review under the CUUR0000SEHG) at the national level. North Dakota ...... 2.2 The sum of the nine cost component National Environmental Policy Act of Ohio ...... 2.0 percentage weights equals 100 percent 1969 (42 U.S.C. 4321). Oklahoma ...... 1.8 of operating costs for purposes of OCAF Oregon ...... 2.4 Paperwork Reduction Act Pacific Islands ...... 3.4 calculations. To calculate the OCAFs, This notice does not impact the Pennsylvania ...... 2.1 state-level cost component weights information collection requirements Puerto Rico ...... 2.4 developed from AFS data are multiplied already submitted to the Office of Rhode Island ...... 3.3 by the selected inflation factors. For Management and Budget (OMB) under South Carolina ...... 2.1 instance, if wages in Virginia comprised South Dakota ...... 2.0 the Paperwork Reduction Act of 1995 50 percent of total operating cost Tennessee ...... 2.2 (44 U.S.C. 3501–3520). In accordance expenses and increased by 4 percent Texas ...... 2.3 with the Paperwork Reduction Act, an from 2018 to 2019 the wage increase Utah ...... 2.2 agency may not conduct or sponsor, and component of the Virginia OCAF for Vermont ...... 2.2 a person is not required to respond to, 2020 would be 2.0 percent (50% * 4%). Virgin Islands ...... 2.2 a collection of information unless the Virginia ...... 2.3 This 2.0 percent would then be added collection displays a currently valid Washington ...... 2.3 to the increases for the other eight OMB control number. West Virginia ...... 2.0 expense categories to calculate the 2020 Wisconsin ...... 2.3 OCAF for Virginia. For states where the Catalog of Federal Domestic Assistance Wyoming ...... 2.2 calculated OCAF is less than zero, the Number US ...... 2.2 OCAF is floored at zero. The OCAFs for The Catalog of Federal Domestic Assistance Number for this program is 2020 are included as an Appendix to 14.195. [FR Doc. 2019–25389 Filed 11–21–19; 8:45 am] this Notice. BILLING CODE 4210–67–P Dated: November 18, 2019. II. MAHRA OCAF Procedures John Garvin, Sections 514 and 515 of MAHRA, as General Deputy Assistant Secretary for DEPARTMENT OF THE INTERIOR amended, created the Mark-to-Market Housing. program to reduce the cost of federal APPENDIX Fish and Wildlife Service housing assistance, to enhance HUD’s administration of such assistance, and [FWS–HQ–MB–2019–N154; FF09M13200, OPERATING COST ADJUSTMENT to ensure the continued affordability of FXMB12330900000 (201); OMB Control units in certain multifamily housing FACTORS FOR 2020 Number 1018–0135] projects. Section 524 of MAHRA State OCAF (%) Agency Information Collection authorizes renewal of Section 8 project- Activities; Submission to the Office of based assistance contracts for projects Alabama ...... 2.1 Management and Budget for Review without restructuring plans under the Alaska ...... 2.8 and Approval; Electronic Federal Duck Mark-to-Market program, including Arizona ...... 2.4 Stamp Program projects that are not eligible for a Arkansas ...... 2.0 restructuring plan and those for which California ...... 2.5 AGENCY: Fish and Wildlife Service, the owner does not request such a plan. Colorado ...... 2.2 Interior. Connecticut ...... 2.5 Renewals must be at rents not exceeding ACTION: Delaware ...... 1.9 Notice of information collection; comparable market rents except for District of Columbia ...... 2.2 request for comment. certain projects. As an example, for Florida ...... 2.3 SUMMARY: Section 8 Moderate Rehabilitation Georgia ...... 2.0 In accordance with the projects, other than single room Hawaii ...... 3.4 Paperwork Reduction Act of 1995, we, occupancy projects (SROs) under the Idaho ...... 2.4 the U.S. Fish and Wildlife Service McKinney-Vento Homeless Assistance Illinois ...... 2.0 (Service), are proposing to renew an Act (42 U.S.C. 11301 et seq.), that are Indiana ...... 2.2 information collection with revisions. eligible for renewal under section Iowa ...... 2.4 DATES: Interested persons are invited to Kansas ...... 2.1 submit comments on or before 524(b)(3) of MAHRA, the renewal rents Kentucky ...... 2.0 are required to be set at the lesser of: (1) Louisiana ...... 2.0 December 23, 2019. The existing rents under the expiring Maine ...... 2.7 ADDRESSES: Send written comments on contract, as adjusted by the OCAF; (2) Maryland ...... 2.0 this information collection request (ICR) fair market rents (less any amounts Massachusetts ...... 3.3 to the Office of Management and

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Budget’s Desk Officer for the identifying information—may be that participated in the pilot. Currently, Department of the Interior by email at publicly available at any time. While the expanded program includes 25 [email protected]; or via you can ask us in your comment to States. Several additional States have facsimile to (202) 395–5806. Please withhold your personal identifying indicated interest in participating, and provide a copy of your comments to the information from public review, we we have had requests to continue to Service Information Collection cannot guarantee that we will be able to expand the program by inviting the Clearance Officer, U.S. Fish and do so. remaining eligible State fish and Wildlife Service, MS: BPHC, 5275 Abstract: On March 16, 1934, wildlife agencies to apply to participate. Leesburg Pike, Falls Church, VA 22041– Congress passed, and President Franklin Interested States must submit an 3803 (mail); or by email to Info_Coll@ D. Roosevelt signed, the Migratory Bird application (FWS Form 3–2341). We fws.gov. Please reference OMB Control Hunting Stamp Act (16 U.S.C. 718a et will use the information provided in the Number 1018–0135 in the subject line of seq.). Popularly known as the Duck application to determine a State’s your comments. Stamp Act, it requires all migratory eligibility to participate in the program. FOR FURTHER INFORMATION CONTACT: To waterfowl hunters 16 years of age or Information includes, but is not limited older to buy a Federal migratory bird to: request additional information about • this ICR, contact Madonna L. Baucum, hunting and conservation stamp Information verifying the current Service Information Collection (Federal Duck Stamp) annually. The systems the State uses to sell hunting, Clearance Officer, by email at Info_ stamps are a vital tool for wetland fishing, and other associated licenses [email protected], or by telephone at (703) conservation. Ninety-eight cents out of and products. • Applicable State laws, regulations, 358–2503. You may also view the ICR every dollar generated by the sale of or policies that authorize the use of at http://www.reginfo.gov/public/do/ Federal Duck Stamps goes directly to electronic systems to issue licenses. PRAMain. purchase or lease wetland habitat for protection in the National Wildlife • Examples and explanations of the SUPPLEMENTARY INFORMATION: In Refuge System. The Federal Duck Stamp codes the State proposes to use to create accordance with the Paperwork program is one of the most successful and endorse the unique identifier for the Reduction Act of 1995, we provide the conservation programs ever initiated individual to whom each stamp is general public and other Federal and is a highly effective way to conserve issued. agencies with an opportunity to America’s natural resources. Besides • Mockup copy of the printed version comment on new, proposed, revised, serving as a hunting license and a of the State’s proposed electronic stamp, and continuing collections of conservation tool, a current year’s including a description of the format information. This helps us assess the Federal Duck Stamp also serves as an and identifying features of the licensee impact of our information collection entrance pass for national wildlife to be specified on the stamp. • requirements and minimize the public’s refuges where admission is charged. Description of any fee the State will reporting burden. It also helps the Duck Stamps and products that bear charge for issuance of an electronic public understand our information stamp. stamp images are also popular • collection requirements and provide the collector’s items. Description of the process the State requested data in the desired format. The Electronic Duck Stamp Act of will use to account for and transfer the On March 15, 2019, we published a 2005 (Pub. L. 109–266) required the amounts collected by the State that are Federal Register notice soliciting Secretary of the Interior to conduct a 3- required to be transferred under the comments on this collection of program. year pilot program, under which States • information for 60 days, ending on May could issue electronic Federal Duck Manner in which the State will 14, 2019 (84 FR 9547). We did not Stamps. This pilot program is now transmit electronic stamp customer receive any substantive or relevant permanent with the passage of the data. comments in response to that Federal Permanent Electronic Duck Stamp Act Each State approved to participate in Register notice. of 2013 (Pub. L. 113–239). Anyone, the program must provide the following We are again soliciting comments on regardless of State residence, is able to information, on a weekly basis, to the the proposed ICR that is described purchase an electronic Duck Stamp Service-approved stamp distribution below. We are especially interested in through any State that participates in company, to enable that company to public comment addressing the the program. The electronic stamp is issue the actual stamp within the following issues: (1) Is the collection valid from the date of purchase through required 45-day period: • Full name (first, middle, last, and necessary to the proper functions of the up to 45 days after the date of purchase, any prefixes/suffixes), and complete Service; (2) will this information be and thus is available for immediate use mailing address of each individual who processed and used in a timely manner; by the purchaser while he or she waits purchases an electronic stamp from the (3) is the estimate of burden accurate; to receive the actual physical stamp in (4) how might the Service enhance the State. the mail. After 45 days, the purchaser • Date of e-stamp purchase. quality, utility, and clarity of the must carry the signed physical Federal Title of Collection: Electronic Federal information to be collected; and (5) how Duck Stamp while hunting or to gain Duck Stamp Program. might the Service minimize the burden fee-free access to national wildlife OMB Control Number: 1018–0135. of this collection on the respondents, refuges. Form Number: FWS Form 3–2341. including through the use of Eight States participated in the pilot. Type of Review: Extension of a information technology. At the end of the pilot, we provided a currently approved collection. Comments that you submit in report to Congress outlining the Respondents/Affected Public: State response to this notice are a matter of successes of the program. The program fish and wildlife agencies. public record. Before including your improved public participation by Total Estimated Number of Annual address, phone number, email address, increasing the ability of the public to Respondents: 6 respondents for or other personal identifying obtain required Federal Duck Stamps. applications and 33 respondents for information in your comment, you Under our authorities in 16 U.S.C. 718 fulfillment reports. should be aware that your entire et seq., we continued the Electronic Total Estimated Number of Annual comment—including your personal Duck Stamp Program in the eight States Responses: 6 responses for applications

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and 33 respondents for fulfillment made in local news media at least 15 promotes the maximization of oil and reports. days prior to the meeting. In order for gas production from the Osage Mineral Estimated Completion Time per written comments on the DEIS to be Estate in a manner that is economic, Response: 40 hours for applications and considered, the BIA must receive them efficient, and safe; prevents pollution; 1 hour for fulfillment reports. within 45 days following the date the and is consistent with the mandates of Total Estimated Number of Annual EPA publishes its Notice of Availability Federal law. Burden Hours: 240 hours for in the Federal Register. The DEIS analyzes the following four applications and 1,353 hours for ADDRESSES: Information regarding the alternatives for managing oil and gas fulfillment reports, totaling 1,593 hours. public comment period and public development in Osage County: Respondent’s Obligation: Required to meeting will be posted on the project D Alternative 1, No Action obtain or retain a benefit. website: https://www.bia.gov/regional- Alternative. Frequency of Collection: One time for offices/eastern-oklahoma/osage-agency/ D Alternative 2, Emphasize Oil and applications, and an average of once osage-oil-and-gas-eis. Comments on the Gas Development. Minimize the number every 9 days per respondent for DEIS may be submitted by any of the of permit Conditions of Approval fulfillment reports. following methods: (COAs) to allow producers wider latitude in determining the methods by Total Estimated Annual Nonhour D Email: osagecountyoilandgaseis@ which they will comply with applicable Burden Cost: None. bia.gov An agency may not conduct or D Fax: (918) 287–5700 laws and regulations, such as the sponsor and a person is not required to D Mail or hand delivery: Osage County Endangered Species Act of 1973 and respond to a collection of information Oil and Gas EIS, BIA Osage Agency, Clean Water Act of 1972. D Alternative 3, Hybrid Development. unless it displays a currently valid OMB Attn: Superintendent, P.O. Box 1539, A hybrid approach, by applying control number. Pawhuska, OK 74056 additional protective COAs in sections The authority for this action is the The DEIS may be examined at the BIA with low levels of historical oil and gas Paperwork Reduction Act of 1995 (44 Osage Agency, 813 Grandview Avenue, development minimizing the number of U.S.C. 3501 et seq.). Pawhuska, Oklahoma. The DEIS is also COAs in sections with high levels of Dated: November 19, 2019. available for review online at the project historical oil and gas development. The Madonna Baucum, website listed above. BIA would not approve permits for new Information Collection Clearance Officer, U.S. FOR FURTHER INFORMATION CONTACT: Mr. ground-disturbing oil and gas Fish and Wildlife Service. Mosby Halterman, Supervisory development activities in certain [FR Doc. 2019–25366 Filed 11–21–19; 8:45 am] Environmental Specialist, telephone: sensitive areas. 918–781–4660; email: BILLING CODE 4333–15–P D Alternative 4, Enhanced Resource [email protected]; address: BIA Protection. Apply additional protective Eastern Oklahoma Regional Office, PO COAs in all areas and implement well- DEPARTMENT OF THE INTERIOR Box 8002, Muskogee, OK 74402. spacing requirements. The BIA would SUPPLEMENTARY INFORMATION: The Osage not approve permits for new ground- Bureau of Indian Affairs Allotment Act of 1906 (1906 Act), as disturbing oil and gas development amended, reserved all rights to the [AAK6006201 210A2100DD activities in certain sensitive areas. AOR3030.999900] subsurface mineral estate underlying The alternatives represent the range of Osage County, Oklahoma (Osage reasonable actions that could be taken to Draft Environmental Impact Statement Mineral Estate) to the Osage Nation. In satisfy the purpose of and need for the for Osage County Oil and Gas, Osage accordance with the 1906 Act, the Osage BIA’s action. All alternatives County, Oklahoma Mineral Estate is held in trust by the incorporate measures necessary to United States for the benefit of the address impacts on air quality, water AGENCY: Bureau of Indian Affairs, Osage Nation. All leases, applications resources, cultural resources, public Interior. for permits to drill, and other site- health and safety, threatened and ACTION: Notice of availability. specific permit applications in Osage endangered species, and County are approved under the socioeconomics among other things. SUMMARY: This notice advises the public authority of the 1906 Act, as amended, Additional alternatives were considered that the Bureau of Indian Affairs (BIA), and 25 Code of Federal Regulations but eliminated from detailed analysis. as the lead Federal agency, and the (CFR), part 226, Leasing of Osage The Notice of Intent to prepare an EIS Osage Nation, Osage Minerals Council, Reservation Lands for Oil and Gas was published in the Federal Register U.S. Geological Survey (USGS), and Mining. on July 26, 2013 (78 FR 45266). At that Environmental Protection Agency The purpose of the BIA’s action is to time, analysis of oil and gas (EPA), as cooperating agencies, have administer leasing and development of development in Osage County was to be prepared a Draft Environmental Impact the Osage Mineral Estate in the best included in the Bureau of Land Statement. The Osage County Oil and interest of the Osage Nation, in Management (BLM)-BIA Oklahoma, Gas Draft Environmental Impact accordance with the 1906 Act, as Kansas, and Texas (OKT) Joint EIS/BLM Statement (DEIS) analyzes the potential amended, balancing resource Resource Management Plan (RMP)/BIA impacts that future oil and gas conservation and maximization of oil Integrated Resource Management Plan development will have on the surface and gas production in the long term. (IRMP). In response to issues raised estate and subsurface mineral estate in The BIA is required, under more during scoping for the OKT Joint EIS/ Osage County, Oklahoma. This notice generally applicable statutes, to include BLM RMP/BIA IRMP, and at the request announces that the DEIS is available for in the best interest calculation the of the Osage Minerals Council, the BIA public review and that the BIA will hold protection of the environment in Osage decided that the Osage County Oil and a public meeting to receive comments. County to enhance conservation of Gas EIS would be prepared as a separate DATES: A public meeting will be held at resources and protection of the health document. In November 2015, the BIA location and time to be announced. and safety of the Osage people. Based on published the Osage County Oil and Gas Notice of the public meeting will be these considerations, the BIA’s action DEIS (2015 DEIS). Following the

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comment period on the 2015 DEIS, the review, we cannot guarantee that we To ensure that comments on the BIA determined that a new draft EIS will be able to do so. proposed target shooting closure will be needed to be prepared to address Authority: This notice is published in considered, the BLM must receive comments received and take additional accordance with Section 1503.1 of the written comments by January 21, 2020. information into consideration. Council on Environmental Quality ADDRESSES: The Proposed RMP and The Supplemental Notice of Intent to regulations (40 CFR 1500 et seq.) and Final EIS is available on the BLM Revise the Osage County Oil and Gas the Department of the Interior ePlanning project website at https:// EIS was published in the Federal Regulations (43 CFR part 46) go.usa.gov/xRphc. Hard copies of the Register on April 11, 2016 (81 FR implementing the procedural Proposed RMP/Final EIS are also 21376). On April 28, 2016, the BIA requirements of NEPA (42 U.S.C. 4321 available for public inspection at the hosted a public scoping meeting in et seq.), and in accordance with the BLM Lopez Island Office, 37 Washburn Pawhuska, Oklahoma. Key issues authority delegated to the Assistant Place, Lopez Island, Washington 98261; identified during scoping included Secretary—Indian Affairs, in Part 209 of BLM Spokane District Office, 1103 potential impacts on visual and the Departmental Manual. North Fancher Road, Spokane Valley, aesthetic resources, vegetation, soils, Dated: November 18, 2019. WA 99212; and BLM Oregon/ rangeland, livestock, fish and wildlife, Tara Sweeney, Washington State Office, 1220 SW 3rd special status species, human health Assistant Secretary, Indian Affairs. Avenue, Portland, Oregon 97204. and property, air quality and climate [FR Doc. 2019–25413 Filed 11–21–19; 8:45 am] Instructions for filing a protest with change; promotion of economic BILLING CODE 4337–15–P the Director of the BLM regarding the development; impacts on groundwater Proposed RMP may be found online at and surface water quality and quantity; www.blm.gov/programs/planning-and- impacts from roads and noise; DEPARTMENT OF THE INTERIOR nepa/public-participation/filing-a-plan- seismicity; promotion of the Osage protest and at 43 CFR 1610.5–2. Mineral Estate; protection of cultural Bureau of Land Management You may submit comments on the resources; and measures that can be [LLOR932000.L16100000.DP0000. proposed target shooting closure using taken to minimize adverse impacts from LXSSH0930000.19X.HAG 19–0118] either of the following methods: oil and gas development. Email: blm_or_sanjuanislandsnm@ Directions for Submitting Comments: Notice of Availability of the San Juan blm.gov. The public is encouraged to comment Islands National Monument Proposed Mail: Target Shooting Closure on any and all portions of the DEIS. The Resource Management Plan/Final Comments, Lopez Island BLM Office, BIA asks that those submitting Environmental Impact Statement P.O. Box 3, Lopez, WA 98261. comments make them as specific as FOR FURTHER INFORMATION CONTACT: AGENCY: Bureau of Land Management, possible with reference to chapters, Lauren Pidot, Planner, 503–808–6297; Interior. sections, page numbers, and paragraphs Lopez Island BLM Office, P.O. Box 3, ACTION: in the DEIS. The most useful comments Notice of Availability. Lopez, Washington 98261; lpidot@ are those that include new technical or SUMMARY: In accordance with the blm.gov. Persons who use a scientific information, identification of National Environmental Policy Act of telecommunications device for the deaf data gaps in the impact analysis, and 1969, as amended (NEPA), and the (TDD) may call the Federal Relay technical or scientific rationale for Federal Land Policy and Management Service (FRS) at 1–800–877–8339 to stated opinions or preferences. Please Act of 1976, as amended, the Bureau of contact the above individual during include your name, return address, and Land Management (BLM) has prepared normal business hours. The FRS is the caption ‘‘Draft EIS Comments, Osage the San Juan Islands National available 24 hours a day, 7 days a week, County Oil and Gas EIS’’ on the first Monument Proposed Resource to leave a message or a question with page of your written comments. The BIA Management Plan (RMP) and Final the above individual. You will receive will respond to comments in the Final Environmental Impact Statement (EIS) a reply during normal business hours. EIS. Comments that contain only and by this notice is announcing its SUPPLEMENTARY INFORMATION: The BLM opinions or preferences will not receive availability and the opening of a 30-day has prepared the San Juan Islands a formal response but will be considered protest period concerning the Proposed National Monument Proposed RMP/ as part of the BIA’s decision-making RMP. In accordance with the John D. Final EIS to evaluate and revise process. Dingell, Jr. Conservation, Management, potential management strategies for the Public Comment Availability: Written and Recreation Act of 2019, this notice San Juan Islands National Monument. comments, including names and also announces the opening of a 60-day Presidential Proclamation 8947 addresses of respondents, will be public comment period regarding the designated the monument on March 25, available for public review at the BIA proposed closure of the Monument 2013. The lands included in the Osage Agency, 813 Grandview Avenue, (which encompasses scattered parcels monument are not now, and have never Pawhuska, Oklahoma, during regular totaling approximately 1,000 acres) to been, covered by an RMP. The BLM business hours, 8 a.m. to 4:30 p.m., recreational target shooting (referred to currently administers these lands using Monday through Friday, except for as ‘‘discharge of firearms’’ in the RMP). a custodial management approach Federal holidays. Before including your DATES: The BLM planning regulations focused on meeting legal mandates. address, telephone number, email state that any person who meets the The decision area for this planning address, or other personal identifying conditions as described in the process comprises the approximately information in your comment, be aware regulations may protest the BLM’s 1,021 acres of lands administered by the that your entire comment—including Proposed RMP and Final EIS. A person BLM. The decision area does not your personal identifying information— who meets the conditions and files a include private lands, State lands, or may be made publicly available at any protest must file the protest within 30 Federal lands not administered by the time. While you can ask us in your days of the date that the Environmental BLM, with the exception of comment to withhold your personal Protection Agency publishes its Notice approximately 189 acres of land identifying information from public of Availability in the Federal Register. currently withdrawn to the U.S. Coast

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Guard. The U.S. Coast Guard is in the treatments to achieve objectives. close the monument to the discharge of process of relinquishing these acres. The Recreational opportunities would firearms. Under Alternative D, the BLM BLM anticipates that acres relinquished include hiking, hunting, designated site would maintain the current extent and by the U.S. Coast Guard will come camping, dispersed camping with a condition of plant communities; under BLM administration prior to the permit, trail-based equestrian use, and recreational opportunities would publication of the Record of Decision for road-based equestrian and bicycling use. include hunting and increased camping this planning process. In the event that Current hunting opportunities (firearm and hiking, biking, and equestrian use the relinquishment process is not and non-firearm based) will continue; on an expanded trail network. The BLM complete prior to the publication of the discharge of firearms and use of bows is undertaking concurrent Record of Decision, the approved RMP would be allowed during state- implementation-level travel and would only go into effect for those 189 established hunting seasons, but transportation planning. acres once they are under BLM otherwise prohibited within the There has been no recent history of administration. Monument (see below for more uses such as grazing, logging, or mining The monument includes headlands, information). Within maritime heritage within the monument. The islands, and rocks scattered across the areas, the BLM would restore historic proclamation designating the monument San Juan Islands. As a whole, the San structures and allow the rebuilding of withdrew it from entry, location, Juan Islands are comprised of private previously existing structures and the selection, sale, leasing, or other lands and an array of Federal, State, and building of new structures to support disposition under public land and local public lands. Non-BLM public education and interpretation. mining laws other than by exchange that lands include the San Juan Island Under the No Action Alternative, the furthers the protective purposes of the National Historical Park, the San Juan BLM would continue to manage the proclamation. Except for emergencies, Islands National Wildlife Refuge (a monument using a custodial approach federal law enforcement use, or portion of which is designated as the with no RMP. There would continue to authorized administrative purposes, the San Juan Wilderness), and a variety of be no plan-level objectives, direction, or proclamation also restricts motorized State and county parks. allocations, except for the limited vehicle use to designated roads and Major issues considered in the decisions made in the 1990 decision mechanized vehicle use (e.g., bicycle Proposed RMP/Final EIS include the record creating the Iceberg Point and use) to designated roads and trails. protection and restoration of the Point Colville Areas of Critical The 1990 Iceberg Point and Point ecological and cultural resources Environmental Concern (ACEC) Colville ACEC Decision Record identified in Presidential Proclamation (described below). Custodial designated the lands administered by 8947, as well as the management of management of the monument would the BLM at Iceberg Point and Point recreation, transportation, visual continue to focus on meeting legal and Colville as ACECs. These ACECs were resources, and wilderness policy mandates and preventing later extended to Watmough Bay and characteristics. unnecessary and undue degradation. Chadwick Hill after the BLM acquired The San Juan Islands National The BLM would make decisions about those areas; they now apply to Monument Draft RMP and EIS 90-day taking management actions on a case- approximately 500 acres of land public comment period began on by-case basis after completing the included in the monument. The 1990 October 5, 2018. The BLM held five appropriate level of NEPA analysis and decision record and the 1988 draft public meetings across the San Juan ensuring that actions are consistent with planning analysis of the ACECs Islands and on the mainland during the Presidential Proclamation 8947 and generally discuss protecting the areas’ public comment period. The BLM FLPMA. ‘‘natural values’’ but do not identify considered and incorporated in the Alternative A would undertake a specific relevant and important values. Proposed RMP/Final EIS, as generally passive approach to vegetation The BLM technical specialists on the appropriate, comments received from management and would prohibit planning team considered whether the the public, consulting Tribes, recreation while facilitating scientific, monument encompasses values that cooperating agencies, and internal BLM educational, cultural, and spiritual uses meet the relevance and importance review. Public comments resulted in the of the monument. Under both criteria described in the BLM Manual addition of clarifying text, minor alternatives B and C, the BLM would 1613. They determined that the whole changes to the existing alternatives, and pursue ambitious vegetation restoration of the monument contains historic and a Proposed RMP that is within the range objectives. Under Alternative B, which cultural, fish and wildlife, and scenic of alternatives and effects analyzed in was the preferred alternative in the Draft values that meet the relevance and the Draft RMP and EIS. In addition to RMP and EIS, recreational opportunities importance criteria for an ACEC. The the Proposed RMP, the Final EIS would include hiking, hunting, planning team also determined that the analyzes the four action alternatives designated site and dispersed camping, Proposed RMP and the action (Alternatives A, B, C, and D), one sub- and opportunities for pursuing solitude alternatives, which meet the purpose alternative (Sub-Alternative C), and the and quiet, which would be provided by and need of protecting the objects for No Action Alternative analyzed in the expanding the existing trail network, which the monument was designated, Draft EIS. requiring permits to access 167 acres of would protect these relevant and Under the Proposed RMP, the BLM the monument, and providing dispersed important values. Since the values do would focus on promoting ecological camping by permit. Under Alternative not require special management to resistance and resilience to threats C, recreational opportunities would protect them from the potential effects including fire, drought, and other include hiking, equestrian use, and of actions permitted by the alternatives, potential disturbances by restoring designated site camping; portions of the the action alternatives do not include existing plant communities and monument would be closed to the ACECs. enhancing the extent of grasslands and discharge of firearms except for half of In the Proposed RMP, the BLM shrublands, which are relatively scarce the firearm-based hunting season. Sub- proposes that recreational target within the San Juan Islands. The BLM Alternative C is identical to Alternative shooting (referred to as ‘‘discharge of would allow mechanical, manual, C, except the BLM would not allow the firearms’’ in the RMP) shall not be biological control, chemical, and fire use of chemical treatments and would allowed within the approximately 1,000

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acres of scattered parcels that Authority: 40 CFR 1506.6, 40 CFR 1506.10, and continuing collections of encompass the Monument. As 43 CFR 1610.2, 43 CFR 1610.5. information. This helps us assess the proposed, target shooting would be Theresa M. Hanley, impact of our information collection prohibited within these areas—which Acting State Director, Oregon/Washington. requirements and minimize the public’s reporting burden. It also helps the vary from less than 0.1 acres to [FR Doc. 2019–25177 Filed 11–21–19; 8:45 am] public understand our information approximately 400 acres—and include BILLING CODE 4310–33–P developed campgrounds, small day use collection requirements and provide the areas, small rocks and islands, structural requested data in the desired format. On May 28, 2019, we published a cultural sites (including lighthouses), DEPARTMENT OF THE INTERIOR Federal Register notice soliciting and sensitive archaeological sites. The National Park Service comments on this collection of proposed closure would help protect the information for 60 days, ending on July cultural objects and values for which [NPS–WASO–NER–NPS0028084; 29, 2019 (84 FR 24541). We did not the Monument was designated, and PPNEHATUC0, PPMRSCR1Y.CU0000 (200); receive any public comments on this OMB Control Number 1024–0232] provide for public safety at small, notice. recreational sites. The proposed closure Agency Information Collection We are again soliciting comments on would ensure that irreplaceable Activities; National Underground the proposed ICR that is described archaeological resources and structural Railroad Network to Freedom Program below. We are especially interested in cultural sites would not inadvertently, public comment addressing the or purposefully, be damaged by target AGENCY: National Park Service, Interior. following issues: (1) Is the collection shooting activities in the Monument. In ACTION: Notice of information collection; necessary to the proper functions of the addition, the proposed closure would request for comment. NPS; (2) will this information be enhance the safety of the public visiting processed and used in a timely manner; SUMMARY: In accordance with the (3) is the estimate of burden accurate; sites in the Monument, which would Paperwork Reduction Act of 1995, we, improve their experience. In accordance (4) how might the NPS enhance the the National Park Service (NPS) are quality, utility, and clarity of the with John D. Dingell, Jr. Conservation, proposing to renew an information Management, and Recreation Act of information to be collected; and (5) how collection. might the NPS minimize the burden of 2019 (Dingell Act, Pub. L. 116–9, DATES: Interested persons are invited to this collection on the respondents, Section 4103), the BLM is announcing submit comments on or before including through the use of the opening of a 60-day public comment December 23, 2019. information technology. period on the proposed target shooting ADDRESSES: Send written comments on Comments that you submit in closure. During this time-period, the this information collection request (ICR) response to this notice are a matter of BLM is only accepting comments on the to the Office of Management and public record. We will include or proposed target shooting closure. All Budget’s (OMB) Desk Officer for the summarize each comment in our request comments must be received by January Department of the Interior by email at to OMB to approve this ICR. Before 21, 2020 and must be submitted using [email protected]; or by including your address, phone number, one of the methods listed in the facsimile at 202–395–5806. Please email address, or other personal ADDRESSES section, above. provide a copy of your comments to identifying information in your All protests must be in writing and Phadrea Ponds, Information Collection comment, you should be aware that your entire comment—including your submitted as set forth in the DATES and Clearance Officer, National Park personal identifying information—may ADDRESSES sections, above. The BLM Service, 1201 Oakridge Drive, Fort be made publicly available at any time. Director will render a written decision Collins, CO 80525; or by email at While you can ask us in your comment on each protest. The decision will be [email protected]. Please reference OMB Control Number 1024– to withhold your personal identifying mailed to the protesting party. The information from public review, we decision of the BLM Director shall be 0232 in the subject line of your comments. cannot guarantee that we will be able to the final decision of the Department of do so. the Interior on each protest. Responses FOR FURTHER INFORMATION CONTACT: To Abstract: The National Underground to protest issues will be compiled and request additional information about Railroad Network to Freedom Act of formalized in a Director’s Protest this ICR contact Diane Miller, National 1998 (54 U.S.C. 308301, et seq.) Resolution Report made available Program Manager, National authorizes the NPS to collect following issuance of the decisions. Underground Railroad Network to information from applicants requesting Upon resolution of all protests, the BLM Freedom Program, National Park to join the Network to Freedom Program will issue a Record of Decision and Service, Harriet Tubman Underground (the Network). The NPS uses this Approved RMP. Railroad Visitor Center, 4068 Golden information to evaluate potential Hill Road, Church Creek, Maryland participants and to coordinate the Before including your address, phone 21622; or by email at diane_miller@ number, email address, or other preservation and education efforts nps.gov. Please reference OMB Control nationwide that integrate local historical personal identifying information in your Number 1024–0232 in the subject line of places, museums, and interpretive comment, you should be aware that your comments. You may also view the programs associated with the your entire comment—including your ICR at http://www.reginfo.gov/public/ Underground Railroad into a mosaic of personal identifying information—may do/PRAMain. community, regional, and national be made publicly available at any time. SUPPLEMENTARY INFORMATION: In stories. While you can ask us in your comment accordance with the Paperwork All entities that apply to join the to withhold your personal identifying Reduction Act of 1995, we provide the Network must have a verifiable information from public review, we general public and other Federal association with the historic cannot guarantee that we will be able to agencies with an opportunity to Underground Railroad movement and do so. comment on new, proposed, revised, complete NPS Form 10–946, ‘‘National

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Underground Railroad Network to Prospective partners must submit a Title of Collection: National Freedom Application,’’ available on our letter with the following information: Underground Railroad Network to website at http://www.nps.gov/subjects/ • Name and address of the agency, Freedom Program. ugrr/index.htm. Respondents must (1) company or organization; OMB Control Number: 1024–0232. • verify associations and characteristics Name, address, and phone, fax, and Form Number: NPS Form 10–946, through descriptive texts that are the email information of principal contact; • ‘‘National Underground Railroad result of historical research and (2) Abstract not to exceed 200 words Network to Freedom Application.’’ describing the partner’s activity or submit supporting documentation; e.g., Type of Review: Extension of a mission statement; and copies of rare documents, photographs, currently approved collection. and maps. The majority of the • Brief description of the entity’s information is submitted in electronic association to the Underground Respondents/Affected Public: format and used to determine eligibility Railroad. Individuals; businesses; nonprofit to become part of the Network. With this submission, we are organizations; and Federal, State, tribal, Network to Freedom Program Partners requesting one change on page 2 of form and local governments. work with the NPS to help validate the 10–946. The change is to clarify the Respondent’s Obligation: Required to efforts of local and regional contact information to distinguish obtain or retain a benefit. organizations, making it easier for them between the owner/manager and the Frequency of Collection: On occasion. to share their expertise and person completing the application (if Total Estimated Annual Nonhour communicate with us and each other. they are different). Burden Cost: None.

Estimated Completion Estimated Activity number of time per total annual annual response responses (hours) burden hours

Network Application (Form 10–946) ...... 25 160 1,000 Partner Request ...... 2 .5 1

Totals ...... 27 ...... 1,001

We are reporting 400 fewer burden DEPARTMENT OF THE INTERIOR 20166; or by email to anna.atkinson@ hours, due to a decrease in responses. boem.gov. Please reference Office of The burden hour per response remains Bureau of Ocean Energy Management Management and Budget (OMB) Control the same. Due to staffing shortages and Number 1010–0106 in the subject line of [OMB Control Number 1010–0106; Docket your comments. decreased activity in the program, the ID: BOEM–2017–0016] resulting annualized cost for FOR FURTHER INFORMATION CONTACT: To administering the program are lower Agency Information Collection request additional information about than the last reporting period. When Activities; Submission to the Office of this ICR, contact Anna Atkinson by vacant positions are filled, the number Management and Budget for Review email, or by telephone at 703–787–1025. of responses and costs are expected to and Approval; Oil Spill Financial You may also view the ICR at http:// rise to previous levels. Responsibility www.reginfo.gov/public/do/PRAMain. SUPPLEMENTARY INFORMATION: In An agency may not conduct or AGENCY: Bureau of Ocean Energy accordance with the Paperwork sponsor and a person is not required to Management, Interior. Reduction Act of 1995, BOEM provides respond to a collection of information ACTION: Notice of information collection; unless it displays a currently valid OMB the general public and other Federal request for comment. agencies with an opportunity to control number. SUMMARY: In accordance with the comment on new, proposed, revised, The authority for this action is the and continuing collections of Paperwork Reduction Act of 1995 (44 Paperwork Reduction Act of 1995, the Bureau of Ocean Energy Management information. This helps BOEM assess U.S.C. 3501 et seq.). (BOEM) is proposing to renew an the impact of the information collection requirements and minimize the public’s Phadrea Ponds, information collection request with revisions. reporting burden. It also helps the Acting, Information Collection Clearance public understand BOEM’s information Officer, National Park Service. DATES: Interested persons are invited to collection requirements and provide the [FR Doc. 2019–25381 Filed 11–21–19; 8:45 am] submit comments on or before requested data in the desired format. BILLING CODE 4312–52–P December 23, 2019. A Federal Register notice with a 60- ADDRESSES: Send written comments on day public comment period soliciting this information collection request (ICR) comments on this proposed information to the Office of Management and collection request was published on Budget’s Desk Officer for the August 23, 2019 (84 FR 44328). No Department of the Interior by email at comments were received. [email protected]; or via BOEM is again soliciting comments facsimile to 202–395–5806. Please on the proposed ICR that is described provide a copy of your comments to the below. BOEM is especially interested in BOEM Information Collection Clearance public comment addressing the Officer, Anna Atkinson, Bureau of following issues: (1) Is the collection Ocean Energy Management, 45600 necessary to the proper functions of Woodland Road, Sterling, Virginia BOEM; (2) what can BOEM do to ensure

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this information will be processed and • Establish and maintain a hours to 22,133 hours to account for a used in a timely manner; (3) is the continuous record of financial evidence requirement under 30 CFR 553.62 not estimate of burden accurate; (4) how accepted to assure payment of claims for previously counted. BOEM, under 30 might BOEM enhance the quality, oil spill cleanup and damages resulting CFR 553.62, requires the designated utility, and clarity of the information to from operations conducted on covered applicant to notify their guarantors and be collected; and (5) how might BOEM offshore facilities and the transportation responsible parties within 15 calendar minimize the burden of this collection of oil from covered offshore facilities; days of receiving a claim for removal on the respondents, including • Establish and maintain a costs and damages. BOEMs plans to add minimizing the burden through the use continuous record of responsible one annual burden hour under 30 CFR of information technology? parties, as defined in Title I of the Oil 553.62 to account for the burden. The Comments that you submit in Pollution Act of 1990, and their agents burden was not previously counted in response to this notice are a matter of or Authorized Representatives for oil this OMB control number, because it public record. BOEM will include or spill financial responsibility for covered was thought to overlap with the U.S. summarize each comment in its request offshore facilities; and Coast Guard’s requirements. to the Office of Management and Budget • Establish and maintain a An agency may not conduct or (OMB) for approval of this ICR. You continuous record of persons to contact sponsor, and a person is not required to should be aware that your entire and U.S. Agents for Service of Process respond to, a collection of information comment—including your address, for claims associated with oil spills from unless it displays a currently valid OMB phone number, email address, or other covered offshore facilities. control number. Title of Collection: 30 CFR 553, Oil personal identifying information—may Authority: The authority for this action is be made publicly available at any time. Spill Financial Responsibility for the Paperwork Reduction Act of 1995 (44 In order for BOEM to withhold from Offshore Facilities. U.S.C. 3501 et seq.). disclosure your personally identifiable OMB Control Number: 1010–0106. information, you must identify any Form Number: Deanna Meyer-Pietruszka, • information contained in the submittal BOEM–1016, Designated Applicant Chief, Office of Policy, Regulations, and Information Collection; Analysis. of your comments that, if released, • would clearly constitute an BOEM–1017, Appointment of [FR Doc. 2019–25409 Filed 11–21–19; 8:45 am] Designated Applicant; BILLING CODE 4310–MR–P unwarranted invasion of your personal • privacy. You must also briefly describe BOEM–1018, Self-Insurance any possible harmful consequences of Information; • BOEM–1019, Insurance Certificate, the disclosure of your information, such • INTERNATIONAL TRADE as embarrassment, injury, or other harm. BOEM–1020, Surety Bond; COMMISSION • BOEM–1021, Covered Offshore While you can ask BOEM in your Facilities; [USITC SE–19–044] comment to withhold your personally • BOEM–1022, Covered Offshore identifiable information from public Facility Changes; Sunshine Act Meetings review, BOEM cannot guarantee that it • BOEM–1023, Financial Guarantee; will be able to do so. and AGENCY HOLDING THE MEETING: United BOEM protects proprietary • BOEM–1025, Independent States International Trade Commission. information in accordance with the Designated Applicant Information TIME AND DATE: December 6, 2019 at Freedom of Information Act (5 U.S.C. Certification. 11:00 a.m. 552) and the Department of the Type of Review: Renewal with PLACE: Room 101, 500 E Street SW, Interior’s implementing regulations (43 revisions of a currently approved Washington, DC 20436, Telephone: CFR part 2), and under regulations at 30 information collection. (202) 205–2000. CFR parts 550 and 552 promulgated Respondents/Affected Public: Holders STATUS: Open to the public. pursuant to the Outer Continental Shelf of leases, permits, right-of-way grants, MATTERS TO BE CONSIDERED: Lands Act (OCSLA) at 43 U.S.C. 1352(c). and right-of-use and easement grants in 1. Agendas for future meetings: None. Abstract: This information collection the OCS and in State coastal waters who 2. Minutes. request concerns the paperwork are responsible parties and/or who will 3. Ratification List. requirements in the regulations in 30 appoint designated applicants. Other 4. Vote on Inv. Nos. 701–TA–631 and CFR part 553, Oil Spill Financial respondents may be the designated 731–TA–1463–1464 (Preliminary) Responsibility for Offshore Facilities, applicants’ insurance agents and (Forged Steel Fittings from India and including any supplementary notices to brokers, bonding companies, and Korea). The Commission is currently lessees and operators that provide guarantors. Some respondents may also scheduled to complete and file its clarification, description, or explanation be claimants. of these regulations; and forms BOEM– Total Estimated Number of Annual determinations on December 9, 2019; 1016 through 1023, and BOEM–1025. Responses: 1,823 responses. views of the Commission are currently BOEM uses forms to collect Total Estimated Number of Annual scheduled to be completed and filed on information to ensure proper and Burden Hours: 22,133 hours. December 16, 2019. efficient administration of Oil Spill Respondent’s Obligation: Mandatory. 5. Outstanding action jackets: None. Financial Responsibility. BOEM collects Frequency of Collection: On occasion The Commission is holding the information to: or annual. meeting under the Government in the • Provide a standard method for Total Estimated Annual Non-hour Sunshine Act, 5 U.S.C. 552(b). In establishing eligibility for oil spill Burden Cost: None. accordance with Commission policy, financial responsibility for offshore Estimated Reporting and subject matter listed above, not disposed facilities; Recordkeeping Hour Burden: The of at the scheduled meeting, may be • Identify and maintain a record of current annual burden hours for this carried over to the agenda of the those offshore facilities that have a collection are 22,132 hours. BOEM following meeting. potential oil spill liability; proposes to increase the annual burden By order of the Commission.

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Issued: November 20, 2019. DATES: Registered bulk manufacturers of Virginia 22152. All requests for a William Bishop, the affected basic classes, and hearing should also be sent to: (1) Drug Supervisory Hearings and Information applicants therefore, may file written Enforcement Administration, Attn: Officer. comments on or objections to the Hearing Clerk/OALJ, 8701 Morrissette [FR Doc. 2019–25500 Filed 11–20–19; 11:15 am] issuance of the proposed registration on Drive, Springfield, Virginia 22152; and BILLING CODE 7020–02–P or before December 23, 2019. Such (2) Drug Enforcement Administration, persons may also file a written request Attn: DEA Federal Register for a hearing on the application on or Representative/DPW, 8701 Morrissette DEPARTMENT OF JUSTICE before December 23, 2019. Drive, Springfield, Virginia 22152. ADDRESSES: Written comments should Drug Enforcement Administration SUPPLEMENTARY INFORMATION: In be sent to: Drug Enforcement accordance with 21 CFR 1301.34(a), this [Docket No. DEA–550] Administration, Attention: DEA Federal is notice that on October 9, 2019, Register Representative/DPW, 8701 Janssen Pharmaceuticals, Inc., 1440 Importer of Controlled Substances Morrissette Drive, Springfield, Virginia Application: Janssen Pharmaceuticals, 22152. All requests for a hearing must Olympic Drive, Athens, Georgia 30601– Inc. be sent to: Drug Enforcement 1645 applied to be registered as an Administration, Attn: Administrator, importer of the following basic classes ACTION: Notice of application. 8701 Morrissette Drive, Springfield, of controlled substances:

Controlled substance Drug code Schedule

Thebaine ...... 9333 II Concentrate of Poppy Straw ...... 9670 II Tapentadol ...... 9780 II

The company plans to import be sent to: Drug Enforcement DEPARTMENT OF JUSTICE intermediate forms of tapentadol (9780) Administration, Attn: Administrator, and thebaine (9333) for further 8701 Morrissette Drive, Springfield, Drug Enforcement Administration manufacturing prior to distribution to Virginia 22152. All requests for a [Docket No. DEA–528] its customers. The company plans to hearing should also be sent to: (1) Drug import concentrate of poppy straw Enforcement Administration, Attn: Importer of Controlled Substances (9670) to bulk manufacture other Hearing Clerk/OALJ, 8701 Morrissette Application: Fresenius Kabi USA, LLC controlled substances. No other activity Drive, Springfield, Virginia 22152; and ACTION: for these drug codes is authorized for (2) Drug Enforcement Administration, Notice of application. this registration. Attn: DEA Federal Register DATES: Registered bulk manufacturers of Dated: November 8, 2019. Representative/DPW, 8701 Morrissette the affected basic classes, and William T. McDermott, Drive, Springfield, Virginia 22152. applicants therefore, may file written Assistant Administrator. SUPPLEMENTARY INFORMATION: In comments on or objections to the [FR Doc. 2019–25407 Filed 11–21–19; 8:45 am] accordance with 21 CFR 1301.34(a), this issuance of the proposed registration on BILLING CODE 4410–09–P is notice that on September 13, 2019, or before December 23, 2019. Such Epic Pharma, LLC, 227–15 North persons may also file a written request for a hearing on the application on or DEPARTMENT OF JUSTICE Conduit Avenue, Laurelton, New York 11413, applied to be registered as an before December 23, 2019. Drug Enforcement Administration importer of the following basic class of ADDRESSES: Written comments should controlled substance: be sent to: Drug Enforcement [Docket No. DEA–551] Administration, Attention: DEA Federal Register Representative/DPW, 8701 Importer of Controlled Substances Controlled Drug code Schedule Application: Epic Pharma, LLC substance Morrissette Drive, Springfield, Virginia 22152. All requests for a hearing must ACTION: Notice of application. Methadone 9250 II be sent to: Drug Enforcement Administration, Attn: Administrator, DATES: Registered bulk manufacturers of The company plans to import the 8701 Morrissette Drive, Springfield, the affected basic classes, and listed controlled substance for research Virginia 22152. All requests for a applicants therefore, may file written and analytical purposes. hearing should also be sent to: (1) Drug comments on or objections to the Enforcement Administration, Attn: issuance of the proposed registration on Dated: November 8, 2019. Hearing Clerk/OALJ, 8701 Morrissette or before December 23, 2019. Such William T. McDermott, Drive, Springfield, Virginia 22152; and persons may also file a written request Assistant Administrator. (2) Drug Enforcement Administration, for a hearing on the application on or [FR Doc. 2019–25406 Filed 11–21–19; 8:45 am] Attn: DEA Federal Register before December 23, 2019. BILLING CODE 4410–09–P Representative/DPW, 8701 Morrissette ADDRESSES: Written comments should Drive, Springfield, Virginia 22152. be sent to: Drug Enforcement SUPPLEMENTARY INFORMATION: In Administration, Attention: DEA Federal accordance with 21 CFR 1301.34(a), this Register Representative/DPW, 8701 is notice that on August 7, 2019 Morrissette Drive, Springfield, Virginia Fresenius Kabi USA, LLC, 3159 Staley 22152. All requests for a hearing must Road, Grand Island, New York 14072–

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2028 applied to be registered as an importer of the following basic classes of controlled substances:

Controlled substance Drug code Schedule

Remifentanil ...... 9739 II

The company plans to import the Virginia 22152. All requests for a Dated: November 7, 2019. listed controlled substance for bulk hearing should also be sent to: (1) Drug William T. McDermott, manufacture. Enforcement Administration, Attn: Assistant Administrator. Dated: October 23, 2019. Hearing Clerk/OALJ, 8701 Morrissette [FR Doc. 2019–25404 Filed 11–21–19; 8:45 am] William T. McDermott, Drive, Springfield, Virginia 22152; and BILLING CODE 4410–09–P Assistant Administrator. (2) Drug Enforcement Administration, [FR Doc. 2019–25403 Filed 11–21–19; 8:45 am] Attn: DEA Federal Register Representative/DPW, 8701 Morrissette DEPARTMENT OF JUSTICE BILLING CODE 4410–09–P Drive, Springfield, Virginia 22152. Drug Enforcement Administration SUPPLEMENTARY INFORMATION: In DEPARTMENT OF JUSTICE accordance with 21 CFR 1301.34(a), this [Docket No. DEA–529] Drug Enforcement Administration is notice that on July 15, 2019, GE Bulk Manufacturer of Controlled Healthcare, 3350 North Ridge Avenue, Substances Application: Patheon API [Docket No. DEA–538] Arlington Heights, Illinois 60004–1412 Manufacturing, Inc. applied to be registered as an importer Importer of Controlled Substances of the following basic class of controlled ACTION: Notice of application. Application: GE Healthcare substance: DATES: Registered bulk manufacturers of ACTION: Notice of application. Controlled the affected basic classes, and substance Drug code Schedule DATES: Registered bulk manufacturers of applicants therefore, may file written comments on or objections to the the affected basic classes, and Cocaine ..... 9041 II applicants therefore, may file written issuance of the proposed registration on comments on or objections to the or before January 21, 2020. The company plans to import small issuance of the proposed registration on ADDRESSES: Written comments should or before December 23, 2019. Such quantities of Ioflupane, in the form of be sent to: Drug Enforcement persons may also file a written request three separate analogues of cocaine, to Administration, Attention: DEA Federal for a hearing on the application on or validate production and quality control Register Representative/DPW, 8701 before December 23, 2019. systems, for a reference standard, and Morrissette Drive, Springfield, Virginia for producing material for a future ADDRESSES: Written comments should 22152. investigational new drug (IND) be sent to: Drug Enforcement SUPPLEMENTARY INFORMATION: In Administration, Attention: DEA Federal submission. Supplies of this particular accordance with 21 CFR 1301.33(a), this Register Representative/DPW, 8701 controlled substance are not available in is notice that on March 15, 2019, Morrissette Drive, Springfield, Virginia the form needed within the current Patheon API Manufacturing, Inc., 309 22152. All requests for a hearing must domestic supply of the United States. Delaware Street, Greenville, South be sent to: Drug Enforcement Carolina 29605 applied to be registered Administration, Attn: Administrator, as a bulk manufacturer of the following 8701 Morrissette Drive, Springfield, basic classes of controlled substances:

Controlled substance Drug code Schedule

Thebaine ...... 9333 II Noroxymorphone ...... 9668 II Gamma Hydroxybutyric Acid ...... 2010 I Alpha-methyltryptamine ...... 7432 I

The company plans to bulk DEPARTMENT OF JUSTICE applicants therefore, may file written manufacture the listed controlled comments on or objections to the substances as an Active Pharmaceutical Drug Enforcement Administration issuance of the proposed on or before January 21, 2020. Ingredient for supply to its customers. [Docket No. DEA–545] Dated: November 5, 2019. ADDRESSES: Written comments should Bulk Manufacturer of Controlled William T. McDermott, be sent to: Drug Enforcement Substances Application: S&B Pharma, Administration, Attention: DEA Federal Assistant Administrator. Inc. Register Representative/DPW, 8701 [FR Doc. 2019–25401 Filed 11–21–19; 8:45 am] Morrissette Drive, Springfield, Virginia BILLING CODE 4410–09–P ACTION: Notice of application. 22152. DATES: Registered bulk manufacturers of SUPPLEMENTARY INFORMATION: In the affected basic classes, and accordance with 21 CFR 1301.33(a), this

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is notice that on October 4, 2019, S & South Motor Avenue, Azusa, California a bulk manufacturer of the following B Pharma, Inc., DBA Norac Pharma, 405 91702–3232 applied to be registered as basic classes of controlled substances:

Controlled substance Drug code Schedule

Gamma Hydroxybutyric Acid ...... 7360 I Telrahydrocannabinois ...... 7370 I Amphetamine ...... 1100 II Methamphetamine ...... 1105 II Lisdexamfetamine ...... 1205 II Methylphenidate ...... 1724 II Pentobarbital ...... 2270 II 4-Anilino-N-phenethyl-4-piperidine (ANPP) ...... 8333 II Tapentadol ...... 9780 II Fentanyl ...... 9801 II

The company plans to manufacture DEPARTMENT OF JUSTICE Morrissette Drive, Springfield, Virginia the listed controlled substances in bulk 22152. All requests for a hearing must for use in product development and for Drug Enforcement Administration be sent to: Drug Enforcement commercial sales to its customers. In [Docket No. DEA–549] Administration, Attn: Administrator, reference to drug code 7360 (marihuana) 8701 Morrissette Drive, Springfield, and 7370 (tetrahydrocannabinois), the Importer of Controlled Substances Virginia 22152. All requests for a company plans to bulk manufacture Application: Mylan Technologies Inc. hearing should also be sent to: (1) Drug both as synthetic substances. No other Enforcement Administration, Attn: ACTION: Notice of application. activity for these dug codes is Hearing Clerk/OALJ, 8701 Morrissette Drive, Springfield, Virginia 22152; and authorized for this registration. DATES: Registered bulk manufacturers of (2) Drug Enforcement Administration, the affected basic classes, and Dated: November 5, 2019. Attn: DEA Federal Register applicants therefore, may file written William T. McDermott, Representative/DPW, 8701 Morrissette comments on or objections to the Assistant Administrator. Drive, Springfield, Virginia 22152. issuance of the proposed registration on [FR Doc. 2019–25402 Filed 11–21–19; 8:45 am] or before December 23, 2019. Such SUPPLEMENTARY INFORMATION: In BILLING CODE 4410–09–P persons may also file a written request accordance with 21 CFR 1301.34(a), this for a hearing on the application on or is notice that on October 16, 2019, before December 23, 2019. Mylan Technologies Inc., 110 Lake ADDRESSES: Written comments should Street, Saint Albans, Vermont 054780 be sent to: Drug Enforcement applied to be registered as an importer Administration, Attention: DEA Federal of the following basic classes of Register Representative/DPW, 8701 controlled substances:

Controlled substance Drug code Schedule

Methylphenidate ...... 1724 II Fentanyl ...... 9801 II

The company plans to import the DEPARTMENT OF JUSTICE ADDRESSES: Written comments should listed controlled substances in finished be sent to: Drug Enforcement dosage form (FDF) from foreign sources Drug Enforcement Administration Administration, Attention: DEA Federal for analytical testing and clinical trials [Docket No. DEA–540] Register Representative/DPW, 8701 in which the foreign FDF will be Morrissette Drive, Springfield, Virginia compared to the company’s own Bulk Manufacturer of Controlled 22152. domestically-manufactured FDF. This Substances Application: Chattem analysis is required to allow the Chemicals SUPPLEMENTARY INFORMATION: In company to export domestically accordance with 21 CFR 1301.33(a), this ACTION: Notice of application. manufactured FDF to foreign markets. is notice that on May 17, 2019, Chattem Chemicals, 3801 Saint Elmo Avenue, DATES: Dated: November 8, 2019. Registered bulk manufacturers of Chattanooga, Tennessee 37409 applied the affected basic classes, and William T. McDermott, to be registered as a bulk manufacturer applicants therefore, may file written Assistant Administrator. of the following basic classes of comments on or objections to the [FR Doc. 2019–25405 Filed 11–21–19; 8:45 am] issuance of the proposed registration on controlled substances: BILLING CODE 4410–09–P or before January 21, 2020.

Controlled substance Drug code Schedule

Gamma Hydroxybutyric Acid ...... 2010 I Marihuana ...... 7360 I Tetrahydrocannabinols ...... 7370 I

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Controlled substance Drug code Schedule

4-Methoxyamphetamine ...... 7411 I Dihydromorphine ...... 9145 I Amphetamine ...... 1100 II Methamphetamine ...... 1105 II Lisdexamfetamine ...... 1205 II Methylphenidate ...... 1724 II Cocaine ...... 9041 II Codeine ...... 9050 II Dihydrocodeine ...... 9120 II Oxycodone ...... 9143 II Hydromorphone ...... 9150 II Ecgonine ...... 9180 II Hydrocodone ...... 9193 II Levorphanol ...... 9220 II Methadone ...... 9250 II Methadone intermediate ...... 9254 II Morphine ...... 9300 II Oripavine ...... 9330 II Thebaine ...... 9333 II Oxymorphone ...... 9652 II Noroxymorphone ...... 9668 II Tapentadol ...... 9780 II Fentanyl ...... 9801 II

The company plans to manufacturer DATES: Comments are encouraged and —Evaluate whether and if so how the the listed controlled substances in bulk will be accepted for 30 days until quality, utility, and clarity of the for distribution and sale to its December 23, 2019. information to be collected can be customers. FOR FURTHER INFORMATION CONTACT: If enhanced; and In reference to drug codes 7360 you have additional comments —Minimize the burden of the collection (marihuana) and 7370 especially on the estimated public of information on those who are to (tetrahydrocannabinols), the company burden or associated response time, respond, including through the use of plans to bulk manufacture these drugs suggestions, or need a copy of the appropriate automated, electronic, as synthetics. No other activities for proposed information collection mechanical, or other technological these drug codes are authorized for this instrument with instructions or collection techniques or other forms registration. additional information, please contact of information technology, e.g., Dated: November 5, 2019. Chiwoniso S. Gurira (Choni), Senior permitting electronic submission of responses. William T. McDermott, Personnel Psychologist, Drug Assistant Administrator. Enforcement Administration, 8701 Overview of This Information [FR Doc. 2019–25400 Filed 11–21–19; 8:45 am] Morrissette Drive, Springfield, VA Collection 22152. Written comments and/or BILLING CODE 4410–09–P 1. Type of Information Collection: suggestions may also be directed to the Extension of a previously approved Office of Management and Budget, collection for which approval has DEPARTMENT OF JUSTICE Office of Information and Regulatory expired. Affairs, Attention Department of Justice [OMB Number 1117–0053] 2. The Title of the Form/Collection: Desk Officer, Washington, DC 20530 or Leadership Engagement Survey. _ Agency Information Collection send to OIRA [email protected]. 3. The agency form number, if any Activities; Proposed eCollection SUPPLEMENTARY INFORMATION: This and the applicable component of the eComments Requested; Extension of a process is conducted in accordance with Department sponsoring the collection: Previously Approved Collection: 5 CFR 1320.10. Written comments and Online survey. Leadership Engagement Survey suggestions from the public and affected 4. Affected public who will be asked agencies concerning the proposed or required to respond, as well as a brief AGENCY: Department of Justice, Drug collection of information are abstract: Enforcement Administration. encouraged. Your comments should Primary: Drug Enforcement ACTION: 30-Day notice. address one or more of the following Administration contractors and Task four points: Force Officers. SUMMARY: The Department of Justice Other: None. (DOJ), Drug Enforcement —Evaluate whether the proposed 5. An estimate of the total number of Administration (DEA), will be collection of information is necessary respondents and the amount of time submitting the following information for the proper performance of the estimated for an average respondent to collection request to the Office of functions of the Bureau of Justice respond: It is estimated that 5000 Management and Budget (OMB) for Statistics, including whether the respondents will complete the survey in review and approval in accordance with information will have practical utility; approximately 20 minutes. the Paperwork Reduction Act of 1995. —Evaluate the accuracy of the agency’s 6. An estimate of the total public The proposed information collection estimate of the burden of the burden (in hours) associated with the was previously published in the Federal proposed collection of information, collection: The estimated public burden Register allowing for a 60 day comment including the validity of the associated with this collection is 1667 period. methodology and assumptions used; hours. It is estimated that applicants

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will take 20 minutes to complete the DEPARTMENT OF JUSTICE of information technology, e.g., online survey. The burden hours for permitting electronic submission of [OMB Number 1105–0100] collecting respondent data sum to 1,667 responses. hours (5000 respondents × 20 minutes = Agency Information Collection Overview of This Information 100,000 hours. 100,000/60 seconds = Activities; Proposed Collection Collection 1,667). Comments Requested; Extension If additional information is required Without Change, of a Previously 1. Type of information collection: contact: Melody Braswell, Department Approved Collection Claims of U.S. Extension of a currently approved Clearance Officer, United States Nationals Referred to the Commission collection. by the Department of State Pursuant to Department of Justice, Justice 2. The title of the form/collection: Management Division, Policy and Section 4(A)(1)(C) of the International Claims Settlement Act of 1949 Statement of Claim for filing of Claims Planning Staff, Two Constitution Referred to the Commission under Square, 145 N Street NE, 3E.405A, AGENCY: Foreign Claims Settlement Section 4(a)(1)(C) of the International Washington, DC 20530. Commission, Department of Justice. Claims Settlement Act of 1949. Dated: November 18, 2019. ACTION: 30-Day notice. 3. The agency form number: FCSC–1. Melody Braswell, SUMMARY: The Foreign Claims Foreign Claims Settlement Commission, Department Clearance Officer for PRA, U.S. Settlement Commission (Commission), Department of Justice. Department of Justice. Department of Justice (DOJ), will be 4. Affected public who will be asked [FR Doc. 2019–25310 Filed 11–21–19; 8:45 am] submitting the following information or required to respond, as well as a brief BILLING CODE 4410–02–P collection request to the Office of abstract: Management and Budget (OMB) for Primary: Individuals. review and approval in accordance with DEPARTMENT OF JUSTICE the Paperwork Reduction Act of 1995. Other: Corporations. DATES: Comments are encouraged and Abstract: Information will be used as Agency Information Collection will be accepted for 30 days until a basis for the Commission to receive, Activities; Proposed eCollection December 23, 2019. examine, adjudicate and render final eComments Requested; Revision; FOR FURTHER INFORMATION CONTACT: decisions with respect to claims for Correction If you have additional comments compensation of U.S. nationals, referred especially on the estimated public to the Commission by the Department of AGENCY: Drug Enforcement State pursuant to section 4(a)(1)(C) of Administration, Department of Justice. burden or associated response time, suggestions, or need a copy of the the International Claims Settlement Act ACTION: Notice; correction. proposed information collection of 1949, as amended, 22 U.S.C. instrument with instructions or 1623(A)(1)(C). SUMMARY: The Department of Justice, additional information, please contact 5. An estimate of the total number of Jeremy LaFrancois, Foreign Claims Drug Enforcement Administration, respondents and the amount of time Settlement Commission, (202) 616– submitted a 60-day notice for publishing estimated for an average respondent to 6975, 441 G St. NW, Room 6232, in the Federal Register on October 29, respond: It is estimated that 500 Washington, DC 20579. 2019 soliciting comments to an individual respondents will complete SUPPLEMENTARY INFORMATION: Written information collection request to the the application, and that the amount of comments and suggestions from the Office of Management and Budget time estimated for an average public and affected agencies concerning (OMB) for review and approval in respondent to reply is approximately the proposed collection of information accordance with the Paperwork two hours each. Reduction Act of 1995. The document are encouraged. Your comments should contained incorrect information listed address one or more of the following 6. An estimate of the total public in the ‘‘OMB Number’’ section, showing four points: burden (in hours) associated with the 1117–0051. —Evaluate whether the proposed collection: 1,000 annual burden hours. collection of information is necessary If additional information is required FOR FURTHER INFORMATION CONTACT: for the proper performance of the contact: Melody Braswell, Department Chiwoniso S. Gurira, Senior Personnel functions of the Bureau of Justice Clearance Officer, United States Psychologist, Research and Analysis Statistics, including whether the Staff, Drug Enforcement Administration, Department of Justice, Justice information will have practical utility; Management Division, Policy and 8701 Morrissette Dr., Springfield, VA —Evaluate the accuracy of the agency’s 22152. Planning Staff, Two Constitution estimate of the burden of the Square, 145 N Street NE, 3E.405A, proposed collection of information, SUPPLEMENTARY INFORMATION: Washington, DC 20530. including the validity of the Correction: In the Federal Register of methodology and assumptions used; Dated: November 18, 2019. October 29, 2019 in FR Doc. 2019– —Evaluate whether and if so how the Melody Braswell, 23576, on page 57885, the ‘‘OMB quality, utility, and clarity of the Department Clearance Officer for PRA, U.S. Number’’ is reflected to show 1117– information to be collected can be Department of Justice. 0053. enhanced; and [FR Doc. 2019–25313 Filed 11–21–19; 8:45 am] —Minimize the burden of the collection Dated: November 18, 2019. BILLING CODE 4410–BA–P of information on those who are to Melody Braswell, respond, including through the use of Department Clearance Officer. appropriate automated, electronic, [FR Doc. 2019–25311 Filed 11–21–19; 8:45 am] mechanical, or other technological BILLING CODE 4410–09–P collection techniques or other forms

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DEPARTMENT OF JUSTICE (HUD), Director of the Office of National attendance will also be considered by Drug Control Policy, Chief Executive the Council. Office of Justice Programs Officer of the Corporation for National Elizabeth Wolfe, and Community Service and the [OJP (OJJDP) Docket No. 1769] Training and Outreach Coordinator, Office Assistant Secretary of Homeland of Juvenile Justice and Delinquency Meeting of the Coordinating Council Security for the U.S. Immigration and Prevention. on Juvenile Justice and Delinquency Customs Enforcement. Nine additional [FR Doc. 2019–25371 Filed 11–21–19; 8:45 am] Prevention members are appointed by the Speaker BILLING CODE 4410–18–P AGENCY: Coordinating Council on of the U.S. House of Representatives, the Juvenile Justice and Delinquency U.S. Senate Majority Leader and the Prevention, DOJ. President of the United States. Further DEPARTMENT OF LABOR ACTION: Notice of meeting. agencies that take part in Council activities include, the Departments of Office of Workers’ Compensation SUMMARY: The Coordinating Council on Agriculture, Defense, Interior and the Programs Juvenile Justice and Delinquency Substance and Mental Health Services Prevention announces its next meeting. Administration of HHS. Division of Coal Mine Workers’ DATES: Tuesday December 10th, 2019 at Compensation; Proposed Extension of Council meeting agendas are available Existing Collection; Comment Request 1 p.m. EST. on www.juvenilecouncil.gov. Agendas ADDRESSES: The meeting will take place will generally include: (a) Opening ACTION: Notice. in the third floor main conference room remarks and introductions; (b) at the U.S. Department of Justice, Office Presentations and discussion of agency SUMMARY: The Department of Labor, as of Justice Programs, 810 7th St. NW, work; and (c) Council member part of its continuing effort to reduce paperwork and respondent burden, Washington, DC 20531. announcements. FOR FURTHER INFORMATION CONTACT: Visit conducts a pre-clearance consultation the website for the Coordinating Council For security purposes and because program to provide the general public at www.juvenilecouncil.gov or or contact space is limited, members of the public and Federal agencies with an Elizabeth Wolfe, Designated Federal who wish to attend must register in opportunity to comment on proposed Official (DFO), OJJDP, by telephone at advance of the meeting online at the and/or continuing collections of (202) 598–9310, email at meeting registration site, no later than information in accordance with the [email protected]; or Friday December 6th, 2019. Should Paperwork Reduction Act of 1995 Maegen Barnes, Senior Program issues arise with online registration, or (PRA95). This program helps to ensure Manager/Federal Contractor, by to register by fax or email, the public that requested data can be provided in telephone (732) 948–8862, email at should contact Maegen Barnes, Senior the desired format, reporting burden [email protected], or fax at Program Manager/Federal Contractor (time and financial resources) is (866) 854–6619. Please note that the (see above for contact information). If minimized, collection instruments are above phone/fax numbers are not toll submitting registrations via fax or email, clearly understood, and the impact of free. attendees should include all of the collection requirements on respondents can be properly assessed. Currently, the SUPPLEMENTARY INFORMATION: following: Name, Title, Organization/ The Office of Workers’ Compensation Coordinating Council on Juvenile Affiliation, Full Address, Phone Number, Fax and Email. The meeting Programs is soliciting comments Justice and Delinquency Prevention concerning the proposed collection: will also be available to join online via (‘‘Council’’), established by statute in Certification by School Official (CM– Webex, a video conferencing platform. the Juvenile and Delinquency 981). A copy of the proposed Registration for this is also found online Prevention Act of 1974 section 206 (a) information collection request can be (42 U.S.C. 5616(a)), will meet to carry at www.juvenilecouncil.gov. obtained by contacting the office listed out its advisory functions. Information Note: Photo identification will be required below in the addresses section of this regarding this meeting will be available to attend the meeting at the OJP 810 7th Notice. on the Council’s web page at Street Building. www.juvenilecouncil.gov. The meeting DATES: Written comments must be is open to the public, and available via Interested parties may submit written submitted to the office listed in the online video conference, but prior comments and questions in advance to addresses section below on or before registration is required (see below). In Elizabeth Wolfe (DFO) for the Council, January 21, 2020. addition, meeting documents will be at the contact information above. If ADDRESSES: You may submit comments viewable via this website including faxing, please follow up with Maegen by mail, delivery service, or by hand to meeting announcements, agendas, Barnes, Senior Program Manager/ Ms. Anjanette C. Suggs, U.S. minutes and reports. Federal Contractor (contact information Department of Labor, 200 Constitution Although designated agency above) in order to assure receipt of Ave. NW, Room S–3323, Washington, DC 20210; by fax (202) 354–9660; or by representatives may attend in lieu of submissions. All comments and members, the Council’s formal Email to [email protected]. questions should be submitted no later membership consists of the following Please use only one method of than 5 p.m. EST on Friday December secretaries and/or agency officials; transmission for comments (mail/ 6th, 2019. Attorney General (Chair), Administrator delivery, fax, or Email). Please note that of the Office of Juvenile Justice and The Council will limit public comments submitted after the comment Delinquency Prevention (Vice Chair), statements if they are found to be period will not be considered. Secretary of Health and Human Services duplicative. Written questions SUPPLEMENTARY INFORMATION: (HHS), Secretary of Labor (DOL), submitted by the public while in I. Background: The Certification by Secretary of Education (DOE), Secretary School Official information collection of Housing and Urban Development mandates that in order to qualify as an

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eligible dependent for black lung by the Office of Workers’ Compensation MATTER TO BE REMOVED: benefits, a child aged 18- to 23-years Programs in their claim for benefits. 1. Personnel Action. Closed pursuant must be a full-time student as described Failure to gather this information would to Exemptions (2), and (6). in the Black Lung Benefits Act, 30 inhibit the adjudication of black lung FOR FURTHER INFORMATION CONTACT: U.S.C. 901 et seq., and regulations 20 claims because pertinent medical data Gerard Poliquin, Secretary of the Board, CFR 725.209. A school official would not be available for consideration Telephone: 703–518–6304. completes a Certification by School during the processing of the claim. Official (Form CM–981) to verify Agency: Office of Workers’ Gerard Poliquin, whether a Black Lung beneficiary’s Compensation Programs. Secretary of the Board. dependent between the ages of 18 to 23 Type of Review: Extension. [FR Doc. 2019–25589 Filed 11–20–19; 4:15 pm] years qualifies as a full-time student. Title: Certification by School Official. BILLING CODE 7535–01–P Black Lung Benefits Act section 426 OMB Number: 1240–0031. authorizes this information collection. Agency Number: CM–981. See 30 U.S.C. 936. Affected Public: State, Local and Tribal Governments. OVERSEAS PRIVATE INVESTMENT This information collection is being CORPORATION classified as an extension of an existing Total Respondents: 100. Total Annual Responses: 100. collection. 30 U.S.C. 902(g); 20 CFR Average Time per Response: 10 Sunshine Act Cancellation Notice— 725.209, 725.218 require that all minutes. OPIC December 4, 2019 Public Hearing relevant medical evidence be Estimated Total Burden Hours: 17 OPIC’s Sunshine Act notice of its considered before a decision can be hours. made regarding a claimant’s eligibility Public Hearing in Conjunction with its Frequency: On occasion. Board meeting was published in the for benefits. By signing the CM–981 Total Burden Cost (capital/startup): Federal Register (Volume 84, Number form, the claimant authorizes $0. physicians, hospitals, medical facilities Total Burden Cost (operating/ 215, Page 59849) on Wednesday, or organizations, and the National maintenance): $0. November 6, 2019. The related Board Institute for Occupational Safety and Comments submitted in response to meeting has been cancelled, therefore, Health to release medical information this notice will be summarized and/or OPIC’s Public Hearing scheduled for 1 about the miner to the Department of included in the request for Office of p.m., December 4, 2019, has been Labor’s Office of Workers’ Management and Budget approval of the cancelled. Compensation Programs. The form information collection request; they will CONTACT PERSON FOR INFORMATION: contains information required by also become a matter of public record. Information on the hearing cancellation medical institutions and private may be obtained from Catherine F.I. physicians to enable them to release Anjanette C. Suggs, Andrade at (202) 336–8768, or via email pertinent medical information. This Agency Clearance Officer, Office of Workers’ at [email protected]. information collection is currently Compensation Programs, U.S. Department of Labor. Dated: November 19, 2019. approved for use through September 30, Catherine F.I. Andrade, 2019. [FR Doc. 2019–25362 Filed 11–21–19; 8:45 am] II. Review Focus: The Department of BILLING CODE 4510–CK–P OPIC Corporate Secretary. Labor is particularly interested in [FR Doc. 2019–25451 Filed 11–20–19; 11:15 am] comments which: BILLING CODE 3210–01–P * Evaluate whether the proposed NATIONAL CREDIT UNION collection of information is necessary ADMINISTRATION for the proper performance of the OFFICE OF PERSONNEL functions of the agency, including Sunshine Act: Notice of a Matter To Be MANAGEMENT whether the information will have Removed From the Agenda for practical utility; Consideration at an Agency Meeting Excepted Service * evaluate the accuracy of the FEDERAL REGISTER CITATION OF PREVIOUS AGENCY: Office of Personnel agency’s estimate of the burden of the ANNOUNCEMENT: November 18, 2019 (84 Management (OPM). proposed collection of information, FR 63680). including the validity of the ACTION: Notice. methodology and assumptions used; TIME AND DATE: 11:30 a.m., Thursday, November 21, 2019. SUMMARY: This notice identifies * enhance the quality, utility and Schedule A, B, and C appointing clarity of the information to be PLACE: Board Room, 7th Floor, Room 7047, 1775 Duke Street, Alexandria, VA authorities applicable to a single agency collected; and that were established or revoked from * minimize the burden of the 22314–3428. July 1, 2019 to July 31, 2019. collection of information on those who STATUS: Closed are to respond, including through the Pursuant to the provisions of the FOR FURTHER INFORMATION CONTACT: Julia use of appropriate automated, ‘‘Government in Sunshine Act’’ notice is Alford, Senior Executive Resources electronic, mechanical, or other hereby given that the NCUA Board gave Services, Senior Executive Services and technological collection techniques or notice on November 18, 2019 (84 FR Performance Management, Employee other forms of information technology, 63680) of the closed meeting of the Services, 202–606–2246. e.g., permitting electronic submissions NCUA Board scheduled for November SUPPLEMENTARY INFORMATION: In of responses. 21, 2019. Prior to the meeting, on accordance with 5 CFR 213.103, III. Current Actions: The Department November 19, 2019, the NCUA Board Schedule A, B, and C appointing of Labor seeks approval for the unanimously determined that agency authorities available for use by all extension of this currently-approved business required removal of an item on agencies are codified in the Code of information collection in order to obtain the agenda with less than seven days’ Federal Regulations (CFR). Schedule A, claimant consent for the release of notice to the public, and that no earlier B, and C appointing authorities medical information for consideration notice of the addition was possible. applicable to a single agency are not

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codified in the CFR, but the Office of B, and C appointing authorities, current Schedule B Personnel Management (OPM) as of June 30, in the Federal Register. No Schedule B Authorities to report publishes a notice of agency-specific Schedule A during July 2019. authorities established or revoked each month in the Federal Register at No Schedule A Authorities to report Schedule C www.gpo.gov/fdsys/. OPM also during July 2019. The following Schedule C appointing publishes an annual notice of the authorities were approved during July consolidated listing of all Schedule A, 2019.

Authorization Agency name Organization name Position title No. Effective date

DEPARTMENT OF AGRICULTURE Office of Rural Housing Service ..... State Director—North Carolina ...... DA190160 07/02/2019 Confidential Assistant ...... DA190171 07/23/2019 State Director—Wyoming ...... DA190168 07/09/2019 Office of Agricultural Marketing Chief of Staff ...... DA190173 07/22/2019 Service. Office of the Secretary ...... Confidential Assistant ...... DA190180 07/29/2019 Office of Under Secretary for Nat- Staff Assistant ...... DA190167 07/12/2019 ural Resources and Environment. DEPARTMENT OF COMMERCE ... Office of Advance, Scheduling and Advance Representative ...... DC190119 07/11/2019 Protocol. Office of Public Affairs ...... Press Assistant ...... DC190122 07/24/2019 Office of the Assistant Secretary Special Advisor ...... DC190127 07/23/2019 for Economic Development. Office of the Deputy Secretary ...... Senior Advisor ...... DC190128 07/24/2019 Office of the General Counsel ...... Counsel ...... DC190129 07/24/2019 Senior Counsel ...... DC190130 07/24/2019 Office of the Under Secretary ...... Special Advisor ...... DC190136 07/25/2019 Office of the Under Secretary for Confidential Assistant ...... DC190121 07/18/2019 Economic Affairs. COMMODITY FUTURES TRADING Office of Division of Clearing and Director ...... CT190005 07/15/2019 COMMISSION. Risk. Office of External Affairs ...... Director ...... CT190008 07/15/2019 Office of the Chairperson ...... Executive Assistant ...... CT190004 07/15/2019 Senior Advisor ...... CT190006 07/15/2019 Director of Legislative and Inter- CT190009 07/29/2019 governmental Affairs. DEPARTMENT OF DEFENSE ...... Office of the Under Secretary of Special Assistant ...... DD190158 07/09/2019 Defense (Personnel and Readi- ness). Office of the Under Secretary of Special Assistant ...... DD190166 07/29/2019 Defense (Policy). DEPARTMENT OF THE ARMY ..... Office Assistant Secretary Army Special Assistant (Manpower and DW190046 07/08/2019 (Manpower and Reserve Affairs). Reserve Affairs). DEPARTMENT OF EDUCATION ... Office of Postsecondary Education Confidential Assistant (2) ...... DB190108 07/02/2019 DB190109 07/03/2019 Office of the Under Secretary ...... Confidential Assistant ...... DB190111 07/03/2019 Office of Communications and Out- Special Assistant ...... DB190104 07/12/2019 reach. DEPARTMENT OF ENERGY ...... Office of the Assistant Secretary Senior Advisor ...... DE190146 07/11/2019 for International Affairs. Special Advisor (2) ...... DE190147 07/11/2019 DE190148 07/11/2019 Office of Public Affairs ...... Press Assistant ...... DE190150 07/23/2019 Office of Science ...... Senior Advisor ...... DE190155 07/30/2019 Office of the Deputy Secretary ...... Special Advisor ...... DE190139 07/11/2019 ENVIRONMENTAL PROTECTION Office of the Assistant Adminis- Senior Advisor for Policy and Man- EP190106 07/12/2019 AGENCY. trator for International and Tribal agement. Affairs. Office of the Administrator ...... Senior Deputy White House Liai- EP190110 07/29/2019 son. Office of Public Affairs...... Senior Advisor for Strategic and EP190111 07/29/2019 Regional Communications. Office of the Assistant Adminis- Special Advisor ...... EP190107 07/30/2019 trator for Research and Develop- ment. EXPORT-IMPORT BANK ...... Office of the Chief of Staff ...... Senior Advisor, National Security .. EB190012 07/16/2019 Office of Congressional and Inter- Special Advisor ...... EB190013 07/17/2019 governmental Affairs (2). Senior Advisor ...... EB190004 07/19/2019 Senior Vice President, Congres- EB190014 07/31/2019 sional and Intergovernmental Af- fairs. GENERAL SERVICES ADMINIS- Office of Public Buildings Service .. Executive Assistant ...... GS190035 07/29/2019 TRATION.

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Authorization Agency name Organization name Position title No. Effective date

DEPARTMENT OF HEALTH AND Office of Centers for Medicare and Director of Strategic Communica- DH190171 07/11/2019 HUMAN SERVICES. Medicaid Services. tions. Office of the Assistant Secretary Content Strategy and Marketing DH190168 07/02/2019 for Public Affairs. Associate. Deputy Press Secretary DH190226 07/29/2019 Office of the General Counsel ...... Law Clerk ...... DH190201 07/17/2019 Associate Deputy General Counsel DH190229 07/29/2019 Office of the Secretary ...... Special Assistant (2) ...... DH190170 07/11/2019 DH190225 07/29/2019 DEPARTMENT OF HOMELAND Office of the United States Citizen- Special Assistant ...... DM190235 07/03/2019 SECURITY. ship and Immigration Services. Office of Cybersecurity and Infra- Legislative Advisor ...... DM190246 07/11/2019 structure Security Agency. Office of Transportation Security Senior Counselor ...... DM190255 07/16/2019 Administration. DEPARTMENT OF HOUSING AND Office of Congressional and Inter- Senior Advisor ...... DU190091 07/09/2019 URBAN DEVELOPMENT. governmental Relations. Office of Field Policy and Manage- Special Assistant ...... DU190103 07/29/2019 ment. Office of the Administration ...... Advance Coordinator ...... DU190090 07/09/2019 Special Assistant ...... DU190100 07/31/2019 Office of the Chief Financial Officer Program Analyst ...... DU190099 07/24/2019 Office of the Chief Information Offi- Management Analyst ...... DU190101 07/24/2019 cer. DEPARTMENT OF THE INTERIOR Office of Congressional and Legis- Advisor ...... DI190080 07/12/2019 lative Affairs. Secretary’s Immediate Office ...... Special Assistant (2) ...... DI190081 07/12/2019 DI190082 07/23/2019 Bureau of Reclamation ...... Advisor ...... DI190076 07/29/2019 DEPARTMENT OF JUSTICE ...... Executive Office for United States Secretary ...... DJ190164 07/24/2019 Attorneys. Office of Public Affairs ...... Attorney General, Advance and DJ190184 07/29/2019 National Coordinator for the United States of America, Public Information Office. Office of Justice Programs ...... Counsel ...... DJ190157 07/30/2019 DEPARTMENT OF LABOR ...... Office of Employment and Training Senior Policy Advisor ...... DL190124 07/03/2019 Administration. Office of Congressional and Inter- Senior Legislative Officer (3) ...... DL190103 07/01/2019 governmental Affairs. DL190106 07/02/2019 DL190107 07/02/2019 Office of Public Affairs ...... Senior Advisor for Digital Strategy DL190109 07/02/2019 and Creative Services. Communications Advisor ...... DL190115 07/02/2019 Deputy Press Secretary ...... DL190108 07/09/2019 Office of the Assistant Secretary Senior Policy Advisor ...... DL190125 07/03/2019 for Policy. Senior Policy Advisor for Workforce DL190131 07/17/2019 Health Initiatives. Office of the Secretary ...... Advance Representative ...... DL190105 07/02/2019 Deputy Chief of Staff ...... DL190137 07/24/2019 Office of Veterans Employment Chief of Staff and Policy Advisor ... DL190111 07/09/2019 and Training Service. Office of Wage and Hour Division Senior Policy Advisor (2) ...... DL190123 07/03/2019 DL190126 07/17/2019 NATIONAL LABOR RELATIONS Office of the Board Members ...... Director Congressional and Public NL190011 07/01/2019 BOARD. Affairs Officer. OCCUPATIONAL SAFETY AND Office of Commissioners ...... Confidential Assistant ...... SH190001 07/02/2019 HEALTH REVIEW COMMISSION. OFFICE OF MANAGEMENT AND Office of Education, Income Main- Confidential Assistant ...... BO190035 07/03/2019 BUDGET. tenance and Labor Programs. Office of the Director ...... Confidential Assistant ...... BO190040 07/25/2019 OFFICE OF PERSONNEL MAN- Office of Communications ...... Confidential Assistant ...... PM190047 07/08/2019 AGEMENT. SECURITIES AND EXCHANGE Office of the Chairman ...... Attorney Advisor ...... SE190009 07/22/2019 COMMISSION. SMALL BUSINESS ADMINISTRA- Office of Administration ...... Special Assistant ...... SB190028 07/22/2019 TION. DEPARTMENT OF STATE...... Bureau of Democracy, Human Special Assistant ...... DS190112 07/03/2019 Rights and Labor. Bureau of International Organiza- Special Assistant ...... DS190120 07/16/2019 tional Affairs. Office of the Chief of Protocol ...... Senior Protocol Officer ...... DS190113 07/03/2019

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Authorization Agency name Organization name Position title No. Effective date

Protocol Officer (Visits) ...... DS190119 07/23/2019 Office of the Deputy Secretary ...... Special Advisor ...... DS190125 07/30/2019 Office of the Secretary ...... Special Advisor ...... DS190042 07/08/2019 Special Assistant ...... DS190127 07/31/2019 Office of the Under Secretary for Senior Advisor ...... DS190123 07/24/2019 Management. DEPARTMENT OF TRANSPOR- Office of the Assistant Secretary Special Assistant ...... DT190096 07/17/2019 TATION. for Research and Technology. Immediate Office of the Adminis- Special Assistant for Strategic DT190112 07/31/2019 trator. Communications. DEPARTMENT OF THE TREAS- Secretary of the Treasury ...... Associate Director of Scheduling DY190086 07/11/2019 URY. and Advance. Office of the Assistant Secretary Director of Public Affairs (Digital DY190090 07/29/2019 (Public Affairs). Strategies). Office of the Assistant Secretary Special Assistant ...... DY190091 07/29/2019 (Legislative Affairs). DEPARTMENT OF VETERANS Office of Public Affairs ...... Press Secretary ...... DV190078 07/23/2019 AFFAIRS.

The following Schedule C appointing authorities were revoked during July 2019.

Agency name Organization name Position title Request No. Date vacated

COMMODITY FUTURES TRADING Office of the Chairperson ...... Director of Legislative and Inter- CT170004 07/15/2019 COMMISSION. governmental Affairs. Executive Assistant ...... CT170002 07/15/2019 Office of External Affairs ...... Director of External Affairs ...... CT180002 07/15/2019 DEPARTMENT OF AGRICULTURE Office of the Under Secretary for Staff Assistant ...... DA180181 07/06/2019 Farm Production and Conserva- tion. Office of Rural Business Service ... Confidential Assistant ...... DA180251 07/06/2019 Office of Rural Housing Service ..... State Director—Wyoming ...... DA180016 07/06/2019 Office of Rural Utilities Service ...... Policy Coordinator ...... DA190001 07/07/2019 Office of the Assistant Secretary Senior Advisor ...... DA190087 07/23/2019 for Administration. DEPARTMENT OF COMMERCE ... Office of Public Affairs ...... Director of Speechwriting ...... DC180160 07/06/2019 OFFICE OF THE SECRETARY OF Office of the Chief Management Special Assistant ...... DD180139 07/20/2019 DEFENSE. Officer. Office of the Under Secretary of Special Assistant to the Director DD180083 07/20/2019 Defense (Personnel and Readi- Force Resiliency. ness). DEPARTMENT OF EDUCATION ... Office for Civil Rights ...... Deputy Assistant Secretary for Pol- DB180021 07/06/2019 icy and Development. Office of Elementary and Sec- Confidential Assistant for Policy ..... DB190015 07/06/2019 ondary Education. Office of the Secretary ...... Special Assistant ...... DB170111 07/06/2019 Office of the Under Secretary ...... Confidential Assistant ...... DB190017 07/26/2019 DEPARTMENT OF ENERGY ...... Office of the Assistant Secretary Special Assistant ...... DE180137 07/06/2019 for Electricity Delivery and En- ergy Reliability. Office of the Assistant Secretary Chief of Staff ...... DE190074 07/06/2019 for Environmental Management. Office of the Assistant Secretary Senior Advisor ...... DE190141 07/19/2019 for Fossil Energy. Office of Public Affairs ...... Special Assistant to the Digital Di- DE180077 07/06/2019 rector. Writer-Editor (Chief Speechwriter) DE170203 07/06/2019 Office of Science ...... Special Assistant ...... DE190046 07/06/2019 Office of the Chief Financial Officer Special Assistant ...... DE180067 07/07/2019 Office of the Chief Information Offi- Special Advisor ...... DE180128 07/06/2019 cer. Office of the Deputy Secretary ...... Special Advisor to the Deputy Sec- DE190052 07/20/2019 retary. Office of the Secretary ...... Special Assistant ...... DE180071 07/06/2019 DEPARTMENT OF HEALTH AND Centers for Medicare and Medicaid Advisor to the Principal Deputy Ad- DH180178 07/01/2019 HUMAN SERVICES. Services. ministrator for Medicare. Deputy Director of Communica- DH190021 07/20/2019 tions.

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Agency name Organization name Position title Request No. Date vacated

Office of the Assistant Secretary Communications Assistant ...... DH180235 07/06/2019 for Public Affairs. Office of the Secretary ...... Senior Advisor ...... DH180228 07/06/2019 Advisor to the Chief Technology DH190026 07/20/2019 Officer. DEPARTMENT OF HOMELAND Office of the United States Cus- Special Assistant ...... DM180102 07/06/2019 SECURITY. toms and Border Protection. Office of the Assistant Secretary Director of Strategic Outreach and DM190051 07/21/2019 for Public Affairs. Engagement. DEPARTMENT OF HOUSING AND Office of the Administration ...... Director of Executive Scheduling DU180098 07/20/2019 URBAN DEVELOPMENT. and Operations. DEPARTMENT OF JUSTICE ...... Office of Public Affairs ...... Media Affairs Coordinator ...... DJ180135 07/01/2019 Office of Justice Programs ...... Senior Advisor ...... DJ180042 07/28/2019 Office of Civil Rights Division ...... Senior Counsel ...... DJ190204 07/30/2019 DEPARTMENT OF LABOR ...... Office of Employment and Training Counsel ...... DL180097 07/06/2019 Administration. DEPARTMENT OF STATE ...... Bureau of African Affairs ...... Special Assistant ...... DS190003 07/06/2019 DEPARTMENT OF THE TREAS- Office of the Assistant Secretary Special Assistant to the Assistant DY180105 07/17/2019 URY. (Legislative Affairs). Secretary for Legislative Affairs. Secretary of the Treasury ...... Assistant Director of Scheduling DY180117 07/27/2019 and Advance. ENVIRONMENTAL PROTECTION Office of the Administrator ...... Special Assistant to the Senior Ad- EP170076 07/06/2019 AGENCY. visor. Office of the Assistant Adminis- Senior Advisor for the Office of EP180091 07/20/2019 trator for International and Tribal International and Tribal Affairs. Affairs. FEDERAL ENERGY REGU- Office of the Chairman ...... Confidential Assistant (2) ...... DR150015 07/12/2019 LATORY COMMISSION. DR160002 07/12/2019 NATIONAL AERONAUTICS AND Office of Communications ...... Social Media Specialist ...... NN180033 07/19/2019 SPACE ADMINISTRATION. NATIONAL CREDIT UNION AD- Office of the Board ...... Senior Policy Advisor ...... CU140001 07/19/2019 MINISTRATION. SMALL BUSINESS ADMINISTRA- Office of Communications and Deputy Associate Administrator ..... SB180033 07/18/2019 TION. Public Liaison. Office of Administration ...... Special Assistant ...... SB180026 07/23/2019

Authority: 5 U.S.C. 3301 and 3302; E.O. comments electronically should contact Postal Service for each request. For each 10577, 3 CFR, 1954–1958 Comp., p. 218. the person identified in the FOR FURTHER request, the Commission appoints an Office of Personnel Management. INFORMATION CONTACT section by officer of the Commission to represent Alexys Stanley, telephone for advice on filing the interests of the general public in the alternatives. proceeding, pursuant to 39 U.S.C. 505 Regulatory Affairs Analyst. FOR FURTHER INFORMATION CONTACT: (Public Representative). Section II also [FR Doc. 2019–25357 Filed 11–21–19; 8:45 am] establishes comment deadline(s) BILLING CODE 6325–39–P David A. Trissell, General Counsel, at 202–789–6820. pertaining to each request. The public portions of the Postal SUPPLEMENTARY INFORMATION: Service’s request(s) can be accessed via POSTAL REGULATORY COMMISSION Table of Contents the Commission’s website (http:// [Docket Nos. MC2020–29 and CP2020–27; www.prc.gov). Non-public portions of I. Introduction the Postal Service’s request(s), if any, MC2020–30 and CP2020–28; MC2020–31 II. Docketed Proceeding(s) and CP2020–29] can be accessed through compliance I. Introduction with the requirements of 39 CFR New Postal Products 1 The Commission gives notice that the 3007.301. AGENCY: Postal Regulatory Commission. Postal Service filed request(s) for the The Commission invites comments on whether the Postal Service’s request(s) ACTION: Notice. Commission to consider matters related to negotiated service agreement(s). The in the captioned docket(s) are consistent SUMMARY: The Commission is noticing a request(s) may propose the addition or with the policies of title 39. For recent Postal Service filing for the removal of a negotiated service request(s) that the Postal Service states Commission’s consideration concerning agreement from the market dominant or concern market dominant product(s), a negotiated service agreement. This the competitive product list, or the applicable statutory and regulatory notice informs the public of the filing, modification of an existing product requirements include 39 U.S.C. 3622, 39 invites public comment, and takes other currently appearing on the market U.S.C. 3642, 39 CFR part 3010, and 39 administrative steps. dominant or the competitive product CFR part 3020, subpart B. For request(s) DATES: Comments are due: November list. that the Postal Service states concern 26, 2019. Section II identifies the docket competitive product(s), applicable ADDRESSES: Submit comments number(s) associated with each Postal 1 See Docket No. RM2018–3, Order Adopting electronically via the Commission’s Service request, the title of each Postal Final Rules Relating to Non-Public Information, Filing Online system at http:// Service request, the request’s acceptance June 27, 2018, Attachment A at 19–22 (Order No. www.prc.gov. Those who cannot submit date, and the authority cited by the 4679).

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statutory and regulatory requirements ADDRESSES: Submit comments III. Notice of Commission Action include 39 U.S.C. 3632, 39 U.S.C. 3633, electronically via the Commission’s Pursuant to 39 CFR 3020.91, the 39 U.S.C. 3642, 39 CFR part 3015, and Filing Online system at http:// Commission has posted the Notice on 39 CFR part 3020, subpart B. Comment www.prc.gov. Those who cannot submit its website and invites comments on deadline(s) for each request appear in comments electronically should contact whether the Postal Service’s filings are section II. the person identified in the FOR FURTHER consistent with 39 CFR part 3020, INFORMATION CONTACT section by II. Docketed Proceeding(s) subpart E. Comments are due no later telephone for advice on filing than December 3, 2019. The filing can 1. Docket No(s).: MC2020–29 and alternatives. be accessed via the Commission’s CP2020–27; Filing Title: USPS Request FOR FURTHER INFORMATION CONTACT: website (http://www.prc.gov). to Add Priority Mail & First-Class The Commission appoints Stephanie Package Service Contract 128 to David A. Trissell, General Counsel, at 202–789–6820. A. Quick to represent the interests of the Competitive Product List and Notice of general public (Public Representative) SUPPLEMENTARY INFORMATION: Filing Materials Under Seal; Filing in this docket. Acceptance Date: November 18, 2019; Table of Contents Filing Authority: 39 U.S.C. 3642, 39 CFR IV. Ordering Paragraphs 3020.30 et seq., and 39 CFR 3015.5; I. Introduction It is ordered: Public Representative: Christopher C. II. Summary of Changes 1. The Commission establishes Docket Mohr; Comments Due: November 26, III. Notice of Commission Action IV. Ordering Paragraphs No. MC2020–27 to consider matters 2019. raised by the Notice. 2. Docket No(s).: MC2020–30 and I. Introduction 2. Comments by interested persons CP2020–28; Filing Title: USPS Request are due by December 3, 2019. On November 15, 2019, the Postal to Add Parcel Select Contract 35 to 3. Pursuant to 39 U.S.C. 505, Service filed a notice of changes to Competitive Product List and Notice of Stephanie A. Quick is appointed to product descriptions pursuant to Filing Materials Under Seal; Filing serve as an officer of the Commission Commission rule 39 CFR 3020.90.1 The Acceptance Date: November 18, 2019; (Public Representative) to represent the Postal Service seeks to make changes to Filing Authority: 39 U.S.C. 3642, 39 CFR interests of the general public in this the country price list for international 3020.30 et seq., and 39 CFR 3015.5; proceeding. mail that appears in Part D of the Mail Public Representative: Christopher C. 4. The Commission directs the Classification Schedule (MCS). Notice at Mohr; Comments Due: November 26, Secretary of the Commission to arrange 1. The changes are intended to take 2019. for prompt publication of this notice in 3. Docket No(s).: MC2020–31 and effect on January 26, 2020. Id. the Federal Register. CP2020–29; Filing Title: USPS Request II. Summary of Changes By the Commission. to Add Priority Mail Contract 562 to The Postal Service states that the Darcie S. Tokioka, Competitive Product List and Notice of purpose of the minor modifications to Acting Secretary. Filing Materials Under Seal; Filing the country price list is ‘‘to conform to [FR Doc. 2019–25314 Filed 11–21–19; 8:45 am] Acceptance Date: November 18, 2019; official sources and improve the BILLING CODE 7710–FW–P Filing Authority: 39 U.S.C. 3642, 39 CFR accuracy of the product descriptions in 3020.30 et seq., and 39 CFR 3015.5; the MCS.’’ Id. The Postal Service Public Representative: Christopher C. maintains that the proposed changes POSTAL REGULATORY COMMISSION Mohr; Comments Due: November 26, satisfy the requirements of 39 CFR 2019. [Docket Nos. MC2020–28 and CP2020–26] This Notice will be published in the 3020.90 because the changes should Federal Register. result in a more accurate representation New Postal Product of the Postal Service’s offerings by AGENCY: Darcie S. Tokioka, allowing mailers to more precisely Postal Regulatory Commission. Acting Secretary. locate pertinent information, the Notice ACTION: Notice. [FR Doc. 2019–25382 Filed 11–21–19; 8:45 am] is filed no later than 15 days prior to the SUMMARY: The Commission is noticing a BILLING CODE 7710–FW–P intended effective date, and the changes recent Postal Service filing for the merely revise the MCS without Commission’s consideration concerning otherwise changing product offerings or a negotiated service agreement. This POSTAL REGULATORY COMMISSION the prices or price groups. Id. at 1–2. notice informs the public of the filing, The Postal Service also asserts that the [Docket No. MC2020–27; Order No. 5312] invites public comment, and takes other proposed changes do not significantly administrative steps. change the user experience for any Mail Classification Schedule DATES: Comments are due: November product and that there is no evidence 25, 2019. AGENCY: Postal Regulatory Commission. that the changes will significantly ADDRESSES: Submit comments ACTION: Notice. impact competitors. Id. at 2. The proposed change adds an individual electronically via the Commission’s SUMMARY: The Commission is country listing for the Republic of South Filing Online system at http:// acknowledging a recent Postal Service Sudan to reflect its independence from www.prc.gov. Those who cannot submit filing concerning product description Sudan and revises the MCS to reflect comments electronically should contact FOR FURTHER changes to the Mail Classification products that are offered to the Republic the person identified in the Schedule related to International Mail. of South Sudan, without changing the INFORMATION CONTACT section by This document informs the public of the products or prices or price groups telephone for advice on filing filing, invites public comment, and applicable to such products. Id. alternatives. takes other administrative steps. FOR FURTHER INFORMATION CONTACT: DATES: Comments are due: December 3, 1 Notice of United States Postal Service of Minor David A. Trissell, General Counsel, at 2019. Classification Changes, November 15, 2019 (Notice). 202–789–6820.

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SUPPLEMENTARY INFORMATION: Acceptance Date: November 15, 2019; SUPPLEMENTARY INFORMATION: The Filing Authority: 39 U.S.C. 3642, 39 CFR United States Postal Service® hereby Table of Contents 3020.30 et seq., and 39 CFR 3015.5; gives notice that, pursuant to 39 U.S.C. I. Introduction Public Representative: Christopher C. 3642 and 3632(b)(3), on November 18, II. Docketed Proceeding(s) Mohr; Comments Due: November 25, 2019, it filed with the Postal Regulatory I. Introduction 2019. Commission a USPS Request to Add This Notice will be published in the Priority Mail Contract 562 to The Commission gives notice that the Federal Register. Competitive Product List. Documents Postal Service filed request(s) for the are available at www.prc.gov, Docket Commission to consider matters related Darcie S. Tokioka, Nos. MC2020–31, CP2020–29. to negotiated service agreement(s). The Acting Secretary. request(s) may propose the addition or [FR Doc. 2019–25294 Filed 11–21–19; 8:45 am] Sean Robinson, removal of a negotiated service BILLING CODE 7710–FW–P Attorney, Corporate and Postal Business Law. agreement from the market dominant or [FR Doc. 2019–25323 Filed 11–21–19; 8:45 am] the competitive product list, or the BILLING CODE 7710–12–P modification of an existing product POSTAL SERVICE currently appearing on the market dominant or the competitive product Product Change—Parcel Select POSTAL SERVICE list. Negotiated Service Agreement Section II identifies the docket Product Change—Priority Mail and number(s) associated with each Postal AGENCY: Postal ServiceTM. First-Class Package Service Service request, the title of each Postal ACTION: Notice. Negotiated Service Agreement Service request, the request’s acceptance SUMMARY: TM date, and the authority cited by the The Postal Service gives AGENCY: Postal Service . Postal Service for each request. For each notice of filing a request with the Postal ACTION: Notice. request, the Commission appoints an Regulatory Commission to add a officer of the Commission to represent domestic shipping services contract to SUMMARY: The Postal Service gives the interests of the general public in the the list of Negotiated Service notice of filing a request with the Postal proceeding, pursuant to 39 U.S.C. 505 Agreements in the Mail Classification Regulatory Commission to add a (Public Representative). Section II also Schedule’s Competitive Products List. domestic shipping services contract to establishes comment deadline(s) DATES: Date of required notice: the list of Negotiated Service pertaining to each request. November 22, 2019. Agreements in the Mail Classification The public portions of the Postal FOR FURTHER INFORMATION CONTACT: Schedule’s Competitive Products List. Service’s request(s) can be accessed via Sean Robinson, 202–268–8405. DATES: Date of required notice: the Commission’s website (http:// SUPPLEMENTARY INFORMATION: The November 22, 2019. www.prc.gov). Non-public portions of United States Postal Service® hereby FOR FURTHER INFORMATION CONTACT: the Postal Service’s request(s), if any, gives notice that, pursuant to 39 U.S.C. Sean Robinson, 202–268–8405. can be accessed through compliance 3642 and 3632(b)(3), on November 18, SUPPLEMENTARY INFORMATION: The with the requirements of 39 CFR 2019, it filed with the Postal Regulatory United States Postal Service® hereby 1 3007.301. Commission a USPS Request to Add gives notice that, pursuant to 39 U.S.C. The Commission invites comments on Parcel Select Contract 35 to Competitive 3642 and 3632(b)(3), on November 18, whether the Postal Service’s request(s) Product List. Documents are available at 2019, it filed with the Postal Regulatory in the captioned docket(s) are consistent www.prc.gov, Docket Nos. MC2020–30, Commission a USPS Request to Add with the policies of title 39. For CP2020–28. Priority Mail & First-Class Package request(s) that the Postal Service states Service Contract 128 to Competitive concern market dominant product(s), Sean Robinson, Attorney, Corporate and Postal Business Law. Product List. Documents are available at applicable statutory and regulatory www.prc.gov, Docket Nos. MC2020–29, [FR Doc. 2019–25383 Filed 11–21–19; 8:45 am] requirements include 39 U.S.C. 3622, 39 CP2020–27. U.S.C. 3642, 39 CFR part 3010, and 39 BILLING CODE 7710–12–P CFR part 3020, subpart B. For request(s) Sean Robinson, that the Postal Service states concern Attorney, Corporate and Postal Business Law. competitive product(s), applicable POSTAL SERVICE [FR Doc. 2019–25321 Filed 11–21–19; 8:45 am] statutory and regulatory requirements BILLING CODE 7710–12–P include 39 U.S.C. 3632, 39 U.S.C. 3633, Product Change—Priority Mail 39 U.S.C. 3642, 39 CFR part 3015, and Negotiated Service Agreement 39 CFR part 3020, subpart B. Comment AGENCY: Postal ServiceTM. SECURITIES AND EXCHANGE deadline(s) for each request appear in ACTION: Notice. COMMISSION section II. SUMMARY: The Postal Service gives [Release No. 34–87559; File No. SR– II. Docketed Proceeding(s) notice of filing a request with the Postal NASDAQ–2019–090] 1. Docket No(s).: MC2020–28 and Regulatory Commission to add a Self-Regulatory Organizations; The CP2020–26; Filing Title: USPS Request domestic shipping services contract to Nasdaq Stock Market LLC; Notice of to Add Priority Mail Contract 561 to the list of Negotiated Service Filing of a Proposed Rule Change To Competitive Product List and Notice of Agreements in the Mail Classification Adopt Nasdaq Rule 5704 and Other Filing Materials Under Seal; Filing Schedule’s Competitive Products List. Related Amendments DATES: Date of required notice: 1 See Docket No. RM2018–3, Order Adopting November 22, 2019. November 18, 2019. Final Rules Relating to Non-Public Information, June 27, 2018, Attachment A at 19–22 (Order No. FOR FURTHER INFORMATION CONTACT: Pursuant to Section 19(b)(1) of the 4679). Sean Robinson, 202–268–8405. Securities Exchange Act of 1934

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(‘‘Act’’),1 and Rule 19b–4 thereunder,2 A. Self-Regulatory Organization’s will facilitate efficient procedures for notice is hereby given that on November Statement of the Purpose of, and ETFs that are permitted to operate in 8, 2019, The Nasdaq Stock Market LLC Statutory Basis for, the Proposed Rule reliance on Rule 6c–11. The Exchange (‘‘Nasdaq’’ or ‘‘Exchange’’) filed with the Change also believes that proposed Nasdaq Rule 5704 is consistent with, and will Securities and Exchange Commission 1. Purpose (‘‘SEC’’ or ‘‘Commission’’) the proposed further, the Commission’s goals in rule change as described in Items I and The Exchange proposes Nasdaq Rule adopting Rule 6c–11. Exchange Traded II below, which Items have been 5704 to establish generic listing Fund Shares that are permitted to prepared by the Exchange. The standards that permit the listing and operate in reliance on Rule 6c–11 will be permitted to be listed and traded on Commission is publishing this notice to trading of shares (‘‘Exchange Traded Fund Shares’’) of exchange-traded funds the Exchange without a prior solicit comments on the proposed rule (‘‘ETFs’’ as defined below) that meet the Commission approval order or notice of change from interested persons. criteria established by the Commissions effectiveness pursuant to Section 19(b) I. Self-Regulatory Organization’s in its adoption of Rule 6c–11 3 (‘‘Rule of the Act. This will significantly reduce Statement of the Terms of Substance of 6c–11’’) under the Investment Company the time frame and costs associated with the Proposed Rule Change Act of 1940, as amended (‘‘1940 Act’’), bringing Exchange Traded Fund Shares to operate without obtaining an to market, which, in turn, will promote The Exchange proposes to adopt new exemptive order from the SEC under the competition among issuers of Exchange Nasdaq Rule 5704 to list and trade 1940 Act.4 This will help to accomplish Traded Fund Shares, to the benefit of shares of securities issued by an the SEC’s goal in adopting Rule 6c–11 investors. exchange-traded fund as defined herein, to allow such ETFs to come directly to The Exchange also proposes to amend as well as amendments to Nasdaq Rule market without the cost and delay of Nasdaq Rule 4120 (Limit Up-Limit 4120 (Limit Up-Limit Down Plan and obtaining exemptive relief while still Down Plan and Trading Halts) and Trading Halts) and Nasdaq Rule 5615 protecting the interests of investors and Nasdaq Rule 5615 (Exemptions from (Exemptions from Certain Corporate other market participants. Rule 6c–11 Certain Corporate Governance Requirements), and to discontinue the Governance Requirements), and to will provide exemptions applicable to quarterly reports currently required discontinue the quarterly reports both index-based and transparent with respect to Managed Fund Shares currently required with respect to actively managed ETFs. Rule 6c–11 will enhance the regulatory framework under Nasdaq Rule 5735(b). Managed Fund Shares under Nasdaq Proposed Nasdaq Rule 5704 will Rule 5735(b). through streamlining existing procedures and reducing the costs and enable ETFs, whether index-based or The Exchange requests that the time frames associated with bringing actively managed, to qualify for listing Commission approve the proposed rule ETFs to market. This, in turn, will also and trading on the Exchange both on an change on an accelerated basis so that serve to enhance competition among initial and continued basis by meeting it may become operative as soon as ETF issuers and ultimately reduce and maintaining compliance with the 6 practicable, particularly given that Rule investor costs.5 criteria set forth in Rule 6c–11. The 6c–11 under the Investment Company Nasdaq believes that the proposed specific provisions of proposed Nasdaq Act of 1940, as amended, becomes generic listing rules for Exchange Rule 5704 are presented below, as well effective on December 23, 2019. Traded Fund Shares, described below, as amendments to Nasdaq Rule 4120 (Limit Up-Limit Down Plan and Trading The text of the proposed rule change 3 Specifically, Rule 6c–11 applies to open-end Halts) and Nasdaq Rule 5615 is available on the Exchange’s website at funds that (i) issue and redeem creation units to and (Exemptions from Certain Corporate http://nasdaq.cchwallstreet.com, at the from authorized participants in exchange for a Governance Requirements), which principal office of the Exchange, and at basket of securities and other assets (and any cash would be necessitated by adoption of balancing amount), and (ii) whose shares are listed the Commission’s Public Reference on a national securities exchange and trade at the proposed rule. Additionally, the Room. market-determined prices. Rule 6c–11 does not proposed rule change to discontinue the apply to leveraged, inverse, non-transparent, share quarterly reports currently required II. Self-Regulatory Organization’s classes, or exchange-traded funds structured as unit with respect to Managed Fund Shares Statement of the Purpose of, and investment trusts. under Nasdaq Rule 5735(b) is also Statutory Basis for, the Proposed Rule 4 See Release Nos. 33–10695; IC–33646; File No. S7–15–18 (Exchange-Traded Funds) (September 25, discussed below. Change 2019), 84 FR 57162 (October 24, 2019) (‘‘Adopting Release’’). Proposed Nasdaq Rule 5704 In its filing with the Commission, the 5 The SEC said in the Adopting Release that Rule Proposed Definitions. Proposed Exchange included statements 6c–11 ‘‘will modernize the regulatory framework for Nasdaq Rule 5704(a)(1)(A), which concerning the purpose of and basis for ETFs to reflect our more than two decades of defines the term ‘‘Derivative Securities the proposed rule change and discussed experience with these investment products. The rule is designed to further important Commission Product’’ to mean a security that meets any comments it received on the objectives, including establishing a consistent, the definition of ‘‘derivative securities proposed rule change. The text of these transparent, and efficient regulatory framework for product’’ in Rule 19b–4(e) under the statements may be examined at the ETFs and facilitating greater competition and innovation among ETFs.’’ See Adopting Release at Act. Proposed Nasdaq Rule places specified in Item IV below. The 57163. The SEC also said that in reference to the 5704(a)(1)(B) defines the term Exchange has prepared summaries, set impact of Rule 6c–11 that: ‘‘We believe rule 6c–11 ‘‘Exchange Traded Fund’’ (‘‘ETF’’) as forth in sections A, B, and C below, of will establish a regulatory framework that: (1) having the same meaning as the term Reduces the expense and delay currently associated the most significant aspects of such with forming and operating certain ETFs unable to ‘‘exchange-traded fund’’ is defined in statements. rely on existing orders; and (2) creates a level playing field for ETFs that can rely on the rule. As 6 Rule 6c–11 becomes effective on December 23, such, the rule will enable increased product 2019. Subject to approval of this proposed rule competition among certain ETF providers, which change, Exchange Traded Fund Shares that are can lead to lower fees for investors, encourage permitted to operate in reliance on Rule 6c–11 will 1 15 U.S.C. 78s(b)(1). financial innovation, and increase investor choice be eligible for listing and trading on Nasdaq under 2 17 CFR 240.19b–4. in the ETF market.’’ See Adopting Release at 57204. proposed Nasdaq Rule 5704 after that date.

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Rule 6c–11.7 In the case of an Exchange requirements of Nasdaq Rule 5704 must and continued listing basis. Proposed Traded Fund that is not currently listed also be satisfied on an initial and Nasdaq Rule 5704(b)(2)(i) [sic] states on a national securities exchange, the continued listing basis. that if the underlying index is portion of the definition found in Rule Proposed Nasdaq Rule 5704(b)(1) says maintained by a broker-dealer or fund 6c–11 requiring such listing will that for a Derivative Securities Product advisor, the broker-dealer or fund become applicable if the Exchange listed under this rule, it does not need advisor will erect and maintain a ‘‘fire Traded Fund is listed on a national to separately meet either the initial or wall’’ around the personnel who have securities exchange. continued listing requirements of any access to information concerning Proposed Nasdaq Rule 5704(a)(1)(C) other Exchange rules. For example, an changes and adjustments to the index defines the term ‘‘Exchange Traded ETF that satisfies the requirements of and the index will be calculated by a Fund Share’’ as having the same Rule 6c–11 and therefore is listed third party who is not a broker-dealer or meaning as the term is defined as pursuant to proposed Nasdaq Rule 5704 fund advisor. Proposed Nasdaq Rule having in Rule 6c–11.8 and is also, for example, an Index Fund 5704(b)(2)(ii) [sic] states that any Proposed Nasdaq Rule 5704(a)(1)(D) Share, would not need to separately advisory committee, supervisory board, defines the term ‘‘Reporting Authority’’ meet the initial or continued listing or similar entity that advises a Reporting in respect of a particular series of requirements of Nasdaq Rule 5705(b). Authority or that makes decisions on Exchange Traded Fund Share means Proposed Nasdaq Rule 5704(b)(2), the index composition, methodology Nasdaq, a wholly-owned subsidiary of [sic] except for paragraph (A) below and related matters, must implement Nasdaq, or an institution or reporting which only applies on an initial listing and maintain, or be subject to, service designated by Nasdaq or its basis, such securities must also satisfy procedures designed to prevent the use subsidiary as the official source for the follow criteria on an initial and and dissemination of material non- calculating and reporting information continued listing basis: public information regarding the relating to such series, including, but Proposed Nasdaq Rule 5704(b)(2)(A) applicable index. not limited to, any current index or states that for each series of Exchange Proposed Nasdaq Rule 5704(b)(2)(C) portfolio value; the current value of the Traded Fund Shares, Nasdaq will states that regular market session portfolio of any securities required to be establish a minimum number of trading will occur between 9:30 a.m. deposited in connection with issuance Exchange Traded Fund Shares required and either 4:00 p.m. or 4:15 p.m. for of Exchange Traded Fund Shares; the to be outstanding at the time of each series of Exchange Traded Fund amount of any dividend equivalent commencement of trading on Nasdaq. Shares, as specified by Nasdaq. In payment or cash distribution to holders Proposed Nasdaq Rule 5704(b)(2)(B) addition, Nasdaq may designate a series of Exchange Traded Fund Shares, net sets for the requirements regarding of Exchange Traded Fund Shares for asset value, and other information index calculation and dissemination trading during a pre-market session relating to the issuance, redemption or that must be satisfied on both an initial beginning at 4:00 a.m. and/or a post- trading of Exchange Traded Fund market session ending at 8:00 p.m. Shares. The definition also notes that it regular trading on the primary listing exchange of Proposed Nasdaq Rule 5704(b)(2)(D) does not imply that an institution or the exchange-traded fund shares, the estimated cash states that Nasdaq may list and trade a reporting service that is the source for balancing amount (if any) and the following series of Exchange Traded Fund Shares information (as applicable) for each portfolio calculating and reporting information holding that will form the basis of the next based on one or more foreign or relating to Exchange Traded Fund calculation of current net asset value per share: (A) domestic indexes or portfolios. Each Shares must be designated by Nasdaq; Ticker symbol; (B) CUSIP or other identifier; (C) series of Exchange Traded Fund Shares the term ‘‘Reporting Authority’’ does not Description of holding; (D) Quantity of each based on each particular index or security or other asset held; and (E) Percentage refer to an institution or reporting weight of the holding in the portfolio; (ii) The portfolio, or combination thereof, will service not so designated. exchange-traded fund’s current net asset value per be designated as a separate series and Initial and Continued Listing. share, market price, and premium or discount, each will be identified by a unique symbol. Proposed Nasdaq Rule 5704(b) states as of the end of the prior business day; (iii) A table The components that are included in an showing the number of days the exchange-traded that Nasdaq may approve a series of fund’s shares traded at a premium or discount index or portfolio on which a series of Exchange Traded Fund Shares for during the most recently completed calendar year Exchange Traded Fund Shares is based listing and trading pursuant to Rule and the most recently completed calendar quarters will be selected by such person, which 19b–4(e) under the Act, provided it is since that year (or the life of the exchange-traded may be Nasdaq or an agent or wholly- fund, if shorter); (iv) A line graph showing owned subsidiary thereof, as will have eligible to operate in reliance on Rule exchange-traded fund share premiums or discounts 6c–11 and is in compliance with the for the most recently completed calendar year and authorized use of such index or requirements of Rule 6c–11(c) on an the most recently completed calendar quarters since portfolio. Such index or portfolio may initial and continued listing basis.9 The that year (or the life of the exchange-traded fund, be revised from time to time as may be if shorter); (v) The exchange-traded fund’s median deemed necessary or appropriate to bid-ask spread, expressed as a percentage rounded 7 Rule 6c–11(a)(1) defines ‘‘exchange-traded to the nearest hundredth (and computed in a maintain the quality and character of fund’’ as a registered open-end management manner described in Rule 6c–11(c)(v)(A) through the index or portfolio. company: (i) That issues (and redeems) creation (D)); and (vi) If the exchange-traded fund’s premium Proposed Nasdaq Rule 5704(b)(2)(E) units to (and from) authorized participants in or discount is greater than 2% for more than seven states that Nasdaq will obtain a exchange for a basket and a cash balancing amount consecutive trading days, a statement that the if any; and (ii) Whose shares are listed on a national exchange-traded fund’s premium or discount, as representation from the ETF that the net securities exchange and traded at market- applicable, was greater than 2% and a discussion asset value per share for each series of determined prices. The terms ‘‘authorized of the factors that are reasonably believed to have Exchange Traded Fund Shares will be participant,’’ ‘‘basket’’ and ‘‘creation unit’’ are materially contributed to the premium or discount, calculated daily and will be made defined in Rule 6c–11(a). which must be maintained on the website for at 8 Rule 6c–11(a)(1) defines ‘‘exchange-traded fund least one year thereafter. Rule 6c–11(c)(4) provides available to all market participants at share’’ as a share of stock issued by an exchange- that the exchange-traded fund may not seek, the same time. traded fund. directly or indirectly, to provide investment returns Proposed Nasdaq Rule 5704(b)(3) sets 9 Rule 6c–11(c) sets forth certain conditions that correspond to the performance of a market forth the circumstances under which applicable to exchange-traded funds, and specifies index by a specified multiple, or to provide the information required to be disclosed investment returns that have an inverse relationship Nasdaq will consider the suspension of prominently on the fund’s website free of charge, to the performance of a market index, over a trading and removal in, and will initiate including the following: (i) Before the opening of predetermined period of time. delisting proceedings under the Rule

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5800 Series of, a series of Exchange description of the terms and reasonable control of Nasdaq, its agent, Traded Fund Shares. These characteristics of such securities, in a or the Reporting Authority, including, circumstances will include the form prepared by the open-end but not limited to, an act of God; fire; following: (i) Proposed Nasdaq Rule management investment company flood; extraordinary weather conditions; 5704(b)(3)(A) states that if the series of issuing such securities, not later than war; insurrection; riot; strike; accident; Exchange Traded Fund Shares is no the time a confirmation of the first action of government; communications longer eligible to operate in reliance on transaction in such series is delivered to or power failure; equipment or software Rule 6c–11 or if any of the other such purchaser. In addition, members malfunction; or any error, omission or requirements set forth in this rule are will include such a written description delay in the reports of transactions in not continuously maintained; (ii) with any sales material relating to an one or more underlying securities. Proposed Nasdaq Rule 5704(b)(3)(B) ETF that is provided to customers or the Proposed Nasdaq Rule 5704(g) states states that if, following the initial twelve public. Any other written materials that Nasdaq may approve a series of month period after commencement of provided by a member to customers or Exchange Traded Fund Shares for trading on Nasdaq of the series of the public making specific reference to listing and trading pursuant to Rule Exchange Traded Fund Shares, there are an Exchange Traded Fund Shares as an 19b–4(e) under the Act that is not fewer than 50 beneficial holders of such investment vehicle must include a eligible to operate in reliance on Rule series of Exchange Traded Fund Shares; statement in substantially the following 6c–11 provided the series of Exchange (iii) Proposed Nasdaq Rule 5704(b)(3)(C) form: ‘‘A circular describing the terms Traded Fund Shares satisfies the states that if the value of the index or and characteristics of [a series of requirements of Rule 5705(b) or Rule portfolio of securities on which the Exchange Traded Fund Shares] has been 5735, as applicable, and the ETF has series of Exchange Traded Fund Shares prepared by the [open-end management received an exemptive relief order is based is no longer calculated or investment company name] and is under the 1940 Act. available or an interruption to the available from your broker or Nasdaq. It Proposed Nasdaq Rule 5704(h) states dissemination persists past the trading is recommended that you obtain and that Nasdaq may submit a rule filing day in which it occurred or the index or review such circular before purchasing pursuant to Section 19(b) of the Act to portfolio on which the series of [a series of Exchange Traded Fund permit the listing and trading of a series Exchange Traded Fund Shares is based Shares]. In addition, upon request you of Exchange Traded Fund Shares that is is replaced with a new index or may obtain from your broker a not eligible to operate in reliance on portfolio, unless the new index or prospectus for [a series of Exchange Rule 6c–11 and does not satisfy the portfolio meets the requirements of this Traded Fund Shares].’’ requirements of Rule 5705(b) or Rule Rule 5705(b) for listing either pursuant Additionally, a member carrying an 5735, as applicable. Any of the to Rule 19b–4(e) under the Act omnibus account for a non-member statements or representations regarding (including the filing of a Form 19b–4(e) broker-dealer is required to inform such (a) the index composition; (b) the with the Commission) or by non-member that execution of an order description of the portfolio; (c) Commission approval of a filing to purchase a series of Exchange Traded limitations on portfolio holdings or pursuant to Section 19(b) of the Act; (iv) Fund Shares for such omnibus account reference assets; (d) dissemination and Proposed Nasdaq Rule 5704(c)(3)(D) will be deemed to constitute agreement availability of the index or intraday [sic] states that if Nasdaq files separate by the non-member to make such indicative values; or (e) the applicability proposals under Section 19(b) of the written description available to its of Nasdaq listing rules specified in such Act, any of the statements or customers on the same terms as are proposals constitute continued listing representations regarding (a) the index directly applicable to members and standards. composition; (b) the description of the member organizations under this rule. Proposed Nasdaq Rule 5704(i) states portfolio; (c) limitations on portfolio Upon request of a customer, a Member that a Derivative Securities Product that holdings or reference assets; (d) shall also provide a prospectus for the has previously been approved for listing dissemination and availability of the particular series of Exchange Traded on the Exchange pursuant to the generic index or intraday indicative values; or Fund Shares. listing requirements specified in Rule (e) the applicability of Nasdaq listing Proposed Nasdaq Rule 5704(f) states 5705(b) or Rule 5735(b)(1), or pursuant rules specified in such proposals are not that neither Nasdaq, the Reporting to a proposed rule change filed and continuously maintained as referenced Authority, nor any agent of Nasdaq will approved or subject to a notice of in subsection (h) of this rule; and (v) have any liability for damages, claims, effectiveness by the Commission, will Proposed Nasdaq Rule 5704(c)(3)(E) losses or expenses caused by any errors, be deemed to be considered approved [sic] state that if such other event will omissions, or delays in calculating or for listing under this Rule if such occur or condition exists which in the disseminating any current index or Derivative Securities Product is both (1) opinion of Nasdaq, makes further portfolio value, the current value of the permitted to operate in reliance on Rule dealings on Nasdaq inadvisable. portfolio of securities required to be 6c–11 under the 1940 Act, and (2) the Proposed Nasdaq Rule 5704(c) states deposited to the open-end management prior exemptive relief under the 1940 that Nasdaq will maintain written investment company in connection with Act for such Derivative Securities surveillance procedures for Exchange issuance of a series of Exchange Traded Product has been rescinded. At such Traded Fund Shares. Fund Shares; the amount of any time, the continued listing requirements Proposed Nasdaq Rule 5704(d) states dividend equivalent payment or cash applicable to such previously-listed that upon termination of an ETF, distribution to holders of a series of Derivative Securities Products will be Nasdaq requires that each series of Exchange Traded Fund Shares; net asset those specified in paragraph (b) of this Exchange Traded Fund Shares issued in value; or other information relating to Rule. Any requirements for listing as connection with such entity be removed the purchase, redemption or trading of specified in Rule 5705(b) or 5735(b)(1), from listing. a series of Exchange Traded Fund or an approval order or notice of Proposed Nasdaq Rule 5704(e) states Shares, resulting from any negligent act effectiveness of a separate proposed rule that Nasdaq requires that members or omission by Nasdaq, the Reporting change that differ from the requirements provide to all purchasers of a series of Authority or any agent of Nasdaq, or any of this Rule will no longer be applicable Exchange Traded Fund Shares a written act, condition or cause beyond the to such Derivative Securities Products.

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Amendments to Nasdaq Rule 4120. a fund.12 This information will be general, to protect investors and the Limit Up-Limit Down Plan and Trading sufficient for the SEC’s examination public interest. Halts staff to determine compliance with Rule The proposed rule change is designed 6c–11 and the applicable federal to perfect the mechanism of a free and The Exchange proposes to amend 13 securities laws. open market and, in general, to protect Nasdaq Rule 4120 to include Exchange Nasdaq believes that the quarterly Traded Fund Shares within the investors and the public interest reports as currently are duplicative of because it would facilitate the listing definition of ‘‘Derivative Securities the new Rule 6c–11(d) requirements. To Product’’ as defined in Nasdaq Rule and trading of additional Exchange avoid unnecessary overlap and potential Traded Fund Shares, which would 4120(b)(4)(A). This will ensure the inconsistency, as well as to avoid applicability of trading halts to the enhance competition among market unnecessary, duplicative burdens on participants, to the benefit of investors trading of Exchange Traded Fund authorized participants and their firms and the marketplace. Shares on Nasdaq pursuant to unlisted in providing and maintaining trading privileges. information regarding creation and The generic listing rules in proposed Amendments to Nasdaq Rule 5615. redemption activity, the Exchange Nasdaq Rule 5704, as described above, Exemptions From Certain Corporate proposes to discontinue the filing of will facilitate efficient procedures for Governance Requirements quarterly reports with respect to listing ETFs that are permitted to Managed Fund Shares under Nasdaq operate in reliance on Rule 6c–11 and The Exchange also proposes to amend Rule 5735(b). are consistent with and will further the the definition of ‘‘Derivative Securities’’ SEC’s goals in adopting Rule 6c–11. in Nasdaq Rule 5615 to incorporate to 2. Statutory Basis Additionally, by allowing Exchange incorporate Exchange Traded Fund The Exchange believes that its Traded Fund Shares to be listed and Shares so Rule 5615 and its exemptions proposal is consistent with Section 6(b) traded on the Exchange without a prior from certain corporate governance of the Act,14 in general, and furthers the SEC approval order or notice of requirements are applicable to Exchange objectives of Section 6(b)(5) of the Act,15 effectiveness pursuant to Section 19(b) Traded Fund Shares. in particular, because it is designed to of the Act, proposed Nasdaq Rule 5704 Proposed Discontinuance of Quarterly prevent fraudulent and manipulative will significantly reduce the time frame Reporting Obligation for Managed Fund acts and practices, to promote just and and costs associated with bringing Shares equitable principles of trade, to remove Exchange Traded Fund Shares to impediments to, and perfect the market, thereby promoting market On September 23, 2016, the SEC mechanisms of, a free and open market competition among issuers of these approved Nasdaq Rule 5735(b)(1), and a national market system and, in securities, to the benefit of the investors. adopting generic listing standards for Also, the proposed change would fulfill Managed Fund Shares.10 In proposing 12 Rule 6c–11(d), which sets forth recordkeeping the intended objective of Rule 19b–4(e) that rule, Nasdaq represented that it requirements applicable to exchange-traded funds, under the Act by permitting Exchange would provide the Commission staff provides that that the exchange-traded fund must maintain and preserve for a period of not less than Traded Fund Shares that satisfy the with a report each calendar quarter five years, the first two years in an easily accessible proposed listing standards to be listed about issues of Managed Fund Shares place: (1) All written agreements (or copies thereof) and traded without separate SEC listed under that rule.11 between an authorized participant and the approval. Nasdaq believes such quarterly exchange-traded fund or one of its service providers that allows the authorized participant to place With respect to proposed Nasdaq Rule reports are no longer necessary in light orders for the purchase or redemption of creation 5704(a)(1)(A), which defines the term of the requirements set forth in Rule 6c– units; (2) For each basket exchanged with an ‘‘Derivative Securities Product’’ to mean authorized participant, records setting forth: (i) The 11(d). As a result, the Exchange a security that meets the definition of proposes to discontinue such reporting ticker symbol, CUSIP or other identifier, description of holding, quantity of each holding, and percentage ‘‘derivative securities product’’ in Rule going forward. Rule 6c–11(d) includes weight of each holding composing the basket 19b–4(e) under the Act will increase the specific ongoing reporting requirements exchanged for creation units; (ii) If applicable, clarity of the Nasdaq rules to the benefit identification of the basket as a custom basket and for ETFs, such as written agreements of investors and the marketplace. between an authorized participant and a a record stating that the custom basket complies with policies and procedures that the exchange- With respect to both proposed Nasdaq fund allowing purchase or redemption traded fund adopted pursuant to paragraph (c)(3) of of creation units, information regarding Rule 6c–11; (iii) Cash balancing amount (if any); Rule 5704(a)(1)(B), which defines the the baskets exchanged with authorized and (iv) Identity of authorized participant term ‘‘Exchange Traded Fund’’, and participants, and the identity of transacting with the exchange traded fund. proposed Nasdaq Rule 5704(a)(1)(C), 13 authorized participants transacting with In the Adopting Release, the SEC stated, which defines the term ‘‘Exchange ‘‘requiring ETFs to maintain records regarding each Traded Fund Share’’, the Exchange basket exchanged with authorized participants will 10 See Exchange Act Release No. 78918 provide our examination staff with a basis to believes these definitions will increase (September 23, 2016), 81 FR 67033 (September 29, understand how baskets are being used by ETFs, the clarity to the benefit of investors and 2016) (SR–NASDAQ–2016–104). particularly with respect to custom baskets. In order the marketplace. Additionally, these 11 See Exchange Act Release No. 78616 (August to provide our examination staff with detailed terms mirror the definitions as set forth information regarding basket composition, however, 18, 2016), 81 FR 57968 at 57973 (August 24, 2016) in Rule 6c–11.16 (‘‘the Exchange will provide the Commission staff we have modified rule 6c–11 to require the ticker with a report each calendar quarter that includes symbol, CUSIP or other identifier, description of With respect to proposed Nasdaq Rule the following information for issues of Managed holding, quantity of each holding, and percentage 5704(a)(1)(D), which defines the term Fund Shares listed during such calendar quarter weight of each holding composing the basket under Rule 5735(b)(1): (1) Trading symbol and date exchanged for creation units as part of the basket ‘‘Reporting Authority’’, the Exchange of listing on the Exchange; (2) the number of active records, instead of the name and quantities of each believes that defining the term generally authorized participants and a description of any position as proposed. We believe that this consistent with how it is defined in failure of an issue of Managed Fund Shares or of additional information will better enable our Nasdaq Rule 5705 17 and Nasdaq Rule an authorized participant to deliver shares, cash, or examination staff to evaluate compliance with the cash and financial instruments in connection with rule and other applicable provisions of the federal creation or redemption orders; and (3) a description securities laws.’’ See Adopting Release at 57195. 16 See Adopting Release at 57178 and at 57234, of any failure of an issue of Managed Fund Shares 14 15 U.S.C. 78f(b). respectively. to comply with Nasdaq Rule 5735’’). 15 15 U.S.C. 78f(b)(5). 17 See Nasdaq Rule 5705(b)(1)(C).

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5735 18 will increase the clarity to the Exchange Traded Fund Shares to be makes for consistency among Nasdaq’s benefit of investors and the marketplace. listed and traded without requiring rules and benefits investors and the With respect to proposed Nasdaq Rule separate Commission approval and this marketplace by reducing potential 5704(b), Exchange Traded Fund Shares will provide investors with additional confusion. will be listed and traded on the investment choices that they may With respect to proposed Nasdaq Rule Exchange subject to the requirement choose to invest in. 5704(g), which states that Nasdaq may that each series of Exchange Traded With respect to proposed Nasdaq Rule approve an ETF for listing and trading Fund Shares is eligible to operate in 5704(c), the Exchange will implement pursuant to Rule 19b–4(e) under the Act reliance on Rule 6c–11 19 and must written surveillance procedures for that is not eligible to operate in reliance satisfy the requirements of this Rule on Exchange Traded Fund Shares and on Rule 6c–11 provided the ETF an initial and continued listing basis. represents that its surveillance satisfies the requirements of Rule This requirement will ensure that procedures are adequate to properly 5705(b) or Rule 5735, as applicable, the Exchange-listed Exchange Traded Fund monitor such trading in all trading Exchange believes will benefit of Shares continue to operate in a manner sessions and to deter and detect investors and the marketplace by that fully complies with the portfolio violations of Nasdaq rules. Specifically, providing them with additional transparency requirements of Rule 6c– the Exchange intends to utilize its investment products that qualify as 11(c). This will also ensure that existing surveillance procedures Index Fund Shares or Managed Fund Exchange Traded Fund Shares listed applicable to derivative products, which Shares that they may choose to invest and traded on the Exchange in will include Exchange Traded Fund in. accordance with Nasdaq Rule 5704 on Shares, to monitor trading in the With respect to proposed Nasdaq Rule an initial and continued listing basis Exchange Traded Fund Shares 5704(h), which allows Nasdaq to submit will serve to perfect the mechanisms of, (additional surveillance processes and a rule filing pursuant to Section 19(b) of a free and open market and a national procedures are described infra). These the Act to permit the listing and trading market system and, in general, to protect surveillance procedures promote just of an ETF that is not eligible to operate investors and the public interest. and equitable principles of trade, to in reliance on Rule 6c–11 and does not With respect to proposed Nasdaq Rule remove impediments to, and perfect the satisfy the requirements of Rule 5705(b) 5704(b) and subparagraphs (1)–(6) [sic] mechanisms of, a free and open market or Rule 5735, as applicable, the thereunder (with the exception that and a national market system and, in Exchange believes will benefit of subparagraph (1) [sic] only applies on general, to protect investors and the investors and the marketplace by an initial listing basis),20 the Exchange public interest. providing them with innovative believes it is to the benefit of investors With respect to proposed Nasdaq Rule additional investment products that do and the marketplace that Nasdaq may 5704(d), which states that upon not qualify as Exchange Traded Fund approve an ETF for listing and trading termination of an ETF that Nasdaq will Shares, Index Fund Shares or Managed pursuant to Rule 19b–4(e) under the remove from listing the Exchange Fund Shares but that investors and the Act. The approval is also contingent on Traded Fund Shares issued in marketplace may choose to invest in. the ETF being eligible to operate in connection with such entity. The With respect to proposed Nasdaq Rule reliance on Rule 6c–11 and satisfies the Exchange believes that adopting 5704(i), which states that a Derivative requirements of the rule on an initial language similar to language already Securities Product that has previously and continued listing basis. Nasdaq will included in Nasdaq Rule 5705(b)(9)(B)f. been approved for listing on the monitor for compliance with the [sic] and in Nasdaq Rule 5735(d)(2)(E) Exchange pursuant to the generic listing continued listing requirements. If the makes for consistency among Nasdaq’s requirements specified in Rule 5705(b) ETF is not in compliance with the rules and benefits investors and the or Rule 5735(b)(1), or pursuant to a applicable listing requirements, the marketplace by making clear rules that proposed rule change filed and Exchange will commence delisting lessen potential confusion. approved or subject to a notice of procedures under proposed Nasdaq With respect to proposed Nasdaq Rule effectiveness by the Commission, will Rule 5704(b)(3). The Exchange believes 5704(e), which states that Nasdaq be deemed to be considered approved that this will help to prevent fraudulent requires that members provide to all for listing under this Rule if such and manipulative acts and practices. purchasers of Exchange Traded Fund Derivative Securities Product is both (1) The Exchange believes this also Shares a written description of the terms permitted to operate in reliance on Rule fulfills the intended objective of Rule and characteristics of such securities 6c–11 under the 1940 Act, and (2) the 19b–4(e) under the Act by allowing and a written description with any sales prior exemptive relief under the 1940 material relating to an ETF that is Act for such Derivative Securities 18 See Nasdaq Rule 5735(c)(4). provided to customers or the public, the Product has been rescinded, the 19 Rule 6c–11(c) sets forth certain conditions Exchange believes that requiring similar Exchange believes makes for applicable to ETFs, including information required consistency among Nasdaq’s rules and to be disclosed on the ETF’s website. written disclosure to that already 20 Proposed Nasdaq Rule 5704(b)(1)–(6) [sic] required under Nasdaq Rule 5705(b)(2) benefits investors and the marketplace covers: (i) Establishing a minimum number of and Nasdaq Rule 5735(f) makes for by making clear rules that lessen Exchange Traded Fund Shares required to be consistency among Nasdaq’s rules and potential confusion. The Exchange outstanding at the time of commencement of benefits investors and the marketplace believes the rest of proposed Nasdaq trading on Nasdaq (only applicable on an initial listing basis); (ii) written surveillance procedures by making clear rules that lessen Rule 5704(i), which states any for ETFs; (iii) index calculation and dissemination potential confusion. requirements for listing as specified in and ‘‘fire walls’’ around the personnel who have With respect to proposed Nasdaq Rule Rule 5705(b) or 5735(b)(1), or an access to information concerning changes and 5704(f), which sets forth the limitation approval order or notice of effectiveness adjustments to the index; (iv) regular market session trading; (v) the listing and trading of ETFs based on of liability applicable to Nasdaq, the of a separate proposed rule change that one or more foreign or domestic indexes or Reporting Authority, or any agent of differ from the requirements of this Rule portfolios; and (vi) Nasdaq will obtain a Nasdaq, the Exchange believes that will no longer be applicable to such representation from the ETF that the net asset value requiring similar written disclosure to Derivative Securities Products will per share for the ETF will be calculated daily and will be made available to all market participants at that already required under Nasdaq Rule streamline the listing process for such the same time. 5707(b)(11) and Nasdaq Rule 5735(e) securities, consistent with the regulatory

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framework adopted in Rule 6c–11 under provisions of the Act,22 as well as lead among market participants, to the the 1940 Act. to increased capital formation benefit of investors and the marketplace. The Exchange believes that proposed particularly in the form of an increased The Exchange believes that this Nasdaq Rule 5704, as well as demand for ETFs.23 would reduce the time frame for amendments to Nasdaq Rules 4120 and The Exchange believes that the bringing ETFs to market, thereby 5615 will facilitate the listing and discontinuance of quarterly reports reducing the burdens on issuers and trading of additional types of exchange- currently required for Managed Fund other market participants and promoting traded products that will enhance Shares under Nasdaq Rule 5735(b) are competition. In turn, the Exchange competition among market participants, no longer necessary in light of the believes that the proposed change to the benefit of investors and the requirements of Rule 6c–11(d).24 would make the process for listing marketplace. promotes just and equitable principles Exchange Traded Fund Shares more Proposed Nasdaq Rule 5704 and of trade, removes impediments to, and competitive by applying uniform listing related amendments to other Nasdaq perfects the mechanisms of, a free and standards with respect to Exchange rules are also designed to protect open market and a national market Traded Fund Shares. investors and the public interest system by eliminating a requirement no longer necessary or of benefit to the C. Self-Regulatory Organization’s because Exchange Traded Fund Shares Statement on Comments on the listed and traded pursuant to Rule 5704 Commission As discussed above, Rule 6c–11(d) Proposed Rule Change Received From and that rely on the conditions and Members, Participants, or Others requirements of Rule 6c–11 will includes specific ongoing reporting continue to be subject to the full requirements for exchange-traded funds, No written comments were either panoply of Exchange rules and including written agreements between solicited or received. an authorized participant and a fund procedures that currently govern the III. Date of Effectiveness of the allowing purchase or redemption of trading of equity securities on the Proposed Rule Change and Timing for 21 creation units, information regarding the Exchange. Commission Action Nasdaq believes that the proposed baskets exchanged with authorized rule change is designed to prevent participants, and the identity of Within 45 days of the date of fraudulent and manipulative acts and authorized participants transacting with publication of this notice in the Federal practices. The Exchange has in place a fund. The SEC has stated that the Register or within such longer period written surveillance procedures that are information required by Rule 6c–11(d) up to 90 days (i) as the Commission may adequate to properly monitor trading in will provide the SEC’s examination staff designate if it finds such longer period the Exchange Traded Fund Shares in all with information to determine to be appropriate and publishes its trading sessions and to deter and detect compliance with Rule 6c–11 and reasons for so finding or (ii) as to which violations of Exchange rules and applicable federal securities laws. the self-regulatory organization applicable federal securities laws. The As a result, Nasdaq believes it should consents, the Commission will: (A) By order approve or disapprove surveillance procedures for monitoring discontinue the filing of quarterly such proposed rule change, or compliance with Rule 6c–11 will be reports with respect to Managed Fund (B) institute proceedings to determine consistent with the manner in which the Shares under Nasdaq Rule 5735(b). This whether the proposed rule change Exchange conducts its trading will avoid unnecessary overlap and should be disapproved. surveillance for ETFs. The Exchange potential inconsistency between the will also require that issuers of quarterly reports and the reporting IV. Solicitation of Comments requirements of Rule 6c–11(d). It will Exchange Traded Fund Shares listed Interested persons are invited to under the Nasdaq Rule 5704 must notify also avoid unnecessary, duplicative burdens on authorized participants and submit written data, views, and the Exchange regarding instances of arguments concerning the foregoing, non-compliance. Additionally, the their firms in providing and maintaining information regarding creation and including whether the proposed rule Exchange will require periodic change is consistent with the Act. certifications from the issuer that it has redemption activity. For the above reasons, the Exchange Comments may be submitted by any of maintained compliance with Rule 6c– the following methods: 11. Nasdaq will also check the ETF’s believes that the proposal is consistent website on a periodic basis for the with the requirements of Section 6(b)(5) Electronic Comments of the Act. inclusion of proper disclosure in • Use the Commission’s internet compliance with Rule 6c–11. B. Self-Regulatory Organization’s comment form (http://www.sec.gov/ The Exchange believes that the Statement on Burden on Competition rules/sro.shtml); or • proposed rule changes enumerated The Exchange does not believe that Send an email to rule-comments@ above that seek to incorporate Rule 6c– the proposed rule change will impose sec.gov. Please include File Number SR– 11 into Nasdaq’s rules will promote just any burden on competition not NASDAQ–2019–090 on the subject line. and equitable principles of trade, to necessary or appropriate in furtherance remove impediments to, and perfect the Paper Comments of the purposes of the Act, as amended. • mechanisms of, a free and open market Rather, the Exchange believes that the Send paper comments in triplicate and a national market system and, in proposed rule change would facilitate to Secretary, Securities and Exchange general, to protect investors and the the listing and trading of Exchange Commission, 100 F Street NE, public interest. As the SEC noted in its Traded Fund Shares and result in a Washington, DC 20549–1090. Adopting Release, Rule 6c–11 may to significantly more efficient process All submissions should refer to File allow ETFs to operate are in the public surrounding the listing and trading of Number SR–NASDAQ–2019–090. This interest and consistent with the ETFs, which will enhance competition file number should be included on the protection of investors and the purposes subject line if email is used. To help the fairly intended by the policy and 22 Id. at 57166. Commission process and review your 23 Id. at 57220. comments more efficiently, please use 21 See note 4 above, Adopting Release at 57171. 24 See note 12 supra. only one method. The Commission will

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post all comments on the Commission’s (‘‘SEC’’ or ‘‘Commission’’) the proposed an arbitration claim being filed, during internet website (http://www.sec.gov/ rule change as described in Items I, II, an arbitration proceeding, or subsequent rules/sro.shtml). Copies of the and III below, which Items have been to an arbitration award, and this status submission, all subsequent prepared by FINRA. The Commission is can be caused by FINRA’s action, such amendments, all written statements publishing this notice to solicit as when a firm or individual is with respect to the proposed rule comments on the proposed rule change suspended for failing to pay an award, change that are filed with the from interested persons. or by the firm’s or individual’s own Commission, and all written voluntary action. communications relating to the I. Self-Regulatory Organization’s FINRA has implemented a number of proposed rule change between the Statement of the Terms of Substance of changes to its arbitration program that Commission and any person, other than the Proposed Rule Change expand the options available to a those that may be withheld from the FINRA is proposing to amend FINRA customer when dealing with those public in accordance with the Rules 12100, 12202, 12214, 12309, members or associated persons that are provisions of 5 U.S.C. 552, will be 12400, 12601, 12702, 12801, and 12900 inactive either at the time the claim is available for website viewing and of the Code of Arbitration Procedure for filed or at the time of the award. For printing in the Commission’s Public Customer Disputes (‘‘Customer Code’’ or example, when a customer claimant first Reference Room, 100 F Street NE, ‘‘Code’’) to expand a customer’s options files an arbitration claim, FINRA alerts, Washington, DC 20549, on official to withdraw an arbitration claim if a by letter, the customer claimant if the business days between the hours of member or an associated person respondent, whether a member or an 10:00 a.m. and 3:00 p.m. Copies of the becomes inactive before a claim is filed associated person, is inactive. FINRA filing also will be available for or during a pending arbitration. In also informs the claimant that awards inspection and copying at the principal addition, the proposed amendments against such members or associated office of the Exchange. All comments would allow customers to amend persons have a much higher incidence received will be posted without change. pleadings, postpone hearings, request of non-payment and that FINRA has Persons submitting comments are default proceedings and receive a limited disciplinary leverage over cautioned that we do not redact or edit refund of filing fees in these situations. inactive members or associated persons personal identifying information from The text of the proposed rule change that fail to pay arbitration awards. Thus, comment submissions. You should is available on FINRA’s website at the customer knows before pursuing the submit only information that you wish http://www.finra.org, at the principal claim in arbitration that collection of an to make available publicly. All office of FINRA and at the award may be more difficult. In submissions should refer to File Commission’s Public Reference Room. addition, upon learning that the member Number SR–NASDAQ–2019–090, and II. Self-Regulatory Organization’s or associated person is inactive, a should be submitted on or before Statement of the Purpose of, and customer may determine to amend his December 13, 2019. Statutory Basis for, the Proposed Rule or her claim to add other respondents For the Commission, by the Division of Change from whom the customer may be able to Trading and Markets, pursuant to delegated collect should the claim go to award. authority.25 In its filing with the Commission, Jill M. Peterson, FINRA included statements concerning Proposed Rule Change Assistant Secretary. the purpose of and basis for the FINRA is proposing to amend the proposed rule change and discussed any 3 [FR Doc. 2019–25316 Filed 11–21–19; 8:45 am] Customer Code to expand further the comments it received on the proposed BILLING CODE 8011–01–P options available to customers in rule change. The text of these statements situations where a firm becomes may be examined at the places specified inactive during a pending arbitration, or SECURITIES AND EXCHANGE in Item IV below. FINRA has prepared where an associated person becomes COMMISSION summaries, set forth in sections A, B, inactive either before a claim is filed or and C below, of the most significant during a pending arbitration. FINRA is [Release No. 34–87557; File No. SR–FINRA– aspects of such statements. 2019–027] also proposing to amend the Code to A. Self-Regulatory Organization’s allow customers to amend pleadings, Self-Regulatory Organizations; Statement of the Purpose of, and postpone hearings, request default Financial Industry Regulatory Statutory Basis for, the Proposed Rule proceedings and receive a refund of Authority, Inc.; Notice of Filing of a Change filing fees if the customer withdraws the Proposed Rule Change To Amend claim under these situations.4 1. Purpose FINRA Rule 12000 Series To Expand A. Arbitrating Claims Against Inactive Options Available to Customers if a Background Members and Associated Persons Firm or Associated Person Is or Most unpaid customer arbitration Becomes Inactive Currently, under FINRA Rule 12202 awards are rendered against firms or (Claims Against Inactive Members), a November 18, 2019. individuals whose FINRA registration customer’s claim against a firm whose Pursuant to Section 19(b)(1) of the has been terminated, suspended, membership is terminated, suspended, Securities Exchange Act of 1934 cancelled, or revoked, or who have been cancelled or revoked, or that has been (‘‘Act’’) 1 and Rule 19b–4 thereunder,2 expelled from FINRA. These firms and expelled from FINRA, or that is notice is hereby given that on November individuals are generally referred to as 5, 2019, Financial Industry Regulatory ‘‘inactive,’’ and are no longer FINRA 3 While unpaid awards occur in intra-industry Authority, Inc. (‘‘FINRA’’) filed with the members or associated with a FINRA cases (i.e., disputes between or among members and Securities and Exchange Commission member, although they may continue to associated persons), the proposed amendments operate in another area of the financial would apply to customer cases only. 4 FINRA is also proposing to amend the Code to 25 17 CFR 200.30–3(a)(12). services industry where FINRA update cross-references and make other non- 1 15 U.S.C. 78s(b)(1). registration is not required. Firms and substantive, technical changes to rules impacted by 2 17 CFR 240.19b–4. individuals can become inactive prior to the proposed rule change.

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otherwise defunct, is ineligible for decision whether to proceed in B. Amending Pleadings arbitration unless the customer agrees in arbitration, to file the claim in court or FINRA Rule 12309 (Amending writing to arbitrate after the claim arises. to take no action, regardless of whether Pleadings) limits a party’s ability to In these situations, the customer is able the customer signed a predispute amend a statement of claim, among to evaluate the likelihood of collecting arbitration agreement. other pleadings, after FINRA has on an award and make an informed In addition, FINRA is proposing to appointed a panel to the case. decision whether to proceed in amend FINRA Rule 12100 (Definitions) Specifically, once FINRA appoints a arbitration, to file the claim in court or to add definitions of ‘‘inactive member’’ panel to a case, a party can amend a to take no action, regardless of whether and ‘‘inactive associated person.’’ pleading only if the arbitrators grant a the customer signed a predispute Consistent with current Rule 12202, party’s motion to do so. FINRA Rule arbitration agreement.5 Accordingly, FINRA is proposing to define an 12309 also provides that a party cannot claims against inactive firms proceed in ‘‘inactive member’’ as a member whose add a new party to the case after arbitration only at the customer’s membership is terminated, suspended, arbitrator ranking lists are due to the option. cancelled or revoked; that has been Director of Arbitration until FINRA The Code does not address situations, expelled or barred 7 from FINRA, or that 8 appoints the panel and the arbitrators however, where a member firm becomes is otherwise defunct. grant a party’s motion to add the new An ‘‘inactive associated person’’ inactive during a pending arbitration. In party. addition, the Code does not provide would be defined as a person associated FINRA believes that a customer specific procedures for a customer to with a member whose registration is should be able to change his or her withdraw, and file in court, a claim revoked, cancelled, or suspended, who litigation strategy during a pending case against an associated person who has been expelled or barred from 9 once the customer learns that a firm or becomes inactive before the customer FINRA, or whose registration has been an associated person has become files a claim or during a pending terminated for a minimum of 365 days. inactive. Accordingly, FINRA is arbitration. Thus, if an associated person’s proposing to amend FINRA Rule 12309 Accordingly, FINRA is proposing to registration is not revoked, cancelled, or to provide that if FINRA notifies a amend FINRA Rule 12202 to expand a suspended, the person has not been customer that a firm or an associated customer’s option to withdraw a claim expelled or barred from FINRA, and the person has become inactive during a to situations where a member becomes individual’s registration has been pending arbitration, the customer may inactive during a pending arbitration, or terminated for less than one year, the amend a pleading, including adding a where an associated person becomes individual would not be classified as new party, within 60 days of receiving inactive either before a claim is filed or terminated and, therefore, would not be such notice.12 during a pending arbitration. Under the deemed inactive. proposal, FINRA Rule 12202 would FINRA believes the 365-day minimum C. Postponing Hearings 10 specify that a customer’s claim against termination requirement for FINRA Rule 12601 (Postponement of an associated person who is inactive at associated persons would help ensure Hearings) addresses when a scheduled the time the claim is filed is ineligible that enough time has elapsed to assume hearing date can be postponed. The for arbitration unless the customer reasonably that the associated person parties can agree to postpone a hearing. agrees in writing to arbitrate after the has permanently left the securities Absent an agreed upon postponement, a claim arises. In addition, FINRA Rule industry. The requirement would allow hearing can be postponed by FINRA in 12202 would specify that if a member or enough time for those associated extraordinary circumstances, by the an associated person becomes inactive persons who may have temporarily left arbitrators at their discretion, or by the during a pending arbitration, FINRA the industry to return before the arbitrators upon a party’s motion. arbitration closes.11 would notify the customer of the status FINRA is proposing to amend FINRA change, and provide the customer with Rule 12601 to provide that if FINRA 7 FINRA is adding ‘‘or barred’’ to the definition notifies a customer that a firm or an 60 days to withdraw the claim(s) with of an ‘‘inactive member’’ to capture that a member or without prejudice.6 may be inactive due to a bar. associated person has become inactive Similar to the current rules and 8 The proposed rule change would amend the and the scheduled hearing date is procedures relating to claims filed definition of ‘‘member’’ under the Customer Code, within 60 days of the date the customer the Code of Arbitration Procedure for Industry receives the notice from FINRA, the against inactive members, the proposed Disputes (‘‘Industry Code’’), and in Article I of the amendments would allow the customer By-Laws of FINRA Regulation, Inc. to conform the customer may postpone the hearing to evaluate the likelihood of collecting definition to the proposed definition of an ‘‘inactive date. Since the proposed amendment on an award and make an informed member’’ as discussed below. The proposed would provide a customer with 60 days changes would make the definition of ‘‘member’’ to determine how to proceed after consistent in the FINRA rules that apply to FINRA’s 5 If the customer notifies FINRA in writing that arbitration forum. FINRA notifies the customer of the he or she does not want to proceed against the 9 In Regulatory Notice 17–33 (October 2017), status change to inactive, it would be inactive member in FINRA’s forum, FINRA deems discussed infra, FINRA proposed to define an appropriate to allow the customer to the customer’s agreement to submit to arbitration ‘‘inactive associated person’’ as a person associated postpone a scheduled hearing that falls rescinded and sends the customer a full refund of with a member whose registration is revoked or any filing fee remitted. suspended, or whose registration has been within that time period. 6 FINRA Rule 12702 (Withdrawal of Claims) terminated for a minimum of 365 days. FINRA is In addition, FINRA assesses provides that before a party answers a statement of proposing to add ‘‘expelled or barred from FINRA’’ postponement fees against the parties claim, the claimant can withdraw the claim with or and ‘‘whose registration is cancelled’’ to this for each postponement agreed to by the without prejudice. However, after a party submits definition to capture other ways in which an an answer, the claimant can only withdraw the individual could be categorized as inactive. parties, or granted upon the request of claim with prejudice unless the panel or the parties 10 Termination, in some cases, may be a voluntary agree otherwise. FINRA is proposing to make a action that can be of short duration. 12 FINRA Rule 12309(d) would permit any party conforming change to FINRA Rule 12702 to provide 11 In its analysis of 2,054 customer cases closed to file a response to an amended pleading, provided that a customer can withdraw a claim without by hearing, on the papers, or by stipulated award the response is filed and served within 20 days of prejudice if the party that submitted an answer is from 2014 to 2018, FINRA identified 78 cases where receipt of the amended pleading, unless the panel an inactive member or inactive associated person. an associated person was not in the industry while determines otherwise. Thus, the newly-added party Withdrawal without prejudice would allow the the arbitration was pending but returned to the could file a response to the amended pleading for customer to re-file the arbitration at a later date. industry in fewer than 365 days. the panel or arbitrator to consider.

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one or more parties. FINRA also charges believes that it would be appropriate to 2. Statutory Basis an additional fee of $600 per arbitrator continue to allow a customer to request if a postponement takes place within 10 default proceedings against any FINRA believes that the proposed rule days of a scheduled hearing date. The change is consistent with the provisions terminated associated person who fails 19 additional $600 per arbitrator fee is paid to answer a claim, regardless of how of Section 15A(b)(6) of the Act, which to the arbitrators to compensate them for long the associated person has been requires, among other things, that the late adjournment.13 FINRA is terminated, consistent with the existing FINRA rules must be designed to proposing to amend FINRA Rule 12601 rule. Accordingly, FINRA is proposing prevent fraudulent and manipulative to provide that if FINRA notifies a to amend FINRA Rule 12801(a) to acts and practices, to promote just and customer that a firm or an associated specify that a claimant may request a equitable principles of trade, and, in person has become inactive and the default proceeding against a terminated general, to protect investors and the scheduled hearing date is within 60 associated person who fails to file an public interest. days of the date the customer receives answer within the time provided in the FINRA believes that the proposed rule the notice from FINRA, FINRA would Code regardless of the number of days change would protect investors and the not charge the customer a postponement since termination.18 public interest by expanding the options fee or an additional fee of $600 per available to customers with claims arbitrator if a customer chooses to E. Refunding Filing Fees against respondents who are unlikely to be able to pay. The proposed rule postpone a scheduled hearing. FINRA Rule 12900 (Fees Due When a FINRA is also proposing to amend change would extend the concept of Claim is Filed) specifies that if a claim FINRA Rule 12214 to make it clear that what it means to be inactive to expressly is settled or withdrawn more than 10 it would continue to pay the $600 include associated persons, so that days before the date that the hearing is honoraria to the arbitrators to customers would have the same options scheduled to begin, a party paying a compensate them for their time if a during a case against inactive associated filing fee will receive a partial refund of customer chooses to postpone a persons as they would against inactive the filing fee. The rule also provides that scheduled hearing within 10 days before members. The proposed change, FINRA will not refund any portion of it is scheduled because the customer therefore, would add consistency to the filing fee if a claim is settled or learns that the firm or associated person FINRA rules. has become inactive. withdrawn within 10 days of the date that the hearing is scheduled to begin. Further, FINRA believes that the D. Default Proceedings proposed amendments would provide FINRA is proposing to amend FINRA customers with expanded options and FINRA Rule 12801 (Default Rule 12900 to provide that FINRA flexibility to change case strategy if Proceedings) permits a claimant to would refund a customer’s full filing fee FINRA notifies them that a member or request default proceedings against any if FINRA notifies a customer that a firm associated person has become inactive respondent whose registration is or an associated person has become during a pending arbitration. In terminated, revoked or suspended, and inactive during a pending arbitration, particular, the proposed rule change who failed to file an answer 14 to a claim and the customer withdraws the case would permit a customer to amend his within the time provided in the Code. against all parties within 60 days of the or her pleading or to add parties without A single arbitrator will decide the case notification. FINRA would refund the arbitrator intervention. FINRA rules, based on the claimant’s pleadings and filing fee even if the customer however, permit the newly-added party other documentation.15 The claimants withdraws the case within 10 days of must present a sufficient basis to to respond to the amended pleading and the date that the hearing is scheduled to to have the panel or arbitrator consider support the making of an award.16 The begin. arbitrator may not issue an award based any objections. solely on the nonappearance of a F. Non-Substantive Changes The proposed rule change would also party.17 clarify the default rule to include an In addition to amending FINRA Rules As noted, the proposed amendments inactive associated person who does not 12100, 12202, 12214, 12309, 12400, would define an inactive associated answer a claim, regardless of the person as a person associated with a 12601, 12702, 12801, and 12900 to number of days since termination. member whose registration is revoked, expand a customer’s options to FINRA believes that the proposed rule cancelled, or suspended, who has been withdraw an arbitration claim if a change would add consistency to expelled or barred from FINRA, or member or an associated person FINRA’s default rule so that the whose registration has been terminated becomes inactive before a claim is filed procedures would apply to inactive for a minimum of 365 days. In the or during a pending arbitration, FINRA members and inactive associated context of a default proceeding, FINRA is also proposing to amend the Code to persons equally. As a result, investors update cross-references and make other would know that they have the same 13 See FINRA Rule 12214 (Payment of non-substantive, technical changes to options and rights in default Arbitrators). the rules impacted by the proposal. proceedings against any inactive 14 A respondent must serve each party with a If the Commission approves the respondent under the Customer Code. signed and dated Submission Agreement and answer specifying the relevant facts and available proposed rule change, FINRA will FINRA believes this could help expedite defenses to the statement of claim within 45 days announce the effective date of the these arbitration cases, as any ambiguity of receipt of the statement of claim. See FINRA Rule proposed rule change in a Regulatory about how the rule should be applied 12303(a). Notice to be published no later than 60 would be removed. Moreover, FINRA 15 See FINRA Rule 12801(b)(2)(B). No hearings are held in default proceedings unless the customer days following Commission approval. believes that exempting the minimum- requests one. See FINRA Rule 12801(c). The effective date will be no later than day termination requirement would 16 See FINRA Rule 12801(e)(1). 90 days following publication of the prevent an associated person from using 17 Id. If the defaulting respondent files an answer Regulatory Notice announcing the 365-day requirement as a shield to before an award has been issued, the proceedings Commission approval. delay the arbitration case. against this respondent will be terminated and the claim will proceed under the regular provisions of the Code. See FINRA Rule 12801(f). 18 See supra note 10. 19 15 U.S.C. 78o-3(b)(6).

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FINRA believes that the proposed of collecting on an award and to choose may be able to collect should the claim amendments provide customers with the forum in which to proceed. go to award. Customers who proceed in more options and flexibility in how they FINRA is also able to identify 427 arbitration may also postpone a choose to resolve claims against cases (21 percent of 2,054) where a firm scheduled hearing without penalty to respondents who are unlikely to pay, became inactive during a pending assess the options and gain additional and, thus, give them more control over arbitration, or where an associated time to prepare.21 Customers may also the arbitration case when they are person would have been identified as withdraw their claim without prejudice notified that a member or associated inactive (under the proposed if the party that submitted an answer is person has become inactive. Moreover, amendments) either before or during a an inactive member or inactive by eliminating the postponement fees pending arbitration. The current rules associated person. Customers who and refunding filing fees in certain do not provide similar options to withdraw their claims against all parties circumstances, the proposed customers in these instances, and within the allotted time would also amendments eliminate these costs as a customers may be less able to choose receive a full refund of the filing fee. potential barrier for customers who may the forum in which to proceed or to Customers who exercise the options opt to pursue their claims in other change their litigation strategy during a under the proposed amendments, and forums. For these reasons, FINRA pending case.20 the member firms and associated believes that the proposed rule change persons who are also parties to the protects investors and the public (c) Economic Impact arbitration, may incur additional costs. interest. The proposed amendments would For example, if customers withdraw their claims from arbitration and restart B. Self-Regulatory Organization’s expand customers’ options under the the case in another venue, then the Statement on Burden on Competition Code where a member becomes inactive during a pending arbitration or where parties may incur additional legal FINRA does not believe that the an associated person becomes inactive expense and time to resolve the dispute. proposed amendments will result in any before a claim is filed or during a If instead customers amend their burden on competition that is not pending arbitration. The benefits and pleadings but remain in arbitration, the necessary or appropriate in furtherance costs of the proposed amendments are parties (including member firms and of the purposes of the Act. A discussion discussed below. associated persons who are newly- of the economic impacts of the proposed In general, the benefits of the named in the amended pleadings) may amendments follows. proposed amendments arise from the also incur additional legal expense to Economic Impact Assessment expansion of customer options under alter their litigation strategy, time to the Code when a member becomes resolve the dispute, and forum fees (e.g., (a) Regulatory Need inactive during a pending arbitration, or hearing session fees).22 Parties may also The Code addresses situations where when an associated person becomes incur additional time to resolve the customers bring claims against inactive inactive before a claim is filed or during dispute if customers postpone members. The Code does not address a pending arbitration. In these instances, scheduled hearings. Customers have the situations, however, where a member the proposed amendments would option to incur these additional firm becomes inactive during a pending increase the flexibility of customers to expenses, and would likely incur them arbitration or where an associated determine whether and how to proceed only if they believe the costs would person becomes inactive before a claim in arbitration. Customers would exercise increase the amount of monetary is filed or during a pending arbitration. the options under the proposed compensation they may expect to This may limit the options available to amendments if they believe it would receive. customers to seek redress, as well as increase their ability to seek redress, The proposed amendments would their ability to collect an award. and may increase the amount of provide no significant benefits and (b) Economic Baseline monetary compensation they expect to impose no material costs on customers receive. who would not change their behavior The economic baseline for the The expansion of customer options when notified of an associated person’s proposed amendments is the current under the Code would arise from the or firm’s change of status during rules under the Code that address reduction of the restrictions and arbitration in the presence of the customer disputes in arbitration. The penalties to alter their litigation strategy amendments, nor on the members and proposed amendments are expected to in arbitration or to withdraw their associated persons who are party to affect the parties to an arbitration, claims from arbitration. For example, their claims. In FINRA’s experience, including customers, member firms, customers who proceed in arbitration customers typically proceed in associated persons, and arbitrators. arbitration when notified that a member FINRA is able to identify 2,054 may amend a pleading without is inactive at the time of filing, and customer cases closed by hearing, on the arbitrators granting the motion. This typically remain in arbitration when a papers, or by stipulated award from includes the addition of a new member or an associated person leaves 2014 to 2018. Among these cases, respondent from whom the customer FINRA is able to identify 128 cases (six 20 In the 427 cases, the total amount of 21 Among the 2,054 customer cases in the baseline percent) where a member firm would compensatory damages sought by customers was sample, FINRA is able to identify 240 (12 percent) have been defined as inactive (under the $580.3 million, and customers were awarded cases where a member or an associated person proposed amendments) before an compensatory damages of $96.0 million. For the would have been identified as inactive after arbitration. In these instances, the 347 cases that closed from 2014 through 2017, 126 arbitrator ranking lists were due or FINRA relate to an award that went unpaid, and the appointed a panel. FINRA is also able to identify current rules under the Code provide member firms or associated persons responsible for 119 (six percent) cases where a member or an customers the option to proceed in the unpaid awards would have been identified as associated person would have been identified as arbitration, to file the claim in court, or inactive under the proposed amendments. The total inactive within 60 days of a scheduled hearing. to take no action regardless of whether amount of awards relating to these cases that went 22 FINRA does not believe, however, that the unpaid was $55.9 million. The respondents that proposed amendments would cause member firms the customer signed a pre-dispute would have been identified as inactive were and associated persons to be named without having arbitration agreement. Customers are responsible for nearly all of the awards that went a connection to the case. See discussion in Section therefore able to evaluate the likelihood unpaid. II.C.

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the industry while the arbitration is less likely to exercise the options under supported the proposed rule change pending.23 One reason customers the proposed amendments only for the discussed in the Notice, some stated that remain in arbitration when a member or inactive associated person to return to the proposed amendments did not go far an associated person leaves the industry the industry, and parties may be less enough,28 and six commenters may be the additional costs of restarting likely to incur the associated costs suggested modifications.29 Commenters a case in another venue. Another reason unnecessarily. A shorter minimum-day who supported the proposed rule may be the expectation that another requirement, on the other hand, may change, in general, described it as ‘‘a forum would not result in a higher increase the ability of customers to seek good faith effort to partially address likelihood of redress. redress, but also may increase the costs some of the predicates that cause Based on this experience, FINRA parties may incur unnecessarily. FINRA unpaid awards’’ 30 as well as a proposal believes that few customers would believes that the 365-day minimum that would provide customers with withdraw claims from the forum in the requirement would provide customers presence of the proposed rules, but additional options and flexibility to access to the options under the 31 would instead remain in arbitration. proposed amendments and help ensure alter their litigation strategy. Several Customers are, therefore, more likely to that the associated person had commenters specifically noted their exercise their new options under the permanently left the securities industry. support for the proposed amendments proposed amendments to amend The 60-day maximum requirement for to FINRA Rule 12100 (Definitions of pleadings or to postpone hearings. The customers after receiving notice that a Inactive Member and Inactive benefits and costs of the proposed firm or an associated person has become Associated Person),32 FINRA Rule amendments, therefore, may result more inactive to withdraw their claims 12202 (Claims Against Inactive from the amendment of pleadings or the without prejudice or to amend a Members and Inactive Associated rescheduling of hearings than the pleading would also limit their ability to Persons),33 FINRA Rule 12309 withdrawal of claims. exercise the options and decrease its (Amending Pleadings),34 FINRA Rule associated benefits. The requirement, (d) Alternatives Considered however, would also limit the effect of Gregory M. Curley, Senior Litigation Counsel, FINRA exercised discretion in setting an inactive member or associated person Advisor Group, dated December 1, 2017 (‘‘Advisor the minimum number of days for a on a pending arbitration, and provide Group’’); William A. Jacobson, Clinical Professor of terminated associated person to be certainty that the arbitration would Law and Tina Davis, Law School Student, Cornell considered inactive (365). FINRA also University School of Law, dated December 7, 2017 continue after the time period had (‘‘Cornell’’); Kevin M. Carroll, Managing Director exercised discretion when setting the elapsed. FINRA believes that the 60-day and Associate General Counsel, Securities Industry maximum number of days for customers maximum requirement would reduce and Financial Markets Association, dated December to exercise the options under the the potential number of disruptions to 15, 2017 (‘‘SIFMA’’); Andrew Stoltmann, President, proposed amendments after they receive the arbitration process, while still Public Investors Arbitration Bar Association, dated notification of the inactive status of a December 18, 2017 (‘‘PIABA’’); Justin M. Daley, providing customers access to the Legal Intern, St. John’s University School of Law, member or an associated person (60). proposed options. dated December 18, 2017 (‘‘SJU’’); Robin M. Traxler, The minimum-day requirement for a Vice President, Regulatory Affairs & Associate terminated associated person to be C. Self-Regulatory Organization’s General Counsel, Financial Services Institute, dated considered inactive affects the length of Statement on Comments on the December 18, 2017 (‘‘FSI’’); and Joseph Borg, time that customers must wait before Proposed Rule Change Received From President, North American Securities Members, Participants, or Others Administrators Association, Inc., dated December being able to exercise the options under 20, 2017 (‘‘NASAA’’). the proposed amendments. A longer On October 18, 2017, FINRA 28 See Caruso, FSI, NASAA, and PIABA. minimum-day requirement decreases published Regulatory Notice 17–33 29 See Advisor Group, Cornell, FSI, PIABA, the number of customers who may have (‘‘Notice’’) to solicit comment on the SIFMA, and SJU. access to the options under the proposed amendments to the Code that 30 See Caruso. proposed amendments, and therefore 31 See Cornell and NASAA. would expand a customer’s options to 32 24 See FSI and SJU. FSI noted that ‘‘the proposed decreases their ability to seek redress. withdraw an arbitration claim if a amendments address a scenario that is not currently A longer minimum-day requirement, member or an associated person addressed in FINRA rules and, as such, brings however, also decreases the likelihood becomes inactive before a claim is filed important clarity to the arbitration process.’’ SJU that an associated person returns to the or during a pending arbitration as well suggested that the proposed changes ‘‘offer an important protection to customers . . . by industry after being identified as as allow customers to amend pleadings, providing them with ‘‘the same options available 25 inactive. Customers may therefore be postpone hearings and receive a refund with respect to individuals who are unregistered of filing fees in these situations.26 associated persons which they now have with 23 Among the 2,054 customer cases in the baseline FINRA received eight comments on the respect to firms that are unregistered members.’’ 33 sample, FINRA is able to identify 297 (14 percent) Notice.27 While all of the commenters See Cornell, FSI, PIABA, and SJU. FSI cases where a member firm or an associated person suggested that requiring FINRA to notify customers would have been identified as inactive during a when a member or an associated person becomes pending arbitration. as defined under the proposed amendments and inactive during a pending arbitration would ensure 24 For example, a longer minimum-day then return to the industry. Fewer customers would that customers are promptly informed of the change requirement would increase the number of therefore exercise the options under the proposed in the firm’s or the associated person’s status. associated persons who left the industry as of the amendments only for the associated person to PIABA supported this change as it ‘‘would allow a close of the arbitration but not considered inactive. return to the industry. For example, among the customer to withdraw filed claims without In these instances, customers would not have access 2,054 customer cases in the baseline sample, FINRA prejudice (or in the case of inactive associated to the options because the associated persons would is able to identify 59 cases where an associated persons, never submit the claim to FINRA not have been considered inactive while the person was not in the industry while the arbitration Arbitration in the first place), and file a claim in arbitration is pending. Among the 2,054 customer was pending but returned to the industry in 60 days court, regardless of whether the customer signed a cases in the baseline sample, FINRA is able to or fewer. The number of cases increases to 66 cases predispute arbitration agreement.’’ SJU supported identify 23 cases where an associated person had for 120 days, 69 cases for 180 days, and 78 cases ‘‘requiring the written consent of a customer in left the industry as of the close of the arbitration for 365 days. proceeding with an arbitration claim with a member but for 60 days or fewer. The number of cases 26 Available at http://www.finra.org/industry/ or an associated person who is no longer registered increases to 36 for 120 days, 58 for 180 days, and notices/17-33. . . . because it is essential that customers be given 129 for 365 days. 27 See letters to Marcia E. Asquith including: a fair opportunity to reconsider their arbitration 25 With a longer minimum-day requirement, Steven B. Caruso, Attorney, Maddox Hargett & strategies.’’ fewer associated persons would be deemed inactive Caruso, P.C., dated November 20, 2017 (‘‘Caruso’’); 34 See Caruso, Cornell and PIABA.

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12601 (Postponement of Hearings),35 any member firm or associated person arbitrator selection process 47 by FINRA Rule 12801 (Default who fails to pay an arbitration award. If requiring them to enter the arbitration Proceedings) 36 and FINRA Rule 12900 a member firm or associated person fails case after the parties had selected an (Fees Due When a Claim Is Filed).37 to comply with an arbitration award or arbitrator or a panel. FSI suggested that a settlement agreement related to an allowing a claimant to add a new party Effectiveness of the Proposed arbitration, FINRA notifies such firm or without prior arbitrator or panel Amendments associated person in writing that the approval could cause a party to incur Four commenters stated that the failure to comply within 21 days of costs in defending against potentially proposed rule change is not as effective service of the notice will result in a meritless claims. SIFMA stated that as it could be.38 FSI suggested that suspension or cancellation of allowing a customer claimant to amend instead of directly addressing the issue membership or a suspension from his or her pleading after learning that a of unpaid awards, the proposed rule associating with any member.40 If the respondent firm or associated person change amends the arbitration process threat of suspension is not effective in has become inactive could prejudice the in ways that would bias the process in compelling payment of an award or other active respondents remaining in favor of one party’s subsequent recovery settlement, FINRA notes that an the case by eliminating their right to efforts. FINRA’s primary role in the investor-claimant may take an award to review the proposed amended pleading, arbitration process is to administer cases court and have it converted to a respond in writing, and if there is a brought to the forum in a neutral, judgment. The claimant may then claim of prejudice, obtain a ruling on efficient and fair manner. In its capacity attempt to collect on the judgment using the amended pleading from the panel. as a neutral administrator of the forum, the court’s collection procedures.41 Currently, FINRA Rule 12309 permits FINRA must also ensure that its rules The remaining two commenters in a party to amend a pleading any time are not used to hinder a party’s recovery this group advocated for FINRA to before the panel is appointed.48 Once a efforts. Moreover, once customers are create a monetary solution to address panel is appointed, however, the party notified of a member’s or associated unpaid awards. PIABA stated that must receive the panel’s approval prior person’s status change during the FINRA should establish a national to amending a pleading.49 The rule also arbitration case, they should be investor recovery pool. Caruso requires that, if a panel has been permitted to assess the collectability of suggested a ‘‘viable economic solution,’’ selected, a party must request approval their claims and change strategy during stating ‘‘very few investors would be from the panel prior to adding a new the case without penalty. FINRA able to actually recover their losses’’ party.50 Under the proposed believes that, rather than creating bias in under the proposed amendments.42 amendments, if FINRA notifies a the process against a particular group, Although these comments are outside customer that a member or associated the proposed rule change instead would the scope of the proposed rule change, person has become inactive, proposed provide customers with options under FINRA notes that in its Discussion FINRA Rules 12309(b) and (c) would the rules to pursue claims against Paper on Customer Recovery,43 FINRA make it easier to amend pleadings to inactive respondents. has identified a number of alternative add a claim or party by eliminating the NASAA stated that when awards go approaches that could be taken to need for pre-approval by an arbitrator or unpaid, members and associated further address the issue of unpaid panel. If the amended pleading to add persons are not held responsible for customer arbitration awards, and FINRA a party occurs after panel appointment, their misconduct and investors are left continues to focus on this important the newly-added party would not be without recourse. Under the Code, a issue.44 able to participate in the arbitration respondent must pay a monetary award As noted above, six commenters 39 selection process. within 30 days of receipt. In order to suggested modifications to the proposed In this scenario, FINRA would incentivize member firms or associated 45 amendments. FINRA addresses these provide the arbitrator disclosure persons to pay customer awards, and suggestions in the following discussion. reports 51 of the sitting panelists to the restrict those who do not, FINRA expels parties and permit the parties to raise or suspends from the brokerage industry Amendment To Add a Party any conflicts they find with the panel.52 Three commenters stated that FINRA 35 See Caruso, Cornell, and SJU. SJU stated that should revise the proposed amendment 47 Arbitrator selection is the process in which the ‘‘any additional costs involving arbitration could persuade customers to drop otherwise justifiable to FINRA Rule 12309(c) to require that parties receive lists of potential arbitrators and claims,’’ thus, ‘‘the rules should not put undue a customer’s right to add parties to an select the panel to hear their case. The number of financial burdens on customers.’’ arbitration case should be subject to the arbitrators who hear a case is determined by the amount of the claim. See generally Part IV 36 See Cornell, PIABA, and SJU. 46 arbitration panel’s approval. Advisor (Appointment, Disqualification, and Authority of 37 See Caruso and Cornell. Group suggested that the proposed Arbitrators) of the Code. See also Arbitrator 38 See supra note 30. Selection, http://www.finra.org/arbitration-and- 39 amendment would prejudice the rights See FINRA Rule 12904(j). An associated person of member firms to participate in the mediation/arbitrator-selection. or firm has four available defenses to FINRA 48 See FINRA Rule 12309(a). disciplinary measures for non-payment in customer 49 See FINRA Rule 12309(b). cases: (1) The firm or associated person paid the 40 See FINRA Rule 9554(a). 50 See FINRA Rule 12309(c). award in full; (2) the parties have agreed to 41 An investor-claimant in the FINRA arbitration 51 An arbitrator disclosure report is a summary of installment payments or have otherwise settled the forum would be in a similar position as a claimant the arbitrator’s background and is provided to the matter; (3) the firm or associated person has filed who had brought an action in court and had been parties to help them make informed decisions a timely motion to vacate or modify the award and awarded the same amount of damages. during the arbitrator selection process. such motion has not been denied; and (4) the firm 42 Caruso also suggested that FINRA convene a 52 Arbitrators must make a reasonable effort to or associated person has filed a petition in group to consider the extent of the unpaid awards learn of, and must disclose to the Director, any bankruptcy and the bankruptcy proceeding is problem and develop solutions to address it. pending or the award has been discharged by the circumstances which might preclude the arbitrator 43 See Discussion Paper, FINRA Perspectives on bankruptcy court. See Notice to Members 00–55 from rendering an objective and impartial Customer Recovery (February 8, 2018), http:// (August 2000). In July 2010, FINRA eliminated the determination in the proceeding, including, for www.finra.org/sites/default/files/finra_ ‘‘bona fide inability to pay’’ defense in the _ _ _ example, any existing or past financial, business, expedited suspension proceedings it initiates when perspectives on customer recovery.pdf. professional, family, social, or other relationships or a firm or associated person fails to pay an 44 See Discussion Paper at 16–18. circumstances with any party, any party’s arbitration award to a customer. See Regulatory 45 See supra note 26. representative, or anyone who the arbitrator is told Notice 10–31 (June 2010). 46 See Advisor Group, FSI, and SIFMA. may be a witness in the proceeding, that are likely

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If a party discovers a conflict, the party claimant’s interest, therefore, to add timeframe should be shortened to 6 may file a motion to recuse the frivolous claims or unnecessary parties, months,60 120 days,61 or 60 days.62 arbitrator.53 The arbitrator who is the as doing so would likely increase a FINRA recognizes the commenters’ subject of the motion to recuse would claimant’s costs in supporting the concerns, but believes that the 365-day consider whether to withdraw 54 from amended pleading and would delay the minimum termination requirement for the case and rule on the motion.55 The outcome of the case. associated persons would help ensure party may also request removal of the that enough time has elapsed to assume arbitrator by the Director, under certain FSI suggested that if the arbitrator or reasonably that the associated person circumstances.56 panel no longer has the right to approve has permanently left the securities FINRA does not believe that the adding a new claim or new parties, the industry. FINRA believes the proposed amendments would encourage proposed amendments could result in requirement would benefit those claimants to add members or associated orphaned accounts. FSI commented that customers who would exercise the persons who have no nexus to the FSI’s members may no longer accept option to withdraw the case from the arbitration case as some commenters customer accounts from inactive firms arbitration forum and move it to an fear. While the proposed amendments to to minimize service interruptions alternate venue, because they would FINRA Rule 12309 would remove the because the proposed amendments have more certainty that the associated requirement for arbitrator or panel would ‘‘make it easier for, and likely person would not return to the approval prior to adding a claim or encourage, customers to pursue claims securities industry to exercise his or her party, FINRA Rule 12309(d) permits any against the firm that accepts the rights under the predispute arbitration party, whether existing or newly-added, customer accounts.’’ agreement. Further, the 365-day to respond to an amended pleading after requirement could reduce potential it is filed by filing an answer and raising FINRA believes it is unlikely that a costs to these customers, as they would any available defenses.57 Thus, if the customer would add the firm that save money on filing fees and avoid claim or party to be added has no accepted his or her accounts from an procedural delays, such as staying the connection to the arbitration case, the inactive firm as a party to an arbitration case in an alternate venue and re- respondents would have an opportunity case against the inactive firm because starting it in FINRA’s arbitration forum, to make that argument to the arbitrator the rules permit the customer to add which could result if the associated or panel.58 It would not be in the new parties without pre-approval of the person is only temporarily out of the arbitrator or panel. If the customer’s industry. to affect impartiality or might reasonably create an new firm has no connection to the Length of Time To Decide Whether To appearance of partiality or bias. See FINRA Rule dispute involving the inactive firm, yet 12405(a). The duty to disclose any relationship, Withdraw Claim experience and background information that may the customer adds the new firm to the affect, or even appear to affect, the arbitrator’s case, the customer risks jeopardizing the Under the proposed amendments to ability to be impartial and the parties’ belief that the business relationship with the new firm, FINRA Rule 12202(b), if a member or an arbitrator will be able to render a fair decision, is increasing his or her costs to support a associated person becomes inactive an ongoing duty. See FINRA Rule 12405(b). Thus, during a pending arbitration, FINRA if a party is added under proposed FINRA Rule frivolous claim, and alienating the panel would notify the customer about the 12309(c)(2), the panelists must update their by adding a member that was not disclosures or review them to ensure that further status change. The customer would be updates are not warranted. associated with the account or conduct permitted to withdraw the claim against 59 53 See FINRA Rule 12406. at issue until after the named the inactive member or inactive 54 The Code of Ethics for Arbitrators in respondent had gone out of business. associated person with or without Commercial Disputes (‘‘Canon of Ethics’’) applies to FINRA believes, therefore, that these arbitrators on FINRA’s arbitrator rosters. See Canon prejudice within 60 days of receiving of Ethics, http://www.finra.org/arbitration-and- risks outweigh any benefit to the notice of a status change.63 SJU mediation/code-ethics-arbitrators-commercial- customer who might consider adding a suggested that the 60-day period should disputes. Canon II provides that if an arbitrator is party that has no connection to the be increased to 90 days to provide the requested to withdraw by less than all of the parties because of alleged partiality, the arbitrator should arbitration case. customer with additional time to decide whether to pursue the claim in court withdraw except in two circumstances. In one such Length of Termination Period for circumstance, the arbitrator could consider the (and consult with and secure matter, determine that the reason for the challenge Associated Persons appropriate counsel), to continue with is not substantial, and that he or she can nevertheless act and decide the case impartially and In the Notice, FINRA proposed to the arbitration, and to amend pleadings. fairly. See Canon II (An Arbitrator Should Disclose define an ‘‘inactive associated person’’ FINRA believes that once a customer is Any Interest Or Relationship Likely To Affect as a person associated with a member notified of a member’s or associated Impartiality Or Which Might Create An Appearance person’s inactive status, the proposed Of Partiality), Section G. whose registration is revoked or 60-day timeframe is a reasonable 55 See FINRA Rule 12406. suspended, or whose registration has 56 amount of time for the customer to The rule states, in relevant part, that before the been terminated for a minimum of 365 first hearing session begins, the Director will grant a party’s request to remove an arbitrator if it is days. Three commenters stated that the 60 See SJU. reasonable to infer, based on information known at 61 See Cornell, stating that ‘‘FINRA should the time of the request, that the arbitrator is biased, consider the average time it takes to find new lacks impartiality, or has a direct or indirect interest employment, and the economic costs to parties in the outcome of the arbitration. The interest or having to pursue a claim when the associated bias must be definite and capable of reasonable person has left the industry permanently but has demonstration, rather than remote or speculative. basis that the moving party was not associated with not yet hit the 365-day minimum requirement.’’ See FINRA Rule 12407(a)(1). After the first hearing the account(s), security(ies), or conduct at issue. See 62 See PIABA, stating that ‘‘a shorter window session begins, the Director may remove an FINRA Rules 12504(a)(2) and (a)(6). simply provides the customer with more options arbitrator based only on information required to be regarding amendment and/or withdrawal of the 59 After the member responds to the amended disclosed under Rule 12405 that was not previously claims without prejudice.’’ claim, the member could then file a motion to known by the parties. See FINRA Rule 12407(b). 63 Within the same 60-day period, the customer 57 See FINRA Rule 12303(a). dismiss prior to the conclusion of the customer’s would also be permitted to amend a pleading or add 58 After the newly-added party files an answer, case on the ground that the member was not a party without pre-approval from the arbitrator or the party could seek to have the claim dismissed associated with the account(s), security(ies), or panel, under the proposed amendments to FINRA prior to the conclusion of the case in chief, on the conduct at issue. See FINRA Rule 12504(a)(6)(B). Rules 12309(b)(2) and (c)(2).

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decide whether to withdraw the claim, that arise from the same facts and Minimize Delays and Postponements amend the claim or add a party. FINRA alleged misconduct) in the same forum. From Newly-Added Party believes the 60-day timeframe provides FINRA notes that the goal of the PIABA expressed concern that customers with enough time to make proposed amendments is to provide newly-named respondents may demand informed decisions on how to proceed customers with the same options against extended delays and postponements of in the case, while still keeping the case an associated person who is inactive at scheduled hearing dates. PIABA urged on track for timely resolution, which the time of filing as those that currently FINRA to consider adopting arbitrator could improve the customer’s chances exist against an inactive member. By training and guidelines to instruct at recovery, if an arbitrator or panel providing a customer with the option to arbitrators to balance carefully the issued an award. pursue his or her claim in court against interests of all the parties to the Extend the Proposed Amendments to an inactive associated person, the arbitration when considering Intra-Industry Cases proposed amendments could result in newly-added respondent requests to customers filing claims based on the extend deadlines or hearings. The proposed amendments would same facts and circumstances in FINRA When FINRA receives approval of apply to customer cases only. SIFMA arbitration and in court at the same proposed rule changes that involve contended that the proposed time. FINRA notes that this approach arbitration practices and procedures, amendments should apply also to intra- would increase the parties’ costs, but FINRA’s Office of Dispute Resolution industry cases (i.e., disputes between or would have little effect on a member’s (‘‘ODR’’) will include articles on the among members and associated access to information during its case 64 new rules in The Neutral Corner, an persons). SIFMA stated that ‘‘all of the with the customer. ODR newsletter for arbitrators and other arguments and justifications that FINRA FINRA provides the Discovery Guide neutrals that includes updates on rules makes in favor of expanding the options for customer cases only, which outlines affecting dispute resolution and tips on available to a customer claimant when documents that the parties should how to be a better arbitrator or dealing with those member firms or exchange without arbitrator mediator.70 In addition, ODR will associated persons who are responsible intervention. The Discovery Guide develop arbitrator training to explain for most unpaid awards apply equally to contains two document production lists how the new rules would work and industry claimants when dealing with of presumptively discoverable provide guidance to arbitrators on their those same member firms and documents: one for the firm/associated roles and responsibilities under the new associated persons.’’ persons to produce and one for the rules. These informational and training FINRA acknowledges SIFMA’s customer to produce.65 Thus, at the materials will provide examples of best concerns. At this time, however, FINRA practices that arbitrators could use as has decided to apply the proposed outset of the arbitration, the member guides to assist them when they are amendments to customer cases only would be permitted to seek information deciding a newly-added respondent’s because providing customers with more from the customer that is in the request for an extension or control over the arbitration process customer’s possession or control and is postponement. As is current practice when faced with a respondent that relevant to the member’s case. In under the Code, arbitrators would have likely will not be able to pay an award addition, under the Customer Code, the member would be permitted to request the authority under the proposed furthers FINRA’s goal of investor amendments to exercise their judgment protection. additional documents or information from any party in arbitration,66 and when addressing these matters, based Related Claims Should Be Litigated in arbitrators have the authority to issue on the facts and circumstances of the Same Forum subpoenas 67 or orders 68 compelling case. Under the proposed amendments to discovery if the subject of the request Reporting Mechanisms Should Be FINRA Rule 12202, claims against fails to comply with a request. If the Accurate and Made Available to the inactive firms or inactive associated customer learns of information during Public the court proceeding that he or she persons would not be eligible for Under the proposed amendments, an arbitration, unless the customer agrees intends to use during the arbitration proceeding, the customer must provide ‘‘inactive member’’ would be defined as in writing to arbitrate after the claim a member whose membership has been arises. FSI expressed concern that, copies of all documents and materials in customer’s possession or control that terminated, suspended, cancelled, under the proposed rule change, revoked, the member has been expelled customers could proceed against a have not already been produced at the 20-day exchange deadline.69 For these from FINRA, or the member is otherwise member in arbitration and an associated defunct. An ‘‘inactive associated person in court. In this scenario, FSI reasons, FINRA declines to amend the proposed rule change as suggested. person’’ would be defined as a person stated that the discovery in the whose registration is revoked or customer’s case against the associated Request for Additional FINRA Data suspended, who has been expelled or person in court could reveal additional PIABA requested that FINRA release barred from FINRA, or has been facts that the customer could use against terminated for a minimum of 365 days. the firm in its arbitration case. FSI the data and other statistical information FINRA used to support the NASAA suggested that the withdrawal suggested that the member would not statistic that ODR publishes 71 should be have the opportunity to seek proposed amendments. FINRA has made available data on which it relied broken down to reflect the appropriate comparable information from the subcategory (e.g., terminated, customer during the arbitration case. in its discussion of the economic impacts of the proposed amendments. FSI requested, therefore, that FINRA 70 The Neutral Corner, Volume 1—2019, http:// clarify in the proposed amendments that www.finra.org/arbitration-and-mediation/neutral- 65 customers be required to pursue related See Discovery Guide, http://www.finra.org/ corner-volume-1-2019-0319. See also the previous arbitration-and-mediation/discovery-guide. editions at http://www.finra.org/arbitration-and- claims (i.e., a claim against the firm and 66 See FINRA Rule 12507. mediation/previous-editions-neutral-corner. a claim against the associated person 67 See FINRA Rule 12512. 71 Dispute Resolution Statistics, https:// 68 See FINRA Rule 12513. www.finra.org/arbitration-and-mediation/dispute- 64 See FINRA Rule 13000 Series. 69 See FINRA Rule 12514. resolution-statistics.

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suspended, canceled, etc.) that III. Date of Effectiveness of the also will be available for inspection and customers use to withdraw their claims. Proposed Rule Change and Timing for copying at the principal office of FINRA cannot commit to publishing Commission Action FINRA. All comments received will be subcategories of withdrawals as Within 45 days of the date of posted without change. Persons requested, because the programming publication of this notice in the Federal submitting comments are cautioned that costs required to capture that level of Register or within such longer period (i) we do not redact or edit personal detail would likely be significant. as the Commission may designate up to identifying information from comment submissions. You should submit only FINRA agrees, however, that its 90 days of such date if it finds such information that you wish to make withdrawal statistics should distinguish longer period to be appropriate and available publicly. All submissions between a claim (or case) withdrawn publishes its reasons for so finding or should refer to File Number SR–FINRA– because a claimant exercised rights (ii) as to which the self-regulatory 2019–027 and should be submitted on organization consents, the Commission under the rules after a respondent or before December 13, 2019. became inactive and claims withdrawn will: for other reasons. If the SEC approves (A) By order approve or disapprove For the Commission, by the Division of Trading and Markets, pursuant to delegated the proposed rule change, FINRA would such proposed rule change, or 75 (B) institute proceedings to determine authority. assess its technology platforms to Jill M. Peterson, determine what programming changes whether the proposed rule change Assistant Secretary. would be needed to capture the data should be disapproved. [FR Doc. 2019–25324 Filed 11–21–19; 8:45 am] relating to claims or cases withdrawn IV. Solicitation of Comments BILLING CODE 8011–01–P due to an inactive respondent. Interested persons are invited to NASAA also suggested that FINRA submit written data, views and create and make public a separate report arguments concerning the foregoing, SECURITIES AND EXCHANGE to capture the members and associated including whether the proposed rule COMMISSION persons who become inactive due to change is consistent with the Act. [Release No. 34–87556; File No. SR– unpaid arbitration awards or judgments Comments may be submitted by any of NYSEArca–2019–82] in favor of customers. NASAA stated the following methods: Self-Regulatory Organizations; NYSE that such a report would provide Electronic Comments transparency on industry participants Arca, Inc.; Notice of Filing and • that leave the industry due to customer Use the Commission’s internet Immediate Effectiveness of Proposed complaints and would provide comment form (http://www.sec.gov/ Rule Change Permitting the Listing rules/sro.shtml); or and Trading of Shares of the customers with additional information • when making a decision about whether Send an email to rule-comments@ Nationwide Risk-Managed Income ETF sec.gov. Please include File Number SR– Under NYSE Arca Rule 8.600–E to work with a specific FINRA member FINRA–2019–027 on the subject line. or associated person. November 18, 2019. FINRA is committed to providing Paper Comments Pursuant to Section 19(b)(1) 1 of the customers with information on the state • Send paper comments in triplicate Securities Exchange Act of 1934 of unpaid customer arbitration awards to Secretary, Securities and Exchange (‘‘Act’’) 2 and Rule 19b–4 thereunder,3 in the forum, so that they may make Commission, 100 F Street NE, notice is hereby given that, on informed decisions about whom to Washington, DC 20549–1090. November 5, 2019, NYSE Arca, Inc. entrust with their money and, therefore, All submissions should refer to File (‘‘NYSE Arca’’ or ‘‘Exchange’’) filed has made data on unpaid customer Number SR–FINRA–2019–027. This file with the Securities and Exchange Commission (‘‘Commission’’) the arbitration awards available on its number should be included on the proposed rule change as described in website.72 Moreover, FINRA has subject line if email is used. To help the Items I and II below, which Items have published a list of member firms and Commission process and review your comments more efficiently, please use been prepared by the self-regulatory associated persons with unpaid organization. The Commission is 73 only one method. The Commission will customer arbitration awards. This publishing this notice to solicit information will continue to appear on post all comments on the Commission’s internet website (http://www.sec.gov/ comments on the proposed rule change the firm’s or individual’s from interested persons. BrokerCheck® 74 report. rules/sro.shtml). Copies of the submission, all subsequent I. Self-Regulatory Organization’s amendments, all written statements Statement of the Terms of Substance of 72 See Statistics on Unpaid Customer Awards in with respect to the proposed rule the Proposed Rule Change FINRA Arbitration, http://www.finra.org/ change that are filed with the arbitration-and-mediation/statistics-unpaid- The Exchange proposes to permit the customer-awards-finra-arbitration. FINRA updates Commission, and all written listing and trading of shares under these data periodically. communications relating to the NYSE Arca Rule 8.600–E of the 73 See Member Firms and Associated Persons proposed rule change between the Nationwide Risk-Managed Income ETF, with Unpaid Customer Arbitration Awards, http:// Commission and any person, other than a series of ETF Series Solutions, www.finra.org/arbitration-and-mediation/members- those that may be withheld from the notwithstanding that the fund does not firms-and-associated-persons-unpaid-customer- public in accordance with the arbitration-awards. FINRA updates these data meet the requirements of Commentary provisions of 5 U.S.C. 552, will be .01(d)(2) to Rule 8.600–E. The proposed periodically. available for website viewing and 74 rule change is available on the FINRA developed and operates this free tool printing in the Commission’s Public under the oversight of the SEC to provide investors with information regarding a broker’s employment Reference Room, 100 F Street NE, 75 17 CFR 200.30–3(a)(12). history, regulatory actions, investment-related Washington, DC 20549, on official 1 15 U.S.C. 78s(b)(1). licensing information, arbitrations and complaints. business days between the hours of 10 2 15 U.S.C. 78a. See BrokerCheck®, https://brokercheck.finra.org. a.m. and 3 p.m. Copies of such filing 3 17 CFR 240.19b–4.

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Exchange’s website at www.nyse.com, at Nationwide Fund Advisors (the nonpublic information regarding the the principal office of the Exchange, and ‘‘Adviser’’) is the investment adviser to Fund’s portfolio. The Adviser has at the Commission’s Public Reference the Fund. Harvest Volatility implemented and will maintain a fire Room. Management, LLC (‘‘Sub-Adviser’’) is wall with respect to its relevant the sub-adviser for the Fund and is personnel and such broker-dealer II. Self-Regulatory Organization’s responsible for the day-to-day affiliate, as applicable, regarding access Statement of the Purpose of, and management of the Fund. U.S. Bank to information concerning the Statutory Basis for, the Proposed Rule National Association is the custodian of composition and/or changes to the Change the Trust (the ‘‘Custodian’’). U.S. portfolio, and is subject to procedures In its filing with the Commission, the Bancorp Fund Services, LLC will serve designed to prevent the use and self-regulatory organization included as administrator and transfer agent for dissemination of material non-public statements concerning the purpose of, the Fund. Quasar Distributors, LLC, will information regarding such portfolio. In and basis for, the proposed rule change serve as the Fund’s distributor. the event that (a) the Adviser or Sub- and discussed any comments it received Commentary .06 to Rule 8.600–E Adviser becomes registered as a broker- on the proposed rule change. The text provides that, if the investment adviser dealer or newly affiliated with a broker- of those statements may be examined at to the investment company issuing dealer, or (b) any new adviser or sub- the places specified in Item IV below. Managed Fund Shares is affiliated with adviser is a registered broker-dealer or The Exchange has prepared summaries, a broker-dealer, such investment adviser becomes affiliated with a broker-dealer, set forth in sections A, B, and C below, shall erect and maintain a ‘‘fire wall’’ it will implement and maintain a fire of the most significant parts of such between the investment adviser and the wall with respect to its relevant statements. broker-dealer with respect to access to personnel or such broker-dealer affiliate, information concerning the composition as applicable, regarding access to A. Self-Regulatory Organization’s and/or changes to such investment information concerning the composition Statement of the Purpose of, and the company portfolio.6 In addition, and/or changes to the portfolio, and will Statutory Basis for, the Proposed Rule Commentary .06 further requires that be subject to procedures designed to Change personnel who make decisions on the prevent the use and dissemination of 1. Purpose investment company’s portfolio material non-public information The Exchange proposes to permit the composition must be subject to regarding such portfolio. procedures designed to prevent the use listing and trading under NYSE Arca Principal Investments of the Fund Rule 8.600–E (‘‘Managed Fund and dissemination of material nonpublic information regarding the According to the Registration Shares’’) 4 of shares (‘‘Shares’’) of the applicable investment company Statement, the investment objective of Nationwide Risk-Managed Income ETF portfolio. Neither the Adviser nor the the Fund is current income with (the ‘‘Fund’’), a series of ETF Series Sub-Adviser is a registered broker- downside protection. The Fund is an Solutions (the ‘‘Trust’’), dealer. The Sub-Adviser is not affiliated actively-managed exchange-traded fund notwithstanding that the Fund does not with a broker-dealer, but the Adviser is (‘‘ETF’’) 7 that will seek, under normal meet not meet the requirements of affiliated with a broker-dealer. In market conditions,8 to achieve its Commentary .01(d)(2) to Rule 8.600–E. objective principally by investing in (1) The Shares are offered by the Trust, addition, Adviser and Sub-Adviser a portfolio of the stocks included in the which is registered with the personnel who make decisions regarding a Fund’s portfolio are subject Nasdaq-100 Index (the ‘‘Nasdaq-100’’ or Commission as an open-end to procedures designed to prevent the the ‘‘Reference Index’’), and (2) a mix of management investment company use and dissemination of material written call options and long put consisting of multiple investment options on the Nasdaq-100 (the series.5 The Fund is a series of the Trust. the 1940 Act. See Investment Company Act Release ‘‘Options Collar’’) intended to reduce No. 33065 (April 3, 2018). 4 the Fund’s volatility and provide a A Managed Fund Share is a security that 6 An investment adviser to an open-end fund is measure of downside protection (the represents an interest in an investment company required to be registered under the Investment registered under the Investment Company Act of Advisers Act of 1940 (the ‘‘Advisers Act’’). As a ‘‘Options Collar Strategy’’, described 1940 (15 U.S.C. 80a–1) (‘‘1940 Act’’) organized as result, the Adviser, Sub-Adviser and their related more fully below). an open-end investment company or similar entity personnel are subject to the provisions of Rule The Nasdaq-100 is a market that invests in a portfolio of securities selected by 204A–1 under the Advisers Act relating to codes of capitalization weighted index its investment adviser consistent with its ethics. This Rule requires investment advisers to comprised of the securities of 100 of the investment objectives and policies. In contrast, an adopt a code of ethics that reflects the fiduciary open-end investment company that issues nature of the relationship to clients as well as largest non-financial companies listed Investment Company Units, listed and traded on compliance with other applicable securities laws. on The Nasdaq Stock Market LLC based the Exchange under NYSE Arca Rule 5.2–E(j)(3), Accordingly, procedures designed to prevent the on market capitalization. Such seeks to provide investment results that correspond communication and misuse of non-public securities may include companies generally to the price and yield performance of a information by an investment adviser must be specific foreign or domestic stock index, fixed consistent with Rule 204A–1 under the Advisers domiciled domestically or income securities index or combination thereof. Act. In addition, Rule 206(4)–7 under the Advisers internationally (including in emerging 5 The Trust is registered under the 1940 Act. On Act makes it unlawful for an investment adviser to markets), and may include common September 9, 2019, the Trust filed with the provide investment advice to clients unless such stocks, ordinary shares, depositary Securities and Exchange Commission (‘‘SEC’’ or investment adviser has (i) adopted and Commission’’) a post-effective amendment to its implemented written policies and procedures registration statement on Form N–1A under the reasonably designed to prevent violation, by the 7 For purposes of this filing, the term ‘‘ETFs’’ Securities Act of 1933 (15 U.S.C. 77a), and under investment adviser and its supervised persons, of means Investment Company Units (as described in the 1940 Act relating to the Fund (File Nos. 333– the Advisers Act and the Commission rules adopted NYSE Arca Rule 5.2–E(j)(3)); Portfolio Depositary 179562 and 811–22668) with respect to Shares of thereunder; (ii) implemented, at a minimum, an Receipts (as described in NYSE Arca Rule 8.100– the Fund (‘‘Registration Statement’’). The annual review regarding the adequacy of the E); and Managed Fund Shares (as described in description of the operation of the Trust and of the policies and procedures established pursuant to NYSE Arca Rule 8.600–E). All ETFs will be listed Fund and Shares herein is based, in part, on the subparagraph (i) above and the effectiveness of their and traded in the U.S. on a national securities Registration Statement. There are no permissible implementation; and (iii) designated an individual exchange. The Fund will not invest in inverse or holdings for the Fund that are not described in this (who is a supervised person) responsible for leveraged (e.g., 2X, –2X, 3X or –3X) ETFs. proposal. The Commission has issued an order administering the policies and procedures adopted 8 The term ‘‘normal market conditions’’ is defined granting certain exemptive relief to the Trust under under subparagraph (i) above. in NYSE Arca Rule 8.600–E(c)(5).

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receipts representing interests in non- Application of Generic Listing that Commentary .01(d)(2) to Rule U.S. companies, and tracking stocks, Requirements 8.600–E is intended to address and that which instruments, along with the The Exchange submits this proposal such liquidity would discourage Options Collar, will constitute the in order to list and trade Shares of the manipulation of the Shares. principal investments of the Fund. Fund and to allow the Fund to hold In addition, the Exchange believes The Fund may hold cash and cash listed derivatives, in particular put and that sufficient protections are in place to equivalents.9 call options on the Nasdaq-100 Index, in protect against market manipulation of a manner that may not comply with the Shares and Nasdaq-100 Index The Options Collar Strategy Commentary .01(d)(2) to Rule 8.600– Options for several reasons: (i) The E.10 Otherwise, the Fund will comply diversity, liquidity, and market cap of According to the Registration with all other listing requirements of the the securities underlying the Nasdaq- Statement, the Fund’s Options Collar Generic Listing Standards 11 for 100 Index; and (ii) surveillance by the strategy consists of two components: (1) Managed Fund Shares on an initial and Exchange, other options exchanges,13 Selling call options on the Nasdaq-100 continued listing basis under and the Financial Industry Regulatory on up to 100% of the value of the equity Commentary .01 to Rule 8.600–E.12 Authority (‘‘FINRA’’) designed to detect securities held by the Fund to generate The market for options contracts on violations of the federal securities laws premium from such options, while (2) the Nasdaq-100 Index (‘‘Nasdaq-100 and self-regulatory organization simultaneously reinvesting a portion of Index Options’’) is deep and liquid. In (‘‘SRO’’) rules. The Exchange has in such premium to buy put options on the 2018, more than 15,000 options place a surveillance program for same reference asset to ‘‘hedge’’ or contracts on the Nasdaq-100 Index were transactions in ETFs to ensure the mitigate the downside risk associated traded per day, which is more than $10 availability of information necessary to with owning equity securities. billion in notional volume traded on a detect and deter potential The Fund will use a portion of the daily basis. The Exchange believes that manipulations and other trading abuses. premium received from writing call the liquidity in Nasdaq-100 Index Further, the Exchange believes that options to purchase put options. Both Options markets mitigates the concerns because the Nasdaq-100 Index Options the Fund’s call and put options will be in the Fund’s portfolio will be acquired traded on a national securities exchange 10 Commentary .01(d)(2) to Rule 8.600–E provides in liquid and highly regulated that ‘‘the aggregate gross notional value of listed markets,14 the Exchange believes that and settled in cash. derivatives based on any five or fewer underlying reference assets shall not exceed 65% of the weight manipulation of Nasdaq-100 Index Non-Principal Investments of the portfolio (including gross notional Options would be discouraged and that exposures), and the aggregate gross notional value any potential manipulation would be In addition to the principal of listed derivatives based on any single underlying more easily identified. investments described above, the Fund reference asset shall not exceed 30% of the weight may invest in U.S. exchange-listed of the portfolio (including gross notional As noted above, options on the exposures).’’ The Fund would not meet the generic options on reference assets other than Nasdaq-100 Index are among the most listing standards because it would fail to meet the liquid options in the world and derive the Nasdaq-100 that will comply with requirement of Commentary .01(d)(2) that prevents Commentary .01(d)(2) to Rule 8.600–E, the aggregate gross notional value of listed their value from the actively traded derivatives based on any single underlying Nasdaq-100 Index components. The including but not limited to the reference asset from exceeding 30% of the weight NASDAQ-100 Equal Weight Index, contracts are cash-settled with no of the portfolio (including gross notional exposures) delivery of stocks or ETFs, and trade in Invesco QQQ Trust, Series 1, S&P 500 and the requirement that the aggregate gross Index, and the individual equity notional value of listed derivatives based on any competitive auction markets with price five or fewer underlying reference assets shall not and quote transparency. The Exchange securities comprising the Nasdaq-100 or exceed 65% of the weight of the portfolio believes the highly regulated options S&P 500 Index. (including gross notional exposures). 11 markets and the broad base and scope The Fund may also invest in U.S. For purposes of this proposal, the term ‘‘Generic Listing Standards’’ means the generic of the Nasdaq-100 Index make securities exchange-listed common stocks, listing rules for Managed Fund Shares under that derive their value from that index ordinary shares, and American Commentary .01 to Rule 8.600–E. would discourage market manipulation Depositary Receipts representing 12 The Exchange notes that this proposed rule in view of market capitalization and interests in non-U.S. companies, and change is similar to previous rule changes involving Managed Fund Shares with similar exposures to liquidity of the Nasdaq-100 Index tracking stocks that are not included in one or more underlying reference asset and U.S. components, price and quote the Nasdaq-100. The Fund may also exchange-listed equity securities. See Securities transparency, and arbitrage invest in the securities of other Exchange Act Release No. 87108 (September 25, opportunities, and that any potential 2019), 84 FR 52152 (October 1, 2019) (SR– investment companies registered under CboeBZX–2019–067). See generally Securities manipulation would be more easily the 1940 Act, including money market Exchange Act Release No. 82906 (March 20, 2018), identified. funds, exchange traded funds (‘‘ETFs’’), 83 FR 12992 (March 26, 2018) (SR–CboeBZX–2017– 012) (order approving the listing and trading of the and Real Estate Investment Trusts 13 LHA Market State Tactical U.S. Equity ETF); The Exchange and all nine [sic] U.S. options (‘‘REITS’’). The Fund may also invest in Securities Exchange Act Release No. 83679 (July 20, exchanges are members of the Options Regulatory exchange-traded rights and warrants. 2018), 83 FR 35505 (July 26, 2018) (SR–BatsBZX– Surveillance Authority, which was established in 2017–72) (Notice of Filing of Amendment No. 4 and 2006 to provide efficiencies in looking for insider The Fund may also invest in U.S. Order Granting Accelerated Approval of a Proposed trading and serves as a central organization to Government securities, including bills, Rule Change, as Modified by Amendment No. 4 facilitate collaboration in investigations for the U.S. notes and bonds, which are either Thereto, to List and Trade Shares of the Innovator options exchanges. 14 issued or guaranteed by the U.S. S&P 500 Buffer ETF Series, Innovator S&P 500 All exchange-listed securities that the Fund Power Buffer ETF Series, and Innovator S&P 500 may hold will trade on a market that is a member Treasury or by U.S. Government Ultra Buffer ETF Series Under Rule 14.11(i)); of the Intermarket Surveillance Group (‘‘ISG’’) and agencies or instrumentalities, with Securities Exchange Act Release No. 86773 (August the Fund will not hold any non-exchange-listed maturities 3 months or longer. 27, 2019), 84 FR 46051 (September 3, 2019) (SR– equities or options; however, not all of the CboeBZX–2019–077); Securities Exchange Act components of the portfolio for the Fund may trade Release No. 83146 (May 1, 2018), 83 FR 20103 (May on exchanges that are members of the ISG or with 9 For purposes of this filing, cash equivalents 2, 2017) (SR–CboeBZX–2018–29); Securities which the Exchange has in place a comprehensive mean the securities described in Commentary .01(c) Exchange Act Release No. 80529 (April 26, 2017), surveillance sharing agreement. For a list of the to NYSE Arca Rule 8.600–E. 82 FR 20506 (May 2, 2017) (SR–BatsBZX–2017–14). current members of ISG, see www.isgportal.org.

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The Exchange believes that the (‘‘SAI’’), the Fund’s Shareholder Exchange, make trading in the Shares liquidity of the markets for securities in Reports, and the Fund’s Forms N–CSR inadvisable. Trading in the Fund’s the Nasdaq-100 Index, Nasdaq-100 and Forms N–CEN. The Fund’s SAI and Shares also will be subject to Rule Index Options, and other related Shareholder Reports will be available 8.600–E(d)(2)(D) (‘‘Trading Halts’’). derivatives is sufficiently great to deter free upon request from the Trust, and Trading Rules fraudulent or manipulative acts those documents and the Form N–CSR, associated with the Fund’s Shares price. Form N–PX, Form N–PORT and Form The Exchange deems the Shares to be The Exchange also believes that such N–CEN may be viewed on-screen or equity securities, thus rendering trading liquidity is sufficient to support the downloaded from the Commission’s in the Shares subject to the Exchange’s creation and redemption mechanism. website at www.sec.gov. existing rules governing the trading of Coupled with the extensive surveillance The intra-day, closing and settlement equity securities. Shares will trade on programs of the SROs described above, prices of exchange-traded options will the NYSE Arca Marketplace from 4 a.m. the Exchange does not believe that be readily available from the Options to 8 p.m., E.T. in accordance with NYSE trading in the Shares would present Price Reporting Authority (‘‘OPRA’’), Arca Rule 7.34–E (Early, Core, and Late manipulation concerns. the options exchanges, automated Trading Sessions). The Exchange has quotation systems, published or other appropriate rules to facilitate Availability of Information public sources, or online information transactions in the Shares during all The Fund’s website services such as Bloomberg or Reuters. trading sessions. As provided in NYSE (www.etf.nationwide.com) will include Information regarding market price Arca Rule 7.6–E, the minimum price the prospectus for the Fund that may be and trading volume of the Shares will be variation (‘‘MPV’’) for quoting and entry downloaded. The Fund’s website will continually available on a real-time of orders in equity securities traded on include ticker, CUSIP and exchange basis throughout the day on brokers’ the NYSE Arca Marketplace is $0.01, information, along with additional computer screens and other electronic with the exception of securities that are quantitative information updated on a services. Information regarding the priced less than $1.00 for which the daily basis, including, for the Fund: (1) previous day’s closing price and trading MPV for order entry is $0.0001. The prior business day’s net asset value volume information for the Shares will With the exception of the (‘‘NAV’’) per share and the market be published daily in the financial requirements of Commentary .01(d)(2) closing price or mid-point of the bid/ask section of newspapers. (with respect to listed derivatives) as spread at the time of calculation of such Quotation and last sale information described above, the Shares of the Fund NAV per share (the ‘‘Bid/Ask Price’’),15 for the Shares, the stocks included in will conform to the initial and and a calculation of the premium or the Nasdaq-100, and for portfolio continued listing criteria under NYSE discount of the market closing price or holdings that are U.S. exchange-listed, Arca Rule 8.600–E. Consistent with Bid/Ask Price against such NAV per including common stocks, rights, Commentary .06 of NYSE Arca Rule share; and (2) a table showing the warrants, ETFs, REITS and ADRs will be 8.600–E, the Adviser or Sub-Adviser number of days of such premium or available via the Consolidated Tape will implement and maintain, or be discount for the most recently Association (‘‘CTA’’) high-speed line. In subject to, procedures designed to completed calendar year, and the most addition, the Portfolio Indicative Value prevent the use and dissemination of recently completed calendar quarters (‘‘PIV’’), as defined in NYSE Arca Rule material non-public information since that year (or the life of Fund, if 8.600–E(c)(3), will be widely regarding the actual components of the shorter). On each business day, before disseminated by one or more major Fund’s portfolio. The Exchange commencement of trading in Shares in market data vendors at least every 15 represents that, for initial and continued the Core Trading Session 16 on the seconds during the Core Trading listing, the Fund will be in compliance Exchange, the Fund will disclose on its Session. The Fund may hold up to an with Rule 10A–3 18 under the Act, as website the Disclosed Portfolio as aggregate amount of 15% of its net provided by NYSE Arca Rule 5.3–E. The defined in NYSE Arca Rule 8.600– assets in illiquid assets (calculated at Exchange will obtain a representation E(c)(2) that forms the basis for the the time of investment), deemed illiquid from the issuer of the Shares that the Fund’s calculation of NAV at the end of by the Adviser or Sub-Adviser, NAV per Share will be calculated daily the business day. consistent with Commission guidance. and that the NAV and the Disclosed On a daily basis, the Fund will Price information regarding U.S. Portfolio will be made available to all disclose the information required under government securities and other cash market participants at the same time. NYSE Arca Rule 8.600–E(c)(2) to the equivalents may be obtained from Surveillance extent applicable. The website brokers and dealers who make markets information will be publicly available at in such securities or through nationally The Exchange believes that its no charge. recognized pricing services through surveillance procedures are adequate to Investors can also obtain the Trust’s subscription agreements. properly monitor the trading of the Statement of Additional Information Shares on the Exchange during all Trading Halts trading sessions and to deter and detect 15 The Bid/Ask Price of the Fund’s Shares will be With respect to trading halts, the violations of Exchange rules and the determined using the mid-point of the highest bid and the lowest offer on the Exchange as of the time Exchange may consider all relevant applicable federal securities laws. The of calculation of the Fund’s NAV. The records factors in exercising its discretion to Exchange represents that trading in the relating to Bid/Ask Prices will be retained by the halt or suspend trading in the Shares of Shares will be subject to the existing Fund and its service providers. the Fund.17 Trading in Shares of the trading surveillances, administered by 16 The Core Trading Session begins for each Fund will be halted if the circuit breaker FINRA on behalf of the Exchange, or by security at 9:30 a.m. Eastern time and ends at the conclusion of Core Trading Hours or the Core parameters in NYSE Arca Rule 7.12–E regulatory staff of the Exchange, which Closing Auction, whichever comes later. See NYSE have been reached. Trading also may be are designed to detect violations of Arca Rule 7.34–E. ‘‘Core Trading Hours’’ is defined halted because of market conditions or Exchange rules and applicable federal as the hours of 9:30 a.m. Eastern time through 4:00 p.m. (Eastern Time) or such other hours as may be for reasons that, in the view of the securities laws. The Exchange determined by the Exchange from time to time. See Rule 1.1(j). 17 See NYSE Arca Rule 7.12–E. 18 17 CFR 240.10A–3.

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represents that these procedures are Information Bulletin meet each of the initial and continued adequate to properly monitor Exchange Prior to the commencement of listing criteria in Commentary .01 to trading of the Shares in all trading trading, the Exchange will inform its NYSE Arca Rule 8.600–E, with the sessions and to deter and detect Equity Trading Permit Holders in an exception of Commentary .01(d)(2) to violations of Exchange rules and federal Information Bulletin (‘‘Bulletin’’) of the NYSE Arca Rule 8.600–E, which securities laws applicable to trading on special characteristics and risks requires that the aggregate gross 19 notional value of listed derivatives the Exchange. associated with trading the Shares. based on any five or fewer underlying The surveillances referred to above Specifically, the Bulletin will discuss reference assets shall not exceed 65% of generally focus on detecting securities the following: (1) The procedures for the weight of the portfolio (including purchases and redemptions of Shares in trading outside their normal patterns, gross notional exposures), and the Creation Unit aggregations (and that which could be indicative of aggregate gross notional value of listed Shares are not individually redeemable); manipulative or other violative activity. derivatives based on any single (2) NYSE Arca Rule 9.2–E(a), which When such situations are detected, underlying reference asset shall not imposes a duty of due diligence on its surveillance analysis follows and exceed 30% of the weight of the Equity Trading Permit Holders to learn investigations are opened, where portfolio (including gross notional the essential facts relating to every appropriate, to review the behavior of exposures).21 Commentary .01(d)(2) to all relevant parties for all relevant customer prior to trading the Shares; (3) NYSE Arca Rule 8.600–E, is intended to trading violations. the risks involved in trading the Shares ensure that a fund is not subject to during the Early and Late Trading The Exchange or FINRA, on behalf of manipulation by virtue of significant Sessions when an updated PIV will not the Exchange, or both, will exposure to a manipulable underlying be calculated or publicly disseminated; communicate as needed regarding reference asset by establishing (4) how information regarding the PIV trading in the Shares, options and ETFs concentration limits among the and the Disclosed Portfolio is with other markets and other entities underlying reference assets for listed disseminated; (5) the requirement that that are members of the ISG, and the derivatives held by a particular fund. Equity Trading Permit Holders deliver a Exchange or FINRA, on behalf of the The Exchange notes that this proposed prospectus to investors purchasing Exchange, or both, may obtain trading rule change is similar to previous rule newly issued Shares prior to or information regarding trading in such changes involving Managed Fund concurrently with the confirmation of a Shares with similar exposure to one or securities and financial instruments transaction; and (6) trading information. from such markets and other entities. more underlying reference asset and In addition, the Bulletin will U.S. exchange-listed equity securities.22 The Exchange may obtain information reference that the Fund are subject to regarding trading in such securities and The market for Nasdaq-100 Index various fees and expenses described in Options is deep and liquid. In 2018, financial instruments from markets and the Registration Statement. The Bulletin other entities that are members of ISG or more than 15,000 options contracts on will discuss any exemptive, no-action, the Nasdaq-100 Price Index were traded with which the Exchange has in place and interpretive relief granted by the a comprehensive surveillance sharing per day, which is more than $10 billion Commission from any rules under the in notional volume traded on a daily agreement. In addition, the Exchange Act. The Bulletin will also disclose that also has a general policy prohibiting the basis. The Exchange believes that the the NAV for the Shares will be liquidity in the Nasdaq-100 Index distribution of material, non-public calculated after 4:00 p.m., Eastern time information by its employees. Options markets mitigates the concerns each trading day. that Commentary .01(d)(2) to Rule All statements and representations 2. Statutory Basis 8.600–E is intended to address and that made in this filing regarding (a) the such liquidity would discourage description of the portfolio or reference The basis under the Act for this manipulation of the Shares. assets, (b) limitations on portfolio proposed rule change is the requirement In addition, the Exchange believes holdings or reference assets, or (c) the under Section 6(b)(5) 20 that an that sufficient protections are in place to applicability of Exchange listing rules exchange have rules that are designed to protect against market manipulation of specified in this rule filing shall prevent fraudulent and manipulative the Shares and Nasdaq-100 Index constitute continued listing acts and practices, to promote just and Options for several reasons: (i) The requirements for listing the Shares of equitable principles of trade, to remove diversity, liquidity, and market cap of the Fund on the Exchange. impediments to, and perfect the the securities underlying the Nasdaq- mechanism of a free and open market The issuer must notify the Exchange 100 Index; and (ii) surveillance by the and, in general, to protect investors and of any failure by the Fund to comply Exchange, other options exchanges, and the public interest. with the continued listing requirements, FINRA designed to detect violations of The Exchange believes that the and, pursuant to its obligations under the federal securities laws and SRO proposed rule change is designed to Section 19(g)(1) of the Act, the Exchange rules. The Exchange has in place a prevent fraudulent and manipulative will monitor for compliance with the surveillance program for transactions in acts and practices, to promote just and continued listing requirements. If the equitable principles of trade, to foster 21 Fund is not in compliance with the As noted above, the Exchange is submitting this cooperation and coordination with proposal because the Fund does not meet the applicable listing requirements, the persons engaged in facilitating requirements of Rule 14.11(i)(4)(C)(iv)(b) [sic] Exchange will commence delisting which prevents the aggregate gross notional value transactions in securities, to remove of listed derivatives based on any single underlying procedures under NYSE Arca Rule 5.5– impediments to and perfect the E(m). reference asset from exceeding 30% of the weight mechanism of a free and open market of the portfolio (including gross notional exposures) and a national market system and, in and the aggregate gross notional value of listed 19 FINRA conducts cross-market surveillances on general, to protect investors and the derivatives based on any five or fewer underlying behalf of the Exchange pursuant to a regulatory reference assets from exceeding 65% of the weight services agreement. The Exchange is responsible for public interest in that the Shares will of the portfolio (including gross notional FINRA’s performance under this regulatory services exposures). agreement. 20 15 U.S.C. 78f(b)(5). 22 See note 12, supra.

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ETFs to ensure the availability of The Exchange represents that, except A proposed rule change filed under information necessary to detect and as described above, the Fund will meet Rule 19b–4(f)(6) 25 normally does not deter potential manipulations and other and be subject to all other requirements become operative prior to 30 days after trading abuses. Further, the Exchange of the Generic Listing Standards and the date of the filing. However, pursuant believes that because the Nasdaq-100 other applicable continued listing to Rule 19b4(f)(6)(iii),26 the Commission Index Options in the Fund’s portfolio requirements for Managed Fund Shares may designate a shorter time if such will be acquired in highly regulated under Rule 8.600–E, including those action is consistent with the protection markets, manipulation of Nasdaq-100 requirements regarding the Disclosed of investors and the public interest. The Index Options would be discouraged Portfolio, Portfolio Indicative Value, Exchange has asked the Commission to and that any potential manipulation suspension of trading or removal, waive the 30-day operative delay so that would be more easily identified. trading halts, disclosure, and firewalls. the proposal may become operative The Exchange or FINRA, on behalf of The Trust is required to comply with immediately upon filing. The Fund is Rule 10A–3 under the Act for the initial the Exchange, or both, will seeking an exception from the generic communicate as needed regarding and continued listing of the Shares of listing requirements of Commentary trading in the Shares, options and ETFs the Fund. .01(d)(2) to Rule 8.600–E similar to with other markets and other entities For the above reasons, the Exchange exceptions sought by other exchange- that are members of the ISG, and the believes that the proposed rule change Exchange or FINRA, on behalf of the traded funds with exposure to a single is consistent with the requirements of underlying reference asset, and which Exchange, or both, may obtain trading Section 6(b)(5) of the Act. information regarding trading in such have been approved by the securities and financial instruments B. Self-Regulatory Organization’s Commission.27 The Exchange also notes from such markets and other entities. Statement on Burden on Competition that the underlying Nasdaq-100 Index The Exchange may obtain information Options will be acquired in liquid and The Exchange does not believe that regarding trading in such securities and highly regulated markets, which may the proposed rule change will impose financial instruments from markets and protect against market manipulation of any burden on competition that is not other entities that are members of ISG or such options. Therefore, the necessary or appropriate in furtherance with which the Exchange has in place Commission believes that the proposal of the purpose of the Act. The Exchange a comprehensive surveillance sharing does not raise new or novel issues, and notes that the proposed rule change will agreement. In addition, the Exchange that waiver of the 30-day operative permit the listing and trading of an also has a general policy prohibiting the delay would permit the Fund to list and additional type of Managed Fund Shares distribution of material, non-public that holds U.S. exchange-traded options trade without undue delay. For these information by its employees. and that will enhance competition reasons, the Commission hereby waives As noted above, Nasdaq-100 Index among market participants, to the the 30-day operative delay requirement Options are liquid and derive their benefit of investors and the marketplace. and designates the proposed rule change value from the actively traded Nasdaq- as operative upon filing.28 100 Index components. The Exchange C. Self-Regulatory Organization’s At any time within 60 days of the believes the highly regulated options Statement on Comments on the filing of such proposed rule change, the markets and the broad base and scope Proposed Rule Change Received From Commission summarily may of the Nasdaq-100 Index make securities Members, Participants, or Others that derive their value from the Nasdaq- temporarily suspend such rule change if 100 Index would discourage market No written comments were solicited it appears to the Commission that such manipulation in view of market or received with respect to the proposed action is necessary or appropriate in the capitalization and liquidity of the rule change. public interest, for the protection of investors, or otherwise in furtherance of Nasdaq-100 Index components, price III. Date of Effectiveness of the the purposes of the Act. If the and quote transparency, and arbitrage Proposed Rule Change and Timing for Commission takes such action, the opportunities, and that any potential Commission Action manipulation would be more easily Commission shall institute proceedings identified. The Exchange has filed the proposed to determine whether the proposed rule The Exchange believes that the rule change pursuant to Section change should be approved or liquidity of the markets for securities in 19(b)(3)(A)(iii) of the Act 23 and Rule disapproved. the Nasdaq-100 Index Options and other 19b–4(f)(6) thereunder.24 Because the IV. Solicitation of Comments related derivatives is sufficiently great proposed rule change does not: (i) to deter fraudulent or manipulative acts Significantly affect the protection of Interested persons are invited to associated with the Fund’s Shares price. investors or the public interest; (ii) submit written data, views, and The Exchange also believes that such impose any significant burden on arguments concerning the foregoing, liquidity is sufficient to support the competition; and (iii) become operative including whether the proposed rule creation and redemption mechanism. prior to 30 days from the date on which change is consistent with the Act. Coupled with the extensive surveillance it was filed, or such shorter time as the Comments may be submitted by any of programs of the SROs described above, Commission may designate, if the following methods: the Exchange does not believe that consistent with the protection of trading in the Fund’s Shares would investors and the public interest, the 25 present manipulation concerns. proposed rule change has become 17 CFR 240.19b–4(f)(6). 26 All of the options contracts held by effective pursuant to Section 19(b)(3)(A) 17 CFR 240.19b–4(f)(6)(iii). 27 the Fund will trade on markets that are of the Act and Rule 19b–4(f)(6)(iii) See supra note 12. 28 For purposes only of waiving the 30-day a member of ISG or affiliated with a thereunder. operative delay, the Commission also has member of ISG or with which the considered the proposed rule’s impact on Exchange has in place a comprehensive 23 15 U.S.C. 78s(b)(3)(A)(iii). efficiency, competition, and capital formation. See surveillance sharing agreement. 24 17 CFR 240.19b–4(f)(6). 15 U.S.C. 78c(f).

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Electronic Comments SECURITIES AND EXCHANGE Infrastructure and Real Assets Fund, LLC, KFH Strategic Private Investments, • COMMISSION Use the Commission’s internet L.P., KGT Strategic Private Investments, comment form (http://www.sec.gov/ [Investment Company Act Release No. L.P., Pantheon Real Assets 33687; File No. 812–14626–01] rules/sro.shtml); or Opportunities Fund, L.P., Pantheon/VA • Send an email to rule-comments@ AMG Pantheon Master Fund, LLC, et NRP, LP, Pantheon Global Infrastructure sec.gov. Please include File Number SR– al. EUR Investments Unit Trust, Pantheon NYSEArca–2019–82 on the subject line. Global Infrastructure USD Investments November 18, 2019. Unit Trust, Pantheon Global Paper Comments AGENCY: Securities and Exchange Infrastructure Investments Fund Commission (‘‘Commission’’). (Cayman) LP, PGIF III Co-mingled Fund, • Send paper comments in triplicate ACTION: Notice. L.P., VA-Pantheon Infrastructure II, LP, to: Secretary, Securities and Exchange Pantheon G Infrastructure Opportunities Commission, 100 F Street NE, Notice of application for an order LP, Amalienborg Vintage Infrastructure Washington, DC 20549–1090. under section 17(d) of the Investment K/S, Global Infrastructure 2015–K All submissions should refer to File Company Act of 1940 (the ‘‘Act’’) and Holdings, L.P., Pantheon Global Co- Number SR–NYSEArca–2019–82. This rule 17d–1 under the Act to permit Investment Opportunities Fund, L.P., file number should be included on the certain joint transactions otherwise Pantheon Global Co-Investment subject line if email is used. To help the prohibited by section 17(d) of the Act Opportunities Fund II (Sidecar), L.P., and rule 17d–1 under the Act. Commission process and review your Pantheon Global Secondary Holdings, comments more efficiently, please use SUMMARY OF APPLICATION: Applicants L.P., Pantheon Global Secondary only one method. The Commission will request an order to permit closed-end Holdings II, L.P., Pantheon GT Holdings, L.P., Pantheon HO Holdings, post all comments on the Commission’s management investment companies to co-invest in portfolio companies with L.P., SCERS SIRF (Holdings), LLC, internet website (http://www.sec.gov/ each other and with certain affiliated Pantheon Multi-Strategy Primary rules/sro.shtml). Copies of the investment funds. Program 2014, L.P., Pantheon Multi- submission, all subsequent APPLICANTS: AMG Pantheon Master Strategy Secondary Program 2014, L.P., amendments, all written statements Pantheon Multi-Strategy Co-Investment with respect to the proposed rule Fund, LLC (the ‘‘Existing Registered Fund’’ or the ‘‘Fund’’), AMG Pantheon Program 2014, L.P., Pantheon Access change that are filed with the Subsidiary Fund, LLC (the ‘‘Wholly- Primary Program, L.P., Pantheon Access Commission, and all written Owned Subsidiary’’), Pantheon Secondary Program, L.P., Pantheon communications relating to the Ventures (US) LP, Pantheon Ventures Access Co-Investment Program, L.P., proposed rule change between the (UK) LLP (individually or collectively, Pantheon Strategic Investments A, L.P., Commission and any person, other than ‘‘Pantheon’’), Pantheon Asia Fund VI, Pantheon G Infrastructure Holdings LP, those that may be withheld from the L.P., Pantheon Emerging Asia Fund VI, BVK Private Equity 2018, L.P., Lincoln public in accordance with the L.P., Pantheon Emerging Markets Fund Brook Opportunities Fund, L.P., provisions of 5 U.S.C. 552, will be (Ex-Asia), L.P., Pantheon Global Pantheon Global Infrastructure Fund II available for website viewing and Infrastructure Fund II, L.P., Pantheon (Luxembourg) SCSP, Pantheon Access printing in the Commission’s Public Global Secondary Fund IV, L.P., (Luxembourg) SLP SICAV SIF, Pantheon Reference Room, 100 F Street NE, Pantheon Global Secondary Fund V, Multi-Strategy Program 2014 Washington, DC 20549 on official L.P., Pantheon USA Fund VIII, L.P., (Luxembourg) SLP SICAV SIF, PGCO IV business days between the hours of Pantheon USA Fund IX, L.P., Pantheon Co-Mingled Fund SCSP, ASGA Global 10:00 a.m. and 3:00 p.m. Copies of the USA Small Funds Program IX, L.P., Infrastructure L.P., CPEG-Pantheon filing also will be available for Pantheon Global Co-Investment Infrastructure L.P., Solutio Premium inspection and copying at the principal Opportunities Fund II, L.P., Pantheon Private Equity VI Master SCSP, Solutio office of the Exchange. All comments Global Co-Investment Opportunities Premium Private Equity VII Master received will be posted without change. Fund III, L.P., Pantheon Access (US), SCSP, Solutio Premium Private Debt I Persons submitting comments are L.P., Pantheon Access (ERISA), L.P., SCSP and Pantheon Global Secondary Fund VI SCSP (the ‘‘Existing Affiliated cautioned that we do not redact or edit Pantheon Multi-Strategy Program 2014 Funds,’’ and together with the Existing personal identifying information from (US), L.P., Pantheon Multi-Strategy Registered Fund, the Wholly-Owned comment submissions. You should Program 2014 (ERISA), L.P., BVK Private Equity 2011, L.P., BVK Private Subsidiary and Pantheon, the submit only information that you wish ‘‘Applicants’’). to make available publicly. All Equity 2014, L.P., Industriens Vintage FILING DATES: The application was filed submissions should refer to File Infrastructure, L.P., Industriens Vintage Infrastructure II, L.P., Pantheon Global on March 15, 2016, and amended on Number SR–NYSEArca–2019–82 and Secondary Fund IV OPERS, L.P., December 29, 2017, December 27, 2018, should be submitted on or before Pantheon Global GT Fund, L.P., September 5, 2019 and October 30, December 13, 2019. Pantheon Global HO Fund, L.P., 2019. For the Commission, by the Division of Pantheon Global Secondary Fund IV HEARING OR NOTIFICATION OF HEARING: Trading and Markets, pursuant to delegated KSA, L.P., Pantheon Global Real Assets An order granting the requested relief authority.29 GT Fund, L.P., Pantheon Global Real will be issued unless the Commission Jill M. Peterson, Assets HO Fund, L.P., Global orders a hearing. Interested persons may Assistant Secretary. Infrastructure 2015–K, L.P., Pantheon request a hearing by writing to the [FR Doc. 2019–25320 Filed 11–21–19; 8:45 am] Global Infrastructure Fund II NPS, L.P., Commission’s Secretary and serving Pantheon Global Infrastructure Fund III applicants with a copy of the request, BILLING CODE 8011–01–P NPS, L.P., Psagot-Pantheon 1, L.P., personally or by mail. Hearing requests Sacramento County Employees’ should be received by the Commission 29 17 CFR 200.30–3(a)(12). Retirement System Secondary by 5:30 p.m. on December 12, 2019, and

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should be accompanied by proof of 2. Each of the Existing Affiliated 6. Applicants state that a Registered service on applicants, in the form of an Funds would be an investment Fund may, from time to time, form one affidavit or, for lawyers, a certificate of company but for section 3(c)(1) or or more Wholly-Owned Investment service. Pursuant to rule 0–5 under the 3(c)(7) of the Act. Subsidiaries.6 Such a subsidiary would Act, hearing requests should state the 3. Pantheon Ventures (US) LP is a be prohibited from investing in a Co- nature of the writer’s interest, any facts limited partnership organized under the Investment Transaction with any Co- bearing upon the desirability of a laws of the State of Delaware and is Investment Affiliate because it would be hearing on the matter, the reason for the registered with the Commission as an a company controlled by its parent request, and the issues contested. investment adviser under the Advisers Registered Fund for purposes of rule Persons who wish to be notified of a Act. Affiliated Managers Group, Inc. 17d–1 under the Act. Applicants request hearing may request notification by (‘‘AMG’’), a publicly-traded company, that a Wholly-Owned Investment writing to the Commission’s Secretary. indirectly owns a majority of the Subsidiary be permitted to participate in ADDRESSES: Secretary, U.S. Securities interests of Pantheon Ventures (US) LP. Co-Investment Transactions in lieu of its and Exchange Commission, 100 F St. Pantheon Ventures (US) LP serves as the parent Registered Fund and that the NE, Washington, DC 20549–1090. investment adviser to the Existing Wholly-Owned Investment Subsidiary’s Applicants: 600 Steamboat Road, Suite Registered Fund pursuant to an participation in any such transaction be 300, Greenwich, CT 06830. investment advisory agreement and as treated, for purposes of the Order, as FOR FURTHER INFORMATION CONTACT: the investment adviser of many of the though the parent Registered Fund were Bruce R. MacNeil, Senior Counsel, at Existing Unregistered Funds. participating directly. Applicants (202) 551–6817, or Kaitlin C. Bottock, 4. Pantheon Ventures (UK) LLP is a represent that this treatment is justified Branch Chief, at (202) 551–6825 limited liability partnership organized because a Wholly-Owned Investment (Division of Investment Management, under the laws of England and Wales Subsidiary would have no purpose Chief Counsel’s Office). and is an exempt reporting adviser other than serving as a holding vehicle under the Advisers Act. AMG indirectly for the Registered Fund’s investments SUPPLEMENTARY INFORMATION: The owns a majority of the interests of following is a summary of the and, therefore, no conflicts of interest Pantheon Ventures (UK) LLP. Pantheon could arise between the Registered Fund application. The complete application Ventures (UK) LLP serves as the may be obtained via the Commission’s and the Wholly-Owned Investment investment adviser of many of the Subsidiary. The Registered Fund’s website by searching for the file Existing Unregistered Funds. number, or for an applicant using the Board would make all relevant 5. Applicants seek an order (‘‘Order’’) determinations under the conditions Company name box, at http:// to permit a Registered Fund and one or www.sec.gov/search/search.htm or by with regard to a Wholly-Owned more other Registered Funds and/or Investment Subsidiary’s participation in calling (202) 551–8090. 4 Unregistered Funds (collectively ‘‘Co- a Co-Investment Transaction, and the Applicants’ Representations Investment Affiliates’’) to (a) participate Registered Fund’s Board would be in the same investment opportunities 1. The Existing Registered Fund 1 is a informed of, and take into through a proposed co-investment Delaware limited liability company that consideration, any proposed use of a program in circumstances where such is registered as a closed-end Wholly-Owned Investment Subsidiary participation would otherwise be management investment company in the Registered Fund’s place. If the prohibited under Section 17 of the Act under the Act. The Fund’s investment Registered Fund proposes to participate and (B) make additional investments in objective is to seek long-term capital in the same Co-Investment Transaction securities of such issuers, including appreciation by investing in private with any of its Wholly-Owned through the exercise of warrants, equity investments. The board of Investment Subsidiaries, the Board will conversion privileges and other rights to directors of the Fund (the ‘‘Board’’) 2 is also be informed of, and take into purchase securities of the issuers currently comprised of four members, consideration, the relative participation (‘‘Follow-On Investments’’). ‘‘Co- three of whom are not ‘‘interested of the Registered Fund and the Wholly- Investment Transaction’’ means any persons’’ within the meaning of Section Owned Investment Subsidiary. transaction in which a Registered Fund 2(a)(19) of the 1940 Act (the (or its Wholly-Owned Investment 7. When considering Potential Co- ‘‘Independent Directors’’),3 of the Fund. Subsidiary, as defined below) Investment Transactions for any Registered Fund, an Investment Adviser 1 The Existing Registered Fund and any Future participate with one or more Co- Registered Fund are referred to collectively as the Investment Affiliates in reliance on the will consider only the Objectives and ‘‘Registered Funds.’’ The term ‘‘Future Registered Order. ‘‘Potential Co-Investment Fund’’ means any closed-end management Transaction’’ means any investment on the Order will comply with the terms and investment company (a) that is registered under the opportunity in which a Regulated Fund conditions of the Application. Act, (b) whose investment adviser is an Investment 6 The term ‘‘Wholly-Owned Investment Adviser (defined below), and (c) that intends to (or its Wholly-Owned Investment Subsidiary’’ means any entity: (i) That is wholly- participate in Co-Investment Transactions (defined Subsidiaries) could not participate owned by a Registered Fund (with such Registered below). The term ‘‘Investment Adviser’’ means (a) together with one or more Co- Fund at all times holding, beneficially and of Pantheon and (b) any future investment adviser that record, 100% of the voting and economic interests); controls, is controlled by or is under common Investment Affiliates without obtaining 5 (ii) whose sole business purpose is to hold one or control with Pantheon and is registered as an and relying on the Order. more investments on behalf of such Registered investment adviser or is an exempt reporting Fund; (iii) with respect to which the Board of such adviser under the Investment Advisers Act of 1940, 4 ‘‘Unregistered Funds’’ means (a) the Existing Registered Fund has the sole authority to make all as amended (the ‘‘Advisers Act’’). Unregistered Funds and (b) any future entity (i) determinations with respect to the entity’s 2 The term ‘‘Board’’ means the board of directors whose investment adviser is an Investment Adviser, participation under the conditions of this of the Existing Registered Fund as well as the board (ii) that would be an investment company but for Application; and (iv) that would be an investment of directors or trustees of any Future Registered Section 3(c)(1) or 3(c)(7) of the Act, and (iii) that company but for Section 3(c)(1) or 3(c)(7) of the Act. Fund. intends to participate in Co-Investment The Wholly-Owned Subsidiary is a Wholly-Owned 3 The ‘‘Independent Directors’’ means the Transactions. Investment Subsidiary, and any subsidiary of a members of a Board who are not ‘‘interested 5 All existing entities that currently intend to rely Registered Fund that participates in a Co- persons’’ of a Registered Fund within the meaning on the requested Order have been named as Investment Transaction will be a Wholly-Owned of Section 2(a)(19) of the 1940 Act. Applicants, and any entity that subsequently relies Investment Subsidiary.

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Strategies,7 investment restrictions, Affiliate and a Registered Fund and company’s participation in the joint regulatory and tax requirements, capital each Affiliated Account in such transaction is consistent with the available for investment (‘‘Available disposition is proportionate to its provisions, policies, and purposes of the Capital’’),8 and other pertinent factors outstanding investments in the issuer Act and the extent to which such applicable to the Registered Fund. Each immediately preceding the disposition participation is on a basis different from Investment Adviser, as applicable, or Follow-On Investment, as the case or less advantageous than that of other undertakes to perform these duties may be; and (ii) the Board has approved participants. consistently for each Registered Fund, the Registered Fund’s participation in 2. Applicants state that they expect as applicable, regardless of which of pro rata dispositions and Follow-On that participation in Potential Co- them serves as investment advisers to Investments as being in the best Investment Transactions by any of the these entities. The participation of a interests of the Registered Fund. If the Registered Funds and the Co-Investment Registered Fund in a Potential Co- Board does not so approve, any such Affiliates may increase favorable Investment Transaction may only be disposition or Follow-On Investment investment opportunities for the approved by a Required Majority 9 of the will be submitted to the Eligible Registered Funds and the Co-Investmant directors eligible to vote on that Co- Directors. The Board may at any time Affiliates. The conditions are designed Investment Transaction (the ‘‘Eligible rescind, suspend or qualify its approval to ensure that the Investment Advisers Directors’’).10 Due to the similarity in of pro rata dispositions and Follow-On would not be able to favor a Co- Objectives and Strategies of certain Investments with the result that all Investment Affiliate over a Registered Registered Funds with the investment dispositions and/or Follow-On Fund through the allocation of objectives, policies and strategies of Investments must be submitted to the investment opportunities between them. certain Co-Investment Affiliates, the Eligible Directors. Applicants state that the Regulated Investment Adviser expects that 10. No Independent Director of any Fund’s participation in the Co- investments for a Registered Fund Registered Fund will have a direct or Investment Transactions will be should also generally be appropriate indirect financial interest in any Co- consistent with the provisions, policies, investments for one or more other Co- Investment Transaction (other than and purposes of the Act and on a basis Investment Affiliates. indirectly through share ownership in that is not different from, or less 8. With respect to participation in a one of the Registered Funds), including advantageous than, the other Potential Co-Investment Transaction by any interest in any issuer whose participants. a Registered Fund, the applicable securities would be acquired in a Co- Applicants’ Conditions Investment Adviser will present each Investment Transaction. Potential Co-Investment Transaction 11. If the Investment Adviser, the Applicants agree that any Order and the proposed allocation of each principal owners of the Investment granting the requested relief shall be investment opportunity to the Eligible Adviser (‘‘Principals’’), or any person subject to the following conditions: Directors. The Required Majority of a controlling, controlled by, or under 1. Each time an Investment Adviser Registered Fund will approve each Co- common control with the Investment considers a Potential Co-Investment Investment Transaction prior to any Adviser or the Principals, and the Co- Transaction for an Unregistered Fund or investment by the Registered Fund. Investment Affiliates (collectively, the another Registered Fund that falls 9. With respect to the pro rata ‘‘Holders’’) own in the aggregate more within a Registered Fund’s then-current dispositions and Follow-On Investments than 25 percent of the outstanding Objectives and Strategies, the provided in conditions 7 and 8, a voting shares of a Registered Fund (the Investment Adviser to the Registered Registered Fund may participate in a ‘‘Shares’’), then the Holders will vote Fund will make an independent pro rata disposition or Follow-On such Shares as required under the determination of the appropriateness of Investment without obtaining prior condition 14. Applicants believe that the investment for such Registered Fund approval of the Required Majority if, this condition will ensure that the in light of the Registered Fund’s then- among other things: (i) The proposed Independent Directors will act current circumstances. participation of each Co-Investment independently in evaluating the Co- 2.(a). If the Investment Adviser to a Investment Transactions, because the Registered Fund deems the Registered 7 ‘‘Objectives and Strategies’’ means the ability of the Investment Adviser or the Fund’s participation in any Potential investment objectives and strategies of the Principals to influence the Independent Co-Investment Transaction to be Registered Funds, as described in the Registered appropriate for the Registered Fund, it Funds’ registration statements on Form N–2, other Directors by a suggestion, explicit or filings the Registered Funds have made with the implied, that the Independent Directors will then determine an appropriate level Commission under the Securities Act of 1933 can be removed will be limited of investment for the Registered Fund. (‘‘Securities Act’’) or under the Securities Exchange significantly. The Independent Directors (b). If the aggregate amount Act of 1934, as amended, and the Registered Funds’ recommended by the applicable reports to shareholders. shall evaluate and approve the 8 ‘‘Available Capital’’ will be determined based on independent third party, taking into Investment Adviser to be invested by the amount of cash on hand, existing commitments account its qualifications, reputation for the applicable Registered Fund in the and reserves, if any, the targeted leverage level, independence, cost to the investors, and Potential Co-Investment Transaction, targeted asset mix and other investment policies other factors that they deem relevant. together with the amount proposed to be and restrictions set from time to time by the Board invested by the other participating of the applicable Registered Fund or imposed by Applicants’ Legal Analysis applicable laws, rules, regulations or Registered Funds and Unregistered interpretations. 1. Section 17(d) of the Act and rule Funds, collectively, in the same 9 ‘‘Required Majority’’ has the meaning provided 17d–1 under the Act prohibit affiliated transaction, exceeds the amount of the in Section 57(o) of the 1940 Act. The Board members of a Registered Fund that make up the persons of a registered investment investment opportunity, the amount of Required Majority will be determined as if the company from participating in joint the investment opportunity will be Registered Fund was a was a business development transactions with the company unless allocated among them pro rata based on company subject to section 57(o) (‘‘BDC’’). the Commission has granted an order each participant’s Available Capital for 10 The term ‘‘Eligible Directors’’ means the permitting such transactions. In passing investment in the asset class being directors who are eligible to vote under Section 57(o) of the 1940 Act as if the Registered Fund was upon applications under rule 17d–1, the allocated, up to the amount proposed to a BDC. Commission considers whether the be invested by each. The applicable

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Investment Adviser will provide the director or the information received by 5. Except for Follow-On Investments Eligible Directors of each participating such board observer or obtained through made in accordance with condition 8,11 Registered Fund with information the exercise of any similar right to a Registered Fund will not invest in concerning each participating party’s participate in the governance or reliance on the Order in any issuer in Available Capital to assist the Eligible management of the portfolio company; which another Registered Fund, Directors with their review of the and Unregistered Fund, or any affiliated Registered Fund’s investments for (C). any fees or other compensation person of another Registered Fund or compliance with these allocation that any Unregistered Fund or any Unregistered Fund is an existing procedures. Registered Fund or any affiliated person investor. (c). After making the determinations of any Unregistered Fund or any 6. A Registered Fund will not required in conditions 1 and 2(a), the Registered Fund receives in connection participate in any Potential Co- applicable Investment Adviser will with the right of an Unregistered Fund Investment Transaction unless the distribute written information or a Registered Fund to nominate a terms, conditions, price, class of concerning the Potential Co-Investment director or appoint a board observer or securities to be purchased, settlement Transaction, including the amount otherwise to participate in the date, and registration rights will be the proposed to be invested by each governance or management of the same for each participating Registered participating Registered Fund and portfolio company will be shared Fund and Unregistered Fund. The grant Unregistered Fund, to the Eligible proportionately among the participating to an Unregistered Fund or another Directors of each participating Unregistered Funds (who each may, in Registered Fund, but not the Registered Registered Fund for their consideration. turn, share its portion with its affiliated Fund, of the right to nominate a director A Registered Fund will co-invest with persons) and the participating for election to a portfolio company’s one or more other Registered Funds Registered Funds in accordance with board of directors, the right to have an and/or one or more Unregistered Funds the amount of each party’s investment; observer on the board of directors or only if, prior to the Registered Fund’s and similar rights to participate in the participation in the Potential Co- governance or management of the (iv). the proposed investment by the Investment Transaction, a Required portfolio company will not be Registered Fund will not benefit the Majority concludes that: interpreted so as to violate this Investment Advisers, the Unregistered (i). The terms of the Potential Co- condition 6, if conditions 2(c)(iii)(A), (B) Funds or the other Registered Funds or Investment Transaction, including the and (C) are met. any affiliated person of any of them consideration to be paid, are reasonable 7.(a). If any Unregistered Fund or any (other than the parties to the Co- and fair to the Registered Fund and its Registered Fund elects to sell, exchange Investment Transaction), except shareholders and do not involve or otherwise dispose of an interest in a overreaching in respect of the Registered (A). to the extent permitted by security that was acquired in a Co- Fund or its shareholders on the part of condition 13, Investment Transaction, the applicable any person concerned; (B). to the extent permitted by Section Investment Adviser will: (ii). the Potential Co-Investment 17(e) of the Act, as applicable, (i). Notify each Registered Fund that Transaction is consistent with: participated in the Co-Investment (A). The interests of the shareholders (C). indirectly, as a result of an interest in the securities issued by one Transaction of the proposed disposition of the Registered Fund; and at the earliest practical time; and (B). the Registered Fund’s then- of the parties to the Co-Investment (ii). formulate a recommendation as to current Objectives and Strategies; Transaction, or participation by each Registered Fund (iii). the investment by any other (D). in the case of fees or other Registered Funds or Unregistered Funds in the disposition. compensation described in condition (b). Each Registered Fund will have would not disadvantage the Registered 2(c)(iii)(C). the right to participate in such Fund, and participation by the 3. Each Registered Fund has the right disposition on a proportionate basis, at Registered Fund would not be on a basis to decline to participate in any Potential the same price and on the same terms different from or less advantageous than Co-Investment Transaction or to invest and conditions as those applicable to that of other Registered Funds or less than the amount proposed. the participating Unregistered Funds Unregistered Funds; provided, that if and Registered Funds. any other Registered Fund or 4. The applicable Investment Adviser (c). A Registered Fund may Unregistered Fund, but not the will present to the Board of each participate in such disposition without Registered Fund itself, gains the right to Registered Fund, on a quarterly basis, a obtaining prior approval of the Required nominate a director for election to a record of all investments in Potential Majority if: portfolio company’s board of directors Co-Investment Transactions made by (i). The proposed participation of each or the right to have a board observer or any of the other Registered Funds or Registered Fund and each Unregistered any similar right to participate in the Unregistered Funds during the Fund in such disposition is governance or management of the preceding quarter that fell within the proportionate to its outstanding portfolio company, such event shall not Registered Fund’s then-current investments in the issuer immediately be interpreted to prohibit the Required Objectives and Strategies that were not preceding the disposition; Majority from reaching the conclusions made available to the Registered Fund, (ii). the Board of the Registered Fund required by this condition (2)(c)(iii), if: and an explanation of why the (A). The Eligible Directors will have investment opportunities were not has approved as being in the best the right to ratify the selection of such offered to the Registered Fund. All interests of the Registered Fund the director or board observer or information presented to the Board ability to participate in such participant, if any; pursuant to this condition will be kept dispositions on a pro rata basis (as (B). the applicable Investment Adviser for the life of the Registered Fund and 11 agrees to, and does, provide periodic at least two years thereafter, and will be This exception applies only to Follow-On subject to examination by the Investments by a Registered Fund in issuers in reports to the Registered Fund’s Board which that Registered Fund already holds with respect to the actions of such Commission and its staff. investments.

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described in greater detail in the the applicable Registered Fund in the Unregistered Funds in proportion to the application); and Follow-On Investment, together with relative amounts of the securities held (iii). the Board of the Registered Fund the amount proposed to be invested by or to be acquired or disposed of, as the is provided on a quarterly basis with a the other participating Registered Funds case may be. list of all dispositions made in and Unregistered Funds, collectively, in 13. Any transaction fee 12 (including accordance with this condition. In all the same transaction, exceeds the break-up or commitment fees but other cases, the Investment Adviser will amount of the investment opportunity, excluding broker’s fees contemplated by provide its written recommendation as then amount invested by each such Section 17(e) of the Act, as applicable), to the Registered Fund’s participation to party will be allocated among them pro received in connection with a Co- the Eligible Directors, and the rata based on each participant’s Investment Transaction will be Registered Fund will participate in such Available Capital for investment in the distributed to the participating disposition solely to the extent that a asset class being allocated, up to the Registered Funds and Unregistered Required Majority determines that it is amount proposed to be invested by Funds on a pro rata basis based on the in the Registered Fund’s best interests. each. amounts they invested or committed, as (d). Each Unregistered Fund and each (d). The acquisition of Follow-On the case may be, in such Co-Investment Registered Fund will bear its own Investments as permitted by this Transaction. If any transaction fee is to expenses in connection with any such condition will be considered a Co- be held by an Investment Adviser disposition. Investment Transaction for all purposes pending consummation of the 8.(a). If any Unregistered Fund or any and subject to the other conditions set transaction, the fee will be deposited Registered Fund desires to make a forth in the application. into an account maintained by such Follow-On Investment in a portfolio 9. The Independent Directors of each Investment Adviser at a bank or banks company whose securities were Registered Fund will be provided having the qualifications prescribed in acquired in a Co-Investment quarterly for review all information Section 26(a)(1) of the Act, and the Transaction, the applicable Investment concerning Potential Co-Investment account will earn a competitive rate of Adviser will: Transactions and Co-Investment interest that will also be divided pro (i). Notify each Registered Fund that Transactions, including investments rata among the participating Registered participated in the Co-Investment made by other Registered Funds or Funds and Unregistered Funds based on Transaction of the proposed transaction Unregistered Funds that the Registered the amounts they invest in such Co- at the earliest practical time; and Fund considered but declined to Investment Transaction. None of the (ii). formulate a recommendation as to participate in, so that the Independent Unregistered Funds, the Investment the proposed participation, including Directors may determine whether all Advisers, the other Registered Funds or the amount of the proposed Follow-On investments made during the preceding any affiliated person of the Registered Investment, by each Registered Fund. quarter, including those investments Funds or Unregistered Funds will (b). A Registered Fund may that the Registered Fund considered but receive additional compensation or participate in such Follow-On declined to participate in, comply with remuneration of any kind as a result of Investment without obtaining prior the conditions of the Order. In addition, or in connection with a Co-Investment the Independent Directors will consider approval of the Required Majority if: Transaction (other than (a) in the case (i). The proposed participation of each at least annually the continued of the Registered Funds and the Registered Fund and each Unregistered appropriateness for the Registered Fund Unregistered Funds, the pro rata Fund in such investment is of participating in new and existing Co- transaction fees described above and proportionate to its outstanding Investment Transactions. fees or other compensation described in investments in the issuer immediately 10. Each Registered Fund will condition 2(c)(iii)(C); and (b) in the case preceding the Follow-On Investment; maintain the records required by of an Investment Adviser, investment and Section 57(f)(3) of the Act as if each of advisory fees paid in accordance with (ii). the Board of the Registered Fund the Registered Funds were a business the agreement between the Investment has approved as being in the best development company and each of the Adviser and the Registered Fund or interests of the Registered Fund the investments permitted under these Unregistered Fund). ability to participate in Follow-On conditions were approved by the 14. If the Holders own in the aggregate Investments on a pro rata basis (as Required Majority under Section 57(f) of more than 25% of the Shares of a described in greater detail in the the Act. Registered Fund, then the Holders will application). In all other cases, the 11. No Independent Director of a vote such Shares as directed by an Investment Adviser will provide its Registered Fund will also be a director, independent third party when voting on written recommendation as to the general partner, managing member or (1) the election of directors; (2) the Registered Fund’s participation to the principal, or otherwise an ‘‘affiliated removal of one or more directors; or (3) Eligible Directors, and the Registered person’’ (as defined in the Act) of an any other matter under either the Act or Fund will participate in such Follow-On Unregistered Fund. applicable State law affecting the Investment solely to the extent that a 12. The expenses, if any, associated Board’s composition, size or manner of Required Majority determines that it is with acquiring, holding or disposing of any securities acquired in a Co- election. in the Registered Fund’s best interests. 15. Each Registered Fund’s chief (c). If, with respect to any Follow-On Investment Transaction (including, compliance officer, as defined in Rule Investment: without limitation, the expenses of the (i). The amount of the opportunity is distribution of any such securities 38a–1(a)(4) of the Act, will prepare an not based on the Registered Funds’ and registered for sale under the Securities annual report for its Board that the Unregistered Funds’ outstanding Act) will, to the extent not payable by evaluates (and documents the basis of investments immediately preceding the the Investment Advisers under their that evaluation) the Registered Fund’s Follow-On Investment; and respective investment advisory 12 agreements with Unregistered Funds Applicants are not requesting and the (ii). the aggregate amount Commission is not providing any relief for recommended by the applicable and the Registered Funds, be shared by transaction fees received in connection with any Investment Adviser to be invested by the Registered Funds and the Co-Investment Transaction.

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compliance with the terms and II. Self-Regulatory Organization’s likely be outside of the buffer amount conditions of the application and the Statement of the Purpose of, and above (below) the NBO (NBB) in procedures established to achieve such Statutory Basis for, the Proposed Rule anticipation of capturing rapidly compliance. Change increasing (decreasing) market prices. For the Commission, by the Division of In its filing with the Commission, the The primary purpose of the fat finger Investment Management, under delegated Exchange included statements check is to prevent limit orders from authority. concerning the purpose of and basis for executing at potentially erroneous Jill M. Peterson, the proposed rule change and discussed prices upon entry, because the limit prices are ‘‘too far away’’ from the then- Assistant Secretary. any comments it received on the proposed rule change. The text of these current NBBO. As noted above, a Stop [FR Doc. 2019–25308 Filed 11–21–19; 8:45 am] Limit Order is not intended to execute BILLING CODE 8011–01–P statements may be examined at the places specified in Item IV below. The upon entry. Currently, because a Stop Exchange has prepared summaries, set Limit Order does not ‘‘become’’ a limit order until activated, the limit order fat SECURITIES AND EXCHANGE forth in sections A, B, and C below, of finger check applies to a Stop Limit COMMISSION the most significant aspects of such statements. Order at the time the order is activated. As noted above, at that time, the limit [Release No. 34–87561; File No. SR– A. Self-Regulatory Organization’s price may cross the NBO, and thus may CboeBZX–2019–096] Statement of the Purpose of, and be cancelled due to the fat finger check Statutory Basis for, the Proposed Rule if the limit price crosses the NBO by Self-Regulatory Organizations; Cboe Change more than the buffer. Therefore, the BZX Exchange, Inc.; Notice of Filing manner in which the fat finger check and Immediate Effectiveness of a 1. Purpose cancels/rejects a Stop Limit Order may Proposed Rule Change Relating To The Exchange proposes to amend its conflict with the intended purpose of a Amend the Fat Finger Check in Rule fat finger check under Rule 21.17(b) as Stop Limit Order and a User’s control 21.17 as it Applies To Stop Limit it applies to Stop Limit Orders. over the time when and the price at Orders Currently, Rule 21.17(b) provides that if which it executes. For example, assume a User submits a buy (sell) limit order × November 18, 2019. that when the NBBO is 8.00 8.05, a to the System with a price that is more User submits a Stop Limit Order to buy Pursuant to Section 19(b)(1) of the than an Exchange-determined buffer at 9.25 and a stop price of 8.15 and the Securities Exchange Act of 1934 (the amount above (below) the NBO (NBB), Exchange has set the fat finger buffer to ‘‘Act’’),1 and Rule 19b–4 thereunder,2 the System will reject or cancel back to $1.00. Assume the NBBO then updates notice is hereby given that on November the User the limit order (i.e., the ‘‘fat to 8.15 × 8.20. The updated NBB equals 12, 2019, Cboe BZX Exchange, Inc. (the finger’’ check). This check applies to the stop price of the order will activate ‘‘Exchange’’ or ‘‘BZX’’) filed with the orders and quotes with a limit price the stop price of the Stop Limit Order, Securities and Exchange Commission with the exception of bulk messages.5 converting it into a limit order to buy at (the ‘‘Commission’’) the proposed rule The Exchange proposes to add Stop 9.25, which would be more than the fat change as described in Items I, and II Limit Orders to Rule 21.17(b) as an finger buffer of $1.00 above the current below, which Items have been prepared additional order type to which the fat NBO, thus canceled/rejected by the by the Exchange. The Exchange filed the finger check does not apply. A Stop System in accordance with the fat finger proposal as a ‘‘non-controversial’’ Limit Order is an order that becomes a check. The Exchange also notes that the proposed rule change pursuant to limit order when the stop price (selected System is currently able to apply only 3 Section 19(b)(3)(A)(iii) of the Act and by the User) is elected. A Stop Limit one buffer amount across multiple order 4 Rule 19b–4(f)(6) thereunder. The Order to buy is elected and becomes a types. Therefore, the Exchange would Commission is publishing this notice to buy limit order when the consolidated not be able to expand the buffer amount solicit comments on the proposed rule last sale in the option occurs at or to accommodate Stop Limit Orders change from interested persons. above, or the NBB is equal to or higher without potentially over-expanding the than, the specified stop price. A Stop I. Self-Regulatory Organization’s buffer amount for other limit orders that Limit Order to sell is elected and execute upon entry. Statement of the Terms of Substance of becomes a sell limit order when the the Proposed Rule Change The Exchange notes that a User’s Stop consolidated last sale in the option Limit Orders would still be subject to Cboe BZX Exchange, Inc. (the occurs at or below, or the NBO is equal other price protections already in place ‘‘Exchange’’ or ‘‘BZX Options’’) to or lower than, the specified stop on the Exchange. In particular, drill- proposes to amend the fat finger check price.6 Stop Limit Orders allow Users through price protections are in place in Rule 21.17 as it applies to Stop Limit increased control and flexibility over pursuant to Rule 21.17(d), such that, if Orders. The text of the proposed rule their transactions and the prices at a buy (sell) order would execute (i.e., change is provided in Exhibit 5. which they are willing to execute an when the stop price for a Stop Limit The text of the proposed rule change order. The purpose of a Stop Limit Order is activated), the System executes is also available on the Exchange’s Order is to not execute upon entry, and the order up to a buffer amount website (http://markets.cboe.com/us/ instead rest in the System until the (established by the Exchange) above equities/regulation/rule_filings/bzx/), at market reaches a certain price level, at (below) the NBO (NBB) that existed at the Exchange’s Office of the Secretary, which time the order could be executed. the time of order entry (‘‘the drill- and at the Commission’s Public As such, when a buy (sell) Stop Limit through price’’). Reference Room. Order is activated, its limit price may The Exchange believes that allowing a Stop Limit Order, once activated, with 5 The Exchange notes that a separate provision 1 a limit price outside of the NBBO 15 U.S.C. 78s(b)(1). governs a fat finger check specific to bulk messages. 2 17 CFR 240.19b–4. See Rule 21.17(f). (notwithstanding any fat finger buffer) 3 15 U.S.C. 78s(b)(3)(A)(iii). 6 See Rule 21.1(d)(12) (definition of Stop Limit to execute at that limit price (up to the 4 17 CFR 240.19b–4(f)(6). Order). drill-through buffer amount) is

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consistent with the intended purpose of volatility, by resting in the System until on the Exchange and applicable only to a Stop Limit Order. As stated, when a the market reaches a certain price level. trading on the Exchange. buy (sell) Stop Limit Order is activated, Thus, they are not intended to execute C. Self-Regulatory Organization’s its limit price is intended to be at a upon entry. Conversely, the primary Statement on Comments on the consequential amount above (below) the purpose of the fat finger check is to Proposed Rule Change Received From NBO (NBB) in order to capture rapidly prevent limit orders from executing at Members, Participants, or Others increasing (decreasing) trade prices, to potentially erroneous prices upon entry, which the NBBO would as rapidly track because the limit prices are ‘‘too far The Exchange neither solicited nor and reflect. To cancel or reject such away’’ from the then-current NBBO. By received comments on the proposed orders based on the NBBO at the time excluding Stop Limit Orders from the rule change. of its activation would inhibit Stop fat finger check, which would currently III. Date of Effectiveness of the Limit Orders from capturing favorable cancel/reject a Stop Limit Order if its Proposed Rule Change and Timing for trade prices as a result of a rapidly buy (sell) limit price was above (below) Commission Action shifting market. The Exchange further the NBO (NBB) upon activation of its notes that its affiliated exchange, Cboe stop limit price, the proposed rule Because the foregoing proposed rule Exchange, Inc. (‘‘Cboe Options’’), change removes impediments to and change does not: (i) Significantly affect recently submitted a rule filing that also perfects the mechanism of a free and the protection of investors or the public proposed to exclude Stop Limit Orders open market and national market system interest; (ii) impose any significant from its fat finger check, which function by allowing Users the control and burden on competition; and (iii) become in substantively the same manner as on flexibility to set the limit prices on Stop operative for 30 days from the date on the Exchange.7 Limit Orders so as to capture significant which it was filed, or such shorter time market fluctuations, which, as stated, as the Commission may designate, it has 2. Statutory Basis result in corresponding significant become effective pursuant to Section 11 The Exchange believes the proposed adjustments in the NBBO. Therefore, the 19(b)(3)(A) of the Act and Rule 19b– 12 rule change is consistent with the proposed rule change is designed to 4(f)(6) thereunder. Securities Exchange Act of 1934 (the protect investors by allowing their Stop A proposed rule change filed ‘‘Act’’) and the rules and regulations pursuant to Rule 19b–4(f)(6) under the Limit Orders to execute as intended 13 thereunder applicable to the Exchange without being canceled or rejected in Act normally does not become and, in particular, the requirements of operative for 30 days after the date of its connection with the NBBO that existed 14 Section 6(b) of the Act.8 Specifically, at the time of their activation, and filing. However, Rule 19b–4(f)(6)(iii) the Exchange believes the proposed rule instead to consider rapid price permits the Commission to designate a change is consistent with the Section movements and corresponding NBBO shorter time if such action is consistent 6(b)(5) 9 requirements that the rules of adjustments. The Exchange notes that with the protection of investors and the an exchange be designed to prevent the proposed rule change will not affect public interest. The Exchange has asked fraudulent and manipulative acts and the protection of investors or the the Commission to waive the 30-day practices, to promote just and equitable maintenance of a fair and orderly operative delay. The Exchange believes principles of trade, to foster cooperation market because the drill-through price that waiver of the operative delay is and coordination with persons engaged controls would apply to Stop Limit appropriate because, as the Exchange in regulating, clearing, settling, Orders when their stop prices are discussed above, excluding Stop Limit processing information with respect to, activated and they become limit orders. Orders from the fat finger check, which and facilitating transactions in would currently cancel/reject a Stop B. Self-Regulatory Organization’s Limit Order if its buy (sell) limit price securities, to remove impediments to Statement on Burden on Competition and perfect the mechanism of a free and was above (below) the NBO (NBB) upon open market and a national market The Exchange does not believe that activation of its stop limit price, will system, and, in general, to protect the proposed rule change will impose benefit market participants by ensuring investors and the public interest. any burden on competition that is not that they are able to use Stop Limit Additionally, the Exchange believes the necessary or appropriate in furtherance Orders to achieve their intended proposed rule change is consistent with of the purposes of the Act. The purpose. Thus, the Exchange believes the Section 6(b)(5) 10 requirement that proposed rule change will not impose that the proposed rule change is the rules of an exchange not be designed any burden on intramarket competition designed to protect investors by to permit unfair discrimination between that is not necessary or appropriate in allowing their Stop Limit Orders to customers, issuers, brokers, or dealers. furtherance of the purposes of the Act execute as intended without being In particular, the proposed rule because all Users’ Stop Limit Orders canceled or rejected due to the change benefits market participants by will be excluded from the fat finger application of the fat finger check ensuring that they are able to use Stop check in the same manner. Also, all provision. Limit Orders to achieve their intended Users’ Stop Limit Orders will continue The Commission believes that waiver purpose. As stated, Stop Limit Orders to be subject to other specific price of the 30-day operative delay is are intended to increase User price controls in place once their stop prices consistent with the protection of control and flexibility, particularly in are activated and they become limit 11 the face of price swings and market orders. The proposed rule change will 15 U.S.C. 78s(b)(3)(A). not impose any burden on intermarket 12 17 CFR 240.19b–4(f)(6). In addition, Rule 19b– 4(f)(6)(iii) requires a self-regulatory organization to 7 See Securities Exchange Act Release No. 87455 competition that that is not necessary or give the Commission written notice of its intent to (November 4, 2019), 84 FR 60461 (November 8, appropriate in furtherance of the file the proposed rule change, along with a brief 2019) (Notice of Filing and Immediate Effectiveness purposes of the Act because the description and text of the proposed rule change, of a Proposed Rule Change Relating To Amend the proposed change is merely designed to at least five business days prior to the date of filing Fat Finger Check in Rule 5.34 as It Applies to Stop- of the proposed rule change, or such shorter time Limit Orders) (SR–CBOE–2019–102). allow Users’ Stop Limit Orders to as designated by the Commission. The Exchange 8 15 U.S.C. 78f(b). execute in a manner that achieves their has satisfied this requirement. 9 15 U.S.C. 78f(b)(5). intended purpose by updating a price 13 17 CFR 240.19b–4(f)(6). 10 Id. protection mechanism already in place 14 17 CFR 240.19b–4(f)(6)(iii).

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investors and the public interest those that may be withheld from the effective upon filing with the because the proposal will permit Stop public in accordance with the Commission. The Commission is Limit Orders to execute as intended and provisions of 5 U.S.C. 552, will be publishing this notice to solicit not be inadvertently cancelled in certain available for website viewing and comments on the proposed rule change situation, as discussed above, by the fat printing in the Commission’s Public from interested persons. finger check provision. Therefore, the Reference Room, 100 F Street NE, I. Clearing Agency’s Statement of the Commission hereby waives the Washington, DC 20549, on official Terms of Substance of the Proposed operative delay and designates the business days between the hours of Rule Change, Security-Based Swap proposal as operative upon filing.15 10:00 a.m. and 3:00 p.m. Copies of the Submission, or Advance Notice At any time within 60 days of the filing also will be available for filing of the proposed rule change, the inspection and copying at the principal The principal purpose of the Commission summarily may office of the Exchange. All comments proposed amendments is for ICE Clear temporarily suspend such rule change if received will be posted without change. Europe to amend its Clearing Rules (the it appears to the Commission that such Persons submitting comments are ‘‘Rules’’) 5 and General Contact Terms in action is necessary or appropriate in the cautioned that we do not redact or edit connection with the clearing of F&O public interest, for the protection of personal identifying information from contracts for a new market, ICE Futures investors, or otherwise in furtherance of comment submissions. You should Abu Dhabi (‘‘IFAD’’). the purposes of the Act. If the submit only information that you wish II. Clearing Agency’s Statement of the Commission takes such action, the to make available publicly. All Purpose of, and Statutory Basis for, the Commission shall institute proceedings submissions should refer to File Proposed Rule Change, Security-Based to determine whether the proposed rule Number SR–CboeBZX–2019–096 and Swap Submission or Advance Notice change should be approved or should be submitted on or before disapproved. December 13, 2019. In its filing with the Commission, ICE Clear Europe included statements IV. Solicitation of Comments For the Commission, by the Division of concerning the purpose of and basis for Trading and Markets, pursuant to delegated Interested persons are invited to authority.16 the proposed rule change and discussed any comments it received on the submit written data, views and Jill M. Peterson, arguments concerning the foregoing, proposed rule change. The text of these Assistant Secretary. including whether the proposed rule statements may be examined at the change is consistent with the Act. [FR Doc. 2019–25318 Filed 11–21–19; 8:45 am] places specified in Item IV below. ICE Comments may be submitted by any of BILLING CODE 8011–01–P Clear Europe has prepared summaries, the following methods: set forth in sections (A), (B), and (C) below, of the most significant aspects of Electronic Comments SECURITIES AND EXCHANGE such statements. • Use the Commission’s internet COMMISSION comment form (http://www.sec.gov/ [Release No. 34–87558; File No. SR–ICEEU– (A) Clearing Agency’s Statement of the rules/sro.shtml); or 2019–025] Purpose of, and Statutory Basis for, the • Send an email to rule-comments@ Proposed Rule Change, Security-Based sec.gov. Please include File Number SR– Self-Regulatory Organizations; ICE Swap Submission or Advance Notice CboeBZX–2019–096 on the subject line. Clear Europe Limited; Notice of Filing (a) Purpose and Immediate Effectiveness of Paper Comments Proposed Rule Change, Security- ICE Clear Europe is proposing to • Send paper comments in triplicate Based Swap Submission or Advance amend its Rules in order to provide to Secretary, Securities and Exchange Notice Relating to Amendments to the clearing services to IFAD, an affiliated Commission, 100 F Street NE, ICE Clear Europe Clearing Rules and newly established futures exchange Washington, DC 20549–1090. General Contract Terms which will form part of the All submissions should refer to File Intercontinental Exchange, Inc. global 6 Number SR–CboeBZX–2019–096. This November 18, 2019. network of exchanges. IFAD will file number should be included on the Pursuant to Section 19(b)(1) of the operate an energy futures and options Securities Exchange Act of 1934 market and intends to initially launch a subject line if email is used. To help the 1 2 Commission process and review your (‘‘Act’’), and Rule 19b–4 thereunder, physically delivered futures contract 7 comments more efficiently, please use notice is hereby given that on November whose underlying is Murban crude oil. only one method. The Commission will 12, 2019, ICE Clear Europe Limited post all comments on the Commission’s (‘‘ICE Clear Europe’’ or the ‘‘Clearing 5 Capitalized terms used but not defined herein have the meanings specified in the ICE Clear internet website (http://www.sec.gov/ House’’) filed with the Securities and Exchange Commission (‘‘Commission’’) Europe Clearing Rules (the ‘‘Rules’’). rules/sro.shtml). Copies of the 6 Intercontinental Exchange, Inc. has announced submission, all subsequent the proposed rule changes described in the planned launch of IFAD, which will be a amendments, all written statements Items I, II and III below, which Items recognized investment exchange under the laws of with respect to the proposed rule have been prepared by ICE Clear the Abu Dhabi Global Market (‘‘ADGM’’). 7 The initial launch of IFAD trading is expected change that are filed with the Europe. ICE Clear Europe filed the proposed rule change pursuant to to be in the first half of 2020, subject to completion of all regulatory approvals and other conditions. Commission, and all written 3 Section 19(b)(3)(A) of the Act and Rule ICE Clear Europe expects that prior to the launch, communications relating to the 4 proposed rule change between the 19b–4(f)(4)(ii) thereunder, such that the it will adopt amendments to its Delivery Procedures proposed rule change was immediately relating to settlement of the launched contracts, Commission and any person, other than which will be filed with the Commission under Rule 19b–4. 16 17 CFR 200.30–3(a)(12). 15 For purposes only of waiving the 30-day IFAD has stated that it may in the future list other 1 operative delay, the Commission also has 15 U.S.C. 78s(b)(1). crude oil and crude-oil related products and other considered the proposed rule’s impact on 2 17 CFR 240.19b–4. financial futures or options contracts on such efficiency, competition, and capital formation. See 3 15 U.S.C. 78s(b)(3)(A). futures contracts, subject to applicable regulatory 15 U.S.C. 78c(f). 4 17 CFR 240.19b–4(f)(4)(ii). authorizations.

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The proposed amendments to the Rules Part 12 itself, and may provide transparent, and enforceable legal basis reflect the addition of IFAD as a trading expanded settlement finality protections for their activities pursuant to Rule market cleared by ICE Clear Europe and as a matter of ADGM law compared to 17Ad–22(e)(1),11 the amendments add include relevant references to applicable those which are available under English references to ADGM regulations and ADGM laws and regulations. Contracts and European law, particularly as regulatory authorities into relevant traded on IFAD and cleared at ICE Clear regards the settlement finality upon provisions of the Rules, such as the Europe will be F&O Contracts for delivery of non-securities products such defined term Applicable Laws, as well purposes of the Rules. as oil. as generally incorporate IFAD In Rule 101, new defined terms would ICE Clear Europe would also make a transactions into the framework of the be added to reference IFAD itself, its conforming change to its General Rules. Other amendments would further rules and the various types of IFAD Contact Terms to include a reference to clarify the Clearing House’s ability to transactions, in a manner generally the IFAD rules, which set out certain rely on rights under the FSMR in consistent with the defined terms contract terms for IFAD contracts. managing a default, where applicable. applicable to other F&O energy markets Financial Resources. ICE Clear Europe (b) Statutory Basis (and transactions thereon) cleared by will apply its existing energy margin ICE Clear Europe. These defined terms Section 17A(b)(3)(F) of the Act 8 methodology to IFAD contracts. ICE include ‘‘IFAD,’’ ‘‘IFAD Block requires, among other things, that the Clear Europe believes that this Contract,’’ ‘‘IFAD Block Trade Facility,’’ rules of a clearing agency be designed to methodology will provide sufficient ‘‘IFAD Block Transaction,’’ ‘‘IFAD promote the prompt and accurate margin to cover the risks from clearing Contract,’’ ‘‘IFAD Matched Contract,’’ clearance and settlement of securities such contracts, which are similar to ‘‘IFAD Matched Transaction,’’ ‘‘IFAD transactions and, to the extent other energy contracts cleared by ICE Rules’’ and ‘‘IFAD Transaction’’. In applicable, derivative agreements, Clear Europe. In addition, for similar addition, defined terms would be added contracts, and transactions, the reasons, ICE Clear Europe will apply its for relevant regulatory matters, safeguarding of securities and funds in existing F&O Guaranty Fund including ‘‘FSMR’’ (the Financial the custody or control of the clearing methodology in connection with the Services and Markets Regulations 2015 agency or for which it is responsible, IFAD contracts. In ICE Clear Europe’s of the Abu Dhabi Global Market), and the protection of investors and the view, the existing methodology will be ‘‘FSRA’’ (the Abu Dhabi Global Market’s public interest. The proposed sufficient to support clearing of the Financial Services Regulatory amendments are designed to facilitate IFAD contracts in addition to other F&O Authority) and ‘‘FSRA Rules’’ (the rules the clearing of F&O Contracts, including Contracts. As a result, ICE Clear Europe and similar materials of the FSRA). physically delivered crude oil futures believes that its financial resources will Certain existing definitions would be contracts, that are expected to be be sufficient to support clearing of IFAD updated to reference IFAD and the new launched for trading on the IFAD contracts, consistent with the defined terms (consistent with existing exchange and that will be cleared by ICE requirements of Rule 17Ad–22(b)(2–3) 12 references to other cleared markets), Clear Europe. The amendments would and (e)(4).13 including: ‘‘Applicable Law’’ to include supplement the Rules to include references to the FSMR and the FSRA references to IFAD and related 11 17 CFR 240.17Ad–22(e)(1), which requires that Rules; ‘‘Regulatory Authority’’ to transactional and regulatory definitions, ‘‘[e]ach covered clearing agency shall establish, include the FSRA; ‘‘Energy’’ to also refer implement, maintain and enforce written policies on a similar basis to the other F&O and procedures reasonably designed to, as to the clearing of IFAD Markets; ‘‘Energy markets that ICE Clear Europe currently applicable: (1) Provide for a well-founded, clear, Transaction’’ to include IFAD clears. ICE Clear Europe believes that its transparent, and enforceable legal basis for each Transactions; ‘‘Market’’ to include existing financial resources, account aspect of its activities in all relevant jurisdictions.’’ IFAD; and ‘‘Non-DCM/Swap’’ to include infrastructure, risk management, 12 17 CFR 240.17Ad–22(b)(2–3), which requires an IFAD Transaction and an IFAD that ‘‘[a] registered clearing agency that performs systems and operational arrangements central counterparty services shall establish, Contract. would be sufficient to support clearing implement, maintain and enforce written policies The introductions to Part 9 (Default of such Contracts and to manage the and procedures reasonably designed to: Rules) and Part 12 (Settlement Finality risks associated with such Contracts in (2) Use margin requirements to limit its credit Regulations and Companies Act 1989) of compliance with applicable law. As a exposures to participants under normal market the Rules would also be amended to conditions and use risk-based models and result, in ICE Clear Europe’s view, the parameters to set margin requirements and review reference the FSMR among other amendments would be consistent with such margin requirements and the related risk- relevant Applicable Laws on which the the prompt and accurate clearance and based models and parameters at least monthly. Clearing House may rely for purposes of settlement of IFAD contracts under the (3) Maintain sufficient financial resources to withstand, at a minimum, a default by the default management. Rules, the safeguarding of funds or A new Rule 1208 would be added to participant family to which it has the largest securities in the custody or control of exposure in extreme but plausible market address specifically settlement finality the clearing agency or for which it is conditions; provided that a registered clearing under ADGM laws. Pursuant to the responsible, and the protection of agency acting as a central counterparty for security- based swaps shall maintain additional financial proposed rule, Clearing Members and investors and the public interest, other Participants would acknowledge resources sufficient to withstand, at a minimum, a consistent with the requirements of default by the two participant families to which it that modifications to Applicable Laws Section 17A(b)(3)(F) of the Act.9 has the largest exposures in extreme but plausible in the Abu Dhabi Global Market related The amendments are also consistent market conditions, in its capacity as a central to insolvency, which may affect counterparty for security-based swaps. Such with relevant requirements under Rule policies and procedures may provide that the Clearing Members, the Clearing House 10 17Ad–22. additional financial resources may be maintained and other Participants, may apply Legal Framework. Consistent with the by the security-based swap clearing agency pursuant to the FSMR as a matter of requirement that clearing agencies generally or in separately maintained funds. ADGM law. The rule would give notice provide a well-founded, clear, 13 17 CFR 240.17Ad–22(e)(4), which requires that to Clearing Members and other ‘‘[e]ach covered clearing agency shall establish, implement, maintain and enforce written policies Participants that these modifications 8 15 U.S.C. 78q–1(b)(3)(F). and procedures reasonably designed to, as may apply in relation to a broader range 9 15 U.S.C. 78q–1(b)(3)(F). applicable: (4) [e]ffectively identify, measure, of circumstances than those set out in 10 17 CFR 270.17Ad–22. Continued

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Operational Resources. ICE Clear obligations in the case of default, as III. Date of Effectiveness of the Europe will have sufficient operational required under Rule 17Ad–22(e)(13).15 Proposed Rule Change, Security-Based and managerial capacity to clear the Swap Submission and Advance Notice IFAD contracts. Specifically, ICE Clear (B) Clearing Agency’s Statement on and Timing for Commission Action Burden on Competition Europe believes that is existing systems The foregoing rule change has become and procedures are appropriately ICE Clear Europe does not believe the effective pursuant to Section 19(b)(3)(A) scalable to handle the additional IFAD proposed rule changes would have any of the Act 17 and paragraph (f) of Rule contracts, which will be generally 18 impact, or impose any burden, on 19b–4 thereunder. At any time within similar to other energy contracts competition not necessary or 60 days of the filing of the proposed rule currently cleared by ICE Clear Europe. appropriate in furtherance of the change, the Commission summarily may As a result, in ICE Clear Europe’s view, temporarily suspend such rule change if the amendments are consistent with the purposes of the Act. The changes are being proposed in connection with the it appears to the Commission that such requirements of Rule 17Ad–22(e)(17).14 action is necessary or appropriate in the addition of clearing services for Default Management. These public interest, for the protection of contracts traded on IFAD, a new energy amendments make clarifications to the investors, or otherwise in furtherance of futures and options market. ICE Clear default management provisions in Parts the purposes of the Act. 9 and 12 of the Rules to reflect relevant Europe believes that its clearing of IFAD IV. Solicitation of Comments rights under ADGM regulations. As contracts would provide additional such, the amendments are consistent opportunities for interested market Interested persons are invited to with the Clearing House’s ability to take participants to engage in cleared trading submit written data, views, and timely action to continue to meet its activity in the energy derivatives arguments concerning the foregoing, markets market, and will not adversely including whether the proposed rule monitor, and manage its credit exposures to affect its existing cleared markets or change, security-based swap submission participants and those arising from its payment, participants in them. Specifically, ICE or advance notice is consistent with the clearing, and settlement processes, including by: Clear Europe does not believe the Act. Comments may be submitted by (i) Maintaining sufficient financial resources to amendments would adversely affect any of the following methods: cover its credit exposure to each participant fully with a high degree of confidence; competition among Clearing Members, Electronic Comments (ii) To the extent not already maintained pursuant materially affect the cost of clearing, • to paragraph (e)(4)(i) of this section, for a covered Use the Commission’s internet adversely affect access to clearing in comment form (http://www.sec.gov/ clearing agency providing central counterparty Contracts for Clearing Members or their services that is either systemically important in rules/sro.shtml) or multiple jurisdictions or a clearing agency involved customers, or otherwise adversely affect • Send an email to rule-comments@ in activities with a more complex risk profile, competition in clearing services. sec.gov. Please include File Number SR– maintaining additional financial resources at the Accordingly, ICE Clear Europe does not minimum to enable it to cover a wide range of ICEEU–2019–025 on the subject line. believe that the amendments would foreseeable stress scenarios that include, but are not Paper Comments limited to, the default of the two participant impose any impact or burden on families that would potentially cause the largest competition that is not appropriate in • Send paper comments in triplicate aggregate credit exposure for the covered clearing furtherance of the purpose of the Act. to Secretary, Securities and Exchange agency in extreme but plausible market conditions; Commission, 100 F Street NE, (iii) To the extent not already maintained (C) Clearing Agency’s Statement on pursuant to paragraph (e)(4)(i) of this section, for a Washington, DC 20549–1090. covered clearing agency not subject to paragraph Comments on the Proposed Rule All submissions should refer to File (e)(4)(ii) of this section, maintaining additional Change Received From Members, Number SR–ICEEU–2019–025. This file financial resources at the minimum to enable it to Participants or Others cover a wide range of foreseeable stress scenarios number should be included on the subject line if email is used. To help the that include, but are not limited to, the default of ICE Clear Europe has conducted a the participant family that would potentially cause Commission process and review your the largest aggregate credit exposure for the covered public consultation with respect to the comments more efficiently, please use 16 clearing agency in extreme but plausible market proposed amendments. ICE Clear only one method. The Commission will conditions; Europe received one question from a (iv) Including prefunded financial resources, post all comments on the Commission’s exclusive of assessments for additional guaranty Clearing Member with respect to the internet website (http://www.sec.gov/ fund contributions or other resources that are not launch of clearing of IFAD contracts rules/sro.shtml). Copies of the prefunded, when calculating the financial resources which has been addressed and did not submission, all subsequent available to meet the standards under paragraphs require changes to the proposed rules. (e)(4)(i) through (iii) of this section, as applicable; amendments, all written statements (v) Maintaining the financial resources required with respect to the proposed rule under paragraphs (e)(4)(ii) and (iii) of this section, change, security-based swap submission as applicable, in combined or separately maintained or advance notice that are filed with the 15 clearing or guaranty funds; . . .’’ 17 CFR 240.17Ad–22(e)(13), which requires Commission, and all written 14 17 CFR 240.17Ad–22(e)(4), which requires that that ‘‘[e]ach covered clearing agency shall establish, ‘‘[e]ach covered clearing agency shall establish, implement, maintain and enforce written policies communications relating to the implement, maintain and enforce written policies and procedures reasonably designed to, as proposed rule change, security-based and procedures reasonably designed to, as applicable: (13) ensure the covered clearing agency swap submission or advance notice applicable: (17) Manage the covered clearing has the authority and operational capacity to take between the Commission and any agency’s operational risks by: timely action to contain losses and liquidity person, other than those that may be (i) Identifying the plausible sources of operational demands and continue to meet its obligations by, withheld from the public in accordance risk, both internal and external, and mitigating their at a minimum requiring the covered clearing impact through the use of appropriate systems, with the provisions of 5 U.S.C. 552, will agency’s participants and, when practicable, other policies, procedures, and controls; stakeholders to participate in the testing and review be available for website viewing and (ii) Ensuring that systems have a high degree of printing in the Commission’s Public security, resiliency, operational reliability, and of its default procedures, including any close-out adequate, scalable capacity; and procedures. . . .’’ Reference Room, 100 F Street NE, (iii) Establishing and maintaining a business 16 Circular C19/164 (25 October 2019), available continuity plan that addresses events posing a at https://www.theice.com/publicdocs/clear_ 17 15 U.S.C. 78s(b)(3)(A). significant risk of disrupting operations. europe/circulars/C19164.pdf. 18 17 CFR 240.19b–4(f).

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Washington, DC 20549, on official I. Self-Regulatory Organization’s that becomes a limit order when the business days between the hours of Statement of the Terms of Substance of consolidated last sale price (excluding 10:00 a.m. and 3:00 p.m. Copies of such the Proposed Rule Change prices from complex order trades if filings will also be available for Cboe C2 Exchange, Inc. (the outside the NBBO) or NBB (NBO) for a inspection and copying at the principal ‘‘Exchange’’ or ‘‘C2’’) proposes to amend particular option contract is equal to or office of ICE Clear Europe and on ICE above (below) the stop price specified the fat finger check in Rule 6.14 as it 6 Clear Europe’s website at https:// applies to Stop-Limit orders. The text of by the User. Stop-Limit orders allow www.theice.com/clear-europe/ the proposed rule change is provided in Users increased control and flexibility regulation. Exhibit 5. over their transactions and the prices at All comments received will be posted The text of the proposed rule change which they are willing to execute an without change. Persons submitting is also available on the Exchange’s order. The purpose of a Stop-Limit order comments are cautioned that we do not website (http://markets.cboe.com/us/ is to not execute upon entry, and redact or edit personal identifying options/regulation/rule_filings/ctwo/), instead rest in the System until the information from comment submissions. at the Exchange’s Office of the market reaches a certain price level, at You should submit only information Secretary, and at the Commission’s which time the order could be executed. that you wish to make available Public Reference Room. As such, when a buy (sell) Stop-Limit publicly. All submissions should refer order is activated, its limit price may II. Self-Regulatory Organization’s to File Number SR–ICEEU–2019–025 likely be outside of the buffer amount Statement of the Purpose of, and and should be submitted on or before above (below) the NBO (NBB) in Statutory Basis for, the Proposed Rule December 13, 2019. anticipation of capturing rapidly Change increasing (decreasing) market prices. For the Commission, by the Division of In its filing with the Commission, the The primary purpose of the fat finger Trading and Markets, pursuant to delegated Exchange included statements check is to prevent limit orders from authority.19 concerning the purpose of and basis for executing at potentially erroneous Jill M. Peterson, the proposed rule change and discussed prices upon entry, because the limit Assistant Secretary. any comments it received on the prices are ‘‘too far away’’ from the then- [FR Doc. 2019–25315 Filed 11–21–19; 8:45 am] proposed rule change. The text of these current NBBO. As noted above, a Stop- BILLING CODE 8011–01–P statements may be examined at the Limit order is not intended to execute places specified in Item IV below. The upon entry. Currently, because a Stop- Exchange has prepared summaries, set Limit order does not ‘‘become’’ a limit SECURITIES AND EXCHANGE forth in sections A, B, and C below, of order until activated, the limit order fat COMMISSION the most significant aspects of such finger check applies to a Stop-Limit statements. order at the time the order is activated. As noted above, at that time, the limit [Release No. 34–87562; File No. SR–C2– A. Self-Regulatory Organization’s 2019–024] price may cross the NBO, and thus may Statement of the Purpose of, and be cancelled due to the fat finger check Statutory Basis for, the Proposed Rule if the limit price crosses the NBO by Self-Regulatory Organizations; Cboe Change C2 Exchange, Inc.; Notice of Filing and more than the buffer. Therefore, the Immediate Effectiveness of a Proposed 1. Purpose manner in which the fat finger check Rule Change Relating To Amend the cancels/rejects a Stop-Limit order may The Exchange proposes to amend its conflict with the intended purpose of a Fat Finger Check in Rule 6.14 as It fat finger check under Rule 6.14(c)(1) as Applies to Stop-Limit Orders Stop-Limit order and a User’s control it applies to Stop-Limit orders. over the time when and the price at November 18, 2019. Currently, Rule 6.14(c)(1) provides that which it executes. For example, assume if a User submits a buy (sell) limit order that when the NBBO is 8.00 × 8.05, a Pursuant to Section 19(b)(1) of the to the System with a price that is more Securities Exchange Act of 1934 (the User submits a Stop-Limit order to buy than a buffer amount above (below) the at 9.25 and a stop price of 8.15 and the ‘‘Act’’),1 and Rule 19b–4 thereunder,2 NBO (NBB), the System cancels or notice is hereby given that on November User has set the fat finger buffer to rejects the order (i.e. the ‘‘fat finger’’ $1.00. Assume the NBBO then updates 12, 2019, Cboe C2 Exchange, Inc. (the check). The Exchange determines a × ‘‘Exchange’’ or ‘‘C2’’) filed with the to 8.15 8.20. The updated NBB equals default buffer amount; however, a User the stop price of the order will activate Securities and Exchange Commission may establish a higher or lower amount (the ‘‘Commission’’) the proposed rule the stop price of the Stop Limit Order, than the Exchange default. This check converting it into a limit order to buy at change as described in Items I, and II generally applies to orders and quotes below, which Items have been prepared 9.25, which would be more than the fat with a limit price, subject to certain finger buffer of $1.00 above the current by the Exchange. The Exchange filed the exceptions set forth in current Rules proposal as a ‘‘non-controversial’’ NBO, thus canceled/rejected by the 6.14(c)(1)(B) through (D). For example, System in accordance with the fat finger proposed rule change pursuant to current Rule 6.14(c)(1)(D) provides that Section 19(b)(3)(A)(iii) of the Act 3 and check. The Exchange also notes that the the check does not apply to bulk System is currently able to apply only Rule 19b–4(f)(6) thereunder.4 The messages.5 Commission is publishing this notice to one buffer amount (either the Exchange The Exchange proposes to add Stop- default amount or a User’s established solicit comments on the proposed rule Limit orders to Rule 6.14(c)(1)(D) as an change from interested persons. amount) across multiple order types. additional order type to which the fat Therefore, a User would not be able to finger check does not apply. A ‘‘Stop- expand the buffer amount to 19 17 CFR 200.30–3(a)(12). Limit’’ order is an order to buy (sell) 1 15 U.S.C. 78s(b)(1). accommodate Stop-Limit orders without potentially over-expanding the buffer 2 17 CFR 240.19b–4. 5 The Exchange notes that a separate provision 3 15 U.S.C. 78s(b)(3)(A)(iii). governs a fat finger check specific to bulk messages. 4 17 CFR 240.19b–4(f)(6). See Rule 6.14(a)(5). 6 See Rule 6.10(c) (definition of Stop-Limit order).

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amount for other limit orders that in substantively the same manner as on flexibility to set the limit prices on Stop- execute upon entry. the Exchange.8 Limit orders so as to capture significant market fluctuations, which, as stated, The Exchange notes that a User’s 2. Statutory Basis Stop-Limit orders would still be subject result in corresponding significant The Exchange believes the proposed adjustments in the NBBO. Therefore, the to other price protections already in rule change is consistent with the proposed rule change is designed to place on the Exchange. In particular, Securities Exchange Act of 1934 (the protect investors by allowing their Stop- Rule 6.12(c)(2) specifically applies to ‘‘Act’’) and the rules and regulations Limit orders to execute as intended Stop-Limit orders and provides that the thereunder applicable to the Exchange without being canceled or rejected in System cancels or rejects a buy (sell) and, in particular, the requirements of connection with the NBBO that existed Stop-Limit order if the NBB (NBO) at Section 6(b) of the Act.9 Specifically, at the time of their activation, and the time the System receives the order the Exchange believes the proposed rule instead to consider rapid price is equal to or above (below) the stop change is consistent with the Section movements and corresponding NBBO price.7 Because the purpose of a Stop- 6(b)(5) 10 requirements that the rules of adjustments. The Exchange notes that Limit order is to rest in the Book until an exchange be designed to prevent the proposed rule change will not affect a specified price is reached, the fraudulent and manipulative acts and the protection of investors or the Exchange believes rejecting a stop or practices, to promote just and equitable maintenance of a fair and orderly stop-limit order entered above or below, principles of trade, to foster cooperation market because other price controls as applicable, that price may be and coordination with persons engaged would apply to Stop-Limit orders, both erroneous, as entry at that time would in regulating, clearing, settling, at the time of their submission and be inconsistent with the purpose of the processing information with respect to, when their stop prices are activated and order. Additionally, drill-through and facilitating transactions in they become limit orders. protections are in place pursuant to securities, to remove impediments to and perfect the mechanism of a free and B. Self-Regulatory Organization’s Rule 6.14(a)(4), such that, if a buy (sell) Statement on Burden on Competition order would execute (i.e., when the stop open market and a national market price for a Stop-Limit order is system, and, in general, to protect The Exchange does not believe that activated), the System executes the investors and the public interest. the proposed rule change will impose order up to a buffer amount (the Additionally, the Exchange believes the any burden on competition that is not Exchange determines the amount on a proposed rule change is consistent with necessary or appropriate in furtherance 11 class and premium basis) above (below) the Section 6(b)(5) requirement that of the purposes of the Act. The proposed rule change will not impose the NBO (NBB) that existed at the time the rules of an exchange not be designed any burden on intramarket competition of order entry (‘‘the drill-through to permit unfair discrimination between customers, issuers, brokers, or dealers. that is not necessary or appropriate in price’’). In particular, the proposed rule furtherance of the purposes of the Act The Exchange believes that allowing a change benefits market participants by because all Users’ Stop-Limit orders will Stop-Limit order, once activated, with a ensuring that they are able to use Stop- be excluded from the fat finger check in limit price outside of the NBBO Limit orders to achieve their intended the same manner. Also, all Users’ Stop- (notwithstanding any fat finger buffer) purpose. As stated, Stop-Limit orders Limit orders will continue to be subject to execute at that limit price (up to the are intended to increase User price to other specific price controls in place, drill-through buffer amount) is control and flexibility, particularly in both at the time of their submission and consistent with the intended purpose of the face of price swings and market once their stop prices are activated and a Stop-Limit order. As stated, when a volatility, by resting in the System until they become limit orders. The proposed buy (sell) Stop-Limit order is activated, the market reaches a certain price level. rule change will not impose any burden its limit price is intended to be at a Thus, they are not intended to execute on intermarket competition that that is consequential amount above (below) the upon entry. Conversely, the primary not necessary or appropriate in NBO (NBB) in order to capture rapidly purpose of the fat finger check is to furtherance of the purposes of the Act increasing (decreasing) trade prices, to prevent limit orders from executing at because the proposed change is merely which the NBBO would as rapidly track potentially erroneous prices upon entry, designed to allow Users’ Stop-Limit and reflect. To cancel or reject such because the limit prices are ‘‘too far orders to execute in a manner that orders based on the NBBO at the time away’’ from the then-current NBBO. By achieves their intended purpose by of its activation would inhibit Stop- excluding Stop-Limit orders from the fat updating a price protection mechanism Limit orders from capturing favorable finger check, which would currently already in place on the Exchange and trade prices as a result of a rapidly cancel/reject a Stop-Limit order if its applicable only to trading on the shifting market. The Exchange further buy (sell) limit price was above (below) Exchange. the NBO (NBB) upon activation of its notes that its affiliated exchange, Cboe C. Self-Regulatory Organization’s stop limit price, the proposed rule Exchange, Inc. (‘‘Cboe Options’’), Statement on Comments on the change removes impediments to and recently submitted a rule filing that also Proposed Rule Change Received From perfects the mechanism of a free and proposed to exclude Stop Limit Orders Members, Participants, or Others from its fat finger check, which function open market and national market system by allowing Users the control and The Exchange neither solicited nor received comments on the proposed 7 However, the System accepts a buy (sell) Stop- 8 Limit order if the consolidated last sale price at the See Securities Exchange Act Release No. 87455 rule change. (November 4, 2019), 84 FR 60461 (November 8, time the System receives the order is equal to or III. Date of Effectiveness of the above (below) the stop price. The Exchange notes 2019) (Notice of Filing and Immediate Effectiveness that the System is unable to compare the stop price of a Proposed Rule Change Relating To Amend the Proposed Rule Change and Timing for of a stop-limit order to the last consolidated sale Fat Finger Check in Rule 5.34 as It Applies to Stop- Commission Action price upon receipt of the order, which is why the Limit Orders) (SR–CBOE–2019–102). order is accepted when the stop price is above 9 15 U.S.C. 78f(b). Because the foregoing proposed rule (below) the last consolidated sale price when the 10 15 U.S.C. 78f(b)(5). change does not: (i) Significantly affect System receives it. 11 Id. the protection of investors or the public

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interest; (ii) impose any significant it appears to the Commission that such to make available publicly. All burden on competition; and (iii) become action is necessary or appropriate in the submissions should refer to File operative for 30 days from the date on public interest, for the protection of Number SR–C2–2019–024 and should which it was filed, or such shorter time investors, or otherwise in furtherance of be submitted on or before December 13, as the Commission may designate, it has the purposes of the Act. If the 2019. become effective pursuant to Section Commission takes such action, the For the Commission, by the Division of 12 19(b)(3)(A) of the Act and Rule 19b– Commission shall institute proceedings Trading and Markets, pursuant to delegated 4(f)(6) thereunder.13 to determine whether the proposed rule authority.17 A proposed rule change filed change should be approved or Jill M. Peterson, pursuant to Rule 19b–4(f)(6) under the disapproved. Assistant Secretary. Act 14 normally does not become operative for 30 days after the date of its IV. Solicitation of Comments [FR Doc. 2019–25319 Filed 11–21–19; 8:45 am] filing. However, Rule 19b–4(f)(6)(iii) 15 Interested persons are invited to BILLING CODE 8011–01–P permits the Commission to designate a submit written data, views and shorter time if such action is consistent arguments concerning the foregoing, SECURITIES AND EXCHANGE with the protection of investors and the including whether the proposed rule COMMISSION public interest. The Exchange has asked change is consistent with the Act. the Commission to waive the 30-day Comments may be submitted by any of [Release No. 34–87560; File No. SR– operative delay. The Exchange believes the following methods: CboeBZX–2019–097] that waiver of the operative delay is Electronic Comments appropriate because, as the Exchange Self-Regulatory Organizations; Cboe • discussed above, excluding Stop-Limit Use the Commission’s internet BZX Exchange, Inc.; Notice of Filing of orders from the fat finger check, which comment form (http://www.sec.gov/ a Proposed Rule Change To Adopt rules/sro.shtml); or BZX Rule 14.11(l) To Permit the Listing would currently cancel/reject a Stop- • Limit order if its buy (sell) limit price Send an email to rule-comments@ and Trading of Exchange-Traded Fund was above (below) the NBO (NBB) upon sec.gov. Please include File Number SR– Shares That Are Permitted To Operate activation of its stop limit price, will C2–2019–024 on the subject line. in Reliance on Rule 6c–11 Under the benefit market participants by ensuring Paper Comments Investment Company Act of 1940 that they are able to use Stop-Limit • Send paper comments in triplicate orders to achieve their intended November 18, 2019. to Secretary, Securities and Exchange purpose. Thus, the Exchange believes Pursuant to Section 19(b)(1) of the Commission, 100 F Street NE, that the proposed rule change is Securities Exchange Act of 1934 (the Washington, DC 20549–1090. 1 2 designed to protect investors by ‘‘Act’’), and Rule 19b–4 thereunder, allowing their Stop-Limit orders to All submissions should refer to File notice is hereby given that on November execute as intended without being Number SR–C2–2019–024. This file 15, 2019 Cboe BZX Exchange, Inc. (the canceled or rejected due to the number should be included on the ‘‘Exchange’’ or ‘‘BZX’’) filed with the application of the fat finger check subject line if email is used. To help the Securities and Exchange Commission provision. Commission process and review your (the ‘‘Commission’’) the proposed rule The Commission believes that waiver comments more efficiently, please use change as described in Items I, II, and of the 30-day operative delay is only one method. The Commission will III below, which Items have been consistent with the protection of post all comments on the Commission’s prepared by the Exchange. The investors and the public interest internet website (http://www.sec.gov/ Commission is publishing this notice to because the proposal will permit Stop- rules/sro.shtml). Copies of the solicit comments on the proposed rule Limit orders to execute as intended and submission, all subsequent change from interested persons. not be inadvertently cancelled in certain amendments, all written statements I. Self-Regulatory Organization’s situation, as discussed above, by the fat with respect to the proposed rule Statement of the Terms of Substance of finger check provision. Therefore, the change that are filed with the the Proposed Rule Change Commission hereby waives the Commission, and all written operative delay and designates the communications relating to the The Exchange proposes a rule change proposal as operative upon filing.16 proposed rule change between the to adopt BZX Rule 14.11(l) to permit the At any time within 60 days of the Commission and any person, other than listing and trading of Exchange-Traded filing of the proposed rule change, the those that may be withheld from the Fund Shares that are permitted to Commission summarily may public in accordance with the operate in reliance on Rule 6c–11 under temporarily suspend such rule change if provisions of 5 U.S.C. 552, will be the Investment Company Act of 1940. available for website viewing and The Exchange is also proposing to 12 15 U.S.C. 78s(b)(3)(A). printing in the Commission’s Public discontinue the quarterly reports 13 17 CFR 240.19b–4(f)(6). In addition, Rule 19b– Reference Room, 100 F Street NE, required with respect to Managed Fund 4(f)(6)(iii) requires a self-regulatory organization to Washington, DC 20549, on official give the Commission written notice of its intent to Shares listed on the Exchange pursuant file the proposed rule change, along with a brief business days between the hours of to the generic listing standards under description and text of the proposed rule change, 10:00 a.m. and 3:00 p.m. Copies of the Rule 14.11(i). at least five business days prior to the date of filing filing also will be available for The text of the proposed rule change of the proposed rule change, or such shorter time as designated by the Commission. The Exchange inspection and copying at the principal is also available on the Exchange’s has satisfied this requirement. office of the Exchange. All comments website (http://markets.cboe.com/us/ 14 17 CFR 240.19b–4(f)(6). received will be posted without change. equities/regulation/rule_filings/bzx/), at 15 17 CFR 240.19b–4(f)(6)(iii). Persons submitting comments are the Exchange’s Office of the Secretary, 16 For purposes only of waiving the 30-day cautioned that we do not redact or edit operative delay, the Commission also has personal identifying information from 17 considered the proposed rule’s impact on 17 CFR 200.30–3(a)(12). efficiency, competition, and capital formation. See comment submissions. You should 1 15 U.S.C. 78s(b)(1). 15 U.S.C. 78c(f). submit only information that you wish 2 17 CFR 240.19b–4.

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and at the Commission’s Public permitting ETFs to operate under the Proposed Listing Rules Reference Room. 1940 Act because there was no ETF Proposed Rule 14.11(l)(1) provides specific rule in place and they have II. Self-Regulatory Organization’s that the Exchange will consider for characteristics that distinguish them Statement of the Purpose of, and trading, whether by listing or pursuant from the types of structures to unlisted trading privileges, the shares Statutory Basis for, the Proposed Rule contemplated and included in the 1940 Change of Exchange-Traded Funds (‘‘ETF Act. After such an extended period Shares’’) that meet the criteria of this In its filing with the Commission, the operating without a specific rule set and Rule. Exchange included statements only under exemptive relief, Rule 6c–11 Proposed Rule 14.11(l)(2) provides concerning the purpose of and basis for is designed to provide a consistent, that the proposed rule would be the proposed rule change and discussed transparent, and efficient regulatory applicable only to ETF Shares. Except to any comments it received on the framework for ETFs.7 Exchange listing the extent inconsistent with this Rule, proposed rule change. The text of these standards applicable to ETFs have been or unless the context otherwise requires, statements may be examined at the similarly adopted and tweaked over the the rules and procedures of the Board of places specified in Item IV below. The years and the Exchange believes that, Directors shall be applicable to the Exchange has prepared summaries, set just as the Commission has undertaken trading on the Exchange of such forth in sections A, B, and C below, of a review of the 1940 Act as it is securities. ETF Shares are included the most significant aspects of such applicable to ETFs, it is appropriate to within the definition of ‘‘security’’ or statements. perform a similar holistic review and ‘‘securities’’ as such terms are used in overhaul of Exchange listing rules. With A. Self-Regulatory Organization’s the Rules of the Exchange. this in mind, the Exchange submits this Statement of the Purpose of, and Proposed Rule 14.11(l)(2) further proposal to add new Rule 14.11(l) and provides that: (A) Transactions in ETF Statutory Basis for, the Proposed Rule certain corresponding rule changes Change Shares will occur throughout the because it believes that this proposal Exchange’s trading hours; (B) the 1. Purpose similarly promotes consistency, minimum price variation for quoting The Exchange proposes to add new transparency, and efficiency and entry of orders in ETF Shares is surrounding the exchange listing Rule 14.11(l) 3 for the purpose of $0.01; and (C) the Exchange will process for ETF Shares in a manner that permitting the generic listing and implement and maintain written is consistent with the Act, as further trading, or trading pursuant to unlisted surveillance procedures for ETF Shares. described below. Proposed Rule 14.11(l)(3)(A) provides trading privileges, of Exchange-Traded Consistent with Index Fund Shares Fund Shares 4 that are permitted to that the term ‘‘ETF Shares’’ shall mean and Managed Fund Shares listed under the shares issued by a registered open- operate in reliance on Rule 6c–11 (‘‘Rule the generic listing standards in Rules 6c–11’’) under the Investment Company end management investment company 5 14.11(c) and 14.11(i), respectively, that: (i) Is eligible to operate in reliance Act of 1940 (the ‘‘1940 Act’’). The series of Exchange-Traded Fund Shares Exchange is also proposing to on Rule 6c–11 under the Investment that are permitted to operate in reliance 9 discontinue the quarterly reports Company Act of 1940; (ii) issues (and on Rule 6c–11 would be permitted to be redeems) creation units to (and from) required with respect to Managed Fund listed and traded on the Exchange Shares listed on the Exchange pursuant authorized participants in exchange for without a prior Commission approval a basket and a cash balancing amount (if to the generic listing standards under order or notice of effectiveness pursuant any); and (iii) issues shares that it Rule 14.11(i). to Section 19(b) of the Act.8 The Commission recently adopted intends to list or are listed on a national securities exchange and traded at Rule 6c–11 to permit exchange-traded 7 In approving the rule, the Commission stated 10 funds (‘‘ETFs’’) that satisfy certain market-determined prices. that the ‘‘rule will modernize the regulatory Proposed Rule 14.11(l)(3)(B) provides conditions to operate without obtaining framework for ETFs to reflect our more than two that the term ‘‘Reporting Authority’’ in an exemptive order from the decades of experience with these investment respect of a particular series of ETF Commission under the 1940 Act.6 Since products. The rule is designed to further important Commission objectives, including establishing a Shares means the Exchange, an the first ETF was approved by the consistent, transparent, and efficient regulatory institution, or a reporting service Commission in 1992, the Commission framework for ETFs and facilitating greater designated by the Exchange or by the has routinely granted exemptive orders competition and innovation among ETFs.’’ Rule 6c– 11 Release, at 57163. The Commission also stated exchange that lists a particular series of the following regarding the rule’s impact: ‘‘We ETF Shares (if the Exchange is trading 3 The Exchange notes that it is proposing new believe rule 6c–11 will establish a regulatory such series pursuant to unlisted trading Rule 14.11(l) because it has also proposed a new framework that: (1) Reduces the expense and delay Rule 14.11(k) as part of another proposal. See currently associated with forming and operating privileges) as the official source for Securities Exchange Act Release No. 87062 certain ETFs unable to rely on existing orders; and (September 23, 2019), 84 FR 51193 (September 27, (2) creates a level playing field for ETFs that can new Rule 14.11(l) to establish generic listing 2019) (SR–CboeBZX–2019–047). rely on the rule. As such, the rule will enable standards for ETFs that are permitted to operate in 4 As provided below, proposed Rule 14.11(l)(3)(A) increased product competition among certain ETF reliance on Rule 6c–11. An ETF listed under provides that the term ‘‘ETF Shares’’ shall mean the providers, which can lead to lower fees for proposed Rule 14.11(l) would therefore not need a shares issued by a registered open-end management investors, encourage financial innovation, and separate proposed rule change pursuant to Rule investment company that: (i) Is eligible to operate increase investor choice in the ETF market.’’ Rule 19b–4 before it can be listed and traded on the in reliance on Rule 6c–11 under the Investment 6c–11 Release, at 57204. Exchange. Company Act of 1940; (ii) issues (and redeems) 8 Rule 19b–4(e)(1) provides that the listing and 9 The Exchange notes that certain types of ETFs, creation units to (and from) authorized participants trading of a new derivative securities product by a such as leveraged ETFs, are not eligible to operate in exchange for a basket and a cash balancing self-regulatory organization (‘‘SRO’’) is not deemed in reliance on Rule 6c–11 and therefore would not amount (if any); and (iii) issues shares that it a proposed rule change, pursuant to paragraph be eligible to list under this proposed Rule 14.11(l). intends to list or are listed on a national securities (c)(1) of Rule 19b–4, if the Commission has Such ETFs could, however, be listed pursuant to exchange and traded at market-determined prices. approved, pursuant to Section 19(b) of the Act, the Rule 14.11(c) or 14.11(i). 5 15 U.S.C. 80a–1. SRO’s trading rules, procedures and listing 10 The Exchange notes that this definition is 6 See Release Nos. 33–10695; IC–33646; File No. standards for the product class that would include substantially similar to the definition under Rule S7–15–18 (Exchange-Traded Funds) (September 25, the new derivative securities product and the SRO 6c–11 except that the proposed definition includes 2019), 84 FR 57162 (October 24, 2019) (the ‘‘Rule has a surveillance program for the product class. As in the definition of ETF Shares those shares that it 6c–11 Release’’). contemplated by this Rule, the Exchange proposes intends to list on a national securities exchange.

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calculating and reporting information Proposed Rule 14.11(l)(4)(B)(ii) Members regarding application of this relating to such series, including, but provides that the Exchange may subparagraph to a particular series of not limited to, the amount of any cash consider all relevant factors in ETF Shares by means of an information distribution to holders of ETF Shares, exercising its discretion to halt or circular prior to commencement of net asset value, or other information suspend trading in a series of ETF trading in such series. The Exchange relating to the issuance, redemption or Shares. Trading may be halted because requires that members provide to all trading of ETF Shares. A series of ETF of market conditions or for reasons that, purchasers of a series of ETF Shares a Shares may have more than one in the view of the Exchange, make written description of the terms and Reporting Authority, each having trading in the Shares inadvisable. These characteristics of those securities, in a different functions. may include: (1) The extent to which form prepared by the open-end Proposed Rule 14.11(l)(4) provides certain information about the ETF management investment company that the Exchange may approve ETF Shares that is required to be disclosed issuing such securities, not later than Shares for listing and/or trading under Rule 6c–11 of the Investment the time a confirmation of the first (including pursuant to unlisted trading Company Act of 1940 is not being made transaction in such series is delivered to privileges) on the Exchange pursuant to available; or (2) whether other unusual such purchaser. In addition, members Rule 19b–4(e) under the Act so long as conditions or circumstances detrimental shall include such a written description such series of ETF Shares is eligible to to the maintenance of a fair and orderly with any sales material relating to a operate in reliance on Rule 6c–11 under market are present. series of ETF Shares that is provided to the Investment Company Act of 1940 Proposed Rule 14.11(l)(4)(B)(iii) customers or the public. Any other and meets all applicable requirements provides that upon termination of an written materials provided by a member under such Rule 6c–11 upon initial investment company, the Exchange to customers or the public making listing and on a continuing basis. ETF requires that ETF Shares issued in specific reference to a series of ETF Shares will be listed and traded on the connection with such entity be removed Shares as an investment vehicle must Exchange subject to application of the from Exchange listing. include a statement in substantially the following criteria. Proposed Rule 14.11(l)(5) provides following form: ‘‘A circular describing that neither the Exchange, the Reporting Proposed Rule 14.11(l)(4)(A) provides the terms and characteristics of (the Authority, nor any agent of the that each series of ETF Shares will be series of ETF Shares) has been prepared Exchange shall have any liability for listed and traded on the Exchange by the (open-end management damages, claims, losses or expenses subject to application of the following investment company name) and is caused by any errors, omissions, or initial listing criteria: (i) For each series, available from your broker. It is delays in calculating or disseminating the Exchange will establish a minimum recommended that you obtain and any current index or portfolio value; the review such circular before purchasing number of ETF Shares required to be current value of the portfolio of outstanding at the time of (the series of ETF Shares).’’ A member securities required to be deposited to carrying an omnibus account for a non- commencement of trading on the the open-end management investment Exchange; and (ii) the Exchange will member broker-dealer is required to company in connection with issuance of inform such non-member that execution obtain a representation from the issuer ETF Shares; the amount of any dividend of an order to purchase a series of ETF of each series of ETF Shares stating that equivalent payment or cash distribution Shares for such omnibus account will be the disclosures required under Rule 6c– to holders of ETF Shares; net asset deemed to constitute agreement by the 11 of the Investment Company Act of value; or other information relating to non-member to make such written 1940 will be made available on a daily the purchase, redemption, or trading of description available to its customers on basis in compliance with Rule 6c–11 ETF Shares, resulting from any the same terms as are directly applicable and that the issuer will notify the negligent act or omission by the to members under this rule. Upon Exchange of any failure to do so. Exchange, the Reporting Authority, or request of a customer, a member shall Proposed Rule 14.11(l)(4)(B) provides any agent of the Exchange, or any act, also provide a prospectus for the that each series of ETF Shares will be condition, or cause beyond the particular series of ETF Shares. listed and traded on the Exchange reasonable control of the Exchange, its The Exchange is also proposing to subject to application of the following agent, or the Reporting Authority, make two non-substantive amendments continued listing criteria. including, but not limited to, an act of to include ETF Shares in other Proposed Rule 14.11(l)(4)(B)(i) God; fire; flood; extraordinary weather Exchange rules. Specifically, the provides that the Exchange will conditions; war; insurrection; riot; Exchange is also proposing: (i) To consider the suspension of trading in, strike; accident; action of government; amend Rule 14.10(e)(1)(E) in order to and will commence delisting communications or power failure; add ETF Shares to a list of product types proceedings under Rule 14.12 for, a equipment or software malfunction; or listed on the Exchange, including Index series of ETF Shares under any of the any error, omission, or delay in the Fund Shares and Managed Fund Shares, following circumstances: (a) If the issuer reports of transactions in one or more that are exempted from the Audit of the ETF Shares has failed to file any underlying securities. Committee requirements set forth in filings required by the Commission or if Proposed Rule 14.11(l)(6) provides Rule 14.10(c)(3), except for the the Exchange is aware that the issuer is that the provisions of this subparagraph applicable requirements of SEC Rule not in compliance with the apply only to series of ETF Shares that 10A–3; and (ii) to amend Rule requirements of Rule 6c–11 of the are the subject of an order by the 14.11(c)(3)(A)(i)(a) in order to include Investment Company Act of 1940; (b) if Securities and Exchange Commission ETF Shares in the definition of any of the other listing requirements set exempting such series from certain Derivative Securities Products. forth in this Rule 14.11(l) are not prospectus delivery requirements under continuously maintained; or (c) if such Section 24(d) of the Investment Discussion other event shall occur or condition Company Act of 1940 and are not Proposed Rule 14.11(l) is based in exists which, in the opinion of the otherwise subject to prospectus delivery large part on Rules 14.11(c) and (i) Exchange, makes further dealings on the requirements under the Securities Act of related to the listing and trading of Exchange inadvisable. 1933. The Exchange will inform its Index Fund Shares and Managed Fund

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Shares on the Exchange, respectively, the Exchange’s surveillance procedures, ETF Shares as provided in proposed both of which are issued under the 1940 the Exchange’s ability to halt trading Rule 14.11(l)(4)(B)(ii).15 Further, the Act and would qualify as ETF Shares under the proposed Rule Exchange may also suspend trading in after Rule 6c–11 is effective. Rule 14.11(l)(4)(B)(ii), and the Exchange’s and commence delisting proceedings for 14.11(c) and 14.11(i) are very similar, ability to suspend trading and a series of ETF Shares where such series their primary difference being that commence delisting proceedings under is not in compliance with the applicable Index Fund Shares are designed to track proposed Rule 14.11(l)(4)(B)(i). The listing standards or where the Exchange an underlying index and Managed Fund Exchange also believes that such believes that further dealings on the Shares are based on an actively concerns are further mitigated by Exchange are inadvisable.16 managed portfolio that is not designed enhancements to the arbitrage Further, the Exchange also represents to track an index. As such, the Exchange mechanism that will come from Rule that its surveillance procedures are believes that using Rules 14.11(c) and (i) 6c–11, specifically the additional adequate to properly monitor the (collectively, the ‘‘Current ETF flexibility provided to issuers of ETF trading of the ETF Shares in all trading Standards’’) as the basis for proposed Shares through the use of custom sessions and to deter and detect Rule 14.11(l) is appropriate because baskets for creations and redemptions violations of Exchange rules and they are generally designed to address and the additional information made applicable federal securities laws. the issues associated with ETF Shares. available to the public through the Specifically, the Exchange intends to The only substantial differences additional Disclosure Obligations.13 The utilize its existing surveillance between proposed Rule 14.11(l) and the Exchange believes that the combination procedures applicable to derivative Current ETF Standards that are not of these factors will act to keep ETF products, which are currently otherwise required under Rule 6c–11 Shares trading near the value of their applicable to Index Fund Shares and are as follows: (i) Proposed Rule 14.11(l) underlying holdings and further Managed Fund Shares, among other does not include the quantitative mitigate concerns around manipulation product types, to monitor trading in ETF standards applicable to a fund or an of ETF Shares on the Exchange without Shares. The Exchange or the Financial index that are included in the Current the inclusion of quantitative Industry Regulatory Authority, Inc. ETF Standards; (ii) proposed Rule standards.14 The Exchange will monitor (‘‘FINRA’’), on behalf of the Exchange, 14.11(l) does not include any for compliance with the 1940 Act will communicate as needed regarding requirements related to the generally as well as Rule 6c–11 trading in ETF Shares and certain of dissemination of a fund’s Intraday specifically in order to ensure that the their applicable underlying components Indicative Value; 11 (iii) and proposed continued listing standards are being with other markets that are members of Rule 14.11(l) does not include any met. Specifically, the Exchange plans to the Intermarket Surveillance Group specific requirements related to review the website of series of ETF (‘‘ISG’’) or with which the Exchange has ‘‘firewalls’’ that need to be in place Shares in order to ensure that the in place a comprehensive surveillance between certain parties associated with disclosure requirements of Rule 6c–11 sharing agreement. In addition, the a fund and their affiliates. These are being met and to review the Exchange may obtain information differences are discussed below. portfolio underlying series of ETF regarding trading in ETF Shares and Shares listed on the Exchange in order Quantitative Standards certain of their applicable underlying to ensure that certain investment components from markets and other The Exchange believes that the requirements and limitations under the entities that are members of ISG or with proposal is designed to prevent 1940 Act are being met. The Exchange which the Exchange has in place a fraudulent and manipulative acts and will also employ numerous intraday comprehensive surveillance sharing practices because the Exchange will alerts that will notify Exchange agreement. Additionally, FINRA, on perform ongoing surveillance of ETF personnel of trading activity throughout behalf of the Exchange, is able to access, Shares listed on the Exchange in order the day that is potentially indicative of as needed, trade information for certain to ensure compliance with Rule 6c–11 certain disclosures not being made and the 1940 Act on an ongoing basis. accurately or the presence of other 15 Specifically, proposed Rule 14.11(l)(4)(B)(ii) While proposed Rule 14.11(l) does not unusual conditions or circumstances states that the Exchange may consider all relevant include the quantitative requirements that could be detrimental to the factors in exercising its discretion to halt or applicable to an ETF or an ETF’s suspend trading in a series of ETF Shares. Trading maintenance of a fair and orderly may be halted because of market conditions or for holdings or underlying index that are market. As a backstop to the reasons that, in the view of the Exchange, make 12 included in Rules 14.(c) and 14.11(i), surveillances described above, the trading in the Shares inadvisable. These may the Exchange believes that the Exchange also notes that Rule 14.11(a) include: (1) The extent to which certain information manipulation concerns that such about the ETF Shares that is required to be and proposed Rule 14.11(l)(4)(A)(ii) disclosed under Rule 6c–11 of the Investment standards are intended to address are would require an issuer of ETF Shares Company Act of 1940 is not being made available; otherwise mitigated by a combination of to notify the Exchange of any failure to or (2) whether other unusual conditions or comply with Rule 6c–11 or the 1940 circumstances detrimental to the maintenance of a 11 For purposes of this filing, the term ‘‘Intraday fair and orderly market are present. Indicative Value’’ or ‘‘IIV’’ shall mean an intraday Act. 16 Specifically, proposed Rule 14.11(l)(4)(B)(i), estimate of the value of a share of each series of To the extent that any of the provides that if a series of ETF Shares is not in either Index Fund Shares or Managed Fund Shares. requirements under Rule 6c–11 or the compliance with the applicable listing 12 The Exchange notes that Rules 14.11(c) and (i) 1940 Act are not being met, the requirements, including: (a) If the issuer of the ETF include certain quantitative standards related to the Exchange may halt trading in a series of Shares has failed to file any filings required by the size, trading volume, concentration, and diversity of Commission or if the Exchange is aware that the the holdings of a series of Index Fund Shares or issuer is not in compliance with the requirements Managed Fund Shares (the ‘‘Holdings Standards’’) 13 The Exchange notes that the Commission came of Rule 6c–11 of the Investment Company Act of as well as related to the minimum number of to a similar conclusion in several places in the Rule 1940; (b) if any of the other listing requirements set beneficial holders of a fund (the ‘‘Distribution 6c–11 Release. See Rule 6c–11 Release at 15–18; forth in this Rule 14.11(l) are not continuously Standards’’). The Exchange believes that to the 60–61; 69–70; 78–79; 82–84; and 95–96. maintained; or (c) if such other event shall occur extent that manipulation concerns are mitigated 14 The Exchange believes that this applies to all or condition exists which, in the opinion of the based on the factors described herein, such quantitative standards, whether applicable to the Exchange, makes further dealings on the Exchange concerns are mitigated both as it relates to the portfolio holdings of a series of ETF Shares or the inadvisable, the Exchange will commence delisting Holdings Standards and the Distribution Standards. distribution of the ETF Shares. procedures under Rule 14.12.

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fixed income securities that may be held typically calculate their own intraday expressed by the Commission in the by a series of ETF Shares reported to value of an ETF’s portfolio with Rule 6c–11 Release that existing federal FINRA’s Trade Reporting and proprietary algorithms that use an ETF’s securities laws adequately address Compliance Engine (‘‘TRACE’’). FINRA daily portfolio disclosure and available concerns about dissemination and also can access data obtained from the pricing information.21 Such information misuse of material non-public Municipal Securities Rulemaking allows those market participants to information.26 The Exchange also Board’s (‘‘MSRB’’) Electronic Municipal support the arbitrage mechanism for further agrees that issuers of ETF Shares Market Access (‘‘EMMA’’) system ETFs. Therefore, as market participants are likely to be in a position to best relating to municipal bond trading who engage in arbitrage typically understand the circumstances and activity for surveillance purposes in calculate their own intraday value of an relationships that could give rise to connection with trading in a series of ETF’s portfolio based on the ETF’s daily misuse of material non-public ETF Shares, to the extent that a series portfolio disclosure and pricing information and can develop of ETF Shares holds municipal information and use an IIV only as a appropriate measures to address them.27 securities. Finally, as noted above, the secondary check to their own As such, the Exchange is not proposing issuer of a series of ETF Shares will be calculation,22 the Commission noted to include firewall or material non- required to comply with Rule 10A–3 that IIV was not necessary to support public information policies and under the Act for the initial and the arbitrage mechanism.23 Given this, procedures requirements in the generic continued listing of Exchange-Traded combined with potential shortcomings listing standards for ETF Shares because Fund Shares, as provided under Rule of the IIV noted above, the Commission it believes that such issues are 14.10(e)(1)(E). concluded that ETFs will not be sufficiently addressed by existing required to disseminate an IIV under Intraday Indicative Value federal securities laws. Rule 6c–11.24 As described above, proposed Rule The Exchange generally agrees with Discontinuing Quarterly Reporting for 14.11(l) does not include any the limitations and shortcomings of IIV Managed Fund Shares requirements related to the described in the Rule 6c–11 Release. Finally, the Exchange is proposing to dissemination of an Intraday Indicative The Exchange further agrees with the eliminate certain quarterly reporting Value. Both Rule 14.11(c) and Rule conclusion of the Adopting Release that obligations related to the listing and 14.11(i) include the requirement that a the ‘‘IIV is not necessary to support the trading of Managed Fund Shares on the series of Index Fund Shares and arbitrage mechanism for ETFs that Exchange. In the order approving the Managed Fund Shares, respectively, provide daily portfolio holdings Exchange’s proposal to adopt generic disseminate and update an Intraday disclosure.’’ The transparency that listing standards for Managed Fund Indicative Value at least every 15 comes from daily portfolio holdings Shares,28 the Commission noted that the 17 seconds. Historically (and disclosure as required under Rule 6c–11 Exchange had represented that ‘‘on a theoretically), the IIV could provide provides market participants with quarterly basis, the Exchange will valuable information about an ETF that sufficient information to facilitate the provide a report to the Commission staff would not otherwise be available or intraday valuation of ETF Shares. The that contains, for each ETF whose easily calculable. However, as Exchange notes that it is not proposing shares are generically listed and traded consistently highlighted in the Rule 6c– to prohibit the dissemination of an IIV under BATS Rule 14.11(i): (a) Symbol 11 Release, that is not reflective of the for a series of ETF Shares and believes and date of listing; (b) the number of current marketplace and the that there are certain instances in which active authorized participants (‘‘APs’’) Commission has expressed concerns the dissemination of an IIV could and a description of any failure by regarding the accuracy of IIV estimates provide valuable information to the either a fund or an AP to deliver for certain ETFs. Specifically, the investing public. The Exchange is promised baskets of shares, cash, or Commission noted that an IIV may not simply not proposing to require the accurately reflect the value of an ETF dissemination of such information. 26 See 17 CFR 270.38a–1 (Rule 38a–1 under the that holds securities that trade less As such, the Exchange believes that it 1940 Act) (requiring funds to adopt policies and frequently as such IIV can be stale or is appropriate and consistent with the procedures reasonably designed to prevent inaccurate.18 Additionally, the Act to not include a requirement for the violation of federal securities laws); 17 CFR dissemination of an IIV for a series of 270.17j–1(c)(1) (Rule 17j–1(c)(1) under the 1940 Commission indicated that even in Act) (requiring funds to adopt a code of ethics circumstances when an IIV may be ETF Shares to be listed on the Exchange. containing provisions designed to prevent certain reliable, retail investors do not have Firewalls fund personnel (‘‘access persons’’) from misusing easy access to free, publicly available information regarding fund transactions); Section IIV information.19 Further, in instances Both Rule 14.11(c) and Rule 14.11(i) 204A of the Investment Advisers Act of 1940 require under certain circumstances the (‘‘Advisers Act’’) (15 U.S.C. 80b–204A) (requiring when IIV may be free and publicly an adviser to adopt policies and procedures that are available, it can be delayed by up to 45 implementation of firewalls between reasonably designed, taking into account the nature minutes.20 certain affiliates and related employees of its business, to prevent the misuse of material, Aside from the fact that the as well as policies and procedures non-public information by the adviser or any associated person, in violation of the Advisers Act disseminated IIV may provide investors designed to prevent the dissemination 25 or the Act, or the rules or regulations thereunder); with stale or misleading data, the of material non-public information. Section 15(g) of the Act (15 U.S.C. 78o(f)) (requiring Commission also stated that market The Exchange fully supports the a registered broker or dealer to adopt policies and makers and authorized participants rationale underlying these rules, but procedures reasonably designed, taking into generally agrees with the sentiment account the nature of the broker’s or dealer’s business, to prevent the misuse of material, 17 See Rules 14.11(c)(3)(C), 14.11(c)(6)(A), and nonpublic information by the broker or dealer or 14.11(c)(9)(B)(e) related to Index Fund Shares and 21 See Id., at 63. any person associated with the broker or dealer, in Rules 14.11(i)(3)(C), 14.11(i)(4)(B)(i), 22 See Id., at 63. violation of the Exchange Act or the rules or 14.11(i)(4)(B)(iii)(b), and 14.11(i)(4)(B)(iv) related to 23 See Id., at 65. regulations thereunder). Managed Fund Shares. 24 See Id., at 61. 27 See Rule 6c–11 Release at 25. 18 See Rule 6c–11 Release at 62. 25 See Rules 14.11(c)(3)(B)(i) and (iii), Rules 28 See Securities Exchange Act Release No. 78396 19 See Id., at 66. 14.11(c)(4)(C)(i) and (iii), Rules 14.11(c)(5)(A)(i) and (July 22, 2016), 81 FR 49698 (July 28, 2016) (SR– 20 See Id. (iii), and Rule 14.11(7). BATS–2015–100) (the ‘‘MFS Approval Order’’).

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cash and instruments in connection relating to listing and trading ETF circumstances detrimental to the with creation or redemption orders; and Shares on the Exchange provide specific maintenance of a fair and orderly (c) a description of any failure by an initial and continued listing criteria market are present. Finally, proposed ETF to comply with BATS Rule required to be met by such securities. Rule 14.11(l)(4)(B)(iii) provides that, 14.11(i).’’ 29 This reporting requirement Proposed Rule 14.11(l)(4) sets forth upon termination of an investment is not specifically enumerated in Rule initial and continued listing criteria company, the Exchange requires that 14.11(i). applicable to ETF Shares, specifically ETF Shares issued in connection with The Exchange has provided such providing that the Exchange may such entity be removed from Exchange information to the Commission on a approve ETF Shares for listing and/or listing. quarterly basis since the MFS Approval trading (including pursuant to unlisted The Exchange further believes that Order was issued in 2016. The type of trading privileges) on the Exchange proposed Rule 14.11(l) is designed to information provided in the reports was pursuant to Rule 19b–4(e) under the Act prevent fraudulent and manipulative created to provide a window into the so long as such series of ETF Shares is acts and practices because of the robust creation and redemption process for eligible to operate in reliance on Rule surveillances in place on the Exchange Managed Fund Shares in order to ensure 6c–11 and meets all applicable as required under proposed Rule that the arbitrage mechanism would requirements under such Rule 6c–11 14.11(l)(2)(C) along with the similarities work as expected for products that were upon initial listing and on a continuing of proposed Rule 14.11(l) to the rules listed pursuant to the newly approved basis. Proposed Rule 14.11(l)(4)(A)(i) related to other securities that are generic listing standards. In the Rule provides that the Exchange will already listed and traded on the 6c–11 Release, the Commission establish for each series of ETF Shares Exchange and which would qualify as concluded that ‘‘the arbitrage a minimum number of shares required ETF Shares. Proposed Rule 14.11(l) is mechanism for existing actively to be outstanding at the time of based in large part on Rules 14.11(c) and managed ETFs has worked effectively commencement of trading on the (i) related to the listing and trading of with small deviations between market Exchange. Proposed Rule Index Fund Shares and Managed Fund price and NAV per share.’’ 30 The 14.11(l)(4)(A)(i) provides that the Shares on the Exchange, respectively, Exchange generally agrees with this Exchange will obtain a representation both of which are issued under the 1940 conclusion and, while such quarterly from the issuer of each series of ETF Act and would qualify as ETF Shares reports were useful when Managed Shares stating that the disclosures after Rule 6c–11 is effective. Rule Fund Shares were first able to be listed required under Rule 6c–11 of the 14.11(c) and 14.11(i) are very similar, pursuant to generic listing standards, Investment Company Act of 1940 will their primary difference being that the Exchange believes that such a be made available on a daily basis in Index Fund Shares are designed to track window into the creation and compliance with Rule 6c–11 and that an underlying index and Managed Fund redemption process for Managed Fund the issuer will notify the Exchange of Shares are based on an actively Shares no longer provides useful any failure to do so. managed portfolio that is not designed information related to the prevention of Proposed Rule 14.11(l)(4)(B)(i) to track an index. As such, the Exchange manipulation or protection of investors provides that the Exchange will believes that using the Current ETF which it was originally designed to consider the suspension of trading in, Standards as the basis for proposed Rule provide. Further, because the same and will commence delisting 14.11(l) is appropriate because they are general types of information provided in proceedings under Rule 14.12 for, a generally designed to address the issues those reports will be made available series of ETF Shares under any of the associated with ETF Shares. The only under Rule 6c–11 directly from the following circumstances: (a) If the issuer substantial differences between issuers of such securities the Exchange of the ETF Shares has failed to file any proposed Rule 14.11(l) and the Current also believes that it is consistent with filings required by the Commission or if ETF Standards that are not otherwise the Act to remove this reporting the Exchange is aware that the issuer is required under Rule 6c–11 are as obligation because it will be duplicative not in compliance with the follows: (i) proposed Rule 14.11(l) does and no longer necessary. requirements of Rule 6c–11 of the not include the quantitative standards 2. Statutory Basis Investment Company Act of 1940; (b) if applicable to a fund or an index that are included in the Current ETF Standards; The Exchange believes that the any of the other listing requirements set forth in this Rule 14.11(l) are not (ii) proposed Rule 14.11(l) does not proposal is consistent with Section 6(b) include any requirements related to the 31 continuously maintained; or (c) if such of the Act in general and Section dissemination of a fund’s Intraday 6(b)(5) of the Act 32 in particular in that other event shall occur or condition exists which, in the opinion of the Indicative Value; 33 (iii) and proposed it is designed to prevent fraudulent and Rule 14.11(l) does not include any manipulative acts and practices, to Exchange, makes further dealings on the Exchange inadvisable. Proposed Rule specific requirements related to promote just and equitable principles of ‘‘firewalls’’ that need to be in place trade, to remove impediments to and 14.11(l)(4)(B)(ii) provides that the Exchange may consider all relevant between certain parties associated with perfect the mechanism of a free and a fund and their affiliates. open market and a national market factors in exercising its discretion to system, and, in general, to protect halt or suspend trading in a series of Quantitative Standards investors and the public interest. ETF Shares. Trading may be halted because of market conditions or for The Exchange believes that the The Exchange believes that proposed proposal is designed to prevent Rule 14.11(l) is designed to prevent reasons that, in the view of the Exchange, make trading in the Shares fraudulent and manipulative acts and fraudulent and manipulative acts and practices because the Exchange will practices in that the proposed rules inadvisable. These may include: (1) The extent to which certain information perform ongoing surveillance of ETF

29 about the ETF Shares that is required to See MFS Approval Order at footnote 14. 33 For purposes of this filing, the term ‘‘Intraday 30 See Rule 6c–11 Release at 23. be disclosed under Rule 6c–11 is not Indicative Value’’ or ‘‘IIV’’ shall mean an intraday 31 15 U.S.C. 78f. being made available; or (2) whether estimate of the value of a share of each series of 32 15 U.S.C. 78f(b)(5). other unusual conditions or either Index Fund Shares or Managed Fund Shares.

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Shares listed on the Exchange in order 1940 Act are being met. The Exchange Shares. The Exchange or FINRA, on to ensure compliance with Rule 6c–11 will also employ numerous intraday behalf of the Exchange, will and the 1940 Act on an ongoing basis. alerts that will notify Exchange communicate as needed regarding While proposed Rule 14.11(l) does not personnel of trading activity throughout trading in ETF Shares and certain of include the quantitative requirements the day that is potentially indicative of their applicable underlying components applicable to a fund and a fund’s certain disclosures not being made with other markets that are members of holdings or underlying index that are accurately or the presence of other the ISG or with which the Exchange has included in Rules 14.(c) and 14.11(i),34 unusual conditions or circumstances in place a comprehensive surveillance the Exchange believes that the that could be detrimental to the sharing agreement. In addition, the manipulation concerns that such maintenance of a fair and orderly Exchange may obtain information standards are intended to address are market. As a backstop to the regarding trading in ETF Shares and otherwise mitigated by a combination of surveillances described above, the certain of their applicable underlying the Exchange’s surveillance procedures, Exchange also notes that Rule 14.11(a) components from markets and other the Exchange’s ability to halt trading and proposed Rule 14.11(l)(4)(A)(ii) entities that are members of ISG or with under the proposed Rule would require an issuer of ETF Shares which the Exchange has in place a 14.11(l)(4)(B)(ii), and the Exchange’s to notify the Exchange of any failure to comprehensive surveillance sharing ability to suspend trading and comply with Rule 6c–11 or the 1940 agreement. Additionally, FINRA, on commence delisting proceedings under Act. behalf of the Exchange, is able to access, proposed Rule 14.11(l)(4)(B)(i). The To the extent that any of the as needed, trade information for certain Exchange also believes that such requirements under Rule 6c–11 or the fixed income securities that may be held concerns are further mitigated by 1940 Act are not being met, the by a series of ETF Shares reported to enhancements to the arbitrage Exchange may halt trading in a series of FINRA’s TRACE. FINRA also can access mechanism that will come from Rule ETF Shares as provided in proposed 37 data obtained from the MSRB’s EMMA 6c–11, specifically the additional Rule 14.11(l)(4)(B)(ii). Further, the system relating to municipal bond flexibility provided to issuers of ETF Exchange may also suspend trading in trading activity for surveillance Shares through the use of custom and commence delisting proceedings for purposes in connection with trading in baskets for creations and redemptions a series of ETF Shares where such series a series of ETF Shares, to the extent that is not in compliance with the applicable and the additional information made a series of ETF Shares holds municipal listing standards or where the Exchange available to the public through the securities. Finally, as noted above, the additional Disclosure Obligations.35 The believes that further dealings on the issuer of a series of ETF Shares will be Exchange believes that the combination Exchange are inadvisable.38 required to comply with Rule 10A–3 of these factors will act to keep ETF Further, the Exchange also represents under the Act for the initial and Shares trading near the value of their that its surveillance procedures are continued listing of Exchange-Traded underlying holdings and further adequate to properly monitor the Fund Shares, as provided under Rule mitigate concerns around manipulation trading of the ETF Shares in all trading 14.10(e)(1)(E). of ETF Shares on the Exchange without sessions and to deter and detect the inclusion of quantitative violations of Exchange rules. Intraday Indicative Value standards.36 The Exchange will monitor Specifically, the Exchange intends to for compliance with the 1940 Act utilize its existing surveillance As described above, proposed Rule generally as well as Rule 6c–11 procedures applicable to derivative 14.11(l) does not include any specifically in order to ensure that the products, which are currently requirements related to the continued listing standards are being applicable to Index Fund Shares and dissemination of an Intraday Indicative met. Specifically, the Exchange plans to Managed Fund Shares, among other Value. Both Rule 14.11(c) and Rule review the website of series of ETF product types, to monitor trading in ETF 14.11(i) include the requirement that a Shares in order to ensure that the series of Index Fund Shares and disclosure requirements of Rule 6c–11 37 Specifically, proposed Rule 14.11(l)(4)(B)(ii) Managed Fund Shares, respectively, are being met and to review the states that the Exchange may consider all relevant disseminate and update an Intraday factors in exercising its discretion to halt or portfolio underlying series of ETF suspend trading in a series of ETF Shares. Trading Indicative Value at least every 15 Shares listed on the Exchange in order may be halted because of market conditions or for seconds.39 Historically (and to ensure that certain investment reasons that, in the view of the Exchange, make theoretically), the IIV could provide requirements and limitations under the trading in the Shares inadvisable. These may valuable information about an ETF that include: (1) The extent to which certain information about the ETF Shares that is required to be would not otherwise be available or 34 The Exchange notes that Rules 14.11(c) and (i) disclosed under Rule 6c–11 of the Investment easily calculable. However, as include certain quantitative standards related to the Company Act of 1940 is not being made available; consistently highlighted in the Rule 6c– size, trading volume, concentration, and diversity of or (2) whether other unusual conditions or 11 Release, that is not reflective of the the holdings of a series of Index Fund Shares or circumstances detrimental to the maintenance of a Managed Fund Shares (the ‘‘Holdings Standards’’) fair and orderly market are present. current marketplace and the as well as related to the minimum number of 38 Specifically, proposed Rule 14.11(l)(4)(B)(i), Commission has expressed concerns beneficial holders of a fund (the ‘‘Distribution provides that if a series of ETF Shares is not in regarding the accuracy of IIV estimates Standards’’). The Exchange believes that to the compliance with the applicable listing for certain ETFs. Specifically, the extent that manipulation concerns are mitigated requirements, including: (a) If the issuer of the ETF based on the factors described herein, such Shares has failed to file any filings required by the Commission noted that an IIV may not concerns are mitigated both as it relates to the Commission or if the Exchange is aware that the accurately reflect the value of an ETF Holdings Standards and the Distribution Standards. issuer is not in compliance with the requirements that holds securities that trade less 35 The Exchange notes that the Commission came of Rule 6c–11 of the Investment Company Act of frequently as such IIV can be stale or to a similar conclusion in several places in the Rule 1940; (b) if any of the other listing requirements set 6c–11 Release. See Rule 6c–11 Release at 15–18; forth in this Rule 14.11(l) are not continuously 60–61; 69–70; 78–79; 82–84; and 95–96. maintained; or (c) if such other event shall occur 39 See Rules 14.11(c)(3)(C), 14.11(c)(6)(A), and 36 The Exchange believes that this applies to all or condition exists which, in the opinion of the 14.11(c)(9)(B)(e) related to Index Fund Shares and quantitative standards, whether applicable to the Exchange, makes further dealings on the Exchange Rules 14.11(i)(3)(C), 14.11(i)(4)(B)(i), portfolio holdings of a series of ETF Shares or the inadvisable, the Exchange will commence delisting 14.11(i)(4)(B)(iii)(b), and 14.11(i)(4)(B)(iv) related to distribution of the ETF Shares. procedures under Rule 14.12. Managed Fund Shares.

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inaccurate.40 Additionally, the Act to not include a requirement for the promote just and equitable principles of Commission indicated that even in dissemination of an IIV for a series of trade and to protect investors and the circumstances when an IIV may be ETF Shares to be listed on the Exchange. public interest in that the Exchange will reliable, retail investors do not have obtain a representation from the issuer Firewalls easy access to free, publicly available of each series of ETF Shares stating that IIV information.41 Further, in instances Both Rule 14.11(c) and Rule 14.11(i) the Disclosure Requirements under Rule when IIV may be free and publicly require under certain circumstances the 6c–11 of the Investment Company Act available, it can be delayed by up to 45 implementation of firewalls between of 1940 will be made available on a minutes.42 certain affiliates and related employees daily basis in compliance with Rule 6c– Aside from the fact that the as well as policies and procedures 11 and that the issuer will notify the disseminated IIV may provide investors designed to prevent the dissemination Exchange of any failure to do so. In with stale or misleading data, the of material non-public information.47 addition, a large amount of information Commission also stated that market The Exchange fully supports the will be publicly available regarding the makers and authorized participants rationale underlying these rules, but Funds and the Shares, thereby typically calculate their own intraday generally agrees with the sentiment promoting market transparency. value of an ETF’s portfolio with expressed by the Commission in the Quotation and last sale information for proprietary algorithms that use an ETF’s Rule 6c–11 Release that existing federal ETF Shares will be available via the daily portfolio disclosure and available securities laws adequately address CTA high-speed line. The website for pricing information.43 Such information concerns about dissemination and each series of ETF Shares will include allows those market participants to misuse of material non-public a form of the prospectus for the Fund support the arbitrage mechanism for information.48 The Exchange also that may be downloaded, and additional ETFs. Therefore, as market participants further agrees that issuers of ETF Shares data relating to NAV and other who engage in arbitrage typically are likely to be in a position to best applicable quantitative information, calculate their own intraday value of an understand the circumstances and updated on a daily basis. Moreover, ETF’s portfolio based on the ETF’s daily relationships that could give rise to prior to the commencement of trading, portfolio disclosure and pricing misuse of material non-public the Exchange will inform its members in information and use an IIV only as a information and can develop a circular of the special characteristics secondary check to their own appropriate measures to address them.49 and risks associated with trading in the calculation,44 the Commission noted As such, the Exchange is not proposing series of ETF Shares. As noted above, that IIV was not necessary to support to include firewall or material non- series of ETF Shares will not be required the arbitrage mechanism.45 Given this, public information policies and to publicly disseminate an IIV. The combined with potential shortcomings procedures requirements in the generic Exchange continues to believe that this of the IIV noted above, the Commission listing standards for ETF Shares because proposal is consistent with the Act and concluded that ETFs will not be it believes that such issues are is designed to promote just and required to disseminate an IIV under sufficiently addressed by existing equitable principles of trade and to Rule 6c–11.46 federal securities laws. With this in protect investors and the public interest The Exchange generally agrees with mind, the Exchange further believes that because the transparency that comes the limitations and shortcomings of IIV proposed Rule 14.11(l) is consistent from daily portfolio holdings disclosure described in the Rule 6c–11 Release. with the Act and is designed to prevent as required under Rule 6c–11 provides The Exchange further agrees with the fraudulent and manipulative acts and market participants with sufficient conclusion of the Adopting Release that practices. information to facilitate the intraday the ‘‘IIV is not necessary to support the The Exchange also believes that the valuation of ETF Shares, rendering the arbitrage mechanism for ETFs that proposed rule change is designed to dissemination of the IIV unnecessary. provide daily portfolio holdings The Exchange notes that it is not disclosure.’’ The transparency that 47 See Rules 14.11(c)(3)(B)(i) and (iii), Rules proposing to prohibit the dissemination comes from daily portfolio holdings 14.11(c)(4)(C)(i) and (iii), Rules 14.11(c)(5)(A)(i) and (iii), and Rule 14.11(7). of an IIV for a series of ETF Shares and disclosure as required under Rule 6c–11 48 See 17 CFR 270.38a–1 (Rule 38a–1 under the believes that there could be certain provides market participants with 1940 Act) (requiring funds to adopt policies and instances in which the dissemination of sufficient information to facilitate the procedures reasonably designed to prevent an IIV could provide valuable intraday valuation of ETF Shares. The violation of federal securities laws); 17 CFR 270.17j–1(c)(1) (Rule 17j–1(c)(1) under the 1940 information to the investing public. The Exchange notes that it is not proposing Act) (requiring funds to adopt a code of ethics Exchange proposes to leave that to prohibit the dissemination of an IIV containing provisions designed to prevent certain decision to an issuer of ETF Shares and for a series of ETF Shares and believes fund personnel (‘‘access persons’’) from misusing is simply not proposing to require the that there are certain instances in which information regarding fund transactions); Section 204A of the Investment Advisers Act of 1940 dissemination of an IIV. the dissemination of an IIV could (‘‘Advisers Act’’) (15 U.S.C. 80b–204A) (requiring Based on the foregoing discussion provide valuable information to the an adviser to adopt policies and procedures that are regarding proposed Rule 14.11(l) and its investing public. The Exchange is reasonably designed, taking into account the nature similarities to and differences between simply not proposing to require the of its business, to prevent the misuse of material, non-public information by the adviser or any the Current ETF Standards, the dissemination of such information. associated person, in violation of the Advisers Act Exchange believes that the proposal is As such, the Exchange believes that it or the Act, or the rules or regulations thereunder); consistent with the Act and is designed is appropriate and consistent with the Section 15(g) of the Act (15 U.S.C. 78o(f)) (requiring to prevent fraudulent and manipulative a registered broker or dealer to adopt policies and transactions and that the manipulation 40 See Rule 6c–11 Release at 62. procedures reasonably designed, taking into account the nature of the broker’s or dealer’s concerns that the quantitative standards, 41 See Id., at 66. business, to prevent the misuse of material, 42 See Id. the IIV, and the firewall requirements nonpublic information by the broker or dealer or are designed to address are otherwise 43 See Id., at 63. any person associated with the broker or dealer, in 44 See Id., at 63. violation of the Exchange Act or the rules or mitigated by the proposal and the new 45 See Id., at 65. regulations thereunder). Disclosure Obligations and flexibility 46 See Id., at 61. 49 See Rule 6c–11 Release at 25. under Rule 6c–11.

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The proposed rule change is designed is designed to prevent fraudulent and by ensuring the application of uniform to perfect the mechanism of a free and manipulative acts and practices and, in listing standards. open market and, in general, to protect general, to protect investors and the C. Self-Regulatory Organization’s investors and the public interest in that public interest because the report no Statement on Comments on the it will facilitate the listing and trading longer serves the purpose for which it Proposed Rule Change Received From of ETF Shares in a manner that will was originally intended. The type of enhance competition among market information provided in the reports was Members, Participants, or Others participants, to the benefit of investors created to provide a window into the The Exchange has neither solicited and the marketplace. The Exchange creation and redemption process for nor received written comments on the believes that approval of this proposal Managed Fund Shares in order to ensure proposed rule change. will streamline current procedures, that the arbitrage mechanism would III. Date of Effectiveness of the reduce the costs and timeline associated work as expected for products that were Proposed Rule Change and Timing for with bringing ETFs to market, and listed pursuant to the newly approved Commission Action provide significantly greater regulatory generic listing standards. In the Rule certainty to potential issuers 6c–11 Release, the Commission Within 45 days of the date of considering bringing ETF Shares to concluded that ‘‘the arbitrage publication of this notice in the Federal market, thereby enhancing competition mechanism for existing actively Register or within such longer period among ETF issuers and reducing costs managed ETFs has worked effectively up to 90 days (i) as the Commission may for investors.50 with small deviations between market designate if it finds such longer period The Exchange also believes that the price and NAV per share.’’ 51 The to be appropriate and publishes its non-substantive change to amend Rule Exchange generally agrees with this reasons for so finding or (ii) as to which 14.10(e)(1)(E) in order to add ETF conclusion and, while such quarterly the Exchange consents, the Commission Shares to a list of product types listed reports were useful when Managed will: on the Exchange, including Index Fund Fund Shares were first able to be listed A. By order approve or disapprove Shares and Managed Fund Shares, that pursuant to generic listing standards, such proposed rule change, or are exempted from the Audit Committee the Exchange believes that such a B. institute proceedings to determine requirements set forth in Rule window into the creation and whether the proposed rule change 14.10(c)(3), except for the applicable redemption process for Managed Fund should be disapproved. requirements of SEC Rule 10A–3 Shares no longer provides useful IV. Solicitation of Comments because it is a non-substantive change information related to the prevention of meant only to subject ETF Shares to the manipulation or protection of investors Interested persons are invited to same corporate governance which it was originally designed to submit written data, views, and requirements currently applicable to provide. Further, because the same arguments concerning the foregoing, Index Fund Shares and Managed Fund general types of information provided in including whether the proposed rule Shares. The Exchange also believes that those reports will be made available change is consistent with the Act. the non-substantive change to amend under Rule 6c–11 directly from the Comments may be submitted by any of Rule 14.11(c)(3)(A)(i)(a) in order to issuers of such securities the Exchange the following methods: include ETF Shares in the definition of also believes that it is consistent with Electronic Comments Derivative Securities Products is also a the Act to remove this reporting • non-substantive change because it is just obligation because it will be duplicative Use the Commission’s internet intended to add ETF Shares to a and no longer necessary. comment form (http://www.sec.gov/ rules/sro.shtml); or definition that includes Index Fund For the above reasons, the Exchange • Shares and Managed Fund Shares in believes that the proposed rule change Send an email to rule-comments@ order to make sure that ETF Shares are is consistent with the requirements of sec.gov. Please include File Number SR– treated consistently with Index Fund Section 6(b)(5) of the Act. CboeBZX–2019–097 on the subject line. Shares and Managed Fund Shares B. Self-Regulatory Organization’s Paper Comments throughout the Exchange’s rules. Statement on Burden on Competition • Finally, the Exchange believes that Send paper comments in triplicate eliminating the quarterly reporting The Exchange does not believe that to Secretary, Securities and Exchange requirement for Managed Fund Shares the proposed rule change will impose Commission, 100 F Street NE, any burden on competition that is not Washington, DC 20549–1090. 50 In approving the rule, the Commission stated necessary or appropriate in furtherance All submissions should refer to File that the ‘‘rule will modernize the regulatory of the purpose of the Act. To the Number SR–CboeBZX–2019–097. This framework for ETFs to reflect our more than two contrary, the Exchange believes that the file number should be included on the decades of experience with these investment products. The rule is designed to further important proposed rule change would enhance subject line if email is used. To help the Commission objectives, including establishing a competition by streamlining current Commission process and review your consistent, transparent, and efficient regulatory procedures, reducing the costs and comments more efficiently, please use framework for ETFs and facilitating greater timeline associated with bringing ETFs only one method. The Commission will competition and innovation among ETFs.’’ Rule 6c– 11 Release, at 57163. The Commission also stated to market, and providing significantly post all comments on the Commission’s the following regarding the rule’s impact: ‘‘We greater regulatory certainty to potential internet website (http://www.sec.gov/ believe rule 6c–11 will establish a regulatory issuers considering bringing ETF Shares rules/sro.shtml). Copies of the framework that: (1) Reduces the expense and delay to market, all of which the Exchange submission, all subsequent currently associated with forming and operating certain ETFs unable to rely on existing orders; and believes would enhance competition amendments, all written statements (2) creates a level playing field for ETFs that can among ETF issuers and reduce costs for with respect to the proposed rule rely on the rule. As such, the rule will enable investors. The Exchange also believes change that are filed with the increased product competition among certain ETF that the proposed change would make Commission, and all written providers, which can lead to lower fees for investors, encourage financial innovation, and enhance competition among ETF Shares communications relating to the increase investor choice in the ETF market.’’ Rule proposed rule change between the 6c–11 Release, at 57204. 51 See Rule 6c–11 Release at 23. Commission and any person, other than

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those that may be withheld from the The Board will institute an exemption verified notice, the proposed transaction public in accordance with the proceeding pursuant to 49 U.S.C. will allow Regional Rail to acquire provisions of 5 U.S.C. 552, will be 10502(b). A procedural schedule will be direct control, and 3i RR to acquire available for website viewing and set as noted below, consistent with the indirect control, of the Florida printing in the Commission’s Public reply and response deadlines WCL Railroads. Reference Room, 100 F Street NE, requested. The earliest this transaction may be Washington, DC 20549 on official All pleadings, referring to Docket No. consummated is December 6, 2019, the business days between the hours of FD 36346, must be filed with the effective date of the exemption (30 days 10:00 a.m. and 3:00 p.m. Copies of the Surface Transportation Board either via after the verified notice was filed). The filing also will be available for e-filing or in writing addressed to 395 E verified notice states that the parties inspection and copying at the principal Street, SW, Washington, DC 20423– intend to consummate the transaction office of the Exchange. All comments 0001. In addition, a copy of each on or after January 3, 2020.2 received will be posted without change. pleading must be served on WCL’s According to the verified notice, 3i RR Persons submitting comments are representative: Thomas J. Litwiler, Holdings GP LLC controls 3i Holdings cautioned that we do not redact or edit Fletcher & Sippel LLC, 29 North Wacker Partnership L.P., which controls 3i RR personal identifying information from Drive, Suite 800, Chicago, IL 60606– LLC, which controls Regional Rail comment submissions. You should 3208. Holdings, LLC, which controls Regional submit only information that you wish Board decisions and notices are Rail. Regional Rail Holdings, LLC, is a to make available publicly. All available at www.stb.gov. holding company that directly controls submissions should refer to File It is ordered: the following three Class III rail carriers: Number SR–CboeBZX–2019–097, and 1. An exemption proceeding is (1) East Penn Railroad, LLC, which should be submitted on or before instituted under 49 U.S.C. 10502(b). operates in Delaware and Pennsylvania; December 13, 2019. 2. Replies to WCL’s petition are due (2) Middletown & New Jersey Railroad, by December 13, 2019. LLC, which operates in New York; and For the Commission, by the Division of 3. WCL’s response to any replies is (3) Tyburn Railroad LLC, which Trading and Markets, pursuant to delegated due by January 2, 2020. operates in Pennsylvania (collectively, authority.52 4. Notice of this decision will be the Subsidiary Railroads).3 Jill M. Peterson, published in the Federal Register. The verified notice states that: (1) The Assistant Secretary. 5. This decision is effective on its date Florida Railroads do not connect with [FR Doc. 2019–25317 Filed 11–21–19; 8:45 am] of service. each other or with the Subsidiary BILLING CODE 8011–01–P Decided: November 18, 2019. Railroads; (2) the acquisition of control By the Board, Scott M. Zimmerman, Acting of the Florida Railroads is not intended Director, Office of Proceedings. to connect them to any other railroads SURFACE TRANSPORTATION BOARD Kenyatta Clay, in 3i RR’s corporate family; and (3) the Clearance Clerk. proposed transaction does not involve a [Docket No. FD 36346] Class I rail carrier. The proposed [FR Doc. 2019–25334 Filed 11–21–19; 8:45 am] transaction is therefore exempt from the Wisconsin Central Ltd.—Operation BILLING CODE 4915–01–P prior approval requirements of 49 U.S.C. Exemption—Hallett Dock No. 5 in 11323. See 49 CFR 1180.2(d)(2). Duluth, Minn. SURFACE TRANSPORTATION BOARD Under 49 U.S.C. 10502(g), the Board Wisconsin Central Ltd. (WCL), a rail may not use its exemption authority to carrier,1 filed a petition seeking an [Docket No. FD 36365] relieve a rail carrier of its statutory exemption under 49 U.S.C. 10502 from obligation to protect the interests of its 3i RR Holdings GP LLC, 3i Holdings employees. However, 49 U.S.C. 11326(c) the prior approval requirements of 49 Partnership L.P., 3i RR LLC, Regional U.S.C. 10901 to operate a rail/water does not provide for labor protection for Rail Holdings, LLC, and Regional Rail, transactions under 49 U.S.C. 11324 and dock facility in Duluth, Minn., known LLC—Control Exemption—Florida as Hallett Dock No. 5 (the Dock), after 11325 that involve only Class III rail Central Railroad Company, Inc., carriers. Because this transaction WCL acquires the Dock from its current Florida Midland Railroad Company, noncarrier owner, Hallett Dock involves Class III rail carriers only, the Inc., and Florida Northern Railroad Board, under the statute, may not Company. The Dock is an Company, Inc. approximately 100-acre, ground-level impose labor protective conditions for rail/water bulk commodity transfer and 3i RR Holdings GP LLC, 3i Holdings this transaction. storage dock facility that includes a Partnership L.P., 3i RR LLC, and Regional Rail Holdings, LLC between Toronto and Winter Garden and between 2,400-foot vessel berth, two ship Tavares and Sorrento; Midland operates between loaders, a railcar unloader, dry storage (collectively, 3i RR), and Regional Rail, Frostproof and West Lake Wales and between building, approximately 9,000 feet of LLC (Regional Rail), all noncarriers, Gordonville and Winter Haven; and Northern rail trackage on the dock, and have filed a verified notice of exemption operates between Red Level Jct. and north of under 49 CFR 1180.2(d)(2) to acquire Newberry and between Candler and Lowell. approximately 6,300 feet of adjacent 2 On November 6, 2019, 3i RR and Regional Rail railcar holding tracks along the shore from Pinsly Railroad Company control filed a motion for protective order under 49 CFR line. of Florida Central Railroad Company, 1104.14(b), which will be addressed in a separate In an accompanying petition to set a Inc. (Central), Florida Midland Railroad decision. Company, Inc. (Midland), and Florida 3 In Regional Rail Holdings, LLC—Acquisition of procedural schedule, WCL requests that Control Exemption—Regional Rail, LLC, FD 35945 replies to the petition for exemption be Northern Railroad Company, Inc. (STB served Aug. 7, 2015), Regional Rail Holdings, due by December 13, 2019, and WCL’s (Northern) (collectively, the Florida LLC, acquired control of the Subsidiary Railroads. response by January 2, 2020. Railroads), all Class III rail carriers In 3i RR Holdings GP LLC—Control Exemption— 1 Regional Rail Holdings, LLC, FD 36289 (STB served operating in Florida. According to the Apr. 19, 2019), 3i RR Holdings GP LLC, 3i Holdings 52 17 CFR 200.30–3(a)(12). Partnership L.P., and 3i RR LLC, acquired direct 1 WCL is an indirect subsidiary of Canadian 1 The verified notice states that Central operates control of Regional Rail Holdings, LLC, and indirect National Railway Company. between Umatilla and Orlando, with branch lines control of the Subsidiary Railroads.

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If the verified notice contains false or collection involves the collection of overwater operations. The National misleading information, the exemption information related to rules governing Transportation Safety Board is void ab initio. Petitions to revoke the Helicopter Air Ambulance, Commercial recommended several changes following exemption under 49 U.S.C. 10502(d) Helicopter, and Part 91 Helicopter accident investigations. The FAA aims may be filed at any time. The filing of Operations. The information to be to improve the safety record of a petition to revoke will not collected supports the Department of helicopter air ambulances through better automatically stay the effectiveness of Transportation’s strategic goal of safety. oversight of their operations. The FAA the exemption. Petitions to stay must be Specifically, the goal is to promote the will use the information it collects and filed no later than November 29, 2019 public health and safety by working reviews to ensure compliance and (at least seven days before the toward the elimination of adherence with regulations and, if exemption becomes effective). transportation-related deaths and necessary, to take enforcement action on All pleadings, referring to Docket No. injuries. violators of the regulations. FD 36365, must be filed with the DATES: Written comments should be Under the authority of Title 49 CFR, Surface Transportation Board either via submitted by December 23, 2019. Section 44701, Title 14 CFR prescribes e-filing or in writing addressed to 395 E the terms, conditions, and limitations as ADDRESSES: Interested persons are Street, SW, Washington, DC 20423– are necessary to ensure safety in air invited to submit written comments on 0001. In addition, a copy of each transportation. Title 14 CFR parts 91 the proposed information collection to pleading must be served on applicants’ and 135 prescribes the requirements the Office of Information and Regulatory representative, Louis E. Gitomer, Law governing helicopter air ambulance, Affairs, Office of Management and Offices of Louis E. Gitomer, LLC, 600 commercial helicopter, and Part 91 Budget. Comments should be addressed Baltimore Ave., Suite 301, Towson, MD helicopter operations. The information to the attention of the Desk Officer, 21204. collected is used to determine air Department of Transportation/FAA, and According to the verified notice, this operators’ compliance with the sent via electronic mail to oira_ action is categorically excluded from minimum safety standards and the [email protected], or faxed to environmental review under 49 CFR applicants’ eligibility for air operations (202) 395–6974, or mailed to the Office 1105.6(c) and from historic preservation certification. Each operator which seeks of Information and Regulatory Affairs, reporting requirements under 49 CFR to obtain, or is in possession of an Office of Management and Budget, 1105.8(b). operating certificate, must comply with Docket Library, Room 10102, 725 17th Board decisions and notices are the requirements of part 91 or 135, as Street NW, Washington, DC 20503. available at www.stb.gov. applicable, which include maintaining FOR FURTHER INFORMATION CONTACT: data which is used to determine if the Decided: November 18, 2019. Thomas Luipersbeck by email at: By the Board, Scott M. Zimmerman, Acting air carrier is operating in accordance [email protected]; phone: with minimum safety standards. Director, Office of Proceedings. 615–202–9683. Eden Besera, Respondents: Part 135 Helicopter Air SUPPLEMENTARY INFORMATION: Ambulance Operators, Part 135 Clearance Clerk. Public Comments Invited: You are Helicopter Commercial Operators, or [FR Doc. 2019–25331 Filed 11–21–19; 8:45 am] asked to comment on any aspect of this Part 91 Helicopter Operators. BILLING CODE 4915–01–P information collection, including: (a) Frequency: On Occasion. Whether the proposed collection of Estimated Average Burden per information is necessary for FAA’s Response: Varies by Response Type. DEPARTMENT OF TRANSPORTATION performance; (b) the accuracy of the Estimated Total Annual Burden: estimated burden; (c) ways for FAA to 132,639 Hours. Federal Aviation Administration enhance the quality, utility and clarity of the information collection; and (d) Issued in Washington DC, on November 19, [Docket No. FAA–2019–0748] 2019. ways that the burden could be Sandra L. Ray, Agency Information Collection minimized without reducing the quality Activities: Requests for Comments; of the collected information. The agency Aviation Safety Inspector, FAA, Policy Integration Branch, AFS–270. Clearance of a Renewed Approval of will summarize and/or include your Information Collection: Helicopter Air comments in the request for OMB’s [FR Doc. 2019–25349 Filed 11–21–19; 8:45 am] Ambulance, Commercial Helicopter, clearance of this information collection. BILLING CODE 4910–13–P and Part 91 Helicopter Operations OMB Control Number: 2120–0756. Title: Helicopter Air Ambulance, AGENCY: Federal Aviation Commercial Helicopter, and Part 91 DEPARTMENT OF VETERANS Administration (FAA), DOT. Helicopter Operations. AFFAIRS ACTION: Form Numbers: 2170–0761, Notice and request for [OMB Control No. 2900–0325] comments. Helicopter Air Ambulance Mandatory Flight Information Report. Agency Information Collection SUMMARY: In accordance with the Type of Review: Renewal of an Activity: Certificate of Delivery of Paperwork Reduction Act of 1995, FAA information collection. Advance Payment and Enrollment invites public comments about our Background: The Federal Register intention to request the Office of Notice with a 60-day comment period AGENCY: Veterans Benefits Management and Budget (OMB) soliciting comments on the following Administration, Department of Veterans approval to renew an information collection of information was published Affairs. collection. The Federal Register Notice on September 19, 2019 (84 FR 48989). ACTION: Notice. with a 60-day comment period soliciting These requirements in part 135 are comments on the following collection of addressed specifically to helicopter air SUMMARY: The Veterans Benefits information was published on ambulances, often referred to as Administration (VBA), Department of September 19, 2019. No comments were emergency medical services (EMS), and Veterans Affairs (VA), is announcing an received from the comment period. The to on-demand operations including opportunity for public comment on the

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proposed collection of certain SUPPLEMENTARY INFORMATION: Under the 21.7640(d); 10 U.S.C. 16136(b), information by the agency. Under the PRA of 1995, Federal agencies must 16166(b). Paperwork Reduction Act (PRA) of obtain approval from the Office of Title: Certificate of Delivery of 1995, Federal agencies are required to Management and Budget (OMB) for each Advance Payment and Enrollment (VA publish notice in the Federal Register collection of information they conduct Form 22–1999v). concerning each proposed collection of or sponsor. This request for comment is OMB Control Number: 2900–0325. information, including each proposed being made pursuant to Section Type of Review: Revision of a extension of a currently approved 3506(c)(2)(A) of the PRA. currently approved collection. collection, and allow 60 days for public With respect to the following Abstract: VA uses information from comment in response to the notice. collection of information, VBA invites the current collection at the beginning of the school term to ensure that DATES: Written comments and comments on: (1) Whether the proposed advance payments have been delivered recommendations on the proposed collection of information is necessary and to determine whether the student collection of information should be for the proper performance of VBA’s has increased, reduced, or terminated received on or before January 21, 2020. functions, including whether the information will have practical utility; training. ADDRESSES: Submit written comments (2) the accuracy of VBA’s estimate of the Affected Public: Individuals or on the collection of information through burden of the proposed collection of households. Federal Docket Management System information; (3) ways to enhance the Estimated Annual Burden: 58 hours. (FDMS) at www.Regulations.gov or to quality, utility, and clarity of the Estimated Average Burden per Nancy J. Kessinger, Veterans Benefits information to be collected; and (4) Respondent: 5 minutes. Administration (20M33), Department of ways to minimize the burden of the Frequency of Response: On occasion. Veterans Affairs, 810 Vermont Avenue collection of information on Estimated Number of Respondents: NW, Washington, DC 20420 or email to respondents, including through the use 475. [email protected]. Please refer to of automated collection techniques or By direction of the Secretary. ‘‘OMB Control No. 2900–0325’’ in any the use of other forms of information Danny S. Green, correspondence. During the comment technology. Interim VA Clearance Officer, Office of period, comments may be viewed online Authority: 38 U.S.C. 3034, 3241, 3531, Quality, Privacy and Risk, Department of through the FDMS. 3680(d), 3684; 38 CFR 21.4138a, Veterans Affairs. FOR FURTHER INFORMATION CONTACT: 21.4203(a) and (d), 21.5135, 21.5200(d), [FR Doc. 2019–25348 Filed 11–21–19; 8:45 am] Danny S. Green at (202) 421–1354. and 21.5292(e)(2), 21.7151(b), and BILLING CODE 8320–01–P

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Part II

Environmental Protection Agency

40 CFR Part 423 Effluent Limitations Guidelines and Standards for the Steam Electric Power Generating Point Source Category; Proposed Rule

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ENVIRONMENTAL PROTECTION eg/steam-electric-power-generating- Revisions to the Effluent Limitations AGENCY effluent-guidelines-2019-proposed- Guidelines and Standards for the Steam revisions. Electric Power Generating Point Source 40 CFR Part 423 ADDRESSES: Submit your comments on Category (Supplemental TDD), [EPA–HQ–OW–2009–0819; FRL–10002–04– the proposed rule, identified by Docket Document No. EPA–821–R–19–009. OW] No. EPA–HQ–OW–2009–0819, by one of This report summarizes the technical and engineering analyses supporting the RIN 2040–AF77 the following methods: • Federal eRulemaking Portal: proposed rule. The Supplemental TDD Effluent Limitations Guidelines and https://www.regulations.gov/ (preferred presents the EPA’s updated analyses Standards for the Steam Electric method). Follow the online instructions supporting the proposed revisions to Power Generating Point Source for submitting comments. FGD wastewater and BA transport Category • Email: [email protected]. water. These updates include additional Include Docket ID No. EPA–HQ–OW– data collection that has occurred since AGENCY: Environmental Protection 2009–0819 (specify the applicable the publication of the 2015 rule, updates Agency. docket number) in the subject line of the to the industry (e.g., retirements, ACTION: Proposed rule. message. updates to FGD treatment and BA • Fax: (202) 566–9744. Attention handling), cost methodologies, pollutant SUMMARY: The Environmental Protection Docket ID No. EPA–HQ–OW–2009–0819 removal estimates, corresponding Agency (the EPA or the Agency) is (specify the applicable docket number). nonwater quality environmental proposing a regulation to revise the • Mail: U.S. Environmental impacts associated with updated FGD technology-based effluent limitations Protection Agency, EPA Docket Center, and BA methodologies, and calculation guidelines and standards (ELGs) for the Docket ID No. EPA–HQ–OW–2009– of the proposed effluent limitations. steam electric power generating point 0819, Office of Science and Technology Except for the updates described in the source category applicable to flue gas Docket, Mail Code 28221T, 1200 Supplemental TDD, the Technical desulfurization (FGD) wastewater and Pennsylvania Avenue NW, Washington, Development Document for the Effluent bottom ash (BA) transport water. This DC 20460. Limitations Guidelines and Standards proposal is estimated to save • Hand Delivery/Courier: EPA Docket for the Steam Electric Power Generating approximately $175 million dollars Center, WJC West Building, Room 3334, Point Source Category (2015 TDD, annually in pre-tax compliance costs 1301 Constitution Avenue NW, Document No. EPA–821–R–15–007) is and $137 million dollars annually in Washington, DC 20004. The Docket still applicable and provides a more social costs as a result of less costly FGD Center’s hours of operations are 8:30 complete summary the EPA’s data wastewater technologies that could be a.m.–4:30 p.m., Monday–Friday (except collection, description of the industry, used with the proposed relaxation of the Federal Holidays). and underlying analyses supporting the Steam Electric Power Generating Instructions: All submissions received 2015 rule. Effluent Guidelines 2015 rule (the 2015 must include the Docket ID No. for this • Supplemental Environmental rule) selenium limitation; less costly BA rulemaking. Comments received may be Assessment for Proposed Revisions to transport water technologies made posted without change to https:// the Effluent Limitations Guidelines and possible by the proposed relaxation of www.regulations.gov/, including any Standards for the Steam Electric Power the 2015 rule’s zero discharge personal information provided. For Generating Point Source Category limitations; a two-year extension of detailed instructions on sending (Supplemental EA), Document No. compliance timeframes for meeting FGD comments and additional information EPA–821–R–19–010. This report wastewater limits, and additional on the rulemaking process, see the summarizes the potential environmental proposed subcategories for both FGD ‘‘Public Participation’’ heading of the and human health impacts that are wastewater and BA transport water. SUPPLEMENTARY INFORMATION section of estimated to result from implementation EPA also believes that participation in this document. of the proposed revisions to the 2015 the voluntary incentive program would FOR FURTHER INFORMATION CONTACT: For rule. further reduce the pollutants that these technical information, contact Richard • Benefit and Cost Analysis for steam electric facilities discharge in Benware, Engineering and Analysis Proposed Revisions to the Effluent FGD wastewater by approximately 105 Division, Telephone: 202–566–1369; Limitations Guidelines and Standards million pounds per year. Email: [email protected]. For for the Steam Electric Power Generating DATES: economic information, contact James Point Source Category (BCA Report), Comments. Comments on this Covington, Engineering and Analysis Document No. EPA–821–R–19–011. proposed rule must be received on or Division, Telephone: 202–566–1034; This report summarizes estimated before January 21, 2020. Email: [email protected]. societal benefits and costs that are Public Hearing. The EPA will conduct SUPPLEMENTARY INFORMATION: estimated to result from implementation an online public hearing about today’s Preamble Acronyms and of the proposed revisions to the 2015 proposed rule on December 19, 2019. Abbreviations. We use multiple rule. Following a brief presentation by EPA acronyms and terms in this preamble. • Regulatory Impact Analysis for personnel, the Agency will accept oral While this list may not be exhaustive, to Proposed Revisions to the Effluent comments that will be limited to three ease the reading of this preamble and for Limitations Guidelines and Standards (3) minutes per commenter. The hearing reference purposes, the EPA defines for the Steam Electric Power Generating will be recorded and transcribed, and terms and acronyms used in Appendix Point Source Category (RIA), Document the EPA will consider all of the oral A. No. EPA–821–R–19–012. This report comments provided, along with the Supporting Documentation. The rule presents a profile of the steam electric written public comments submitted via proposed today is supported by a power generating industry, a summary the docket for this rulemaking. To number of documents including: of estimated costs and impacts register for the hearing, please visit the • Supplemental Technical associated with the proposed revisions EPA’s website at https://www.epa.gov/ Development Document for Proposed to the 2015 rule, and an assessment of

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the potential impacts on employment 1. Subcategory for Facilities With High 4. Long-Term Averages and Effluent and small businesses. FGD Flows Limitations and Standards for FGD • Docket Index for the Proposed 2. Subcategory for Boilers With Low Wastewater Revisions to the Steam Electric ELGs. Utilization B. BA Transport Water Limitations 1. Maximum 10 Percent 30-Day Rolling This document provides a list of the 3. Subcategory for Boilers Retiring by 2028 D. Availability Timing of New Average Purge Rate additional memoranda, references, and Requirements 2. Best Management Practices Plan other information relied upon by the E. Regulatory Sub-Options To Address XIV. Regulatory Implementation EPA for the proposed revisions to the Bromides A. Implementation of the Limitations and ELGs. F. Economic Achievability Standards Organization of this Document. The G. Non-Water Quality Environmental 1. Timing information in this preamble is Impacts 2. Implementation for the Low Utilization organized as follows: H. Impacts on Residential Electricity Prices Subcategory and Low-Income and Minority a. Determining Boiler Net Generation I. Executive Summary Populations b. Tiering Limitations II. Public Participation I. Additional Rationale for the Proposed 3. Addressing Withdrawn or Delayed III. General Information PSES Retirement A. Does this action apply to me? VIII. Costs, Economic Achievability, and a. Involuntary Retirement Delays B. What action is the Agency Taking? Other Economic Impacts b. Voluntary Retirement Withdrawals and Delays C. What is the Agency’s authority for A. Facility-Specific and Industry Total B. Reporting and Recordkeeping taking this action? Costs D. What are the monetized incremental Requirements B. Social Costs costs and benefits of this action? C. Site-Specific Water Quality-Based C. Economic Impacts IV. Background Effluent Limitations 1. Screening-Level Assessment A. Clean Water Act XV. Related Acts of Congress, Executive a. Facility-Level Cost-to-Revenue Analysis B. Relevant Effluent Guidelines Orders, and Agency Initiatives b. Parent Entity-Level Cost-to-Revenue 1. Best Practicable Control Technology A. Executive Orders 12866 (Regulatory Analysis Currently Available (BPT) Planning and Review) and 13563 2. Electricity Market Impacts 2. Best Available Technology Economically (Improving Regulation and Regulatory a. Impacts on Existing Steam Electric Achievable (BAT) Review) Facilities 3. Pretreatment Standards for Existing B. Executive Order 13771 (Reducing b. Impacts on Individual Facilities Sources (PSES) Regulation and Controlling Regulatory Incurring Costs C. 2015 Rule Costs) D. Legal Challenges, Administrative IX. Changes to Pollutant Loadings C. Paperwork Reduction Act Petitions, Section 705 Action, A. FGD Wastewater D. Regulatory Flexibility Act Postponement Rule, and Reconsideration B. BA Transport Water E. Unfunded Mandates Reform Act of Certain Limitations and Standards C. Summary of Incremental Changes of F. Executive Order 13132: Federalism E. Other Ongoing Rules Impacting the Pollutant Loadings From Proposed G. Executive Order 13175: Consultation Steam Electric Sector Regulatory Options and Coordination With Indian Tribal 1. Clean Power Plan (CPP) and Affordable X. Non-Water Quality Environmental Impacts Governments Clean Energy (ACE) A. Energy Requirements H. Executive Order 13045: Protection of 2. Coal Combustion Residuals (CCR) B. Air Pollution Children From Environmental Health F. Scope of This Proposed Rulemaking C. Solid Waste Generation and Beneficial Risks and Safety Risks V. Steam Electric Power Generating Industry Use I. Executive Order 13211: Actions That Description D. Changes in Water Use Significantly Affect Energy Supply, A. General Description of Industry XI. Environmental Assessment Distribution, or Use B. Current Market Conditions in the A. Introduction J. National Technology Transfer and Electricity Generation Sector B. Updates to the Environmental Advancement Act C. Control and Treatment Technologies Assessment Methodology K. Executive Order 12898: Federal Actions 1. FGD Wastewater C. Outputs From the Environmental To Address Environmental Justice in 2. BA Transport Water Assessment Minority Populations and Low-Income VI. Data Collection Since the 2015 Rule XII. Benefits Analysis Populations A. Information From the Electric Utility A. Categories of Benefits Analyzed L. Congressional Review Act (CRA) Industry B. Quantification and Monetization of Appendix A to the Preamble: Definitions, 1. Engineering Site Visits Benefits Acronyms, and Abbreviations Used in 2. Data Requests, Responses, and Meetings 1. Changes in Human Health Benefits From This Preamble 3. Voluntary BA Transport Water Sampling Changes in Surface Water Quality I. Executive Summary 4. Electric Power Research Institute (EPRI) 2. Changes in Surface Water Quality Voluntary Submission 3. Effects on Threatened and Endangered A. Purpose of Rule Species 5. Meetings With Trade Associations Coal-fired facilities are impacted by B. Information From the Drinking Water 4. Changes in Benefits From Marketing of Utility Industry and States Coal Combustion Residuals several environmental regulations. One C. Information From Technology Vendors 5. Changes in Dredging Costs of these regulations, the Steam Electric and Engineering, Procurement, and 6. Changes in Air-Related Effects Power Generating ELGs was Construction (EPC) Firms 7. Benefits From Changes in Water promulgated in 2015 (80 FR 67838; D. Other Data Sources Withdrawals November 3, 2015) and applies to the VII. Proposed Regulation C. Total Monetized Benefits subset of the electric power industry A. Description of the BAT/PSES Options D. Unmonetized Benefits where ‘‘generation of electricity is the 1. FGD Wastewater XIII. Development of Effluent Limitations predominant source of revenue or 2. BA Transport Water and Standards principal reason for operation, and B. Rationale for the Proposed BAT A. FGD Wastewater 1. FGD Wastewater 1. Overview of the Limitations and whose generation of electricity results 2. BA Transport Water Standards primarily from a process utilizing fossil- 3. Rationale for Voluntary Incentives 2. Criteria Used To Select Data type fuel (coal, oil, gas), fuel derived Program (VIP) 3. Data Used To Calculate Limitations and from fossil fuel (e.g., petroleum coke, C. Additional Proposed Subcategories Standards synthesis gas), or nuclear fuel in

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conjunction with a thermal cycle accounting for that facility’s ability to save $166.2 million per year in social employing the steam-water system as recycle the wastewater to the maximum costs and between $28.4 million and the thermodynamic medium.’’ (40 CFR limits for the FGD system materials of $74.4 million in benefits, using a seven 423.10). The 2015 rule addressed construction) or low utilization boilers percent discount. Table XV–1 discharges from flue gas desulfurization (876,000 MWh per year or less), the summarizes the benefits and social costs (FGD) wastewater, fly ash transport proposed rule would establish the for the four regulatory options at a three water, bottom ash transport water, flue second set of BAT limitations in the percent discount rates. The EPA’s gas mercury control wastewater, discharge of FGD wastewater as numeric analysis reflects the Agency’s gasification wastewater, combustion effluent limitations only on mercury understanding of the actions steam residual leachate, and non-chemical and arsenic (and not on selenium and electric facilities will take to meet the metal cleaning wastes. nitrate/nitrite as nitrogen). For low limitations and standards in the final In the few years since the steam utilization boilers, the proposed rule rule. The EPA based its analysis on a electric ELGs were revised in 2015, would establish BAT limitations for BA baseline that reflects the expected steam electric facilities have installed transport water for TSS, and would also impacts of announced retirements and more affordable technologies which are include standards for implementation of fuel conversions, impacts of relevant capable of removing a similar amount of a best management practices (BMP) rules such as the Coal Combustion pollution as those which existed in plan. For oil-fired boilers, small boilers Residuals (CCR) rule that the Agency 2015. This proposal would revise (50 MW or less), and boilers retiring by promulgated in April 2015 and the requirements for two of the waste 2028, the proposed rule would establish Affordable Clean Energy Rule (ACE) that streams addressed in the 2015 rule: BAT limitations for TSS in FGD the Agency promulgated in 2019, and Bottom ash (BA) transport water and wastewater and bottom ash transport the full implementation of the 2015 flue gas desulfurization (FGD) water. rule. The EPA understands that these wastewater—two of the facilities’ largest The proposed rule would establish a modeled results have uncertainty and sources of wastewater—while reducing voluntary incentives program that that the actual costs could be higher or industry costs as compared to the costs provides the certainty of more time lower than estimated. The current of the 2015 rule’s controls. This (until December 31, 2028) for facilities estimate reflects the best data and proposal does not seek to revise the to implement new standards and analysis available at this time. For other waste streams covered by the 2015 limitations, if they adopt additional additional information, see Sections V rule. process changes and controls that and VIII. achieve more stringent limitations on B. Summary of Proposed Rule mercury, arsenic, selenium, nitrate/ II. Public Participation For existing sources that discharge nitrite, bromide, and total dissolved directly to surface water, with the solids in FGD wastewater. The optional Submit your comments, identified by exception of the subcategories discussed program offers environmental Docket ID No. EPA–HQ–OW–2009– below, the proposed rule would protections beyond those achieved by 0819, at https://www.regulations.gov establish the following effluent the proposed BAT limitations, while (our preferred method), or the other limitations based on Best Available providing facilities that opt into the methods identified in the ADDRESSES Technology Economically Achievable program more flexibility (such as section. Once submitted, comments (BAT): additional time) than the current cannot be edited or removed from the • For flue gas desulfurization voluntary incentives program. docket. The EPA may publish any wastewater, there are two sets of For indirect discharges (i.e., comment received to its public docket. proposed BAT limitations. The first set discharges to publicly owned treatment Do not submit electronically any of limitations is a numeric effluent works), the proposed rule establishes information you consider to be limitation on Total Suspended Solids pretreatment standards for existing Confidential Business Information (CBI) (TSS) in the discharge of FGD sources that are the same as the BAT or other information whose disclosure is wastewater. The second set of BAT limitations, except for TSS, where there restricted by statute. Multimedia limitations comprises numeric effluent is no pass through of pollutants at submissions (audio, video, etc.) must be limitations on mercury, arsenic, POTWs. accompanied by a written comment. selenium, and nitrate/nitrite as nitrogen Where BAT limitations in this rule are The written comment is considered the in the discharge of FGD wastewater. more stringent than previously official comment and should include • For bottom ash transport water, established BPT limitations, the EPA discussion of all points you wish to there are two sets of proposed BAT proposes that those limitations do not make. The EPA will generally not limitations. The first set of BAT apply until a date determined by the consider comments or comment limitations is a numeric effluent permitting authority that is as soon as contents located outside of the primary limitation on TSS in the discharge of possible on or after November 1, 2020, submission (i.e., on the web, cloud, or these wastewaters. The second set of but that is no later than December 31, other file sharing system). For BAT limitations is a not-too-exceed 10 2023 (for BA transport water) or additional submission methods, the full percent volumetric purge limitation. December 31, 2025 (for FGD EPA public comment policy, The proposed rule includes separate wastewater). information about CBI or multimedia requirements for the following submissions, and general guidance on subcategories: High flow facilities, low C. Summary of Costs and Benefits making effective comments, please visit utilization boilers, and boilers retiring The EPA has estimated costs and https://www.epa.gov/dockets/ by 2028. The proposed rule does not benefits of four different regulatory commenting-epa-dockets. seek to change the existing options. The EPA estimates that its subcategories for oil-fired boilers and proposed option (i.e., Option 2) will III. General Information small generating units (50 MW or less) save $136.3 million per year in social A. Does this action apply to me? from the 2015 rule. For high flow costs and result in between $14.8 facilities (FGD wastewater flows over million and $68.5 million in benefits, Entities potentially regulated by any four million gallons per day after using a three percent discount, and will final rule following this action include:

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North American Industry Classification System Category Example of regulated entity (NAICS) code

Industry ...... Electric Power Generation Facilities—Electric Power Generation ...... 22111 Electric Power Generation Facilities—Fossil Fuel Electric Power Generation ...... 221112

This section is not intended to be Discharge Elimination System (NPDES) applicable effluent limitation guideline exhaustive, but rather provides a guide permit. The CWA establishes a dual or new source performance standard regarding entities likely to be regulated approach for these permits: (1) (CWA section 402(a)(1)(B), 33 U.S.C. by any final rule following this action. Technology-based controls that 1342(a)(1)(B)). Additional limitations Other types of entities that do not meet establish a floor of performance for all are also required in the permit where the above criteria could also be dischargers, and (2) water quality-based necessary to meet WQS. CWA section regulated. To determine whether your effluent limitations, where the 301(b)(1)(C), 33 U.S.C. 1311(b)(1)(C). facility is regulated by any final rule technology-based effluent limitations The ELGs are established by EPA following this action, you should are insufficient to meet applicable water regulation for categories of industrial carefully examine the applicability quality standards (WQS). As the basis dischargers and are based on the degree for the technology-based controls, the criteria listed in 40 CFR 423.10 and the of control that can be achieved using CWA authorizes the EPA to establish definitions in 40 CFR 423.11 of the 2015 various levels of pollution control rule. If you still have questions national technology-based effluent technology, as specified in the Act (e.g., regarding the applicability of any final limitations guidelines and new source BPT, BCT, BAT; see below). rule following this action to a particular performance standards for discharges entity, consult the person listed for into waters of the United States from EPA promulgates national ELGs for technical information in the preceding categories of point sources (such as industrial categories for three classes of FOR FURTHER INFORMATION CONTACT industrial, commercial, and public pollutants: (1) Conventional pollutants section. sources). (total suspended solids (TSS), oil and The CWA also authorizes the EPA to grease, biochemical oxygen demand B. What action is the Agency taking? promulgate nationally applicable (BOD5), fecal coliform, and pH), as The agency is proposing to revise pretreatment standards that control outlined in CWA section 304(a)(4), 33 certain Best Available Technology pollutant discharges from sources that U.S.C. 1314(a)(4), and 40 CFR 401.16; Economically Achievable (BAT) effluent discharge wastewater indirectly to (2) toxic pollutants (e.g., toxic metals limitations guidelines and pretreatment waters of the U.S., through sewers such as arsenic, mercury, selenium, and flowing to POTWs, as outlined in standards for existing sources in the chromium; toxic organic pollutants such steam electric power generating point sections 307(b) and (c) of the CWA, 33 as benzene, benzo-a-pyrene, phenol, and source category that apply to FGD U.S.C. 1317(b) and (c). The EPA naphthalene), as outlined in CWA wastewater and BA transport water. establishes national pretreatment standards for those pollutants in section 307(a), 33 U.S.C. 1317(a); 40 C. What is the Agency’s authority for wastewater from indirect dischargers CFR 401.15 and 40 CFR part 423, taking this action? that pass through, interfere with, or are appendix A; and (3) nonconventional The EPA is proposing to promulgate otherwise incompatible with POTW pollutants, which are those pollutants this rule under the authority of sections operations. Pretreatment standards are that are not categorized as conventional 301, 304, 306, 307, 308, 402, and 501 of designed to ensure that wastewaters or toxic (e.g., ammonia-N, phosphorus, the Clean Water Act (CWA), 33 U.S.C. from direct and indirect industrial and total dissolved solids (TDS)). 1311, 1314, 1316, 1317, 1318, 1342, and dischargers are subject to similar levels B. Relevant Effluent Guidelines 1361. of treatment. See CWA section 301(b), D. What are the monetized incremental 33 U.S.C. 1311(b). In addition, POTWs The EPA establishes ELGs based on costs and benefits of this action? are required to implement local the performance of well-designed and treatment limitations applicable to their This action is estimated to save well-operated control and treatment industrial indirect dischargers to satisfy technologies. The legislative history also $136.3 million per year in social costs any local requirements. See 40 CFR and result in between $14.8 million and supports that the EPA need not consider 403.5. water quality impacts on individual $68.5 million in benefits, using a 3 Direct dischargers (those discharging water bodies as the guidelines are percent discount rate. Using a 7 percent to waters of the U.S. rather than to a developed; see Statement of Senator discount rate, the estimated savings are POTW) must comply with effluent Muskie (principal author) (October 4, $166.2 million per year and benefits are limitations in NPDES permits. Indirect between $28.4 million and $74.4 dischargers, who discharge through 1972), reprinted in Legislative History of million. POTWs, must comply with pretreatment the Water Pollution Control Act Amendments of 1972, at 170. (U.S. IV. Background standards. Technology-based effluent limitations and standards in NPDES Senate, Committee on Public Works, A. Clean Water Act permits are derived from effluent Serial No. 93–1, January 1973). Among its core provisions, the CWA limitations guidelines (CWA sections There are four types of standards prohibits the discharge of pollutants 301 and 304, 33 U.S.C. 1311 and 1314) applicable to direct dischargers and two from a point source to waters of the and new source performance standards types of standards applicable to indirect U.S., except as authorized under the (CWA section 306, 33 U.S.C. 1316) dischargers. The three standards CWA. Under section 402 of the CWA, 33 promulgated by the EPA, or are based relevant to this rulemaking are U.S.C. 1342, discharges may be on best professional judgment (BPJ) described in detail below. authorized through a National Pollutant where EPA has not promulgated an

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1. Best Practicable Control Technology effect of the cost of compliance with CWA of 1977, Serial No. 95–14 at 271 Currently Available (BPT) BAT limitations on overall industry and (1978). The General Pretreatment Traditionally, the EPA establishes subcategory (if applicable) financial Regulations, which set forth the effluent limitations based on BPT by conditions. BAT is intended to reflect framework for the implementation of reference to the average of the best the highest performance in the industry, categorical pretreatment standards, are performances of facilities within the and it may reflect a higher level of found at 40 CFR 403. These regulations industry, grouped to reflect various performance than is currently being establish pretreatment standards that ages, sizes, processes, or other common achieved based on technology apply to all non-domestic dischargers. characteristics. The EPA promulgates transferred from a different subcategory See 52 FR 1586 (January 14, 1987). or category, bench scale or pilot studies, BPT effluent limitations for C. 2015 Rule or foreign facilities. Am. Paper Inst. v. conventional, toxic, and Train, 543 F.2d 328, 353 (D.C. Cir. The EPA, on September 30, 2015, nonconventional pollutants. In 1976); Am. Frozen Food Inst. v. Train, finalized a rule revising the regulations specifying BPT, the EPA looks at a 539 F.2d 107, 132 (D.C. Cir. 1976). BAT for the Steam Electric Power Generating number of factors. The EPA first may be based upon process changes or point source category (40 CFR part 423) considers the cost of achieving effluent internal controls, even when these (hereinafter the ‘‘2015 rule’’). The rule reductions in relation to the effluent technologies are not common industry set the first federal limitations on the reduction benefits. The Agency also practice. See Am. Frozen Food Inst., 539 levels of toxic metals in wastewater that considers the age of equipment and F.2d at 132, 140; Reynolds Metals Co. v. can be discharged from steam electric facilities, the processes employed, EPA, 760 F.2d 549, 562 (4th Cir. 1985); facilities, based on technology engineering aspects of the control Cal. & Hawaiian Sugar Co. v. EPA, 553 improvements in the steam electric technologies, any required process F.2d 280, 285–88 (2nd Cir. 1977). power industry over the preceding three changes, non-water quality One way that EPA may take into decades. Prior to the 2015 rule, environmental impacts (including account differences within an industry regulations for the industry had been energy requirements), and such other when establishing BAT limitations is last updated in 1982. factors as the Administrator deems through subcategorization. The Supreme New technologies for generating appropriate. See CWA section Court has recognized that the electric power and the widespread 304(b)(1)(B), 33 U.S.C. 1314(b)(1)(B). If, substantive test for subcategorizing an implementation of air pollution controls however, existing performance is industry is the same as that which over the last 30 years have altered uniformly inadequate, the EPA may applies to establishing fundamentally existing wastewater streams or created establish limitations based on higher different factor variances—i.e., whether new wastewater streams at many steam levels of control than those currently in the plants are different with respect to electric facilities, particularly coal-fired place in an industrial category, when relevant statutory factors. See Chem. facilities. Discharges of these based on an Agency determination that Mfrs. Ass’n v. EPA, 870 F.2d 177, 214 wastestreams include arsenic, lead, the technology is available in another n.134 (5th Cir. 1989) (citing Chem. Mfrs. mercury, selenium, chromium, and category or subcategory and can be Ass’n v. NRDC, 470 U.S. 116, 119–22, cadmium. Many of these toxic practically applied. 129–34 (1985)). Courts have stated that pollutants, once in the environment, remain there for years, and continue to 2. Best Available Technology there need only be a rough basis for cause impacts. Economically Achievable (BAT) subcategorization. See Chem. Mfrs. Ass’n v. EPA, 870 F.2d at 215 n.137 The 2015 rule addressed effluent BAT represents the second level of (summarizing cases). limitations and standards for multiple control for direct discharges of toxic and wastestreams generated by new and nonconventional pollutants. As the 3. Pretreatment Standards for Existing existing steam electric facilities: BA statutory phrase intends, the EPA Sources (PSES) transport water, combustion residual considers the technological availability Section 307(b) of the CWA, 33 U.S.C. leachate, FGD wastewater, flue gas and the economic achievability in 1317(b), authorizes the EPA to mercury control wastewater, fly ash determining what level of control promulgate pretreatment standards for (FA) transport water, and gasification represents BAT. CWA section discharges of pollutants to POTWs. wastewater. The rule required most 301(b)(2)(A), 33 U.S.C. 1311(b)(2)(A). PSES are designed to prevent the steam electric facilities to comply with Other statutory factors that the EPA discharge of pollutants that pass the effluent limitations ‘‘as soon as must consider in assessing BAT are the through, interfere with, or are otherwise possible’’ after November 1, 2018, and cost of achieving BAT effluent incompatible with the operation of no later than December 31, 2023. Within reductions, the age of equipment and POTWs. Categorical pretreatment that range, except for indirect facilities involved, the process standards are technology-based and are dischargers, the particular compliance employed, potential process changes, analogous to BPT and BAT effluent date(s) for each facility would be non-water quality environmental limitations guidelines, and thus the determined by the facility’s National impacts (including energy Agency typically considers the same Pollutant Discharge Elimination System requirements), and such other factors as factors in promulgating PSES as it permit, which is typically issued by a the Administrator deems appropriate. considers in promulgating BPT and state environmental agency. CWA section 304(b)(2)(B), 33 U.S.C. BAT. Legislative history indicates that On an annual basis, the 2015 rule was 1314(b)(2)(B); Texas Oil & Gas Ass’n v. Congress intended for the combination projected to reduce the amount of EPA, 161 F.3d 923, 928 (5th Cir. 1998). of pretreatment and treatment by the metals defined in the Act as toxic The Agency retains considerable POTW to achieve the level of treatment pollutants, nutrients, and other discretion in assigning the weight to be that would be required if the industrial pollutants that steam electric facilities accorded each of these required source were discharging to a water of are allowed to discharge by 1.4 billion consideration factors. Weyerhaeuser Co. the U.S. Conf. Rep. No. 95–830, at 87 pounds and reduce water withdrawal by v. Costle, 590 F.2d 1011, 1045 (D.C. Cir. (1977), reprinted in U.S. Congress. 57 billion gallons. At the time, the EPA 1978). Generally, the EPA determines Senate Committee on Public Works estimated annual compliance costs for economic achievability based on the (1978), A Legislative History of the the final rule to be $480 million (in 2013

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dollars) and estimated benefits November 1, 2018 to November 1, 2020. non-air quality health and associated with the rule to be $451 to The EPA also withdrew its prior action environmental impacts, and energy $566 million (in 2013 dollars). taken pursuant to Section 705 of the requirements. The BSER must be APA. The rule received multiple legal applicable to, at, and on the premises of D. Legal Challenges, Administrative challenges, but EPA prevailed, and the an affected facility. ACE lists six HRI Petitions, Section 705 Action, courts did not sustain any of them.3 ‘‘candidate technologies,’’ as well as Postponement Rule, and additional operating and maintenance Reconsideration of Certain Limitations E. Other Ongoing Rules Impacting the (O&M) practices.6 For each candidate and Standards Steam Electric Sector technology, the EPA has provided Seven petitions for review of the 2015 1. Clean Power Plan (CPP) and information regarding the degree of rule were filed in various circuit courts Affordable Clean Energy (ACE) emission limitation achievable through by the electric utility industry, The final 2015 CPP established carbon application of the BSER as ranges of environmental groups, and drinking dioxide (CO ) emission guidelines for expected improvement and costs. water utilities. These petitions were 2 fossil-fuel fired facilities based in part The 2015 rule analyses incorporated consolidated in the U.S. Court of on shifting generation at the fleet-wide compliance costs associated with the Appeals for the Fifth Circuit, level from one type of energy source to 2015 CPP, resulting in, among other Southwestern Electric Power Co., et al. another. On February 9, 2016, the U.S. things, baseline retirements associated v. EPA.1 On March 24, 2017, the Utility Supreme Court stayed implementation with that rule in the Integrated Planning Water Act Group (UWAG) submitted to of the CPP pending judicial review. Model (IPM). As noted in the ACE RIA, the EPA an administrative petition for West Virginia v. EPA, No. 15A773 (S.Ct. while the final repeal of the CPP has reconsideration of the 2015 rule. Also, Feb. 9, 2016). been promulgated, the business-as-usual on April 5, 2017, the Small Business On June 19, 2019, the EPA issued the economic conditions achieved the Administration (SBA) submitted an ACE rule, an effort to provide existing carbon reductions laid out in the final administrative petition for coal-fired electric utility generating CPP. The EPA used the IPM version 6 reconsideration of the final rule. units (EGUs) with achievable and to analyze today’s proposal to be On April 25, 2017, the EPA responded realistic standards for reducing consistent with the base case analyses to these petitions by publishing a greenhouse gas emissions. This action done for the ACE final rule. The Agency postponement of the 2015 rule was finalized in conjunction with two also performed a sensitivity analysis on compliance deadlines that had not yet related, but separate and distinct the proposed Option 2, following passed, under Section 705 of the rulemakings: (1) The repeal of the CPP, promulgation of the ACE final rule, that Administrative Procedure Act (APA). and (2) revised implementing estimates the impacts of the proposed This Section 705 Action drew multiple regulations for ACE, ongoing emission option relative to a baseline that legal challenges.2 The Administrator guidelines, and all future emission includes the ACE rule. A similar then signed a letter on August 11, 2017, guidelines for existing sources issued sensitivity analysis was not conducted announcing his decision to conduct a under the authority of Clean Air Act for Option 4. The EPA intends to rulemaking to potentially revise the section 111(d). ACE provides states with perform IPM runs with the most up-to- new, more stringent BAT effluent new emission guidelines that will date version of the model available for limitations and pretreatment standards inform the state’s development of the final rule. See additional discussion for existing sources in the 2015 rule that standards of performance to reduce CO of IPM in Section VIII of this preamble. apply to FGD wastewater and BA 2 emissions from existing coal-fired EGUs transport water. The Fifth Circuit 2. Coal Combustion Residuals (CCR) consistent with the EPA’s role as subsequently granted EPA’s request to On April 17, 2015, the Agency defined in the CAA. sever and hold in abeyance aspects of ACE establishes heat rate published the Disposal of Coal the litigation related to those limitations improvement (HRI), or efficiency Combustion Residuals from Electric and standards. With respect to the improvement, as the best system of Utilities final rule. This rule finalized remaining claims related to limitations national regulations to provide a emissions reduction (BSER) for CO2 applicable to legacy wastewater and from coal-fired EGUs.4 By employing a comprehensive set of requirements for leachate, which are not at issue in this broad range of HRI technologies and the safe disposal of CCRs, commonly proposed rulemaking, the Fifth Circuit techniques, EGUs can more efficiently known as coal ash, from coal-fired issued a decision on April 12, 2019, generate electricity with less carbon facilities. The final CCR rule was the vacating those limitations as arbitrary intensity.5 The BSER is the best culmination of extensive study on the and capricious under the technology or other measure that has effects of coal ash on the environment Administrative Procedure Act and been adequately demonstrated to and public health. The rule established unlawful under the CWA, respectively. improve emissions performance for a technical requirements for CCR landfills The EPA plans to address this vacatur specific industry or process (a ‘‘source and surface impoundments under in a subsequent action. category’’). In determining the BSER, the subtitle D of the Resource Conservation In September 2017, the EPA finalized EPA considers technical feasibility, cost, and Recovery Act (RCRA), the nation’s a rule, using notice-and-comment primary law for regulating solid waste. procedures, postponing the earliest These regulations addressed coal ash 3 See Center for Biological Diversity v. EPA, No. compliance dates for the new, more 18–cv–00050 (D. Ariz. filed Jan. 20, 2018); see also disposal, including regulations designed stringent BAT effluent limitations and Clean Water Action. v. EPA, No. 18–60079 (5th to prevent leaking of contaminants into PSES for FGD wastewater and BA Cir.). On October 29, 2018, the District of Arizona ground water, blowing of contaminants case was dismissed upon EPA’s motion to dismiss transport water in the 2015 rule, from for lack of jurisdiction, and on August 28, 2019, the into the air as dust, and the catastrophic Fifth Circuit denied the petition for review of the failure of coal ash surface 1 Case No. 15–60821. postponement rule. 2 See Clean Water Action. v. EPA, No. 17–0817 4 Heat rate is a measure of the amount of energy 6 These six technologies are: (1) Neural Network/ (D.D.C.), appeal docketed, No. 18–5149 (D.C. Cir.); required to generate a unit of electricity. Intelligent Sootblowers, (2) Boiler Feed Pumps, (3) see also Clean Water Action. v. EPA, No. 18–60619 5 An improvement to heat rate results in a Air Heater and Duct Leakage Control, (4) Variable (5th Cir.) (case dismissed for lack of jurisdiction on reduction in the emission rate of an EGU (in terms Frequency Drives, (5) Blade Path Upgrade (Steam October 18, 2018). of CO2 emissions per unit of electricity produced). Turbine), and (6) Redesign/Replace Economizer.

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impoundments. Additionally, the CCR appropriately capture the overlap of the limitations for FGD wastewater and BA rule set out recordkeeping and reporting two rules, and ways that the Agency transport water on the industry as it requirements as well as the requirement could harmonize the timelines for exists today. for each facility to establish and post regulatory requirements. The Agency B. Current Market Conditions in the also solicits comment on the extent to specific information to a publicly- Electricity Generation Sector accessible website. This final CCR rule which facilities have chosen to also supported the responsible recycling construct new composite lined surface Market conditions in the electricity of CCRs by distinguishing safe, impoundments for the treatment of generation sector have changed beneficial use from disposal. bottom ash transport water or FGD significantly and rapidly in the past As explained in the 2015 rule, the wastewater. Comments on the decade. These changes include ELGs and CCR rules may affect the same intersection of the two rules should be availability of abundant and boiler or activity at a facility. That being submitted to both dockets. inexpensive natural gas, emergence of the case, when the EPA finalized both alternative fuel technologies, and F. Scope of This Proposed Rulemaking rules in 2015, the Agency coordinated continued aging of coal-fired facilities. them to facilitate and minimize the This proposal, if finalized, would These changes have resulted in coal- complexity of implementing revise the new, more stringent BAT fired unit and facility retirements and engineering, financial, and permitting effluent limitations guidelines and switching of fuels. The lower cost of activities. The coordination of the two pretreatment standards for existing natural gas and technological advances rules continues to be a consideration in sources in the 2015 rule that apply to in solar and wind power have had a the development of today’s proposal. FGD wastewater and BA transport depressive effect on both coal-fired and The EPA’s analysis of this proposal water. It does not propose otherwise to nuclear-powered generation. (This incorporates the same approach used in amend (nor is the EPA requesting proposal, if finalized, would have no the 2015 rule to estimate how the CCR comment on) the effluent limitations effect on the nuclear-powered sector, rule may affect surface impoundments guidelines and standards for other except as it might affect relative prices and the ash handling systems and FGD wastes discharged by the steam electric through its impacts on coal-fired treatment systems that send wastes to power generating point source category. generation.) In the coal-fired sector, the those impoundments. However, as a The EPA plans to address the Court’s market forces are manifest as scaling result of the D.C. Circuit Court rulings remand in Southwestern Elec. Power Co. back coal-fired power generation in USWAG v. EPA, No. 15–1219 (D.C. v. EPA with respect to the limitations (including unit and facility closures) at Cir. 2018) and Waterkeeper Alliance for leachate and legacy wastewater in a an accelerated rate. The rate of coal Inc, et al. v. EPA, No. 18–1289 (D.C. Cir. subsequent action. capacity retirement is affected by 2019), amendments to the CCR rule are regulation affecting coal-fired electricity V. Steam Electric Power Generating generation as there have been being proposed which would establish a Industry Description deadline of August 2020 by which all regulations adopted, particularly in the last decade (e.g., CCR, CPP and 2015 unlined surface impoundments 7 must A. General Description of Industry Steam Electric ELG), that are cited by cease receiving waste, subject to certain The EPA provided a general some power companies when they exceptions. This would not impact the description of the steam electric power announce unit or facility closures, fuel ability of facilities to install new, generating industry in the 2013 switching, or other operational changes. composite lined surface impoundments. proposed rule and the 2015 rule, and Among some utilities, there is also a This CCR proposal and accompanying has continued to collect information general trend of supplementing or background documents are available at and update that profile. The previous replacing traditional generation with www.regulations.gov Docket EPA–HQ– descriptions reflected the known alternative sources. As these changes OLEM–2019–0172, and comments on information about the universe of steam happen in the industry, the electric that proposal should be submitted to electric facilities and incorporated power infrastructure adjusts and that docket. applicable final environmental generally trends toward the optimal In order to account for the CCR rule regulations at that time. For this infrastructure and operations that proposed amendments in this proposed proposal, as described in the deliver the country’s power demand, rule, the EPA conducted a sensitivity Supplemental TDD Section 3, the EPA with negative effects for some analysis to determine how the closure of has revised its description of the steam communities and positive effects for unlined surfaced impoundments would electric power generating industry (and others. The negative distributional impact the compliance cost and its supporting analyses) to incorporate effects can be particularly difficult for pollutant loading estimates for today’s major changes such as additional communities affected by company proposal. After conducting this retirements, fuel conversions, ash decisions to scale back or retire a sensitivity analysis, the EPA found that handling conversions, wastewater facility. Also see Section 2.3 of the RIA. the capital and operation and treatment updates, and updated maintenance compliance cost estimates information on capacity utilization.8 C. Control and Treatment Technologies decrease by 50 to 60 percent and the The analyses supporting this proposal In general, control and treatment total industry pollutant loadings use an updated baseline that technologies for some wastestreams decrease by five percent (see DCN incorporates these changes in the have continued to advance since the SE07233). industry. The analyses then compare the 2015 rule. Often, these advancements The EPA solicits comment on the effect of today’s proposed rules for FGD provide facilities with additional ways overlap between these two rules, wastewater and bottom ash transport of meeting effluent limitations, in some including whether the Agency’s cost water to the effect of the 2015 rule’s instances at a lower cost. For this benefit and regulatory impact analyses proposal, the EPA incorporated updated 8 The data presented in the general description information and evaluated several 7 Due to the Court vacatur of 40 CFR part continues to rely on some 2009 conditions, as the 257.71(a)(1)(i) (provision for clay-lined surface industry survey remains the EPA’s best available technologies available to control and impoundments) clay-lined surface impoundments source of information for characterizing operations treat FGD wastewater and BA transport are currently also considered unlined. across the industry. water produced by the steam electric

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power generating industry. See Section discharges. As part of the 2015 rule, the activity to reduce the concentrations of VIII of this preamble for details on EPA identified the following types of metals, nutrients, and TSS in updated cost information. treatment and handling practices for wastewater. High temperature, chemical FGD wastewater: oxygen demand (COD), nitrates, 1. FGD Wastewater • Chemical precipitation systems that sulfates, boron, and chlorides in the FGD scrubber systems, either dry or use tanks to treat FGD wastewater. wastewater can adversely affect wet, are used to remove sulfur dioxide Chemicals are added to help remove constructed wetlands’ performance. To from flue gas so that sulfur dioxide is suspended solids and dissolved solids, avoid this, facilities typically find it not emitted into the air. Dry FGD particularly metals. The precipitated necessary to dilute the FGD wastewater systems generally do not discharge solids are then removed from solution with service water before it enters the wastewater, as the water they use is by coagulation/flocculation, followed by wetland. evaporated during operation; wet FGD clarification and/or filtration. The 2015 • Some facilities operate their wet systems do produce a wastewater rule focused on a specific design that FGD systems using approaches that stream. employs hydroxide precipitation, eliminate the discharge of FGD As part of this proposed rule, the EPA sulfide precipitation (organosulfide), wastewater. These facilities use a is including two additional FGD and iron coprecipitation to remove variety of operating and management wastewater treatment technologies suspended solids and to convert soluble practices to achieve this. among the suite of regulatory options metal ions to insoluble metal that were not evaluated as main —Complete recycle. Facilities that hydroxides or sulfides. operate in this manner do not produce regulatory options in the 2015 rule: Low • Biological treatment systems that a saleable solid product from the FGD Hydraulic Residence Time Biological use microorganisms to treat FGD system (e.g., wallboard-grade Reduction (LRTR) and membrane wastewater. The EPA identified three gypsum). Because the facilities are not filtration, which are further described types of biological treatment systems selling the FGD gypsum, they are able below. used to treat FGD wastewater: (1) to allow the landfilled material to • LRTR System. A biological Anoxic/anaerobic fixed-film bioreactors, contain elevated levels of chlorides, treatment system that targets removal of which target removals of nitrogen and as a result do not need a separate selenium and nitrate/nitrite using fixed- compounds and selenium, as well as wastewater purge stream. film bioreactors in smaller, more other metals; (2) anoxic/anaerobic —Evaporation impoundments. Some compact reaction vessels than those suspended growth systems, which target facilities in warm, dry climates have used in the biological treatment system removals of selenium and other metals; been able to use surface evaluated in the 2015 rule (referred to and (3) aerobic/anaerobic sequencing in this proposal as HRTR—high batch reactors, which target removals of impoundments as holding basins from residence time biological reduction). organics and nutrients. The 2015 rule which the FGD wastewater The LRTR system is designed to operate focused on a specific design of anoxic/ evaporates. The evaporation rate from with a shorter residence time (on the anaerobic fixed-film bioreactors that the impoundments at these facilities order of 1 to 4 hours, as compared to a employs a relatively long residence time is greater than or equal to the flow residence time of 10–16 hours for for the microbial processes. The rate of the FGD wastewater and HRTR), while still achieving significant bioreactor design used as the basis for amount of precipitation entering the removal of selenium and nitrate/nitrite. the 2015 rule, with typical hydraulic impoundments; therefore, there is no The LRTR technology option considered residence time on the order of discharge to surface water. as part of this proposed rule includes approximately 10 to 16 hours, is —Fly ash (FA) conditioning. Many chemical precipitation as a pretreatment referred to in this rulemaking as high facilities that operate dry FA handling stage prior to the bioreactor and residence time reduction (HRTR). The systems will add water to the FA to ultrafiltration as a polishing step BAT technology basis for the 2015 rule suppress dust or improve handling following the bioreactor. also included chemical precipitation as and/or compaction characteristics in • Membrane Filtration. A membrane a pretreatment stage prior to the an on-site landfill. The EPA is not filtration system designed specifically bioreactor and a sand filter as a aware of any plants using FGD for high TDS and TSS wastestreams. polishing step following the bioreactor wastewater to condition ash that will These systems are designed to eliminate (i.e., CP+HRTR). be marketed. fouling and scaling associated with • Thermal evaporation systems that —Combination of wet and dry FGD industrial wastewater. These systems use a falling-film evaporator (or brine systems. The dry FGD process typically combine pretreatment for concentrator), following a softening involves atomizing and injecting wet potential scaling agents such as calcium, pretreatment step, to produce a lime slurry, which ranges from magnesium, and sulfates, and one or concentrated wastewater stream and a approximately 18 to 25 percent solids, more types of membrane technology distillate stream to reduce the volume of into a spray dryer. The water in the (e.g., nanofiltration, or reverse osmosis) wastewater by 80 to 90 percent and also slurry evaporates from the heat of the to remove a broad array of particulate reduce the discharge of pollutants. The flue gas within the system, leaving a and dissolved pollutants from FGD concentrated wastewater is usually dry residue that is removed from the wastewater. The membrane filtration further processed in a crystallizer that flue gas by a fabric filter (i.e., a units may also employ advanced produces a solid residue for landfill baghouse) or electrostatic precipitator techniques, such as vibration or creation disposal and additional distillate that (ESP). of vortexes to mitigate fouling or scaling can be reused within the facility or —Underground injection. These systems of the membrane surfaces. discharged. These systems are designed dispose of wastes by injecting them Steam electric facilities discharging to remove the broad spectrum of into an underground well as an FGD wastewater currently employ a pollutants present in FGD wastewater to alternative to discharging wastewater variety of wastewater treatment very low effluent concentrations. to surface waters. technologies and operating/management • Constructed wetland systems using The EPA also collected new practices to reduce the pollutants natural biological processes involving information on other FGD wastewater associated with FGD wastewater wetland vegetation, soils, and microbial treatment technologies, including spray

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dryer evaporators, direct contact following BA handling systems that do implementation timing, start-up and thermal evaporators, zero valent iron not generate bottom ash transport water. operation, and implementation costs. treatment, forward osmosis, absorption • Mechanical Drag System. These The specific objectives of these site or adsorption media, ion exchange, systems are located directly underneath visits were to gather general information electrocoagulation, and electrodialysis the boiler. The bottom ash is collected about each facility’s operations; their reversal. These treatment technologies in a water quench bath. A drag chain pollution prevention and wastewater have been evaluated at fullscale or conveyor dewaters the bottom ash by treatment system operations; their pilotscale, or are being developed to pulling it out of the water bath on an ongoing pilot or laboratory scale studies treat FGD wastewater. See Section 4.1 of incline. for FGD wastewater treatment; and BA the Supplemental TDD for more • Dry Mechanical Conveyor. These handling system conversions. information on these technologies. systems are located directly underneath 2. Data Requests, Responses, and 2. BA Transport Water the boiler. The system uses ambient air Meetings to cool the bottom ash in the boiler and BA consists of heavier ash particles then transports the ash out of the boiler Under the authority of Section 308 of that are not entrained in the flue gas and on a conveyor. No water is used in this the Clean Water Act (CWA) (33 U.S.C. fall to the bottom of the furnace. In most process. 1318), in January 2018, the EPA furnaces, the hot BA is quenched in a • Dry Vacuum or Pressure System. requested the following information water-filled hopper.9 Many facilities use These systems transport bottom ash from nine steam electric power water to transport (sluice) the BA from from the boiler to a dry hopper without companies that own coal-fired facilities the hopper to an impoundment system using any water. Air is percolated generating FGD wastewater: • FGD wastewater characterization or a dewatering bin system. In both the through the ash to cool it and combust data associated with testing and impoundment and dewatering bin unburned carbon. Cooled ash then implementation of treatment systems, the BA transport water is drops to a crusher and is conveyed via usually discharged to surface water as technologies, in 2013 or later. vacuum or pressure to an intermediate • Information on halogen usage to overflow from the system, after the BA storage destination. reduce flue gas emissions, as well as has settled to the bottom. In addition to • Vibratory Belt System. These halogen concentration data in FGD wet sluicing to an impoundment or systems deposit bottom ash into a wastewater. dewatering bin system, the industry also vibratory conveyor trough, where the • Projected installations of FGD uses the following BA handling systems ash is air-cooled and ultimately moved wastewater treatment technologies. that generate BA transport water: through the conveyor deck to an • Cost information for projected or • Remote Mechanical Drag System. intermediate storage destination without installed FGD wastewater treatment These systems use the same processes as using any water. systems, from bids received in 2013 or wet-sluicing impoundment or • Submerged Grind Conveyor. These later. dewatering bin systems to transport systems are located directly underneath After receiving each company’s bottom ash to a remote mechanical drag the boiler and are designed to reuse slag response, the EPA met with these system. A drag chain conveyor dewaters tanks, ash gates, clinker grinders, and companies to discuss the FGD-related the bottom ash by pulling it out of the transfer enclosures from the existing wet data submitted, other FGD and BA data water bath on an incline. The system sluicing systems. The system collects outside the scope of the request that the can either be operated as a closed-loop bottom ash from the discharge of each company believed to be relevant, and (evaluated during the 2015 rule) or a clinker grinder. A series of submerged suggestions each company had for high recycle rate system. For this drag chain conveyors transport and potential changes to the 2015 rule with proposed rule, under the high recycle dewater the bottom ash. respect to FGD wastewater and BA rate option, facilities would be See Section 4.2 of the Supplemental transport water. The EPA used this permitted to purge a portion of the TDD for more information on these information to learn more about the wastewater from the system to maintain technologies. performance of treatment systems, a high recycle rate, as described in VI. Data Collection Since the 2015 Rule inform the development of FGD Section VII of this preamble.10 wastewater limitations, learn more • Dense Slurry System. These A. Information From the Electric Utility about facility-specific halogen usage systems use a dry vacuum or pressure Industry (such as bromide), and obtain system to convey the bottom ash to a 1. Engineering Site Visits information useful for updating cost silo (as described below for the ‘‘Dry estimates of installing candidate Vacuum or Pressure System’’), but During October and November 2017, treatment technologies. As needed, the instead of using trucks to transport the the EPA conducted seven site visits to EPA conducted follow-up meetings and bottom ash to a landfill, the facility facilities in five states. The EPA selected conference calls with industry mixes the bottom ash with water (a facilities to visit using information representatives to discuss and clarify lower percentage of water compared to gathered in support of the 2015 rule, these data. a wet-sluicing system) and pumps the information from industry outreach, and mixture to the landfill. publicly available facility-specific 3. Voluntary BA Transport Water Sampling As part of the 2015 rule and this information. The EPA visited four reconsideration, the EPA identified the facilities that were previously visited in In December 2017, the EPA invited support of the 2015 rule because they seven steam electric facilities to 9 Consistent with the 2015 rule, boiler slag is had recently conducted, or were participate in a voluntary BA transport considered BA. currently conducting, FGD wastewater water sampling program designed to 10 In some cases, additional treatment may be treatment pilot studies. The EPA also obtain data to supplement the necessary to maintain a closed-loop system. This revisited facilities that had implemented wastewater characterization data set for additional treatment could include polymer BA transport water included in the addition to enhance removal of suspended solids, new FGD wastewater treatment or membrane filtration of a slip stream to remove technologies or BA handling systems record for the 2015 rule. The EPA asked dissolved solids. (after the 2015 rule) to learn more about facilities to provide analytical data for

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ash pond effluent and untreated BA B. Information From the Drinking Water on FGD wastewater treatment transport water (i.e., ash pond influent). Utility Industry and States technologies, including information on The EPA selected the facilities based on The EPA obtained additional pilot studies, applications in the steam their responses to its 2010 information from the drinking water electric power generating industry, and Questionnaire for the Steam Electric utility sector and states on the effects of implementation costs and timelines. Power Generating Effluent Guidelines bromide discharges from steam electric The EPA also used the internet searches (see Section 3.2 of the 2015 TDD). Two facilities on drinking water treatment to identify or confirm reports of planned facilities chose to participate in the processes. First, the EPA received letters facility and boiler retirements, and voluntary BA sampling program. These from, and met with, the American Water reports of planned unit conversions to data were incorporated into the Works Association (AWWA), the dry or closed-loop recycle ash handling analytical data set used to estimate Association of Metropolitan Water systems. The EPA used this information pollutant removals for BA transport Agencies (AMWA), the National to inform the industry profile and water. Association of Water Companies identify process modifications occurring (NAWC), the Association of Clean Water in the industry. 4. Electric Power Research Institute Administrators (ACWA), and the (EPRI) Voluntary Submission Association of State Drinking Water The EPA received information from Administrators (ASDWA). Second, the several environmental groups and other EPRI conducts studies—funded by the EPA visited two drinking water stakeholders following the 2015 rule. In steam electric power generating treatment facilities in North Carolina general, these groups voiced concerns industry—to evaluate and demonstrate that have modified their treatment about extending the period that facilities technologies that can potentially remove processes to address an increase in could continue to discharge FGD pollutants from wastestreams or disinfection byproduct levels due to wastewater and BA transport water eliminate wastestreams using zero bromide discharges from an upstream pollutants subject to BPT limitations, as discharge technologies. Following the steam electric power facility. Finally, well as steam electric bromide 2015 rule, the EPA reviewed 35 reports the EPA obtained data on surface water discharges, their interaction with published between 2011 and 2018 that bromide concentrations and data from drinking water treatment facilities, and EPRI voluntarily provided regarding drinking water monitoring from the two the associated human health effects. characteristics of FGD wastewater and drinking water treatment facilities. The They also noted the improved BA transport water, FGD wastewater EPA also obtained existing state data availability of technological controls for treatment pilot studies, BA handling from other drinking water treatment reducing or eliminating pollutant practices, halogen addition rates, and facilities from the states of North discharges from FGD and BA handling the effect of halogen additives on FGD Carolina and Virginia. systems. Finally, they provided wastewater. The EPA used information C. Information From Technology examples where they believed that presented in these reports to inform the Vendors and Engineering, Procurement, states had not properly considered the development of numeric effluent and Construction (EPC) Firms ‘‘as soon as possible date’’ for the new, limitations for FGD wastewater and to The EPA gathered data on availability more stringent BAT requirements in the update methods for estimating the costs and effectiveness from technology 2015 rule when issuing permits. and pollutant removals associated with vendors and EPC firms through VII. Proposed Regulation candidate treatment technologies. presentations, conferences, meetings, 5. Meetings With Trade Associations and email and phone contacts regarding A. Description of the BAT/PSES Options FGD wastewater and BA handling In May and June of 2018, the EPA met technologies used in the industry. The The proposal evaluates four with the Edison Electric Institute (EEI), data collected informed the regulatory options and identifies one the National Rural Electric Cooperatives development of the technology costs proposed option, as shown in Table VII– Association (NRECA), and the American and pollutant removal estimates for FGD 1. All options include similar Public Power Association (APPA). wastewater and BA transport water. The technology bases for BA transport water, These trade associations represent EPC firms also suggested potential except that Option 2 allows surface investor-owned utilities, electric changes to the 2015 rule. impoundments and a BMP plan for low utilization boilers. In general, each cooperatives, and community-owned D. Other Data Sources utilities, respectively. The EPA also met successive option from Option 1 to 4 The EPA gathered information on with the Utility Water Act Group would achieve a greater reduction in steam electric generating facilities from (UWAG), an association comprising the FGD wastewater pollutant discharges. the Department of Energy’s (DOE’s) Each subcategorization is described trade associations above as well as Energy Information Administration individual electric utilities. The EPA further in Section VII.C below. In (EIA) Forms EIA–860 (Annual Electric addition to some specific requests for met with each of these trade Generator Report) and EIA–923 (Power associations separately and together to comment included throughout this Plant Operations Report). The EPA used proposal, the EPA solicits comment on discuss the technologies and the the 2015 through 2017 data to update analyses presented in the 2015 rule and all aspects of this proposal, including the industry profile prepared for the the information, data and assumptions to hear suggestions for potential changes 2015 rule, including commissioning EPA relied upon to develop the to the 2015 rule. The EPA also used dates, energy sources, capacity, net proposed regulatory options, as well as information from these meetings to generation, operating statuses, planned the proposed BAT, effluent limitations, update industry profile data (i.e., retirement dates, ownership, and accounting for retirements, fuel pollution controls of the boilers. and alternate approaches included in conversions, and updated treatment The EPA conducted literature and this proposal. technology installations). internet searches to gather information

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TABLE VII–1—MAIN REGULATORY OPTIONS

Technology basis for the BAT/PSES Wastestream Subcategory regulatory options 1 2 3 4

FGD Wastewater ...... N/A ...... Chemical precipitation Chemical precipitation Chemical precipitation Membrane filtration. + low hydraulic res- + low hydraulic res- idence time biologi- idence time biologi- cal treatment. cal treatment. High FGD flow facili- NS ...... Chemical precipitation Chemical precipitation Chemical precipita- ties. tion. Low utilization boilers NS ...... Chemical precipitation NS ...... NS. Boilers retiring by Surface impound- Surface impound- Surface impound- Surface impound- 2028. ments. ments. ments. ments.

FGD Wastewater Voluntary Incentives Program Membrane filtration ... Membrane filtration ... Membrane filtration ... N/A. (Direct Dischargers Only).

BA Transport Water ... N/A ...... Dry handling or High Dry handling or High Dry handling or High Dry handling or High recycle rate sys- recycle rate sys- recycle rate sys- recycle rate sys- tems. tems. tems. tems. Low utilization boilers NS ...... Surface impound- NS ...... NS. ments +BMP plan. Boilers retiring by Surface impound- Surface impound- Surface impound- Surface impound- 2028. ments. ments. ments. ments. NS = Not Subcategorized. Note: The table above does not present existing subcategories included in the 2015 rule as the EPA is not proposing any changes to the ex- isting subcategorization of oil-fired units or units with a nameplate capacity of 50 MW or less.

1. FGD Wastewater limitations for mercury, arsenic, conventional pollutants such as TSS, Under Option 1, the EPA would selenium, nitrate-nitrite, bromide, and TSS is not considered to pass through establish BAT limitations and PSES for TDS based on membranes. and EPA would establish PSES based on the inclusion of a BMP plan only. For mercury and arsenic based on chemical 2. BA Transport Water precipitation. For Options 2 and 3, the additional information on pass through EPA would establish BAT limitations Under all options described above, analysis, see Section VII(C) of the 2015 and PSES for mercury, arsenic, the EPA proposes to control discharge of rule preamble. Finally, the EPA selenium, and nitrate/nitrate based on pollutants from BA transport water by proposes a slight modification of the chemical precipitation followed by establishing daily BAT limitations and definition of BA transport water to LRTR and ultrafiltration. Option 2 PSES on the volume of BA transport exclude water remaining in a tank-based subcategorizes boilers producing less water that can be discharged based on high recycle rate system at the end of than 876,000 MWh per year 11 and for high recycle rate systems. A high the useful life of the facility.14 The EPA those boilers would require mercury recycle rate system is a recirculating wet proposes not to characterize a and arsenic limitations and ash handling system operated such that technology basis for BAT/PSES pretreatment standards based on it periodically discharges (purges) a applicable to such wastewater at this chemical precipitation.12 Finally, for small portion of the process wastewater time.15 from the system. Under all options, Option 4, the EPA would establish BAT B. Rationale for the Proposed BAT limitations and PSES for mercury, boilers retiring by December 31, 2028, arsenic, selenium, nitrate-nitrite, would be subcategorized, and for this In light of the criteria and factors bromide, and TDS based on membrane subcategory, BAT limitations would be specified in CWA sections 304(b)(2)(B) filtration. Options 2, 3, and 4 would set equal to BPT limitations for TSS, and 301(b)(2)(A) (see Section IV of this subcategorize facilities with high FGD based on gravity settling in surface preamble), the EPA proposes to flows, and for this subcategory would impoundments. Under Option 2, for establish limitations and standards for boilers producing less than 876,000 14 Under this modified definition, the water at the MWh per year, BAT effluent limitations end of the useful life of the facility would be at most mercury and arsenic based on chemical the volume of a full system. Since the high recycle precipitation. Under all four options, for BA transport water would be set rate system being selected as BAT allows for a 10 boilers retiring by December 31, 2028, equal to the BPT effluent limitations percent purge of the system volume each day, this would be subcategorized, and for this based on gravity settling in surface would be the equivalent of 10 days discharge, a subcategory BAT limitations would be impoundments to remove TSS.13 Such marginal, one-time increase in pollution. facilities would also be required to 15 As illustrated above, there is a wide range of set equal to BPT limitations for TSS technologies currently in use for pollutant based on the use of surface develop and implement a BMP plan to discharges associated with BA transport water, and impoundments. Finally, the EPA would minimize the discharge of pollutants new approaches continue to emerge. For the establish voluntary incentives program from BA transport water. Because exclusion proposed today, permitting authorities POTWs are designed to treat would establish BAT limitations for such discharges on a site-specific, best professional 11 The equivalent of a 100 MW boiler operating judgement (BPJ) basis. 33 U.S.C. 1342 (a)(1)(B); 40 at 100% capacity or a 400 MW boiler operating at 13 Although TSS is a conventional pollutant, as it CFR 124.3. Pretreatment program control 25% capacity. did in the 2015 rule, whenever EPA would be authorities would need to develop local limitations 12 As explained above, EPA is not proposing to regulating TSS in any final rule following this to address the introduction of pollutants from this revise BAT limitations or PSES for oil-fired boilers proposal, it would be regulating it as an indicator wastewater to POTWs that cause pass through or and/or small boilers (50 MW or smaller). pollutant for the particulate form of toxic metals. interference, as specified in 40 CFR 403.5(c)(2).

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establish BAT effluent limitations based technology (i.e., nanofiltration or The EPA is not proposing to change on the technologies described in Option reverse osmosis) that is the basis for these findings based on record 2. option 4 and the VIP which is designed information received since the 2015 rule to remove dissolved metals and but solicits comment on whether, and to 1. FGD Wastewater inorganics (e.g., nutrients, bromides, what extent, these findings should be This proposal identifies treatment etc.). Unlike the nanofiltration and retained for the final rule. First, the EPA using chemical precipitation followed reverse osmosis technologies, ultrafilters rejected the argument that maintaining by a low hydraulic residence time do not generate a brine that would a biological system over the long run biological treatment including require encapsulation with fly ash or was infeasible. Of the ten full-scale ultrafiltration as the BAT technology other disposal techniques. The types systems discussed above, four facilities basis for control of pollutants and amount of solids removed by the have used the biological technology to discharged in FGD wastewater because ultrafilter in the CP+LRTR treatment treat FGD wastewater for more than a after considering the factors specified in system are identical to the solids decade under varying operating CWA section 304(b)(2)(B), the EPA removed by the sand filter in the conditions, climate conditions, and coal proposes to find that this technology is CP+HRTR treatment technology and do sources. Many pilot tests of the available and economically achievable. not result in the same non-water quality biological technology have been More specifically, the technology basis environmental impacts that are conducted at various facilities, and data for BAT would include the same associated with the brine generated by from these tests demonstrate that even chemical precipitation system described the membrane technology of Option 4 in the face of major upsets within the in the 2015 rule. Thus, it would employ and proposed for the VIP program. chemical precipitation stage of equalization, hydroxide and sulfide After accounting for the changes in treatment, the biological stage continues (organosulfide) precipitation, iron the industry described in Section V of to reduce selenium and nitrogen. coprecipitation, and removal of this preamble, fifteen steam electric In the 2015 rule, the EPA also rejected suspended and precipitated solids. This facilities with wet scrubbers have the argument that selenium removal chemical precipitation system would be technologies in place able to meet the efficacy was subject to the type of coal followed by a low hydraulic residence proposed BAT effluent limitations for burned (specifically subbituminous time, anoxic/anaerobic biological FGD wastewater.17 Of these fifteen coal) and coal-switching. Facilities have treatment system designed to remove facilities, nine are currently operating continued to operate biological heavy metals, selenium, and nitrate- anoxic/anaerobic biological treatment 16 treatment systems while switching coals nitrite. The LRTR bioreactor stage designed to substantially reduce and, in those cases, have maintained a would be followed by an ultrafilter to nitrogen compounds and selenium in consistent level of selenium removal. remove suspended solids exiting the their FGD wastewater. These biological Furthermore, at least three pilot and two bioreactor, including colloidal particles. treatment systems are a mix of low and full-scale systems have now been Both chemical precipitation and 18 high hydraulic residence time. The successfully run or installed to treat biological treatment are well- EPA identified a tenth facility that FGD wastewater at facilities burning demonstrated technologies that are previously operated an anoxic/ sub-bituminous coals or blends of available to steam electric facilities for anaerobic biological treatment system; use in treating FGD wastewater. In bituminous and sub-bituminous coals, however, more recently installed a encompassing both HRTR and LRTR addition to the 39 facilities mentioned thermal system for the treatment of FGD as using chemical precipitation in the technologies. wastewater. Another five steam electric Finally, in the 2015 rule the EPA 2015 rule preamble, facilities have facilities are also operating thermal rejected arguments that cycling of installed, or begun installation of such treatment systems for FGD wastewater. facilities up and down in production, systems, because they have taken steps In the 2015 rule, the EPA rejected to cease using surface impoundments to and even out of service for various three availability arguments made periods of time, would affect the ability treat their FGD wastewater. In addition, against biological treatment generally. chemical precipitation has been used at of facilities to meet the effluent limitations. Industry provided data for thousands of industrial facilities 17 These fifteen facilities represent 11 percent of two facilities showing that they nationwide for the last several decades steam electric facilities with wet scrubbers. The as described in the 2015 rule record. EPA notes that a further 40 percent of all steam successfully operated biological systems Ultrafilters downstream of the biological electric facilities with wet scrubbers use FGD while cycling operations and wastewater management approaches that eliminate treatment stage are designed for the undergoing shutdowns in the years the discharge of FGD wastewater altogether. But, since the 2015 rule. removal of suspended solids exiting the although these technologies (which are described bioreactor, such as any reduced, above in Section V.C.1) may be available for some While the rationale above applies to insoluble selenium, mercury, and other facilities, none of them are available nationwide, both HRTR and LRTR technologies, the and thus do not form the basis for the proposed particulates. Ultrafiltration uses a EPA proposes to establish BAT based on BAT. For example, evaporation ponds are only the LRTR technologies. LRTR membrane with pore size small enough available in certain climates. Similarly, complete to remove these smaller suspended recycle FGD systems are only available at facilities reductions are comparable to HRTR 19 particulates after the biological with appropriate FGD metallurgy. Facility reductions, are less costly, and require treatment stage, but still much larger conditions and availability of these technologies significantly less process or facility have not materially changed since the 2015 rule, footprint modifications than the HRTR than the pore size of the membrane and the EPA thus reaffirms that these technologies are not individually available nationwide and are option. As explained in Section XIII of 16 Similar to the 2015 rule and consistent with not a basis for the proposed BAT. this preamble, the long-term averages discussions with engineering firms and facility 18 In addition to these nine facilities, some forming the basis of the selenium staff, EPA assumed that in order to meet the facilities employ other types of biological treatment. limitations for LRTR and HRTR are limitations and standards, facilities would take Some of these systems are sequencing batch steps to optimize wastewater flows as part of their reactors (SBR), which treat nitrogen, and that similar, and the higher selenium operating practices (by reducing the FGD purge rate technology can be operated to remove selenium. or recycling a portion of their FGD wastewater back The SBR systems currently operating at power 19 For example, while the effluent from LRTR is to the FGD system), where the FGD system facilities, however, would likely not be able to meet more variable than HRTR, both technologies metallurgy can accommodate an increase in the limitations discussed in today’s proposal achieve long-term average effluent concentrations chlorides. See Section 5 of the Supplemental TDD. without reconfiguration. for selenium lower than 20 mg/L.

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limitations for the LRTR systems are membrane filtration is technologically membrane filtration systems.25 The largely driven by increased short-term available nationwide at this time, as the record contains limited information variability around that average, rather term is used in the CWA, but may about these facilities. Two of the than a meaningful difference in long- become ‘‘available’’ on a nationwide facilities employ pretreatment and a term pollutant removals.20 basis by 2028 (this is reflected in the combination of reverse osmosis and LRTR is less costly than HRTR. date of compliance for the VIP program forward osmosis. The EPA does not Compared to the baseline of the 2015 under Options 2 and 3). Furthermore, have detailed information about the rule, LRTR is estimated to save membrane filtration entails non-water- specific configurations or the long-term approximately $72 million per year in quality environmental impacts performance of these two systems, nor after-tax costs to industry. (associated with management of the is the EPA aware of how the resultant LRTR requires fewer process changes brine) that the EPA proposes to find brine is being disposed.26 Furthermore, than HRTR. Compared to HRTR, LRTR unacceptable. the company that sold these two installations are less complex and At the time of the 2015 rule, the EPA systems has since ceased commercial require fewer modifications to a had no record of information about operations.27 The third facility facility’s footprint. The HRTR systems membrane filtration technologies being operating in China employs selected in the 2015 rule were large, used to treat FGD wastewater. Since that pretreatment followed by nanofiltration concrete tanks which, along with their time, the EPA collected information on and reverse osmosis. At this facility, the associated piping and pumping and several types of membrane filtration brine is crystallized and the resulting control equipment, would be fabricated technologies. Microfiltration and salt is sold for industrial uses. The EPA on site. By contrast, new LRTR systems ultrafiltration membranes are used does not have information on the long- have smaller footprints, and in many primarily for removing suspended term performance of this system. cases come prefabricated as modular solids, including colloids. While the EPA does have some components, including the ultrafilter Nanofiltration, reverse osmosis, forward information about the use of membrane polishing stage, requiring little more osmosis, and electrodialysis reversal filtration on FGD wastewater from pilot than a concrete foundation, electricity (EDR) membranes are used to remove a studies, uncertainty remains regarding supply, and piping connections. broad range of dissolved pollutants. operation of the suite of membrane The EPA is not proposing to establish Each of these membrane filtration filtration technologies evaluated by the BAT limitations or PSES based on technologies generate both a treated EPA as the basis for Option 4. With chemical precipitation alone (Option 1). effluent and a residual requiring further respect to data from the pilot studies, As the EPA noted during the treatment or disposal. Microfiltration these studies focused on membrane development of the 2015 rule, chemical and ultrafiltration generate a solid waste technologies that would remove precipitation is effective at removing residual which is disposed. Similarly, dissolved pollutants. For the mercury, arsenic, and certain other nanofiltration, reverse osmosis, forward technologies designed to remove heavy metals. While basing BAT osmosis, and EDR all produce a dissolved pollutants, several studies limitations and PSES on this technology concentrated brine residual which must either did not include a second stage of alone could save industry $103 million be disposed. membrane filtration (i.e., a reverse per year in after-tax costs relative to the The EPA’s current record includes osmosis polishing stage which electric 2015 rule, this technology alone does information on seven pilot studies of utilities and vendors indicated would not remove nitrogen, nor does it remove FGD wastewater treatment at domestic need to be part of any potential future the majority of selenium. Furthermore, facilities using four different membrane membrane filtration system they would the data in the EPA’s record filtration technologies.22 All of these install and operate with a discharge) or demonstrate that both LRTR and HRTR technologies first employed some form provided only summaries of effluent remove approximately 90 percent of the of suspended solids removal such as data because of nondisclosure mercury remaining in the effluent from agreements between EPRI, treatment 21 microfiltration or chemical chemical precipitation treatment. technology vendors, and/or the plant Because the combination of chemical precipitation. This pretreated FGD wastewater was then fed into either operators. In both cases, this prevented precipitation with LRTR provides the EPA from fully analyzing the substantial further reductions in the nanofiltration or reverse osmosis membrane filtration systems.23 For pollutant removal efficacy and effluent discharge of pollutants, the EPA variability associated with the treatment proposes chemical precipitation several of the pilot studies, the resultant brines were mixed with FA and/or lime systems used in those studies. The pilot followed by LRTR for BAT. tests that omitted the second stage of The EPA is not proposing to establish to test the potential for encapsulation of the concentrated brine wastestream.24 membrane filtration do not provide BAT limitations based on membrane sufficient insight into the performance filtration (Option 4). Based on the EPA’s The EPA is not aware of any domestic capabilities of the membrane technology record, the EPA could not conclude that facilities which have to date installed nanofiltration or reverse osmosis because the initial membrane filtration step (e.g., a nanofilter unit) does not by 20 Courts have recognized that while Section 301 membrane filtration systems to remove of the CWA is intended to help achieve the national dissolved pollutants in FGD wastewater, goal of eliminating the discharge of all pollutants, although EPA is aware of three facilities 25 Ultrafiltration has been installed as part of FGD at some point the technology-based approach has its in China which have installed such wastewater treatment systems in the U.S.; however, limitations. See Am. Petroleum Inst. v. EPA, 787 these membranes are intended to remove F.2d 965, 972 (5th Cir. 1986) (‘‘EPA would disserve suspended solids, not dissolved pollutants. its mandate were it to tilt at windmills by imposing 22 Two of these pilot studies were completed in 26 This is in contrast to biological treatment BAT limitations which removed de minimis 2014, but information about these tests was not systems for which EPA has long-term performance amounts of polluting agents from our nation’s provided to EPA prior to the 2015 rule. data. Although LRTR and HRTR systems differ in waters [. . .]’’). 23 The EPA has also learned of an eighth pilot on their configuration (e.g., residence time), the 21 Recall that the FGD mercury and arsenic an EDR system, but no data have yet been provided underlying performance has been well limitations in the 2015 rule were based on chemical (https://www.filtsep.com/water-and-wastewater/ demonstrated on this wastewater. precipitation data alone because the facilities news/saltworks-completes-fgd-pilot-in-us/). 27 The following story summarizes the forward operating biological systems were not using all of 24 The record includes additional encapsulation osmosis company Oasys ceasing commercial the chemical precipitation additives in the studies and data not explicitly linked to these seven operations: https://www.bluetechresearch.com/ technology basis. pilots. news-blog/comment-oasys-hits-funding-drought/.

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itself remove the broad range of The EPA solicits comment on this According to 2016 EIA data, the pollutants as effectively as would be availability finding, and whether median percent of FA sold for beneficial achieved by the two-stage configuration. membrane filtration may become use by the facilities with wet FGD The pilot tests for which the EPA has nationally available sooner or later than systems is approximately fifty percent, only summary-level data provide 2028. with a range of zero to one hundred summary statistics, such as the observed The EPA also rejects membranes as percent. The fact that encapsulation range of pollutant concentrations, the technology basis for BAT for all with FA and lime is the most likely, and average influent and effluent pollutant existing facilities because it could least cost, brine management method concentrations, and duration of the discourage more valuable forms of that facilities could employ nationally, testing periods. However, the EPA lacks beneficial reuse of FA (such as replacing combined with the high percent of FA the individual daily sample results that Portland cement in concrete) potentially currently being beneficially used, are needed to fully evaluate treatment causing more FA to be incorporated in indicates that selection of membrane system operation and calculate effluent wastes being disposed.29 While there are filtration as BAT could discourage limitations. Complete data sets were several alternative ways to treat or environmentally preferable beneficial only available from three pilot facilities dispose of the brine generated by uses of FA, such as replacement of using a single vendor’s reverse osmosis membrane filtration, the method most Portland cement in concrete.32 technology.28 likely to be employed (based on bids, Specifically, the Agency estimated in In addition, while the EPA does have engineering documents, and discussions U.S. EPA (2011) that each ton of fly ash information about membrane filtration with electric utilities) is encapsulation used as a substitute for Portland cement application to FGD wastewater from with FA and lime for disposal of the would avoid 5,400 megajoules of bids and engineering documents, those resulting solid in a landfill.30 nonrenewable energy use, 690 liters of sources express concerns about Landfilling an encapsulated material water use, 1,000,000 grams (g) of CO2 operating a technology on this raises challenges. For instance, emissions, 840 g of methane emissions, wastewater that would be the first of its comingling might result in a leachate 1,400 g of CO emissions, 2,700 g of NOX kind in the U.S. With respect to blowout. The King County Landfill in emissions, 2,500 g of SOX emissions, information from bids for full-scale Virginia experienced a leachate blow 2,400 g of PM, 0.08 g of Hg, 490 g of TSS installations and related documents, the out when compact CCR materials with discharge, 23 g of BOD discharge, and EPA obtained copies of bids that a low infiltration rate were layered with 46 g of COD discharge.33 After represented a single vendor’s reverse normal municipal solid waste having a considering these cross-program osmosis-based technology and that higher infiltration rate. Similarly, in the environmental impacts, the EPA incorporated performance guarantees. case of encapsulated brine paste, the proposes to find that discouraging this Such guarantees, which are standard paste would set and thereafter achieve beneficial use of FA would result in within the steam electric power a very low infiltration rate. When unacceptable non-water-quality generating industry, act to transfer the comingled with CCRs having a higher environmental impacts. costs of specific performance issues infiltration rate, this would lead to Finally, while the EPA views the from the purchaser of the equipment to layers with disparate infiltration rates foregoing reasoning as sufficient to find the vendor. While the willingness of akin to those experienced in the King that membrane filtration is not BAT for this vendor to take on these risks might County scenario. Thus, segregation of all existing sources, the EPA notes that suggest confidence in the long-term low infiltration rate encapsulated brine membrane filtration is projected to cost performance of its technology, third- in a landfill cell separate from other, industry more than the proposed BAT party EPC firms with no vested interest higher infiltration wastes could be option for FGD wastewater, i.e., in the technology are hesitant to necessary to prevent this layering, and chemical precipitation plus LRTR. recommend that a client be the first site a potential leachate blowout. Such Added to these costs are the costs to in the U.S. to adopt membrane filtration dedicated landfill cells do not exist facilities of disposing of the resulting for the treatment of FGD wastewater today, and would require time to permit brine. Some facilities that otherwise sell because of uncertainty related to system and construct. their FA may choose to use their FA to performance and the ability to operate Moreover, instead of disposing of encapsulate the brine, thereby foregoing successfully without frequent, if not their FA, facilities can sell it for revenue from FA sales. Other facilities excessive, chemical cleaning. This beneficial use. As stated in the 2015 that choose to continue to sell their FA further supports EPA’s proposal to find, CCR rule: must dispose of the brine using another at this time, that membrane filtration is disposal alternative, such as not, technologically available or an The beneficial use of CCR is a primary crystallization, at an additional cost. alternative to current disposal methods. And appropriate basis for mandatory Costs are a separate statutory factor that requirements for the entire industry. as EPA has repeatedly concluded, it is a method that, when performed correctly, can the EPA considers in selecting BAT (see, for example, BP Exploration & Oil, Inc. 28 offer significant environmental benefits, These three data sets served as the basis of the including greenhouse gas (GHG) reduction, v. EPA, 66 F.3d 784, 796 (6th Cir. 1996). proposed revisions to the VIP limitations, described further in Section XIII of this preamble. These energy conservation, reduction in land limited data sets do not provide sufficient disposal (along with the corresponding 32 Although the EPA evaluated FA and lime information to evaluate the performance of avoidance of potential CCR disposal encapsulation as the least-cost nationally available nanofiltration and reverse osmosis membrane impacts), and reduction in the need to mine brine disposal alternative, other alternatives may filtration technology as the primary treatment for and process virgin materials and the have higher costs and non-water quality dissolved pollutants FGD wastewater. The EPA associated environmental impacts.31 environmental impacts. For example, if a facility anticipates that additional pilots, tests and data chose to crystallize the resulting brine to continue collection could result in these technologies selling its FA, this thermal crystallization process becoming available by the VIP compliance date of 29 While the EPA considers FA use for waste could have a higher cost and parasitic energy load. 2028. By contrast and for the reasons explained in solidification and stabilization as beneficial use, the 33 U.S. EPA (Environmental Protection Agency). section VII.2.B., the EPA proposes to conclude that CCR waste being solidified or stabilized must still 2011. Waste and Materials—Flow Benchmark ultrafiltration technology is available for use in the be disposed of in accordance with 40 CFR 257. Sector Report: Beneficial Use of Secondary polishing stage for systems using LRTR biological 30 Bids also indicate that this would be the least- Materials—Coal Combustion Products. Office of systems as the primary treatment technology for cost brine management alternative. Solid Waste and Emergency Response. Washington, FGD wastewater. 31 80 FR 21329 (April 17, 2015). DC 20460. April.

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Here, while these costs do not make the facilities,34 and a seventh purchased record would alter its previous membrane filtration option thermal equipment, but elected not to conclusion. economically unachievable, the install it.35 While new thermal 2. BA Transport Water additional costs associated with technologies have been pilot tested and membrane filtration provide additional used at full-scale since the 2015 rule, This proposal identifies treatment support for the EPA’s proposal that and related cost information using high recycle rate systems as the membrane filtration is not BAT for all demonstrates that thermal technologies BAT technology basis for control of existing sources. are less costly than estimated for the pollutants discharged in BA transport Although the EPA is proposing to 2015 rule, the thermal costs evaluated in water because, after evaluating the reject membranes as the national the EPA’s memorandum FGD Thermal factors specified in CWA section technology basis for BAT, the EPA Evaporation Cost Methodology (DCN 304(b)(2)(B), the EPA proposes to find proposes to establish a VIP based on SE07098) are still three to five times that this technology is available and membrane technology, as discussed higher than any other option presented economically achievable. In the 2015 later in this section. The EPA solicits in Table VIII–1. As authorized by rule, the EPA selected dry BA handling comment on this conclusion. section 304(b) of the CWA, which or closed-loop wet ash handling systems Furthermore, the EPA solicits comment allows the EPA to consider costs, the as the technology basis for the ‘‘zero on whether there are early adopters who Agency is not proposing that thermal discharge’’ BAT requirements for BA have already contracted for, purchased, technologies are BAT due to the transport water. The EPA established or installed biological technology for unacceptable costs to industry. Given zero pollutant discharge limitations compliance with the 2015 rule, and the high costs associated with the based on these technologies and whether these facilities should be technology, and the fact that the steam included a limited allowance for included as a subcategory not subject to electric power generating industry pollutant discharges associated with 37 the final BAT of Option 4, if finalized. continues to face costs associated with certain maintenance activities. The EPA solicits comment on whether several other rules, in addition to this At the time of the 2015 rule, the EPA such a subcategory could be based on rule, the EPA is not proposing to estimated that more than 50 percent of the age of the new pollution control establish BAT limitations for FGD facilities already employed dry handling equipment that had not yet lived out its wastewater based on evaporation for all systems or wet sluicing systems useful life, the disparate costs of steam electric facilities. The EPA designed to operate closed-loop, or had purchasing two sets of equipment, or solicits comment on this finding, as well announced plans to switch to such other statutory factors. as the accuracy of the revised costs systems in the near future. Based on estimates. new information collected since the As described further below, the EPA 2015 rule, that value is now over 75 is also not proposing to establish BAT Furthermore, since membrane percent, nearly evenly split between dry limitations based on other technologies filtration technologies included in and wet systems. However, since the also evaluated in the 2015 rule. Option 4 appear to achieve similar 2015 rule, the EPA’s understanding of First, except for the end of life boiler pollutant removals for lower costs than the types of available dry systems, and and low-utilization subcategories thermal, the EPA is proposing to revise the ability of wet systems to achieve discussed below, the EPA is not the basis for the VIP limitations adopted complete recycle has changed, as proposing to establish BAT limitations in the 2015 rule to membrane filtration, discussed below. based on surface impoundments. instead of thermal technologies, as 36 There have been advances in dry BA Surface impoundments are not as discussed later in this section. The handling systems since the 2015 rule.38 effective at controlling pollutants like EPA solicits comment on the extent to For example, in addition to under-boiler dissolved metals and nutrients as which membrane filtration technologies mechanical drag chain systems available and achievable technologies could be used in lieu of, or in (described in the 2015 rule), pneumatic like CP and LRTR. EPA drew a similar combination with, thermal technologies. systems and submerged grinder conclusion in the 2015 rule, and Finally, the EPA is not proposing to conveyors are now available and in use nothing in the record developed by the decline to establish BAT and leave BAT at some facilities. Such systems often Agency since the 2015 rule would effluent limitations for FGD wastewater can be installed at facilities that are change this determination. to be established by the permitting constrained from retrofitting a Second, the EPA is not proposing to authority using BPJ. The EPA explained mechanical drag system due to establish BAT limitations based on in the 2015 rule why BPJ determinations insufficient vertical space under the thermal technologies, such as chemical would not be appropriate for FGD boiler. precipitation (including softening) wastewater, particularly given the With respect to wet BA handling followed by a falling film evaporator, on availability of several other systems, in their petitions for the basis of high costs to industry. In the technologies, and nothing in EPA’s reconsideration and in recent meetings 2015 rule, the EPA rejected this with the EPA, utilities and trade technology as a basis for BAT 34 One of these facilities successfully ran three associations informed the EPA that limitations due to high costs to industry. different thermal systems to treat its wastewater, many existing remote wet systems are, transitioning from a falling film evaporator to a in reality, ‘‘partially closed’’ rather than Since the 2015 rule, the EPA has direct-contact evaporator that mixes hot gases in a collected additional information on full- high turbulence evaporation chamber, and finally to closed-loop, as indicated by the EPA in scale installations and pilots of thermal a spray dryer evaporator. technologies to treat FGD wastewater. 35 This facility purchased a falling film evaporator 37 See 40 CFR part 423.11(p). for the purpose of meeting water quality-based 38 The term ‘‘dry handling’’ is used to refer to ash The EPA’s record includes information effluent limitations for boron, but then elected to handling systems that do not use water as the about approximately 10 pilot studies instead pay approximately $1 million per year to transport medium for conveying ash away from the conducted in the U.S., providing send its wastewater to a local POTW. boiler. Such systems include pneumatic and performance data for five different 36 The EPA notes that thermal technologies could mechanical processes (some mechanical processes continue to be used to meet the voluntary use water to cool the BA or create a water seal thermal technologies. In addition, full incentives program limitations based on membrane between the boiler and ash hoppers, but the water scale installations are operating at six filtration. does not act as the transport medium).

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the 2015 rule. Utilities and trade themselves.41 These additional costs their BA transport water from their non- associations informed the EPA that and process changes were not accounted CCR wastewaters, short compliance these systems operate partially closed, for in the 2015 rule; however, as timeframes under the CCR rule may rather than closed, due to small discussed in Section 5.3 of the limit the availability of such options. discharges associated with additional Supplemental TDD, in estimating the In light of the foregoing process maintenance and repair activities not baseline costs of the BA limitations in changes (and associated engineering accounted for in the 2015 maintenance the 2015 rule, the EPA now accounts for challenges) that facilities would need to allowances,39 water imbalances within these costs. The EPA solicits comment make to implement a true zero discharge the system such as those associated with on whether these assumptions and costs BA transport water limitation in stormwater,40 and water chemistry are appropriate and requests combination with the CCR rule, and to imbalances including acidity and commenters identify and include give facilities flexibilities that will corrosiveness, scaling, and fines build- available data or information to support facilitate orderly compliance with the up. While some facilities have their recommended approach. fast-approaching CCR rule deadlines, the EPA proposes to base the BA controlled or eliminated these The EPA also recognizes the need for transport water BAT limitations on the challenges with relatively facilities to consider the standards of use of dry handling or high recycle rate straightforward steps (See DCNs multiple environmental regulations simultaneously. As discussed in Section systems rather than dry handling or SE08179 and SE06963), others require IV above, the EPA is separately closed-loop systems, the technologies more extensive process changes and proposing changes to the CCR rule that, on which the zero discharge BAT associated increased costs or find them if finalized, would allow facilities to limitation adopted in the 2015 rule were difficult to resolve (See DCNs SE08188, cease receiving waste in unlined surface based. The EPA’s proposal is based on SE08180, and SE06920). impoundments by August 2020.42 The its discretion to give particular weight to The EPA agrees that the new challenges of operating a truly closed- the CWA Section 304(b) statutory factor information indicates that some loop system discussed above are of ‘‘process changes.’’ Process changes facilities with wet ash removal systems compounded when considered in to existing high recycle rate systems that generally operate as zero discharge conjunction with the requirements of do not currently operate as closed loop, systems, but in many cases must operate the CCR rule. Facilities often send or that will be installed in the near- as high recycle rate systems. While various CCR and non-CCR future, to comply with this rule in some facilities currently handle the wastestreams, such as coal mill rejects, conjunction with the CCR rule as challenges discussed above by economizer ash, etc., with BA transport discussed above could be more discharging some portion of their BA water into their surface impoundments. challenging without a further discharge transport water (as the zero discharge According to reports provided to the allowance, and in some cases could also limitations in the 2015 rule are not yet EPA and conversations with electric result in the prolonged use of unlined applicable), the record demonstrates utilities, several facilities have already surface impoundments. that facilities can likely eliminate such begun the transition away from The EPA considers that the factors discharges with additional process impoundments, and also use the BA discussed above are sufficient to changes and expenditures. Just as the treatment system for some of their non- support the Agency’s decision not to EPA estimated costs of chemical CCR wastewaters.43 This reportedly can select closed-loop systems as BAT for additions in the 2015 rule to manage lead to or exacerbate problems with BA transport water. The EPA also notes scaling, companies could add additional scaling, corrosion, or plugging of that cost is a statutory factor that it must treatment chemicals (caustic) to manage equipment that complicate achievement consider when establishing BAT, and acidity or other chemicals to control of a closed-loop system and require that closed-loop systems cost more than alkalinity, make use of reverse osmosis additional process changes and expense high recycle rate systems for treatment of BA transport water. While the EPA filters to treat a slip stream of the to address. All of which problems could does not find this higher cost to be recycled water to remove dissolved be avoided by purging the system from economically unachievable, the higher solids, add polymer to enhance settling time to time, as necessary. While those cost of closed loop systems is an and removal of fine particulates facilities that have not yet installed a BA additional reason for the EPA to not transport water technology (less than 25 (‘‘fines’’), and build storage tanks to select closed loop systems as BAT for percent) could potentially employ a dry hold water during infrequent treating BA transport water. maintenance or precipitation events. system, and those facilities with existing Under the proposed option, the EPA Industry-wide, the EPA estimates the wet systems could potentially segregate would allow facilities with a wet costs of fully closing the loop to be $43 transport system, on an ‘‘as needed’’ million per year in after-tax costs, above 41 Utilities and EPC firms have discussed the availability of new dry systems, such as the basis, to discharge up to 10 percent of and beyond the costs of the systems submerged grinder conveyor or pressure systems, the system volume per day on a 30-day which at some facilities would have costs similar rolling average to account for the 39 The 2015 rule maintenance discharges were to recirculating wet systems that would require a challenges identified above, including characterized as not a significant portion of the purge. Because the EPA did not have cost infrequent large precipitation and system volume, compared to, for example, potential information to determine the subset of facilities for discharges resulting from maintenance of the which new dry systems might be least costly, some maintenance events. The EPA proposes remote MDS tank or the conveyor itself. Such portion of the costs estimated for this proposal may that the term ‘‘30-day rolling average’’ maintenance could require draining the entire be based on selecting recirculating wet systems at means the series of averages using the system, which would not be permissible under the facilities which could ultimately go dry. Thus, the measured values of the preceding 30 2015 rule maintenance discharge allowance. EPA may overestimate costs or underestimate 40 The 2015 rule provided no exemption or pollutant removals at the subset of facilities where days for each average in the series. This allowance for discharges due to precipitation such a dry system would be selected. does not mean that the EPA expects all events. While systems are often engineered with 42 As discussed in Section IV of this preamble, facilities to discharge up to 10 percent extra capacity to handle rainfall/runoff from a further information about this proposal is available on a regular basis, rather this option is certain size precipitation event, these events may at http://www.regulations.gov, Docket EPA–HQ– occur back-to-back, or facilities may receive events OLEM–2019–0172. designed to provide flexibility if and with higher rates of accumulation beyond what the 43 In some cases, the treatment system predated when needed to address site-specific facility was designed to handle. even the proposed CCR rule. challenges of operating the recirculating

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ash system (for more on climates and maintenance needs that EPA solicits any data, information or implementation, see Section XIV of this could make selecting a uniform methodologies that may be useful in preamble).44 The EPA also solicits treatment system more difficult. Second, evaluating the potential costs of comment on a facility-specific recycle utilities have stated that discharges of establishing and complying with as yet rate alternative to the 10 percent 30-day wastewater associated with high rate undetermined BPJ requirements. rolling average option. Under such an recycle systems are sent to low volume The EPA is not proposing to identify alternative, each facility operating a wastewater treatment systems, which surface impoundments as BAT for BA high recycle rate system would take are typically dewatering basins or transport water except for BATW purge proactive measures (e.g., acid or caustic surface impoundments. Many of these water because surface impoundments addition for pH control, chemical systems are in transition as a result of are not as effective at removing addition to control alkalinity, polymer the CCR rule. New wastewater treatment dissolved metals as available and addition to remove fines) to maintain systems installed for low volume achievable technologies, such as high system water chemistry within control wastewater and other wastestreams recycle rate systems. Furthermore, the limitations established by the facility in (which could be used to treat the record since the 2015 rule shows that a BMP plan similar to that proposed for wastewater purged from a high recycle facilities have continued to convert low utilization units in Section VII.C.2 rate system), as well as the types of away from surface impoundments to the below. Under this approach, when wastestreams combined in such types of technologies described above, reasonable active measures are systems, are likely to vary across either voluntarily or due to the CCR insufficient to maintain system water facilities. rule, and in 2018, the U.S. Court of Appeals for the District of Columbia chemistry or water balance within In light of the information discussed vacated that portion of the 2015 CCR acceptable limitations, or to facilitate above, and the EPA’s authority under rule that allowed both unlined and clay- maintenance and repairs of the BA section 304(b) to consider both the lined surface impoundments to system, the facility would be authorized process employed (for maintenance continue operating. USWAG v. EPA, No. to purge a portion of the system volume. needs) and process changes (for new 15–1219 (D.C. Cir. 2018). Since very few The purge volume would be determined treatment systems installed to comply CCR surface impoundments are based on plant-specific information and with the CCR rule), the EPA proposes composite-lined, the practical effect of would be minimized to the extent that BAT limitations for any wastewater this ruling is that the majority of feasible and limited to a maximum of 10 that is purged from a high recycle rate percent of the total system volume. The facilities with operating ponds likely system and then discharged be will cease sluicing waste to their ponds EPA solicits comment on whether these established by the permitting authority two options provide sufficient notice in the near future. In the 2015 CCR rule, on a case-by-case basis using BPJ. The the EPA estimated that it would be less and regulatory certainty for facilities to EPA assumes permitting authorities will understand potential obligations under costly for facilities to install under- be in a better position than the EPA to boiler or remote drag chain systems and the proposed rule and associated costs. examine site-specific climate and The EPA solicits comment on an send BA to landfills rather than maintenance factors for infrequent continue to wet sluice BA and replace alternate approach that establishes a events. Permitting authorities will also standard purge rate of 10 percent that unlined ponds with composite lined be in a better position than the EPA to ponds. This supports the suggestion that can be adjusted upward or downward account for site-specific treatment based on site-specific operating data. surface impoundments are not BAT for technologies and their configurations all facilities. However, the EPA Finally, the EPA solicits comment on already installed or being installed to whether these discharges should be proposes to identify surface comply with the CCR rule and other impoundments as BAT for two capped at a specific flow. The EPA regulations which could accommodate requests commenters identify and subcategories, as discussed later in this the volumes of, and successfully treat, section. include available data or information to any discharges of wastewater from a support their recommended approach. high recycle rate system associated with 3. Rationale for Voluntary Incentives Under either option discussed above the proposed allowance. The EPA also Program (VIP) for determining discharge allowances solicits comment on technologies that As part of the BAT for existing (10 percent 30-day rolling average or could serve as the basis for BAT for this sources, the 2015 rule established a VIP site-specific), there may be wastewater discharge and what technologies state that provided the certainty of more time from whatever is purged by the high permitting authorities may consider as (until December 31, 2023 instead of a recycle rate system, and plants may BPJ. For example, the EPA solicits date determined by the permitting wish to discharge this wastewater. Two comment on whether surface authority that is as soon as possible considerations make determining a impoundments could be selected as beginning November 1, 2018) for nationwide BAT for these discharges BAT based on high costs to control the facilities to implement new BAT challenging and fact-specific. First, in purge with other technologies. The EPA limitations if they adopted additional the case of precipitation or further solicits comment on whether process changes and controls that maintenance-related purges, such delaying the selection of appropriate achieve limitations on mercury, arsenic, purges would be potentially large 45 treatment technology though the BPJ selenium and TDS in FGD wastewater, volumes at infrequent intervals. Each process masks the true cost of this based on thermal evaporation facility necessarily has different proposed rule for both the regulated technology. See Section VIII(C)(13) of entity and the regulatory agency that the 2015 rule preamble for a more 44 The EPA’s pollutant loading analyses provided in Section IX.B of this preamble and described in must undertake the evaluation and complete description of the selection of detail in the BCA Report and Supplemental TDD ultimately establish BPJ. The EPA also the thermal technology basis, chemical were based on an assumed 10 percent purge at each solicits comment on whether the EPA precipitation (with softening) followed affected facility. should constrain BPJ by precluding the by a falling film evaporator. The EPA 45 In the case of precipitation, rainfall exceeding a 25 year, 24-hour event may only happen once consideration of some technologies (e.g., expected this additional time, combined during the 20-year lifetime of the equipment, if at zero discharge) using nationwide with other factors (such as the all. application of the statutory factors. The possibility that a facility’s NPDES

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permit may need more stringent systems and the brine management section 304(b) of the CWA, which limitations to meet applicable water systems. The EPA notes that this is allows the EPA to consider the process quality standards), would lead some similar to the eight-year period between employed, the EPA is proposing a facilities to choose this option for future promulgation of the 2015 rule and the modification of the definition of FGD implementation by incorporating the 2023 deadline for the current voluntary wastewater and ash transport water to VIP limits into their permit during the incentives program. The EPA proposes explicitly exclude water used to clean permit application process. New to find that forthcoming changes in FGD paste piping so that facilities using information in several utilities’ internal membrane filtration brine disposal paste piping for brine encapsulation and analyses and contractor reports options may significantly reduce the disposal in an on-site landfill can more provided to the EPA since the 2015 rule, non-water quality environmental easily clean residual paste from pipes. as well as meetings with utilities, EPC impacts associated with encapsulation, Taken together, the EPA’s proposed firms, and vendors indicates that facility discussed in Section VII(b)(i) above. changes to the VIP would give facilities decisions to install the more expensive Through discussions with several greater flexibility when choosing a thermal systems were driven by water utilities and EPRI, the EPA learned that technology, while continuing to achieve quality-based effluent limitations a forthcoming paste technology may pollutant reductions beyond the BAT imposed by the NPDES permitting allow facilities to mix the brine with limitations that are generally applicable authority. Furthermore, such documents lower quantities of FA and lime and to the industry and currently available and meetings also show that several pump the resulting paste via pipes to an nationwide. Under Option 2, the EPA facilities considered installing onsite landfill where the paste would estimated that 18 plants (27 percent of membrane filtration technologies under self-level prior to setting as an plants estimated to incur FGD the 2015 rule VIP as well, and thus the encapsulated material. According to compliance costs) may opt into the VIP EPA evaluated membrane filtration as these discussions, such a process may program and under Option 3 the an alternative basis for VIP. be less costly than existing brine number rises to 23 plants (34 percent of The EPA proposes to revise the VIP disposal alternatives. This process could plants estimated to incur FGD limitations established in the 2015 rule also reduce non-water quality compliance costs). The EPA solicits using membrane filtration as the environmental impacts by reducing the comment on the accuracy of the cost technology basis because it costs less amount of FA used, decreasing air estimates indicating that these plants than half the cost of thermal technology emissions and fuel use associated with would opt into the revised VIP program, and has comparable pollutant removal trucking and spreading, and, where FA including data identifying costs that performance. Membrane filtration is already being disposed of, could may be potentially excluded from this achieves pollutant removals comparable reduce the volumes and pollutant analysis. Specifically, the EPA solicits 47 48 to thermal systems in situations where concentrations in leachate. A data and information on any potential the thermal system would discharge. compliance date of December 31, 2028, technology limitations, commercial Engineering documents for some would have the advantage of allowing availability, and other limitations that individual facilities evaluated this this forthcoming paste technology may affect plants’ ability to adopt the technology as a zero liquid discharge potentially enough time to become VIP limits by the proposed VIP system which would recycle permeate available, allow facilities more time to compliance date of 2028. into the plant. Due to the higher costs permit landfill cells for brine of thermal systems compared to encapsulated with FA and lime if C. Additional Proposed Subcategories chemical precipitation followed by needed, and conduct pilot testing, In the 2015 rule, the EPA established LRTR, the EPA does not expect that any demonstrations, and further analyses to subcategories for small boilers (<50 MW facility would install a new thermal fully understand and incorporate the nameplate capacity) and oil-fired units. system under the 2015 rule VIP as the process changes associated with The EPA subcategorized small boilers least cost technology. As authorized by membrane filtration operation, and due to disproportionate costs when section 304(b) of the CWA, which understand the long term performance compared to the rest of the industry and allows the EPA to consider costs, the of the technology for treatment of FGD subcategorized oil-fired boilers both EPA proposes membrane filtration as waste. because they generated substantially the technology basis for the VIP BAT One remaining challenge identified fewer pollutants and are generally limitations, with limitations for for this paste technology is developing older 50 (and more susceptible to early mercury, arsenic, selenium, nitrate- approaches to manage wastes (e.g., flush retirement). In the 2015 rule, the EPA 46 nitrite, bromide, and TDS. water) from periodic cleaning of the stated: Second, as authorized by section paste transportation piping, where such 304(b) of the CWA, which allows the piping is used.49 As authorized by If these units shut down, EPA is concerned EPA to consider process changes and about resulting reductions in the flexibility that grid operators have during peak demand non-water quality environmental 47 Sniderman, Debbie. 2017. From Power Plant to due to less reserve generating capacity to impacts, the EPA proposes to revise the Landfill: Encapsulation. Innovative Technology Offers Elegant Solution for Disposing of Multiple draw upon. But, more importantly, compliance date for the VIP limitations Types of Waste. EPRI Journal. September 19. maintaining a diverse fleet of generating to December 31, 2028. That is the date Available online at: http://eprijournal.com/from- units that includes a variety of fuel sources the EPA has determined that the power-plant-to-landfill-encapsulation/. is important to the nation’s energy security. membrane filtration technology will be 48 Although the EPA is not establishing BAT for Because the supply/delivery network for oil available nationwide, as that term is leachate in the current rulemaking, the vacatur and is different from other fuel sources, remand of BAT for leachate in Southwestern used in the CWA, for those facilities maintaining the existence of oil-fired Electric Power Co., et al. v. EPA means that generating units helps ensure reliable electric who choose to adopt it. This timeframe decreasing volumes of leachate and the is based on the amount of time concentration of pollutants in that leachate might necessary to pilot, design, procure, and make more technologies available in a future BAT the majority of the paste, water would still contact rulemaking. incidental amounts of ash and FGD materials, thus install both the membrane filtration 49 Utilities described this process as water potentially subjecting it to regulations for those pushing a ball through the paste piping when not wastewaters. 46 Note that the 2015 rule did not include in use, based on cleaning done of concrete pipes at 50 Age is a statutory factor for BAT. CWA section limitations for nitrate/nitrite or bromide. construction sites. While the ball would clean out 304(b), 233 U.S.C. 1304(b).

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power generation, as commenters be able to recycle little, if any, of the 2. Subcategory for Boilers With Low confirmed. 51 wastewater back to the scrubber as a Utilization For these subcategorized units, in the means for reducing the flow volume The EPA is proposing to establish a 55 2015 rule the EPA established sent to a treatment system. Second, as new subcategory for boilers with low differentiated limitations based on a result of the inability to recycle these utilization based on the statutory factors surface impoundments (i.e, setting BAT high flows, TVA stated that the cost of of cost and non-water quality equal to BPT limitations for TSS). a biological treatment system would be environmental impacts (including As part of this proposal, the EPA is high. energy requirements). Low natural gas not proposing a change to the 2015 rule The EPA proposes to subcategorize prices and other factors have led to a subcategorization of small and oil-fired facilities with FGD purge flows greater decline in capacity utilization for the boilers; therefore, these boilers have than four million gallons per day, after majority of coal-fired boilers. According limitations for TSS. The EPA is accounting for that facility’s ability to to EIA 923 data,59 overall coal-fired incorporating and expanding on its recycle the wastewater to the maximum production for 2017 decreased by previous analysis of characteristics and limits for the FGD system materials of approximately one-third from 2009 possible differences within the industry. construction to avoid placing a levels, with the majority of boilers The EPA proposes further disproportionate cost on such decreasing utilization, sometimes subcategorization for FGD wastewater facilities.56 Such a flow reflects the significantly. While the majority of and BA transport water for boilers with reasonably predictable flow associated boilers in 2009 were base load, making low utilization and boilers with limited with actual and expected FGD nameplate capacity a good indicator of remaining useful life. In addition, for operations. electricity production, coal-fired boilers FGD wastewater, the EPA proposes to According to TVA’s analysis, today often operate as cycling or subcategorize units with high FGD chemical precipitation plus biological peaking boilers, responding to changes flows. These proposed subcategories are treatment would result in a capital cost in load demand.60 discussed below. of $171 million, and an O&M cost of In light of these industry changes, the 57 1. Subcategory for Facilities With High approximately $20 million per year. EPA examined the costs of the proposed FGD Flows The EPA’s cost estimates are even BAT limitations and pretreatment higher than TVA’s (a $256 million standards for FGD wastewater and BA The EPA is proposing to establish a dollar capital cost plus $21 million per transport water on the basis of MWh new subcategory for facilities with high year in O&M). These costs are five to six produced, rather than the nameplate FGD flows based on the statutory factor times higher than comparable costs at capacity used to subcategorize boilers of cost. The 2015 rule discussed the facilities selling similar numbers of less than or equal to 50 MW in the 2015 ability of high-flow facilities to recycle MWh per year.58 Passing these rule. Due to changed utilization, FGD wastewater back into the air disparately higher costs on to nameplate capacity has become less pollution control system to decrease consumers would likely put the facility representative of electricity production. FGD wastewater flows and treatment at a competitive disadvantage with other Nevertheless, the EPA is not proposing costs. After the 2015 rule, the Tennessee coal-fired facilities not subject to the any changes to the 50 MW nameplate Valley Authority (TVA) submitted a same capital and operating costs. As capacity subcategory of the 2015 rule as request seeking a fundamentally authorized by section 304(b) of the that subcategory applied to additional different factors (FDF) variance for its CWA, which allows the EPA to consider wastestreams not part of this proposal 52 Cumberland power facility. This costs, the EPA proposes a new (e.g., fly ash), and has already been variance request relied primarily on two subcategory for FGD wastewater based implemented in some permits. Thus, the facts. First, TVA stated that on unacceptable disparate costs. For EPA focused on MWh production for Cumberland’s FGD wastewater flow such facilities, the EPA proposes to boilers greater than 50 MW nameplate volumes are several million gallons per establish BAT based on chemical capacity, as discussed below. 53 day, approximately an order of precipitation alone, with effluent Similar to the EPA’s finding regarding magnitude higher than many other units limitations for mercury and arsenic. small boilers in the 2015 rule, the record with comparable generation capacity, indicates that disparate costs to meet the and millions of gallons per day higher 55 Reducing the volume purged from the FGD proposed FGD wastewater and BA than the next highest flow rate in the system or recycling FGD wastewater back to the transport water BAT limitations and entire industry.54 TVA further stated FGD system can be used to reduce the volume of wastewater requiring treatment, and thus reduce the pretreatment standards are imposed on that the FGD system at Cumberland is cost of treating the wastes. However, reducing the boilers with low capacity utilization. constructed of a steel alloy that is flow sent to treatment also has the effect of Figure VIII–1 below presents costs per susceptible to chloride corrosion. Based increasing the concentration of chlorides in the MWh produced as measured against the wastewater, and FGD system metallurgy can impose on the typical chloride concentrations status quo, rather than against the 2015 in the FGD scrubber, the facility would constraints on the degree of recycle that is possible. 56 Although it is theoretically possible that rule baseline. As can be seen in this another coal facility could be built, or an FGD figure, there is a significant difference 51 80 FR 67856. system installed, that resulted in flows of this between boilers above and below 52 Tennessee Valley Authority (TVA) — volume, in practice, all FGD systems in the past 61 Cumberland Fossil Plant—NPDES Permit No. decade have been built with materials that allow for 876,000 MWh per year. As a result of TN0005789—TVA Request for Alternative Effluent recycling of the FGD wastewater. While facilities Limitations for Wet FGD System Discharges Based with these characteristics could potentially apply 59 https://www.eia.gov/electricity/data/eia923/. on Fundamentally Different Factors Pursuant to 33 for an FDF variance, the EPA is proposing to 60 In conversations with electric utilities, several U.S.C. 1311(n). April 28, 2016. subcategorize them instead because it currently has examples were given of former base load facilities 53 In the FDF variance, TVA cites to a sufficient information to do so and because FDF which have since modified operations to be load- hypothetical maximum flow of 9 MGD; however, variances are governed by strict timelines and following, or which no longer produce except for based on survey responses and discussions with procedural requirements set forth in 33 U.S.C. peak days in summer or winter. These discussions TVA staff, the company has never approached this 1311(n). tracked closely with changes in production reported flow rate and does not expect to. 57 Email to Anna Wildeman. November 13, 2018. in the EIA 923 data. 54 Cumberland accounts for approximately one- 58 This would generally also hold true for the 61 This is the equivalent of a 100 MW boiler sixth to one-seventh of all industry FGD wastewater costs of other FGD technology options at running at 100 percent capacity or a 400 MW boiler flows. comparable facilities. running at 25 percent capacity.

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these disparate costs, the EPA proposes capacity), or somewhat larger units that toward the high $/MWh costs over time. an additional subcategory for low have continued to reduce electricity Attempting to pass on the higher costs capacity utilization boilers producing generation due to market forces (e.g., a per MWh produced would make these less than 876,000 MWh per year. Many 400 MW boiler running at 25% boilers increasingly uncompetitive, of these boilers are either close to the 50 capacity). The latter group are expected exacerbating the disparate cost impacts. MW nameplate capacity of the 2015 rule to produce fewer and fewer MWh per (e.g., a 100 MW boiler running at 100% year, moving those boilers further

In addition to disparate costs, the available data or information to support only technologies the EPA proposes to EPA considered non-water quality their recommended approach. Also, for find would not impose such environmental impacts (including this subcategory, as it did for the disproportionate costs on this energy requirements). Low utilization subcategories established in the 2015 subcategory of boilers. While the Fifth boilers tend to operate only during peak rule, the EPA proposes to select surface Circuit in Southwestern Electric Power loading. Thus, their continued operation impoundments as the BAT technology Company v. EPA, 920 F.3d 999, 1018 is useful, if not necessary, for ensuring basis for BA transport water and n.20 (5th Cir. 2019), found EPA’s use of electricity reliability in the near term. establish limitations for TSS based on surface impoundments as the In light of the information discussed surface impoundments in combination technology basis for effluent limitations above, the EPA proposes to establish a with a BMP plan under section 304(e) on legacy wastewater to be arbitrary and subcategory for low utilization units of the Act. Although facilities are likely capricious, the Court left open the producing less than 876,000 MWh per to meet these TSS limits using possibility that surface impoundments year. The EPA solicits comment on technologies other than surface could be used as the basis for BAT whether this subcategory should be impoundments once they have closed effluent limitations so long as the based on alternative utilization any unlined surface impoundments Agency identifies a statutory factor, thresholds. For this subcategory, the under the CCR rule, facilities may such as cost, in its rationale for selecting EPA proposes to select chemical choose to retrofit a surface surface impoundments. Finally, the EPA precipitation as the technology basis for impoundment or construct a new proposes to find that allowing BAT for FGD wastewater, with effluent surface impoundment. As authorized by permitting authorities to set BAT limitations for mercury and arsenic. The section 304(b) of the CWA, which limitations for BA transport water on a EPA solicits comment on whether allows the EPA to consider costs, the case-by-case basis using BPJ for this chemical precipitation is appropriate EPA proposes to find that additional subcategory would be equally and economical or if other approaches technologies are not BAT for this problematic. The technologies a would be appropriate. The EPA requests subcategory due to the unacceptable permitting authority would necessarily commenters identify and include disproportionate costs per MWh those consider are the same dry handling and technologies would impose. Chemical high recycle rate systems that result in 62 While the EPA only presents the disparate costs precipitation for FGD wastewater and unacceptable disproportionate costs per of one technology in this figure, a similar surface impoundments for BA transport MWh, according to the EPA’s analysis comparison could be made for the technologies water, along with a requirement to above. The EPA solicits comment on comprising Options 1 or 4 for a final rule. No whether the impacts of the proposed comparison is necessary for Option 2 as that option prepare and implement a BMP plan already incorporates the subcategorization that under section 304(e) of the Act to revisions to the CCR rule could result in eliminates these disparate costs. reduce pollutant discharges, are the a different analysis from the disparate

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costs presented above. The EPA also O&M costs are already spread out over concern that electric utilities conveyed solicits comment on other options to time, the EPA focused on capital costs, to the EPA: That the well-planned address the disproportionate impacts which also tended to make up a sizeable construction of new generation capacity identified above. portion of costs in the EPA’s estimates. and orderly retirement of older facilities Finally, the EPA looked at both three are vital to ensuring electricity 3. Subcategory for Boilers Retiring by and seven percent discount rates. The reliability. 2028 analysis showed that a facility could be In light of the information discussed The EPA is proposing to establish a forced to pass on capital costs per MWh above, and the EPA’s authority under new subcategory for boilers retiring by 10 to 15 times higher than those passed section 304(b) to consider cost, the age 2028 based on the statutory factors of on with the assumed 20-year of equipment and facilities involved, cost, the age of the equipment and amortization in the EPA’s cost non-water quality environmental facilities involved, non-water quality estimates, and the costs per MWh impacts (including energy environmental impacts (including remain more than double the EPA’s requirements), and other factors that the energy requirements), and other factors estimates until amortization of six to Administrator deems appropriate, the as the Administrator deems appropriate. eight years, depending on the discount EPA proposes a new subcategory for The EPA has continued to gather rate. boilers with a limited remaining useful information about facility and boiler In meetings with the EPA, utilities life, i.e., those intending to close no later retirements, deactivations, and fuel expressed two other concerns related to than December 31, 2028, subject to a retiring units. First, several utilities conversions since the 2015 rule. Of the certification requirement (described in discussed the potential for stranded 107 facilities that the EPA identified in Section XIV). For this subcategory, the assets where equipment would be Section 3 of the Supplemental TDD that EPA proposes to identify surface purchased near the end of a facility’s have announced, commenced or impoundments as the technology basis useful life and the public utility completed such actions, the most for BAT, and establish BAT limitations commission (PUC) would not allow cost frequently stated reason was market for TSS for both FGD wastewater and recovery. Although the utilities forces, such as the continued low price BA transport water. As mentioned 63 indicated that PUCs have historically of natural gas (49 facilities). This was above, the Fifth Circuit’s decision in allowed for cost recovery even after the followed by environmental regulations Southwestern Electric Power Company 64 retirement of a boiler, they provided (33), consent decrees (10), and other v. EPA left open the possibility that reasons (46).65 66 The fact that recent examples of PUCs rejecting cost recovery, which make the prospect of surface impoundments could be used as environmental regulations were cited by the basis for BAT effluent limitations, so approximately one-third of these continued recovery after retirement less certain. Second, the utilities expressed long as the Agency identifies a statutory facilities and that ELGs were factor, such as cost, in its rationale for specifically mentioned by some the need for sufficient time to plan, construct, and obtain necessary permits selecting surface impoundments. The respondents suggests that additional EPA proposes to find that additional flexibility may help to avoid premature and approvals for replacement generating capacity. In discussions of technologies such as chemical closures for some facilities and/or precipitation with or without LRTR for boilers. example Integrated Resource Plans (IRPs) and the associated process, FGD wastewater, and the high recycle To further explore this, the EPA rate BA transport water technologies are examined the cost implications of utilities suggested timelines that would 67 not BAT for this subcategory due to the complying with the proposed extend for five to eight years or longer. Finally, the North American Electric unacceptable disproportionate costs limitations and standards on a dollar- they would impose; the potential of per-MWh-produced basis under Reliability Corporation (NERC) recently conducted an aggressive stress test such costs to accelerate retirements of hypothetical boiler retirement scenarios. scenario identifying the reliability risks boilers at this age of their useful life; the Cost estimates for this proposal assume if large baseload coal and nuclear resulting increase in the risk of that facilities will amortize capital and facilities were to bring their projected electricity reliability problems due to O&M costs across the 20-year life of the retirement dates forward.68 That report those accelerated retirements; and the technologies (see Section 5 of the found that if these retirements happen harmonization with the CCR rule. EPA Supplemental TDD), so the EPA only faster than the system can respond (e.g., proposes to find that surface examined retirement scenarios within construction of new base load), impoundments are the only technology the next 20 years. Furthermore, since significant reliability problems could that would not impose such disproportionate costs on this 63 occur. NERC cautions that, though this This is consistent with recent analyses of the 69 costs of coal-fired electric generation versus other stress test is not a predictive forecast, subcategory of boilers. Establishing sources. Examples include: (1) https:// the findings are consistent with the surface impoundments as BAT for this www.bloomberg.com/news/articles/2018-03-26/ subcategory would alleviate the choice half-of-all-u-s-coal-plants-would-lose-money- 67 Utilities also shared instances of very quick for these facilities to either pass on without-regulation; turnaround in some cases. disparately high capital costs over a (2) https://insideclimatenews.org/news/ 68 North American Electric Reliability shorter useful life or risk the possibility 25032019/coal-energy-costs-analysis-wind-solar- Corporation (NERC). 2018. Special Reliability power-cheaper-ohio-valley-southeast-colorado. Assessment: Generation Retirement Scenario. that post-retirement rate recovery would 64 Approximately 31 percent of the facilities Atlanta, GA 30326. December 18. Available online be denied for the significant capital and identified specific environmental regulations at: https://www.nerc.com/pa/RAPA/ra/ operating costs associated with the BAT affecting the decision-making process. When Reliability%20Assessments%20DL/NERC_ options in this proposal. Creation of this specific environmental regulations were stated, they Retirements_Report_2018_Final.pdf. included CPP, MATS, ELGs, CCR Rule, and 69 ‘‘NERC’s stress-test scenario is not a prediction subcategory would also allow electric Regional Haze Rules. of future generation retirements nor does it evaluate utilities to continue the organized 65 Some announcements cited several rationales, how states, provinces, or market operators are phasing out of boilers that are no longer hence the numbers do not add to 107. managing this transition. Instead, the scenario economical, in favor of more efficient, 66 ‘‘Other’’ includes age, reliability of the facility, constitutes an extreme stress-test to allow for the emission reductions goals, decreased local analysis and understanding of potential future newly constructed generating stations, electricity demand, facility site limitations, and reliability risks that could arise from an unmanaged and would help prevent the scenario company goals to invest in clean/renewable energy. or poorly managed transition.’’ described in the NERC stress test.

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Additionally, it would ensure that most appropriate target date for construct and test systems. The time facilities could make better use of the retirement or if a date earlier or later frames also allow for consideration of CCR rule’s alternative closure provision, than 2028 would be more appropriate. facility changes being made in response by which an unlined surface The EPA also solicits comment on to other Agency rules affecting the impoundment could continue to receive whether an additional subcategory for steam electric power generating waste and complete closure by 2028.70 low utilization boilers retiring by a date industry (e.g., the CCR rule). The EPA The EPA notes that in order to complete certain that is after 2028 would be understands that some facilities may closure by 2028, facilities may have to warranted, and what an appropriate have already installed, or are now cease receiving waste well in advance of retirement date might be. The EPA installing, technologies that could that date; however, a 2028 date ensures requests commenters identify and comply with the proposed limitations. that the ELG will not restrict the use of include available data or information to While these facilities could therefore this alternative closure provision support their recommended approach. potentially comply with the proposed regardless of when a facility ultimately D. Availability Timing of New rule by the earliest date on which the ceases receipt of waste. Furthermore, Requirements limitations may become applicable the EPA proposes to find that allowing (November 1, 2020), the EPA solicits permitting authorities to set BAT Where BAT limitations in the 2015 comment on whether the earliest date limitations for either FGD wastewater or rule are more stringent than previously on which facilities may have to meet the BA transport water on a case-by-case established BPT limitations for FGD proposed limitations should be later basis using BPJ would be problematic. wastewater and BA transport water, than November 1, 2020.73 The technologies a permitting authority those limitations, under the compliance As described previously, the industry would necessarily consider are the same dates as amended by the 2017 continues to shift away from the use of systems that result in unacceptable postponement rule, do not apply until a surface impoundments for handling BA. disproportionate costs according to the date determined by the permitting Information collected since the 2015 EPA’s analysis (described above). Since authority that is ‘‘as soon as possible’’ 71 rule, as well as conversations with these boilers are already nearing the end beginning November 1, 2020. The rule electric utilities, EPA understands that of their useful life, and are susceptible also specifies the factors that the facilities may be able to complete to early retirement, losing the ability to permitting authority must consider in design, procurement, installation, and use surface impoundments for any determining the ‘‘as soon as possible’’ operation of BA transport water date.72 In addition, the 2017 wastewater prior to currently planned technologies by December 31, 2023.74 postponement rule did not revise the closure dates would undermine the The CCR rule proposal would require 2015 rule’s ‘‘no later than’’ date of flexibility of the CCR alternative closure the majority of unlined surface December 31, 2023, for implementation provisions and could hasten the impoundments to stop receiving waste because, as public commenters pointed retirement of units in a manner more by August 2020. This would necessarily out, without such a date, closely resembling the reliability stress require installation by August 2020 of implementation could be substantially test discussed above, which resulted in an alternative system to meet those ELG delayed, and a firm ‘‘no later than’’ date unacceptable non-water quality standards. As described earlier, because creates a more level playing field across environmental impacts (including the record for the 2015 CCR rule found the industry. As the EPA did in energy requirements) of compromised that it would be less costly for facilities developing the 2015 rule, as part of the electric reliability. to install under-boiler or remote drag The EPA solicits comment on whether consideration of the technological chain systems and send BA to landfills approaches to retirement in other rules availability and economic achievability rather than continue to wet sluice BA have worked particularly well and of the BAT limitations in this proposal, and replace unlined ponds with might be adopted here. The EPA solicits the Agency considered the magnitude composite lined ponds. Flexibility for comment on whether this subcategory and complexity of process changes and facilities to comply with BAT would adversely incentivize coal-fired new equipment installations that would limitations for BA transport water boilers planning to retire after 2028 to be required at facilities to meet the beyond 2023 is not necessary because accelerate their retirement to 2028, as proposed requirements. As discussed the process changes should already have well as alternatives for addressing the below, the EPA is considering occurred due to CCR rule requirements. disproportionate costs, energy availability of the technologies for FGD requirements, and intersection with the wastewater and BA transport water. Therefore, for BA transport water, the CCR rule discussed above. The EPA also In the 2015 rule, and as amended by EPA proposes to continue the current solicits comment on whether this the 2017 postponement rule, the EPA timing for implementation. The EPA subcategory should also be available for selected the time frames described solicits comment on whether these boilers that are planned to be repowered above to enable many facilities to raise assumptions are appropriate. The EPA or replaced by 2028, not just those needed capital, plan and design also solicits comment on whether it planned for retirement. For example, the systems, procure equipment, and then should modify the existing language

EPA solicits comment on data and 73 71 40 CFR 423.11(t). The EPA received a request on behalf of two information demonstrating that boilers Maryland facilities that the EPA issue a rule that are repowered with gas units are 72 These factors are: (a) Time to expeditiously plan (including to raise capital), design, procure, postponing the earliest compliance date from unable to finance both the repowering and install equipment to comply with the November 1, 2020 to November 1, 2022. See Feb. and the FGD and BA technology requirements of the final rule; (b) changes being 26, 2019 memorandum entitled EPA’s Ongoing upgrades applicable to the rest of the made or planned at the facility in response to Reconsideration of the Effluent Limitation greenhouse gas regulations for new or existing fossil Guidelines and Standards for the Steam Electric industrial category, and whether BAT fuel-fired power facilities under the Clean Air Act, Generating Point Source Category (the ‘‘ELG Rule’’ for such units should also be established as well as regulations for the disposal of coal or ‘‘the ELGs’’), available on EPA’s Docket at No. based on surface impoundments as for combustion residuals under subtitle D of the EPA–HQ–OW–2009–0819. retiring units described above. The EPA Resource Conservation and Recovery Act; (c) for 74 Information in the record indicates a typical FGD wastewater requirements only, an initial timeframe of 15–23 months to raise capital, plan solicits comment on whether 2028 is the commissioning period to optimize the installed and design systems, procure equipment, and equipment; and (d) other factors as appropriate. 40 construct a dry handling or closed-loop or high rate 70 40 CFR part 257.103(b). CFR 423.11(t). recycle BA system.

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which explicitly allows permitting BAT limitations are more stringent than revisions to the VIP may address authorities to consider extensions previously established BPT limitations, bromide at more facilities than the 2015 granted under the CCR rule in BAT limitations would not apply until VIP, it is still a voluntary program, and establishing compliance dates for BA a date determined by the permitting concerns about costs, availability, and transport water. The EPA requests authority that is as soon as possible disposal of the resultant brine are still commenters identify and include beginning November 1, 2020, but no present. available data or information to support later than December 31, 2025. The EPA The EPA suggested in the preamble to their recommended approach. solicits comment on whether these the 2015 rule that water-quality-based For FGD wastewater, the EPA assumptions are appropriate and effluent limitations may be appropriate proposes to continue the existing whether these compliance dates should on a site-specific basis to address the ‘‘beginning’’ date, but proposes a be harmonized with the compliance potential impacts of bromides on different ‘‘no later than’’ date. The EPA dates for BA transport water. The EPA downstream drinking water treatment collected updated information regarding requests commenters identify and facilities, as determined by state the technical availability of the include available data or information to permitting authorities. Since that time, proposed FGD BAT technology basis, support their recommended approach. few states have begun to monitor including the proposed VIP alternative. In addition, as discussed earlier, the bromide discharges and it is unclear Based on the engineering dependency EPA is proposing to give facilities that how many have acted to address such charts, bids, and other analytical elect to use the VIP until December 31, discharges.76 2028, to meet the VIP limitations, which documents in the current record, On June 8, 2018, drinking water are based on membrane filtration individual facilities may need two to utilities sent a letter to the EPA technology. That is the date on which three years from the effective date of any requesting that the Agency consider the EPA proposes to determine that the rule to install and begin operating a three regulatory BAT/PSES technology 75 membrane filtration-based limitations treatment system to achieve BAT. options to reduce bromide discharges in are ‘‘available’’ (as that term is used in While three years may be appropriate FGD wastewater: (1) Zero liquid the CWA) to all plants that might choose for a facility on an individual basis, discharge technologies (ZLD), such as to participate in the voluntary several utilities and EPC firms pointed membrane filtration or thermal incentives program. The EPA is out difficulties in retrofitting on a treatment; (2) treatment with reverse company-wide or industry-wide basis. proposing to give facilities sufficient time to work out operational issues osmosis; or (3) a requirement that Moreover, the same engineers, vendors, facilities provide data to the state and construction companies are often related to being the first facilities in the U.S. to treat FGD wastewater using permitting authority for use in used across facilities. As was the case calculating a site-specific discharge with BA transport water above, facilities membrane filtration at full scale, as well as having to dispose of the resulting limitation. For the reasons explained with FGD wastewater have continued to earlier in this section, the EPA is not convert away from surface brine. Both issues contribute to the EPA’s proposed decision that membrane proposing to base BAT limitations or impoundments, and the majority of PSES for FGD wastewater at all existing facilities with unlined surface filtration is not BAT on a nationwide basis at this time. The EPA also wants units based on membrane filtration or impoundments would have to stop thermal treatment. The EPA proposes a receiving waste in those unlined surface to incentivize facilities to opt into a program that can achieve significant water quality-based approach as the impoundments by August 2020, under pollutant reductions. most appropriate approach and solicits the CCR proposal. To stop receiving comment on that alternative, including waste in an unlined surface E. Regulatory Sub-Options To Address ways that such an alternative could be impoundment, a facility would need to Bromides strengthened. However, in light of the construct a treatment system to meet The 2015 rule rejected thermal letter from the drinking water utilities applicable ELGs, such as a tank-based evaporation technology as the basis for and the limited state action since the system that meets the BPT limitations. BAT and therefore did not establish 2015 rule to address this potential issue, However, biological treatment is not limitations for bromides in FGD the EPA is requesting comment on three necessary to remove TSS, and therefore wastewater. Section XVI.D of the bromide-specific regulatory sub-options more time for implementation of the preamble noted that the VIP established in addition to the proposed approach of proposed BAT limitations will help to in the 2015 rule would address bromide retaining the 2015 rule’s approach of accommodate the process changes through the limitations for TDS. The leaving bromides to be limited by necessitated by combining chemical newly proposed VIP includes limits for permitting authorities where precipitation and LRTR, and alleviate bromide. Because the EPA proposes to appropriate using water quality-based competition for resources. Considering provide more flexible VIP limits on effluent limitations: 77 (1) A monitoring all the factors described above, the EPA other pollutants and more flexible VIP requirement under CWA section 308; (2) proposes to extend the ‘‘no later than’’ timing, the EPA estimates that selecting a bromide minimization plan using date for compliance with BAT FGD the proposed VIP may be the least-cost narrative or non-numeric limitations wastewater limitations to December 31, option for some facilities. The facilities under CWA sections 301(b) and 304(b); 2025, based on the proposed technology that the EPA estimates VIP may be the or (3) a numeric limit under CWA basis. Thus, for FGD wastewater, where least-cost option range in FGD sections 301(b) and 304(b) based on wastewater flows, nameplate capacity, product substitution. Each of these are 75 Information in the record indicates a typical capacity utilization, and location. The described in more detail below. time frame of 26 to 34 months to raise capital, plan and design systems (including any necessary pilot EPA cost estimates for the VIP tend to testing), procure equipment, and construct and then be lower at facilities where no treatment 76 The EPA is aware that Pennsylvania, Alabama, test systems (including a commissioning period for has been installed beyond surface and North Carolina conduct bromide monitoring at FGD wastewater treatment systems). Many facilities impoundments, however even for this multiple facilities with FGD discharges. have already completed initial steps of this process, 77 These sub-options would not be applicable to having evaluated water balances and conducted group of facilities biological systems are the VIP limitations as those limitations would pilot testing to prepare for implementing the 2015 still often least-cost. Thus, while the control bromide (and other halogens) in FGD rule. EPA estimates that the proposed wastewater discharges.

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In the case of FGD wastewater option approaches. Finally, the Agency industry as a whole, as required by monitoring, the EPA solicits comment solicits comment on other pollutants, CWA section 301(b)(2)(A). Following on two approaches suggested by electric including other halides, discharged the promulgation of the ACE rule, the utilities. Under the first approach, from steam electric facilities that may EPA also conducted a sensitivity bromide would be monitored monthly impact the formation of disinfection analysis that includes the effects of that for two years, and thereafter only after byproducts (DBPs). rule in the ELG analytic baseline. The specific changes in facility operations results of this sensitivity analysis, F. Economic Achievability that could alter bromide concentrations which are detailed in Appendix C of the in FGD wastewater. Such operational As the EPA did for the 2015 rule, the RIA, also indicate that the proposed changes could include changing to a Agency performed cost and economic Option 2 is economically achievable. brominated refined coal, a bromide impact assessments using the Integrated The EPA will use the latest IPM addition process, a coal feedstock with Planning Model (IPM) to determine the baseline, including the ACE rule as part higher bromide levels, or use of effect of the proposed ELGs, using a of existing regulations, when analyzing brominated powdered activated carbon baseline that incorporates impacts from the ELG final rulemaking. (PAC). Under the second approach, other relevant environmental The EPA’s economic achievability bromide would be monitored monthly regulations (see Chapter 5 in RIA). At analysis for this and other options is for five years in two locations to better the time of the 2015 rule, the IPM model described in Section VIII, below. capture bromide variability. The first showed a total incremental closure of 843 MW of coal-fired generation as a G. Non-Water Quality Environmental monitoring location would be of intake Impacts water not affected by the site’s discharge result of the ELGs, corresponding to a to capture what fraction of bromide is net effect of two boiler closures.78 For the 2015 rule, the EPA performed present from background surface water. However, since that time, natural gas an assessment of non-water quality The second would be of discharge water prices have remained low, additional environmental impacts, including to capture the amount of bromide added coal facilities have retired or refueled, energy requirements, air impacts, solid by various wastewaters. The monitoring and changes that have been proposed to waste impacts, and changes in water use point for the FGD wastewater discharge several environmental regulations have and found them to be acceptable. The could be at the final outfall. The EPA been included in those model runs. Due EPA has reevaluated these impacts in also solicits comment on whether to these changes, the EPA ran an light of the changed industry profile, as monitoring should be longer or shorter updated version of IPM. (See Section well as the proposed changes to BAT. duration than proposed and if VIII.C.2 for additional discussion on Based on the results of these analyses additional monitoring locations may be these updates.) This update showed that the EPA determined that Options 1, 2, appropriate to capture other operational the 2015 rule resulted in the closure of and 3 have acceptable non-water quality changes that the EPA has not identified. 1.8 GW of coal-fired generation, impacts. Option 4, however, would The EPA solicits comment on whether corresponding to a net effect of result in unacceptable non-water quality a facility should develop a plan to approximately four boiler closures, environmental impacts where minimize its use of bromide on a site- based on the average capacity of coal- management of the brine could divert specific basis. Such a plan could allow fired electric boilers. FA that might otherwise be sold for use a facility to consider the costs of The EPA similarly ran the IPM model in products (e.g., replacing Portland potential approaches to minimizing to determine the effect of the regulatory cement in concrete) back toward bromide use in conjunction with its options presented in Table VII–1. placement in a landfill. See additional efforts to meet other standards (e.g., Options 2 and 4 bound the costs to information in Section 7 of the MATS). Otherwise, facilities would industry of these four options, IPM Supplemental TDD, as well as Section X minimize the bromide in their results from these options alone reflect of this preamble. discharges by switching to lower- the range of impacts associated with all H. Impacts on Residential Electricity bromide coals, reducing bromide four regulatory options.79 The IPM Prices and Low-Income and Minority addition, and/or cutting back on refined models for these two options were run Populations coal use. The EPA solicits comment on prior to finalization of the ACE rule (the whether such a plan is appropriate for impact of ACE is analyzed in a separate As the EPA did for the 2015 rule, the all steam electric generators and, if so, sensitivity scenario) and ranged from a Agency examined the effects of today’s the elements that might be included in total net increase of 0.7 GW to 1.1 GW regulatory options on consumers as an such a plan. in coal-fired generating capacity additional factor that might be Regarding a bromide limitation based compared to the 2015 rule, reflecting appropriate when considering what on product substitution, the EPA solicits full compliance by all facilities. This level of control represents BAT. If all comment on whether a limitation could capacity increase corresponds to a net annualized compliance cost savings be established that reflects the effect of one to two boiler closures were passed on to residential consumers difference in concentrations naturally avoided as a result of this of electricity, instead of being borne by occurring in coal as opposed to levels reconsideration action. These IPM the operators and owners of facilities, found in refined coal or from other results indicate that the proposed the average monthly cost savings under halogen applications. Alternatively, the Option 2 is economically achievable for any of the options would be between EPA solicits comment on whether the steam electric power generating $0.01 and 0.04 per month as compared facilities could certify that they do not to the 2015 rule. burn refined coal and/or use bromide 78 In meetings with EPA since the 2015 rule, The EPA similarly evaluated the effect electric utilities have expressed concerns that IPM of today’s regulatory options on addition processes. The EPA solicits underpredicts closures by not accounting for the data that supports development of a ability of facilities in regulated states to cost recover minority and low-income populations. numerical bromide limitation, or that even if they would otherwise lose money or are not As explained in Section XII, the EPA demonstrates a specific numerical economical to operate. used demographic data for populations 79 Although Option 1 includes the less stringent potentially impacted by steam electric bromide limitation to be inappropriate. chemical precipitation technology, Option 2 has a The Agency solicits input on the pros greater savings due to subcategorization of low power plant discharges due to their and cons of each of these bromide sub- utilization boilers. proximity (i.e., within 50 miles) to one

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or more plants. For those populations, As with the final BAT effluent regulatory options to assess the impacts the EPA evaluated both recreational and limitations, in considering the of applying the limitations and subsistence fisher populations. The availability and achievability of the final standards on the industry as a whole, analysis described in Section XII PSES, the EPA concluded that existing which typically includes an assessment indicates that absolute changes in indirect dischargers need some time to of incremental facility closures human health impacts are smaller than achieve the final standards, in part to attributable to a regulatory option. As the overall impacts resulting from the avoid forced outages (see Section described in more detail below, this 2015 rule. However, low-income and VIII.C.7). However, in contrast to the proposed ELG is expected to provide minority populations are potentially BAT limitations (which apply on a date cost savings when compared to the affected to a greater degree than the determined by the permitting authority baseline. Like the prior analysis of the general population by discharges from that is as soon as possible beginning 2015 rule, the cost and economic impact steam electric facilities and are expected November 1, 2020, but no later than analysis for this proposed rulemaking to also accrue to a greater degree than December 31, 2023, for BA transport focuses on understanding the magnitude the general population the benefits of water, and no later than December 31, and distribution of compliance cost the proposed rule, positive or negative. 2025, for FGD wastewater), facilities savings across the industry, and the must meet the PSES no later than three broader market impacts. I. Additional Rationale for the Proposed years after the effective date of any final The EPA used certain indicators to PSES rule. Under CWA section 307(b)(1), assess the impacts of the proposed The EPA is continuing to rely on the pretreatment standards shall specify a regulatory options on the steam electric pass-through analysis as the basis of the time for compliance not to exceed three power generating industry as a whole. limitations and standards in the 2015 years from the date of promulgation, so These indicators are consistent with rule. With respect to FGD wastewater, as the EPA cannot establish a longer those used to assess the economic discussed above, the long-term averages implementation period. Moreover, achievability of the 2015 rule (80 FR for low residence time biological unlike limitations on direct discharges, 67838); however, for this proposal, the treatment are very similar to or lower limitations on indirect discharges are EPA compared the values to a baseline than those achieved with high residence not implemented through an NPDES that reflects implementation of existing time biological systems. On this basis, permit and thus are specified clearly for environmental regulations (as of this the EPA proposes to conclude that the discharger without delay, without proposal), including the 2015 rule. In mercury, arsenic, selenium, and nitrate/ waiting some time for the next permit the 2015 rule analysis, the costs of nitrite pass-through POTWs, as it issuance. The EPA has determined that achieving the 2015 rule requirements concluded in the 2015 rule. all current indirect dischargers can meet were reflected in the policy cases With respect to BA, the EPA notes the standards within three years of the analyzed rather than the baseline. Here, that facilities converting to dry handling effective date of any final rule (which the baseline appropriately includes or recycling all of their BA transport the EPA projects will be issued in the costs for achieving the 2015 rule water would continue to perform as the summer of 2020). limitations and standards, and the zero discharge systems the EPA used in policy cases show the impacts resulting VIII. Costs, Economic Achievability, its 2015 rule pass-through analysis. As from changes to those existing 2015 and Other Economic Impacts explained in Section VII.b.ii, for those limitations and standards. More facilities using high rate recycle The EPA evaluated the costs and specifically, the EPA considered the systems, the EPA proposes to allow a associated impacts of the proposed total cost to industry and change in the discharge up to 10 percent of the system regulatory options on existing boilers at number and capacity of specific boilers volume per day on a 30-day rolling steam electric facilities. These costs are and facilities expected to close under average and to subject such direct analyzed within the context of the options in this proposal (including discharges to TSS limitations of BPT. compounding regulations and other proposed Option 2) compared to the Consistent with the 2015 rule pass industry trends that have affected steam estimated baseline costs. The EPA also through analysis, TSS is not considered electric facilities profitability and analyzed the ratio of compliance costs to pass through and the EPA would not generation. These include the impacts of to revenue to see how the proposed establish TSS limitations under PSES. existing environmental regulations (e.g., regulatory options change the number of Thus, like BAT, the EPA proposes to Cross-State Air Pollution Rule, Mercury facilities and their owning entities that establish PSES based on Option 2: PSES and Air Toxics Standards, CWA section exceed certain thresholds indicating for FGD wastewater based on chemical 316(b) rule, final CCR rule, final ACE potential financial strain. precipitation plus low hydraulic rule), as well as other market conditions In addition to the analyses supporting residence time biological treatment, and described in Section V.B.82 This section the economic achievability of the PSES for BA transport water based on provides an overview of the regulatory options, the EPA conducted dry handling or high recycle rate methodology the EPA used to assess the other analyses to (1) characterize other systems.80 The EPA proposes these costs and the economic impacts and potential impacts of the regulatory technologies as the bases for PSES for summarizes the results of these options (e.g., on electricity rates), and the same reasons that the EPA proposes analyses. See the RIA in the docket for (2) to meet the requirements of the technologies as the bases for BAT, additional detail. Executive Orders or other statutes (e.g., and also proposes the same In developing ELGs, and as required Executive Order 12866, Regulatory subcategories proposed for BAT.81 by CWA section 301(b)(2)(A), the EPA Flexibility Act, Unfunded Mandates evaluates the economic achievability of Reform Act). 80 Only two facilities currently discharge BA A. Facility-Specific and Industry Total transport water to POTWs, and EPA believes that restriction for the analogous PSES subcategory both facilities qualify for the proposed because POTWs effectively treat TSS. Costs subcategorization for low utilization boilers. Thus, 82 As discussed above, impacts of the final ACE The EPA estimated facility-specific this PSES may ultimately not apply to any facilities. rule will be incorporated into this analysis after 81 Where any of the subcategories would establish proposal, but were not included here as the costs to control FGD wastewater and BA BAT based on surface impoundments, with a analyses for these proposed ELGs were completed transport water discharges at existing restriction on TSS, there would be no such parallel prior to the ACE rule being finalized. boilers at steam electric facilities to

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which the ELGs apply.83 The EPA Table VIII–1 summarizes estimates of the social cost of the proposed rule assessed the operations and treatment incremental pre- and post-tax industry using both a three percent discount rate system components currently in place at costs for the four regulatory options and an alternative discount rate of seven a given unit (or expected to be in place presented in Table VII–1 as compared to percent. as a result of other existing the baseline. All four options provide Social costs include costs incurred by environmental regulations), identified cost savings (negative incremental costs) both private entities and the government equipment and process changes that as compared to the costs that the (e.g., in implementing the regulation). facilities would likely make to meet the industry would incur under the 2015 As described further in Chapter 10 of 2015 rule (for baseline) and each of the rule. Under all four options, some the RIA, the EPA did not evaluate the four regulatory options presented in savings are attributable to cheaper high incremental increase in the cost to state Table VII–1, and estimated the cost to recycle rate BA systems. Under Options governments to evaluate and implement those changes. As explained 1, 2, and 3, additional savings are due incorporate BPJ into NPDES permits. in the Supplemental TDD, the baseline to lower cost FGD wastewater treatment EPA solicits comments on whether also accounts for additional announced systems (chemical precipitation and these incremental costs are significant unit retirements, conversions, and LRTR). Under Option 2, further savings enough to be included. Consequently, relevant operational changes that have are attributable to the subcategorization the only category of costs used to occurred since the EPA promulgated the of low utilization boilers. Finally, some calculate social costs are those pre-tax 2015 rule. The EPA thus derived cost savings are due to the changes in costs estimated for steam electric facility-level capital and O&M costs for compliance timeframes discussed above facilities. Note that the annualized controlling FGD wastewater and BA in Section VII.D. The after-tax savings social costs presented in Table VIII–2 transport water using the technologies range from approximately $26 million for the seven percent discount rate differ that form the bases of the 2015 rule, and under Option 4 to $147 million under from comparable pre-tax industry for each regulatory option presented in Option 2.84 compliance costs shown in Table VIII– Table VII–1 for existing sources. See 1. The costs in TableVIII–1 represent the Section 5 of the Supplemental TDD for TABLE VIII–1—ESTIMATED TOTAL annualized costs of each option if they a more detailed description of the ANNUALIZED INDUSTRY COSTS were incurred in 2020, whereas the methodology the EPA used to estimate [Million of 2018$, seven percent discount rate] annualized costs in Table VIII–2 are facility-level costs for this proposal. estimated based on the stream of future costs starting in the year that individual Following the same methodology Regulatory Pre-tax After-tax option facilities are projected to actually used for the 2015 rule analysis, the EPA comply with the requirements of the used a rate of seven percent to annualize ¥ ¥ Option 1 ...... $165.6 $136.6 proposed options under the availability one-time costs and costs recurring on Option 2 ...... ¥175.6 ¥146.5 timing proposed in Section VII.D. other than on an annual basis over a Option 3 ...... ¥126.3 ¥105.9 Option 4 ...... ¥25.5 ¥26.4 Table VIII–2 presents the total specific useful life, implementation, annualized social costs of the four and/or event recurrence period. For B. Social Costs regulatory options presented in Table capital costs and initial one-time costs, VII–1, compared to the baseline and the EPA used 20 years. For O&M costs Social costs are the costs of the calculated using three percent and incurred at intervals greater than one proposed rule from the viewpoint of seven percent discount rates. All four year, EPA used the interval as the society as a whole, rather than the options provide cost savings (negative annualization period (3 years, 5 years, 6 viewpoint of regulated facilities (which incremental costs) compared to the years, 10 years). The EPA added are private costs). In calculating social baseline using a seven percent discount annualized capital, initial one-time costs, the EPA tabulated the pre-tax rate, and Options 1, 2, and 3 also show costs, and the non-annual portion of costs in the year when they are cost savings using a three percent O&M costs to annual O&M costs to estimated to be incurred. As described discount rate. Option 2 has estimated derive total annualized facility costs. in Section VII.D of this preamble, the annualized cost savings of $166.2 The EPA then calculated total industry proposed compliance deadlines and million using a seven percent discount costs by summing facility-specific therefore the expected technology rate and $136.3 million using a three annualized costs. For the assessment of implementation years vary across the percent discount rate. industry costs, the EPA considered costs regulatory options. The EPA performed on both a pre-tax and after-tax basis. the social cost analysis over a 27-year TABLE VIII–2—ESTIMATED TOTAL Pre-tax annualized costs provide insight analysis period of 2021–2047, which ANNUALIZED SOCIAL COSTS on the total expenditure as incurred, combines the length of the period while after-tax annualized costs are a during which facilities are anticipated [Million of 2018$, three and seven percent discount rate] more meaningful measure of impact on to install the control technologies privately owned for-profit facilities and (which could be as late as 2028 under Regulatory 3% Discount 7% Discount incorporate approximate capital Option 4) and the useful life of the option rate rate depreciation and other relevant tax longest-lived technology installed at any treatments in the analysis. The EPA uses facility (20 years). The EPA calculated Option 1 ...... ¥$130.6 ¥$154.0 pre- and/or after-tax costs in different Option 2 ...... ¥136.3 ¥166.2 Option 3 ...... ¥90.1 ¥119.5 analyses, depending on the concept 84 In response to additional information the EPA Option 4 ...... 11.9 ¥27.3 appropriate to each analysis (e.g., social received from a vendor showing installed costs of LRTR were lower than EPA’s predicted costs, and costs are calculated using pre-tax costs to account for the small difference in cost between C. Economic Impacts whereas cost-to-revenue screening-level the sand filter and ultrafiltration polishing stage analyses are conducted using after-tax technologies, the EPA conducted a sensitivity The EPA assessed the economic costs). analysis (DCN SE07120). Based on this analysis, the impacts of this proposed rule in two costs to install LRTR may be approximately five ways: (1) A screening-level assessment percent lower than the LRTR cost estimates used for 83 The EPA did not estimate costs for other developing the total costs presented in Table VIII– of the cost impacts on existing boilers at wastestreams not in this proposal. 1. steam electric facilities and the entities

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that own those facilities, based on compliance expenditures since steam have costs greater than or equal to three comparison of costs to revenue; and (2) electric facilities that operate in a percent of revenue, and an additional an assessment of the impact of the regulated market may be able to pass on 100 facilities incur costs that are less regulatory options presented in Table changes in production costs to than one percent of revenue. VII–1 within the context of the broader consumers through changes in b. Parent Entity-Level Cost-to-Revenue electricity market, which includes an electricity prices. It is, however, an Analysis assessment of changes in predicted appropriate assumption for a screening- facility closures attributable to the level estimate of the potential cost The EPA also assessed the economic options. The following sections impacts. impact of the regulatory options summarize the results of these analyses. presented in Table VII–1 at the parent a. Facility-Level Cost-to-Revenue The RIA discusses the methods and entity level. The screening-level cost-to- Analysis results in greater detail. revenue analysis at the parent entity The first set of cost and economic The EPA developed revenue estimates level provides insight on the impact on impact analyses—at both the facility for this analysis using EIA data. The those entities that own existing boilers and parent company levels—provide EPA then calculated the change in the at steam electric facilities. In this screening-level indicators of the impacts annualized after-tax costs of the four analysis, the domestic parent entity of costs for FGD wastewater and BA regulatory options presented in Table associated with a given facility is transport water controls relative to VII–1 as a percent of baseline annual defined as that entity with the largest historical operating characteristics of revenues. See Chapter 4 of the RIA for ownership share in the facility. For each steam electric facilities incurring those a more detailed discussion of the parent entity, the EPA compared the costs (i.e., level of electricity generation methodology used for the facility-level incremental change in the total and revenue). The EPA conducted these cost-to-revenue analysis. annualized after-tax costs and the total analyses for the baseline and for the four Cost-to-revenue ratios are used to revenue for the entity compared to the regulatory options presented in Table describe impacts to entities because baseline (see Chapter 4 of the RIA for VII–1, and then compared these impacts they provide screening-level indicators details). Following the methodology to understand the incremental effects of of potential economic impacts. Just as employed in the analyses for the 2015 the regulatory options in this proposal. for the facilities owned by small entities rule (80 FR 67838), the EPA considered The second set of analyses look at under guidance in U.S. EPA (2006),85 a range of estimates for the number of broader electricity market impacts the full range of facilities incurring costs entities owning an existing boiler at a considering the interconnection of below one percent of revenue are steam electric power facility to account regional and national electricity unlikely to face economic impacts, for partial information available for markets. It also looks at the distribution while facilities with costs between one steam electric facilities that are not of impacts at the facility and boiler percent and three percent of revenue expected to incur ELG compliance costs. level. This second set of analyses have a higher chance of facing economic Similar to the facility-level analysis provides insight on the impacts of the impacts, and facilities incurring costs above, cost-to-revenue ratios provide regulatory options in this proposal on above three percent of revenue have a screening-level indicators of potential steam electric facilities, as well as the still higher probability of economic economic impacts, this time to the electricity market as a whole, including impacts. owning entities; higher ratios suggest a changes in generation capacity, As a result of the 2015 rule (baseline), generation, and wholesale electricity higher probability of economic impacts. the EPA estimated that 18 facilities The EPA estimated that the number of prices. The market analysis compares incur costs greater than or equal to one model predictions for the options to a entities owning existing boilers at steam percent of revenue, including six electric facilities ranges from 243 base case that includes the predicted facilities that have costs greater than or and observed economic and market (lower-bound estimate) to 478 (upper- equal to three percent of revenue, and bound estimate), depending on the effects of the 2015 rule. The EPA used an additional 96 facilities incur costs results from the screening analysis of assumed ownership structure of that are less than one percent of facilities not incurring ELG costs and facility- and entity-level impacts, revenue. By contrast, the four regulatory together with changes in projected not explicitly analyzed. The EPA options the EPA analyzed for this estimates that in the baseline 236 to 470 capacity closure from the market model, proposal are estimated to provide cost to understand the impacts of the parent entities, respectively, would savings that reduce this impact to either incur no costs or the annualized regulatory options in this proposal various degrees, with Option 2 showing relative to the baseline. cost they incur to meet the 2015 rule the largest reductions in cost. Options 1, BAT limitations and pretreatment 1. Screening-Level Assessment 3, and 4 show an estimated 16 to 19 standards would represent less than one facilities with costs greater than or equal percent of their revenues. The EPA conducted a screening-level to one percent of revenue, including Compared to the baseline, all four analysis of each regulatory option’s four or five facilities with costs greater regulatory options reduce the impacts potential impact to existing boilers at than or equal to three percent of on the small number of entities steam electric facilities and parent revenue. Under Option 2, the EPA incurring costs. The changes are greatest entities based on cost-to-revenue ratios. estimated that eight facilities incur costs for Option 2, which has five fewer For each of the two levels of analysis greater than or equal to one percent of entities with costs exceeding one (facility and parent entity), the Agency revenue, including two facilities that assumed, for analytic convenience and percent of revenue, including one less as a worst-case scenario, that none of 85 U.S. EPA (Environmental Protection Agency). entity with costs exceeding three the compliance costs would be passed 2006. EPA’s Action Development Process: Final percent of revenue, with the remaining on to consumers through electricity rate Guidance for EPA Rulewriters: Regulatory entities either having no cost, or costs increases and would instead be Flexibility Act as amended by the Small Business that are less than one percent of Regulatory Enforcement Fairness Act. November absorbed by the steam electric facilities 2006. Available online at: https://www.epa.gov/reg- revenue. Options 1 and 3 each have two and their parent entities. This flex/epas-action-development-process-final- fewer entities in the one to three percent assumption overstates the impacts of guidance-epa-rulewriters-regulatory-flexibility-act. of revenue category, and Option 4 has

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one fewer entity in the one to three discussed in Section VIII.A, these two national and regional effects of the percent of revenue category. options have the greatest and least cost regulatory options in this proposal, savings, respectively, compared to the including closures or avoided closures 2. Electricity Market Impacts baseline, and therefore reflect the full of steam electric boilers and facilities. In analyzing the impacts of regulatory range of potential impacts from the The EPA considered impact metrics of actions affecting the electric power regulatory options in this proposal. In interest at three levels of aggregation: (1) sector, the EPA used IPM, a addition, following promulgation of the Impact on national and regional comprehensive electricity market ACE final rule, EPA also analyzed electricity markets (all electric power optimization model that can evaluate proposed Option 2 relative to a baseline generation, including steam and non- such impacts within the context of that includes the ACE rule. See steam electric facilities); (2) impact on regional and national electricity Appendix C in the RIA for details of steam electric facilities as a group, and markets. The model is designed to these results. (3) impact on individual steam electric evaluate the effects of changes in boiler- In contrast to the screening-level facilities incurring costs. Chapter 5 of level electric generation costs on the analyses, which are static analyses and the RIA discusses the first analysis; the total cost of electricity supply, subject to do not account for interdependence of sections below summarize the last two, specified demand and emissions electric boilers in supplying power to which are further described in Chapter constraints. Use of a comprehensive, the electricity transmission grid, IPM V6 5 and in Appendix C of the RIA. All market analysis system is important in accounts for potential changes in the results presented below are assessing the potential impact of any generation profile of steam electric and representative of modeled market power facility regulation because of the other boilers and consequent changes in conditions in the years 2028–2033, interdependence of electric boilers in market-level generation costs, as the when the rule would either be supplying power to the electric electric power market responds to implemented or plans for transmission grid. Changes in electricity changes in generation costs for steam implementation by the end of 2028 production costs at some boilers can electric boilers due to the regulatory would be well underway at all facilities. have a range of broader market impacts options. Additionally, in contrast to the affecting other boilers, including the a. Impacts on Existing Steam Electric screening-level analyses, in which the likelihood that various units are Facilities EPA assumed no cost pass through of dispatched, on average. The analysis ELG compliance costs, IPM V6 depicts also provides important insight on The EPA used IPM V6 results for steam electric capacity closures (e.g., production activity in wholesale 2030 86 to assess the potential impact of retirements of boilers that become electricity markets where the specific the regulatory options presented in uneconomical relative to other boilers), increases in electricity prices for Table VII–1 on existing boilers at steam or avoided closures, based on a more individual markets would result in electric facilities. The purpose of this detailed analysis of market factors than some recovery of compliance costs for analysis is to assess any fleetwide in the screening-level analyses above. plants in those markets. changes from baseline impacts on The results further inform the EPA’s In analyzing the regulatory options boilers at steam electric facilities. Table understanding of the potential impacts presented in Table VII–1, the EPA VIII–3 reports estimated results for of the regulatory options presented in estimated changes in fixed and variable existing boilers at steam electric Table VII–1. For the current analyses, costs for the steam electric facilities and facilities, as a group. The EPA looked at the EPA used version 6 (V6) of IPM to boilers already incurring costs in the the following metrics: (1) Incremental analyze the impacts of the regulatory baseline to instead incur costs (or avoid (and avoided) early retirements and options. IPM V6 is based on an incurring costs) to comply with Option capacity closures, calculated as the inventory of U.S. utility- and non- 2 and Option 4. Because IPM is not difference between capacity under the utility-owned boilers and generators designed to endogenously model the regulatory option and capacity under that provide power to the integrated selection of wastewater treatment the baseline; (2) incremental capacity electric transmission grid, including technologies as a function of electricity closures as a percentage of baseline facilities to which the ELGs apply. IPM generation, effluent flows, and pollutant capacity; (3) change in electricity V6 embeds an energy demand forecast discharge, the EPA estimated these costs generation from facilities regulated by that is derived from DOE’s ‘‘Annual exogenously for each steam electric ELGs; (4) changes in variable production Energy Outlook 2018’’ (AEO 2018). IPM generating unit and input these costs costs per MWh, calculated as the sum of V6 also incorporates the expected into the IPM model as fixed and variable total fuel and variable O&M costs compliance response to existing O&M cost adders. The EPA then ran divided by net generation; and (5) regulatory requirements for regulations IPM V6 including these new cost changes in annual costs (fuel, variable affecting the power sector (e.g., Cross- estimates to determine the dispatch of O&M, fixed O&M, and capital). Note State Air Pollution Rule (CSAPR) and electric boilers that would meet that changes in electricity generation CSAPR Update Rule, Mercury and Air projected demand at the lowest costs, presented in Table VIII–3 are Toxics Rule (MATS), the Cooling Water subject to the same constraints as those attributable both to changes in Intake Structure (CWIS) rule, and 2015 present in the baseline analysis. The retirements, as well as changes in CCR rule, as well as the 2015 rule). estimated changes in facility- and capacity utilization at boilers and plants Federal CO2 standards for existing boiler-specific production levels and whose retirement status does not sources are not modeled in IPM V6, costs—and, in turn, changes in total change. owing to ongoing litigation. electric power sector costs and The EPA analyzed proposed Option 2 production profile—are key data 86 IPM model year 2030 represents years 2028– and Option 4 using IPM V6. As elements in evaluating the expected 2033.

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TABLE VIII–3—ESTIMATED IMPACT ON STEAM ELECTRIC FACILITIES AS A GROUP AT THE YEAR 2030

Change attributable to regulatory option as compared to baseline Metric Baseline value Option 2 Option 4 Value Percent Value Percent

Total capacity (MW) ...... 336,872 2,880 0.9 3,194 0.9 Early retirements or closures a (MW) ...... 58,192 ¥2,880 ¥4.9 ¥3,194 ¥5.5 Early retirements or closures a (number of plants) ...... 79 0 0.0 ¥1 ¥1.3 Total generation (GWh) ...... 1,570,513 4,676 0.3 1,235 0.1 Variable production cost (2018$/MWh) ...... $26.00 $0.02 0.1 $0.05 0.2 Annual costs (million 2018$) ...... $60,298 $98 0.2 $103 0.1 a Values for incremental early retirements or closures represent change relative to the baseline. IPM may show partial (unit) or full facility early retirements (closures). It may also show avoided closures (negative closure values) in which a boiler or facility that is projected to close in the baseline is estimated to continue operating in the policy case.

Under proposed Option 2, generation increase under Option 2. National level 2, and one net avoided closure under at steam electric facilities is projected to results for steam electric facilities under Option 4.87 For further discussion of increase by 4,676 GWh (0.3 percent) Option 4 show an increase in total closures and related distributional nationally, when compared to the steam electric capacity of 3,194 MW (0.9 impacts, see Chapter 5 of the RIA. baseline. IPM V6 projects a net increase percent of the baseline). At the national Because the analysis of the proposed in total steam electric capacity by 2,880 level, IPM projects one net avoided full options discussed in the RIA was MW or approximately 0.9 percent of facility closure and the same three total baseline capacity, but no net avoided partial retirements as for completed before the EPA finalized the change in the number of full facility Option 2. See Section 5.2.2.2 in the RIA ACE rule, this analysis does not include retirements and the net avoidance of for details. the projected effects of the ACE rule. three partial retirements (unit closures) These findings suggest that all of the Thus, the EPA conducted a nationwide indicating a higher capacity regulatory options in this proposal can supplemental IPM run with the costs of utilization by these facilities. See be expected to have small economic Option 2 on a baseline that includes the Section 5.2.2.2 in the RIA for details. consequences for the steam electric ACE illustrative case presented in the IPM V6 projects generation at steam facilities as a group. Options 2 and 4 ACE final rule (see Appendix C in RIA). electric facilities increases under Option also affect the operating status of very A summary of these results is presented 4 by 1,235 GWh (0.1 percent) nationally, few steam electric facilities, with no net in Table VIII–4. which is smaller in magnitude than the change in facility closures under Option

TABLE VIII–4—ESTIMATED IMPACT OF ELG OPTION 2 ON STEAM ELECTRIC POWER PLANTS AS A GROUP AT THE YEAR 2030, FOR SENSITIVITY ANALYSIS INCLUDING ACE FINAL RULE

Option 2 with ACE rule Baseline with Metric ACE rule Percent Value Difference change

Early retirements or closures a (MW) ...... 336,547 339,654 ¥3,107 ¥0.9 Early retirements or closures a (number of plants) ...... 78 79 1 1.3 Total generation (GWh) ...... 1,569,109 1,576,455 7,345 0.5 Variable production cost (2018$/MWh) ...... $25.85 $25.87 $0.02 0.1 Annual costs (million 2018$) ...... $60,387 $60,578 $191 0.3 a Values for incremental early retirements or closures represent change relative to the baseline. IPM may show partial (unit) or full facility early retirements (closures). It may also show avoided closures (negative closure values) in which a boiler or facility that is projected to close in the baseline is estimated to continue operating in the policy case.

Examining the incremental impacts of See Appendix C of the RIA for further generation, and (3) variable production Option 2 on a baseline including ACE, details. costs per MWh, defined as variable generation at steam electric facilities is O&M cost plus fuel cost divided by net b. Impacts on Individual Facilities projected to increase by 3,107 GWh (0.9 generation. The analysis of changes in Incurring Costs percent) nationally. IPM V6 projects a individual facilities is detailed in net increase in total steam electric To assess potential facility-level Chapter 5 of the RIA. capacity by 7,345 MW or approximately effects, the EPA also analyzed facility- The results for both Option 2 and 0.5 percent of total baseline capacity. specific changes attributable to the Option 4 show no change, or less than There is one incremental full facility regulatory options in Table VII–1 for the a one percent reduction or one percent retirement as well as the net avoidance following metrics: (1) Capacity increase for steam electric facilities of four partial retirements (unit utilization (defined as annual generation projected to incur ELG compliance closures) nationwide indicating a higher (in MWh) divided by [capacity (MW) costs. For Option 2, a greater number of capacity utilization by these facilities. times 8,760 hours]) (2) electricity facilities see improving operating

87 The additional closure under Option 2 is not proposed rule. The IPM model predicts this facility generation from other coal facilities in the same a result of the facility incurring costs under this becomes uneconomical due to the increased NERC region.

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conditions (i.e., higher capacity flow rates used in the pollutant loadings of recycle through the scrubber that utilization or generation, lower variable estimates to account for retirements, would affect the discharge flow. production costs) than deteriorating fuel conversions, and other changes in The EPA assigned pollutant conditions. Effects under Option 4 are operations scheduled to occur by concentrations for each analyte based on similar, although approximately the December 31, 2028, described in Section the operation of a treatment system same number of facilities see positive 6 of the Supplemental TDD, that will designed to comply with the baseline or changes in operating conditions as eliminate or alter the discharge of an the regulatory options considered. The negative changes. Thus, the results for applicable wastestream. Finally, the EPA used data compiled for the 2015 the subset of facilities incurring costs Agency adjusted the discharge flow rule to characterize untreated FGD further support the conclusion that the rates to account for changes in plant purge, chemical precipitation effluent, effects of any of the regulatory options operations to optimize FGD wastewater and chemical precipitation plus high in this proposed rule on the steam flows and to comply with the CCR rule. hydraulic residence time biological electric power generating industry will For further discussion of these reduction effluent. The EPA used data be less than that of the 2015 rule. This adjustments see Section 6.2.2 and 6.3.2 provided by industry to characterize conclusion holds when including the of the Supplemental TDD, respectively. effluent quality for chemical effects of the ACE final rule, as detailed The EPA first estimated—on an precipitation plus LRTR and membrane in Appendix C of the RIA for proposed annual, per facility basis—the pollutant filtration effluent. In addition, the EPA Option 2. discharge load for FGD wastewater and used data provided by industry and other stakeholders as described in IX. Changes to Pollutant Loadings BA transport water associated with the technology basis evaluated for facilities Section VI of this preamble to quantify In developing ELGs, the EPA typically to comply with the 2015 rule bromide in FGD wastewater under evaluates the pollutant loading requirements for FGD wastewater and baseline conditions and for the reductions of regulatory options to BA transport water relative to the regulatory options. assess the impacts of the compliance conditions currently present or planned requirements on discharges from the B. BA Transport Water at each facility. The EPA similarly industry as a whole. In estimating The EPA estimated baseline and post- estimated facility-specific post- pollutant reductions associated with compliance loadings for each regulatory compliance pollutant loadings this proposal, the EPA took the same option in Table VII–1 using pollutant associated with the technology bases for approach as described above for facility- concentrations for BA transport water specific costs. That is, the EPA facilities to comply with effluent and facility-specific flow rates. The EPA compared the values to a baseline that limitations based on each of the used data compiled for the 2015 rule as reflects implementation of existing regulatory options in this proposal. For the basis for estimating BA transport environmental regulations, including each regulatory option, the EPA then water discharge flows and updated the the 2015 rule. In the 2015 rule, the calculated the changes in pollutant data set to reflect retirements and other baseline did not reflect pollutant loadings at a particular facility as the relevant changes in operation (e.g., ash loading reductions for achieving the sum of the differences between the handling conversions, fuel conversions) 2015 rule requirements as that impact is estimated baseline and post-compliance that occurred after the 2015 rule data what EPA analyzed. Here, the baseline discharge loadings for each applicable were collected. For the high recycle rate appropriately includes pollutant loading wastestream. technology option, the EPA also reductions for achieving the 2015 rule For those facilities that discharge estimated discharge flows associated requirements as the EPA is analyzing indirectly to POTWs, the EPA adjusted with the purge from remote MDS the impact resulting from any changes the baseline and option loadings to operation, based on the boiler capacity to those requirements. More account for pollutant removals expected and the volume of the remote MDS. specifically, the EPA considered the from POTWs. These adjusted pollutant Under the baseline, which reflects the change in the pollutant loading loadings for indirect dischargers 2015 rule limitation of zero discharge, reductions associated with the therefore approximate the resulting the EPA estimated a flow rate of zero. regulatory options in this proposal to discharges to receiving waters. For For this proposed rule, in response to those projected under the baseline. additional details on the methodology the administrative petitions discussed The general methodology that the the EPA used to calculate pollutant in Section IV of this preamble, the EPA EPA used to calculate pollutant loadings loading reductions, see Section 6 of the was able to use a revised set of the 2015 is the same as that described in the 2015 Supplemental TDD. rule analytical data to characterize BA transport water effluent from steam rule. The EPA used data collected for A. FGD Wastewater the 2015 rule, as well as the data electric facilities. As an example, the described in Section VI, to characterize For FGD wastewater, the EPA EPA re-evaluated and revised, as pollutant concentrations for FGD continued to use the average pollutant appropriate, its data sets in light of wastewater and bottom ash transport effluent concentration with facility- questions petitioners raised about the water. The EPA evaluated these data specific discharge flow rates to estimate inclusion and validity of certain data sources to identify analytical data that the mass pollutant discharge per facility due, in part, to what the petitioners meet EPA’s acceptance criteria for for baseline and each regulatory option assert are flaws in data acceptance inclusion in analyses for characterizing in Table VII–1. The EPA used data criteria, obsolete analytical methods, discharges of FGD wastewater and compiled for the 2015 rule as the initial and the treatment of non-detect bottom ash transport water. For each basis for estimating discharge flow rates analytical results, which petitioners plant discharging FGD wastewater or and updated the data to reflect believed resulted in an overestimation bottom ash transport water, the EPA retirements or other relevant changes in of pollutant loadings resulting from used data from the 2009 survey and/or operation. For example, the EPA current practices for BA transport water, industry-submitted data to determine reviewed state and EIA data to identify in turn resulting in an overestimation of the discharge flow rates for FGD flow rates for new scrubbers that have pollutant removals under the 2015 rule. wastewater and bottom ash transport come online since the 2015 rule. The The EPA also updated the data set and water. The EPA adjusted the discharge EPA also accounted for increased rates incorporated BA transport water

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sampling data submitted by industry C. Summary of Incremental Changes of compared to baseline, associated with during the final months of the 2015 rule Pollutant Loadings From Proposed each regulatory option in Table VII–1. and as part of a voluntary sampling Regulatory Options program described in Section VI of this preamble. For a detailed discussion, see Table IX–1 summarizes the net Section 6 of the Supplemental TDD. change to annual pollutant loadings,

TABLE IX–1—ESTIMATED INCREMENTAL CHANGES TO ANNUAL POLLUTANT LOADING FOR PROPOSED REGULATORY OPTIONS 1, 2, 3, AND 4 [in pounds/year] COMPARED TO BASELINE

Regulatory option a Changes in pollutant loadings

1 ...... 13,400,000 2 ...... ¥104,000,000 3 ...... ¥276,000,000 4 ...... ¥1,320,000,000 Note: Changes in pollutant loadings are rounded to three significant figures. a Negative values represent an estimated decrease in loadings to surface waters compared to baseline. Positive values represent an estimated increase in loadings to surface waters compared to baseline.

Compared to the 2015 rule, Options 2, water quality environmental impacts or in consumed fuel (gallons) for 3 and 4 result in decreased pollutant associated with achieving the 2015 rule transportation/operating equipment for loadings to surface waters. Reductions requirements, and the EPA is analyzing baseline and all regulatory options. The under Options 2 and 3 would be the incremental impacts resulting from EPA summed the facility-specific realized to the extent that operators the regulatory options presented in estimates to calculate the net change in chose to meet the limitations based on Table VII–1 compared to those projected energy requirements from baseline for membrane filtration under the proposed under the baseline. In general, the EPA the regulatory options. revisions of VIP for FGD wastewater. used the same methodology to conduct Under Option 2, the EPA estimated that the current analysis (with updated data The EPA estimated the amount of 18 plants (27 percent of plants estimated as applicable) as it did for the analysis energy needed to operate wastewater to incur FGD compliance costs) would supporting the 2015 rule. The following treatment systems and ash handling opt into the VIP program and under summarizes the methodology and systems based on the horsepower rating Option 3 the number rises to 23 plants results. See Section 7 of the of the pumps and other equipment. The (34 percent of plants estimated to incur Supplemental TDD for additional EPA also estimated the fuel FGD compliance costs). details. consumption associated with the changes in transportation needed to X. Non-Water Quality Environmental A. Energy Requirements Impacts landfill solid waste and combustion Steam electric facilities use energy residuals (e.g., ash) at steam electric The elimination or reduction of one when transporting ash and other solids facilities (on-site or off-site). The form of pollution may create or on or off site, operating wastewater frequency and distance of transport aggravate other environmental treatment systems (e.g., chemical depends on a facility’s operation and problems. Therefore, Sections 304(b) precipitation, biological treatment), or configuration; specifically, the volume and 306 of the Act require the EPA to operating ash handling systems. For of waste generated and the availability consider non-water quality today’s proposal, the EPA considered environmental impacts (including whether there would be an associated of either an on-site or off-site non- energy impacts) associated with ELGs. change in the incremental energy hazardous landfill and its distance from Accordingly, the EPA has considered requirements compared to baseline. the facility. Table X–1 shows the net the potential impact of the regulatory Energy requirements vary depending on change in annual electrical energy usage options in today’s proposal on air the regulatory option evaluated and the associated with the regulatory options emissions, solid waste generation, and current operations of the facility. compared to baseline, as well as the net energy consumption. For the reasons Therefore, as applicable, the EPA change in annual fuel consumption described in Section IX of this estimated the increase in energy usage requirements associated with the preamble, the baseline for these in megawatt hours (MWh) for regulatory options compared to analyses appropriately includes non- equipment added to the facility systems baseline.

TABLE X–1—ESTIMATED INCREMENTAL CHANGE IN ENERGY REQUIREMENTS ASSOCIATED WITH REGULATORY OPTIONS COMPARED TO BASELINE

Energy use associated with regulatory options a Non-water quality impact Option 1 Option 2 Option 3 Option 4

Electrical Energy Used (MWh) ...... ¥82,300 ¥54,570 ¥27,000 94,000 Fuel Used (Thousand Gallons) ...... 0 ¥48,000 40,000 243,000 a Negative values represent a decrease in energy use compared to baseline. Positive values represent an increase in energy use compared to baseline.

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B. Air Pollution Steam electric facilities generate air generate estimates of the changes in air emissions from operating transport emissions associated with changes in The regulatory options are expected to vehicles, such as dump trucks, which energy production for Options 2 and 4 affect air pollution through three main release criteria air pollutants and compared to baseline.88 mechanisms: (1) Changes in auxiliary greenhouse gases when operated. To estimate net air emissions electricity use by steam electric facilities Similarly, a decrease in energy use or associated with the change in operation to operate wastewater treatment, ash vehicle operation would result in of transport vehicles, the EPA used the handling, and other systems needed to decreased air pollution. MOVES2014b model to identify air meet regulatory standards; (2) changes To estimate the net air emissions emission factors (grams per mile) for the to transportation-related emissions due associated with changes in electrical air pollutants of interest. The EPA to the trucking of CCR waste to landfills; energy use projected as a result of the estimated the annual number of miles and (3) the change in the profile of regulatory options in today’s proposal that dump trucks moving ash or electricity generation due to any compared to baseline, the EPA wastewater treatment solids to on- or regulatory requirements. This section combined the energy usage estimates off-site landfills would travel for the discusses air emission changes with air emission factors associated regulatory options. The EPA used these associated with the first two with electricity production to calculate estimates to calculate the net change in mechanisms and presents the air emissions associated with the air emissions for the Options 2 and 4 corresponding estimated net change in incremental energy requirements. The compared to baseline. Table X–2 air emissions. See Section XII of this EPA used emission factors projected by presents EPA’s estimated net change in preamble for additional discussion of IPM V6 (ton/MWh) for nitrogen oxides, air emissions associated with auxiliary the third mechanism. sulfur dioxide, and carbon dioxide to electricity and transportation.

TABLE X–2—ESTIMATED NET CHANGE IN INDUSTRY-LEVEL AIR EMISSIONS ASSOCIATED WITH AUXILIARY ELECTRICITY AND TRANSPORTATION FOR OPTIONS COMPARED TO BASELINE ab

Change in emissions— Change in emissions— Non-water quality impact Option 2 Option 4 (tons/year) b (tons/year) c

NOX ...... ¥32.7 32.7 SOX ...... ¥54.3 20.4 CO2 ...... ¥44,600 60,600 a Negative values represent a decrease in energy use compared to baseline. Positive values represent an increase in energy use compared to baseline. b Option 2 estimates are based on the IPM sensitivity analysis scenario that includes the ACE rule in the baseline (IPM–ACE). c Option 4 estimates are based on IPM analysis scenario that does not include the ACE rule in the baseline.

The modeled output from IPM V6 change in annual air emissions under estimated change in air emissions to the predicts changes in electricity Options 2 and 4 for all three net amount of air emissions generated in generation due to compliance costs mechanisms is shown in Table X–3. a year by all electric power facilities attributable to Options 2 and 4 Similar to costs, the IPM V6 results from throughout the United States. For a compared to baseline. These changes in these options reflect the range of more details on the sources of air electricity generation are, in turn, NWQEI associated with all four emission changes, see Section 7 of the predicted to affect the amount of NOX, regulatory options. To provide some Supplemental TDD. SO2, and CO2 emissions from steam perspective on the estimated changes in electric facilities. A summary of the net annual air emissions, EPA compared the

TABLE X–3—ESTIMATED NET CHANGE IN INDUSTRY-LEVEL AIR EMISSIONS ASSOCIATED WITH CHANGES IN ELECTRICITY GENERATION FOR OPTIONS COMPARED TO BASELINE

2016 Emissions by Change in emissions— Change in emissions— electric power Non-water quality impact Option 2 Option 4 a b generating industry (million tons) (million tons) (million tons)

NOX ...... 0.005 0.001 1.47 SOX ...... 0.005 0.002 1.63 CO2 ...... 5.66 1.24 2,030 a Option 2 emissions are based on the IPM sensitivity analysis scenario that includes the ACE rule in the baseline. b Option 4 emissions are based on the IPM sensitivity analysis scenario that does not include the ACE rule in the baseline.

C. Solid Waste Generation and wastewater treatment systems (e.g., for each facility in comparison to the Beneficial Use chemical precipitation, biological baseline. For FGD wastewater treatment, treatment). The EPA estimated the Regulatory Options 2, 3, and 4 result in Steam electric facilities generate solid change in the amount of solids an increase in the amount of solid waste waste associated with sludge from generated under each regulatory option generated compared to baseline. The

88 Only Options 2 and 4 were run through IPM; for Options 1 and 3 are available in Chapter 8 of however, extrapolated net benefits from air impacts the Benefit Cost Analysis report.

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solid waste generation associated with volumes disposed in the 2015 rule combustion residuals generated. Table Option 1 is comparable to baseline. analysis were suspended solids from X–4 shows the net change in annual While BA solids are also generated at combustion, and therefore the solid waste generation, compared to steam electric facilities, all of the BA regulatory options in today’s proposal baseline, associated with the proposed solids accounted for in the waste do not alter the amount of BA or other regulatory options.

TABLE X–4—ESTIMATED INCREMENTAL CHANGES TO SOLID WASTE GENERATION ASSOCIATED WITH REGULATORY OPTIONS COMPARED TO BASELINE

Solid waste generation associated with regulatory options Non-water quality impact Option 1 Option 2 Option 3 Option 4

Solids Generated (tons/year) ...... 0 328,000 487,000 2,326,000

The EPA also evaluated the potential FA generated by coal-fired facilities is currently discharging FGD wastewater, impacts of diverting FA from current being sold for beneficial uses rather than as seen by sales of FA in the 2016 EIA– beneficial uses toward encapsulation of disposed of, and the majority of this 923 Schedule 8A.90 Summary statistics brine (from membrane filtration) for beneficially used FA is replacing of the FA beneficial use percentage for disposal in landfills. According to the Portland cement in concrete. This also these facilities are displayed in Table X– latest ACAA survey,89 over half of the holds true for the specific facilities 5 below.

TABLE X–5—PERCENT OF FA SOLD FOR BENEFICIAL USE BY FACILITIES DISCHARGING FGD WASTEWATER

Percent of Statistic FA sold for beneficial use

Min ...... 0 10th percentile ...... 0 25th percentile ...... 3 Mean ...... 48 Median ...... 50 75th percentile ...... 88 90th percentile ...... 98 Max ...... 100

In the EPA’s coal combustion D. Changes in Water Use chemical precipitation and chemical 91 residuals disposal rule, the EPA noted Steam electric facilities generally use precipitation plus LRTR, are not that FA replacing Portland cement in water for handling solid waste, expected to reduce or increase the concrete would result in significant including ash, and for operating wet amount of water use. Facilities that avoided environmental impacts to FGD scrubbers. The BA handling install a membrane filtration system for energy use, water use, greenhouse gas technologies associated with baseline FGD wastewater treatment under Option emissions, air emissions, and and the regulatory options in today’s 2 or 3 as part of the VIP option, or under waterborne wastes. Although the EPA proposal for BA transport water Option 4, are assumed to decrease water cannot tie specific facilities selling their eliminate or reduce water use associated use compared to baseline by recycling FA to this specific beneficial use, over with wet sluicing BA operating systems. all permeate back into the FGD system, half of the FA beneficially used The 2015 rule baseline requires zero which would avoid costs of pumping or currently replaces Portland cement in discharge of pollutants in BA transport treating new makeup water. Therefore, concrete. Therefore, where sale for this water, and because the use of other the EPA estimated this reduction in particular beneficial use occurs by wastewater could significantly increase water use resulting from membrane facilities that may otherwise use their the necessary purge flow to maintain filtration treatment based on the fly ash to encapsulate membrane water chemistry, the EPA estimated the estimated volume of the permeate filtration brine under Option 4, the EPA increase in water use for BA handling stream from the membrane filtration proposes to find that unacceptable air associated with Options 1, 2, 3, and 4 system. Table X–6 sums the changes for and other non-water quality compared to baseline as equal to the BA FGD wastewater and BA transport water environmental impacts will result. purge flow. and shows the net change in water use, Two of the three technology bases for compared to baseline, for the proposed FGD wastewater included in the regulatory options. regulatory options in today’s proposal,

89 Available online at: https://www.acaa-usa.org/ 90 Available online at: https://www.eia.gov/ 91 Available online at: http://www.regulations.gov Portals/9/Files/PDFs/2016-Survey-Results.pdf. electricity/data/eia923/. Docket ID: EPA–HQ–RCRA–2009–0640.

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TABLE X–6—ESTIMATED INCREMENTAL CHANGES TO WATER USE ASSOCIATED WITH REGULATORY OPTIONS COMPARED TO BASELINE

Changes to water use associated with Non-water quality impact regulatory options Option 1 Option 2 Option 3 Option 4

Changes in Water Use (gallons/year) ...... 3,370,000 21,100,000 613,000 ¥9,380,000

XI. Environmental Assessment wastewater and BA transport water, presented in Table VII–1 as compared to contain large amounts of a wide range the baseline, including small changes in A. Introduction of pollutants, some of which are toxic impacts to wildlife and humans. More The EPA conducted an environmental and bioaccumulative, and which cause specifically, in addition to other assessment for this proposed rule. The detrimental environmental and human unquantified environmental changes, environmental assessment reviewed health impacts. For additional the environmental assessment evaluated currently available literature on the information, see Section 2 of the changes in (1) surface water quality, (2) documented environmental and human Supplemental EA. The EPA also impacts to wildlife, (3) number of health impacts of steam electric power considered environmental and human receiving waters with potential human facility FGD wastewater and BA health effects associated with changes in health cancer risks, (4) number of transport water discharges and air emissions, solid waste generation, receiving waters with potential to cause conducted modeling to determine the and water withdrawals. Sections X and non-cancer human health effects, and impacts of pollution from the universe XII discuss these effects. (5) nutrient impacts. of steam electric facilities to which the B. Updates to the Environmental The EPA focused its quantitative steam electric ELGs apply. For the Assessment Methodology analyses on the changes in reasons described in Section VIII of this environmental and human health preamble, in conducting these analyses, The environmental assessment impacts associated with exposure to the baseline appropriately evaluates modeling for today’s proposed rule toxic bioaccumulative pollutants via the environmental and human health consisted of the steady-state, national- surface water pathway. The EPA impacts of achieving the 2015 rule scale immediate receiving water (IRW) modeled changes in discharges of toxic, requirements as the EPA is analyzing model that was used to evaluate the bioaccumulative pollutants from both the impact resulting from any changes direct and indirect discharges from FGD wastewater and BA transport water to those requirements compared to the steam electric facilities in the 2015 final into rivers and streams and lakes and 92 2015 rule (the same baseline used to ELG rule and 2015 final CCR rule. The ponds, including reservoirs. The EPA evaluate costs). More specifically, the model focused on impacts within the addressed environmental impacts from EPA considered the change in impacts immediate surface waters where the nutrients in a separate analysis associated with the regulatory options discharges occur (approximately 0.5 to 6 discussed in Section XII of this presented in Table VII–1 in relation to miles from the outfall). The EPA also preamble. those projected under the baseline. modeled receiving water concentrations The environmental assessment Information from the EPA’s review of downstream from steam electric power concentrates on impacts to aquatic life the scientific literature and documented facility discharges using a downstream based on changes in surface water cases of impacts of steam electric power fate and transport model (see Section quality; impacts to aquatic life based on facility FGD wastewater and BA XII of this preamble). changes in sediment quality within transport water discharges on human The environmental assessment also surface waters; impacts to wildlife from health and the environment, as well as incorporates changes to the industry consumption of contaminated aquatic a description of the EPA’s modeling profile outlined in Section V of this organisms; and impacts to human health methodology and results, are provided preamble. Additionally, the EPA from consumption of contaminated fish updated and improved several input in the Supplemental Environmental and water. The Supplemental EA parameters for the IRW model, Assessment (Supplemental EA). The discusses, with quantified results, the including receiving water boundaries Supplemental EA contains information estimated environmental changes and volumetric flow data from National on literature that the EPA has reviewed projected within the immediate Hydrography Dataset Plus (NHDPlus) since the 2015 rule, updates to the receiving waters due to the estimated Version 2, updated national modeling methodology and modeling pollutant loading changes associated recommended water quality criteria results for each of the regulatory options with the regulatory options in today’s (WQC) for cadmium and selenium, in today’s proposal. The 2015 EA proposal compared to the 2015 rule. All updated benchmarks for ecological provides information from the EPA’s of the modeled changes are small in earlier review of the scientific literature impacts in benthic sediment, and an updated bioconcentration factor for magnitude. and documented cases of the full cadmium. spectrum of impacts associated with the XII. Benefits Analysis wider range of steam electric power C. Outputs From the Environmental This section summarizes the EPA’s facility wastewater discharges addressed Assessment estimates of the changes in national in the 2015 rule on human health and The EPA estimates small environmental benefits expected to the environment, as well as a full environmental and ecological changes result from potential changes in steam description of the EPA’s modeling associated with changes in pollutant electric facility wastewater discharges methodology. loadings for the regulatory options described in Section IX of this Current scientific literature indicates preamble, and the resultant that untreated steam electric power 92 These rules modeled the same waterbodies for environmental effects, summarized in facility wastewaters, such as FGD which the model was peer reviewed in 2008. Section XI. The Benefit Cost Analysis

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(BCA) report provides additional details A. Categories of Benefits Analyzed regulatory options in today’s proposal on the benefits methodologies and with varying degrees of completeness analyses, including uncertainties and Table XII–1 summarizes benefit and rigor. Where possible, the EPA limitations. The analysis methodology categories associated with the proposed quantified the expected changes in for quantified benefits is generally the regulatory options and notes which effects and estimated monetary values. same as that used by the EPA for the categories the EPA was able to quantify However, data limitations, modeling 2015 rule, but with revised inputs and and monetize. Analyzed benefits fall limitations, and gaps in the into six broad categories: Human health assumptions that reflect updated data. understanding of how society values benefits from surface water quality The EPA has updated the methodology certain environmental changes prevent improvements, ecological conditions from the Stage 2 Disinfection Byproduct the EPA from quantifying and/or and effects on recreational use from Rule for estimating benefits of reducing monetizing some benefit categories. In surface water quality changes, market bladder cancer incidence related to the following discussion, positive and productivity benefits, air-related benefit values represent improvements bromide discharges from steam electric effects, and changes in water in environmental conditions and facilities and associated brominated withdrawal. Within these broad negative values represent forgone disinfection by-product formation at categories, the EPA was able to assess benefits of the proposed options drinking water treatment facilities. changes in the benefits projected for the compared to the baseline.

TABLE XII–1—SUMMARY OF BENEFITS CATEGORIES ASSOCIATED WITH CHANGES IN POLLUTANT DISCHARGES FROM STEAM ELECTRIC FACILITIES

Quantified and Quantified but Neither Benefit category quantified nor monetized not monetized monetized

Human Health Benefits from Surface Water Quality Changes

Changes in incidence of bladder cancer from exposure to total trihalomethanes (TTHM) in ✓ ...... drinking water. Changes in incidence of cancer from arsenic exposure via fish consumption. ✓ ...... Changes in incidence of cardiovascular disease from lead exposure via fish consumption...... ✓ Changes in incidence of other cancer and non-cancer adverse health effects (e.g., reproduc- ...... ✓ ✓ tive, immunological, neurological, circulatory, or respiratory toxicity) due to exposure to ar- senic, lead, cadmium, and other toxics from fish consumption or drinking water. Changes in IQ loss in children from lead exposure via fish consumption. ✓ ...... Changes in need for specialized education for children from lead exposure via fish consump- ✓ ...... tion. Changes in in utero mercury exposure via maternal fish consumption. ✓ ...... Changes in health hazards from exposure to pollutants in waters used recreationally (e.g., ...... ✓ swimming).

Ecological Conditions and Effects on Recreational Use from Surface Water Quality Changes

Benefits from changes in surface water quality, including: Aquatic and wildlife habitat; water- ✓ ...... based recreation, including fishing, swimming, boating, and nearwater activities; aesthetic benefits, such as enhancement of adjoining site amenities (e.g., residing, working, trav- eling, and owning property near the water; a and non-use value (existence, option, and be- quest value from improved ecosystem health) a. Benefits from protection of threatened and endangered species...... ✓ ...... Changes in sediment contamination...... ✓

Market and Productivity Benefits

Changes in impoundment failures...... ✓ Changes in water treatment costs for municipal drinking water, irrigation water, and industrial ...... ✓ process. Changes in commercial fisheries yields...... ✓ Changes in tourism and participation in water-based recreation...... ✓ Changes in property values from water quality changes...... ✓ Changes in ability to market coal combustion byproducts...... ✓ Changes in maintenance dredging of navigational waterways and reservoirs due to changes ✓ ...... in sediment discharges.

Air-Related Effects

Human health benefits from changes in morbidity and mortality from exposure to NOX, SO2 ...... ✓ ...... and particulate matter (PM2.5). Avoided climate change impacts from CO2 emissions. ✓ ......

Changes in Water Withdrawal

Changes in the availability of groundwater resources. ✓ ...... Changes in impingement and entrainment of aquatic organisms...... ✓

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TABLE XII–1—SUMMARY OF BENEFITS CATEGORIES ASSOCIATED WITH CHANGES IN POLLUTANT DISCHARGES FROM STEAM ELECTRIC FACILITIES—Continued

Neither Benefit category Quantified and Quantified but quantified nor monetized not monetized monetized

Changes in susceptibility to drought...... ✓ a These values are implicit in the total willingness-to-pay (WTP) for water quality improvements.

The following section summarizes the Exposure to drinking water containing contaminated fish from waterbodies EPA’s analysis of the benefit categories brominated disinfection by-products within 50 miles of households. The EPA that the Agency was able to quantify could cause adverse health effects such used Census Block population data and and/or monetize (identified in the as cancer and reproductive and fetal state-specific average fishing rates to second and third columns of Table XII– development issues. Because the estimate the exposed population. The 1, respectively). Benefits are a function regulatory options in this proposal EPA used cohort-specific fish of not only the changes in pollutant would change discharges of steam consumption rates and waterbody- loadings under the various options, but electric pollutants into waterbodies that specific fish tissue concentration also the timing of those options. For receive or are downstream from these estimates to calculate potential exposure example, although loadings increase discharges, they may alter incidence of to steam electric pollutants. Cohorts more under Option 1, treatment associated illnesses, even if by small were defined by age, sex, race/ethnicity, technologies are in place sooner, amounts. These analyses, which are and fishing mode (recreational or resulting in fewer forgone lead, detailed in Chapters 4 and 5 of the BCA, subsistence). The EPA used these data mercury, and arsenic-related human find that the incremental changes in to quantify and monetize changes in the health benefits under Option 1 than exposure between the baseline and following five categories of human under more stringent options that may regulatory options are minimal health effects, which are further detailed be installed in the future. The regulatory compared to the absolute changes for in the BCA Report: options would also affect additional those same pollutants evaluated in the • Changes in IQ Loss in Children benefit categories that the Agency was 2015 rule. Aged Zero to Seven from Lead Exposure not able to monetize. The BCA Report Due to data limitations and via Fish Consumption. uncertainties, the EPA is able to further describes some of these • Changes in Need for Specialized monetize only a subset of the changes in additional nonmonetized benefits. Education for Children from Lead health benefits associated with changes B. Quantification and Monetization of Exposure via Fish Consumption. in pollutant discharges from steam • Benefits electric facilities resulting from the Changes in In Utero Mercury regulatory options in this proposal as Exposure via Maternal Fish 1. Changes in Human Health Benefits Consumption and Associated IQ Loss. From Changes in Surface Water Quality compared to the baseline. The EPA monetized these changes in human • Changes in Incidence of Cancer Changes in pollutant discharges from health effects by estimating the change from Arsenic Exposure via Fish steam electric facilities affect human in the expected number of individuals Consumption. health benefits in multiple ways. experiencing adverse human health Table XII–2 summarizes the monetary Exposure to pollutants in steam electric effects in the populations exposed to value of changes in all estimated health power facility discharges via steam electric discharges and/or altered outcomes associated with consumption consumption of fish from affected exposure levels for the regulatory of contaminated fish tissue for the ELG waters can cause a wide variety of options relative to the baseline, and options compared to the baseline. adverse health effects, including cancer, valuing these changes using different Chapter 5 of the BCA provides kidney damage, nervous system damage, monetization methods for different additional detail on the methodology. fatigue, irritability, liver damage, benefit endpoints. The EPA solicits comment on the circulatory damage, vomiting, diarrhea, The EPA estimated changes in health assumptions and uncertainties included brain damage, IQ loss, and many others. risks from the consumption of in this analysis. TABLE XII–2—ESTIMATED TOTAL MONETARY VALUES OF CHANGES IN HUMAN HEALTH OUTCOMES FOR ELG OPTIONS (MILLIONS OF 2018$) COMPARED TO BASELINE a

Reduced lead Reduced Reduced Discount rate Option exposure for mercury cancer cases Total (%) b exposure for children children from arsenic

3 ...... 1 $0.00 ¥$0.31 $0.00 ¥$0.31 2 ¥0.01 ¥2.84 0.00 ¥2.85 3 0.00 ¥2.85 0.00 ¥2.85 4 0.00 ¥1.49 0.00 ¥1.49 7 ...... 1 0.00 ¥0.06 0.00 ¥0.06 2 0.00 ¥0.57 0.00 ¥0.575 3 0.00 ¥0.58 0.00 ¥0.58 4 0.00 ¥0.30 0.00 ¥0.30 a Negative values represent forgone benefits. b ‘‘$0.00’’ indicates that monetary values are greater than ¥$0.01 million but less than $0.00 million. Benefits to children from exposure to lead range from ¥$9.1 to $0.7 thousands per year, using a 3 percent discount rate, and from ¥$2.1 to $0.2 thousands, using a 7 percent discount rate.

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The EPA also estimated changes in population. The EPA used estimates of estimated facility participation in the bladder cancer incidence from the use changes in waterbody-specific bromide VIP. and consumption of drinking water concentrations and estimates of The formation of TTHM in a contaminated with total drinking water treatment facility- particular water treatment system is a trihalomethanes (TTHMs) derived from specific TTHM concentrations to function of several site-specific factors, changes in pollutant loadings of calculate potential changes in exposure including chlorine, bromine, organic bromide associated with the four to TTHM and associated adverse health carbon, temperature, pH and the system regulatory options in today’s proposal outcomes. residence time. The EPA did not collect The TTHM MCL is set higher than the relative to the baseline. This qualitative site-specific information on these factors relationship between bladder cancer health-based trihalomethane Maximum Contaminant Level Goals (MCLGs) in at each potentially affected drinking and bromide demonstrates the relative water treatment facility. Instead, the size of the benefit to other benefits order to balance protection from human health risks from DBP exposure with the EPA conducted a site-based analysis associated with this proposal. Should which only addresses the estimated site- this analysis be used to justify an need for adequate disinfection to control human health risks from microbial specific changes in bromides. To economically significant rulemaking, account for the changes in TTHM, and the EPA intends to peer review the pathogens. Actions that reduce TTHM levels below the MCL can therefore subsequently bladder cancer incidence, analysis consistent with OMB’s using only the estimated site-specific Information Quality Bulletin for Peer further reduce human health risk. The EPA’s analysis quantifies the human changes in bromides, the EPA used the Review. That review would include national relationship from Regli et al robust examination of the strengths and health effects associated with incremental changes between the MCL (2015).93 Using this relationship the limitations of the methods and an analysis held all of the other site- exploration of the sensitivity of the and the MCLG. Recent TTHM compliance monitoring data indicate specific factors constant at the measured results to the assumptions made. If the values at the approximately 200 analysis is designated a highly that the drinking water treatment facilities contributing most significantly drinking water treatment facilities in influential scientific assessment (HISA), to the total estimated benefits for the that study. Thus, while the national one way the EPA may seek such a regulatory options have TTHM levels changes in TTHM and bladder cancer review is via the EPA’s Science below the MCL but in excess of the incidence given estimated changes in Advisory Board (SAB), which is MCLGs for trihalomethanes. bromide are the EPA’s best estimate on particularly well suited to provide a Table XII–3 summarizes the estimated a nationwide basis, the EPA cautions peer review of HISAs. The EPA’s SAB monetary value of estimated changes in that for any specific drinking water is a statutorily established committee bromide-related human health outcomes treatment facility the estimates could be with a broad mandate to provide advice from modeled surface water quality over- or underestimated. The EPA and recommendations to the Agency on improvements under Options 2, 3, and solicits comment on the extent to which scientific and technical matters. 4 or degradation under Option 1. As uncertainty surrounding site-specific The EPA estimated changes in cancer described in Chapter 4 of the BCA estimated benefits associated with risks within populations served by Report, approximately 90 percent of bromides reductions impact the national drinking water treatment facilities with these benefits derive from a small estimates presented in this analysis, as intakes on surface waters influenced by number of steam electric facilities (6 well as data that would assist the EPA bromide discharges from steam electric facilities under Option 2, 7 facilities in evaluating this uncertainty. facilities. The EPA used Safe Drinking under Option 3, and 17 facilities under Additional details and uncertainties of Water Information System (SDWIS) and Option 4). Bromide reduction benefits this analysis are provided in Chapter 4 US Census data to estimate the exposed under Options 2 and 3 derive from of the BCA Report.

TABLE XII–3—ESTIMATED HUMAN HEALTH BENEFITS OF CHANGING BROMIDE DISCHARGES UNDER THE ELG OPTIONS COMPARED TO BASELINE [Million of 2018$, three and seven percent discount rate]

Annualized human health benefits over 27 years (millions of 2018$, discounted Regulatory option to 2020) a 3% Discount 7% Discount rate rate

Option 1 ...... ¥$0.36 ¥$0.23 Option 2 ...... 37.61 24.21 Option 3 ...... 42.57 27.48 Option 4 ...... 84.32 54.30 a The analysis accounts for the persisting health effects (up until 2121) from changes in TTHM exposure during the period of analysis (2021– 2047).

93 Regli, S., Chen, J., Messner, M., Elovitz, M.S., potential increased bladder cancer risk due to disinfected drinking waters. Environmental Science Letkiewicz, F.J., Pegram, R.A., Pepping, T.J., increased bromide concentrations in sources of & Technology, 49(22), 13094–13102. Richardson, S.D., Wright, J.M., 2015. Estimating

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2. Changes in Surface Water Quality more or less enjoyable. The regulatory phosphorus, TSS, and one aggregate options may also change nonuse values subindex for toxics. The EPA modeled The EPA evaluated whether the stemming from bequest, altruism, and changes in four of these parameters, and regulatory options in today’s proposal existence motivations. Individuals may held the remaining parameters would alter aquatic habitats and human value water quality maintenance, (dissolved oxygen, biochemical oxygen welfare by changing concentrations of ecosystem protection, and healthy demand, and fecal coliform) constant for harmful pollutants such as arsenic, species populations independent of any the purposes of this analysis. Table XII– cadmium, chromium, copper, lead, use of those attributes. 4 summarizes water quality change mercury, nickel, selenium, zinc, The EPA uses a water quality index ranges relative to the baseline under the nitrogen, phosphorus, and suspended (WQI) to translate water quality four regulatory options. Under Options sediment relative to the baseline. As a measurements, gathered for multiple 1 through 3, 78 to 84 percent of result, the usability of some of the parameters that are indicative of various potentially affected reaches have a waters for recreation relative to baseline aspects of water quality, into a single negative change in the WQI. Another 16 discharge conditions could change numerical indicator that reflects to 22 percent of reaches show no change under each option, thereby affecting achievement of quality consistent with under these options. Under Option 4, 61 recreational users. Changes in pollutant the suitability for certain uses. The WQI percent of reaches would experience a loadings can also change the includes seven parameters: Dissolved negative change in the WQI, and attractiveness of waters usable for oxygen, biochemical oxygen demand, another 12 percent of reaches show no recreation by making recreational trips fecal coliform, total nitrogen, total change.

TABLE XII–4—ESTIMATED RANGES OF WATER QUALITY CHANGES UNDER REGULATORY OPTIONS COMPARED TO BASELINE

WQI Minimum Maximum Median D Regulatory option a interquartile DWQI DWQI DWQI range

Option 1 ...... ¥5.29 0.00 ¥0.00102 0.01000 Option 2 ...... ¥2.95 1.30 ¥0.00047 0.00168 Option 3 ...... ¥2.95 1.30 ¥0.00023 0.00078 Option 4 ...... ¥2.62 1.31 ¥0.00002 0.00125 a Negative changes in WQI values indicate degrading water quality.

The EPA estimated the change in ranging from ¥$0.11 to ¥$0.62. Under mercury, zinc, and nickel), non-metal monetized benefit values using the same Options 2, 3, and 4, the net water (selenium), nutrient (phosphorus and meta-regressions of surface water quality improvements (accounting for nitrogen), and sediment pollutant valuation studies used in the benefit all increases and decreases of pollutant discharges to the approximately 10,393 analysis for the 2015 rule. The meta- loadings) result in positive net benefits reach miles affected by the regulatory regressions quantify average household to households affected by water quality options in this proposal. An estimated WTP for incremental improvements in changes from the regulatory options 85 million households reside in Census surface water quality. This WTP is the proposed. The estimated annual block groups within 100 miles of maximum amount of money a person is household WTP for water quality affected reaches. The central tendency willing to give up to obtain an changes ranges from $0.10 to $0.56 for estimate of the total annualized benefits improvement in water quality. Chapter Option 2, $0.16 to $0.87 for Option 3, of water quality changes for Option 2 6 of the BCA provides additional detail and $0.19 to $1.04 for Option 4. on the valuation methodology. Overall, Table XII–5 presents annualized total range from $14.3 million (7 percent Option 1 results in water quality WTP values for water quality changes discount rate) to $16.7 million (3 degradation, which is reflected in associated with modified metal (arsenic, percent discount rate). negative annual household WTP values cadmium, chromium, copper, lead, TABLE XII–5—ESTIMATED TOTAL WILLINGNESS-TO-PAY FOR WATER QUALITY CHANGES (MILLIONS 2018$) COMPARED TO BASELINE a

Number of 3% Discount rate 7% Discount rate affected Regulatory option households (millions) Low Central High Low Central High

Option 1 ...... 85.2 ¥$10.0 ¥$12.5 ¥$55.5 ¥$8.6 ¥$10.9 ¥$48.1 Option 2...... 86.9 11.8 16.7 65.6 10.1 14.3 56.1 Option 3...... 84.6 16.3 22.5 90.7 14.0 19.4 77.8 Option 4...... 86.5 19.8 27.3 110.2 17.0 23.6 94.6 a Negative values represent forgone benefits and positive values represent realized benefits.

3. Effects on Threatened and the EPA analyzed the overlap between T&E species. The EPA examined the life Endangered Species waters expected to change their wildlife history traits of potentially affected T&E WQC exceedance status under a species and categorized them by To assess the potential for impacts on particular option and the known critical potential for population impacts due to T&E species (both aquatic and habitat locations of high-vulnerability surface water quality changes. Chapter 7 terrestrial) relative to the 2015 baseline,

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of the BCA Report provides additional 5. Changes in Dredging Costs air emissions are based on the change in detail on the methodology. The EPA The proposed regulatory options dispatch of generation units as projected determined that there are 24 species would affect discharge loadings of by IPM V6 given the overlaying of costs whose known critical habitat overlaps various categories of pollutants, for complying with the proposed with surface waters that may be affected including TSS, thereby changing the options onto steam electric boilers’ by the proposed options when rate of sediment deposition to affected production costs. As discussed in compared to the baseline, including waterbodies, including navigable Section VIII of this preamble, the IPM three fish species, two amphibian and waterways and reservoirs that require V6 analysis accounts for the effects of reptile species, one bird species, 17 dredging for maintenance. other regulations on the electric power clam and mussel species, and one snail Navigable waterways, including sector. species. Six of these species have rivers, lakes, bays, shipping channels The EPA evaluated potential effects known critical habitat overlapping and harbors, are an integral part of the resulting from net changes in air emissions of three pollutants: NO surface waters that are expected to see United States transportation network. X, SO2, and CO . NO and SO are precursors reduced exceedances of NRWQC under They are prone to reduced functionality 2 X X to fine particles sized 2.5 microns and proposed Options 2, 3, or 4, while 23 due to sediment build-up, which can smaller (PM ), this air pollutant causes species (including 5 species that may reduce the navigable depth and width of 2.5 a variety of adverse health effects see reduced exceedances of NRWQC the waterway. In many cases, costly periodic dredging is necessary to keep including premature death, non-fatal under proposed Options 2, 3, or 4, heart attacks, hospital admissions, depending on habitat location) have them passable. Reservoirs serve many functions, including storage of drinking emergency department visits, upper and known critical habitat overlapping lower respiratory symptoms, acute surface waters that may see increased and irrigation water supplies, flood control, hydropower supply, and bronchitis, aggravated asthma, lost work exceedances of NRWQC under one or days, and acute respiratory symptoms. more of the proposed options. Under recreation. Streams can carry sediment into reservoirs, where it can settle and CO2 is a key greenhouse gas linked to Option 2, there are two species whose 94 cause buildup of silt layers over time. a wide range of domestic effects. known critical habitat overlaps with The EPA used domestic social cost of surface waters that may see reduced Sedimentation reduces reservoir capacity and the useful life of reservoirs carbon estimates to value changes in exceedances of NRWQC, and 12 species unless measures such as dredging are CO2 emissions (SC–CO2). The Agency whose known critical habitat overlaps taken to reclaim capacity. Chapter 10 of quantified changes in emissions of PM2.5 with surface waters that may see the BCA provides additional detail on precursors, NOX, and SO2. To map those increased exceedances of NRWQC. the methodology. emission changes to air quality changes Option 1 is expected to result in The EPA expects that Option 4 would across the country, air quality modeling increased exceedances of NRWQC provide cost savings ranging from $0.48 is needed. Prior to this proposal, the across all habitat locations. Principal million (7 percent discount rate) to EPA’s modeling capacity was fully sources of uncertainty include the $0.72 million (3 percent discount rate) allocated to supporting other regulatory specifics of how these proposed options by reducing required dredging and policy efforts. Table XII–6 shows the changes in will impact threatened and endangered maintenance for both navigable emissions of NO , SO , and CO based species, exact spatial distribution of the waterways and reservoirs. Estimated X 2 2 on the estimated increases in electricity species, and additional species of increases in sediment loadings under generation (see Table VIII–3) for options concern not considered. Options 1, 2, and 3 would result in cost 2 and 4 (the two regulatory options that increases. Cost increases range from 4. Changes in Benefits From Marketing the EPA analyzed for these increased $0.05 million to $0.09 million for of Coal Combustion Residuals emission effects). Table XII–7 shows the Option 1, $0.12 million to $0.21 million total annualized monetary values for Option 2, and $0.04 million to $0.07 The proposed rule options could associated with changes in emissions of affect the ability of steam electric million for Option 3. CO2 for options 2 and 4. All total facilities to market coal combustion 6. Changes in Air-Related Effects monetary values are negative, indicating byproducts for beneficial use by that the proposed rule results in net converting from wet to dry handling of The EPA expects the proposed options to affect air pollution through forgone CO2-related benefits when BA. In particular, the EPA evaluated the three main mechanisms: (1) Changes in compared to the baseline. While not potential effects from changes in auxiliary electricity use by steam monetized, additional forgone benefits marketability of BA as a substitute for electric facilities to operate wastewater associated with PM2.5 would also occur. sand and gravel in fill applications. treatment, ash handling, and other The majority of the forgone benefits are Among the regulatory options systems that the EPA predicts facilities due to changes in the profile of considered for this proposal, EPA would use under each proposed option; electricity generation. Smaller shares of estimates that only Option 2 would (2) changes in transportation-related air the changes in total benefits are affect the quantity of BA handled wet emissions due to changes in trucking of attributable to changes in energy use to when compared to the baseline, and for CCR waste to landfills; and (3) change operate wastewater treatment systems. that option the estimated increase in BA in the profile of electricity generation Benefits from changes in trucking handled wet is small (total of 310,671 due to the relatively higher or lower emissions are negligible. The EPA did tons per year at 20 facilities). Given costs to generate electricity at steam not analyze benefits from changes in air these small changes and the uncertainty electric facilities incurring compliance emissions for Options 1 and 3 but associated with projecting facility- costs under the proposed options. instead extrapolated values by scaling specific changes in marketed ash, the Changes in the electricity generation air-related benefits under Option 2 in EPA chose not to monetize this benefit profile can increase or decrease air 94 category in the analysis of the proposed pollutant emissions because emission U.S. EPA. Integrated Science Assessment (ISA) for Particulate Matter (Final Report, Dec 2009). U.S. regulatory options. See Chapter 2 in the factors vary for different types of electric Environmental Protection Agency, Washington, DC, BCA report for additional details. boilers. For this analysis, the changes in EPA/600/R–08/139F, 2009.

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proportion to the total social costs of Report provides additional details on each option. Chapter 8 of the BCA the analysis of air-related benefits.

TABLE XII–6—ESTIMATED CHANGES IN AIR EMISSIONS COMPARED TO BASELINE a

CO2 NOX SO2 Regulatory option Category of emissions (metric (tons/year) tons/year) (tons/year)

Option 2 ...... Electricity generation bc ...... 5,656,000 4,650 4,930 Trucking ...... ¥490 0 0 Energy use bc ...... ¥44,080 ¥32 ¥54

Total d ...... 5,611,000 4,620 4,870

Option 4 ...... Electricity generation be ...... 1,244,000 1,900 1,020 Trucking ...... 1,440 1 0 Energy use be ...... 59,320 31 20

Total d ...... 1,305,000 1,940 1,040 a Negative values represent emission reductions. b Estimated changes in emissions shown for 2028–2032 based on the estimated increase in electricity generation of 0.3% for Option 2 and 0.1% for Option 4. c Option 2 estimates are based on the IPM sensitivity analysis scenario that includes the ACE rule in the baseline (IPM–ACE). d Values may not sum to the total due to independent rounding. e Option 4 estimates are based on IPM analysis scenario that does not include the ACE rule in the baseline.

TABLE XII–7—ESTIMATED ANNUALIZED BENEFITS FROM CHANGES IN CO2 AIR EMISSIONS (MILLIONS; 2018$) COMPARED TO BASELINE a

3% Discount 7% Discount Regulatory option Category of emissions rate rate

Option 2 ...... Electricity generation b ...... ¥$32.0 ¥$5.2 Trucking ...... 0.0 0.0 Energy use b ...... 0.4 0.1

Total c ...... ¥31.6 ¥5.2

Option 4 ...... Electricity generation d ...... ¥4.3 ¥0.8 Trucking ...... 0.0 0.0 Energy use d ...... ¥0.5 0.0

Total c ...... ¥4.8 ¥0.9 a Negative values represent forgone benefits. b Option 2 estimates are based on the IPM sensitivity analysis scenario that includes the ACE rule in the baseline (IPM–ACE). c Values may not sum to the total due to independent rounding. d Option 4 estimates are based on IPM analysis scenario that does not include the ACE rule in the baseline.

7. Benefits From Changes in Water based on increased costs of ground C. Total Monetized Benefits Withdrawals water supply. For each relevant facility, the EPA multiplied the increase in Using the analysis approach described Steam electric facilities use water for ground water withdrawal (in gallons per above, the EPA estimated the total handling BA and operating wet FGD year) by water costs of about $1,192 per monetary value of annual benefits of the scrubbers. By reducing water used in acre-foot. Chapter 9 of the BCA Report proposed rule for all monetized sluicing operations or prompting the provides the details of this analysis. The categories. Table XII–8 and Table XII–9 recycling of water in FGD wastewater EPA estimates the changes in summarize the total annualized treatment systems, Option 4 is expected annualized benefits of increased ground monetary value of social welfare effects to reduce water withdrawals from water withdrawals are less than $0.2 surface waters, whereas proposed using 3 percent and 7 percent discount million annually. Due to data Options 1, 2, and 3 are expected to rates, respectively. The total monetary limitations, the EPA was not able to increase water withdrawals from surface value of benefits under Option 2 range estimate the monetary value of changes waterbodies. Option 2 is also expected from $14.8 million to $68.5 million in surface water withdrawals. Chapter 9 to increase water withdrawal from using a 3 percent discount rate and from of the BCA Report and Section 7 of the aquifers. Using the same methodology $28.4 million to $74.4 million using a 7 Supplemental TDD provide additional used for the 2015 rule, the EPA percent discount rate. details on the estimated changes in estimated the monetary value of surface water withdrawals. increased ground water withdrawals

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TABLE XII–8—SUMMARY OF TOTAL ANNUALIZED BENEFITS AT 3 PERCENT [Millions; 2018$] a

Option 1 Option 2 Option 3 Option 4 Benefit category Low Mid High Low Mid High Low Mid High Low Mid High

Human Health d ...... ¥$0.7 $34.8 $39.7 $82.8 Changes in IQ losses in children from exposure to lead b ...... <0.0 <0.0 <0.0 <0.0 Changes in IQ losses in children from exposure to mercury ...... ¥0.3 ¥2.84 ¥2.85 ¥1.49 Reduced cancer risk from DBPs in drinking water ...... ¥0.4 37.6 42.6 84.3

Ecological Conditions and Recreational Uses Changes ...... ¥$10.0 ¥$12.5 ¥$55.5 $11.8 $16.7 $65.6 $16.3 $22.5 $90.7 $19.8 $27.3 $110.2 Use and nonuse values for water quality changes ...... ¥10.0 ¥12.5 ¥55.5 11.8 16.7 65.6 16.3 22.5 90.7 19.8 27.3 110.2 Market and Productivity d ...... ¥0.1 ¥0.1 ¥0.1 ¥0.2 ¥0.2 ¥0.2 ¥0.1 ¥0.1 ¥0.1 0.6 0.6 0.7 Changes in dredging costs ...... ¥0.1 ¥0.1 ¥0.1 ¥0.1 ¥0.2 ¥0.2 ¥0.1 ¥0.1 ¥0.1 0.6 0.6 0.7

Reduced water withdrawals b ...... $0.0 <$0.0 $0.0 $0.0 Air-related effects ...... ¥30.3 ¥31.6 ¥20.9 ¥4.8 c Changes in CO2 air emissions .... ¥30.3 ¥31.6 ¥20.9 ¥4.8

Total d ...... ¥$41.0 ¥$43.6 ¥$86.6 $14.8 $19.6 $68.5 $35.1 $41.3 $109.4 $98.4 $105.9 $188.9 a Negative values represent forgone benefits and positive values represent realized benefits. b ‘‘<$0.0’’ indicates that monetary values are greater than ¥$0.1 million but less than $0.00 million. c The EPA estimated the air-related benefits for Option 2 using the IPM sensitivity analysis scenario that includes the ACE rule in the baseline (IPM–ACE). EPA ex- trapolated estimates for Options 1 and 3 air-related benefits from the estimate for Option 2 that is based on IPM–ACE outputs. The values for Option 4 air-related benefits were estimated using the IPM analysis scenario that does not include the ACE rule in the baseline. d Values for individual benefit categories may not sum to the total due to independent rounding.

TABLE XII–9—SUMMARY OF TOTAL ANNUALIZED BENEFITS AT 7 PERCENT [Millions; 2018$] a

Option 1 Option 2 Option 3 Option 4 Benefit category Low Mid High Low Mid High Low Mid High Low Mid High

Human Health d ...... ¥$0.3 $23.6 $26.9 $54.0 Changes in IQ losses in children from exposure to lead b ...... <0.0 <0.0 <0.0 <0.0 Changes in IQ losses in children from exposure to mercury ...... ¥0.1 ¥0.6 ¥0.6 ¥0.3 Reduced cancer risk from DBPs in drinking water ...... ¥0.2 24.2 27.5 54.3

Ecological Conditions and Recreational Uses Changes ...... ¥$8.6 ¥$10.9 ¥$48.1 $10.1 $14.3 $56.1 $14.0 $19.4 $77.8 $17.0 $23.6 $94.6 Use and nonuse values for water quality changes ...... ¥8.6 ¥10.9 ¥48.1 10.1 14.3 56.1 14.0 19.4 77.8 17.0 23.6 94.6 Market and Productivity d ...... ¥0.1 ¥0.1 ¥0.1 ¥0.1 ¥0.2 ¥0.2 0.0 ¥0.1 ¥0.1 0.5 0.5 0.7 Changes in dredging costs ...... ¥0.1 ¥0.1 ¥0.1 ¥0.1 ¥0.1 ¥0.2 0.0 ¥0.1 ¥0.1 0.5 0.5 0.7

Reduced water withdrawals b ...... $0.0 <$0.0 $0.0 $0.0 Air-related Effects ...... ¥4.8 ¥5.2 ¥3.7 ¥0.9 c Changes in CO2 air emissions .... ¥4.8 ¥5.2 ¥3.7 ¥0.9

Total d ...... ¥$13.7 ¥$16.0 ¥$53.3 $28.4 $32.6 $74.4 $37.1 $42.5 $100.9 $70.6 $77.2 $148.4 a Negative values represent forgone benefits and positive values represent realized benefits. b ‘‘<$0.0’’ indicates that monetary values are greater than ¥$0.1 million but less than $0.00 million. c The EPA estimated the air-related benefits for Option 2 using the IPM sensitivity analysis scenario that includes the ACE rule in the baseline (IPM–ACE). EPA ex- trapolated estimates for Options 1 and 3 air-related benefits from the estimate for Option 2 that is based on IPM–ACE outputs. The values for Option 4 air-related benefits were estimated using the IPM analysis scenario that does not include the ACE rule in the baseline. d Values for individual benefit categories may not sum to the total due to independent rounding.

D. Unmonetized Benefits functions and bone density); impacts of XIII. Development of Effluent The monetary value of the proposed pollutant load changes on threatened Limitations and Standards rule’s effects on social welfare does not and endangered species habitat; and ash A. FGD Wastewater account for all effects of the proposed marketing changes. The BCA Report The proposed rule contains new options because, as described above, the discusses changes in these effects numeric effluent limitations and EPA is unable to monetize some qualitatively, indicating their potential pretreatment standards that apply to categories. Examples of effects not magnitude where possible. discharges of FGD wastewater at reflected in these monetary estimates existing sources.95 The EPA is include health and other effects from changes in NOX and SO2 air emissions; 95 Effluent limitations for boilers with nameplate changes in certain non-cancer health capacity of 50 MW or smaller and for boilers that risks (e.g., effects of cadmium on kidney will retire by December 31, 2028, are not discussed

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proposing several sets of effluent and provide an upper bound for the A second criterion generally requires limitations and pretreatment standards allowable concentration of pollutants that the influents and effluents from the for FGD wastewater discharges; the that may be discharged, while still treatment components represent typical specific set of limitations that would targeting achievement of the long-term wastewater from the industry, without apply to any particular facility are average, the EPA has established the incompatible wastewater from other determined by which subcategory the daily maximum limitation. A facility sources. Application of this criterion facility falls within, or whether it consistently discharging at a level near results in the EPA selecting those chooses to participate in the voluntary the daily maximum limitation would be facilities where the commingled incentives program. The EPA developed symptomatic of a facility that is not wastewaters did not result in substantial the numeric effluent limitations and operating its treatment to achieve the dilution, unequalized slug loads pretreatment standards in this proposed long-term average. Targeting treatment resulting in frequent upsets and/or rule using long-term average effluent to achieve the daily limitation, rather overloads, more concentrated values and variability factors that than the long-term average, is not wastewaters, or wastewaters with account for variations in performance at consistent with the capability of the different types of pollutants than those well-operated facilities that employ the BAT/PSES technology basis and may generated by the wastestream for which technologies that constitute the bases for result in values that periodically exceed the EPA is proposing effluent control. The EPA’s methodology for the limitations due to routine variability limitations and pretreatment standards. derivation of limitations in ELGs is in treated effluent. A third criterion typically ensures longstanding and has been upheld in The EPA’s objective in establishing that the pollutants are present in the court. See, e.g., Chem. Mfrs. Ass’n v. monthly average limitations is to influent at sufficient concentrations to EPA, 870 F.2d 177 (5th Cir. 1989); Nat’l provide an additional restriction to help evaluate treatment effectiveness. If a Wildlife Fed’n v. EPA, 286 F.3d 554 ensure that facilities target their average data set for a pollutant shows that the (D.C. Cir. 2002). The EPA establishes the discharges to achieve the long-term pollutant was not present at a treatable final effluent limitations and standards average. The monthly average limitation concentration at sufficient frequency as ‘‘daily maximums’’ and ‘‘maximums requires dischargers to provide ongoing (e.g., the pollutant was below the level for monthly averages.’’ Definitions control, on a monthly basis, that of detection in all influent samples), the provided in 40 CFR 122.2 state that the supplements controls imposed by the EPA excludes the data for that pollutant daily maximum limitation is the daily maximum limitation. In order to at that facility when calculating the ‘‘highest allowable ‘daily discharge’ ’’ meet the monthly average limitation, a limitations. and the maximum for monthly average facility must counterbalance a value A fourth criterion typically requires limitation is the ‘‘highest allowable near the daily maximum limitation with that the data are valid and appropriate average of ‘daily discharges’ over a one or more values well below the daily for their intended use (e.g., the data calendar month, calculated as the sum maximum limitation. must be analyzed with a sufficiently sensitive method). Also, the EPA does of all ‘daily discharges’ measured during 2. Criteria Used To Select Data a calendar month divided by the not use data associated with periods of number of ‘daily discharges’ measured In developing effluent limitations treatment upsets because these data guidelines and standards for any during that month.’’ Daily discharges would not reflect the performance from industry, the EPA qualitatively reviews are defined to be the ‘‘ ‘discharge of a well-designed and well-operated all the data before selecting data that pollutant’ measured during a calendar treatment systems. In applying the represents proper operation of the day or any 24-hour period that fourth criterion, the EPA may evaluate technology that forms the basis for the reasonably represents the calendar day the pollutant concentrations, analytical limitations. The EPA typically uses four for purposes of sampling.’’ methods and the associated quality criteria to assess the data. The first control/quality assurance data, flow 1. Overview of the Limitations and criterion requires that the facilities have values, mass loading, facility logs, test Standards the model treatment technology reports, and other available information. The EPA’s objective in establishing identified as a candidate basis for As part of this evaluation, the EPA daily maximum limitations is to restrict effluent limitations (e.g., chemical reviews the process or treatment the discharges on a daily basis at a level precipitation with LRTR) and conditions that may have resulted in that is achievable for a facility that demonstrate consistently diligent and extreme values (high and low). As a designs and operates its treatment to optimal operation. Application of this consequence of this review, the EPA achieve the long-term average criterion typically eliminates any may exclude data associated with performance that the EPA’s statistical facility with treatment other than the certain time periods or other data analyses show the BAT/PSES model technology. The EPA generally outliers that reflect poor performance or technology can attain (i.e., the mean of determines whether a facility meets this analytical anomalies by an otherwise the underlying statistical distribution of criterion based upon site visits, well-operated site. daily effluent values). The EPA discussions with facility management, The fourth criterion also is applied in and/or comparison to the recognizes that variability around the the EPA’s review of data corresponding characteristics, operation, and long-term average occurs during normal to the initial commissioning period for performance of treatment systems at operations. This variability means that treatment systems (and startup periods other facilities. The EPA reviews for pilot test equipment). Most facilities occasionally may discharge at available information to determine industries incur commissioning periods a level that is higher than the long-term whether data submitted were during the adjustment period associated average, and at other times will representative of normal operating with installing new treatment systems. discharge at a level that is lower than conditions for the facility and During this acclimation and the long-term average. To allow for equipment. As a result of this review, optimization process, the effluent these possibly higher daily discharges the EPA typically excludes the data in concentration values tend to be highly in this section. The proposed limitations for these developing the limitations when the variable with occasional extreme values generating units are based on the previously facility has not optimized the (high and low). This occurs because the established BPT limitations on TSS. performance of its treatment system. treatment system typically requires

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some ‘‘tuning’’ as the facility staff and were derived from a statistical analysis exceeding the limitations. For this equipment and chemical vendors work of effluent data collected by facilities reason, the EPA recommends that to determine the optimum chemical during extended testing of the LRTR facilities design and operate the addition locations and dosages, vessel technology and membrane filtration treatment system to achieve the long- hydraulic residence times, internal technology, respectively. The duration term average for the model technology. treatment system recycle flows (e.g., of the test programs at these facilities In doing so, a system that is designed filter backwash frequency, duration and spanned from approximately one month and operated to achieve the BAT/PSES flow rate, return flows between for membranes to more than a year for level of control would meet the treatment system components), and LRTR, enabling the EPA to evaluate limitations. other operational conditions including long-term performance of these The EPA expects that facilities will be clarifier sludge wasting protocols. It technologies under conditions that can able to meet their effluent limitations or may also take time for treatment system contribute to influent variability, standards at all times. If an exceedance operators to gain expertise on operating including varying power demand, is caused by an upset condition, the the new treatment system, which also changes in coal suppliers, and changes facility would have an affirmative contributes to treatment system in operation of the air pollution control defense to an enforcement action if the variability during the commissioning system. The tests occurred over different requirements of 40 CFR 122.41(n) are period. After this initial adjustment seasons of the year and demonstrate that met. Exceedances caused by a design or period, the systems should operate at the technologies operate effectively operational deficiency, however, are steady state with relatively low under varying climate conditions. indications that the facility’s variability around a long-term average During the development of these new performance does not represent the over many years. Because limitations and pretreatment standards, appropriate level of control. For these commissioning periods typically reflect the EPA identified certain data that proposed limitations and pretreatment one-time operating conditions unique to warranted exclusion because: (1) The standards, the EPA proposes to the first time the treatment system samples were analyzed using a method determine that such exceedances can be begins operation, the EPA generally that is not sensitive enough to reliably controlled by diligent process and excludes such data in developing the quantify the pollutants present (e.g., use wastewater treatment system limitations.96 of EPA Method 245.1 to measure the operational practices, such as regular 3. Data Used To Calculate Limitations concentration of mercury in effluent monitoring of influent and effluent and Standards samples); (2) the analytical results were wastewater characteristics and adjusting identified as questionable due to quality dosage rates for chemical additives to The Supplemental TDD provides a control issues associated with the target effluent performance for regulated description of the data and methodology laboratory analysis or sample collection, pollutants at the long-term average used to develop long-term averages, or were analytical anomalies; (3) the concentration for the BAT/PSES variability factors, and limitations and samples were collected prior to steady- technology. Additionally, some facilities standards for this proposed rule. The state operating condition and do not may need to upgrade or replace existing effluent limitations and pretreatment represent BAT/PSES level of treatment systems to ensure that the standards for the low utilization performance; (4) the samples were treatment system is designed to achieve subcategory and high flow subcategory collected during a period where influent performance that targets the effluent are based on chemical precipitation. composition did not reflect the FGD concentrations at the long-term average. The derivation of the limitations for wastewater (e.g., untreated FGD This is consistent with the EPA’s these subcategories and the data used wastewater was mixed with large costing approach and its engineering are described in Section 13 of the 2015 volume of non-FGD wastewater prior to judgment, developed over years of TDD. The new limitations and the treatment system); (5) the treatment evaluating wastewater treatment pretreatment standards proposed today system was operating in a manner that processes for steam electric facilities for facilities not in those subcategories does not represent BAT/PSES level of and other industrial sectors. The EPA and for the voluntary incentives plan performance; or (6) the samples were recognizes that some dischargers, collected from a location that is not including those that are operating 96 Examples of conditions that are typically technologies representing the unique to the initial commissioning period include representative of treated effluent. operator unfamiliarity or inexperience with the technology basis for the proposed rule, 4. Long-Term Averages and Effluent may need to improve their treatment system and how to optimize its performance; Limitations and Standards for FGD wastewater flow rates that differ significantly from systems, process controls, and/or engineering design, altering hydraulic residence Wastewater treatment system operations in order to times, chemical contact times, and/or clarifier overflow rates, and potentially causing large Table XIV–1 presents the proposed consistently meet the proposed effluent changes in planned chemical dosage rates or the effluent limitations and standards for limitations and pretreatment standards. need to substitute alternative chemical additives; FGD wastewater. For comparison, the This is consistent with the CWA, which equipment malfunctions; fluctuating wastewater table also presents the long-term average requires that BAT/PSES discharge flow rates or other dynamic conditions (i.e., not treatment performance calculated for limitations and standards reflect the steady state operation); and initial purging of contaminants associated with installation of the each parameter. Due to routine best available technology economically treatment system, such as initial leaching from variability in treated effluent, a power achievable. coatings, adhesives, and susceptible metal facility that targets discharging its See Section 8 of the Supplemental components. These conditions differ from those wastewater at a level near the values of TDD for more information about the associated with the restart of an already- commissioned treatment system, such as may occur the daily maximum limitation or the calculation of the limitations and from a treatment system that has undergone either monthly average limitation may pretreatment standards presented in the short or extended duration shutdown. periodically experience values tables below.

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TABLE XIV–1—LONG-TERM AVERAGES AND EFFLUENT LIMITATIONS AND PRETREATMENT STANDARDS FOR FGD WASTEWATER FOR EXISTING SOURCES (BAT/PSES) a

Daily Monthly Subcategory Pollutant Long-term maximum average average limitation limitation

Requirements for all facilities not in the VIP Arsenic (μg/L) ...... 5.1 18 9 or subcategories specified below (BAT & Mercury (ng/L) ...... 13.5 85 31 PSES). Nitrate/nitrite as N (mg/L) ...... 2.6 4.6 3.2 Selenium (μg/L) ...... 16.6 76 31 Voluntary Incentives Program for FGD Arsenic (μg/L) ...... b 5.0 c 5 (d) Wastewater (BAT only). Mercury (ng/L) ...... 5.1 21 9 Nitrate/nitrite as N (mg/L) ...... 0.4 1.1 0.6 Selenium (μg/L) ...... 5.0 21 11 Bromide (mg/L) ...... 0.16 0.6 0.3 TDS (mg/L) ...... 88 351 156 Low utilization subcategory—AND—High flow Arsenic (μg/L) ...... 5.98 11 8 subcategory (BAT & PSES). Mercury (ng/L) ...... 159 788 356 a BAT effluent limitations for boilers with nameplate capacity of 50 MW or smaller, and boilers that will retire by December 31, 2028, are based on the previously established BPT limitations on TSS and are not shown in this table. The BAT effluent limitations for TSS for these retiring boil- ers is daily maximum of 100 mg/L; monthly average of 30 mg/L. b Long-term average is the arithmetic mean of the quantitation limitations since all observations were not detected. c Limitation is set equal to the quantitation limit for the data evaluated. d Monthly average limitation is not established when the daily maximum limitation is based on the quantitation limit.

The EPA notes that while some on the discharge needs of the model only estimates, the EPA solicits data on limitations are higher than treatment technology (high recycle rate actual precipitation and maintenance- corresponding limits in the 2015 rule, in systems) to maintain water chemistry or related discharges. For purposes of other cases limitations of additional water balance.97 EPRI (2016) presents calculating the allowance percentage pollutants or lower limitations for discharge data from seven currently associated with such infrequent events, pollutants regulated in the 2015 rule operating wet BA transport water the EPA divided the discharge have also been calculated. The EPA systems at six facilities. These facilities associated with an estimated solicits comment on the demonstrated were able to recycle most or all BA maintenance and precipitation event by ability or inability of existing systems to transport water from these seven the volume of the system, and then meet the limitations in this proposal, systems, resulting in discharges of averaged the resulting percent over 30 the costs associated with modifying between zero and two percent of the days. existing systems or with modifying the system volume. The EPA’s goal in Finally, the EPA added each reported operation of existing systems to meet establishing the proposed purge rate regular discharge percent from EPRI these limits, and whether any existing was to provide an allowance to address (2016) to the averaged infrequent systems with demonstrated issues the challenges that would be discharge percent under four scenarios: meeting these limits would be best incorporated in the EPRI (2016) data, as (1) With no infrequent discharge event, addressed through FDF variances or well as infrequent precipitation and (2) with only a precipitation-related through subcategorization. Furthermore, maintenance events, the EPA also discharge event, (3) with only a should the EPA determine needed a way to account for such maintenance-related discharge event, subcategorization of facilities with infrequent events. While EPRI (2016) and (4) with both a precipitation-related existing FGD treatment systems is noted that infrequent discharges and maintenance-related discharge warranted, the EPA solicits comment on happened at some facilities, it did not event. These potential discharge needs what limitations should apply to those include such events in its discharge are reported in Table XIV–2 below. facilities, including whether the 2015 calculations. As a result, EPA looked to Consistent with the statistical approach rule limits would be appropriate for EPRI (2018), which presents used to develop limitations and such facilities. hypothetical maximum discharge pretreatment standards for individual volumes and the estimated frequency pollutants, the EPA selected a 95th B. BA Transport Water Limitations associated with such infrequent events percentile of 10 percent of total system 1. Maximum 10 Percent 30-Day Rolling for currently operating wet BA volume as representative of the 30-day Average Purge Rate systems.98 Since these calculations are rolling average.99

In contrast to the limitations 97 Although the technology basis includes dry 99 While there were further decimal points for the estimated for specific pollutants above, handling, the limitation is based on the necessary actual calculated 95th percentile, the EPA notes the EPA is proposing a pollutant purge volumes of a wet, high recycle rate BA that 10 percent is two significant digits, consistent discharge allowance in the form of a system. with the limitations for FGD wastewater pollutants. 98 Although presented in EPRI (2018), the EPA Furthermore, a 10 percent volumetric limit will be maximum percentage purge rate for BA did not consider events such as pipe leaks, as these easier for implementation by the permitting transport water. To develop this would not be reflective of proper system operation authority as it results in a simple decimal point allowance, the EPA first collected data (see DCN SE06920). movement for calculations.

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TABLE XIV–2—30-DAY ROLLING AVERAGE DISCHARGE VOLUME AS A PERCENT OF SYSTEM VOLUME a

Infrequent discharge needs as estimated in EPRI Regular discharge needs to maintain water chemistry and/or water balance as characterized in EPRI (2018) (2016) 30-Day Type of infrequent discharge event rolling Facility A Facility B Facility C Facility D Facility E Facility F— Facility F— average System 1 System 2

(%) (%) (%) (%) (%) (%) (%) (%)

0.1 0.0 1.0 0.0 0.8 2.0 2.0 Neither Event...... 0.0 0.1 0.0 1.0 0.0 0.8 2.0 2.0 Precipitation Only...... 5.4 5.5 5.4 6.4 5.4 6.2 7.4 7.4 Maintenance Only...... 3.3 3.4 3.3 4.3 3.3 4.1 5.3 5.3 Both Events...... 8.7 8.8 8.7 9.7 8.7 9.5 10.7 10.7 a These estimates sum actual/reported, facility-specific regular discharge needs with varying combinations of hypothetically estimated, infrequent discharge needs.

The EPA recognizes that some BA transport water that could be easily November 1, 2020. For any final effluent facilities may need to improve their recycled and developing a facility- limitation that is specified to become equipment, process controls, and/or specific BMP plan, facilities are applicable after November 1, 2020, the operations to consistently meet the zero required to implement the plan and specified date must be as soon as discharge standard established by the annually review and revise the plan as possible, but in no case later than 2015 rule. However, with the discharge necessary. December 31, 2023, for BA transport allowance included in this proposed water, or December 31, 2025, for FGD XIV. Regulatory Implementation rule, the EPA expects that facilities wastewater. For dischargers choosing to would be able to avoid these costs in A. Implementation of the Limitations meet the voluntary incentives program most circumstances. For example, in the and Standards effluent limitations for FGD wastewater, table above, only when the Facility F The requirements in this rule apply to the date for meeting those limitations is systems experience both high-end discharges from steam electric facilities December 31, 2028. precipitation- and maintenance-related For FGD wastewater and BA transport through incorporation into NPDES discharge events could the required water from boilers retiring by 2028, the permits issued by the EPA or by discharge potentially exceed the 30-day proposed BAT limitations would apply authorized states under Section 402 of rolling average of 10 percent. This is on the date that a permit is issued to a the Act, and through local pretreatment consistent with the CWA, which discharger. The proposed rule does not programs under Section 307 of the Act. requires that BAT/PSES discharge build in an implementation period for Permits or control mechanisms issued limitations and standards reflect the meeting these limitations, as the BAT after this rule’s effective date must best available technology economically limitation on TSS is equal to the incorporate the ELGs, as applicable. achievable. For further discussion of previously promulgated BPT limitation Also, under CWA section 510, states can costs associated with managing a fully- on TSS. Pretreatment standards are self- require effluent limitations under state closed-loop system, see Section 5 of the implementing, meaning they apply law as long as they are no less stringent Supplemental TDD. directly, without the need for a permit. than the requirements of this rule. As defined by the statute, the 2. Best Management Practices Plan Finally, in addition to requiring pretreatment standards for existing application of the technology-based As described in Section VII of this sources must be met by three years after ELGs in this rule, CWA section preamble, one of the regulatory options the effective date of any final rule. 301(b)(1)(C) requires the permitting presented in today’s proposed rule Regardless of when a facility’s NPDES authority to impose more stringent would require a subcategory of facilities permit is ready for renewal, the EPA effluent limitations, as necessary, to discharging BA transport water and recommends that each facility meet applicable water quality standards. having low MWh production to develop immediately begin evaluating how it and implement a BMP plan to 1. Timing intends to comply with the recirculate BA transport water back to The direct discharge limitations requirements of any final rule. In cases the BA handling system (see Section VII where significant changes in operation of this preamble for more details). proposed in this rule would apply only when implemented in an NPDES permit are appropriate, the EPA recommends The proposed BMP provisions would that the facility discuss such changes require applicable facilities to develop a issued to a discharger. Under the CWA, the permitting authority must with its permitting authority and plan to minimize the discharge of evaluate appropriate steps and a pollutants by recycling as much BA incorporate these ELGs into NPDES permits as a floor or a minimum level timeline for the changes as soon as a transport water as practicable back to final rule is issued, even prior to the the BA handling system. For example, if of control. The proposed rule would allow a permitting authority to permit renewal process. a facility could recycle 80 percent of its In cases where a facility’s final determine a date when the new effluent BA transport water for a few thousand NPDES permit is issued before these limitations for FGD wastewater and BA dollars, but recycling 81 percent would ELGs are finalized, and includes transport water will apply to a given require the installation of a multi- limitations for BA transport water and/ discharger. As proposed, the permitting million dollar system, the former would or FGD wastewater from the 2015 rule, authority would make these effluent be practicable, but the latter would EPA recommends such a permit be 100 limitations applicable on or after not. After determining the amount of reopened as soon as practicable, and modified consistent with any new rule 100 The limit of what is practicable at a facility installs a remote MDS, the recycle rate that is may change drastically after making changes to practicable may approach that of the high recycle provisions. comply with the CCR rule. For instance, if a facility systems that the EPA used to establish BAT for For permits that are issued on or after closes its unlined surface impoundment and units not falling into this subcategory. November 1, 2020, the permitting

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authority would determine the earliest potential misunderstandings of the 2. Implementation for the Low possible date that the facility can meet factors presented in the 2015 rule that Utilization Subcategory the limitations (but in no case later than may have caused confusion or led to The EPA is proposing to establish a December 31, 2023, for BA transport misunderstandings. new subcategory for low utilization water or December 31, 2025, for FGD As specified in factor (b), the boilers with net generation below wastewater), and apply the proposed permitting authority must also consider 876,000 MWh per year. The EIA defines limitations as of that date (BPT scheduling for installation of net generation as, ‘‘The amount of gross limitations or the facility’s other equipment, which includes a generation less the electrical energy applicable permit limitations would consideration of facility changes consumed at the generating station(s) for apply until such date). planned or being made to comply with station service or auxiliaries. Note: As proposed, the ‘‘as soon as certain other key rules that affect the Electricity required for pumping at possible’’ date determined by the pumped-storage plants is regarded as permitting authority is November 1, steam electric power generating industry. As specified in factor (c), for electricity for station service and is 2020, unless the permitting authority deducted from gross generation.’’ 103 determines another date after receiving the FGD wastewater requirements only, the permitting authority must consider Unlike other subcategories, which often facility-specific information submitted require that a facility possess some by the discharger.101 EPA is not whether it is appropriate to allow more time for implementation in order to static characteristic (e.g., less than 50 proposing to revise the specified factors MW nameplate capacity), the proposed ensure that the facility has appropriate that the permitting authority must low utilization subcategory is based on time to optimize any relevant consider in determining the as soon as the fluctuating net generation reported technologies. possible date. Assuming that the annually to the EIA. Thus, the EPA is permitting authority receives relevant, The ‘‘as soon as possible’’ date clarifying how permitting authorities site-specific information from each determined by the permitting authority can determine whether a facility discharger, in order to determine what may or may not be different for each qualifies for this subcategorization, and date is ‘‘as soon as possible’’ within the wastestream. The permitting authority how limitations for boilers in this implementation period, the factors should provide a well-documented subcategorization are to be established in the 2015 rule are: justification of how it determined the implemented. (a) Time to expeditiously plan ‘‘as soon as possible’’ date in the fact a. Determining Boiler Net Generation (including to raise capital), design, sheet or administrative record for the procure, and install equipment to permit. If the permitting authority When a facility seeks to have comply with the requirements of the determines a date later than November limitations for one or more final rule.102 1, 2020, the justification should explain subcategorized boilers incorporated into (b) Changes being made or planned at why allowing additional time to meet its permit, the EPA is proposing that the the facility in response to greenhouse the proposed limitations is appropriate, facility provide the permitting authority gas regulations for new or existing fossil and why the discharger cannot meet the its calculation of the average of the most recent two calendar years of net fuel-fired facilities under the Clean Air effluent limitations as of November 1, generation for that boiler(s). A facility Act, as well as regulations for the 2020. In cases where the facility is wishing to seek this subcategory, must disposal of coal combustion residuals already operating the proposed BAT under subtitle D of the Resource operate below this threshold before the technology basis for a specific Conservation and Recovery Act. latest implementation dates, but a wastestream (e.g., dry FA handling (c) For FGD wastewater requirements permitting authority should also refrain system), operates the majority of the only, an initial commissioning period to from establishing a ‘‘no later than date’’ optimize the installed equipment. proposed BAT technology basis (e.g., which would restrict a facility from (d) Other factors as appropriate. FGD chemical precipitation and demonstrating two years of reduced net The EPA proposes to clarify that the biological treatment, without sulfide generation. This average should discharger must provide relevant, site- addition), or expects that relevant primarily be collected and calculated specific information for consideration of treatment and process changes would be using data developed for reporting to these factors by the permitting in place prior to November 1, 2020 (for the EIA, since using net generation authority. Environmental groups example due to the CCR rule), it would information already collected for the informed the EPA that facilities had not usually be appropriate to allow EIA will both eliminate the potentially filed permit applications for, and states additional time beyond that date. unnecessary paperwork burden of a had granted, delayed applicability dates Regardless, in all cases, the permitting separate information gathering and based on information about a facility authority would make clear in the calculations and allow the permitting other than the one being permitted. This permit by what date the facility must authority to more easily verify the was not the intent of the 2015 rule, and meet the proposed limitations, and that accuracy of the reported values. If it is the EPA solicits comment on other date, as proposed, would be no later necessary for a facility to apportion than December 31, 2023, for BA facility-wide energy consumption not 101 Information in the record indicates that most transport water, or December 31, 2025, specifically attributable to individual facilities should be able to complete all steps to for FGD wastewater. boilers, the facility must apportion this implement changes needed to comply with consumption proportionally, by boiler Where a discharger chooses to proposed BA transport water requirements within nameplate capacity, unless it adequately 15–23 months, and the FGD wastewater participate in the VIP and be subject to documents a sufficient rationale for an requirements within 26 to 34 months. effluent limitations for FGD wastewater 102 Cooperatives and municipalities presented alternate apportionment. The use of a based on membranes, the permitting information to the EPA suggesting that obtaining two-year average will ensure that a low financing for these projects can be more challenging authority must allow the facility up to utilization boiler responding to a single than for investor-owned utilities. Under this factor, December 31, 2028, to meet those extreme demand event in one year (e.g., permitting authorities may consider whether the limitations. Again, the permit must type and size of owner and difficulty in obtaining the expected financing might warrant additional make clear that the facility must meet 103 See EIA Glossary, available online at: https:// flexibility up to the ‘‘no later than’’ date. the limitations by December 31, 2028. www.eia.gov/tools/glossary/index.php?id=N.

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unexpectedly high peak demand in beneficial to the environment because for the subcategory. The EPA solicits summer or winter) can still qualify for they ensure a timely transition to more comment on whether the proposed this subcategory if its average net stringent limitations as soon as the savings clause is broad enough to generation over the two years remains reason for the less stringent limitations address all scenarios that may result in below 876,000 MWh. Furthermore, the (disproportionate cost) is gone. The EPA a mandatory order to operate a boiler. facility must annually provide the solicits comment on the inclusion of b. Voluntary Retirement Withdrawals permitting authority an updated two- tiered limitations. and Delays year average net generation for each 3. Addressing Withdrawn or Delayed subcategorized boiler within 60 days of Units at five facilities with announced Retirement submitting annual net generation retirement dates had those dates information to the EIA. Since the 2015 rule, the EPA has voluntarily withdrawn or delayed due learned of several instances when to changed situations, including market b. Tiering Limitations facilities have withdrawn or delayed conditions, unavailability of natural gas In cases where a facility seeks to have retirement announcements for coal-fired pipelines, changes in environmental limitations for this subcategory boilers and facilities. These instances regulations, and sale of the facility. Like incorporated into its permit, the EPA is can be grouped into two categories. the involuntary retirement delays proposing that a permitting authority First, some delays were involuntary, discussed in the section above, these incorporate two additional features. resulting from orders issued by the situations could impact a facility’s First, the EPA is proposing that the Department of Energy (DOE) or Public qualification for the proposed limitations for this subcategory be Utility Commissions (PUCs). The subcategories for low utilization boilers included as the first of two sets of remaining announcements were and boilers retiring by 2028. Unlike the limitations. The second set of withdrawn or delayed voluntarily due involuntary retirement delays, these limitations would be those applicable to to changed circumstances. While both voluntary delays and withdrawals can the rest of the steam electric generation the voluntary and involuntary changes be accounted for through the normal point source category. Second, the EPA to announced retirements were integrated resource planning process. is proposing that these tiered limits infrequent, the EPA acknowledges that Thus, the EPA does not propose a have a two-year timeframe to be such changes will necessarily impact a similar savings clause for such units. implemented for a facility exceeding the facility’s status with regard to some of Instead, a facility should carefully plan two-year net generation requirements as the new subcategories in today’s its implementation of the ELGs. measured per calendar year. For proposal. These situations are discussed B. Reporting and Recordkeeping example, if a facility reported it below. For further information on Requirements exceeded a two-year average net announced retirements, see DCN generation of 876,000 MWh for a unit, SE07207. This proposal includes five new it would have two years before reporting and recordkeeping standards. a. Involuntary Retirement Delays discharges of FGD wastewater and BA First, the EPA is proposing a reporting transport water would henceforth be At least five facilities with announced and recordkeeping standard for facilities subject to the second tier of retirement dates had those dates operating high recycle rate BA systems. limitations.104 Application of the involuntarily delayed as a result of the The EPA is proposing that such second tier would preclude future use of DOE issuing orders under Section 202(c) facilities submit the calculation of the the low utilization subcategory. of the Federal Power Act, or a PUC primary active wetted BA system These tiered limitations would ensure issuing a reliability must-run agreement. volume, which means the maximum that, if a boiler that qualified for this Such involuntary operations have raised volumetric capacity of BA transport subcategorization changes its operation questions about the conflict between water in all piping (including such that it no longer qualifies, it would legal obligations to produce electricity recirculation piping) and primary tanks be automatically subject to the second and legal obligations under of a wet bottom ash system, excluding set of limitations. An automatic feature environmental statutes.105 Today’s the volumes of installed spares, makes sense for several reasons. Tiered proposal would subcategorize low redundancies, maintenance tanks, other limitations are beneficial to the utilization boilers and boilers retiring by secondary bottom ash system regulated facility because they provide 2028, subjecting those subcategories to equipment, and non-bottom ash certainty that the facility would not be less stringent limitations. However, both transport systems that may direct considered in violation of its permit utilization and retirement could be process water to the bottom ash system. initially, when exceeding the required impacted by involuntary orders and This ensures that the permitting net generation, nor subsequently, during agreements. Thus, the EPA proposes a authority can verify the volume of the two-year timeframe over which it savings clause that would be included discharge allowed for a high recycle rate has to meet the second tier of effluent in all permits where a facility seeks system. The EPA solicits comment on limitations. Two years is also consistent limitations under one of these two the specific components of the BA with the engineering documents subcategories. Such a savings clause transport water system that should be provided to the EPA for the installation would protect a facility which included and/or excluded from the of the appropriate technologies. Tiered involuntarily fails to qualify for the calculation of primary active wetted BA limitations are beneficial to the state subcategory for low utilization or system volume. because they avoid the potentially retiring boilers, and would allow that Second, the EPA is proposing a onerous permit modification process facility to prove that, but for the order reporting and recordkeeping and its burden to the permitting or agreement, it would have qualified requirement for facilities seeking authority. Finally, tiered limitations are subcategorization of low utilization 105 Moeller, James. 2013. Clean air vs. electric boilers. The EPA is proposing that, as 104 Once a facility installs the capital equipment reliability: The case of the Potomac River part of any permit renewal or re- needed to meet the second tier of limitations, O&M Generating Station. September. Available online at: opening, such facilities submit a costs will be proportional to the utilization of the https://scholarlycommons.law.wlu.edu/cgi/ boiler, and thus would no longer result in viewcontent.cgi?referer=https://www.google.com/ calculation of the two-year average net disproportionate costs. &httpsredir=1&article=1077&context=jece. generation for each applicable boiler to

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the permitting authority, including requirements for facilities invoking the bromide-specific sub-options presented underlying information. Once any proposed savings clause. The EPA is in Section VII of this preamble. The limitations of this subcategory are proposing that such facilities must record continues to suggest that state applicable, the EPA is proposing that demonstrate that a boiler would have permitting authorities should consider such a facility annually recertify that the qualified for the subcategory at issue, if establishing water quality-based effluent boiler continues to meet the not for the emergency order issued by limitations that are protective of requirements of this subcategory, along the DOE under Section 202(c) of the populations served by downstream with an updated two-year average net Federal Power Act or PUC reliability drinking water treatment facilities. As generation calculation and information must-run agreement. Furthermore, the described in Section XII, the analysis of for each applicable boiler. As proposed, EPA is proposing to require a copy of changes in human health benefits if a boiler exceeds the MWh such order or agreement as an associated with changes in bromide requirements of this subcategory, no attachment to the submission. discharges are concentrated at a small further recordkeeping or reporting number of sites. This supports the EPA’s would be required, as this boiler would C. Site-Specific Water Quality-Based Effluent Limitations determination that potential discharges be treated the same as the rest of the are best addressed using site-specific, steam electric point source category The EPA regulations at 40 CFR water quality-based effluent limitations after the necessary treatment equipment 122.44(d)(1) require that each NPDES established by permitting authorities for was installed and operational at the end permit shall include any requirements, the small number of steam electric of two years. in addition to or more stringent than facilities that may impact downstream Third, as described in Section VII.C.2, effluent limitations guidelines or drinking water treatment facilities. facilities with boilers that qualify for the standards promulgated pursuant to low-utilization subcategory and that sections 301, 304, 306, 307, 318 and 405 XV. Related Acts of Congress, Executive discharge BA transport water, would be of the CWA, necessary to achieve water Orders, and Agency Initiatives required to develop and implement a quality standards established under A. Executive Orders 12866 (Regulatory BMP plan to minimize the discharge of section 303 of the CWA, including state Planning and Review) and 13563 pollutants by recycling as much BA narrative criteria for water quality. (Improving Regulation and Regulatory transport water as practicable back to Furthermore, those same regulations Review) the BA handling system. As part of any require that limitations must control all permit renewal or any re-opening, such pollutants, or pollutant parameters This proposed rule is an economically facilities would need to submit their (either conventional, nonconventional, significant regulatory action that was facility-specific plan (certified that it or toxic pollutants) which the Director submitted to the Office of Management meets the proposed requirements of 40 determines are or may be discharged at and Budget (OMB) for review. Any CFR 423.13(k)(3)) along with a a level which will cause, have the changes made in response to OMB certification that the plan is being reasonable potential to cause, or recommendations have been implemented. For each permit renewal, contribute to an excursion above any documented in the docket. The EPA the plan and PE certification should be state water quality standard, including prepared an analysis of the potential updated and provided to the permitting state narrative criteria for water quality. social costs and benefits associated with authority. Bromide was discussed in the this action. This analysis is contained in Fourth, the EPA is proposing preamble to the 2015 rule as a parameter Chapter 13 of the BCA, available in the reporting and recordkeeping for which water quality-based effluent docket. The analysis in the BCA builds requirements for facilities seeking limitations may be appropriate. The on compliance costs and certain other subcategorization for a boiler(s) retiring EPA stated its recommendation that assumptions regarding compliance years by December 31, 2028. The EPA is permitting authorities carefully consider discussed in the RIA to estimate the proposing that, as part of the permit whether water quality-based effluent incremental social costs and benefits of renewal or re-opening, which are when limitations on bromide or TDS would be the four proposed options relative to the a facility would make this request, such appropriate for FGD wastewater baseline. Analyzing the options against facilities submit a one-time certification discharges from steam electric facilities the baseline enables the Agency to to the permitting authority stating the upstream of drinking water intakes. The characterize the incremental impact of date of expected retirement from the EPA also stated its recommendation that ELG revisions proposed by this action. combustion of coal, and provide a the permitting authority notify any Table XV–1 presents the annualized citation to any filing, integrated resource downstream drinking water treatment value of the social costs and benefits plan, or other documentation in support plants of the discharge of bromide. over 27 years and discounted using a of that date. This citation is meant to The EPA is not proposing additional three percent discount rate as compared provide the permitting authority further limitations on bromide for FGD to the updated baseline. Table XV–2 evidence that a boiler will, in fact, cease wastewater beyond the removals that presents annualized values using a the production of electricity by that might be accomplished by facilities seven percent discount rate. In both date. choosing to implement the VIP tables, negative costs indicate avoided Finally, the EPA is proposing limitations, though the EPA is soliciting costs (i.e., cost savings) and negative reporting and recordkeeping comment on the three potential benefits indicate forgone benefits.

TABLE XV–1—TOTAL MONETIZED ANNUALIZED BENEFITS AND COSTS OF PROPOSED REGULATORY OPTIONS [Million of 2018$, three percent discount rate] a

cde Total social Total monetized benefits Regulatory option b costs Low estimate Mid estimate High estimate

Option 1 ...... ¥$130.6 ¥$41.0 ¥$43.6 ¥$86.6 Option 2 ...... ¥136.3 14.8 19.6 68.5

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TABLE XV–1—TOTAL MONETIZED ANNUALIZED BENEFITS AND COSTS OF PROPOSED REGULATORY OPTIONS—Continued [Million of 2018$, three percent discount rate] a

Total monetized benefits cde Total social Regulatory option b costs Low estimate Mid estimate High estimate

Option 3 ...... ¥90.1 35.1 41.3 109.4 Option 4 ...... 11.9 98.4 105.9 188.9 a All social costs and benefits were annualized over 27 years using a 3% discount rate. Negative costs indicate avoided costs and negative benefits indicate forgone benefits. All estimates are rounded to one decimal point, so figures may not sum due to independent rounding. b Total social costs are compliance costs to facilities accounting for the timing those costs are incurred. c Total monetized benefits exclude other benefits discussed qualitatively. d The EPA estimated the air-related benefits for Option 2 using the IPM sensitivity analysis scenario that includes the ACE rule in the baseline (IPM–ACE). EPA extrapolated estimates for Options 1 and 3 air-related benefits from the estimate for Option 2 that is based on IPM–ACE out- puts. The values for Option 4 air-related benefits were estimated using the IPM analysis scenario that does not include the ACE rule in the base- line. See Chapter 8 in the BCA for details). The EPA estimated air-related benefits for Options 1 and 3 by multiplying the total costs for each op- tion by the ratio of [air-related benefits/total social costs] for Option 2. The EPA did not monetize benefits of changes in NOX and SO2 emissions and associated changes in PM2.5 levels for any option. e The EPA estimated use and nonuse values for water quality improvements using two different meta-regression models of WTP. One model provides the low and high bounds while a different model provides a central estimate (included in this table under the mid-range column). For this reason, the mid benefit estimate differs from the midpoint of the benefits range. For details, see Chapter 5 in the BCA.

TABLE XV–2—TOTAL MONETIZED ANNUALIZED BENEFITS AND COSTS OF PROPOSED REGULATORY OPTIONS [Million of 2018$, seven percent discount rate] a

Total monetized benefits cde Total social Regulatory option b costs Low estimate Mid estimate High estimate

Option 1 ...... ¥$154.0 ¥$13.7 ¥$16.0 ¥$53.3 Option 2 ...... ¥166.2 28.4 32.6 74.4 Option 3 ...... ¥119.5 37.1 42.5 100.9 Option 4 ...... ¥27.3 70.6 77.2 148.4 a All social costs and benefits were annualized over 27 years using a 7% discount rate. Negative costs indicate avoided costs and negative benefits indicate forgone benefits. All estimates are rounded to one decimal point, so figures may not sum due to independent rounding. b Total social costs are compliance costs to facilities accounting for the timing those costs are incurred. c Total monetized benefits exclude other benefits discussed qualitatively. d The EPA estimated the air-related benefits for Option 2 using the IPM sensitivity analysis scenario that includes the ACE rule in the baseline (IPM–ACE). EPA extrapolated estimates for Options 1 and 3 air-related benefits from the estimate for Option 2 that is based on IPM–ACE out- puts. The values for Option 4 air-related benefits were estimated using the IPM analysis scenario that does not include the ACE rule in the base- line. See Chapter 8 in the BCA for details). The EPA estimated air-related benefits for Options 1 and 3 by multiplying the total costs for each op- tion by the ratio of [air-related benefits/total social costs] for Option 2. The EPA did not monetize benefits of changes in NOX and SO2 emissions and associated changes in PM2.5 levels for any option. e The EPA estimated use and nonuse values for water quality improvements using two different meta-regression models of WTP. One model provides the low and high bounds while a different model provides a central estimate (included in this table under the mid-range column). For this reason, the mid benefit estimate differs from the midpoint of the benefits range. For details, see Chapter 5 in the BCA.

B. Executive Order 13771 (Reducing presented in today’s proposal relative to collection requirements. With respect to Regulation and Controlling Regulatory the baseline. As proposed, these permitting authorities, based on the Costs) changes would apply to facilities for information in its record, the EPA also which the proposed subcategories are does not expect any of the regulatory The proposed regulatory options options in today’s proposal to increase would be an Executive Order 13771 applicable. In some cases, in lieu of these monitoring requirements, facilities or decrease their burden. The proposed deregulatory action. Details on the options would not change permit estimated cost savings of the regulatory would have additional paperwork burden such as that associated with application requirements or the options are located in the RIA, and in associated review; they would not affect Tables XV–1 and XV–2 above. certifications and applicable BMP plans. See Section VII of this preamble. the number of permits issued to steam C. Paperwork Reduction Act However, some facilities would also electric facilities; nor would the options realize savings, relative to the baseline, change the efforts involved in OMB has previously approved the developing or reviewing such permits. by no longer monitoring pollutants for information collection requirements Accordingly, the EPA estimated no net some subcategories of boilers (and contained in the existing regulations 40 change (i.e., no increase or decrease) in because their applicable limitations and CFR part 423 under the provisions of the cost burden to federal or state the Paperwork Reduction Act, 44 U.S.C. standards are based on less costly governments or dischargers associated 3501 et seq. and has assigned OMB technologies). The EPA projects that the with any of the regulatory options in control number 2040–0281. The OMB burden associated with the new this proposed rule. control numbers for the EPA’s proposed paperwork requirements regulations in 40 CFR are listed in 40 would be largely off-set by the reduced D. Regulatory Flexibility Act CFR part 9. burden associated with less monitoring; The Regulatory Flexibility Act (RFA) The EPA estimated small changes in therefore, the Agency projects that the generally requires an agency to prepare monitoring costs at steam electric proposal would have no net effect on a regulatory flexibility analysis of any facilities under the regulatory options the burden of the approved information rule subject to notice-and-comment

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rulemaking requirements under the E. Unfunded Mandates Reform Act per facility for small governments and Administrative Procedure Act or any Title II of the Unfunded Mandates large governments. The EPA also other statute, unless the agency certifies Reform Act of 1995 (UMRA), 2 U.S.C. compared the changes in per facility that the rule will not have a significant 1531–1538, requires federal agencies, costs incurred for small-government- economic impact on a substantial unless otherwise prohibited by law, to owned facilities with those incurred by number of small entities. Small entities assess the effects of their regulatory non-government-owned facilities. The include small businesses, small actions on state, local, and tribal Agency evaluated both average and organizations, and small governmental governments, and the private sector. An maximum annualized incremental costs jurisdictions. action contains a federal mandate if it per facility. These analyses, which are detailed in Chapter 9 of the RIA, find The Agency certifies that this action may result in expenditures of $100 that small governments would not be will not have a significant economic million or more (annually, adjusted for inflation) for state, local, and tribal significantly or uniquely affected by the impact on a substantial number of small regulatory options presented in this governments, in the aggregate, or the entities under the RFA. The basis for proposal. this finding is documented in Chapter 8 private sector in any one year ($160 of the RIA, included in the docket and million in 2018). F. Executive Order 13132: Federalism summarized below. The EPA finds that this action is not Under Executive Order (E.O.) 13132, subject to the requirements of UMRA The EPA estimates that 243 to 478 the EPA may not issue an action that section 203 because the expenditures entities own steam electric facilities to has federalism implications, that are less than $160 million or more in imposes substantial direct compliance which the regulatory options would any one year. As detailed in Chapter 9 apply, of which 79 to 127 are small. costs, and that is not required by statute, of the RIA, for its assessment of the unless the federal government provides These small ownership entities own a impact of potential changes in total of 139 steam electric facilities. The the funds necessary to pay the direct compliance requirements on small compliance costs incurred by state and EPA considered the impacts of the governments (governments for regulatory options presented in this local governments or the EPA consults populations of less than 50,000), the with state and local officials early in proposal on small businesses using a EPA estimated the changes in costs for cost-to-revenue test. The analysis development of the action. compliance with the regulatory options The EPA anticipates that none of the compares the cost of implementing relative to the baseline for different controls for BA and FGD wastewater regulatory options presented in this categories of entities. All four regulatory proposed rule would impose under the four regulatory options to options presented in this proposal result those under the baseline (which reflects incremental administrative burden on in lower compliance costs (cost savings) states due to issuing, reviewing, and the 2015 rule as explained in Section V when compared to the baseline. overseeing compliance with discharge of this preamble). Small entities Compared to $44.1 million in the requirements. Nevertheless, the EPA estimated to incur compliance costs baseline, the Agency estimates that the solicits comment on examples and data exceeding one or more of the one change in maximum cost in any one that demonstrate net impacts compared percent and three percent impact year to state, local, or tribal governments to the 2015 rule baseline which would thresholds were identified as potentially range from ¥$23.5 million under allow the Agency to evaluate these incurring a significant impact. The Option 1 to ¥$6.0 million under Option impacts for the final rule. EPA’s analysis shows that four small 4, with an incremental cost for Option As detailed in Chapter 9 of the RIA in entities (municipalities) are expected to 2 of ¥$23.0 million. Compared to the docket for this action, the EPA has incur costs equal to or greater than one $841.3 million in baseline, the identified 160 steam electric facilities percent of revenue to meet the 2015 incremental cost in any given year to the owned by state or local governments, of rule; for two of these municipalities, the private sector ranges from ¥$444.5 which 16 facilities are estimated to costs to meet the 2015 rule exceed three million under Option 4 to ¥$327.5 incur costs to comply with the BA percent of revenue. Cost savings million under Option 1, with Option 2 transport water and FGD limitations in provided under the regulatory options having an incremental cost of ¥$405 the 2015 rule. However, all four reduce the impacts on these small million. From these incremental cost regulatory options presented in this entities to varying degrees. Option 2 has values, the EPA determined that none of proposal provide cost savings as the greatest mitigating effect on small the regulatory options would constitute compared to the baseline. The entities, reducing to 2 the number of a federal mandate that may result in difference in the maximum costs of the small entities incurring costs equal to or expenditures of $160 million (in 2018 options as compared to the baseline greater than one percent of revenue, and dollars) or more for state, local, and ranges from ¥$6 million under Option to 1 the entities with costs greater than tribal governments in the aggregate, or 4 to ¥$23.5 million under Option 2. three percent of revenue. Options 1, 3, the private sector in any one year. Based on this information, the EPA and 4 have similar mitigating effects, Chapter 9 of the RIA report provides proposes to conclude that this action with one fewer small entity incurring details of these analyses. would not impose substantial direct costs equal to or greater than one This action is also not subject to the compliance costs on state or local percent of revenue. The number of small requirements of UMRA section 203 governments. entities exceeding either the one or because it contains no regulatory three percent impact threshold in the requirements that might significantly or G. Executive Order 13175: Consultation baseline is small in the absolute and uniquely affect small governments. To and Coordination With Indian Tribal represents small percentages of the total assess whether the regulatory options Governments estimated number of small entities; the presented in this proposal would affect This action does not have tribal cost savings provided by the regulatory small governments in a way that is implications, as specified in E.O. 13175 options further support the EPA’s disproportionately burdensome in (65 FR 67249, November 9, 2000). It will finding of no significant impact on a comparison to the effect on large not have substantial direct effects on substantial number of small entities (No governments, the EPA compared total tribal governments, on the relationship SISNOSE). incremental costs and incremental costs between the federal government and the

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Indian tribes, or on the distribution of deadlines for meeting effluent water or FGD discharges and thus are power and responsibilities between the limitations under certain regulatory likely to be affected by the facility federal government and Indian tribes, as options presented in this proposal as discharges and changes in air emissions specified in E.O. 13175. compared to the baseline. In particular, resulting from the regulatory options The EPA assessed potential tribal the EPA quantified the changes in IQ presented in this proposal. This first implications for the regulatory options losses from lead exposure among pre- analysis focuses on the spatial presented in this proposed rule arising school children and from mercury distribution of minority and low-income from three main changes: (1) Direct exposure in utero resulting from groups to determine whether these compliance costs incurred by facilities; maternal fish consumption under the groups are more or less represented in (2) impacts on drinking water systems four regulatory options, as compared to the populations that are expected to be downstream from steam electric the baseline. The EPA also estimated affected by the regulatory options, based facilities; and (3) administrative burden changes in the number of children with on their proximity to steam electric on governments that implement the very high blood lead concentrations. facilities. The results show that, when NPDES program. Finally, the EPA estimated changes in compared to state averages, all affected Regarding direct compliance costs, the lifetime risk of developing bladder communities are poorer and a large the EPA’s analyses show that no steam cancer due to exposure to majority of affected communities have electric facilities with BA transport trihalomethanes in drinking water. The more minority residents than average. water or FGD discharges are owned by EPA did not estimate children-specific Second, the EPA summarized the tribal governments. Regarding impacts risk because these adverse health effects demographic characteristics of on drinking water systems, the EPA normally follow long-term exposure. individuals served by public water identified 15 public water systems These analyses show that all of the systems (PWS) downstream from steam operated by tribal governments that may regulatory options presented in this electric facilities and potentially be affected by bromide discharges from proposal would have a small, and not affected by bromide discharges. The steam electric facilities. These systems disproportionate, impact on children. results show that the majority of county serve a total of 18,917 people. The EPA I. Executive Order 13211: Actions That populations potentially affected by estimated changes in bladder cancer risk changes in drinking water quality as a and the resulting health benefits for the Significantly Affect Energy Supply, result of steam electric facility four regulatory options in comparison to Distribution, or Use discharges are poorer and have more the baseline. This analysis, which is This action is not a ‘‘significant minority residents than the state detailed in Chapter 4 of the BCA, finds energy action,’’ as defined by E.O. 13211 average. very small changes in exposure between (66 FR 28355, May 22, 2001) because it Finally, the EPA conducted analyses the baseline and regulatory options, is not likely to have a significant of populations exposed to steam electric amounting to very small changes in risk adverse effect on the supply, power facility FGD wastewater and BA for this population. Finally, regarding distribution, or use of energy. transport water discharges through administrative burden, no tribal The Agency analyzed the potential consumption of recreationally caught governments are currently authorized energy effects of the regulatory options fish by estimating exposure and health pursuant to section 402(b) of the CWA presented in this proposal relative to the effects by demographic cohort. Where to implement the NPDES program. baseline and found minimal or no possible, the EPA used analytic Based on this information, the EPA impacts on electricity generation, assumptions specific to the concluded that none of the regulatory generating capacity, cost of energy demographic cohorts—e.g., fish options presented in the proposed rule production, or dependence on a foreign consumption rates specific to different would have substantial direct effects on supply of energy. Specifically, the racial groups. Recreational anglers and tribal governments. Agency’s analysis found that none of the members of their households, including regulatory options would reduce H. Executive Order 13045: Protection of children, are expected to experience electricity production by more than 1 Children From Environmental Health forgone benefits from an increase in billion kilowatt hours per year or by 500 Risks and Safety Risks pollutant concentrations in fish tissue megawatts of installed capacity under under all of the regulatory options. EPA This action is not subject to E.O. either of the options analyzed, nor estimated forgone benefits to children 13045 (62 FR 19885, April 23, 1997) would the option increase U.S. (i.e., IQ decrements) from increased because the EPA does not expect that dependence on foreign supplies of mercury exposure in the populations the environmental health risks or safety energy. For more detail on the potential that live below the poverty line and/or risks associated with steam electric energy effects of the regulatory options minority populations. facility discharges addressed by this in this proposal, see Section 10.7 in the action present a disproportionate risk to RIA, available in the docket. The results show that the regulatory children. This action’s health risk options would result in forgone benefits assessments are in Chapters 4 and 5 of J. National Technology Transfer and to these populations and that these the BCA and are summarized below. Advancement Act changes may disproportionately affect The EPA identified several ways in This proposed rulemaking does not communities in cases where the which the regulatory options presented involve technical standards. regulatory options increase pollutant in this proposal could affect children, exposure compared to the baseline. including by potentially increasing K. Executive Order 12898: Federal Overall however, the EPA’s analysis, health risks from changes in exposure to Actions To Address Environmental which is detailed in Chapter 14 of the pollutants present in steam electric Justice in Minority Populations and BCA, finds very small changes in facility FGD wastewater and BA Low-Income Populations exposure between the baseline and transport water discharges, or through The EPA conducted the analysis in regulatory options, amounting to very impacts of the discharges on the quality three ways. First, the EPA summarized small changes in risk for this of source water used by public water the demographic characteristics of population. The EPA solicits comment systems. This increase arises from less individuals living in proximity to steam on the assumptions and uncertainties stringent pollutant limitations or later electric facilities with BA transport included in this analysis.

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L. Congressional Review Act (CRA) Direct discharger. A facility that discharges underground mine, a cave, or a corrective treated or untreated wastewaters into waters action management unit. This action is subject to the CRA, and of the U.S. MDS. Mechanical drag system. the EPA will submit a rule report to DOE. Department of Energy. Mechanical drag system. BA handling each House of the Congress and to the Dry BA handling system. A system that system that collects BA from the bottom of Comptroller General of the United does not use water as the transport medium the boiler in a water-filled trough. The water States. This action is a ‘‘major rule’’ as to convey BA away from the boiler. It bath in the trough quenches the hot BA as defined by 5 U.S.C. 804(2). includes systems that collect and convey the it falls from the boiler and seals the boiler ash without any use of water, as well as gases. A drag chain operates in a continuous Appendix A to the Preamble: systems in which BA is quenched in a water loop to drag BA from the water trough up an Definitions, Acronyms, and bath and then mechanically or pneumatically incline, which dewaters the BA by gravity, Abbreviations Used in This Preamble conveyed away from the boiler. Dry BA draining the water back to the trough as the handling systems do not include wet sluicing BA moves upward. The dewatered BA is The following acronyms and abbreviations systems (such as remote MDS or complete often conveyed to a nearby collection area, are used in this preamble. recycle systems). such as a small bunker outside the boiler Administrator. The Administrator of the Effluent limitation. Under CWA section building, from which it is loaded onto trucks U.S. Environmental Protection Agency. 502(11), any restriction, including schedules and either sold or transported to a landfill. Agency. U.S. Environmental Protection of compliance, established by a state or the The MDS is considered a dry BA handling Agency. Administrator on quantities, rates, and system because the ash transport mechanism BAT. Best available technology concentrations of chemical, physical, is mechanical removal by the drag chain, not economically achievable, as defined by CWA biological, and other constituents which are the water. sections 301(b)(2)(A) and 304(b)(2)(B). discharged from point sources into navigable Mortality. Death rate or proportion of Bioaccumulation. General term describing waters, the waters of the contiguous zone, or deaths in a population. a process by which chemicals are taken up the ocean, including schedules of NAICS. North American Industry by an organism either directly from exposure compliance. Classification System. to a contaminated medium or by EIA. Energy Information Administration. NPDES. National Pollutant Discharge consumption of food containing the ELGs. Effluent limitations guidelines and Elimination System. chemical, resulting in a net accumulation of standards. ORCR. Office of Resource Conservation the chemical by an organism due to uptake E.O. Executive Order. and Recovery. from all routes of exposure. EPA. U.S. Environmental Protection Paste. A substance containing solids in a BMP. Best management practice. Agency. fluid which behaves as a solid until a force BA. The ash, including boiler slag, which FA. Fly Ash is applied which causes it to behave like a settles in the furnace or is dislodged from Facility. Any NPDES ‘‘point source’’ or any fluid. furnace walls. Economizer ash is included other facility or activity (including land or Paste Landfill. A landfill which receives when it is collected with BA. appurtenances thereto) that is subject to any paste designed to set into a solid after the BPT. The best practicable control regulation under the NPDES program. passage of a reasonable amount of time. technology currently available as defined by FGD. Flue Gas Desulfurization. Point source. Any discernable, confined, sections 301(b)(1) and 304(b)(1) of the CWA. FGD Wastewater. Wastewater generated and discrete conveyance, including but not CBI. Confidential Business Information. specifically from the wet FGD scrubber limited to, any pipe, ditch, channel, tunnel, CCR. Coal Combustion Residuals. system that comes into contact with the flue conduit, well, discrete fissure, container, Clean Water Act (CWA). The Federal Water gas or the FGD solids, including, but not rolling stock, concentrated animal feeding Pollution Control Act Amendments of 1972 limited to, the blowdown or purge from the operation, or vessel or other floating craft (33 U.S.C. 1251 et seq.), as amended, e.g., by FGD scrubber system, overflow or underflow from which pollutants are or may be the Clean Water Act of 1977 (Pub. L. 95–217), from the solids separation process, FGD discharged. The term does not include and the Water Quality Act of 1987 (Pub. L. solids wash water, and the filtrate from the agricultural stormwater discharges or return 100–4). solids dewatering process. Wastewater flows from irrigated agriculture. See CWA Combustion residuals. Solid wastes generated from cleaning the FGD scrubber, section 502(14), 33 U.S.C. 1362(14); 40 CFR associated with combustion-related power cleaning FGD solids separation equipment, 122.2. facility processes, including fly and BA from cleaning FGD solids dewatering equipment, POTW. Publicly owned treatment works. coal-, petroleum coke-, or oil-fired units; FGD or that is collected in floor drains in the FGD See CWA section 212, 33 U.S.C. 1292; 40 solids; FGMC wastes; and other wastewater process area is not considered FGD CFR 122.2, 403.3. treatment solids associated with combustion wastewater. PSES. Pretreatment Standards for Existing wastewater. In addition to the residuals that Fly Ash. The ash that is carried out of the Sources. are associated with coal combustion, this also furnace by a gas stream and collected by a Publicly Owned Treatment Works. Any includes residuals associated with the capture device such as a mechanical device or system, owned by a state or combustion of other fossil fuels. precipitator, electrostatic precipitator, and/or municipality, used in the treatment Direct discharge. (a) Any addition of any fabric filter. Economizer ash is included in (including recycling and reclamation) of ‘‘pollutant’’ or combination of pollutants to this definition when it is collected with fly municipal sewage or industrial wastes of a ‘‘waters of the United States’’ from any ash. Ash is not included in this definition liquid nature that is owned by a state or ‘‘point source,’’ or (b) any addition of any when it is collected in wet scrubber air municipality. This includes sewers, pipes, or pollutant or combination of pollutant to pollution control systems whose primary other conveyances only if they convey waters of the ‘‘contiguous zone’’ or the ocean purpose is particulate removal. wastewater to a POTW providing treatment. from any point source other than a vessel or Groundwater. Water that is found in the CWA section 212, 33 U.S.C. 1292; 40 CFR other floating craft which is being used as a saturated part of the ground underneath the 122.2, 403.3. means of transportation. This definition land surface. RCRA. The Resource Conservation and includes additions of pollutants into waters Indirect discharge. Wastewater discharged Recovery Act of 1976, 42 U.S.C. 6901 et seq. of the United States from: Surface runoff or otherwise introduced to a POTW. Remote MDS. BA handling system that which is collected or channeled by man; IPM. Integrated Planning Model. collects BA at the bottom of the boiler, then discharges though pipes, sewers, or other Landfill. A disposal facility or part of a uses transport water to sluice the ash to a conveyances owned by a State, municipality, facility where solid waste, sludges, or other remote MDS that dewaters BA using a similar or other person which do not lead to a process residuals are placed in or on any configuration as the MDS. The remote MDS treatment works; and discharges through natural or manmade formation in the earth is considered a wet BA handling system pipes, sewers, or other conveyances, leading for disposal and which is not a storage pile, because the ash transport mechanism is into privately owned treatment works. This a land treatment facility, a surface water. term does not include an addition of impoundment, an underground injection RFA. Regulatory Flexibility Act. pollutants by any ‘‘indirect discharger.’’ well, a salt dome or salt bed formation, an SBA. Small Business Administration.

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Sediment. Particulate matter lying below the wet flue gas desulfurization scrubber 1008(a), 2002(a), 3001, 4004, and water. system that comes into contact with the 4005(a) of the Solid Waste Disposal Act Surface water. All waters of the United flue gas or the FGD solids, including but of 1970, as amended by the Resource States, including rivers, streams, lakes, not limited to, the blowdown from the Conservation and Recovery Act of 1976, reservoirs, and seas. Toxic pollutants. As identified under the FGD scrubber system, overflow or as amended by the Hazardous and Solid CWA, 65 pollutants and classes of pollutants, underflow from the solids separation Waste Amendments of 1984, 42 U.S.C. of which 126 specific substances have been process, FGD solids wash water, and the 6906(b), 6907(a), 6912(a), 6944, and designated priority toxic pollutants. see filtrate from the solids dewatering 6945(a). appendix A to 40 CFR part 423. process. Wastewater generated from (3) For FGD wastewater requirements Transport water. Wastewater that is used to cleaning the FGD scrubber, cleaning only, an initial commissioning period convey FA, BA, or economizer ash from the FGD solids separation equipment, for the treatment system to optimize the ash collection or storage equipment, or cleaning FGD solids dewatering installed equipment. boiler, and has direct contact with the ash. equipment, cleaning FGD paste (4) Other factors as appropriate. Transport water does not include low (u) The term ‘‘FGD paste’’ means any volume, short duration discharges of transportation piping, or that is wastewater from minor leaks (e.g., leaks from collected in floor drains in the FGD combination of FGD wastewater treated valve packing, pipe flanges, or piping) or process area is not considered FGD with fly ash and/or lime prior to being minor maintenance events (e.g., replacement wastewater. landfilled, that is engineered to form a of valves or pipe sections). * * * * * solid through pozzolanic reactions. UMRA. Unfunded Mandates Reform Act. (v) The term ‘‘FGD paste (p) The term transport water means Wet BA handling system. A system in transportation piping’’ means any pipe, any wastewater that is used to convey which BA is conveyed away from the boiler valve, or related item used for fly ash, bottom ash, or economizer ash using water as a transport medium. Wet BA transporting FGD paste from its point of from the ash collection or storage systems typically send the ash slurry to generation to a landfill. dewatering bins or a surface impoundment. equipment, or boiler, and has direct (w) The term ‘‘retired from service’’ Wet BA handling systems include systems contact with the ash. Transport water that operate in conjunction with a traditional means the owner or operator of a boiler does not include low volume, short no longer has, or is no longer required wet sluicing system to recycle all BA duration discharges of wastewater from transport water (remote MDS or complete to have, the necessary permission minor leaks (e.g., leaks from valve through a permit, license, or other recycle system). packing, pipe flanges, or piping), minor Wet FGD system. Wet FGD systems capture legally applicable form of permission to sulfur dioxide from the flue gas using a maintenance events (e.g., replacement of conduct electricity generation activities sorbent that has mixed with water to form a valves or pipe sections), cleaning FGD under Federal, state, or local law, wet slurry, and that generates a water stream paste transportation piping, wastewater irrespective of whether the owner and that exits the FGD scrubber absorber. present in equipment when a facility is operator is subject to this part. retired from service, or maintenance List of Subjects in 40 CFR Part 423 (x) The term ‘‘high FGD flow’’ means purge water. the maximum daily volume of FGD Environmental protection, Electric * * * * * wastewater that could be discharged by power generation, Power facilities, (t) The phrase ‘‘as soon as possible’’ a facility is above 4 million gallons per Waste treatment and disposal, Water means November 1, 2018 (except for day after accounting for that facility’s pollution control. purposes of § 423.13(g)(1)(i) and ability to recycle the wastewater to the Dated: November 4, 2019. (k)(1)(i), and § 423.16(e) and (g), in maximum limits for the FGD system Andrew R. Wheeler, which case it means November 1, 2020), materials of construction. Administrator. unless the permitting authority (y) The term ‘‘net generation’’ means establishes a later date, after receiving For the reasons stated in the the amount of gross electrical generation site-specific information from the preamble, the Environmental Protection less the electrical energy consumed at discharger, which reflects a Agency proposes to amend 40 CFR part the generating station(s) for station consideration of the following factors: 423 as follows: service or auxiliaries as calculated in (1) Time to expeditiously plan paragraph 423.19(e) of this subpart. PART 423—STEAM ELECTRIC POWER (including to raise capital), design, (z) The term ‘‘low utilization boiler’’ GENERATING POINT SOURCE procure, and install equipment to means any boiler for which the facility CATEGORY comply with the requirements of this owner certifies, and annually recertifies, part. under 423.19(e) that the two-year ■ 1. The authority citation for part 423 (2) Changes being made or planned at average annual net generation is below continues to read as follows: the plant in response to: 876,000 MWh per year. Authority: Secs. 101; 301; 304(b), (c), (e), (i) New source performance standards (aa) The term ‘‘primary active wetted and (g); 306; 307; 308 and 501, Clean Water for greenhouse gases from new fossil bottom ash system volume’’ means the Act (Federal Water Pollution Control Act fuel-fired electric generating units, maximum volumetric capacity of Amendments of 1972, as amended; 33 U.S.C. under sections 111, 301, 302, and bottom ash transport water in all piping 1251; 1311; 1314(b), (c), (e), and (g); 1316; 307(d)(1)(C) of the Clean Air Act, as (including recirculation piping) and 1317; 1318 and 1361). amended, 42 U.S.C. 7411, 7601, 7602, primary tanks of a wet bottom ash ■ 2. Amend § 423.11 by revising 7607(d)(1)(C); system, excluding the volumes of paragraphs (n), (p), and (t) and adding (ii) Emission guidelines for installed spares, redundancies, paragraphs (u), (v), (w), (x), (y), (z), (aa), greenhouse gases from existing fossil maintenance tanks, other secondary (bb), (cc), and (dd). fuel-fired electric generating units, bottom ash system equipment, and non- under sections 111, 301, 302, and 307(d) bottom ash transport systems that may § 423.11 Specialized definitions. of the Clean Air Act, as amended, 42 direct process water to the bottom ash * * * * * U.S.C. 7411, 7601, 7602, 7607(d); or system as certified to in paragraph (n) The term flue gas desulfurization (iii) Regulations that address the 423.19(c). (FGD) wastewater means any disposal of coal combustion residuals as (bb) The term ‘‘tank’’ means a wastewater generated specifically from solid waste, under sections 1006(b), stationary device, designed to contain

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an accumulation of wastewater which is using the measured values of the (b) * * * constructed primarily of non-earthen preceding 30 days for each average in (11) The quantity of pollutants materials (e.g., wood, concrete, steel, the series. discharged in FGD wastewater, flue gas ■ plastic) which provide structural 3. Amend § 423.12 by revising mercury control wastewater, support. paragraph (b)(11). combustion residual leachate, (cc) The term ‘‘maintenance purge § 423.12 Effluent limitations guidelines gasification wastewater, or bottom ash water’’ means any water being representing the degree of effluent maintenance purge water shall not discharged subject to paragraphs reduction attainable by the application of exceed the quantity determined by § 423.13(k)(2)(i) or § 423.16(g)(2)(i). the best practicable control technology multiplying the flow of the applicable (dd) The term ‘‘30-day rolling currently available (BPT). wastewater times the concentration average’’ means the series of averages * * * * * listed in table 1:

TABLE 1 TO PARAGRAPH (b)(11)

BPT effluent limitations Average of daily values Pollutant or pollutant property Maximum for any 1 day for 30 consecutive days (mg/l) shall not exceed (mg/l)

TSS ...... 100.0 30.0 Oil and grease ...... 20.0 15.0

* * * * * The additions and revisions to read as flow of FGD wastewater times the ■ 4. Amend § 423.13 by: follows. concentration listed in the table ■ a. Revising paragraph (g)(1)(i); following this paragraph (g)(1)(i). ■ b. Redesignating paragraph (g)(2) as § 423.13 Effluent limitations guidelines Dischargers must meet the effluent paragraph (g)(2)(i) and revising the representing the degree of effluent limitations for FGD wastewater in this reduction attainable by the application of newly redesignated paragraph (g)(2)(i); the best available technology economically paragraph by a date determined by the ■ c. Adding paragraphs (g)(2)(ii) and achievable (BAT). permitting authority that is as soon as (g)(2)(iii); possible beginning November 1, 2020, ■ d. Revising paragraphs (g)(3)(i) and * * * * * but no later than December 31, 2025. paragraph (k)(1)(i); (g)(1)(i) FGD wastewater. Except for These effluent limitations apply to the ■ e. Redesignating paragraph (k)(2) as those discharges to which paragraph discharge of FGD wastewater generated (k)(2)(ii) and revising newly (g)(2) or (g)(3) of this section applies, the on and after the date determined by the redesignated (k)(2)(ii); and quantity of pollutants in FGD permitting authority for meeting the ■ f. Adding paragraphs (k)(2)(i), wastewater shall not exceed the effluent limitations, as specified in this (k)(2)(iii), and (k)(3). quantity determined by multiplying the paragraph.

TABLE 1 TO PARAGRAPH (g)(1)(i)

BAT effluent limitations Pollutant or pollutant property Average of daily values Maximum for any 1 day for 30 consecutive days shall not exceed

Arsenic, total (ug/L) ...... 18 9 Mercury, total (ng/L) ...... 85 31 Selenium, total (ug/L) ...... 76 31 Nitrate/nitrite as N (mg/L) ...... 4.6 3.2

* * * * * times the concentration listed for TSS in limitations for FGD wastewater in this (2)(i) For any electric generating unit § 423.12(b)(11). paragraph by a date determined by the with a total nameplate capacity of less (ii) For FGD wastewater discharges permitting authority that is as soon as than or equal to 50 megawatts, that is an from a high FGD flow facility, the possible beginning November 1, 2020, oil-fired unit, or for which the owner quantity of pollutants in FGD but no later than December 31, 2023. has certified pursuant to 423.19(f) will wastewater shall not exceed the These effluent limitations apply to the be retired from service by December 31, quantity determined by multiplying the discharge of FGD wastewater generated 2028, the quantity of pollutants flow of FGD wastewater times the on and after the date determined by the discharged in FGD wastewater shall not concentration listed in the table permitting authority for meeting the exceed the quantity determined by following this paragraph (g)(2)(ii). effluent limitations, as specified in this multiplying the flow of FGD wastewater Dischargers must meet the effluent paragraph (g)(2)(ii).

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TABLE 1 TO PARAGRAPH (g)(2)(ii)

BAT effluent limitations Pollutant or pollutant property Average of daily values Maximum for any 1 day for 30 consecutive days shall not exceed

Arsenic, total (ug/L) ...... 11 8 Mercury, total (ng/L) ...... 788 356

(iii)(A) For FGD wastewater the date determined by the permitting (3)(i) For dischargers who voluntarily discharges from a low utilization boiler, authority for meeting the effluent choose to meet the effluent limitations the quantity of pollutants in FGD limitations, as specified in this for FGD wastewater in this paragraph, wastewater shall not exceed the paragraph (g)(2)(iii)(A). the quantity of pollutants in FGD quantity determined by multiplying the (B) If any low utilization boiler fails wastewater shall not exceed the flow of FGD wastewater times the to timely recertify that the two year quantity determined by multiplying the concentration listed in the Table 1 to average net generation of such a boiler flow of FGD wastewater times the paragraph (g)(2)(ii). Dischargers must is below 876,000 MWh per year as concentration listed in the table specified in § 423.19(e), regardless of the meet the effluent limitations for FGD following this paragraph (g)(3)(i). reason, within two years from the date wastewater in this paragraph by a date Dischargers who choose to meet the such a recertification was required, the determined by the permitting authority quantity of pollutants in FGD effluent limitations for FGD wastewater that is as soon as possible beginning wastewater shall not exceed the in this paragraph must meet such November 1, 2020, but no later than quantity determined by multiplying the limitations by December 31, 2028. These December 31, 2023. These effluent flow of FGD wastewater times the effluent limitations apply to the limitations apply to the discharge of concentration listed in the Table 1 to discharge of FGD wastewater generated FGD wastewater generated on and after paragraph (g)(1)(i). on and after December 31, 2028.

TABLE 1 TO PARAGRAPH (g)(3)(i)

BAT Effluent limitations Pollutant or pollutant property Average of daily values Maximum for any 1 day for 30 consecutive days shall not exceed

Arsenic, total (ug/L) ...... 5 ...... Mercury, total (ng/L) ...... 21 9 Selenium, total (ug/L) ...... 21 11 Nitrate/Nitrite (mg/L) ...... 1.1 0.6 Bromide (mg/L) ...... 0.6 0.3 TDS (mg/L) ...... 351 156

* * * * * effluent must comply with the discharge other secondary bottom ash system (k)(1)(i) Bottom ash transport water. limitation in this paragraph. When the equipment; or Except for those discharges to which bottom ash transport water is used in (2) To maintain water balance when paragraph (k)(2) of this section applies, the FGD scrubber, the quantity of regular inflows from wastestreams other or when the bottom ash transport water pollutants in bottom ash transport water than bottom ash transport water exceed is used in the FGD scrubber, there shall shall not exceed the quantity the ability of the bottom ash system to be no discharge of pollutants in bottom determined by multiplying the flow of accept recycled water and segregating ash transport water. Dischargers must bottom ash transport water times the these other wastestreams is not feasible; meet the discharge limitation in this concentration listed in Table 1 to or paragraph by a date determined by the paragraph (g)(1)(i) of this section. (3) To conduct maintenance not permitting authority that is as soon as * * * * * otherwise exempted from the definition possible beginning November 1, 2020, of transport water in § 423.11(p) when but no later than December 31, 2023. (2)(i)(A) The discharge of pollutants water volumes cannot be managed by This limitation applies to the discharge in bottom ash transport water from a installed spares, redundancies, of bottom ash transport water generated properly installed, operated, and maintenance tanks, and other secondary on and after the date determined by the maintained bottom ash system is bottom ash system equipment; or permitting authority for meeting the authorized under the following (4) To maintain system water discharge limitation, as specified in this conditions: chemistry where installed equipment at paragraph (k)(1)(i). Except for those (1) To maintain system water balance the facility is unable to manage pH, discharges to which paragraph (k)(2) of when precipitation-related inflows corrosive compounds, and fine this section applies, whenever bottom within any 24-hour period resulting particulates to below levels which ash transport water is used in any other from a 25-year, 24-hour storm event, or impact system operations. plant process or is sent to a treatment multiple consecutive events cannot be (B) The total volume necessary to be system at the plant (except when it is managed by installed spares, discharged for the above activities shall used in the FGD scrubber), the resulting redundancies, maintenance tanks, and be reduced or eliminated to the extent

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achievable using control measures specifying the volume and frequency of discharge of bottom ash transport water, (including best management practices) water additions and removals from the including the following: that are technologically available and bottom ash transport system, including: (A) The anticipated initiation and economically achievable in light of best (A) Water removed from the BA completion dates of construction and industry practice, and in no instance transport system: installation associated with the shall it exceed a 30-day rolling average (1) To the discharge outfall. technology components or process of ten percent of the primary active (2) To the FGD scrubber system. modifications specified in the plan. wetted bottom ash system volume. (3) Through evaporation. (B) The anticipated dates that the Discharges shall be measured by (4) Entrained with any removed ash. discharger expects the technologies and computing daily discharges by totaling (5) Other mechanisms not specified process modifications to be fully daily flow discharges. herein. implemented on a full-scale basis, (ii) For any electric generating unit (B) Entering or recycled to the BA which in no case shall be later than with a total nameplate generating transport system: December 31, 2023. capacity of less than or equal to 50 (1) Makeup water added to the BA (C) The anticipated change in megawatts, that is an oil-fired unit, or transport water system. discharge volume and effluent quality for which the owner has certified (2) Bottom ash transport water associated with implementation of the pursuant to 423.19(f) will be retired recycled back to the system in lieu of plan. from service by December 31, 2028, the makeup water. (viii) Description establishing a quantity of pollutants discharged in (3) Other mechanisms not specified method for documenting and bottom ash transport water shall not herein. demonstrating to the permitting/control exceed the quantity determined by (iv) Measures to be employed by all authority that the recycle system is well multiplying the flow of the applicable facilities: operated and maintained. wastewater times the concentration for (A) Implementation of a (ix) The discharger shall perform TSS listed in § 423.12(b)(4). comprehensive preventive maintenance weekly flow monitoring for the (iii)(A) For bottom ash transport water program to identify, repair and replace following: generated by a low utilization boiler, the equipment prior to failures that result in (A) Make up water to the bottom ash quantity of pollutants discharged in the release of bottom ash transport transport water system. bottom ash transport water shall not water. (B) Bottom ash transport water sluice exceed the quantity determined by (B) Daily or more frequent inspections flow rate (e.g., to the surface multiplying the flow of the applicable of the entire bottom ash transport water impoundment(s), dewatering bins(s), wastewater times the concentration for system, including valves, pipe flanges tank(s), rMDS). (C) Bottom ash transport water TSS listed in § 423.12(b)(4),and shall and piping, to identify leaks, spills and other unintended bottom ash transport discharge to surface water or POTW. incorporate the elements of a best (D) Bottom ash transport water recycle water escaping from the system, and management practices plan as described back to the bottom ash system or FGD timely repair of such conditions. in (k)(3) of this section. scrubber. (B) If any low utilization boiler fails (C) Documentation of preventive and to timely recertify that the two year corrective maintenance performed. * * * * * (v) Evaluation of options and ■ 5. Amend § 423.16 by: average net generation of such a boiler ■ feasibility, accounting for the associated a. Revising paragraph (e)(1); is below 876,000 MWh per year as ■ b. Adding paragraph (e)(2); specified in 423.19(e), regardless of the costs, for eliminating or minimizing ■ c. Revising paragraph (g)(1); and reason, within two years from the date discharges of bottom ash transport ■ d. Adding paragraph (g)(2). such a recertification was required, the water, including: The additions and revisions to read as quantity of pollutants discharged in (A) Segregating bottom ash transport follows bottom ash transport water shall be water from other process water. governed by paragraphs (k)(1) and (B) Minimizing the introduction of § 423.16 Pretreatment standards for (k)(2)(i) of this section. stormwater by diverting (e.g., curbing, existing sources (PSES). (3) Where required in paragraph using covers) storm water to a * * * * * (k)(2)(iii) of this section, the discharger segregated collection system. (e)(1) FGD wastewater. Except as shall prepare, implement, review, and (C) Recycling bottom ash transport provided for in paragraph (e)(2) of this update a best management practices water back to the bottom ash transport section, for any electric generating unit plan for the recycle of bottom ash water system. with a total nameplate generating transport water, and must include: (D) Recycling bottom ash transport capacity of more than 50 megawatts, (i) Identification of the low utilization water for use in the FGD scrubber. that is not an oil-fired unit, and that the coal-fired generating units that (E) Optimizing existing equipment owner has not certified pursuant to contribute bottom ash to the bottom ash (e.g., pumps, pipes, tanks) and installing § 423.19(f) will be retired from service transport system. new equipment where practicable to by December 31, 2028, the quantity of (ii) A description of the existing achieve the maximum amount of pollutants in FGD wastewater shall not bottom ash handling system and a list recycle. exceed the quantity determined by of system components (e.g., remote (F) Utilizing ‘‘in-line’’ treatment of multiplying the flow of FGD wastewater mechanical drag system (rMDS), tanks, transport water (e.g., pH control, fines times the concentration listed in the impoundments, chemical addition). removal) where needed to facilitate table following this paragraph (e). Where multiple generating units share a recycle. Dischargers must meet the standards in bottom ash transport system, the plan (vi) Description of the bottom ash this paragraph by [DATE 3 YEARS shall specify which components are recycle system, including all AFTER DATE OF FINAL RULE] except associated with low utilization technologies, measures, and practices as provided for in paragraph (e)(2) of generating units. that will be used to minimize discharge. this section. These standards apply to (iii) A detailed water balance, based (vii) A schedule showing the the discharge of FGD wastewater on measurements, or estimates where sequence of implementing any changes generated on and after [DATE 3 YEARS measurements are not feasible, necessary to achieve the minimized AFTER DATE OF FINAL RULE].

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TABLE 1 TO PARAGRAPH (e)(1)

PSES Pollutant or pollutant property Average of daily values Maximum for any 1 day for 30 consecutive days shall not exceed

Arsenic, total (ug/L) ...... 18 9 Mercury, total (ng/L) ...... 85 31 Selenium, total (ug/L) ...... 76 31 Nitrate/nitrite as N (mg/L) ...... 4.6 3.2

(2)(i) For FGD wastewater discharges Dischargers must meet the standards in reason, within two years from the date from a low utilization boiler, the this paragraph by [DATE 3 YEARS such a recertification was required, the quantity of pollutants in FGD AFTER DATE OF FINAL RULE]. quantity of pollutants in FGD wastewater shall not exceed the (ii) If any low utilization boiler fails wastewater shall not exceed the quantity determined by multiplying the to timely recertify that the two year quantity determined by multiplying the flow of FGD wastewater times the average net generation of such a boiler flow of FGD wastewater times the concentration listed in the table is below 876,000 MWh per year as concentration listed in Table 1 to following this paragraph (e)(2). specified in § 423.19(e), regardless of the paragraph (e)(1). TABLE 1 TO PARAGRAPH (e)(2)(ii)

PSES Pollutant or pollutant property Average of daily values Maximum for any 1 day for 30 consecutive days shall not exceed

Arsenic, total (ug/L) ...... 11 8 Mercury, total (ng/L) ...... 788 356

* * * * * maintained bottom ash system is in light of best industry practice, and in (g)(1) Except for those discharges to authorized under the following no instance shall it exceed a 30-day which paragraph (g)(2) of this section conditions: rolling average of ten percent of the applies, or when the bottom ash (1) To maintain system water balance primary active wetted bottom ash transport water is used in the FGD when precipitation-related inflows system volume. Discharges shall be scrubber, for any electric generating unit within any 24-hour period resulting measured by computing daily with a total nameplate generating from a 25-year, 24-hour storm event, or discharges by totaling daily flow capacity of more than 50 megawatts, multiple consecutive events cannot be discharges. that is not an oil-fired unit, that is not managed by installed spares, (ii)(A) For bottom ash transport water a low utilization boiler, and that the redundancies, maintenance tanks, and generated by a low utilization boiler, the owner has not certified pursuant to other secondary bottom ash system quantity of pollutants discharged in § 423.19(f) will be retired from service equipment; or bottom ash transport water shall by December 31, 2028, there shall be no (2) To maintain water balance when incorporate the elements of a best discharge of pollutants in bottom ash regular inflows from wastestreams other management practices plan as described transport water. This standard applies to than bottom ash transport water exceed in § 423.13(k)(3). the discharge of bottom ash transport the ability of the bottom ash system to (B) If any low utilization boiler fails water generated on and after [DATE 3 accept recycled water and segregating to timely recertify that the two year YEARS AFTER DATE OF FINAL RULE]. these other wastestreams is feasible; or average net generation of such a boiler Except for those discharges to which (3) To conduct maintenance not is below 876,000 MWh per year as paragraph (g)(2) of this section applies, otherwise exempted from the definition specified in § 423.19(e), regardless of the whenever bottom ash transport water is of transport water in § 423.11(p) when reason, within two years from the date used in any other plant process or is water volumes cannot be managed by such a recertification was required, the sent to a treatment system at the plant installed spares, redundancies, quantity of pollutants discharged in (except when it is used in the FGD maintenance tanks, and other secondary bottom ash transport water shall be scrubber), the resulting effluent must bottom ash system equipment; or governed by paragraphs (g)(1) and comply with the discharge standard in (4) To maintain system water (g)(2)(i) of this section. this paragraph. When the bottom ash chemistry where current operations at ■ 6. Add § 423.18 to read as follows. transport water is used in the FGD the facility are unable to currently scrubber, the quantity of pollutants in manage pH, corrosive compounds, and § 423.18 Permit conditions. bottom ash transport water shall not fine particulates to below levels which All permits subject to this part shall exceed the quantity determined by impact system operations. include the following permit conditions: multiplying the flow of bottom ash (B) The total volume necessary to be (a) In case of an emergency order transport water times the concentration discharged to a POTW for the above issued by the Department of Energy listed in Table 1 to paragraph (e)(1) of activities shall be reduced or eliminated under Section 202(c) of the Federal this section. to the extent achievable using control Power Act or a Public Utility (2)(i)(A) The discharge of pollutants measures (including best management Commission reliability must run in bottom ash transport water from a practices) that are technologically agreement, a boiler shall be deemed to properly installed, operated, and available and economically achievable qualify as a low utilization boiler or

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boiler that will be retired from service to the control authority no later than submitted to the Energy Information by December 31, 2028 if such [DATE 3 YEARS AFTER DATE OF Administration, as well as any qualification would have been FINAL RULE] in the case of an indirect supplemental information and demonstrated absent such order or discharger, and an annual recertification calculations used to determine the two agreement. shall be made to the permitting year average annual net generation. (b) Any facility providing the required authority, or control authority in the Where station-wide energy consumption documentation pursuant to § 423.19(g) case of an indirect discharger, within 60 must otherwise be apportioned to may avail itself of the protections of this days of the anniversary of the original multiple boilers, the facility shall permit condition. plan. attribute such consumption to each ■ 7. Add § 423.19 to read as follows. (2) Signature and Certification. The boiler proportional to that boiler’s certification statement must be signed nameplate capacity unless the facility § 423.19 Reporting and recordkeeping and certified by a professional engineer. requirements. (3) Contents for Initial Certification. can demonstrate the energy (a) Discharges subject to this part An initial certification shall include the consumption is specific to a boiler. must comply with the following following: (f) Requirements for units that will be reporting requirements in addition to (A) A statement that the professional retired from service by December 31, the applicable requirements in 40 CFR engineer is a licensed professional 2028 pursuant to §§ 423.13(k)(2)(ii) and 403.12(b), (d), (e), and (g). engineer. 423.13(g)(1). (b) Signature and certification. Unless (B) A statement that the professional (1) Initial Certification Statement. For otherwise provided below, all engineer is familiar with the regulation sources seeking to apply the limitations certifications and recertifications requirements. required in this part must be signed and (C) A statement that the professional or standards for units that will be retired certified pursuant to 40 CFR 122.22 for engineer is familiar with the facility. from service by December 31, 2028, a direct dischargers or 40 CFR 403.12(l) (D) The approved best management one-time certification to the permitting for indirect dischargers. practices plan. authority must be submitted with the (c) Requirements for facilities (E) A statement that the best permit application, or where a permit discharging bottom ash transport water management practices plan is being has already been issued, by the as soon pursuant to § 423.13(k)(2)(i) or implemented. as possible date determined under § 423.16(g)(2)(i). (4) Additional Contents for Annual paragraph 423.11(t), or to the control (1) Initial Certification Statement. For Certification. In addition to the required authority by [promulgation date + 3 sources seeking to discharge bottom ash contents of the initial certification in years] in the case of an indirect transport water pursuant to paragraph (d)(3) of this section an discharger. § 423.13(k)(2)(i) or § 423.16(g)(2)(i), an annual certification shall include the (2) Contents. A certification shall initial certification shall be submitted to following: the permitting authority by the as soon (A) Any updates to the best include the estimated date that boiler as possible date determined under management practices plan. will be retired from service, a brief § 423.11(t), or the control authority by (B) An attachment of weekly flow statement as to the reason for [DATE 3 YEARS AFTER DATE OF measurements from the previous year. retirement, as well as a copy of the most FINAL RULE] in the case of an indirect (C) The average amount of recycled recent integrated resource plan, discharger. bottom ash transport water in gallons certification of boiler cessation under 40 (2) Signature and certification. The per day. CFR 257.103(b), or other legally binding certification statement must be signed (D) Copies of annual inspection submission supporting that the boiler and certified by a professional engineer. reports and a summary of preventative will be retired from service by December (3) Contents. An initial certification maintenance performed on the system. 31, 2028. (E) A statement that the plan and shall include the following: (g) Requirements for facilities seeking corresponding flow records are being (A) A statement that the professional the protections of § 423.18. engineer is a licensed professional maintained at the office of the plant. engineer. (e) Requirements for low utilization (1) Certification Statement. For (B) A statement that the professional boilers. (1) Initial and Annual sources seeking to apply the protections engineer is familiar with the regulation Certification Statement. For sources of the permit conditions in § 423.18, a requirements. seeking to apply the limitations or one-time certification shall be submitted (C) A statement that the professional standards for low utilization boilers, an to the permitting authority, or control engineer is familiar with the facility. initial certification shall be made to the authority in the case of an indirect (D) The primary active wetted bottom permitting authority with a permit discharger, no later than 30 days from ash system volume in § 423.11(aa). application, or to the control authority receipt of the order or agreement (E) All assumptions, information, and no later than [DATE 3 YEARS AFTER attached pursuant to paragraph (f)(2) of calculations used by the certifying DATE OF FINAL RULE] in the case of this section. professional engineer to determine the an indirect discharger, and an annual primary active wetted bottom ash recertification shall be made to the (2) Contents. A certification statement system volume. permitting authority, or control must demonstrate that a boiler would (d) Requirements for a bottom ash best authority in the case of an indirect have qualified for the subcategory at management practices plan. discharger, within 60 days of submitting issue absent the emergency order issued (1) Initial and Annual Certification annual net generation data to the Energy by the Department of Energy under Statement. For sources required to Information Administration. Section 202(c) of the Federal Power Act develop and implement a best (2) Contents. A certification or annual or Public Utility Commission reliability management practices plan pursuant to recertification shall be based on the must run agreement; and a copy of such § 423.13(k)(3), an initial certification information submitted to the Energy order or agreement shall be attached. shall be made to the permitting Information Administration and shall [FR Doc. 2019–24686 Filed 11–21–19; 8:45 am] authority with a permit application, or include copies of the underlying forms BILLING CODE 6560–50–P

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Part III

Department of Defense General Services Administration National Aeronautics and Space Administration

48 CFR Chapter 1 Federal Acquisition Regulations; Final Rules

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DEPARTMENT OF DEFENSE and National Aeronautics and Space DATES: For effective date see the Administration (NASA). separate document, which follows. GENERAL SERVICES ADMINISTRATION ACTION: Summary presentation of a final FOR FURTHER INFORMATION CONTACT: Ms. rule. Marilyn E. Chambers, Procurement NATIONAL AERONAUTICS AND Analyst, at 202–285–7380 or SPACE ADMINISTRATION SUMMARY: This document summarizes [email protected] for the Federal Acquisition Regulation clarification of content. For information 48 CFR Chapter 1 (FAR) rule agreed to by the Civilian pertaining to status or publication Agency Acquisition Council and the schedules, contact the Regulatory [Docket No. FAR–2019–0001, Sequence No. Defense Acquisition Regulations Secretariat Division at 202–501–4755. 7] Council (Councils) in this Federal Please cite FAC 2020–02, FAR Case Federal Acquisition Regulation; Acquisition Circular (FAC) 2020–02. A 2013–002. Federal Acquisition Circular 2020–02; companion document, the Small Entity Introduction Compliance Guide (SECG), follows this FAC. The FAC, including the SECG, is AGENCY: Department of Defense (DoD), available via the internet at http:// General Services Administration (GSA), www.regulations.gov.

RULE LISTED IN FAC 2020–02

Subject FAR Case Analyst

Reporting of Noncomforming Items to the Government-Industry Data Exchange Program ...... 2013–002 Chambers.

SUPPLEMENTARY INFORMATION: A level quality standards, critical items, or DEPARTMENT OF DEFENSE summary for the FAR rule follows. For electronic parts by or for DoD. the actual revisions and/or amendments GENERAL SERVICES William F. Clark, made by this FAR case, refer to the ADMINISTRATION specific subject set forth in the Director, Office of Government-wide document following this item summary. Acquisition Policy, Office of Acquisition NATIONAL AERONAUTICS AND Policy, Office of Government-wide Policy. FAC 2020–02 amends the FAR as SPACE ADMINISTRATION follows: Federal Acquisition Circular (FAC) 2020– 02 is issued under the authority of the 48 CFR Parts 1, 2, 7, 46, and 52 Reporting of Nonconforming Items to Secretary of Defense, the Administrator of [FAC 2020–02, FAR Case 2013–002; Docket the Government-Industry Data General Services, and the Administrator of No. FAR–2013–0002, Sequence No. 1] Exchange Program (FAR Case 2013– National Aeronautics and Space 002) Administration. RIN 9000–AM58 Unless otherwise specified, all Federal Federal Acquisition Regulation: This final rule amends the FAR to Acquisition Regulation (FAR) and other Reporting of Nonconforming Items to require contractors and subcontractors directive material contained in FAC 2020–02 the Government-Industry Data to report to the Government-Industry is effective November 22, 2019 except for Exchange Program Data Exchange Program (GIDEP) certain FAR Case 2013–002, which is effective counterfeit or suspect counterfeit parts December 23, 2019. AGENCY: Department of Defense (DoD), and certain major or critical Kim Herrington, General Services Administration (GSA), nonconformances. This change Acting Principal Director, Defense Pricing and National Aeronautics and Space implements sections 818(c)(4) and (c)(5) and Contracting, Department of Defense. Administration (NASA). of the National Defense Authorization Jeffrey A. Koses, ACTION: Final rule. Act for Fiscal Year 2012, which require Senior Procurement Executive/Deputy CAO, DoD contractors and subcontractors to SUMMARY: DoD, GSA, and NASA are Office of Acquisition Policy, U.S. General report counterfeit or suspect counterfeit issuing a final rule amending the Services Administration. electronic parts purchased by or for DoD Federal Acquisition Regulation (FAR) to to GIDEP. In addition, the FAR Council William G. Roets, II, require contractors and subcontractors extended coverage of the proposed rule Acting Assistant Administrator, Office of to report to the Government-Industry by policy to cover other Government Procurement, National Aeronautics and Data Exchange Program certain agencies, other types of parts, and other Space Administration. counterfeit or suspect counterfeit parts types of nonconformance. In response to [FR Doc. 2019–24963 Filed 11–21–19; 8:45 am] and certain major or critical public comments, this final rule has BILLING CODE 6820–EP–P nonconformances. more limited scope than the proposed DATES: Effective: December 23, 2019. rule, exempting contracts and FOR FURTHER INFORMATION CONTACT: Ms. subcontracts for commercial items and Marilyn E. Chambers, Procurement limiting the clause application to Analyst, at 202–285–7380, or by email acquisitions of items that require higher at [email protected], for clarification of content. For information pertaining to status or publication schedules, contact the Regulatory Secretariat Division at 202–501–4755.

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Please cite FAC 2020–02, FAR Case infrastructure where the Government rework, or lost time due to maintenance 2013–002. procures elements of the infrastructure, turnaround to remove and replace failed SUPPLEMENTARY INFORMATION: for example, Federal Aviation parts. This effect is magnified by the fact Administration air traffic control GIDEP permits contractors to learn from I. Background systems, Department of Agriculture food the experiences of others across DoD, GSA, and NASA published a safety equipment, all national defense industry. proposed rule at 79 FR 33164 on June programs, Department of Transportation This rule concentrates on complex 10, 2014, in the Federal Register, to monitoring of transportation systems, items with critical applications where implement sections 818(c)(4) and (c)(5) Department of Energy monitoring of the failure of the item could injure of the National Defense Authorization power generation and distribution personnel or jeopardize a vital agency Act (NDAA) for Fiscal Year (FY) 2012 networks, etc. mission. In accordance with the Office (Pub. L. 112–81, 10 U.S.C. 2302 Note), By reporting in GIDEP, contractors are of Federal Procurement Policy (OFPP) which required DoD contractors and able to share knowledge of counterfeits Policy Letter 91–3, all Government subcontractors to report counterfeit or and critical nonconformances which agencies use GIDEP as the central data suspect counterfeit electronic parts reduces the risk of counterfeit and other base for receiving and disseminating purchased by or for DoD to the nonconforming items entering the information about nonconforming Government-Industry Data Exchange supply chain and being used in high products. Contractor participation has Program (GIDEP). value, mission critical defense, space, or been largely voluntary. This rule The Presidential Memorandum on critical infrastructure systems where requires contractors to screen and report Combating Trafficking in Counterfeit system failure could threaten national major or critical nonconformances in and Pirated Goods, issued April 3, 2019, security through the loss of satellite- order to reduce the risk of counterfeit states that ‘‘[c]ounterfeit trafficking . . . based critical information, and other nonconforming items entering may threaten national security and communication and navigation systems, the supply chain and impacting the public safety through the introduction or other systems resulting in the loss of performance of mission critical items of counterfeit goods destined for the the ability to control connected systems where item failure could result in loss Department of Defense and other critical or secure information within those of high value items or loss of life. infrastructure supply chains.’’ systems. Counterfeits are not produced GIDEP is a cooperative activity Accordingly, the Federal Government to meet higher-level quality standards between government and industry must improve coordinated efforts to required in mission critical applications participants seeking to reduce and protect national security from the and are a significant risk in causing ultimately eliminate expenditures of dangers and negative effects of the failures to systems vital to an agency’s resources by sharing technical introduction of counterfeit goods. This mission. For weapons, space flight, information essential during research, rule furthers that aim by requiring aviation, and satellite systems, these design, development, production and contractors to screen for and report failures can result in the death, severe operational phases of the life cycle of critical nonconformances, including injuries, and millions of dollars in systems, facilities and equipment. Since counterfeits and suspect counterfeits, system damage or loss. For example, if GIDEP’s inception, participants have which may impede the performance of counterfeits are installed in a missile’s reported over $2.1 billion in cost mission critical systems, where high guidance system, such missile may not avoidance. That means without GIDEP, level quality standards are essential to function at all, may not proceed to its protect the integrity of systems intended target, or may strike a participants could have potentially requirements, and are necessary for completely unintended location realized additional expenses of over national defense or critical national resulting in catastrophic losses. Critical $2.1 billion. In many cases, these costs infrastructure. nonconforming and counterfeits items could have been passed on to the U.S. The U.S. Intellectual Property may cause failures in navigation or Government. In addition to reporting Enforcement Coordinator’s Annual steering control systems, planes and cost avoidance, participants also Intellectual Property Report to Congress, flight control. Counterfeits can create reported how the information helped dated February 2019, reiterated: ‘‘backdoors’’ into supposedly secure keep production lines running, ‘‘Counterfeiting is a significant programmable devices which could be preserved readiness or avoided challenge that can impair supply chains exploited to insert circuit functions to dangerous situations. This reporting by for both the public and private sectors. steal information and relay it to third GIDEP participants is for the purpose of In the context of the U.S. Government, parties or command or prevent the illustrating the value of sharing acquiring products or services from device from operating as designed. information when common items have sellers with inadequate integrity, Defense, space, and aviation systems in issues that could impact safety, security, resilience, and quality particular must meet rigorous reliability, readiness and ownership assurance controls create significant component specifications; failure of costs. risks, from a national security and even a single one can be catastrophic Proper utilization of GIDEP data can mission assurance perspective as well as causing serious problems and placing materially improve the total safety, from an economic standpoint (due to personnel and the public in harm’s way. quality and reliability of systems and the increased costs to American GIDEP is a widely available Federal components during the acquisition and taxpayers). Counterfeiting can have database. Timely GIDEP reporting and logistics phases of the life cycle and particularly significant consequences for screening allows all contractors to reduce costs in the development and the Department of Defense (DoD) supply promptly investigate and remove manufacture of complex systems and chain, by negatively affecting missions, suspect parts from the supply chain and mission critical equipment. the reliability of weapon systems, the to ensure that suspect parts are not Examples of the value of this safety of the warfighter, and the installed in the equipment which would reporting include discovery of integrity of sensitive data and secure result in experiencing high failure rates. counterfeiting operations that supplied networks.’’ (Appendix, p.51.) This rule With this knowledge, contractors can parts to many defense and other is likely to have a positive impact on also avoid costs resulting from Government contractors and removal national security and critical production stoppage, high failure rates, from the supply chain of—

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• Faulty rivets that could have caused II. Discussion and Analysis commercial or financial information military aircraft failure in flight; protected under the Trade Secrets Act, • The Civilian Agency Acquisition Counterfeit electronic parts that Council and the Defense Acquisition or any other information prohibited would have caused a $100M failure of Regulations Council (the Councils) from disclosure by statute or regulation. 4. Timeframe for notification to the a satellite in orbit; reviewed the comments in the • contracting officer. In paragraph (b)(2) of Counterfeit bolts securing overhead development of the final rule. A FAR 52.246–26, the timeframe for gantry cranes in a Government discussion of the comments and the contractor notification to the contracting industrial facility; changes made to the rule as a result of • officer of a counterfeit or suspect Counterfeit raw stock materials those comments are provided as counterfeit item is revised from 30 to 60 (aluminum, steel, and titanium) follows. supplied over a decade and used in days, for consistency with the statute. structural applications across defense A. Summary of Significant Changes B. Analysis of Public Comments and civil systems and infrastructure; From the Proposed Rule 1. Scope/Applicability • Counterfeit refrigerant with 1. Applicability. The final rule is explosive properties that led to significantly descoped. a. Limit Scope to Statutory explosions and fire on several • It does not apply to contracts and Requirement, or at Least Exclude commercial ships; subcontracts for the acquisition of Nonconformances • Uncertified electronic connectors commercial items, including Comment: Sections 818(c)(4) and that shut down large parts of the defense commercially available off-the-shelf (c)(5) of the National Defense and space industrial base production for (COTS) items. Authorization Act (NDAA) for Fiscal 6 months until solutions to certification • Section 818(c)(4) of the NDAA for Year (FY) 2012 apply to all defense could be devised. FY 2012 will not apply to contracts and contractors and subcontractors who What all these examples have in subcontracts at or below the simplified become aware, or have reason to common is that the items in question acquisition threshold (SAT). believe, that any item purchased by or are largely commercially available • Rather than applying to all for DoD may contain counterfeit or common piece parts or small assemblies supplies, in addition to the suspect counterfeit electronic parts. The that are used throughout the industrial requirements for section 818(c)(4) with proposed rule applied the reporting base and in most defense, space, and regard to electronic parts for DoD, the requirements Governmentwide to all critical infrastructure programs and can rule focuses on supplies that require supplies (not just electronic parts) and easily enter any supply stream. higher-level quality standards or are addressed all major or critical In the proposed rule, the FAR Council determined to be critical items nonconformances as well as counterfeit extended coverage outside of DoD to (definition added). or suspect counterfeit items. other Government agencies, other types • The rule also exempts medical • Multiple respondents of parts, and other types of devices that are subject to the Food and recommended limiting scope of the nonconformance. The FAR Council Drug Administration reporting mandatory reporting rule to the proposed this because the problem of requirements at 21 CFR 803; foreign statutory requirement: Counterfeit counterfeit and nonconforming parts corporations or partnerships that do not electronic parts and suspect counterfeit extends far beyond electronic parts and have an office, place of business, or electronic parts from defense suppliers. can impact the mission of all paying agent in the United States; Some respondents thought the rule Government agencies, such as NASA counterfeit, suspect counterfeit, or should only apply to contractors/ and the Department of Energy, and nonconforming items that are the subcontractors covered by the cost mission critical systems such as subject of an on-going criminal accounting standards (CAS). One avionics, satellites, space flight systems, investigation, unless the report is respondent recommended that FAR and nuclear facilities. The final rule still approved by the cognizant law- Case 2013–002 be withdrawn and a applies across all agencies and to parts enforcement agency; and DFARS case be proposed instead. other than electronics, but there was nonconforming items (other than Another respondent stated that some reassessment of costs and benefits, counterfeit or suspect counterfeit items) significant research has identified the so that rather than applying to all for which it can be confirmed that the problems and risks of counterfeit supplies, in addition to the organization where the defect was electronic part infiltration into the requirements for section 818(c)(4) with generated (e.g., original component defense supply chain, but is concerned regard to electronic parts for DoD, the manufacturer, original equipment whether the benefits of such broad rule focuses on supplies that require manufacturer, aftermarket manufacturer, expansion of the scope of the rule justify higher-level quality standards or are or distributor that alters item properties the additional burdens and costs it will determined to be critical items or configuration) has not released the impose, not just on industry, but on the (definition added). This and other de- item to more than one customer. Government as well. scoping efforts (see preamble sections • Flowdown to subcontracts is • Several respondents questioned the II.A. and II.B.1.) reduced the estimated similarly descoped. The contractor is statutory authority for extending responses from 474,000 to 5,166 prohibited from altering the clause other requirements to contractors for items responses, and reduces the estimated than to identify the appropriate parties. that are not counterfeit. These burden hours from 1,422,000 hours to 2. Definitions. In FAR 46.101 and the respondents indicated that GIDEP 30,986 hours, so that information is FAR clause 52.246–26, Reporting reporting should be strictly limited to obtained where it is most critically Nonconforming Items, the definition of counterfeit items. These respondents needed. ‘‘quality escape’’ is deleted. A definition stated that counterfeiting and A public meeting was held June 16, of ‘‘critical item’’ is added. nonconformance are two distinct 2014. Public comments were received 3. Prohibited disclosures. The FAR problems that require different from 14 respondents (including clause 52.246–26 states explicitly the solutions. Another respondent indicated respondents who provided written GIDEP policy that GIDEP reports shall that expanding GIDEP reporting to statements at the public meeting). not include trade secrets or confidential include quality issues could also reduce

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the overall effectiveness of the GIDEP • Services, if the contractor will reporting requirement clause to all system for combating counterfeit-part furnish, as part of the service, any items subcontractors and suppliers to all tiers proliferation and recommended that meet the above-specified criteria. within the supply chain. One ‘‘deleting the requirement for contractor The clause will not be required in respondent suggested that even the reporting of nonconformances into contracts for the acquisition of process of communicating its provisions GIDEP and, instead, continuing the commercial items (see paragraph to those required to comply will be process of deferring to the contracting II.B.1.b.) or the acquisition of medical significant. Another respondent stated officer to make the determination devices that are subject to the Food and that the rule should not flow down to regarding which nonconformances Drug Administration reporting providers of COTS items. should be reported to GIDEP’’. requirements at 21 CFR 803 (see Response: The flowdown in the final Response: As stated in the preamble paragraph II.B.5.e.). rule has been significantly reduced. to the proposed rule, the problem of Even if the clause is included in the Consistent with the criteria for counterfeit and other nonconforming contract, the contractor is not required application of the clause at the prime parts extends far beyond electronic parts to submit a report to GIDEP (see FAR level, the clause only flows down to and can impact the mission of all 52.246–26(c)) if— subcontracts for— • Government agencies. The Councils The Contractor is a foreign • Items subject to higher-level quality note that, despite an erroneous corporation or partnership that does not standards in accordance with the clause statement in the preamble to the have an office, place of business, or at FAR 52.246–11, Higher-Level proposed rule, the statutory requirement fiscal paying agent in the United States Contract Quality Requirement; for reporting to GIDEP is not limited to (see paragraph II.B.3.b.); • • Items that the contractor determines CAS-covered contractors and The contractor is aware that the to be critical items for which use of the subcontractors but applies to all defense counterfeit suspect counterfeit or clause is appropriate; nonconforming item is the subject of an contractors and subcontractors. By • Electronic parts or end items, on-going criminal investigation, unless requiring contractors to report to GIDEP components, parts, or materials counterfeit or suspect counterfeit items, the report is approved by the cognizant containing electronic parts if the as well as common items that have a law-enforcement agency (see paragraph subcontract is valued at more than the major or critical nonconformance, the II.B.7.b.); or SAT, and if this is an acquisition by, or rule will reduce the risk of counterfeit • For nonconforming items (other for, the Department of Defense, as items or items with major or critical than counterfeit or suspect counterfeit provided in paragraph (c)(4) of section nonconformance from entering the items), it can be confirmed that the 818 of the NDAA for FY 2012 (Pub. L. supply chain. Reducing the risk of organization where the defect was 112–81); or potential damage to equipment, mission generated (e.g., original component • failure, and even injury or death of manufacturer, original equipment The acquisition of services, if the personnel is a matter of national manufacturer, aftermarket manufacturer, subcontractor will furnish, as part of the security, particularly for DoD and or distributor that alters item properties service, any items that meet the above- NASA, improving operational readiness or configuration) has not released the specified criteria. of personnel and systems. It supports item to more than one customer. The clause does not flow down to the national security pillars of subcontracts for— readiness, safety and reliability of b. Exclude Commercial Items, Including (i) Commercial items; or systems and personnel. The FAR Commercially Available Off-the-Shelf (ii) Medical devices that are subject to Council has the authority under 40 (COTS) Items the Food and Drug Administration U.S.C. 101 and 121, and 41 U.S.C. 1303, Comment: Multiple respondents reporting requirements at 21 CFR 803. to prescribe Governmentwide commented that the proposed rule is d. Exclude Acquisitions Below the procurement policies in the FAR. overly burdensome for commercial item Micro-Purchase Threshold However, in response to public providers, both prime contractors and comments, after weighing the risks of subcontractors. One respondent stated Comment: One respondent suggested failure against the cost of compliance that application of the regulation to that the way the proposed rule was with this rule, the final rule has commercial-item contractors is written, it is overly broad in its significantly descoped the applicability inconsistent with the Federal applicability. To mitigate this, the (see FAR 46.317) of FAR clause 52.246– Acquisition Streamlining Act of 1994 respondent suggested making the 26, so that it applies only to acquisition (FASA) and FAR part 12, because the reporting requirements inapplicable to of— regulation is not required by statute or acquisitions for which the value of the • Items that are subject to higher-level Executive order and is not consistent acquired supplies is at or below the quality standards in accordance with with customary commercial practice. micro-purchase threshold. the clause at FAR 52.246–11, Higher- One respondent commented that the Response: The proposed rule was not Level Contract Quality Requirement; proposed rule appears intended to build applicable to supplies at or below the • Items that the contracting officer, in on the contractor inspection systems micro-purchase level. This continues to consultation with the requiring activity, already required by the FAR, but that be the case in the final rule. determines to be critical items (see FAR this assumption may not be reasonable e. Exclude ‘‘Consumable’’ Supplies 46.101) for which use of the clause is for commercial item contractors. appropriate; Response: Based on public comments Comment: One respondent was • Electronic parts or end items, the clause is no longer prescribed for concerned that the proposed clause at components, parts, or assemblies use in contracts for the acquisition of FAR 52.246–26, Reporting containing electronic parts, if this is an commercial items using FAR part 12 Nonconforming Items, will be required acquisition by, or for, the Department of procedures. in all contracts for supplies and Defense, as provided in paragraph (c)(4) services. Therefore, the respondent of section 818 of the NDAA for FY 2012 c. Extent of Flowdown recommended adding the word ‘‘non- (Pub. L. 112–81) that exceeds the SAT; Comment: Several respondents consumable’’ to the texts of FAR or opposed the mandatory flowdown of the 7.105(b)(19), 12.208, 46.102(f), 46.202–

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1, and 46.317, hence reducing the scope nonconformances as requested by the comments at a public meeting held on and application of the rule. respondents, but also includes major June 16, 2014 (after the submission of Response: In response to the nonconformances because it is difficult this comment), the subsequent final widespread concern that the rule was to draw the distinction between a major DFARS rule published on August 2, too broad and burdensome, the nonconformance and a critical 2016 (81 FR 50635), under DFARS Case application and scope of the final rule nonconformance. Whether a 2014–D005 entitled ‘‘Detection and have been significantly reduced so that nonconformance is major or critical Avoidance of Electronic Parts—Further it is not applicable to all supplies and depends on the application. What Implementation,’’ removed the services. However, the requirements of constitutes only a major statement about ‘‘embedded software or section 818(c)(4) of the NDAA for FY nonconformance for one application firmware’’ from the definition of 2012 require application to all may constitute a critical ‘‘electronic part.’’ The FAR rule does electronic parts or end items, nonconformance for another not address embedded software or components or materials containing application. Therefore, it is important to firmware in the definition of counterfeit electronic parts in acquisitions by or for also share the data on major or suspect counterfeit items. DoD, (except for acquisitions of nonconformances in GIDEP. Some of the commercial items or at or below the respondent’s concerns may be alleviated 2. Definitions simplified acquisition threshold). by the overall reduced scope of the rule, a. ‘‘Nonconformance’’ Electronic parts are often consumable e.g., excluding commercial items, items. Therefore, ‘‘consumables’’ cannot including commercially available off- Comment: Two respondents requested be removed as a group from the final the-shelf (COTS) items, and reducing more clarity as to what constitutes rule’s reporting requirements. Class IX flowdown to subcontracts (also see nonconformance, especially in regard to consumables encompass many electrical paragraphs II.B.2.a. thru c.) electronic parts. One respondent opined and electronic parts, components, and that the rule must identify what types of h. Report When Counterfeit Items Are subassemblies used on today’s military ‘‘nonconformances’’ are of such Offered for Sale by Nonauthorized systems. significant concern as to warrant Distributors imposition of this reporting obligation f. Exclude ‘‘Suspect Counterfeit’’ Items Comment: One respondent proposed on every supplier at any tier in the Comment: One respondent requested that the GIDEP program be expanded to Government supply chain. Without elimination of the requirement to report allow manufacturers the ability to report sufficient clarity regarding what ‘‘suspect counterfeit’’ items from the instances in which companies become constitutes a ‘‘major nonconformance,’’ rule if COTS items were not excluded aware that potentially counterfeit items there is risk that suppliers will err on from the rule. are offered for sale by nonauthorized the side of over reporting. Response: The Councils have distributors. Response: The respondent’s concern excluded COTs items from the rule, but Response: The final rule has not been with regard to imposing the reporting retained the requirement to report changed and the GIDEP program has not obligation on every supplier at any tier ‘‘suspect counterfeit’’ items within the been expanded to allow manufacturers is no longer valid because the rule no scope and applicability of this rule. At the ability to report instances in which longer applies to all supplies. The the time of the initial report to GIDEP, they become aware that potentially clause prescription has been revised in most items are still in the category of counterfeit items are offered for sale by the final rule so that the clause will not suspect counterfeit items and the fact nonauthorized distributors. The fact that be included in a contract except as that an item is suspected of being a part is provided by an unauthorized provided in the response in paragraph counterfeit is useful information for the distributor may indicate that a part is II.B.1.a. Government and industry to have ‘‘potentially’’ counterfeit, but credible because suspect counterfeits have the evidence (including but not limited to With regard to the meaning of the potential to impact safety, performance, visual inspection and testing) is terms ‘‘critical nonconformance’’ and and reliability and as such pose a risk. required to determine that a part is ‘‘major nonconformance,’’ these terms ‘‘suspect counterfeit.’’ are not new to this rule, but have been g. Exclude ‘‘Major Nonconformance’’ used in the FAR for many years and are Comment: One respondent indicated i. Embedded Products, Such as Binary commonly understood in the quality concern that the definition of ‘‘major Code or Downloaded Apps assurance field. FAR 46.101, defines a nonconformance’’ includes language Comment: One respondent was ‘‘critical nonconformance’’ as a that could be read to reach run-of-the- concerned that DoD rules for counterfeit nonconformance that is likely to result mill warranty issues. The respondent and suspect counterfeit electronic parts in hazardous or unsafe conditions for questioned what types of now include ‘‘embedded software or individuals using, maintaining, or nonconformances are of such significant firmware’’ within their ambit. The depending upon the supplies or concern as to warrant imposition of the respondent therefore requested services; or is likely to prevent reporting requirement on every supplier clarification of the applicability of performance of a vital agency mission. at any tier in the supply chain. The reporting on binary code or downloaded It defines a ‘‘major nonconformance’’ to respondent proposed that the reporting apps that are stored in a contractor’s mean a nonconformance, other than obligation be limited to critical data system. This respondent suggested critical, that is likely to result in failure nonconformances. Even if this that the ability to discover flaws in of the supplies or services, or to limitation is adopted, the respondent is embedded ‘‘products’’ was not part of materially reduce the usability of the still concerned that a lower-tier supplier section 818 and its inclusion in the supplies or services for their intended would not have sufficient information detection and avoidance systems rules purpose. As with other items, a about the intended use of a part to be will cause gaps in the reporting process. nonconforming electronic part is one able to determine whether a Response: The concern of the which does not meet the requirements nonconformance is ‘‘critical.’’ respondent with regard to applicability for its intended use. Quality standards Response: The application of the final to embedded software or firmware is no for electronic parts are widely rule is not limited to critical longer a problem because in response to understood in the industry. No further

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explanation of the terms has been added b. ‘‘Common Item’’ e. ‘‘Becomes Aware’’ to the final rule. Comment: Several respondents Comment: One respondent noted that Comment: According to one opined that the definition of ‘‘common there is no definition of the term respondent, the final DFARS rule item’’ is overbroad, susceptible to many ‘‘becomes aware,’’ so a standard needs published on May 6, 2014, defines a interpretations, and needs further to be established that recognizes that ‘‘counterfeit electronic part’’ as a clarification. One respondent noted the there are many touch points in a supply knowingly misrepresented part and current definition stated that it is chain where a counterfeit or suspect defines a ‘‘suspect counterfeit electronic difficult to imagine any item (other than counterfeit part could potentially be part’’ as an item that a (presumably) a one-of-a-kind part) that would not be discovered and thus potentially many higher-tier supplier had credible a ‘‘common item.’’ points where the reporting requirement evidence to believe was knowingly might legitimately surface. misrepresented by a lower-tier supplier Response: FAR 46.203(c)(1) currently Response: The Councils have revised or the counterfeit maker. The notes that a ‘‘common item’’ has paragraph (b)(2) of the clause to specify respondent believed that same standard, multiple applications whereas, in that written notification is required i.e., an intent to deceive, should be contrast, a peculiar item has only one within 60 days of ‘‘becoming aware or applied to reporting a nonconforming application. In the proposed rule, the having reason to suspect through item because the qualifiers to the term was defined in the clause at inspection, testing, record review, or definitions add no substantive 52.246–26 to make it more prominent notification from another source (e.g., information to allow a supplier to adopt and easier to find, with added examples. seller, customer, third party)’’ that an a useful model to identify when a In the final rule, the Councils have item is counterfeit or suspect nonconforming part must be reported. retained the definition in the clause, but counterfeit. A similar change was made removed the examples from the Response: The FAR definitions in the in paragraph (b)(4), with regard to definition of ‘‘common item’’ as they notification to GIDEP. final rule were not changed in response were not necessary and may have to this comment because the intent to caused confusion. 3. Government-Industry Data Exchange deceive only applies to counterfeit Program (GIDEP) parts. The FAR proposed rule c. ‘‘Quality Escape’’ definitions of ‘‘counterfeit item’’ and a. Access for Contractors to ‘‘suspect counterfeit item’’ are similar to Comment: Two respondents stated Government-Only Reports the DFARS definitions of ‘‘counterfeit that the term ‘‘quality escape’’ was Comments: Two respondents electronic part’’ and ‘‘suspect broad and confusing, did not serve to expressed concern regarding the counterfeit electronic part.’’ The clarify what would rise to the level of Government’s submission of GIDEP definition of ‘‘counterfeit item,’’ where being a reportable event, and may result reports that are shared exclusively with misrepresentation is an element, is in duplicative reporting. other Government agencies and not with distinct from the definitions of an item Response: Based on the comments industry. They are requesting that these with a critical or major received, the Councils have removed the reports be shared with industry to nonconformance, which do not address term ‘‘quality escape’’ from the rule. improve industry’s ability to avoid and misrepresentation. The nonconformance detect counterfeits. definitions purposely do not include an d. ‘‘Substance of the Clause’’ Response: This comment did not ‘‘intent to deceive’’ and are based solely Comment: One respondent contended result in a change to the final rule, on whether there is a major or critical that the indefinite meaning of the because information considered nonconformance. It does not matter phrase ‘‘substance of this clause’’ sensitive by DoD concerning what the contractor’s intent was, but threatens to introduce enormous nonconforming or suspect counterfeit only what the quality of the item is. complexity into already difficult items may need to be temporarily withheld from the broader GIDEP Comment: One respondent stated that negotiations between higher-tier and industry membership and published in the criticality of nonconformance is lower-tier contractors regarding the GIDEP with the distribution limited often application-specific and industry scope of reporting obligations that such only to U.S. Government activities. has no way to determine with certainty lower-tier subcontractors are required to However, to minimize the impact of if another contractor is using a part in assume. Higher-tier contractors could restricting access to this information, a manner that might cause a major or justifiably insist on imposing quality- DoD activities responsible for these critical nonconformance. The control and reporting requirements that reports are expected to release respondent believes the rule mandates go well beyond those specified in the information when deemed appropriate. that Government contractors understand proposed clause to ensure that they the design, relevance, and impact of fulfill their own obligations under the b. Access for Foreign Contractors nonconformance(s) on all other systems clause. Comments: Several respondents and Government contracts. Response: The Councils removed the expressed concern regarding the current Response: The contractor is not phrase ‘‘substance of the clause’’ and limits of GIDEP membership and the required to determine how a part might added language at paragraph (g)(3) of crucial need for their foreign suppliers be used in another application by the clause to state that the contractor to have access to GIDEP data. another contractor. The rule creates a shall not alter the clause other than to One respondent expressed concern contract clause, which will be included identify the appropriate parties. In that by not including foreign suppliers in appropriate contracts requiring addition, the Councils revised the in GIDEP that this rule would create a contractors to report under specific flowdown language to add specificity on barrier to trade since foreign suppliers conditions where the item is being used how the clause requirements are to be could not comply with the GIDEP in a specific application being flowed down to applicable subcontracts related requirements. purchased under the contract. No and listed circumstances, such as for Response: The Councils have change has been made in the final rule commercial items, where the clause determined that the inclusion of foreign as a result of this comment. would not flow down. contractors reporting into GIDEP would

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be beyond the manageable scope of this part number, and supplier. GIDEP also to the final rule as a result of this rule. Therefore, the final rule states that provides a service for its members comment. foreign contractors and subcontractors called Batch Match. A GIDEP member ii. Inaccurate or False Reports are not required to submit or screen can provide a list of parts, which GIDEP GIDEP reports. As a result, the will use to automatically search the Comments: Several respondents applicability of the rule has been further database for an exact match to any stated the need to ensure that any reduced. reference that meets the provided inaccurate or improper information is However, it is possible for a foreign criteria. If an applicable document is corrected or removed from the GIDEP contractor or subcontractor to work found, the member is provided with a reports. through a U.S. contractor that is a list of document references. This Response: The mechanics of how member of GIDEP and can act as a matching can be performed one time or GIDEP corrects or removes inaccurate liaison between the foreign contractor on an ongoing daily basis. reports is outside the scope of this rule and GIDEP. and no change to the rule has been e. Reporting made. Once a report is submitted to c. Capacity i. Guidance To Limit Duplicative GIDEP and entered into the database so Comments: One respondent Reports, i.e., Who in the Supply Chain that it is visible to the GIDEP questioned whether GIDEP is Reports community it becomes a permanent sufficiently resourced to meet the record in the GIDEP information system. demands of the increased participation Comments: Several respondents Once the record is visible to the that this rule would require. expressed concern that the proposed community, users begin to make Response: In anticipation of increased rule as written would require multiple decisions and take action based on the participation as a result of this rule, parties in the same supply chain to report’s content. In order to facilitate its GIDEP has done an internal assessment create duplicate reports of the same use, the report becomes a historical of how it will handle this increase. For counterfeit, suspect counterfeit or record that can be referenced for as long the near term, GIDEP will redirect nonconforming part discovery. and as frequently as needed. If an error current in-house resources and will One respondent recommended that or an inaccuracy is discovered the reprioritize current workload to the reporting obligation be imposed originator of the document can correct accommodate the estimated demand. upon only the organization that it through the use of an amendment For the long term, GIDEP is modernizing delivered the nonconforming item, not record. The amendment is displayed its policies, procedures, and information the entity or entities that received the with the original record and is made technology to increase capacity to meet nonconforming item. Another part of the document’s history. This this and future needs. In addition the respondent recommended that the first way, the most current and accurate rule has been descoped to reduce point in time in the supply chain where information is made available and reporting requirements. ‘‘actual knowledge’’ can be established preserved for the GIDEP community’s may be the proper point for disclosure use. d. Search Capability And Screening and reporting to GIDEP. Comments: One respondent expressed Response: The organization that iii. Nonconformance Reports concern with the GIDEP search becomes aware or has reason to suspect, Comments: Two respondents capability to identify all suspect such as through inspection, testing, expressed ‘‘uncertainty about when the counterfeit reports in the GIDEP record review, or notification from 60-day clock starts running’’ for database based on a specific identifier. another source (e.g., seller, customer, submitting GIDEP reports. The Request was made for GIDEP to provide third party), that an item purchased by respondents questioned whether a specific data field to be included in all the contractor for delivery to, or for, the nonconforming items are to be reported suspect counterfeit reports that would Government is counterfeit or suspect immediately, or only after failure serve as a unique identifier to facilitate counterfeit, or that a common item has analysis is performed by the the search process. a major or critical nonconformance, is manufacturer. Another respondent One respondent opined that responsible for ensuring a GIDEP report recommended that the ‘‘Government reviewing, or screening, of GIDEP is prepared and submitted. Duplicative maintain current GIDEP reporting reports for suspect counterfeit electronic nonconformance or counterfeit reports requirements for key information to parts by contractors and Government is in GIDEP are defined as events that have include in nonconformance reports.’’ often geared ‘‘not to find’’ affected parts, the same part number, manufacturer, or Response: The final rule has modified stating if only the exact part number and supplier, the same lot or date code, and the proposed rule to state that the lot/date code is checked for impact, same technical facts. To save resources contractor shall submit a report to there is little chance of detecting all in the dispositioning of duplicate GIDEP within 60 days of ‘‘becoming counterfeit parts. The respondent reports any event deemed to be a aware or having reason to suspect, such suggested the rule be revised to instruct duplicate of a previously reported as through inspection, testing, record contractors to screen for similar parts incident will be referenced in the review, or notification from another purchased or installed from the named ‘‘Comment’’ area of the GIDEP report. source (e.g., seller, customer, third supplier. Events involving the same part number party) that an item purchased by the Response: The search capability of and manufacturer that had previously contractor for delivery to, or for, the GIDEP is outside the scope of this rule been reported to GIDEP may be Government is ‘‘counterfeit or suspect and no change to the rule has been documented with a new GIDEP report counterfeit item’’ or ‘‘a common item made. It should be noted that GIDEP having a reference to that earlier report that has a major or critical search capability, although dated, is so that GIDEP users may reevaluate the nonconformance’’. The 60-day period very powerful and accesses a fully disposition previously taken. This type begins when the contractor first indexed database. GIDEP members are of documentation also provides becomes aware or has reason to suspect able to perform searches based on opportunities for Federal agencies to that an item is a counterfeit or suspect simple keywords, phrases, or on specific better understand issues within their counterfeit item or has a major or discrete fields such as manufacturer, supply chains. No changes were made critical nonconformance.

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iv. Reports to Contracting Officer Versus vi. Instructions, Training, and database also allows for the capture of Reports to GIDEP Assistance individual GIDEP member comments in the comment field associated with each Comments: Several respondents Comment: One respondent requested report. expressed concern about the creation of clarification as to how GIDEP reporting dual and duplicate reporting for counterfeit and suspect counterfeit 4. Potential Adverse Impact electronic parts will work. Several requirements, i.e., reporting counterfeit a. Increased Costs May Outweigh respondents expressed concern that or suspect counterfeit parts to the Benefits contracting officer as well as to GIDEP. many contractors do not currently use One respondent recommended that the the GIDEP database and will not be Comment: Several respondents were rule only address GIDEP reporting. One familiar with how to report to GIDEP. concerned that the expansion of the respondent stated that the rule gives no Response: The operation of GIDEP is statutorily mandated reporting and guidance on what information is to be outside the scope of this rule and no review requirements creates an provided to the contracting officer. The change to the rule has been made. unnecessary burden on industry that respondent asked whether a copy of the However, it should be noted, to better will result in increased costs to the GIDEP form would suffice. Another understand how GIDEP reporting works Government with benefits unlikely to respondent requested further and become familiar with how to report outweigh those increased costs. One clarification on the rationale for the dual to GIDEP, support is provided in a respondent stated that the added reporting with regard to counterfeit or variety of ways to assist users. compliance burdens will likely make suspect counterfeit parts. Instructions: To assist GIDEP users in future contracting opportunities cost- Response: In the proposed rule, submitting suspect counterfeit reports, prohibitive for businesses of all sizes. paragraph (b)(2) of the clause at FAR Chapter 7 of the GIDEP Operations Several respondents were concerned 52.246–26 required the contractor to Manual ‘‘Failure Experience Data’’ that the significant burden of the report counterfeit or suspect counterfeit provides detailed instructions on how to proposed rule may dissuade new items to the contracting officer. This complete a suspect counterfeit report. companies (both prime and requirement has been retained in the Appendix E ‘‘Instruction for Reporting subcontractors) from entering the public final rule because section 818(c)(4) Suspect Counterfeit Parts’’ provides sector market or cause companies to requires contractors and subcontractors detailed instructions on completing remove themselves from the Federal to report counterfeit or suspect each field of the GIDEP Forms 97–1 and market place. Particularly commercial counterfeit electronic parts to 97–2. Chapter 7 is available for and COTS suppliers at the lower-tier ‘‘appropriate Government authorities download from the GIDEP public may choose to exit the market. and the Government-Industry Data website. Response: The final rule has been Exchange Program.’’ The contracting Training: significantly descoped, including • officer needs to be aware of issues that Various GIDEP instructional removal of applicability of FAR 52.246– arise on the contract. With regard to modules are provided as online web- 26 to commercial prime contracts and content of the report, a copy of the based training. exclusion of flowdown to subcontracts • GIDEP report would suffice. Training clinics are held where for commercial items. In addition, the GIDEP members can attend to get rule no longer applies to all supplies. v. Automatic Bulletins personal hands-on training by GIDEP (See response in paragraph II.B.1.a.). Operations Center personnel. Furthermore, the information Comments: One respondent • recommended that ‘‘GIDEP should be Quarterly classroom training is held collected during normal quality at the GIDEP Operations Center. assurance inspection, testing, record configured to automatically issue • bulletins to industry when reports are Training is also available remotely review, or notification from another input into the system in order to through web-conferencing. source (e.g., seller, customer, third provide the maximum opportunity for Help Desk: For the day-to-day issues party) is the information that is needed contractors to reduce the real-time risk and questions that may come up, the for a GIDEP report. Therefore, no of counterfeit, suspect counterfeit or GIDEP Operations Center has a Help changes are required to existing quality- nonconforming items entering the Desk. assurance systems. In fact, the information required is a subset of that supply chain.’’ f. Contractor Responses to Reports collected for the quality assurance Response: This is outside the scope of Comments: One respondent expressed contract compliance efforts and so only this rule and no change to the rule has the need for industry to be able to excerpts from the Quality Assurance been made. However, GIDEP provides a provide feedback to GIDEP Reports. system report are needed in the GIDEP number of ways to inform industry of Response: The operation of GIDEP is report. The benefits of sharing this recently published reports: outside the scope of this rule and no • information will be the reduction of A Batch Match service allows users change to the rule has been made. risks presented by counterfeit and to load their parts into GIDEP and to be However, it is the standard GIDEP nonconforming items in the supply informed via email whenever new process for suppliers and/or chain. In turn, this will protect mission published reports may impact their manufacturers named in GIDEP reports critical items and avoid failures parts. to be given 15 working days to provide impacting national security. • Weekly report summaries and part their response. Their response is then numbers are pushed out to industry via included in the release of the GIDEP b. Expanded Acquisition Planning email links. report. If anyone should take issue with Requirements • A daily XML feed of data tailored a report or believe they have additional Comment: One respondent was to meet industry’s specific data information regarding a given report, concerned by the expanded acquisition requirements is also available. they are free to discuss their information planning requirements proposed at FAR GIDEP training emphasizes the with the original submitter who, in turn, 7.105(b)(19). According to the capabilities of the various notifications can amend their submitted report if they respondent, there are multiple quality systems available to industry. believe it is warranted. The GIDEP standards in various sectors of the

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marketplace and, in still others, there contractors from reporting. Several other the opportunity to provide their are no standards at all. If this rule were respondents were concerned that, perspective on the issues presented in to apply only to major systems, it might absent safe harbor provisions for the report. Often, the information be possible to identify the standards in authorized supply chains, the presented includes how the part the various industry sectors involved, Government may find its access to manufacturer is being improved to but this would require a number of authorized sellers limited. resolve the concerns or how the levels of expertise that individual Response: With regard to concern that supplier who provided the suspect acquisition shops may not possess. The contractors or subcontractors will be counterfeit part is improving their respondents foresee that the ‘‘erring on the side of reporting to quality assurance processes or Government will face challenges in GIDEP’’ because of protection against procurement practices. Most GIDEP implementation. civil liability, the contractor or reports provide an opportunity for a Response: The final rule has amended subcontractor is only exempted from positive perception of the entity. There the proposed text at FAR 7.105(b)(19), civil liability provided that the were no changes from the proposed rule since the rule no longer applies to all contractor or subcontractor ‘‘made a as a result of this comment. supplies or service contracts that reasonable effort to determine that the include supplies. The final rule requires report was factual.’’ 5. Conflicts or Redundancies that the acquisition plan address Section 818(c)(5) of the NDAA for FY a. Mandatory Disclosure Requirements whether high-level quality standards are 2012 is limited by its language to at FAR 52.203–13 necessary in accordance with FAR immunity from civil liability to defense Comment: Several respondents were 46.202, and whether the supplies to be contractors and subcontractors, only concerned about differentiation between acquired are critical items in accordance with regard to reporting of counterfeit or expanded GIDEP reporting and with FAR 46.101, rather than requiring suspect counterfeit electronic parts. It mandatory disclosure under FAR clause that the acquisition plan address for all does not provide a legal basis to hold 52.203–13. One respondent stated that it supplies ‘‘the risk-based Government civilian agency contractors immune quality assurance measures in place to from civil liability in accordance with is their understanding that the DoD identify and control major and critical the plain language of the statute. Inspector General (DoDIG) Office of nonconformances’’. Immunity is an exemption from liability Contract Disclosure has taken the that is granted by law to a person or position that contractors are obliged to c. Civil Liability class of persons. There has to be a legal report ‘‘any discovery of counterfeit Comment: Various respondents basis to release a contractor from electronic parts and non-conforming commented on the ‘‘safe harbor’’ from liability either under the contract, parts.’’ This respondent noted that if the civil liability that may arise as a result pursuant to a statute, or in accordance FAR clause is in the contract and if they of reporting to GIDEP, provided that the with common law. Granting an find credible evidence of fraud contractor made a reasonable effort to immunity from liability is achieved by committed somewhere in the supply determine that the items contained law—either by the legislature pursuant chain, they would report it to the DoDIG counterfeit electronic parts or suspect to statute, or by the courts under via the contract disclosure process. counterfeit electronic parts. This safe common law (e.g., a common law However, it is not clear to the harbor in the proposed rule is provided defense to a lawsuit that the contractor respondent that when these conditions by section 818(c)(5) of the NDAA for FY asserts before the courts), or in are not present, that they must still 2012, applicable only to contracts accordance with contract terms and report to the DoDIG. One respondent awarded by or for the Department of conditions. The FAR Council is not asked for clarification of the obligation Defense, and only applicable to authorized to expand the statutory of contractors under the contemplated reporting of counterfeit electronic parts liability provisions (in this case expanded reporting requirement and the or suspect counterfeit electronic parts. immunity from civil liability) beyond requirement at FAR 52.203–13. Another Several respondents supported the the statutory language, or to include respondent requested that the FAR safe harbor provisions, but had some indemnification. Therefore, there were Council ‘‘expressly state that any concern that it may encourage no changes from the proposed rule as a reporting required under the rule does contractors to err on the side of result of these comments. not implicate or trigger any reporting to GIDEP, rather than requirements to notify the IG under . . . analyzing whether the nonconformance d. De Facto Debarment or Suspension FAR part 3.10.’’ Two respondents cited is a critical or major nonconformance, Comment: One respondent was to the DoD statement in the preamble to and whether the nonconformance is concerned that reporting of contractors the final DFARS rule for DFARS case genuine. and subcontractors may include 2012–D055 that the mandatory Some respondents, expressed concern reporting of third-party items. The disclosure process suggests that the that expanding the rule beyond the respondent is concerned that the entity contractor has committed an ethical original Congressional intent leaves whose item is reported to GIDEP is code of conduct violation, whereas the industry open to significant civil effectively debarred or suspended from GIDEP reporting is not meant to imply liability, which Congress could not have Government contracting unless and a violation of this nature. intended. According to two until cleared. Response: Counterfeit or suspect respondents, the rule should not be Response: The focus of suspension counterfeit parts, by definition, probably extended beyond the original statutory and debarment is on the responsibility involve fraud at some tier of the supply scope until Congress provides safe of the contractor or subcontractor. The chain. The evidence that led to the harbor for the expanded scope of the focus of GIDEP is on the conformance of conclusion that the part was counterfeit rule. Some respondents recommended a part, which may or may not reflect or suspect counterfeit should provide that the rule should afford civil badly on the contractor or the credible evidence required by FAR immunity to all contractors covered by subcontractor. Before a report is 52.203–13 that would require disclosure the rule, or even legal indemnification. submitted to GIDEP for publication, the to the IG. Nonconforming parts, on the According to one respondent, lack of manufacturer of the item or the supplier other hand, do not necessarily involve safe harbor may disincentivize of the suspect counterfeit part is given the fraud or other criminal violations or

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civil false claims violations listed at (21 JAN 2011). The contractor is not mandatory reporting, rather than FAR 52.203–13, and therefore may, but required by the DID to notify the voluntary reporting, but does not change do not necessarily, trigger the disclosure suppliers that the items are suspect how to report. No change from the requirement under FAR 52.203–13. counterfeit. proposed rule is required as a result of The fact that the clause is not in the Response: The clause does not require these comments. contract may relieve the contractor from the contractor to notify the suppliers. It the specific requirement to report the e. Food and Drug Administration requires reporting to the contracting MedWatch Database credible evidence of fraud to the IG. officer and GIDEP. Therefore, there was However, although the clause at FAR no change from the proposed rule as a Comment: One respondent stated that 52.203–13 is only included in contracts result of these public comments. the intent of the rule is for information in accordance with the clause to be exchanged among agencies about prescription at FAR 3.1004, the d. GIDEP Failure Experience Data (FED) nonconformance. This goal is served by requirements at FAR 3.1003(a)(2) state Operations Manual the Food and Drug Administration that, whether or not the clause is i. Notifying More Than One Customer MedWatch database for products applicable, a contractor may be on Single-Use Item regulated by the Food and Drug suspended and/or debarred for knowing Administration that present a risk to Comment: One respondent noted that failure to timely disclose to the health. the proposed rule is in conflict with the Government, in connection with the Response: The final rule no longer GIDEP Operating Manual. The award, performance, or closeout of a applies to acquisition of items reported respondent stated that the GIDEP Government contract performed by the in the Food and Drug Administration’s Operating Manual does not require contractor or a subcontract award MedWatch database due to the change reporting of items ‘‘acquired for a thereunder, credible evidence of a to the clause prescription at 46.317(b)(2) specific application or use, and known violation of Federal criminal law and the change to the clause flowdown not to be used by anyone else,’’ whereas involving fraud or a violation of the at 52.246–26(g)(2)(ii). the rule conflicts with this. Civil False Claims Act. 6. Safeguards Although the mandatory disclosure Response: The GIDEP Operations under FAR 52.203–13 indicates an Manual does not conflict with either the a. Proprietary Data Under Trade Secrets ethical code of conduct violation at proposed or the final rule. The rule Act some tier by some entity, that does not requires reporting of major or critical Comments: One respondent expressed equate to an ethical violation by the nonconformances to GIDEP only for concern whether adequate measures and contractor that is reporting the violation. ‘‘common items,’’ which term is defined processes are in place to ensure that Therefore, there was no change from the at FAR 46.101 to mean an item that has proprietary data or information proposed rule as a result of these public multiple applications versus a single or protected under the Trade Secrets Act comments. peculiar application. The Operations shall not be reported. Manual states ‘‘Items and services Response: It is GIDEP policy that b. FAR Part 46 Quality Assurance uniquely acquired for a specific submitted reports should not contain Conflicts or Redundancies application or use, and known not to be proprietary data. To make this Comment: Two respondents used by anyone else, will not be prohibition explicit, the final rule adds expressed concerns that the additional reported through GIDEP. If you are a new paragraph (d) to the clause at FAR reporting is redundant and extending unsure whether the item may be similar 52.246–26, which states that submitted reporting to other areas duplicates to one used for another application reports are not to include ‘‘trade secrets controls already in place. One modified only by the color or slight or confidential commercial or financial respondent stated that contractors are change of form or fit, you should report information protected under the Trade already required to report uncorrected the nonconforming item or service using Secrets Act.’’ It is the practice of GIDEP nonconformances. the applicable form.’’ that all GIDEP reports are screened upon Response: While quality management If parts are procured from sources receipt for information labelled as systems standards require reporting of open to or available to the broader proprietary data or information nonconformances in some instances, industrial base, then it is likely others protected under the Trade Secrets Act. GIDEP reporting is not redundant have procured the same part and it If this data is found, it is brought to the because the GIDEP reporting is to the should be reported. attention of the submitter. If the larger acquisition community thereby ii. GIDEP Community Collaboration submitter of the report is insistent upon providing other acquisition activities an including the proprietary data, a written opportunity to mitigate disruptions Comment: Two respondents stated release is obtained. caused by suspect and known that the GIDEP manual already contains counterfeit items. FAR part 46 and the a reporting process that many involved b. Impact on Ongoing Criminal Quality Management Systems Standards with Federal contracting already use. Investigation require reporting to the customer only. One respondent does not support Comments: One respondent Therefore, there was no change from the changes to the reporting process recommended that the proposed rule proposed rule as a result of these public documented in the manual. According should provide ‘‘clear guidance as to comments. to the respondent: ‘‘All enhancements when a report should not be made if a and changes to reporting requirements criminal investigation is in-process and c. DI–MISC–81832, Data Item should be implemented through the reporting could impact such Description: Counterfeit Prevention Plan GIDEP membership community where investigation.’’ (21 Jan 2011) Issued by National Government and industry advisory Response: The final rule has been Reconnaissance Office (NRO) groups collaborate, pilot, and execute modified at FAR 52.246–26(c)(2) to add Comment: One respondent stated that reporting requirement changes.’’ the statement that a GIDEP report the proposed rule is in conflict with Response: This FAR rule is not should not be submitted when the Data Item Description, DI–MISC–81832 changing the GIDEP process. In some contractor is aware that the issue it is COUNTERFEIT PREVENTION PLAN instances the rule now requires reporting is being investigated unless

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the report has been approved by the evidentiary purposes. Also, FAR law enforcement to obtain the cognizant law enforcement agency. 52.246–26(b)(3) directs the contractor to information from the OCM or encourage retain counterfeit or suspect counterfeit OCMs to cooperate with industry in the c. Export-Controlled Data items in its possession at the time of collective public good. Comments: One respondent expressed discovery until disposition instructions Response: It is outside the scope of concern whether adequate measures and have been provided by the contracting this case and the authority of the processes are in place to ensure that officer. Therefore, no changes from the Councils to require OCMs to provide ‘‘export controlled data is not proposed rule are required. information to another entity with inadvertently released to unauthorized regard to suspect counterfeit parts; b. Law Enforcement Lead parties.’’ therefore, no change is made to the final Response: The final rule revised the Comments: One respondent noted rule. clause at 52.246–26(b)(1) and (c)(1) to that industry would prefer a single clarify that the GIDEP reporting and Federal law enforcement agency as a 8. Technical Corrections/Comments screening requirement does not apply if point of contact for questions, Comment: According to one the contractor is a foreign corporation or understanding best practices, referrals, respondent, the FAR text should partnership that does not have an office, etc. Industry would look to this agency reference 12.301(d)(5) rather than place of business, or fiscal paying agent for purposes of reporting and 12.301(d)(4) for the requirement to in the United States. Since foreign investigation of events such as include the clause FAR 52.246–26, corporations will not be allowed to discovery of counterfeit electronic parts Reporting Nonconforming Items. screen or submit GIDEP reports, export- and recommended that GIDEP be the Response: The respondent is correct. controlled data will not be inadvertently mechanism by which notification to However, this issue is no longer released to unauthorized parties as a such law enforcement is conducted. relevant, as this clause is no longer result of this rule. Further, when Response: This recommendation is required for acquisitions of commercial applying for access to GIDEP, all outside the scope of this case and no items. applicants are required to agree to the change is made to the final rule. Comment: One respondent GIDEP Operations Manual, Chapter 2, c. Cooperation Between Original commented that if the proposed rule is Appendix A, ‘‘GIDEP Terms and Component Manufacturers (OCMs) and intended to require flowing down FAR Conditions’’ that include the Contractors 52.246–26 to commercial-item following—‘‘Safeguard GIDEP data in subcontracts awarded under accordance with the Security and Comments: One respondent addressed commercial-item prime contracts, then Technology Transfer regulations of the difficulties with obtaining sufficient the FAR Council should propose U.S. and Canadian Governments. The information from the OCM to suspect an corresponding amendments to FAR U.S. regulations are located at 15 CFR item is counterfeit. The respondent 52.212–5(e). chapter VII, subchapter C ‘‘Export indicated that industry benefits, under Response: The respondent is Administration Regulations’’. For certain circumstances, from attempting technically correct. However, the final example, these regulations include rules to authenticate electronic parts procured rule no longer applies to contracts for covering access by and disclosure to from other than ‘‘trusted suppliers’’ the acquisition of commercial items foreign nationals employed at the when the OCM cooperates. Such using FAR part 12 procedures, nor does businesses within the United States or circumstances include— the rule flow down to subcontracts for Canada. (1) The parts in question are commercial items. electronic components for items Comment: One respondent stated that 7. Additional Guidance contained in fielded systems previously the proposed rule and clause use the a. Disposition of Counterfeit Parts sold to the Government years earlier and term ‘‘contractor’’ at some points and are now needed to support replacement ‘‘Contractor’’ at other points. Comments: One respondent or additional requirements for those recommended that the Government Response: In accordance with FAR same systems; drafting conventions, the term establish and communicate— (2) The OCM no longer manufactures ‘‘contractor’’ is not capitalized in the (1) An official position about what a the part in question; recipient of suspect/actual counterfeit (3) Neither the OCM nor its FAR text, but in a clause it is capitalized parts should do with the material when authorized distributors have the part in to indicate the prime contractor. it discovers/determines that it may be stock; and 9. Phased Implementation counterfeit; (4) There is not enough time or a. Adequate Time To Develop Practices, (2) Procedures the Government would inventory to engage authorized Processes, and Tools prefer industry follow in securing aftermarket manufacturers. suspect counterfeit electronic parts and According to the respondent, OCMs Comment: One respondent proposed a preserve the chain of custody; and occasionally refuse to verify such phased implementation approach to (3) Guidance addressing how long information as lot number, date code, allow adequate time for the supply base after a company notifies the and trademark of suspect counterfeit to develop practices, processes, and Government of its conclusion that parts citing that (1) the reporting tools to comply with the requirements. industry should retain suspect company did not purchase the part in This would allow for system access and counterfeit electronic parts. question from the OCM; (2) taking time training needs of companies newly Response: FAR 46.407(h) provides to assess the part costs the OCM money; reporting in GIDEP and for existing that the contracting officer shall provide and (3) the risk to the OCM involved in participants’ to establish internal disposition instructions for counterfeit terms of liability to the seller of the part protocols to ensure accurate, timely and or suspect counterfeit items in if the OCM’s input to the reporting complete GIDEP reporting. accordance with agency policy. Agency company is incorrect. The respondent Response: The Councils do not agree policy may require the contracting recommended that the Government that a phased implementation approach officer to direct the contractor to retain allow industry to bring its requests for is necessary and no change is made to such items for investigative or such information from OCMs to Federal the final rule. The GIDEP system is well

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established and support is provided in costs imposed on the Government requirements that will pose particular a variety of ways to assist users. industrial base and information and challenges for small businesses. The Instructions are provided in the GIDEP communication technology sectors. respondent stated that the proposed rule Operations Manual found on the GIDEP Response: It is not the decision of the was likely to increase costs for smaller website, along with information on FAR Council whether a rule is a major businesses. The respondent cited instructional modules and web-based rule, but it is, by the definition at 5 examples, such as by requiring them to training. Additionally, the GIDEP U.S.C. 804, the decision of the Office of significantly increase quality assurance Operations Center has a Help Desk to Information and Regulatory Affairs and compliance investments in order to assist users. These tools will assist with (OIRA). OIRA determined that the remain at some tier in the Government compliance and reduce the need to proposed rule was not a major rule. This supply chain, increasing liability costs develop extensive practices, processes, final rule has significantly less effect associated with compliance failures, and internal protocols. than the proposed rule (e.g., estimated and increasing costs associated with the burden hours reduced from 1,422,000 to heightened risk of application of the b. Limit Reporting Requirement 30,966 hours), so is even less likely to exclusionary authority. This respondent Comment: Two respondents proposed be considered a major rule. As defined also opined that in the section 818 a phased-in approach initially limited to in 5 U.S.C. 804, ‘‘major rule’’ means any regulatory process, the rulemakings reporting counterfeit and suspected rule that the Administrator of the Office have had the net effect of higher-tiered counterfeit parts and only later of Information and Regulatory Affairs of Federal contractors trimming their expanded once the processes for the Office of Management and Budget supply chains to eliminate companies implementing such systems are finds has resulted in or is likely to result unable or unwilling to implement established and functioning. in— flowdown policies or that cannot Response: Because the final rule has (A) An annual effect on the economy immediately demonstrate well in been significantly descoped there is no of $100,000,000 or more; advance of entering supplier agreements need for a phased-in approach and no (B) A major increase in costs or prices that they have the capabilities change was made to the rule concerning for consumers, individual industries, demanded by the various section 818 a phased-in approach. Federal, State, or local government rules. Ultimately, the by-product of this agencies, or geographic regions; or and other section 818 rulemakings is c. Expanded Access to GIDEP (C) Significant adverse effects on that they disproportionately and Comment: One respondent proposed competition, employment, investment, negatively impact small businesses the FAR Council delay implementation productivity, innovation, or on the through reduced participation in the of the rule or make GIDEP participation ability of United States-based Federal market and reduced Federal voluntary until access to GIDEP is more enterprises to compete with foreign- funding. broadly available, specifically to non- based enterprises in domestic and Response: The significant descoping U.S. and non-Canadian companies who export markets. of the applicability of this rule both at do not presently have access to the Quality assurance systems already the prime and subcontract level, system. have methods of analyzing and dealing including removal of the applicability of Response: The final rule does not with nonconformances; therefore, the the clause to commercial prime extend access to foreign contractors. It bulk of the process in gathering contracts, and removal of the flowdown has been determined that the inclusion information on nonconforming parts is requirements to subcontracts for of foreign contractors would be beyond already happening (e.g., FAR 52.246–2, commercial items (see paragraphs the manageable scope of this rule. Inspection of Supplies—Fixed Price; or II.B.1.a. through II.B.1.c.) will greatly Therefore, the final rule adds the 52.246–3, Inspection of Supplies—Cost- reduce the impact on small businesses. statement in paragraphs (b)(1) and (c)(1) Reimbursement). Additionally, the rule does not require application of section 818(c)(4) to DoD of the clause at 52.246–26 that foreign 11. Small Business Impact contractors are not required to submit or contracts and subcontracts that do not screen GIDEP reports. Comment: One respondent asserted exceed the SAT. Furthermore, while the analysis of the costs and impacts of this rule may require small businesses d. Commercial Item Contractors’ the proposed rule are greatly to implement new business practices, Exemption underestimated and that small these practices will have the beneficial Comment: One respondent proposes businesses most assuredly will be effect of making the business more to exempt commercial item contractors, impacted as the proposed rule requires competitive as potential prime their subcontractors and suppliers from a system for ongoing review of GIDEP, contractors and business partners see the initial applicability of the rule. audit, investigation, and reporting; and the firm has instituted practices to avoid Response: The final rule was revised investigation and reporting to GIDEP passing on counterfeits and items with to no longer apply to acquisition of and the contracting officer. The major or critical nonconformances. commercial items and does not require respondent pointed out that small The Councils have revised the rule to flowdown to subcontracts for the businesses have limited resources—both lessen burden and reduced reporting acquisition of commercial items. in terms of personnel and financial requirements to the maximum extent resources—to establish systems while still getting information necessary 10. ‘‘Major Rule’’ Under 5 U.S.C. 804 necessary to engage in these kinds of to protect items that require higher-level Comment: One respondent disagreed continuous monitoring, auditing, quality standards, critical items, and with the statement in the preamble to investigating, and reporting activities. electronic parts for DOD from the proposed that this is not a major rule Another respondent stated that, counterfeit parts and major or critical under 5 U.S.C. 804. The respondent although the proposed rule addresses an nonconformances. Changes to the rule cites the value of current industry important objective—to mitigate the include: Focusing on supplies that investments to secure supply chains and threat that counterfeit items pose when require higher-level quality standards or ensure product integrity, increased costs used in systems vital to an agency’s are determined to be critical items, to the Government customer for mission—the rule imposes significant excluding foreign contractors and compliance, and the additional liability new monitoring and reporting commercial items. Commercial items

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include COTS items. This and other Another respondent commented that the B. Applicability to Contracts for the descoping efforts (see preamble sections ‘‘very low estimate’’ seems to ignore the Acquisition of Commercial Items, II.A. and II.B.1.) reduced the estimated significant time and costs associated Including COTS Items responses from 474,000 to 5,166 with training, implementation, and the 41 U.S.C. 1906 governs the responses, and reduces the estimated risks of liability. applicability of laws to contracts and burden hours from 1,422,000 hours to Response: DoD, GSA, and NASA have subcontracts for the acquisition of 30,986 hours, so that information is completely revised the estimated commercial items, and is intended to obtained where it is most critically number of reports per year because the limit the applicability of laws to needed. contracts and subcontracts for the Comment: One respondent was rule has been significantly descoped acquisition of commercial items. 41 concerned that adding negotiations over and data was also reviewed regarding U.S.C. 1906 provides that if a provision quality assurance may further distort the the current number of participating of law contains criminal or civil playing field to hurt small businesses contractors and the current number of attempting to retain a degree of control reports submitted, resulting in an penalties, or if the FAR Council makes in their operations when negotiating estimate of 51,657 participating a written determination that it is not in with prime contractors. Conversely, contractors submitting 5,166 reports per the best interest of the Federal lower-tier subcontractors, particularly year. Government to exempt commercial item contracts, the provision of law will commercial item contractors and small Industry already has all the apply to contracts for the acquisition of business entities, may assert that they information necessary to prepare a do not have (and cannot afford to have) commercial items. GIDEP report, based on existing quality Likewise, 41 U.S.C. 1907 governs the the sophisticated internal control assurance systems and procedures. systems necessary to detect and applicability of laws to the acquisition However, in response to the industry of COTS items, with the Administrator categorize the types of nonconforming comments and after discussions with conditions that require reporting to for Federal Procurement Policy serving subject matter experts, DoD, GSA, and as the decision authority in determining GIDEP. Neither the proposed clause nor NASA have reconsidered the number of the proposed regulation offers any whether it is not in the best interest of estimated hours to prepare, review, and the Government to exempt contracts for guidance for resolving such conflicts. submit the report at an average of 6 Response: Part of the concern of the COTS items from a provision of law. hours per report (see section VII of this The FAR Council and the respondent was that higher-tier preamble). contractors could insist on imposing Administrator for Federal Procurement quality control and reporting III. Applicability to Contracts at or Policy have not made these requirements that go well beyond those Below the Simplified Acquisition determinations with regard to specified in the proposed clause to Threshold (SAT) and for Commercial application of section 818(c)(4) of Public ensure that they fulfill their own Items, Including Commercially Law 112–81 to contracts and obligation under the clause. In the final Available Off-the-Shelf (COTS) Items subcontracts for the acquisition of rule, paragraph (g)(3) of the clause at commercial items and COTS items, 52.246–26 revises the flowdown A. Applicability to Contracts at or Below respectively. This final rule will not language to restrict changes to the the SAT apply the requirements of section clause (see paragraph II.B.2.d.). 818(c)(4) of Public Law 112–81 or the 41 U.S.C. 1905 governs the Governmentwide policy to prime 12. Information Collection applicability of laws to contracts or contracts for the acquisition of Requirements subcontracts in amounts not greater commercial items using FAR part 12 Comment: Various respondents than the SAT. It is intended to limit the procedures and will not flow the clause commented on the estimate of the applicability of laws to such contracts or FAR 52.246–26 down to subcontracts information collection requirement in subcontracts. 41 U.S.C. 1905 provides for the acquisition of commercial items. that if a provision of law contains the preamble to the proposed rule. IV. Expected Costs Several respondents stated that the criminal or civil penalties, or if the FAR burden is currently underestimated. Council, which includes DoD, makes a DoD, GSA, and NASA have performed According to a respondent, the estimate written determination that it is not in a regulatory cost analysis on this rule. of 474,000 reports underestimates the the best interest of the Federal The following is a summary of the potential burden of the expanded Government to exempt contracts or estimated public and Government costs. reporting requirements because it failed subcontracts at or below the SAT, the Currently, there is no FAR requirement to account for the growth in GIDEP law will apply to them. The FAR for contractors to exchange information reporting entities and relies on the Council has not made this about counterfeit, suspect counterfeit or number of companies currently determination. Therefore, section major or critical nonconforming items in participating in GIDEP. 818(c)(4) of Public Law 112–81 will not a Governmentwide database. This final Various respondents commented that be applied below the SAT at either the rule establishes the requirement for 3 hours per report was substantially prime or subcontract level. However, contractors to search for and share underestimated. One respondent noted the Governmentwide policy, which is information on such items in GIDEP. that any incident must be identified, not required by statute, with regard to Specifically, the rule adds a new FAR investigated, and reported. Procedures items that require higher level quality clause at 52.246–26, Reporting need to be followed, individuals with standards and critical items (including Nonconforming Items, that includes a expertise need to be consulted, tests electronic parts), will be applied below requirement for contractors to: (1) need to be performed and reports to the SAT, because for such parts, Screen GIDEP for items which may have memorialize findings of the review need counterfeit or nonconforming parts of critical or major nonconformances or to be prepared and filed. Another any dollar value can still cause items that are counterfeits or suspect respondent noted that a single report hazardous or unsafe conditions for counterfeits; and (2) report to GIDEP can take up to 100 hours to complete, individual using the equipment and can and the contracting officer within 60 including significant legal review. lead to mission failure. days of becoming aware or having

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reason to suspect—such as through the simplified acquisition threshold of items where failure would endanger an inspection, testing, record review, or electronic parts or end items, agency mission, cause catastrophic notification from another source (e.g., components, parts, or assemblies failures, or endanger human health and seller, customer, third party)—that an containing electronic parts, by, or for the environment. Although unable to end item purchased by the contractor the Department of Defense. quantify the benefits of this rule, the for delivery to, or for, the Government By sharing this information in GIDEP, Government expects reduction in the is counterfeit or suspect counterfeit. both the Government and contractors high costs of potential damage to These screening and reporting will benefit from knowing about and equipment, mission failure, and even requirements apply to contracts that are: avoiding items with critical or major injury and death of personnel. (1) Subject to higher-level quality nonconformances, or items that are standards in accordance with the clause counterfeits or suspect counterfeits. The following is a summary of the at FAR 52.246–11, Higher-Level Sharing this information in GIDEP will estimated public and Government cost Contract Quality Requirement; (2) for reduce the risk of having such items in savings calculated in perpetuity in 2016 critical items; or (3) for acquisitions over the supply chain for mission critical dollars at a 7-percent discount rate:

Summary Public Government Total

Present Value ...... $209,045,344.99 $4,007,342.86 $213,052,687.85 Annualized Costs ...... 14,633,174.15 280,514.00 14,913,688.15 Annualized Value Costs (as of 2016 if Year 1 is 2019) ...... 11,945,028.99 228,982.98 12,174,011.97

To access the full regulatory cost prevention, detection and reporting of actual that do not exceed the simplified acquisition analysis for this rule, go to the Federal or suspected counterfeit electronic parts in threshold (see FAR 46.317(a) and 52.246– eRulemaking Portal at https:// the Government-Industry Data Exchange 26(g)(1)). www.regulations.gov, search for ‘‘FAR Program (GIDEP) system. Section 818(c)(4) The removal of the flowdown requirements was directed specifically at the reporting of will greatly reduce the impact on small Case 2013–002,’’ click ‘‘Open Docket,’’ counterfeit or suspect counterfeit electronic businesses. While this rule may require small and view ‘‘Supporting Documents.’’ parts by Department of Defense (DoD) businesses to implement new business V. Executive Orders 12866 and 13563 contractors and subcontractors; however, the practices involving screening GIDEP reports Civilian Agency Acquisition Council and the or reporting in GIDEP if a mission critical Executive Orders (E.O.s) 12866 and Defense Acquisition Regulations Counsel (the nonconforming item is discovered, we do not 13563 direct agencies to assess all costs Councils) consider the problem of expect the incident of finding mission critical and benefits of available regulatory nonconforming and counterfeit parts to be nonconformances to be frequent. These alternatives and, if regulation is significant across the Federal Government practices will have the beneficial effect of necessary, to select regulatory and, therefore this rule applies to all making the business more competitive as applicable Federal contracts. potential prime contractors and business approaches that maximize net benefits Respondents expressed concern about the partners see that the firm has instituted (including potential economic, scope of the proposed rule and the potential practices to avoid passing on counterfeit environmental, public health and safety difficulty of tracking and reporting, parts and items with critical effects, distributive impacts, and especially for small businesses. nonconformances. equity). E.O. 13563 emphasizes the • One respondent asserted that the One respondent was concerned that adding importance of quantifying both costs analysis of the costs and impacts of the negotiations over quality assurance may and benefits, of reducing costs, of proposed rule were greatly underestimated further distort the playing field to hurt small harmonizing rules, and of promoting and that small business most assuredly will businesses attempting to retain a degree of be impacted as the proposed rule requires a control in their operations when negotiating flexibility. This is a significant system for ongoing review of GIDEP, audit, with prime contractors. Conversely, lower- regulatory action and, therefore, was investigation, and reporting to GIDEP and the tier subcontractors, particularly commercial- subject to review under section 6(b) of contracting officer. The respondent pointed item contractors and small-business entities, E.O. 12866, Regulatory Planning and out that small businesses have limited may assert that they do not have (and cannot Review, dated September 30, 1993. This resources—both in terms of personnel and afford to have) the sophisticated internal rule is not a major rule under 5 U.S.C. financial resources—to establish systems control systems necessary to detect and 804. necessary to engage in these kinds of categorize the types of nonconforming continuous monitoring, auditing, conditions that require reporting to GIDEP. VI. Executive Order 13771 investigating, and reporting activities. Neither the proposed clause nor the proposed • This rule is an E.O. 13771 regulatory Another respondent stated that the regulation offers any guidance for resolving proposed rule was likely to increase cost for such conflicts. action. The total annualized value of the smaller businesses. The respondent cited Part of the concern of the respondent was cost is $14,913,688.15. Details on the examples, such as by requiring them to that higher-tier contractors could insist on estimated costs can be found in section significantly increase quality assurance and imposing quality control and reporting IV. of this preamble. compliance investments in order to remain at requirements that go well beyond those some tier in the Government supply chain, specified in the proposed clause to ensure VII. Regulatory Flexibility Act increasing liability costs associated with that they fulfill their own obligation under DoD, GSA, and NASA have prepared compliance failures, and increasing costs the clause. This issue has been resolved a Final Regulatory Flexibility Analysis associated with the heightened risk of through amendment of the flowdown (FRFA) consistent with the Regulatory application of the exclusionary authority. language to restrict changes to the clause. Flexibility Act, 5 U.S.C. 601, et seq. The In response to these concerns, the Councils The rule applies to contracts that have significantly descoped the rule, both at the higher-level quality assurance requirements FRFA is summarized as follows: prime and the subcontract level. The final (FAR 52.246–11), contracts for critical items, This rule partially implements section 818 rule no longer applies to contracts or and DoD contracts for electronic parts that of the National Defense Authorization Act subcontracts for the acquisition of exceed the simplified acquisition threshold (NDAA) for Fiscal Year (FY) 2012 (Pub. L. commercial items. Additionally, the rule (other than commercial items). The total 112–81, 10 U.S.C. 2302 Note), requiring does not require application of section number of contractors and subcontractors to regulations regarding the definition, 818(c)(4) to DoD contracts and subcontracts which the rule will apply is estimated to be

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51,657. Of this number, it is estimated 42,153 parts 1, 2, 7, 46, and 52 as set forth 46.101 Definitions. or 82 percent will be small businesses, of below: * * * * * which approximately 10 percent may be ■ Counterfeit item means an unlawful required to submit a GIDEP report in a given 1. The authority citation for parts 1, 2, year. 7, 46, and 52 continues to read as or unauthorized reproduction, This rule requires screening of GIDEP follows: substitution, or alteration that has been knowingly mismarked, misidentified, or reports; written notice to the contracting Authority: 40 U.S.C. 121(c); 10 U.S.C. officer within 60 days of becoming aware chapter 137; and 51 U.S.C. 20113. otherwise misrepresented to be an through inspection or testing of counterfeit or authentic, unmodified item from the suspect counterfeit parts for delivery to, or PART 1—FEDERAL ACQUISITION original manufacturer, or a source with for, the Government; and reporting of REGULATIONS SYSTEM the express written authority of the counterfeit and suspect counterfeit items and original manufacturer or current design common items that have a critical or major ■ nonconformance into GIDEP. 2. In section 1.106 amend the table by activity, including an authorized The Government vitally needs a program to adding in numerical sequence, the entry aftermarket manufacturer. Unlawful or protect its critical assets from the threat of for ‘‘52.246–26’’ to read as follows: unauthorized substitution includes used loss and especially where failure of the item items represented as new, or the false could injure personnel or jeopardize a vital 1.106 OMB approval under the Paperwork Reduction Act. identification of grade, serial number, agency mission. The Councils carefully lot number, date code, or performance weighed the stated concerns of businesses * * * * * characteristics. against the serious impact parts with major Critical item means an item, the or critical nonconformances may have on FAR segment OMB control No. critical items. failure of which is likely to result in As described above, the Councils hazardous or unsafe conditions for minimized the economic impact on small ***** individuals using, maintaining, or entities consistent with the stated objects of 52.246–26 9000–0187 depending upon the item; or is likely to the rule by descoping the rule significantly prevent performance of a vital agency to the maximum extent possible while ***** mission. maintaining the ability to track and avoid counterfeit, suspect counterfeit items and * * * * * common items that have a critical or major PART 2—DEFINITIONS OF WORDS Design activity means an organization, nonconformance. AND TERMS Government or contractor, that has responsibility for the design and Interested parties may obtain a copy ■ of the FRFA from the Regulatory 3. Amend section 2.101 in paragraph configuration of an item, including the Secretariat Division. The Regulatory (b) by revising the definition ‘‘Common preparation or maintenance of design Secretariat Division has submitted a item’’ to read as follows: documents. Design activity could be the original organization, or an organization copy of the FRFA to the Chief Counsel 2.101 Definitions. for Advocacy of the Small Business to which design responsibility has been * * * * * transferred. Administration. (b) * * * * * * * * VIII. Paperwork Reduction Act Common item means material that is Suspect counterfeit item means an The Paperwork Reduction Act (44 common to the applicable Government item for which credible evidence U.S.C. chapter 35) applies. The rule contract and the contractor’s other work, (including but not limited to, visual contains information collection except that for use in the clause at inspection or testing) provides requirements. OMB has cleared this 52.246–26, see the definition in reasonable doubt that the item is information collection requirement paragraph (a) of that clause. authentic. under OMB Control Number 9000–0187, * * * * * * * * * * titled: ‘‘Reporting of Nonconforming ■ 6. Add section 46.317 to read as Items to the Government-Industry Data PART 7—ACQUISITION PLANNING follows: Exchange Program.’’ Due to the major ■ 4. Amend section 7.105, in paragraph descoping of the final rule, the approved (b)(19) by adding a new sentence to the 46.317 Reporting Nonconforming Items. estimated number of responses is end of the paragraph to read as follows: (a) Except as provided in paragraph substantially less than the estimated (b) of this section, the contracting officer responses in the preamble to the 7.105 Contents of written acquisition shall insert the clause at 52.246–26, proposed rule. However, the number of plans. Reporting Nonconforming Items, in hours per response has been increased * * * * * solicitations and contracts—as follows: to 6 hours. (b) * * * (1) For an acquisition by any agency, Respondents: 5,166. (19) * * * In contracts for supplies or including the Department of Defense, Responses per respondent: 1. service contracts that include supplies, of— Total annual responses: 5,166. (i) Any items that are subject to Preparation hours per response: 6. address whether higher-level quality Total response burden hours: 30,996. standards are necessary (46.202) and higher-level quality standards in whether the supplies to be acquired are accordance with the clause at 52.246– List of Subjects in 48 CFR Parts 1, 2, 7, critical items (46.101). 11, Higher-Level Contract Quality 46, and 52 * * * * * Requirement; Government procurement. (ii) Any items that the contracting PART 46—QUALITY ASSURANCE officer, in consultation with the William F. Clark, requiring activity determines to be Director, Office of Government-wide ■ 5. Amend section 46.101 by adding, in critical items for which use of the clause Acquisition Policy, Office of Acquisition alphabetical order, the definitions is appropriate; Policy, Office of Government-wide Policy. ‘‘Counterfeit item’’, ‘‘Critical item’’, (2) In addition (as required by Therefore, DoD, GSA and NASA are ‘‘Design activity’’, and ‘‘Suspect paragraph (c)(4) of section 818 of the issuing a final rule amending 48 CFR counterfeit item’’ to read as follows: National Defense Authorization Act for

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Fiscal Year 2012 (Pub. L. 112–81)), for written authority of the original manufacturer customer, third party) that an item purchased an acquisition that exceeds the or current design activity, including an by the Contractor for delivery to, or for, the simplified acquisition threshold and is authorized aftermarket manufacturer. Government is— by, or for, the Department of Defense of Unlawful or unauthorized substitution (i) A counterfeit or suspect counterfeit includes used items represented as new, or item; or electronic parts or end items, the false identification of grade, serial (ii) A common item that has a major or components, parts, or materials number, lot number, date code, or critical nonconformance. containing electronic parts, whether or performance characteristics. (c) The Contractor shall not submit a report not covered in paragraph (a)(1) of this Critical item means an item, the failure of as required by paragraph (b)(4) of this clause, section; or which is likely to result in hazardous or if— (3) For the acquisition of services, if unsafe conditions for individuals using, (1) The Contractor is a foreign corporation the contractor will furnish, as part of the maintaining, or depending upon the item; or or partnership that does not have an office, service, any items that meet the criteria is likely to prevent performance of a vital place of business, or fiscal paying agent in specified in paragraphs (a)(1) through agency mission. the United States; Critical nonconformance means a (2) The Contractor is aware that the (a)(2) of this section. nonconformance that is likely to result in counterfeit, suspect counterfeit, or (b) The contracting officer shall not hazardous or unsafe conditions for nonconforming item is the subject of an on- insert the clause at 52.246–26, Reporting individuals using, maintaining, or depending going criminal investigation, unless the Nonconforming Items, in solicitations upon the supplies or services; or is likely to report is approved by the cognizant law- and contracts when acquiring— prevent performance of a vital agency enforcement agency; or (1) Commercial items using part 12 mission. (3) For nonconforming items other than procedures; or Design activity means an organization, counterfeit or suspect counterfeit items, it (2) Medical devices that are subject to Government or contractor, that has can be confirmed that the organization where the Food and Drug Administration responsibility for the design and the defect was generated (e.g., original reporting requirements at 21 CFR 803. configuration of an item, including the component manufacturer, original equipment (c) If required by agency policy, the preparation or maintenance of design manufacturer, aftermarket manufacturer, or documents. Design activity could be the distributor that alters item properties or contracting officer may modify original organization, or an organization to configuration) has not released the item to paragraph (b)(4) of the clause at 52.246– which design responsibility has been more than one customer. 26, but only to change the responsibility transferred. (d) Reports submitted in accordance with for the contractor to submit reports to Major nonconformance means a paragraph (b)(4) of this clause shall not the agency rather than to Government- nonconformance, other than critical, that is include— Industry Data Exchange Program likely to result in failure of the supplies or (1) Trade secrets or confidential (GIDEP), so that the agency instead of services, or to materially reduce the usability commercial or financial information the contractor submits reports to GIDEP of the supplies or services for their intended protected under the Trade Secrets Act (18 within the mandatory 60 days. purpose. U.S.C. 1905); or Suspect counterfeit item means an item for (2) Any other information prohibited from ■ 7. Amend section 46.407 by adding which credible evidence (including but not disclosure by statute or regulation. paragraph (h) to read as follows: limited to, visual inspection or testing) (e) Additional guidance on the use of provides reasonable doubt that the item is GIDEP is provided at http://www.gidep.org/ 46.407 Nonconforming supplies or authentic. about/opmanual/opmanual.htm. services. (b) The Contractor shall— (f) If this is a contract with the Department * * * * * (1) Screen Government-Industry Data of Defense, as provided in paragraph (c)(5) of (h) The contracting officer shall Exchange Program (GIDEP) reports, available section 818 of the National Defense provide disposition instructions for at www.gidep.org, as a part of the Authorization Act for Fiscal Year 2012 (Pub. counterfeit or suspect counterfeit items Contractor’s inspection system or program for L. 112–81), the Contractor or subcontractor in accordance with agency policy. the control of quality, to avoid the use and that provides a written report or notification Agency policy may require the delivery of counterfeit or suspect counterfeit under this clause that the end item, items or delivery of items that contain a component, part, or material contained contracting officer to direct the major or critical nonconformance. This electronic parts (i.e., an integrated circuit, a contractor to retain such items for requirement does not apply if the Contractor discrete electronic component (including, but investigative or evidentiary purposes. is a foreign corporation or partnership that not limited to, a transistor, capacitor, resistor, does not have an office, place of business, or or diode), or a circuit assembly)) that are PART 52—SOLICITATION PROVISIONS fiscal paying agent in the United States; counterfeit electronic parts or suspect AND CONTRACT CLAUSES (2) Provide written notification to the counterfeit electronic parts shall not be Contracting Officer within 60 days of subject to civil liability on the basis of such ■ 8. Add section 52.246–26 to read as becoming aware or having reason to suspect, reporting, provided that the Contractor or any follows: such as through inspection, testing, record subcontractor made a reasonable effort to review, or notification from another source determine that the report was factual. 52.246–26 Reporting Nonconforming (e.g., seller, customer, third party) that any (g) Subcontracts. Items. end item, component, subassembly, part, or (1) Except as provided in paragraph (g)(2) As prescribed in 46.317, insert the material contained in supplies purchased by of this clause, the Contractor shall insert this following clause: the Contractor for delivery to, or for, the clause, including this paragraph (g), in Government is counterfeit or suspect subcontracts that are for— Reporting Nonconforming Items (Dec 2019) counterfeit; (i) Items subject to higher-level quality (a) Definitions. As used in this clause— (3) Retain counterfeit or suspect counterfeit standards in accordance with the clause at Common item means an item that has items in its possession at the time of FAR 52.246–11, Higher-Level Contract multiple applications versus a single or discovery until disposition instructions have Quality Requirement; peculiar application. been provided by the Contracting Officer; (ii) Items that the Contractor determines to Counterfeit item means an unlawful or and be critical items for which use of the clause unauthorized reproduction, substitution, or (4) Except as provided in paragraph (c) of is appropriate; alteration that has been knowingly this clause, submit a report to GIDEP at (iii) Electronic parts or end items, mismarked, misidentified, or otherwise www.gidep.org within 60 days of becoming components, parts, or materials containing misrepresented to be an authentic, aware or having reason to suspect, such as electronic parts, whether or not covered in unmodified item from the original through inspection, testing, record review, or paragraph (g)(1)(i) or (ii) of this clause, if the manufacturer, or a source with the express notification from another source (e.g., seller, subcontract exceeds the simplified

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acquisition threshold and this contract is by, DEPARTMENT OF DEFENSE Small Business Regulatory Enforcement or for, the Department of Defense (as required Fairness Act of 1996. It consists of a by paragraph (c)(4) of section 818 of the GENERAL SERVICES summary of the rule appearing in National Defense Authorization Act for Fiscal ADMINISTRATION Federal Acquisition Circular (FAC) Year 2012 (Pub. L. 112–81)); or 2020–02, which amends the Federal (iv) For the acquisition of services, if the NATIONAL AERONAUTICS AND Acquisition Regulation (FAR). An subcontractor will furnish, as part of the SPACE ADMINISTRATION asterisk (*) next to a rule indicates that service, any items that meet the criteria a regulatory flexibility analysis has been specified in paragraphs (g)(1)(i) through 48 CFR Chapter 1 prepared. Interested parties may obtain (g)(1)(iii) of this clause. [Docket No. FAR–2019–0001, Sequence No. further information regarding this rule (2) The Contractor shall not insert the 7] by referring to FAC 2020–02, which clause in subcontracts for— precedes this document. These (i) Commercial items; or Federal Acquisition Regulation; documents are also available via the (ii) Medical devices that are subject to the Federal Acquisition Circular 2020–02; internet at http://www.regulations.gov. Food and Drug Administration reporting Small Entity Compliance Guide requirements at 21 CFR 803. DATES: November 22, 2019. (3) The Contractor shall not alter the clause AGENCY: Department of Defense (DoD), FOR FURTHER INFORMATION CONTACT: other than to identify the appropriate parties. General Services Administration (GSA), Ms. and National Aeronautics and Space Marilyn E. Chambers, Procurement (End of clause) Administration (NASA). Analyst, at 202–285–7380 or [FR Doc. 2019–24960 Filed 11–21–19; 8:45 am] ACTION: Small Entity Compliance Guide. [email protected] for BILLING CODE 6820–EP–P clarification of content. For information SUMMARY: This document is issued pertaining to status or publication under the joint authority of DOD, GSA, schedules, contact the Regulatory and NASA. This Small Entity Secretariat Division at 202–501–4755. Compliance Guide has been prepared in Please cite FAC 2020–02, FAR Case accordance with section 212 of the 2013–002.

RULE LISTED IN FAC 2020–02

Subject FAR Case Analyst

* Reporting of Noncomforming Items to the Government-Industry Data Exchange Program ...... 2013–002 Chambers.

SUPPLEMENTARY INFORMATION: A Data Exchange Program (GIDEP) certain public comments, this final rule has summary for the FAR rule follows. For counterfeit or suspect counterfeit parts more limited scope than the proposed the actual revisions and/or amendments and certain major or critical rule, exempting contracts and made by this FAR case, refer to the nonconformances. This change subcontracts for commercial items and specific subject set forth in the implements sections 818(c)(4) and (c)(5) limiting the clause application to document following this item summary. of the National Defense Authorization acquisitions of items that require higher FAC 2020–02 amends the FAR as Act for Fiscal Year 2012, which require level quality standards, critical items, or follows: DoD contractors and subcontractors to electronic parts by or for DoD. report counterfeit or suspect counterfeit Reporting of Nonconforming Items to electronic parts purchased by or for DoD William F. Clark, the Government-Industry Data to GIDEP. In addition, the FAR Council Director, Office of Government-wide Exchange Program (FAR Case 2013– extended coverage of the proposed rule Acquisition Policy, Office of Acquisition 002) by policy to cover other Government Policy, Office of Government-wide Policy. This final rule amends the FAR to agencies, other types of parts, and other [FR Doc. 2019–24961 Filed 11–21–19; 8:45 am] require contractors and subcontractors types of nonconformance. In response to BILLING CODE 6820–EP–P to report to the Government-Industry

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Part IV

The President

Memorandum of November 19, 2019—Ocean Mapping of the United States Exclusive Economic Zone and the Shoreline and Nearshore of Alaska

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Federal Register Presidential Documents Vol. 84, No. 226

Friday, November 22, 2019

Title 3— Memorandum of November 19, 2019

The President Ocean Mapping of the United States Exclusive Economic Zone and the Shoreline and Nearshore of Alaska

Memorandum for the Secretary of State[,] the Secretary of Defense[,] the Attorney General[,] the Secretary of the Interior[,] the Secretary of Agriculture[,] the Secretary of Commerce[,] the Secretary of Transportation[,] the Secretary of Energy[,] the Secretary of Homeland Security[,] the Administrator of the Environmental Protection Agency[,] the Director of the Office of Management and Budget[,] the Administrator of the National Aeronautics and Space Administration[,] the Director of the National Science Foundation[,] the Director of National Intelligence[,] the Chairman of the Joint Chiefs of Staff[,] the Administrator of the Na- tional Oceanic and Atmospheric Administration[,] the Assistant Secretary of the Army for Civil Works[,] the Commandant of the Coast Guard[,] the Assistant to the President for National Security Affairs[,] the Assistant to the President for Domestic Policy[,] the Assistant to the President for Economic Policy[,] the Director of the Office of Science and Technology Policy[,] the Chairman of the Council on Environmental Quality[, and] the Deputy Assistant to the President for Homeland Security and Counterterrorism

By the authority vested in me as President by the Constitution and the laws of the United States of America, I hereby direct the following: Section 1. Policy. It is the policy of the United States to act boldly to safeguard our future prosperity, health, and national security through ocean mapping, exploration, and characterization. Data and information about the ocean help to advance maritime commerce, domestic seafood production, healthy and sustainable fisheries, coastal resilience, energy production, tour- ism and recreation, environmental protection, national and homeland secu- rity, and other interests. Such activities contribute more than $300 billion per year of economic activity, 3 million jobs, and $129 billion in wages. On March 10, 1983, President Reagan issued Proclamation 5030 (Exclusive Economic Zone of the United States of America), which established the United States Exclusive Economic Zone (U.S. EEZ) to advance the develop- ment of ocean resources and promote the protection of the marine environ- ment. With more than 13,000 miles of coastline and 3.4 million square nautical miles of ocean within our territorial jurisdiction, our country’s EEZ is among the largest in the world and is larger than the combined land area of all 50 States. The U.S. EEZ contains a vast array of underutilized, and likely many undiscovered, natural resources, including critical minerals, marine-derived pharmaceuticals, energy, and areas of significant ecological and conservation value. However, only about 40 percent of the U.S. EEZ has been mapped and significantly less of the area has natural resources and ocean systems that have been characterized, including identification and evaluation, by executive departments and agencies (agencies). The Nation is poised to harness cutting-edge science, new technologies, and partnerships to unlock the potential of our oceans through increased ocean mapping. Maps and charts that present accurate and contemporary coastal elevation data support economic growth, resource management, and the safety and security of coastal residents. Completed mapping is especially lacking for

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Alaska and for the Alaskan Arctic, which lack the comprehensive shoreline and nearshore maps available for much of the rest of the Nation. To improve our Nation’s understanding of our vast ocean resources and to advance the economic, security, and environmental interests of the United States, it is the policy of the United States to support the conservation, management, and balanced use of America’s oceans by exploring, mapping, and characterizing the U.S. EEZ, including mapping the Arctic and Sub- Arctic shoreline and nearshore of Alaska. Further, to ensure that these activities produce the broadest possible benefits and provide the greatest return on investment of Federal resources, it is the policy of the United States to support these activities, when appropriate, in collaboration with non-United States Government entities. Sec. 2. National Strategy for Mapping, Exploring, and Characterizing the U.S. EEZ. Mapping, exploring, and characterizing the U.S. EEZ is necessary for a systematic and efficient approach to understanding our resources. Mapping will reveal the terrain of the ocean floor and identify areas of particular interest; exploration and characterization will identify and evaluate natural and cultural resources within these areas. This knowledge will inform conservation, management, and balanced use of the U.S. EEZ. To advance these objectives, the Director of the Office of Science and Tech- nology Policy (Director) and the Chairman of the Council on Environmental Quality (Chairman), who serve as co-chairs of the Ocean Policy Committee established by Executive Order 13840 of June 19, 2018 (Ocean Policy to Advance the Economic, Security, and Environmental Interests of the United States), shall coordinate the development of a national strategy for mapping, exploring, and characterizing the U.S. EEZ, and for enhancing opportunities for collaboration among interagency and non-United States Government enti- ties with respect to those activities. Specifically, within 180 days of the date of this memorandum, the Ocean Policy Committee, working through its Ocean Science and Technology Subcommittee and in coordination with the Administrator of the National Oceanic and Atmospheric Administration, shall develop a proposed strategy to map the U.S. EEZ, to identify priority areas within the U.S. EEZ, and to explore and characterize the priority areas, and shall submit it to the Director and the Chairman. Sec. 3. Strategy for Mapping the Arctic and Sub-Arctic Shoreline and Near- shore of Alaska. Within 180 days of the date of this memorandum, the Administrator of the National Oceanic and Atmospheric Administration, in coordination, as appropriate, with the State of Alaska and the Alaska Mapping Executive Committee, shall develop a proposed strategy to map the shoreline and nearshore of Alaska and shall submit it to the Director and the Chairman to inform actions of the Ocean Policy Committee and relevant agencies. Sec. 4. Efficient Permitting of Mapping, Exploration, and Characterization Activities. The United States Government, in coordination with non-United States Government entities, conducts hundreds of ocean exploration, map- ping, and research activities every year across the U.S. EEZ. These activities improve our understanding of our oceans, including by identifying potential new sources of critical minerals, biopharmaceuticals, energy, and other re- sources. These activities frequently require multiple environmental reviews, consultations, permits, and other authorizations under Federal laws and regulations that protect resources such as maritime heritage sites and sensitive or protected marine natural resources. In order to reduce duplication and promote efficiency across agencies, within 180 days of the date of this memorandum, the Ocean Policy Committee, working through its Ocean Re- source Management Subcommittee, shall identify opportunities and rec- ommend actions to the Director and the Chairman to increase the efficiency of the permitting and authorization processes for ocean research, mapping, and characterization activities across agencies. Sec. 5. General Provisions. (a) Nothing in this memorandum shall be con- strued to impair or otherwise affect:

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(i) the authority granted by law to an executive department or agency, or the head thereof; or (ii) the functions of the Director of the Office of Management and Budget relating to budgetary, administrative, or legislative proposals. (b) This memorandum shall be implemented consistent with applicable law and subject to the availability of appropriations. (c) This memorandum is not intended to, and does not, create any right or benefit, substantive or procedural, enforceable at law or in equity by any party against the United States, its departments, agencies, or entities, its officers, employees, or agents, or any other person. (d) The Secretary of Commerce is hereby authorized and directed to publish this memorandum in the Federal Register.

THE WHITE HOUSE, Washington, November 19, 2019

[FR Doc. 2019–25618 Filed 11–21–19; 11:15 am] Billing code 3510–07–P

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Reader Aids Federal Register Vol. 84, No. 226 Friday, November 22, 2019

CUSTOMER SERVICE AND INFORMATION CFR PARTS AFFECTED DURING NOVEMBER

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. 2201...... 59919 Presidential Documents 3 CFR Proposed Rules: Executive orders and proclamations 741–6000 Proclamations: 932...... 59736 The United States Government Manual 741–6000 9956...... 59693 986...... 64028 9957...... 59697 Other Services 9958...... 59699 8 CFR 741–6020 Electronic and on-line services (voice) 9959...... 59701 103...... 60307 Privacy Act Compilation 741–6050 9960...... 59703 208...... 63994 9961...... 59705 217...... 60316 9962...... 59707 ELECTRONIC RESEARCH 1003...... 63994 9963...... 61811 1208...... 63994 World Wide Web 9964...... 62427 1240...... 63994 9965...... 62429 Proposed Rules: Full text of the daily Federal Register, CFR and other publications 9966...... 64187 103...... 62280 is located at: www.govinfo.gov. Executive Orders: 106...... 62280 Federal Register information and research tools, including Public 13495 (Revoked by 204...... 62280 Inspection List and electronic text are located at: EO 13897)...... 59709 208...... 62374 www.federalregister.gov. 13896...... 58595 211...... 62280 13897...... 59709 212...... 62280 E-mail Administrative Orders: 214...... 62280 FEDREGTOC (Daily Federal Register Table of Contents Electronic Memorandums: 216...... 62280 Mailing List) is an open e-mail service that provides subscribers Memorandum of 223...... 62280 with a digital form of the Federal Register Table of Contents. The November 12, 235...... 62280 digital form of the Federal Register Table of Contents includes 2019 ...... 63789 236...... 62280 HTML and PDF links to the full text of each document. Memorandum of 240...... 62280 November 19, 244...... 62280 To join or leave, go to https://public.govdelivery.com/accounts/ 2019 ...... 64699 245...... 62280 USGPOOFR/subscriber/new, enter your email address, then Notices: 245a...... 62280, 62374 follow the instructions to join, leave, or manage your Notice of October 31, 248...... 62280 subscription. 2019 ...... 59287 264...... 62280 PENS (Public Law Electronic Notification Service) is an e-mail Notice of November 274a...... 62280 service that notifies subscribers of recently enacted laws. 12, 2019 ...... 61815 301...... 62280 To subscribe, go to http://listserv.gsa.gov/archives/publaws-l.html Notice of November 319...... 62280 and select Join or leave the list (or change settings); then follow 12, 2019 ...... 61817 320...... 62280 the instructions. Notice of November 322...... 62280 19, 2019 ...... 64191 324...... 62280 FEDREGTOC and PENS are mailing lists only. We cannot Presidential 334...... 62280 respond to specific inquiries. Determinations: 341...... 62280 Reference questions. Send questions and comments about the No. 2020–01 of 343a...... 62280 Federal Register system to: [email protected] October 18, 2019 ...... 59519 343b...... 62280 No. 2020–02 of The Federal Register staff cannot interpret specific documents or 392...... 62280 October 18, 2019 ...... 59521 regulations. No. 2020–03 of 9 CFR October 25, 2019 ...... 59917 166...... 64414 FEDERAL REGISTER PAGES AND DATE, NOVEMBER 327...... 60318 5 CFR 557 ...... 59678, 59682, 59685 58595–59288...... 1 Proposed Rules: 59289–59524...... 4 8301...... 60346 10 CFR 59525–59710...... 5 2...... 63565 59711–59916...... 6 7 CFR 21...... 63565 59917–60306...... 7 457...... 64411, 64413 37...... 63565 60307–60882...... 8 966...... 59289 50...... 63565 60883–61516...... 12 1470...... 60883 52...... 63565 61517–61818...... 13 1600...... 59919 73...... 63565 61819–62430...... 14 1610...... 59919 110...... 63565 1700...... 59919 62431–63564...... 15 Proposed Rules: 1735...... 59919 50...... 63816, 63819 63565–63790...... 18 1737...... 59919 430...... 61836, 62470 63791–64012...... 19 1740...... 59919 810...... 59315 64013–64192...... 20 1744...... 59919 64193–64410...... 21 1751...... 59919 12 CFR 64411–64702...... 22 2003...... 59919 1...... 61776 2200...... 59919 3 ...... 59230, 61776, 61804,

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64193 71 ...... 58599, 58600, 61537, 801...... 59928 60...... 61563 5...... 61776 64014 2700...... 59931 62...... 64430 6...... 61776, 64193 95...... 60330 4022...... 62449 63...... 58601 23...... 61776 97 ...... 59294, 59296, 63571, Proposed Rules: 81...... 60927, 64206 24...... 61776 63573 90...... 60150 180 ...... 58623, 59932, 60932, 32...... 61776 Proposed Rules: 778...... 59590 60937 34...... 61776, 64193 27...... 64223 282...... 58627 44...... 61974 39 ...... 58634, 58636, 58638, 30 CFR 300...... 60339 46...... 64193 59315, 59739, 60001, 60003, 943...... 64019 721...... 63808 50...... 59230 60007, 60349, 60351, 62482, Proposed Rules: 160...... 61776, 64193 62485, 62488, 63580, 63582, 31 CFR Ch. I ...... 60986 161...... 64193 63585, 63820, 63822, 63825, 50...... 62450 51...... 59743 163...... 64193 63827, 64441, 64443 591...... 64415 52 ...... 58641, 59325, 59327, 167...... 64193 71...... 60354 1010...... 59302 59331, 59743, 60968, 61592, 192...... 61776 61850, 63601, 64035, 64243, 201...... 59923 15 CFR Proposed Rules: 150...... 59320 64244, 64245 204...... 59924 744...... 61538, 64018 63...... 58936 206...... 61776 801...... 60912 32 CFR 70...... 59743, 60968 208...... 61776 922...... 61546 233...... 59720 71...... 59743 211...... 61776 81...... 64245 215...... 61776 16 CFR 324...... 64022 504...... 59723 97...... 61850 217 ...... 59032, 59230, 61776, Proposed Rules: 141...... 61684 61804 584...... 60916 Ch. II ...... 60010 Ch. XII...... 59723 142...... 61684 223...... 61776 1112...... 60949 170...... 58666 225...... 59032, 61776 1130...... 60949 33 CFR 228...... 59744 238...... 59032, 61776 1236...... 60949 261...... 60975 242...... 59032 100 ...... 59525, 59526, 60334, 282...... 58674 243...... 59194 17 CFR 61819, 63575 300...... 60357 117...... 60916, 64417 248...... 61974 75...... 61974 423...... 64620 165 ...... 59526, 59754, 59726, 249...... 59230 255...... 61974 710...... 60363 251...... 61776 60334, 60337, 62452, 62454, Proposed Rules: 721...... 59335 252...... 59032 63577 160...... 60963 303...... 61776 334...... 64200, 64203 41 CFR 324 ...... 59230, 61776, 61804 20 CFR Proposed Rules: Proposed Rules: 329...... 59230 117...... 59741 725...... 64197 60–1...... 59746 337...... 61776 165 ...... 59602, 60025, 61583, Proposed Rules: 60–300...... 59746 347...... 61776 64445 60–741...... 59746 351...... 61974 404...... 63588 362...... 61776 416...... 63588 34 CFR 42 CFR 617...... 60150 365...... 61776 200...... 64419 618...... 60150 403...... 62568 381...... 59194 600...... 58834 655...... 62431 405...... 60648, 61142 390...... 61776 602...... 58834 409...... 60478, 62568 1026...... 63791 21 CFR 603...... 58834 410 ...... 60648, 61142, 62568 Proposed Rules: 654...... 58834 411...... 62568 1308...... 60333 7...... 64229 668...... 58834 412...... 61142 45...... 59970 Proposed Rules: 674...... 58834 413...... 60648 1...... 59452 160...... 64229 Proposed Rules: 414 ...... 60478, 60648, 61142, 237...... 59970 11...... 59452 Ch. III ...... 61585 62568 246...... 60944, 63820 16...... 59452 415...... 62568 252...... 64031 129...... 59452 36 CFR 416...... 61142, 62568 1141...... 60966 349...... 59970 7...... 64423 418...... 62568 624...... 59970 23 CFR 419...... 61142 701...... 59989 37 CFR 424...... 62568 1024...... 64436 Proposed Rules: 425...... 62568 650...... 61494 201...... 60917 1026...... 64436 202...... 60917, 60918 484...... 60478 1221...... 59970 26 CFR 380...... 64204 486...... 60478, 61142 489...... 62568 13 CFR 1 ...... 59297, 63802, 64415 381...... 64205 386...... 64206 498...... 62568 121...... 64013 57...... 61547 Proposed Rules: 600...... 59529 126...... 62447 Proposed Rules: 383...... 60356 Proposed Rules: Proposed Rules: 1 ...... 59318, 60011, 60812, 430...... 63722 121...... 60846 64234 38 CFR 433...... 63722 124...... 60846 27 CFR 17...... 61548 447...... 63722 125...... 60846 455...... 63722 Proposed Rules: 126...... 60846 478...... 60333 457...... 63722 127...... 60846 17...... 64235 28 CFR 43 CFR 134...... 60846 39 CFR 16...... 64198 2...... 61820 14 CFR Proposed Rules: 3020...... 61552 3000...... 59730 27...... 64194 541...... 63830 Proposed Rules: 39 ...... 59292, 59711, 59713, 3050...... 60031 44 CFR 59716, 59718, 59926, 60325, 29 CFR 64...... 59548 60328, 60900, 60903, 60906, 500...... 59928 40 CFR 206...... 62454 61517, 61520, 61523, 61526, 501...... 59928 52 ...... 59527, 59728, 60920, 61529, 61533, 63569, 63794, 503...... 62431 60927, 61560, 61819, 63804, 45 CFR 63797, 63799, 64195 580...... 59928 63806, 64426, 64427 46...... 64432

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75...... 63809 101...... 63811 212...... 60988 635...... 63812 102...... 59549 Proposed Rules: 215...... 60988 648 ...... 59588, 59735, 63814 1169...... 59313 1...... 59605 227...... 60988 660...... 63966 Proposed Rules: 73...... 59605, 59756 252...... 60988 679 ...... 59588, 59968, 63814, 75...... 63831 90...... 61863 2902...... 62491 64433, 64434 46 CFR 48 CFR 49 CFR 697...... 61569 300...... 64023 28...... 64209 Ch. 1...... 64680, 64696 614...... 59568 679...... 64023 515...... 62464 1...... 64680 Proposed Rules: 2...... 64680 234...... 60032 Proposed Rules: 47 CFR 7...... 64680 243...... 64447 10...... 60998 1...... 59567 46...... 64680 395...... 59761 17...... 60278, 60371 27...... 64209 52...... 64680 396...... 60990 300...... 60040 54...... 59937, 61829 Ch. 7 ...... 61832 50 CFR 622...... 61003, 62491 74...... 63811 2902...... 62468 635...... 62491 78...... 63811 Proposed Rules: 17...... 59570, 64210 648...... 59349 90...... 61831 207...... 60988 622 ...... 60344, 61568, 64227

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