Vol. 85 Monday, No. 125 June 29, 2020 Pages 38741–39046

Vol. 85 Monday, No. 125 June 29, 2020

Pages 38741–39046

OFFICE OF THE FEDERAL REGISTER

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Contents Federal Register Vol. 85, No. 125

Monday, June 29, 2020

Agricultural Marketing Service See National Oceanic and Atmospheric Administration RULES See National Technical Information Service Marketing Order: Olives Grown in California, 38760–38763 Commodity Futures Trading Commission NOTICES Agriculture Department Meetings: See Agricultural Marketing Service Technology Advisory Committee, 38869–38870 See Animal and Plant Health Inspection Service See Federal Crop Insurance Corporation Community Living Administration See Food and Nutrition Service NOTICES See Food Safety and Inspection Service Single-Source Supplement: NOTICES Christopher and Dana Reeve Foundation, 38900 Agency Information Collection Activities; Proposals, Submissions, and Approvals, 38840 Copyright Office, Library of Congress PROPOSED RULES Animal and Plant Health Inspection Service Mandatory Deposit of Electronic-Only Books, 38806–38816 NOTICES Agency Information Collection Activities; Proposals, Defense Acquisition Regulations System Submissions, and Approvals: NOTICES National Veterinary Services Laboratories; Bovine Agency Information Collection Activities; Proposals, Spongiform Encephalopathy Surveillance Program, Submissions, and Approvals: 38840–38841 Covered Defense Telecommunications Equipment or Bureau of Consumer Financial Protection Services, 38870–38871 NOTICES Defense Department Agency Information Collection Activities; Proposals, See Defense Acquisition Regulations System Submissions, and Approvals, 38870 NOTICES Children and Families Administration Charter Renewal: NOTICES Department of Defense Federal Advisory Committees, Agency Information Collection Activities; Proposals, 38871–38872 Submissions, and Approvals: Education Department Cost Study of Trauma-Specific Evidence-Based Programs Used in the Regional Partnership Grants Program, PROPOSED RULES 38898–38899 Promise Neighborhoods Program: National Survey of Child and Adolescent Well-Being— Proposed Priorities, Requirements, Definitions, and Third Cohort, 38898 Selection Criteria, 38801–38806 NOTICES Office of Refugee Resettlement Annual Survey of Application for New Awards: Refugees, 38897–38898 Technical Assistance and Dissemination To Improve Survey of the National Survey of Child and Adolescent Services and Results for Children With Disabilities Well-Being Adopted Youth, Young Adults, and and Demonstration and Training Programs—National Adoptive Parents, 38899–38900 Technical Assistance Center on Transition for Civil Rights Commission Students and Youth With Disabilities, 38872–38881 NOTICES Meetings: Employment and Training Administration Connecticut Advisory Committee, 38845–38846 NOTICES Oklahoma Advisory Committee, 38846 Trade Adjustment Assistance; Determinations, 38924–38929 Virginia Advisory Committee, 38845 Worker Adjustment Assistance; Investigations, 38929– 38931 Coast Guard RULES Energy Department Safety Zone: See Federal Energy Regulatory Commission Fischer Wedding Fireworks Lake Charlevoix, Boyne City, NOTICES MI, 38791–38793 Agency Information Collection Activities; Proposals, Special Local Regulation: Submissions, and Approvals, 38881–38882 Dutch Shoe Marathon; San Diego, CA, 38791 NOTICES Environmental Protection Agency Port Access Route Study: PROPOSED RULES Northern New York Bight, 38907–38910 Air Quality State Implementation Plans; Approvals and Promulgations: Commerce Department Connecticut; Control of Particulate Matter and Visible See International Trade Administration Emissions, 38830–38831

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West Virginia; 1997 8-Hour Ozone Standard Second Federal Deposit Insurance Corporation Maintenance Plan for the Charleston, West Virginia NOTICES Area Comprising Kanawha and Putnam Counties, Meetings; Sunshine Act, 38893 38816–38820 West Virginia; 1997 8-Hour Ozone Standard Second Federal Emergency Management Agency Maintenance Plan for the West Virginia Portion of NOTICES the Huntington-Ashland, WV-KY Area Comprising Guidance: Cabell and Wayne Counties, 38825–38830 Assistance to Firefighters Grant Program; Fire Prevention West Virginia; 1997 8-Hour Ozone Standard Second and Safety Grants, 38910–38916 Maintenance Plan for the West Virginia Portion of the Steubenville-Weirton, OH-WV Area Comprising Federal Energy Regulatory Commission Brooke and Hancock Counties, 38820–38825 NOTICES West Virginia; 1997 8-Hour Ozone Standard Second Application: Maintenance Plan for the West Virginia Portion of ECOsponsible, LLC, 38885 the Wheeling, WV-OH Area Comprising Marshall and Combined Filings, 38882–38884, 38886 Ohio Counties, 38831–38836 Formal Requirements for Filings in Proceedings, 38884– NOTICES 38885 Agency Information Collection Activities; Proposals, Initial Market-Based Rate Filings Including Requests for Submissions, and Approvals: Blanket Section 204 Authorizations: National Emission Standards for Hazardous Air Capital Energy PA, LLC, 38885 Pollutants for Benzene Emissions From Benzene Hardin Solar Energy, LLC, 38885–38886 Storage Vessels and Coke Oven By-Product Recovery WGP Redwood Holdings, LLC, 38882 Plants, 38887–38888 New Source Performance Standards for Commercial and Federal Reserve System Industrial Solid Waste Incineration Units, 38888– NOTICES 38889 Agency Information Collection Activities; Proposals, Regional Haze Regulations, 38889–38890 Submissions, and Approvals, 38893–38897 Volatile Organic Compound Emission Standards for Changes in Bank Control: Consumer Products, 38886–38887 Acquisitions of Shares of a Bank or Bank Holding Company, 38893 Federal Aviation Administration RULES Federal Trade Commission Amendment of Multiple Air Traffic Service Routes: RULES Northcentral United States, 38785–38787 Disclosure Requirements and Prohibitions Concerning Relief for Certain Persons and Operations During the Franchising, 38790–38791 Coronavirus Disease 2019 Outbreak, 38763–38783 Revocation and Amendment of Multiple Air Traffic Service Food and Drug Administration Routes: NOTICES Vicinity of Newcombe, KY, 38783–38785 Establishment of a Public Docket: Standard Instrument Approach Procedures, and Takeoff Use of Codeine-Containing Analgesics in Children Under Minimums and Obstacle Departure Procedures; 12 Years of Age Subsequent to Genetic Testing, Miscellaneous Amendments, 38787–38790 38901–38905 PROPOSED RULES Guidance: Amendment to Federal Airways Amber 15 (A–15), V–444, Review and Update of Device Establishment Inspection J–502, and J–511: Processes and Standards, 38900–38901 Alaska, 38799–38801 Food and Nutrition Service Federal Communications Commission NOTICES RULES Agency Information Collection Activities; Proposals, Establishing the Digital Opportunity Data Collection; Submissions, and Approvals: Modernizing the FCC Form 477 Data Program, 38793– Supplemental Nutrition Assistance Program Quality 38794 Control Regulations, 38843–38845 PROPOSED RULES Wireless Telecommunications Bureau Seeks Comment on Food Safety and Inspection Service PSSI Global Services, L.L.C. Request for Stay of 3.7–4.2 NOTICES GHz Band Report and Order and Order of Proposed Retail Exemptions Adjusted Dollar Limitations, 38841– Modification, 38836–38837 38843 NOTICES Agency Information Collection Activities; Proposals, Foreign Assets Control Office Submissions, and Approvals, 38890–38893 NOTICES Blocking or Unblocking of Persons and Properties, 39040 Federal Crop Insurance Corporation RULES Health and Human Services Department Area Risk Protection Insurance Regulations; Common Crop See Children and Families Administration Insurance Policy Basic Provisions; and Common Crop See Community Living Administration Insurance Regulations: See Food and Drug Administration Coarse Grains Crop Insurance Provisions, 38749–38760 See National Institutes of Health

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NOTICES International Trade Commission Meetings: NOTICES Health Information Technology Advisory Committee 2020 Investigations; Determinations, Modifications, and Rulings, Schedule—Revised, 38905–38906 etc.: Global Economic Impact of Missing and Low Pesticide Homeland Security Department Maximum Residue Levels, 38923–38924 See Coast Guard Lightweight Thermal Paper From China, 38922 See Federal Emergency Management Agency NOTICES New Federal Advisory Committee: Justice Department Faith-Based Security Advisory Council, 38916 NOTICES FY 2017 and FY 18 Service Contracts Inventory and Housing and Urban Development Department Inventory Supplement, 38924 NOTICES Agency Information Collection Activities; Proposals, Labor Department Submissions, and Approvals: See Employment and Training Administration Manufactured Home Construction and Safety Standards See Occupational Safety and Health Administration Act Park Model RV Exemption Notice, 38918–38919 Fiscal Year 2017 Service Contract Inventory, 38918 Land Management Bureau Fiscal Year 2018 Service Contract Inventory, 38917–38918 NOTICES Requests for Nominations: Agency Information Collection Activities; Proposals, Housing Counseling Federal Advisory Committee, 38916– Submissions, and Approvals: 38917 Oil and Gas Leasing: National Petroleum Reserve— Alaska, 38921–38922 Indian Affairs Bureau Identification of Federal Land Available for Allotment NOTICES Selection: HEARTH Act Approval of Fort Belknap Indian Community Alaska, 38921 of the Fort Belknap Reservation of Montana Residential Leasing Act, 38919–38920 Library of Congress Indian Gaming: See Copyright Office, Library of Congress Tribal-State Class III Gaming Compacts Taking Effect in the State of Oklahoma, 38919 National Archives and Records Administration Land Acquisitions: NOTICES San Pasqual Band of Diegueno Mission Indians of Agency Information Collection Activities; Proposals, California, 38920–38921 Submissions, and Approvals; Correction, 38932 Institute of Museum and Library Services National Credit Union Administration NOTICES NOTICES Agency Information Collection Activities; Proposals, Agency Information Collection Activities; Proposals, Submissions, and Approvals: Submissions, and Approvals, 38932–38933 2021–2023 Native American Library Services: Enhancement Grants Program Notice of Funding National Foundation on the Arts and the Humanities Opportunity, 38933–38934 See Institute of Museum and Library Services Interior Department See Indian Affairs Bureau National Highway Traffic Safety Administration See Land Management Bureau NOTICES See National Park Service Petition for Decision of Inconsequential Noncompliance: North America Subaru, Inc., 39037–39040 International Trade Administration NOTICES National Institutes of Health Antidumping or Countervailing Duty Investigations, Orders, NOTICES or Reviews: Meetings: Certain Aluminum Foil From the People’s Republic of Eunice Kennedy Shriver National Institute of Child China, 38861–38863 Health and Human Development, 38907 Certain Oil Country Tubular Goods From the People’s National Cancer Institute, 38907 Republic of China, 38849–38850 National Institute of Allergy and Infectious Diseases, Emulsion Styrene-Butadiene Rubber From Brazil, 38847– 38906–38907 38849 Passenger Vehicle and Light Truck Tires From the National Oceanic and Atmospheric Administration Socialist Republic of Vietnam, 38850–38854 RULES Prestressed Concrete Steel Wire Strand From India, Fisheries of the Northeastern United States: 38846–38847 Atlantic Bluefish Fishery; Revised 2020 and Projected Initiation of Less-Than-Fair-Value Investigations: 2021 Specifications and Recreational Management Passenger Vehicle and Light Truck Tires From the Measures, 38794–38798 Republic of Korea, Taiwan, Thailand, and the PROPOSED RULES Socialist Republic of Vietnam, 38854–38860 Pacific Island Fisheries: Meetings: Swordfish Trip Limits in the American Samoa Pelagic Trade Finance Advisory Council, 38860–38861 Longline Fishery, 38837–38839

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NOTICES Securities and Exchange Commission Meetings: NOTICES Pacific Fishery Management Council, 38863 Meetings; Sunshine Act, 39035 Takes of Marine Mammals Incidental to Specified Self-Regulatory Organizations; Proposed Rule Changes: Activities: Cboe BYX Exchange, Inc., 38956–38958, 38987–39000 Renewal of U.S. Navy Target and Missile Launch Cboe BZX Exchange, Inc., 38958–38960, 39021–39035 Activities on San Nicolas Island, 38863–38868 Cboe EDGA Exchange, Inc., 38960–38973 Cboe EDGX Exchange, Inc., 38973–38987 National Park Service Cboe Exchange, Inc., 38951–38956, 39019–39021 NOTICES Miami International Securities Exchange, LLC, 39013– Meetings: 39016 Committee for the Preservation of the White House, New York Stock Exchange, LLC, 39016–39018 38922 NYSE Arca, Inc., 39000–39013 The Nasdaq Stock Market, LLC, 38937–38951 National Technical Information Service NOTICES Susquehanna River Basin Commission Agency Information Collection Activities; Proposals, NOTICES Submissions, and Approvals: Projects Approved: Limited Access Death Master File Systems Safeguards Consumptive Uses of Water, 39035–39037 Attestation Forms, 38868–38869 Minor Modifications, 39035 Occupational Safety and Health Administration NOTICES Trade Representative, Office of United States Agency Information Collection Activities; Proposals, NOTICES Submissions, and Approvals: Determination Regarding Waiver of Discriminatory Ionizing Radiation Standard, 38931–38932 Purchasing Requirements With Respects to Goods and Services Covered by Chapter Thirteen of the United Postal Regulatory Commission States-Mexico-Canada Agreement, 39037 NOTICES New Postal Product, 38934–38935 Transportation Department See Federal Aviation Administration Postal Service See National Highway Traffic Safety Administration NOTICES International Product Change: Treasury Department International Priority Airmail Agreement, 38937 See Foreign Assets Control Office International Priority Airmail, Commercial ePacket, NOTICES Priority Mail Express International, Priority Mail Agency Information Collection Activities; Proposals, International and First-Class Package International Submissions, and Approvals, 39040–39044 Service Agreement, 38935–38937 Agency Information Collection Activities; Proposals, International Priority Airmail, Commercial ePacket, Submissions, and Approvals: Priority Mail Express International, Priority Mail Notice to Account Holder for Garnishment of Accounts International and First-Class Package International Containing Federal Benefit Payments, 39044 Service With Reseller Agreement, 38936–38937 International Priority Airmail, International Surface Air Veterans Affairs Department Lift, Commercial ePacket, Priority Mail Express NOTICES International, Priority Mail International and First- Agency Information Collection Activities; Proposals, Class Package International Service With Reseller Submissions, and Approvals: Agreement, 38937 Requirements for Recognition as a Veterans Affairs Priority Mail Express International, Priority Mail Accredited Organization, 39044–39045 International, First-Class Package International Service and Commercial ePacket Agreement, 38935

Presidential Documents Reader Aids EXECUTIVE ORDERS Consult the Reader Aids section at the end of this issue for Child Welfare System; Effort To Strengthen (EO 13930), phone numbers, online resources, finding aids, and notice 38741–38745 of recently enacted public laws. ADMINISTRATIVE ORDERS To subscribe to the Federal Register Table of Contents Defense and National Security: electronic mailing list, go to https://public.govdelivery.com/ Defense Production Act of 1950; Determination accounts/USGPOOFR/subscriber/new, enter your e-mail (Presidential Determination No. 2020–07 of June 24, address, then follow the instructions to join, leave, or 2020), 38747 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 Executive Orders: 13930...... 38741 Administrative Orders: Presidential Determinations: No. 2020–07 of June 24, 2020 ...... 38747 7 CFR 407...... 38749 457...... 38749 932...... 38760 14 CFR 21...... 38763 61...... 38763 63...... 38763 65...... 38763 71 (2 documents) ...... 38783, 38785 91...... 38763 97 (2 documents) ...... 38787, 38788 107...... 38763 125...... 38763 141...... 38763 Proposed Rules: 71...... 38799 16 CFR 436...... 38790 33 CFR 100...... 38791 165...... 38791 34 CFR Proposed Rules: Ch. II ...... 38801 37 CFR Proposed Rules: 202...... 38806 40 CFR Proposed Rules: 52 (5 documents) ...... 38816, 38820, 38825, 38830, 38831 47 CFR 1...... 38793 43...... 38793 Proposed Rules: 1...... 38836 2...... 38836 25...... 38836 27...... 38836 101...... 38836 50 CFR 648...... 38794 Proposed Rules: 665...... 38837

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Federal Register Presidential Documents Vol. 85, No. 125

Monday, June 29, 2020

Title 3— Executive Order 13930 of June 24, 2020

The President Strengthening the Child Welfare System for America’s Chil- dren

By the authority vested in me as President by the Constitution and the laws of the United States of America, it is hereby ordered as follows: Section 1. Purpose. Every child deserves a family. Our States and communities have both a legal obligation, and the privilege, to care for our Nation’s most vulnerable children. The best foster care system is one that is not needed in the first place. My Administration has been focused on prevention strategies that keep children safe while strengthening families so that children do not enter foster care unnecessarily. Last year, and for only the second time since 2011, the number of children in the foster care system declined, and for the third year in a row, the number of children entering foster care has declined. But challenges remain. Too many young people who are in our foster care system wait years before finding the permanency of family. More than 400,000 children are currently in foster care. Of those, more than 124,000 children are waiting for adoption, with nearly 6 out of 10 (58.4 percent) having already become legally eligible for adoption. More than 50 percent of the children waiting for adoption have been in foster care—without the security and constancy of a permanent family— for 2 years or more. The need for stability and timely permanency is particularly acute for children 9 years and older, children in sibling groups, and those with intellectual or physical disabilities. Even worse, too many young men and women age out of foster care having never found a permanent, stable family. In recent years, approximately 20,000 young people have aged out of foster care each year in the United States. Research has shown that young people who age out of the foster care system are likely to experience significant, and significantly increased, life challenges—40 percent of such young people studied experienced homeless- ness; 50 percent were unemployed at age 24; 25 percent experienced post- traumatic stress disorder; and 71 percent became pregnant by age 21. These are unacceptable outcomes. Several factors have contributed to the number of children who wait in foster care for extended periods. First, State and local child welfare agencies often do not have robust partnerships with private community organizations, including faith-based organizations. Second, those who step up to be resource families for children in foster care—including kin, guardians, foster parents, and adoptive parents—may lack adequate support. Third, too often the processes and systems meant to help children and families in crisis have instead created bureaucratic barriers that make it more difficult for these children and families to get the help they need. It is the goal of the United States to promote a child welfare system that reduces the need to place children into foster care; achieves safe permanency for those children who must come into foster care, and does so more quickly and more effectively; places appropriate focus on children who are waiting for adoption, especially those who are 9 years and older, are in sibling groups, or have disabilities; and decreases the proportion of young adults who age out of the foster care system.

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Children from all backgrounds have the potential to become successful and thriving adults. Yet without a committed, loving family that can provide encouragement, stability, and a lifelong connection, some children may never receive the support needed to realize that potential. This order will help to empower families who answer the call to open their hearts and homes to children who need them. My Administration is committed to helping give as many children as possible the stability and support that family provides by dramatically improving our child welfare system. Sec. 2. Encouraging Robust Partnerships Between State Agencies and Public, Private, Faith-based, and Community Organizations. (a) In order to facilitate close partnerships between State agencies and nongovernmental organizations, including public, private, faith-based, and community groups, the Secretary of Health and Human Services (the ‘‘Secretary’’) shall provide increased public access to accurate, up-to-date information relevant to strengthening the child welfare system, including by: (i) Publishing data to aid in the recruitment of community support. Within 1 year of the date of this order and each year thereafter, the Secretary shall submit to the President, through the Assistant to the President for Domestic Policy, a report that provides information about typical patterns of entry, recent available counts of children in foster care, and counts of children waiting for adoption. To the extent appropriate and consistent with applicable law, including all privacy laws, this data will be disaggregated by county or other sub-State level, child age, placement type, and prior time in care. (ii) Collecting needed data to preserve sibling connections. (A) Within 2 years of the date of this order, the Secretary shall collect information from appropriate State and local agencies on the number of children in foster care who have siblings in foster care and who are not currently placed with their siblings. (B) Within 3 years of the date of this order, to support the goal of keeping siblings together (42 U.S.C. 671(a)(31)(A)), the Secretary shall develop data analysis methods to report on the experience of children entering care in sibling groups, and the extent to which they are placed together. The Secretary’s analysis shall also assess the extent to which siblings who are legally eligible for adoption achieve permanency together. (iii) Expanding the number of homes for children and youth. (A) Within 2 years of the date of this order, the Secretary shall develop a more rigorous and systematic approach to collecting State administrative data as part of the Child and Family Services Review required by section 1123A of the Social Security Act (the ‘‘Act’’) (42 U.S.C. 1320a–2a). Data collected shall include: (1) demographic information for children in foster care and waiting for adoption; (2) the number of currently available foster families and their demographic information; (3) the average foster parent retention rate and average length of time foster parents remain certified; (4) a target number of foster homes needed to meet the needs of children in foster care; and (5) the average length of time it takes to complete foster and adoptive home certification.

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(B) The Secretary shall ensure, to the extent consistent with applicable law, that States report to the Secretary regarding strategies for coordinating with nongovernmental organizations, including faith-based and community organizations, to recruit and support foster and adoptive families. (b) Within 1 year of the date of this order, the Secretary shall issue guidance to Federal, State, and local agencies on partnering with nongovernmental organizations. This guidance shall include best practices for information sharing, providing needed services to families to support prevention of children entering foster care, family preservation, foster and adoptive home recruitment and retention, respite care, post-placement family support, and support for older youth. This guidance shall also make clear that faith- based organizations are eligible for partnerships under title IV–E of the Act (42 U.S.C. 670 et seq.), on an equal basis, consistent with the First Amendment to the Constitution. Sec. 3. Improving Access to Adequate Resources for Caregivers and Youth. While many public, private, faith-based, and community resources and other sources of support exist, many American caregivers still lack connection with and access to adequate resources. Within 1 year of the date of this order, the Secretary shall equip caregivers and those in care to meet their unique challenges, by: (a) Expanding educational options. To the extent practicable, the Secretary shall use all existing technical assistance resources to promote dissemination and State implementation of the National Training and Development Cur- riculum, including, when appropriate, in non-classroom environments. (b) Increasing the availability of trauma-informed training. The Secretary shall provide an enhanced, web-based, learning-management platform to house the information generated by the National Adoption Competency Men- tal Health Training Initiative. Access to this web-based training material will be provided free of charge for all child welfare and mental health practitioners. (c) Supporting guardianship. The Secretary shall provide information to States regarding the importance and availability of funds to increase guardianship through the title IV–E Guardianship Assistance Program (42 U.S.C. 673), which provides Federal reimbursement for payments to guardians and for associated administrative costs. This information shall include which States have already opted into the program. (d) Enhancing support for kinship care and youth exiting foster care. The Secretary shall establish a plan to address barriers to accessing existing Federal assistance and benefits for eligible individuals. Sec. 4. Ensuring Equality of Treatment and Access for all Families. The Howard M. Metzenbaum Multiethnic Placement Act of 1994 (the ‘‘Multi- ethnic Placement Act’’) (Public Law 103–382), as amended, prohibits agencies from denying to any person the opportunity to become an adoptive or a foster parent on the basis of race, color, or national origin (42 U.S.C. 671(a)(18)(A)); prohibits agencies from delaying or denying the placement of a child for adoption or into foster care on the basis of race, color, or national origin (id. 671(a)(18)(B)); and requires agencies to diligently recruit a diverse base of foster and adoptive parents to better reflect the racial and ethnic makeup of children in out-of-home care (id. 662(b)(7)). To further the goals of the Multiethnic Placement Act, the Secretary shall: (a) within 6 months of the date of this order, initiate a study regarding the implementation of these requirements nationwide; (b) within 1 year of the date of this order, update guidance, as necessary, regarding implementation of the Multiethnic Placement Act; and

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(c) within 1 year of the date of this order, publish guidance regarding the rights of parents, prospective parents, and children with disabilities (including intellectual, developmental, or physical disabilities). Sec. 5. Improving Processes to Prevent Unnecessary Removal and Secure Permanency for Children. (a) Federal Review of Reasonable Effort Determina- tions and Timeliness Requirements. (i) Within 2 years of the date of this order, the Secretary shall require that both the title IV–E reviews conducted pursuant to 45 CFR 1356.71 and the Child and Family Services Reviews conducted pursuant to 45 CFR 1355.31–1355.36 specifically and adequately assess the following requirements: (A) reasonable efforts to prevent removal; (B) filing a petition for Termination of Parental Rights within established statutory timelines and court processing of such petition, unless statutory exemptions apply; (C) reasonable efforts to finalize permanency plans; and (D) completion of relevant required family search and notifications and how such efforts are reviewed by courts. (ii) In cases in which it is determined that statutorily required timelines and efforts have not been satisfied, the Secretary shall make use of existing authority in making eligibility determinations and disallowances consistent with section 1123A(b)(3)(4) of the Act (42 U.S.C. 1320a–2a(b)(3)(4)). (iii) Within 2 years of the date of this order, the Secretary shall develop metrics to track permanency outcomes in each State and measure State performance over time. (iv) Within 6 months of the date of this order, the Secretary shall provide guidance to States regarding flexibility in the use of Federal funds to support and encourage high-quality legal representation for parents and children, including pre-petition representation, in their efforts to prevent the removal of children from their families, safely reunify children and parents, finalize permanency, and ensure that their voices are heard and their rights are protected. The Secretary shall also ensure collection of data regarding State use of Federal funds for this purpose. (b) Risk and Safety Assessments. (i) Within 18 months of the date of this order, the Secretary shall collect States’ individual standards for conducting risk and safety assessments required under section 106(b)(2)(B)(iv) of the Child Abuse Prevention and Treatment Act (42 U.S.C. 5106(b)(2)(B)(iv)). (ii) Within 2 years of the date of this order, the Secretary shall outline reasonable best practice standards for risk and safety assessments, including how to address domestic violence and substance abuse. Sec. 6. Indian Child Welfare Act. Nothing in this order shall alter the implementation of the Indian Child Welfare Act or replace the tribal consultation process. Sec. 7. General Provisions. (a) Nothing in this order shall be construed to impair or otherwise affect: (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.

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(b) This order shall be implemented consistent with applicable law and subject to the availability of appropriations. (c) This order 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.

THE WHITE HOUSE, June 24, 2020.

[FR Doc. 2020–14077 Filed 6–26–20; 8:45 am] Billing code 3295–F0–P

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Presidential Determination No. 2020–07 of June 24, 2020

Presidential Determination Pursuant to Section 303 of the De- fense Production Act of 1950, as Amended

Memorandum for the Secretary of Defense

By the authority vested in me as President by the Constitution and the laws of the United States of America, including section 303 of the Defense Production Act of 1950, as amended (the ‘‘Act’’) (50 U.S.C. 4533), I hereby determine, pursuant to section 303(a)(5) of the Act, that the industrial base production capability for ultra-high and high temperature composites for hypersonic, strategic missile, and space launch systems is essential to the national defense. Without Presidential action under section 303 of the Act, United States industry cannot reasonably be expected to provide the production capability for ultra-high and high temperature composites for hypersonic, strategic missile, and space launch systems adequately and in a timely manner. Further, purchases, purchase commitments, or other action pursuant to section 303 of the Act are the most cost-effective, expedient, and practical alternative method for meeting the need for this critical capability. You are authorized and directed to publish this memorandum in the Federal Register.

THE WHITE HOUSE, Washington, June 24, 2020

[FR Doc. 2020–14090 Filed 6–26–20; 8:45 am] Billing code 5001–06–P

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Rules and Regulations Federal Register Vol. 85, No. 125

Monday, June 29, 2020

This section of the FEDERAL REGISTER business August 28, 2020. FCIC may agricultural commodity, the contains regulatory documents having general consider the comments received and Catastrophic Risk Protection applicability and legal effect, most of which may conduct additional rulemaking Endorsement, if applicable, and the are keyed to and codified in the Code of based on the comments. applicable regulations published in 7 Federal Regulations, which is published under CFR chapter IV. 50 titles pursuant to 44 U.S.C. 1510. ADDRESSES: We invite you to submit comments on this rule. In your FCIC amends the ARPI Basic The Code of Federal Regulations is sold by comments, include the date, volume, Provisions, the CCIP Basic Provisions, the Superintendent of Documents. and page number of this issue of the and the Coarse Grains Crop Insurance Federal Register, and the title of rule. Provisions (Coarse Grains Crop You may submit comments by any of Provisions). The changes to the policy DEPARTMENT OF AGRICULTURE the following methods, although FCIC made in this rule are applicable for the 2021 crop year for crops with a contract Federal Crop Insurance Corporation prefers that you submit comments electronically through the Federal change date on or after June 30, 2020. For all other crops the changes to the 7 CFR Parts 407 and 457 eRulemaking Portal: • Federal eRulemaking Portal: Go to policy made in this rule are applicable RIN 0563–AC69 http://www.regulations.gov and search for the 2022 and succeeding crop years. for Docket ID FCIC–20–0005. Follow the [Docket ID FCIC–20–0005] ARPI Basic Provisions online instructions for submitting Area Risk Protection Insurance comments. The changes to the ARPI Basic • Regulations; Common Crop Insurance Mail: Director, Product Provisions (7 CFR part 407) are as Policy Basic Provisions; and Common Administration and Standards Division, follows: Crop Insurance Regulations, Coarse Risk Management Agency, U.S. FCIC is revising the definition of Grains Crop Insurance Provisions Department of Agriculture, P.O. Box ‘‘second crop’’ to clarify what is 419205, Kansas City, MO 64133–6205. considered a second crop. FCIC AGENCY: Federal Crop Insurance All comments received, including removed references of a cover crop that Corporation, USDA. those received by mail, will be posted is hayed or grazed to provide flexibility ACTION: Final rule with request for without change and publicly available to producers to use a cover crop for comments. on http://www.regulations.gov. forage while considering a cover crop FOR FURTHER INFORMATION CONTACT: otherwise harvested as grain to be a SUMMARY: The Federal Crop Insurance Francie Tolle; telephone (816) 926– second crop. For example, now a cover Corporation (FCIC) amends the Area 7829, email [email protected]. crop will not be considered a second Risk Protection Insurance (ARPI) SUPPLEMENTARY INFORMATION: crop unless it is planted for harvest as Regulations; Common Crop Insurance grain or seed. A cover crop is used for Policy (CCIP) Basic Provisions; and the Background soil erosion and conservation purposes Common Crop Insurance Regulations, FCIC serves America’s agricultural and not for harvest as grain or seed. For Coarse Grains Crop Insurance producers through effective, market- example, barley planted at a reduced Provisions. The intended effect of this based risk management tools to seeding rate approved for cover crop use action is to implement the changes strengthen the economic stability of and used for forage would not be contained in the Agriculture agricultural producers and rural considered a second crop. However, Improvement Act of 2018 (commonly communities. The Risk Management barley planted at a full seeding rate for referred to as the 2018 Farm Bill). Agency (RMA) manages FCIC. FCIC is harvest as grain would be considered a Section 11122 of the 2018 Farm Bill committed to increasing the availability second crop. required that FCIC research and develop and effectiveness of Federal crop FCIC is revising section 2(j) to clarify methods of adjusting for quality losses. insurance as a risk management tool. when AIPs must apply premium credits In addition to the 2018 Farm Bill Approved Insurance Providers (AIPs) when paying a claim on a policy. AIPs required changes, FCIC is updating sell and service Federal crop insurance must apply premium credits when provisions regarding premium offsets, policies in every state and in Puerto paying a claim on a policy. There has Administrator reinstatement, notice of Rico through a public-private been some confusion regarding when an loss, double cropping requirements, partnership. FCIC reinsures the AIPs AIP must offset premium and prevented planting, and units. The who share the risks associated with administrative fees owed to them when changes to the policy made in this rule catastrophic losses due to major weather an indemnity or prevented planting are applicable for the 2021 crop year for events. FCIC’s vision is to secure the payment is simultaneously owed to the crops with a contract change date on or future of agriculture by providing world producer. This has led to situations after June 30, 2020. For all crops the class risk management tools to rural where the producer incorrectly assumed changes to the policy made in this rule America. their premium had been deducted from are applicable for the 2022 and Federal crop insurance policies their indemnity payment and did not succeeding crop years. typically consist of the Basic Provisions, pay their premium when their premium DATES: the Crop Provisions, the Special statement came in the mail. Effective Date: This final rule is Provisions, the Commodity Exchange Consequently, because the producer did effective June 30, 2020. Price Provisions, if applicable, other not pay the full amount owed, as shown Comment Date: FCIC will accept applicable endorsements or options, the on the premium statement, they became comments on this rule until close of actuarial documents for the insured ineligible for future insurance.

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There has also been confusion on FCIC is adding a new section 13(c)(5) double cropped within the applicable 4- whether the AIP is required to apply an to allow the allocation of comingled first year period. offset for any other crop policy insured and second crop production to the FCIC is also adding a new section with the AIP and whether the loss associated crop acreage in proportion to 13(d)(3) to allow eligible double payment was being issued before or the liability for the acreage that was and cropping acres to be based on either: after the premium billing date. was not double cropped. Producers had (1) The greatest number of acres Producers may have multiple policies found challenges keeping separate double cropped in 2 of the last 4 crop with an AIP (policies are issued on a records of acreage and production that years in which the first insured crop crop and county basis), and each policy was and was not double cropped was grown; or may have its own premium billing date. because often the acreage is in the very (2) The percentage of acres FCIC is revising this section to clarify same field and they harvest both first historically double cropped in 2 of the for a crop policy with an indemnity due, and second crop production at the same last 4 crop years in which the first the producer’s premium and time. For example, a producer has two insured crop was grown. administrative fees for that same crop fields in the same unit which are next For example, if a producer has a 100- policy will be offset from any indemnity to each other (contiguous). On one field acre farm and has historically double or prevented planting payment due to they plant wheat, harvest the wheat, and cropped 50 acres planted to wheat the producer even if it is prior to the then plant double crop soybeans. The followed by soybeans (50 percent of acres historically double cropped), and premium billing date (will be applied other field was a single crop of soybeans the producer purchases and plants an automatically). For any other crop only. The producer may harvest both additional 200 acres of wheat for a total policy insured with the AIP, if the claim soybean fields at the same time making of 300 acres of planted wheat, the is to be paid: it difficult to keep the production number of acres eligible for double (1) Prior to the premium billing date, separate. This provision is currently contained in the CCIP Basic Provisions cropping would be based on 50 percent, and the producer agrees, their premium or 150 acres. If the producer has and administrative fees will be offset and it is also appropriate in the ARPI Basic Provisions. historically double cropped wheat from any indemnity or prevented followed by soybeans on some or even planting payment due them (will not be FCIC is adding a new section 13(c)(6) to address double cropping all of the acreage, there is a reasonable applied automatically); or presumption they may continue to do so (2) On or after the premium billing requirements when another plan of insurance does not require records of in the future. This change is currently date, the producer’s premium and production. FCIC is adding a new contained in the CCIP Basic Provisions administrative fees will be offset from paragraph to state that each insured and it is appropriate in the ARPI Basic any indemnity or prevented planting crop must follow its own Basic Provisions. payment due to the producer (will be Provisions, Crop Provisions, and Special applied automatically). CCIP Basic Provisions Provisions to determine if the double For example, a producer in Allen cropping requirements have been met. If The changes to the CCIP Basic County, Kansas, insures both winter the double cropping requirements in the Provisions (7 CFR part 457.8) are as wheat and corn. Winter wheat has a applicable Basic Provisions, Crop follows: premium billing date of July 1 and corn Provisions, or Special Provisions have FCIC is revising the definition of has a premium billing date of August not been met for each insured crop, the ‘‘basic unit’’ to clarify and exclude a 15. The producer was prevented from Basic Provisions for that crop policy portion of the crop in the county acreage planting corn in April. The AIP must apply regarding payment reductions that was reported as an enterprise unit. take the amount owed for premium and when the double cropping requirements A basic unit is all insurable acreage of administrative fees for corn from the are not met. For example, a producer the insured crop in the county on the prevented planting payment. Because it may have both a policy under the date coverage begins for the crop year in is before the premium billing date for Rainfall and Vegetation Index plan of which the insured has 100 percent crop winter wheat, the AIP may take the insurance (RIVI provisions) and CCIP share, or which is owned by one person amount owed for premium and Basic Provisions. If a crop insured under and operated by another person on a administrative fees for winter wheat the Annual Forage Crop Provisions (an share basis. For example, if an insured with the producer’s consent. insurance policy that uses the RIVI owns land and rents land from two FCIC is revising section 2(k)(2)(iii) provisions) is involved in a scenario landlords on a share basis, they would and adding new section where the AIP is determining if the have three basic units for the insured 2(k)(2)(iii)(C)(1)(iv) to broaden the acreage meets the double cropping crop in the county. FCIC is revising the authority given to the RMA’s requirements or if the first crop and definition to clarify and exclude a Administrator to reinstate producers second crop rules apply, the Annual portion of the crop in the county acreage that inadvertently failed to pay a debt Forage Crop Provisions and RIVI that was reported as an enterprise unit. timely. In addition, FCIC is authorizing provisions should be followed not the As written, the definition of the basic the AIPs to allow reinstatement up to 15 CCIP Basic Provisions. unit includes all insurable acreage of the calendar days after a due date for FCIC is revising section 13(d) to crop in the county; however, some of payment received during a previously explain how to determine a producer’s the acreage can be reported as an executed payment agreement. This double cropping acreage eligibility. To enterprise unit, which has a separate includes clarifying that in order to be qualify for double cropping, a producer definition. Therefore, FCIC is updating reinstated, when a producer has a must have records that show the acreage the definition of ‘‘basic unit’’ to previously executed a written payment was double cropped in at least 2 of the correctly reflect the acreage interactions agreement to pay a debt, they are last 4 crop years in which the first with enterprise units and optional units. required to pay the amount due insured crop was grown or have records An enterprise unit is all insurable specified in the payment agreement, that show the applicable acreage meets acreage of a crop or all insurable rather than the full amount owed. The this requirement. The producer’s double irrigated or non-irrigated acreage of the remaining portion of the payment cropping acreage eligibility is then crop in the county in which the insured agreement is not yet due. limited to the highest number of acres has a share. An enterprise unit can be

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comprised of multiple basic units. An after the premium billing date. comments, published in the Federal optional unit is a subdivision of a basic Producers may have multiple policies Register on June 28, 2019 (84 FR 30857). unit. A basic unit can be comprised of with an AIP (policies are issued on a The change made in that rule provided multiple optional units. crop and county basis), and each policy that AIPs will send the changes FCIC is revising the definition of may have its own premium billing date. electronically, unless the policyholder ‘‘second crop’’ to clarify what is FCIC is revising this section to clarify requested a hard copy. The changes considered a second crop. FCIC for a crop policy with an indemnity due, described in that rule were not made in removed references of a cover crop that the producer’s premium and the Code of Federal Regulations. This is hayed or grazed to provide flexibility administrative fees for that same crop rule is making the required technical to producers to utilize a cover crop for policy will be offset from any indemnity corrections to make that change now. forage while considering a cover crop or prevented planting payment due to FCIC is revising section 14(b)(5) to otherwise harvested as grain to be a the producer even if it is prior to the clarify a notice of loss must be filed, by second crop. For example, now a cover premium billing date (will be applied the producer, for an AIP to consider crop will not be considered a second automatically). For any other crop whether the delayed notice impacts crop unless it is planted for harvest as policy insured with the AIP, if the claim their ability to adjust losses as provided grain or seed. For example, barley is to be paid: by section 14(b)(5). This was in planted at a reduced seeding rate (1) Prior to the premium billing date, response to agents filing a blanket notice approved for cover crop use and used and the producer agrees, their premium of loss on behalf of producers and for forage would not be considered a and administrative fees will be offset producers not being aware a loss was second crop. However, barley planted at from any indemnity or prevented filed on their behalf. For example, a full seeding rate for harvest as grain planting payment due them (will not be starting in 2016, 85 percent of burley would be considered a second crop. applied automatically); or tobacco claims were filed on July 1 and FCIC is adding corresponding changes (2) On or after the premium billing listed that date of damage. These claims to section 15(g)(3) of the Basic date, the producer’s premium and were being filed on the first of the Provisions to allow silage, haylage, and administrative fees will be offset from month with anticipation of a loss later. baleage to be treated the same as haying any indemnity or prevented planting Large claims were investigated by RMA and grazing in regard to cover and payment due to the producer (will be and discussed with the producer that at volunteer crops when it comes to applied automatically). the time, the producer did not expect a payment reductions when a crop is For example, a producer in Allen loss. prevented from being planted and a County, Kansas insures both winter FCIC is revising section 15(g)(3)(i) to volunteer crop or cover crop is hayed, wheat and corn. Winter wheat has a state the reduction in prevented or grazed, or cut for silage, haylage, or premium billing date of July 1 and corn planting payment will apply if a baleage from the same acreage during has a premium billing date of August volunteer crop or cover crop is hayed, the crop year. 15. The producer was prevented from grazed, or cut for silage, haylage, or FCIC is revising the definition of planting corn in April. The AIP must baleage from the same acreage, after the ‘‘veteran farmer or rancher’’ by take the amount owed for premium and late planting period (or after the final replacing the word ‘‘and’’ with ‘‘or’’ administrative fees for corn from the planting date if a late planting period is after the phrase, ‘‘Air Force,’’. FCIC is prevented planting payment. Because it not applicable) for the first insured crop also revising the definition to use is before the premium billing date for in the same crop year. Prior to this final semicolons to separate the items of the winter wheat, the AIP may take the rule, the provisions in the regulation did list in this definition because one of the amount owed for premium and not treat cutting a volunteer crop or items in the list contains commas and administrative fees for winter wheat cover crop for silage, haylage, or baleage a semicolon will avoid potential with the producer’s consent. the same as it does for haying and confusion. FCIC is revising section 2(f)(2)(iii) and grazing. This change will allow silage, FCIC is revising section 2(e) to clarify adding new section 2(f)(2)(iii)(C)(1)(iv) haylage, and baleage to be treated the when AIPs must apply premium credits to broaden the authority given to the same as haying and grazing regarding when paying a claim on a policy. AIPs RMA’s Administrator to reinstate cover and volunteer crops. must apply premium credits when producers that inadvertently failed to FCIC is removing the provisions from paying a claim on a policy. There has pay a debt timely. In addition, FCIC is section 15(h)(5)(i) and moving the been some confusion regarding when an authorizing the AIPs to allow provisions to a new section 15(i)(3). The AIP must offset premium and reinstatement up to 15 calendar days provisions provide instructions to administrative fees owed to them when after a due date for payment received determine the amount of historical an indemnity or prevented planting during a previously executed payment double cropping acres that are available payment is simultaneously owed to the agreement. This includes clarifying that to use for insurance in the current crop producer. This has led to situations in order to be reinstated, when a year. where the producer incorrectly assumed producer has a previously executed FCIC is adding a new section 15(h)(7) their premium had been deducted from written payment agreement to pay a to address double cropping their indemnity payment and did not debt, they are required to pay the requirements when another plan of pay their premium when their premium amount due specified in the payment insurance does not require records of statement came in the mail. agreement, rather than the full amount production. FCIC is adding a new Consequently, because the producer did owed. The remaining portion of the section to provide that each insured not pay the full amount owed, as shown payment agreement is not yet due. crop must follow its own Basic on the premium statement, they became FCIC is revising section 4(c) and Provisions, Crop Provisions, and Special ineligible for future insurance. adding paragraph (d). Changes to Provisions to determine if the double There has also been confusion on section 4 were made in the Catastrophic cropping requirements have been met. If whether the AIP is required to apply an Risk Protection Endorsement; Area Risk the double cropping requirements in the offset for any other crop policy insured Protection Insurance Regulations; and applicable Basic Provisions, Crop with the AIP and whether the loss Common Crop Insurance Policy Basic Provisions, or Special Provisions have payment was being issued before or Provisions Final rule with request for not been met for each insured crop, the

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Basic Provisions for that crop policy has 3,000 cropland acres available to doesn’t qualify. If discovery for not apply regarding payment reductions plant. Therefore, the producer plans to qualifying is on or before the acreage when the double cropping plant 500 acres of sugar beets, 1,250 reporting date, the producer has an requirements. For example, a producer acres of soybeans, and 1,250 acres of additional option to elect an enterprise may have both a policy under the RIVI corn. With a wet spring, the producer is unit on one practice and a basic or provisions and CCIP Basic Provisions. If only able to plant 1,000 acres of corn, optional unit on the other practice. the Annual Forage Crop Provisions (an 1,000 acres of soybeans, and 500 acres Previously, a producer’s options were insurance policy that uses the RIVI of contracted sugar beets. Under the either one enterprise unit containing provisions) is one of the crops involved provisions prior to this regulation, the both practices or basic or optional units in a scenario where the AIP is producer would not have qualified for for both practices, whichever the determining if the acreage meets the prevented planting on the remaining producer reported on the acreage report double cropping requirements or if the 500 acres in the farming operation and qualified for. first crop and second crop rules apply, (despite that they have planted and FCIC is adding provisions to section the Annual Forage Crop Provisions and insured 3,000 cropland acres in the past 36 to provide another risk management RIVI provisions should be followed not 5 years) because section 17(e)(1)(iii) option to producers that will allow a the CCIP Basic Provisions. stated that the number of eligible acres producer to replace post-quality FCIC is revising the language in 15(i) for any crop that must be contracted production amounts in the APH to explain how to determine a with a processor to be insured will be databases with their pre-quality producer’s double cropping acreage the number of acres specified in the production amounts, therefore eligibility. To qualify for double processor contract. However, under the increasing their APH database yield for cropping a producer must have records provisions prior to this rule, if there was individual crop years with a Notice of that show the acreage was double no contract in place, the producer could Loss. This quality loss option’s overall cropped in at least 2 of the last 4 crop use their history of the contracted crop. impact is to prevent an insured years in which the first insured crop Under the revised provisions, if the producer’s guarantee from declining due was grown or have records that show producer has exhausted eligible acres to to low quality when this option is the applicable acreage meets this provide prevented planting coverage for elected. requirement. The producer’s double all insured cropland acres in the Section 11122 of the 2018 Farm Bill cropping acreage eligibility is then farming operation due to a reduced required that FCIC research and develop limited to the highest number of acres contract in the current crop year, the methods of adjusting for quality losses double cropped within the applicable 4- previous crop year’s contract may be that: year period. used for the remaining acres. In this FCIC is adding a new section (1) Do not impact the actual example, the producer would be eligible production history of a producer; 17(e)(1)(iii)(C) to clarify how eligible for 3,000 acres of prevented planting (2) Allow producers to exclude a acres are determined for crops that paid in accordance with section 17(h) of quality loss from their actual production require a processor contract to be the CCIP Basic Provisions. insured. FCIC has been asked to address FCIC is revising section 17(f)(4)(ii) history when the quality loss is situations where some producers had regarding how to determine a producer’s insufficient to trigger an indemnity reduced contracted acreage, which was double cropping acreage eligibility. payment; not reduced solely due to prevented Consistent with section 15(i), to qualify (3) Is optional for a producer to use; planting, or have no contracted acres for for double cropping a producer must and the current crop year. Some producers have records that show the acreage was (4) Is offered at an actuarially sound in this reduced or no contracted acres double cropped in at least 2 of the last premium rate. scenario have exhausted all eligible 4 crop years in which the insured crop Over the past year, RMA has prevented planting acreage and are not that is prevented from being planted conducted research and development eligible to provide prevented planting was grown or have records that show efforts as required by the 2018 Farm coverage to remaining cropland acres. the applicable acreage meets this Bill, including extensive stakeholder Therefore, FCIC is adding new section requirement. The producer’s double outreach, for implementing this option. 17(e)(iii)(C) to allow a producer who has cropping acreage eligibility is then Coarse Grains Crop Insurance exhausted eligible acres to provide limited to the highest number of acres Provisions prevented planting coverage for all double cropped within the applicable 4- insured cropland acres in the farming year period. The changes to the Coarse Grains operation due to a reduced contract in FCIC is revising section 17(f)(5) to Crop Insurance Provisions (7 CFR the current crop year, to use the revise prevented planting and cover 457.113) are: previous crop year’s contract for the crops provisions. FCIC is clarifying that FCIC is revising section 2(c)(1) to remaining acres. This is to incorporate haying or grazing a cover crop will not replace the phrase, ‘‘or separate changes issued under Manager’s impact eligibility for a prevented enterprise units for both,’’ with ‘‘or Bulletin: MGR–19–029 (Prevented planting payment provided such action separate enterprise units for one or both Planting Eligible Acre History when did not contribute to the acreage being practices,’’ to clarify what options for Contracted Crop Acres are Reduced), prevented from planting. This enterprise unit elections are available. published on RMA’s website on incorporates allowances from a Special As previously written, the intended December 23, 2019. FCIC has also added Provisions statement and in result, the meaning may not have been clear and a reference to the new section Special Provisions statement is the change will make it clear that if 17(e)(1)(iii)(C) in section 17(h)(4). removed. enterprise unit elections are made, an For example, a producer has always FCIC is revising section enterprise unit must be elected by both grown 1,000 acres of contracted sugar 34(a)(4)(viii)(C) to clarify current unit FAC and NFAC practices, rather than beets, 1,000 acres of soybeans, and 1,000 structure options and add an additional the option of electing an enterprise unit acres of corn. For the 2020 crop year, unit option when enterprise units for for one practice, and basic or optional the producer’s sugar beet contract was both irrigated and non-irrigated units on the other practice; or enterprise reduced to 500 acres. The producer still practices are elected, but the producer units for both practices.

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FCIC is revising section 2(a)(i)(4) to Effective Date and Notice and Comment general response to the requirements of clarify current unit structure options The Administrative Procedure Act Executive Order 13777, USDA created a and add an additional unit option when (APA, 5 U.S.C. 553) provides that the Regulatory Reform Task Force, and enterprise units for both FAC notice and comment and 30-day delay USDA agencies were directed to remove (Following Another Crop) and NFAC in the effective date provisions do not barriers, reduce burdens, and provide (Not Following Another Crop) cropping apply when the rule involves specified better customer service both as part of practices are elected, but the producer actions, including matters relating to the regulatory reform of existing doesn’t qualify. If discovery for not contracts. This rule governs contracts regulations and as an ongoing approach. qualifying is on or before the acreage for crop insurance policies and therefore FCIC reviewed this regulation and made reporting date, the producer has an falls within that exemption. changes to improve any provision that additional option to elect an enterprise For major rules, the Congressional was determined to be outdated, unit on one cropping practice and a Review Act requires a delay the unnecessary, or ineffective. basic or optional unit on the other effective date of 60 days after Clarity of the Regulation cropping practice. Previously, a publication to allow for Congressional Executive Order 12866, as producer’s options were either one review. This rule is not a major rule supplemented by Executive Order enterprise unit containing both cropping under the Congressional Review Act, as 13563, requires each agency to write all practices or basic or optional units for defined by 5 U.S.C. 804(2). Therefore, rules in plain language. In addition to both cropping practices, whichever the this final rule is effective June 30, 2020. your substantive comments on this rule, producer reported on the acreage report Although not required by APA or any we invite your comments on how to and qualified for. This is consistent with other law, FCIC has chosen to request make the rule easier to understand. For similar changes made to the CCIP Basic comments on this rule. Provisions for enterprise units by example: separate irrigation practices. Executive Orders 12866, 13563, 13771 • Are the requirements in the rule and 13777 clearly stated? Are the scope and intent Miscellaneous Changes Executive Order 12866, ‘‘Regulatory of the rule clear? • Does the rule contain technical In addition to the changes discussed Planning and Review,’’ and Executive above, FCIC is making non-substantive language or jargon that is not clear? Order 13563, ‘‘Improving Regulation • changes in the regulations. Examples of Is the material logically organized? and Regulatory Review,’’ direct agencies • these changes include making Would changing the grouping or to assess all costs and benefits of order of sections or adding headings references consistent, updating the available regulatory alternatives, and if website address, making grammatical make the rule easier to understand? regulation is necessary, to select • Could we improve clarity by adding corrections, and clarifying word regulatory approaches that maximize changes. tables, lists, or diagrams? net benefits (including potential • Would more, but shorter, sections FCIC is revising references throughout economic, environmental, public health be better? Are there specific sections the regulations in §§ 407.9 and 457.8 to and safety effects, distributive impacts, that are too long or confusing? consistently refer to ‘‘FCIC procedures.’’ and equity). Executive Order 13563 • What else could we do to make the FCIC refers to these documents emphasized the importance of rule easier to understand? inconsistently throughout the ARPI and quantifying both costs and benefits, of the CCIP regulations. For example, the reducing costs, of harmonizing rules, Regulatory Flexibility Act same documents are referred to as and of promoting flexibility. The The Regulatory Flexibility Act (5 ‘‘procedures issued by FCIC’’ and ‘‘FCIC requirements in Executive Orders 12866 U.S.C. 601–612), as amended by issued procedures.’’ and 13563 for the analysis of costs and SBREFA, generally requires an agency FCIC is revising the ARPI definition of benefits apply to rules that are to prepare a regulatory analysis of any ‘‘actuarial documents’’ to remove the determined to be significant. Executive rule whenever an agency is required by reference to ‘‘http://www.rma.usda. Order 13777, ‘‘Enforcing the Regulatory APA or any other law to publish a gov/.’’ The definition refers to RMA’s Reform Agenda,’’ established a Federal proposed rule, unless the agency website which refers to this URL, policy to alleviate unnecessary certifies that the rule will not have a therefore the URL is not needed in the regulatory burdens on the American significant economic impact on a definition of ‘‘actuarial documents.’’ people. substantial number of small entities. FCIC is revising the definition of The Office of Management and Budget This rule is not subject to the Regulatory ‘‘veteran farmer or rancher’’ in ARPI and (OMB) designated this rule as not Flexibility Act because as noted above, CCIP to make minor, non-substantive significant under Executive Order this rule is exempt from APA and no grammatical corrections. 12866, ‘‘Regulatory Planning and other law requires that a proposed rule FCIC is revising ARPI section 3(d) to Review,’’ and therefore, OMB has not be published for this rulemaking revise the word ‘‘provided’’ to reviewed this rule and analysis of the initiative. ‘‘notified’’ for clarity. costs and benefits is not required under FCIC is revising ARPI section 20(b)(3) either Executive Order 12866 or 13563. Environmental Review and CCIP section 33(b)(3) to change the Executive Order 13771, ‘‘Reducing In general, the environmental impacts beginning of the paragraph from ‘‘Will Regulation and Controlling Regulatory of rules are to be considered in a be conclusively’’ to ‘‘Conclusively’’ Costs,’’ requires that in order to manage manner consistent with the provisions because the lead-in contained in the the private costs required to comply of the National Environmental Policy introductory paragraph of each of those with Federal regulations that for every Act (NEPA, 42 U.S.C. 4321–4347) and sections already contains the term ‘‘will new significant or economically the regulations of the Council on be.’’ significant regulation issued, the new Environmental Quality (40 CFR parts FCIC is revising the ARPI and CCIP costs must be offset by savings from 1500–1508). FCIC conducts programs definition of ‘‘RMA website’’ to replace deregulatory actions. As this rule is and activities that have been determined the URL with the current URL designated as not significant, it is not to have no individual or cumulative www.rma.usda.gov. subject to Executive Order 13771. In a effect on the human environment. As

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specified in 7 CFR 1b.4, FCIC is Executive Order 13175 Assistance to which this rule applies is categorically excluded from the No. 10.450—Crop Insurance. preparation of an Environmental This rule has been reviewed in accordance with the requirements of Paperwork Reduction Act of 1995 Analysis or Environmental Impact Executive Order 13175, ‘‘Consultation Statement unless the FCIC Manager In accordance with the provisions of and Coordination with Indian Tribal (agency head) determines that an action the Paperwork Reduction Act of 1995 Governments.’’ Executive Order 13175 may have a significant environmental (44 U.S.C. chapter 35, subchapter I), the requires Federal agencies to consult and rule does not change the information effect. The FCIC Manager has coordinate with Tribes on a determined this rule will not have a collection approved by OMB under government-to-government basis on control numbers 0563–0053. significant environmental effect. policies that have Tribal implications, Therefore, FCIC will not prepare an including regulations, legislative E-Government Act Compliance environmental assessment or comments or proposed legislation, and FCIC is committed to complying with environmental impact statement for this other policy statements or actions that the E-Government Act, to promote the action and this rule serves as have substantial direct effects on one or use of the internet and other documentation of the programmatic more Indian Tribes, on the relationship information technologies to provide environmental compliance decision. between the Federal Government and increased opportunities for citizen Executive Order 12372 Indian Tribes or on the distribution of access to Government information and power and responsibilities between the services, and for other purposes. Executive Order 12372, Federal Government and Indian Tribes. List of Subjects ‘‘Intergovernmental Review of Federal RMA has assessed the impact of this Programs,’’ requires consultation with rule on Indian Tribes and determined 7 CFR Part 407 State and local officials that would be that this rule does not, to our Acreage allotments, Administrative directly affected by proposed Federal knowledge, have Tribal implications practice and procedure, Barley, Corn, financial assistance. The objectives of that require Tribal consultation under Cotton, Crop insurance, Peanuts, the Executive Order are to foster an E.O. 13175. The regulation changes do Reporting and recordkeeping intergovernmental partnership and a not have Tribal implications that requirements, Sorghum, Soybeans, strengthened federalism, by relying on preempt Tribal law and are not expected Wheat. State and local processes for State and have a substantial direct effect on one or local government coordination and more Indian Tribes. If a Tribe requests 7 CFR Part 457 review of proposed Federal financial consultation, RMA will work with the Acreage allotments, Crop insurance, assistance and direct Federal USDA Office of Tribal Relations to Reporting and recordkeeping development. For reasons specified in ensure meaningful consultation is requirements. the final rule related notice regarding 7 provided where changes, additions, and For the reasons discussed above, FCIC CFR part 3015, subpart V (48 FR 29115, modifications identified in this rule are amends 7 CFR parts 407 and 457, June 24, 1983), the programs and not expressly mandated by Congress. effective for the 2021 crop year for crops activities in this rule are excluded from The Unfunded Mandates Reform Act of with a contract change date on or after the scope of Executive Order 12372. 1995 June 30, 2020, and for the 2022 and succeeding crop years for all other Executive Order 12988 Title II of the Unfunded Mandates crops, as follows: This rule has been reviewed under Reform Act of 1995 (UMRA, Pub. L. 104–4) requires Federal agencies to PART 407—AREA RISK PROTECTION Executive Order 12988, ‘‘Civil Justice INSURANCE REGULATIONS Reform.’’ This rule will not preempt assess the effects of their regulatory actions of State, local, and Tribal State or local laws, regulations, or governments or the private sector. ■ 1. The authority citation for 7 CFR policies unless they represent an Agencies generally must prepare a part 407 continues to read as follows: irreconcilable conflict with this rule. written statement, including cost Authority: 7 U.S.C. 1506(l) and 1506(o). Before any judicial actions may be benefits analysis, for proposed and final brought regarding the provisions of this ■ 2. Amend § 407.9 as follows: rules with Federal mandates that may rule, the administrative appeal ■ a. In the introductory text, remove the result in expenditures of $100 million or year ‘‘2017’’ and add ‘‘2021’’ in its provisions of 7 CFR part 11 are to be more in any 1 year for State, local or exhausted. place; Tribal governments, in the aggregate, or ■ b. Under the second heading for Executive Order 13132 to the private sector. UMRA generally ‘‘[FCIC Policies]’’, revise the second and requires agencies to consider third paragraphs; This rule has been reviewed under alternatives and adopt the more cost ■ c Under the second heading for Executive Order 13132, ‘‘Federalism.’’ effective or least burdensome alternative ‘‘[Reinsured Policies]’’, revise the The policies contained in this rule do that achieves the objectives of the rule. second and fourth paragraphs; not have any substantial direct effect on This rule contains no Federal mandates, ■ d. In section 1: States, on the relationship between the as defined in Title II of UMRA, for State, ■ i. In the definition of ‘‘actuarial Federal Government and the States, or local, and Tribal governments or the documents’’, remove the phrase ‘‘RMA’s on the distribution of power and private sector. Therefore, this rule is not website, http://www.rma.usda.gov/,’’ responsibilities among the various subject to the requirements of sections and add ‘‘RMA’s website’’ in its place; levels of government, except as required 202 and 205 of UMRA. ■ ii. In the definition of ‘‘production by law. Nor does this rule impose Federal Assistance Program report’’, remove the words ‘‘FCIC substantial direct compliance costs on approved procedures’’ and add ‘‘FCIC State and local governments. Therefore, The title and number of the Federal procedures’’ in their place; consultation with the States is not Domestic Assistance Program listed in ■ iii. In the definition of ‘‘RMA’s required. the Catalog of Federal Domestic website’’, remove the website address

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‘‘http://www.rma.usda.gov/’’ and add the accepted application and ‘‘we,’’ policy. If there is a conflict between the ‘‘www.rma.usda.gov’’ in its place; and ‘‘us,’’ and ‘‘our’’ refer to FCIC. Unless Act, the regulations in 7 CFR chapter IV, ■ iv. Revise the definitions of ‘‘second the context indicates otherwise, the use and FCIC procedures, the order of crop’’ and ‘‘veteran farmer or rancher;’’ of the plural form of a word includes the precedence is: (1) The Act; (2) the ■ e. In section 2: singular and the singular form of the regulations; and (3) FCIC procedures. If ■ i. Add paragraphs (j)(3) and (4); word includes the plural. there is a conflict between the policy ■ ii. Revise paragraph (k)(2)(iii)(B)(1); AGREEMENT TO INSURE: In return provisions in 7 CFR part 407 and the ■ iii. In paragraph (k)(2)(iii)(C) for the commitment to pay a premium, administrative regulations in 7 CFR part introductory text, remove the words and subject to all of the provisions of 400, the policy provisions in 7 CFR part ‘‘FCIC issued procedures’’ and add this policy, we agree with you to 407 apply. The order of precedence ‘‘FCIC procedures’’ in their place; provide the insurance as stated in this among the policy is: (1) The ■ iv. In paragraph (k)(2)(iii)(C)(1)(ii), policy. If there is a conflict between the Catastrophic Risk Protection remove the word ‘‘or’’ at the end of the Act, the regulations in 7 CFR chapter IV, Endorsement, as applicable; (2) Special paragraph; and FCIC procedures, the order of Provisions; (3) actuarial documents; (4) ■ v. In paragraph (k)(2)(iii)(C)(1)(iii), precedence is: (1) The Act; (2) the Commodity Exchange Price Provisions; add the word ‘‘or’’ at the end of the regulations; and (3) FCIC procedures. If (5) the Crop Provisions; and (6) these paragraph; and there is a conflict between the policy Basic Provisions. ■ vi. Add paragraph (k)(2)(iii)(C)(1)(iv); provisions in 7 CFR part 407 and the * * * * * ■ f. In section 3, in paragraph (d), administrative regulations in 7 CFR part remove the word ‘‘provided’’ and add 400, the policy provisions published at 1. Definitions ‘‘notified’’ in its place; 7 CFR part 407 apply. The order of * * * * * ■ g. In section 7, in paragraph precedence for the policy is: (1) The Second crop. With respect to a single (i)(2)(i)(A), remove the words ‘‘FCIC Catastrophic Risk Protection crop year, the next occurrence of approved procedures’’ and add ‘‘FCIC Endorsement, as applicable; (2) Special planting any commodity for harvest procedures’’ in their place; Provisions; (3) actuarial documents; (4) following a first insured crop on the ■ h. In section 13: the applicable Commodity Exchange same acreage. The second crop may be ■ i. In paragraph (c)(4), remove the Price Provisions; (5) the Crop period at the end of the paragraph and Provisions; and (6) these Basic the same or a different agricultural add a semicolon in its place; Provisions. commodity as the first insured crop, ■ ii. Add paragraphs (c)(5) and (6); except the term does not include a ■ iii. Revise paragraph (d) introductory [Reinsured Policies] replanted crop. If following a first text; and * * * * * insured crop, a cover crop is planted on ■ iv. Add paragraph (d)(3); This insurance policy is reinsured by the same acreage and harvested for grain ■ i. In section 20, in paragraph (b)(3), FCIC under the provisions of Subtitle A or seed, it is considered to be a second remove the words ‘‘Will be of the Federal Crop Insurance Act (7 crop. A cover crop that is covered by conclusively’’ and add ‘‘Conclusively’’ U.S.C. 1501–1524) (Act). All provisions FSA’s noninsured crop disaster in their place. of the policy and rights and assistance program (NAP) or receives The revisions and additions read as responsibilities of the parties are other USDA benefits associated with follows: specifically subject to the Act. The forage crops will be considered a second provisions of the policy may not be crop. A crop meeting the conditions in § 407.9 Area risk protection insurance waived or varied in any way by us, our this definition is considered to be a policy. insurance agent or any other contractor second crop regardless of whether or not This insurance is available for the or employee of ours, or any employee of it is insured. 2021 and succeeding years. USDA. We will use FCIC procedures * * * * * * * * * * (handbooks, underwriting rules, Veteran farmer or rancher. (1) An manuals, memoranda, and bulletins), [FCIC Policies] individual who has served active duty published on the Risk Management in the United States Army, Navy, * * * * * Agency (RMA’s) website at Marine Corps, Air Force, or Coast This is an insurance policy issued by www.rma.usda.gov or a successor Guard, including the reserve FCIC, under the provisions of the website, in the administration of this components; was discharged or released Federal Crop Insurance Act (7 U.S.C. policy, including the adjustment of any under conditions other than 1501–1524) (Act). All provisions of the loss or claim submitted under this dishonorable; and: policy and rights and responsibilities of policy. In the event that we cannot pay (i) Has not operated a farm or ranch; the parties are specifically subject to the your loss because we are insolvent or Act. The provisions of the policy may are otherwise unable to perform our (ii) Has operated a farm or ranch for not be waived or modified in any way duties under our reinsurance agreement not more than 5 years; or by us, your insurance agent, or any with FCIC, FCIC will become your (iii) First obtained status as a veteran employee of USDA. FCIC procedures insurer, make all decisions in during the most recent 5-year period. (handbooks, underwriting rules, accordance with the provisions of this (2) A person, other than an manuals, memoranda, and bulletins), policy, including any loss payments, individual, may be eligible for veteran and published on the Risk Management and be responsible for any amounts farmer or rancher benefits if all Agency’s (RMA) website at owed. No state guarantee fund will be substantial beneficial interest holders www.rma.usda.gov or a successor liable for your loss. qualify individually as a veteran farmer website, will be used in the * * * * * or rancher in accordance with paragraph administration of this policy, including AGREEMENT TO INSURE: In return (1) of this definition. A spouse’s veteran the adjustment of any loss or claim for the commitment to pay a premium, status does not impact whether an submitted under this policy. and subject to all of the provisions of individual is considered a veteran Throughout this policy, ‘‘you’’ and this policy, we agree with you to farmer or rancher. ‘‘your’’ refer to the insured shown on provide the insurance as stated in this * * * * *

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2. Life of Policy, Cancellation, and not been met for each insured crop, words ‘‘FCIC approved procedures’’ and Termination section 13(a) of these Basic Provisions add ‘‘FCIC procedures’’ in their place; ■ ii. Revise the definition of ‘‘basic * * * * * apply. (d) If you provided acceptable records unit’’; (j) * * * ■ (3) For this agricultural commodity in accordance with section 13(c), your iii. In the definition of ‘‘claim for policy, your premium and double cropping history is limited to the indemnity’’, remove the words ‘‘FCIC highest number of acres double cropped administrative fees will be offset from issued procedures’’ and add ‘‘FCIC within the applicable four-year period any indemnity payment due to you even procedures’’ in their place; as determined in section 13(c)(4). ■ iv. In the definition of ‘‘production if it is prior to the premium billing date. report’’, in the last sentence, remove the (4) For any other agricultural * * * * * words ‘‘FCIC approved procedures’’ and commodity policy insured with us and (3) If you acquired additional land for add ‘‘FCIC procedures’’ in their place; it is: the current crop year and the following ■ v. In the definition of ‘‘RMA’s (i) Prior to the premium billing date, calculation results in a greater number website’’, remove the website address and you agree, your premium and of double cropping acres than ‘‘http://www.rma.usda.gov/’’ and add administrative fees will be offset from determined in section 13(c), you may ‘‘www.rma.usda.gov’’ in its place; and any indemnity payment due to you; or apply the percentage of acres that you ■ vii. Revise the definitions of ‘‘second (ii) On or after the premium billing have previously double cropped to the total cropland acres that you are farming crop’’ and ‘‘veteran farmer or rancher’’. date, your premium and administrative ■ d. In section 2: fees will be offset from any indemnity this year (if greater): (i) Determine the number of acres of ■ i. Add paragraphs (e)(3) and (4); payment due to you. ■ ii. In paragraph (f)(2)(i)(D), remove the (k) * * * the first insured crop that were double cropped in each of the years for which ‘‘; or’’ at the end of the paragraph and (2) * * * add a period in its place; (iii) * * * double cropping records are provided (for example, records are provided ■ iii. Revise paragraph (f)(2)(iii)(B)(1); (B) * * * ■ iv. In paragraph (f)(2)(iii)(C) (1) In accordance with 7 CFR part 400, showing: 100 acres of wheat planted in 2019 and 50 of those acres were double introductory text, remove the words subpart U, and FCIC procedures, you ‘‘FCIC issued procedures’’ and add provide documentation that your cropped with soybeans; and 100 acres of wheat planted in 2020 and 70 of those ‘‘FCIC procedures’’ in their place; inadvertent failure to pay your debt is ■ v. In paragraph (f)(2)(iii)(C)(1)(ii), due to an unforeseen or unavoidable acres were double cropped with soybeans); remove the word ‘‘or’’ at the end of the event or other extenuating paragraph; circumstances that created the (ii) Divide each result of section 13(d)(3)(i) by the number of acres of the ■ vi. In paragraph (f)(2)(iii)(C)(1)(iii), inadvertent failure for you to make remove the period at the end of the timely payment; first insured crop that were planted in each respective year (in the example in paragraph and add ‘‘; or’’ in its place; * * * * * section 13(d)(3)(i), 50 divided by 100 and ■ (iv) For previously executed written equals 50 percent of the first insured vii. Add paragraph (f)(2)(iii)(C)(1)(iv); ■ payment agreements, you made the full crop acres that were double cropped in e. In section 3, in paragraph (l) payment of the scheduled payment 2019 and 70 divided by 100 equals 70 introductory text, add a comma amount owed within 15 calendar days percent of the first insured crop acres following the phrase ‘‘or veteran farmer after the missed payment date. that were double cropped in 2020); or rancher’’; ■ * * * * * (iii) Add the results of section f. In section 4: ■ 13(d)(3)(ii) and divide by the number of i. Revise paragraph (c); and 13. Indemnity and Premium Limitations ■ years the first insured crop was double ii. Add paragraph (d); ■ g. In section 6, in paragraph * * * * * cropped (in the example in section (a)(3)(ii)(C), add the word ‘‘and’’ at the (c) * * * 13(d)(3)(i), 50 plus 70 equals 120 (5) If you do not have records of end of the paragraph; divided by 2 equals 60 percent); and ■ acreage and production specific to the (iv) Multiply the result of section h. In section 7, in paragraph double cropped acreage, as required in 13(d)(3)(iii) by the number of insured (h)(2)(i)(A), remove the words ‘‘FCIC section 13(h)(4), but instead have acres of the first insured crop (in the approved procedures’’ and add ‘‘FCIC records that combine production from example in section 13(d)(3)(i), 60 procedures’’ in their place; ■ i. In section 14: acreage you double cropped with percent multiplied by the number of ■ i. Revise paragraphs (b) introductory records of production from acreage you wheat acres insured in 2021); text and (b)(5) introductory text; and did not double crop, we will allocate the * * * * * ■ ii. In paragraph (e)(1)(i), remove the first and second crop production to the words ‘‘can not’’ and add ‘‘cannot’’ in PART 457—COMMON CROP specific acreage in proportion to the their place; INSURANCE REGULATIONS liability for the acreage that was and ■ j. In section 15: was not double cropped; and ■ i. In paragraph (c), remove the words (6) With respect to double cropped ■ 3. The authority citation for part 457 continues to read as follows: ‘‘fire and hail’’ and add ‘‘hail and fire’’ acreage for which one of the crops you in their place; have double cropped is insured under a Authority: 7 U.S.C. 1506(l) and 1506(o). ■ ii. Revise paragraph (g)(3)(i); plan of insurance not covered under ■ 4. Amend § 457.8 as follows: ■ iii. Revise paragraph (h)(5)(i); these Basic Provisions, each insured ■ a. Under the heading ‘‘FCIC Policies’’, ■ iii. Add paragraph (h)(7); crop must follow its own Basic revise the first and third paragraphs; ■ iv. Revise paragraph (i) introductory Provisions, Crop Provisions, and Special ■ b Under the heading ‘‘Reinsured text; and Provisions to determine if the double Policies’’, revise the first and third ■ v. Add paragraph (i)(3); cropping requirements have been met. If paragraphs; ■ k. In section 17: the double cropping requirements in the ■ c. In section 1: ■ i. In paragraph (e)(1)(i)(B)(3), remove applicable Basic Provisions, Crop ■ i. In the definition of ‘‘approved the word ‘‘lease’’ and add ‘‘leased’’ in its Provisions, or Special Provisions have yield’’, in the last sentence, remove the place;

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■ ii. Add paragraph (e)(1)(iii)(C); as applicable; (4) the Crop Provisions; remaining insurable acreage is reported ■ iii. In paragraph (f)(1)(iii), remove the and (5) these Basic Provisions. and insured as a basic or optional unit: word ‘‘contact’’ and add ‘‘contract’’ in Reinsured Policies (1) In which you have 100 percent its place; crop share; or ■ iv. Revise paragraph (f)(4)(ii); This insurance policy is reinsured by (2) That is owned by one person and ■ v. In paragraph (f)(5)(ii), remove the the Federal Crop Insurance Corporation operated by another person on a share words ‘‘or cover’’; and ■ (FCIC) under the provisions of the basis. (Example: If, in addition to the vi. Revise paragraph (h)(4); Federal Crop Insurance Act (Act) (7 ■ l. In section 33, in paragraph (b)(3), land you own, you rent land from five U.S.C. 1501–1524). All provisions of the remove the words ‘‘Will be landlords, three on a crop share basis policy and rights and responsibilities of conclusively’’ and add ‘‘Conclusively’’ and two on a cash basis, you would be the parties are specifically subject to the in their place; entitled to four units; one for each crop Act. The provisions of the policy may ■ m. In section 34: share lease and one that combines the ■ i. In paragraph (a)(4)(i)(B), remove the not be waived or varied in any way by two cash leases and the land you own.) words ‘‘FCIC issued procedures’’ and us, our insurance agent or any other Land that would otherwise be one unit add ‘‘FCIC procedures’’ in their place; contractor or employee of ours, or any may, in certain instances, be divided ■ ii. Revise paragraph (a)(4)(viii)(C); employee of USDA unless the policy according to guidelines contained in ■ iii. In paragraph (c)(1)(i), remove the specifically authorizes a waiver or section 34 of these Basic Provisions and words ‘‘FCIC issued procedures’’ and modification by written agreement. We in the applicable Crop Provisions. add ‘‘FCIC procedures’’ in their place; will use FCIC procedures (handbooks, * * * * * and manuals, memoranda and bulletins) published on the RMA’s website at Second crop. With respect to a single ■ iv. In paragraph (c)(1)(ii), remove the crop year, the next occurrence of words ‘‘FCIC issued procedure’’ and add www.rma.usda.gov or a successor website, in the administration of this planting any agricultural commodity for ‘‘FCIC procedures’’ in their place; and harvest following a first insured crop on ■ n. Revise section 36. policy, including the adjustment of any loss or claim submitted under this the same acreage. The second crop may The revisions and additions read as be the same or a different agricultural follows: policy. In the event that we cannot pay your loss because we are insolvent or commodity as the first insured crop, § 457.8 The application and policy. are otherwise unable to perform our except the term does not include a * * * * * duties under our reinsurance agreement replanted crop. If following a first with FCIC, your claim will be settled in insured crop, a cover crop is planted on FCIC Policies accordance with the provisions of this the same acreage and harvested for grain This is an insurance policy issued by policy and FCIC will be responsible for or seed it is considered to be a second the Federal Crop Insurance Corporation any amounts owed. No state guarantee crop. A cover crop that is covered by (FCIC). The provisions of the policy may fund will be liable for your loss. FSA’s noninsured crop disaster assistance program (NAP) or receives not be waived or modified in any way * * * * * by us, your insurance agent or any other USDA benefits associated with employee of USDA unless the policy AGREEMENT TO INSURE: In return forage crops will be considered a second specifically authorizes a waiver or for the payment of the premium, and crop. A crop meeting the conditions modification by written agreement. subject to all of the provisions of this stated in this definition will be FCIC procedures (handbooks, manuals, policy, we agree with you to provide the considered to be a second crop memoranda, and bulletins), published insurance as stated in this policy. If regardless of whether or not it is on the RMA’s website at there is a conflict between the Act, the insured. www.rma.usda.gov or a successor regulations in 7 CFR chapter IV, and * * * * * website will be used in the FCIC procedures, the order of Veteran farmer or rancher. (1) An administration of this policy, including precedence is: (1) The Act; (2) the individual who has served active duty the adjustment of any loss or claim regulations; and (3) FCIC procedures. If in the United States Army, Navy, submitted under this policy. there is a conflict between the policy Marine Corps, Air Force, or Coast provisions in 7 CFR part 457 and the * * * * * Guard, including the reserve AGREEMENT TO INSURE: In return administrative regulations in 7 CFR part components; was discharged or released for the payment of the premium, and 400, the policy provisions in 7 CFR part under conditions other than subject to all of the provisions of this 457 apply. If a conflict exists among the dishonorable; and: policy, the order of precedence is: (1) policy, we agree with you to provide the (i) Has not operated a farm or ranch; insurance as stated in this policy. If The Catastrophic Risk Protection Endorsement, as applicable; (2) the (ii) Has operated a farm or ranch for there is a conflict between the Act, the not more than 5 years; or regulations in 7 CFR chapter IV, and Special Provisions; (3) the actuarial FCIC procedures, the order of documents; (4) the Commodity (iii) First obtained status as a veteran precedence is: (1) The Act; (2) the Exchange Price Provisions, as during the most recent 5-year period. regulations; and (3) FCIC procedures. If applicable; (5) the Crop Provisions; and (2) A person, other than an there is a conflict between the policy (6) these Basic Provisions. individual, may be eligible for veteran provisions in 7 CFR part 457 and the * * * * * farmer or rancher benefits if all substantial beneficial interest holders administrative regulations in 7 CFR part 1. Definitions 400, the policy provisions in 7 CFR part qualify individually as a veteran farmer 457 control. If a conflict exists among * * * * * or rancher in accordance with paragraph the policy provisions, the order of Basic unit. All insurable acreage of (1) of this definition. A spouse’s veteran precedence is: (1) The Catastrophic Risk the insured crop in the county on the status does not impact whether an Protection Endorsement, as applicable; date coverage begins for the crop year individual is considered a veteran (2) the Special Provisions; (3) the excluding acreage reported and insured farmer or rancher. Commodity Exchange Price Provisions, as an enterprise unit in which the * * * * *

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2. Life of Policy, Cancellation, and (5) If you fail to submit a notice of loss (i) Determine the number of acres of Termination in accordance with these notice the first insured crop that were double * * * * * provisions, any loss or prevented cropped in each of the years for which (e) * * * planting claim will be considered solely double cropping records are provided (3) For this agricultural commodity due to an uninsured cause of loss for the (for example, records are provided policy, your premium and acreage for which such failure occurred, showing: 100 acres of wheat planted in administrative fees will be offset from unless we determine that we have the 2019 and 50 of those acres were double any indemnity or prevented planting ability to accurately adjust the loss. If cropped with soybeans; and 100 acres of payment due to you even if it is prior we determine that we do not have the wheat planted in 2020 and 70 of those to the premium billing date. ability to accurately adjust the loss: acres were double cropped with (4) For any other agricultural * * * * * soybeans); commodity policy insured with us and (ii) Divide each result of section it is: 15. Production Included in Determining 15(i)(3)(i) by the number of acres of the (i) Prior to the premium billing date, an Indemnity and Payment Reductions first insured crop that were planted in and you agree, your premium and * * * * * each respective year (in the example in administrative fees will be offset from (g) * * * section 15(i)(3)(i), 50 divided by 100 any indemnity or prevented planting (3) * * * equals 50 percent of the first insured payment due to you; or (i) If a volunteer crop or cover crop is crop acres that were double cropped in (ii) On or after the premium billing hayed, grazed, or cut for silage, haylage, 2019 and 70 divided by 100 equals 70 date, your premium and administrative or baleage from the same acreage, after percent of the first insured crop acres fees will be offset from any indemnity the late planting period (or after the that were double cropped in 2020); or prevented planting payment due to final planting date if a late planting (iii) Add the results of section you. period is not applicable) for the first 15(i)(3)(ii) and divide by the number of (f) * * * years the first insured crop was double (2) * * * insured crop in the same crop year, or is otherwise harvested any time after the cropped (in the example in section (iii) * * * 15(i)(3)(i), 50 plus 70 equals 120 divided (B) * * * late planting period (or after the final by 2 equals 60 percent); and (1) In accordance with 7 CFR part 400, planting date if a late planting period is (iv) Multiply the result of section subpart U, and FCIC procedures, you not applicable); or 15(i)(3)(iii) by the number of insured provide documentation that your * * * * * inadvertent failure to pay your debt is acres of the first insured crop (in the (h) * * * example in section 15(i)(3)(i), 60 percent due to an unforeseen or unavoidable (5) * * * event or other extenuating multiplied by the number of wheat acres (i) You have double cropped acreage insured in 2021); circumstances that created the in at least 2 of the last 4 crop years in * * * * * inadvertent failure for you to make which the first insured crop was grown; timely payment; or 17. Prevented Planting * * * * * * * * * * (C) * * * * * * * * (7) With respect to double cropped (1) *** (e) * * * (iv) For previously executed written acreage for which one of the crops you (1) * * * payment agreements, you made the full have double cropped is insured under a (iii) * * * payment of the scheduled payment plan of insurance not covered under (C) In the event that your contracted amount owed within 15 calendar days these Basic Provisions, each insured acreage or production for the current after the missed payment date. crop must follow its own Basic crop year is reduced, for a reason not Provisions, Crop Provisions, and Special * * * * * solely due to the acreage being Provisions to determine if the double prevented from being planted, or you 4. Contract Changes cropping requirements have been met. If have no contracted acreage for the * * * * * the double cropping requirements in the current crop year, and the reduction or (c) After the contract change date, all applicable Basic Provisions, Crop lack of contract results in no remaining changes specified in section 4(b) will Provisions, or Special Provisions have eligible acres to use on your total also be available upon request from your not been met for each insured crop, cropland acres in the county: crop insurance agent. section 15(e) of these Basic Provisions (1) You must first exhaust all other (d) Not later than 30 days prior to the applies. eligible acres; cancellation date for the insured crop (i) If you provided acceptable records (2) The number of eligible acres for you will be notified, in accordance with in accordance with section 15(h), your the contracted crop will be determined section 33, a copy of the changes to the double cropping history is limited to the based on the number of acres or amount Basic Provisions, Crop Provisions, highest number of acres double cropped of production you contracted in the Commodity Exchange Price Provisions, within the applicable 4-year period as county in the previous crop year, less if applicable, and Special Provisions. determined in section 15(h)(5): the current year’s contracted acreage or * * * * * * * * * * production, if applicable; (3) If you acquired additional land for (3) The prevented planting payment 14. Duties in the Event of Damage, Loss, the current crop year and the following and premium will be calculated in Abandonment, Destruction, or calculation results in a greater number accordance with section 17(h)(2); Alternative Use of Crop or Acreage of double cropping acres than (4) If you did not have a processor * * * * * determined in 15(i), you may apply the contract in place for the previous crop (b) You must provide a notice of loss percentage of acres that you have year, no eligible contracted acreage in accordance with this section. Notice previously double cropped to the total exists for this purpose. provisions: cropland acres that you are farming this * * * * * * * * * * year (if greater): (f) * * *

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(4) * * * (4) * * * replaced with a yield equal to 80 (ii) For the insured crop that is (viii) * * * percent of the applicable transitional prevented from being planted, you (C) If you elected separate enterprise yield for the crop year in which the provide records acceptable to us of units for both irrigated and non-irrigated yield is being replaced. (For example, if acreage and production that show (your practices and we discover you do not you elect to exclude a 2020 crop year double cropping history is limited to the qualify for an enterprise unit for the actual yield, the transitional yield in highest number of acres double cropped irrigated or non-irrigated practice and effect for the 2020 crop year in the within the applicable four-year period): such discovery is made: county will be used. If you also elect to (A) You have double cropped acreage (1) On or before the acreage reporting exclude a 2021 crop year actual yield, in at least 2 of the last 4 crop years in date, you may elect to insure: the transitional yield in effect for the which the insured crop that is (i) One enterprise unit for all irrigated 2021 crop year in the county will be prevented from being planted in the or non-irrigated practices provided you used). The replacement yields will be current crop year was grown (you may meet the requirements in section used in the same manner as actual apply your history of double cropping to 34(a)(4), and basic or optional units for yields for the purpose of calculating the any acreage of the insured crop in the the other practice, whichever you report approved yield. county (for example, if you have double on your acreage report and qualify for; (iii) Once you have elected to exclude cropped 100 acres of wheat and (ii) One enterprise unit for all acreage an actual yield from the database, the soybeans in the county and you acquire of the crop in the county provided you replacement yield will remain in effect an additional 100 acres in the county, meet the requirements in section until such time as that crop year is no you can apply that history of double 34(a)(4); or longer included in the database unless cropped acreage to any of the 200 acres (iii) Basic or optional units for all this election is canceled in accordance in the county as long as it does not acreage of the crop in the county, with section 36(a)(1)(i). exceed 100 acres)); or whichever you report on your acreage (iv) Although your approved yield (B) The applicable acreage you are report and qualify for; or will be used to determine your amount (2) At any time after the acreage prevented from planting in the current of premium owed, the premium rate reporting date, your unit structure will crop year was double cropped for at will be increased to cover the additional be one enterprise unit for all acreage of least 2 of the last 4 crop years in which risk associated with the substitution of the crop in the county provided you the insured crop that is prevented from higher yields. meet the requirements in section being planted was grown. You may only (2) You may exclude any actual yield 34(a)(4). Otherwise, we will assign the use the history of double cropping for for any crop year when FCIC determines basic unit structure. the same physical acres from which for a county, or its contiguous counties, double cropping records were provided * * * * * the per planted acre yield was at least 50 percent below the simple average of from one or more other producers (for 36. Yield Options example, if a neighbor has double the per planted acre yield for the crop If provided in the actuarial cropped 100 acres of wheat and in the county for the previous 10 documents, you may elect the following soybeans in the county and you acquire consecutive crop years. measures to increase your approved your neighbor’s 100 double cropped (3) You may replace actual yields yield: acres and an additional 100 acres in the determined using your post-quality (a) Adjustments to actual yields county, you can only apply your production amounts with actual yields within a database: neighbor’s history of double cropped determined using your pre-quality (1) You may exclude and replace one production amounts for previous crop acreage to the same 100 acres that your or more actual yields, on an individual neighbor double cropped); and years on an individual actual yield actual yield basis, that due to an basis. * * * * * insurable cause of loss, are less than 60 (i) Each election made in section (h) * * * percent of the applicable transitional 36(a)(3) must be made on or before the (4) Prevented planting coverage will yield. sales closing date for the insured crop be allowed as specified in section 17(h) (i) Each election made in section and will remain in effect, unless only if the crop that was prevented from 36(a)(1) must be made on or before the canceled by the sales closing date for being planted meets all policy production reporting date for the the succeeding crop year. provisions, except for having an insured crop and each such election (ii) In order to replace post-quality adequate base of eligible prevented will remain in effect for succeeding crop actual yields for previous crop years, planting acreage. Payment may be made years unless canceled by the production you must have filed a notice of loss due based on crops other than those that reporting date for the succeeding crop to an insured cause of loss for the crop were prevented from being planted even year. If you cancel an election, the year to be eligible. though other policy provisions, actual yield will be used in the (iii) Once the pre-quality actual yield including but not limited to, processor database. For example, if you elected to replaces the post-quality actual yield, contract and rotation requirements, have substitute yields in your database for the the pre-quality actual yield will remain not been met for the crop whose eligible 2020 and 2021 crop year, for any in effect until such time as that crop acres are being used. When you have subsequent crop year, you can elect to year is no longer included in the exhausted eligible acres to provide cancel the substitution for either or both database, unless this election is prevented planting coverage for all crop years. canceled in accordance with section insured cropland acres in your farming (ii) Each excluded actual yield will be 36(a)(3)(i). operation, you may use remaining replaced with a yield equal to 60 (iv) Although your approved yield eligible acres as established in section percent of the applicable transitional will be used to determine your amount 17(e)(1)(iii)(C). yield for the crop year in which the of premium owed, the premium rate * * * * * yield is being replaced, unless you will be increased to cover the additional qualify as a beginning farmer or rancher, risk associated with the replacement of 34. Units or veteran farmer or rancher, in which higher pre-quality reduction based (a) * * * case the excluded actual yield will be actual yields.

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(b) You may make adjustments to meet the requirements in section AMS, USDA, 1400 Independence your approved yield by limiting a 34(a)(4). Otherwise, we will assign the Avenue SW, STOP 0237, Washington, reduction to the approved APH yield to basic unit structure. DC 20250–0237; Telephone: (202) 720– a maximum decline of 10 percent of the * * * * * 2491, Fax: (202) 720–8938, or Email: previous crop year’s approved APH [email protected]. yield when such reduction is due to a 8. Insurance Period SUPPLEMENTARY INFORMATION: This decline in production resulting from a In accordance with the provisions of action, pursuant to 5 U.S.C. 553, natural disaster or other insurable loss, section 11 of the Basic Provisions, amends regulations issued to carry out as provided in FCIC procedures. unless otherwise specified in the a marketing order as defined in 7 CFR * * * * * actuarial documents, the calendar date 900.2(j). This rule is issued under ■ 5. Amend § 457.113 as follows: for the end of the insurance period is Marketing Order No. 932, as amended (7 ■ a. In the introductory text, remove the the date immediately following planting CFR part 932), regulating the handling year ‘‘2020’’ and add ‘‘2021’’ in its as follows: of olives grown in California. Part 932 place; * * * * * (referred to as the ‘‘Order’’) is effective ■ b. In section 1 in the definition of Martin Barbre, under the Agricultural Marketing ‘‘Not following another crop (NFAC)’’, Agreement Act of 1937, as amended (7 Manager, Federal Crop Insurance remove the words ‘‘a crop’’ and add Corporation. U.S.C. 601–674), hereinafter referred to ‘‘another crop.’’ in their place; as the ‘‘Act.’’ Section 608c(17) of the Act [FR Doc. 2020–13831 Filed 6–26–20; 8:45 am] ■ c. In section 2, revise paragraphs (a)(1) and the applicable rules of practice and and (a)(4)(i) and (ii); BILLING CODE 3410–08–P procedure governing the formulation of ■ d. In section 8, revise the introductory marketing agreements and orders (7 CFR text; DEPARTMENT OF AGRICULTURE part 900) authorize amendment of the ■ e. In section 12, in paragraph (d)(4), Order through this informal rulemaking remove the cross reference ‘‘12(d) (2)’’ Agricultural Marketing Service action. and add ‘‘12(d)(2)’’ in its place. The Department of Agriculture The revisions read as follows: 7 CFR Part 932 (USDA) is issuing this rule in conformance with Executive Orders § 457.113 Coarse grains crop insurance [Doc. No. AMS–SC–19–0081; SC–19–932–2 provisions. FR] 13563 and 13175. This action falls * * * * * within a category of regulatory actions Olives Grown in California; that the Office of Management and 2. Unit Division Amendments to the Marketing Order Budget (OMB) exempted from Executive (a) * * * No. 932 Order 12866 review. Additionally, (1) You may elect one enterprise unit because this final rule does not meet the AGENCY: Agricultural Marketing Service, for all FAC cropping practices or one definition of a significant regulatory USDA. enterprise unit for all NFAC cropping action, it does not trigger the practices, or separate enterprise units ACTION: Final rule. requirements contained in Executive for both practices, unless otherwise Order 13771. See OMB’s Memorandum SUMMARY: This final rule amends titled ‘‘Interim Guidance Implementing specified in the Special Provisions. For Marketing Order No. 932, which example: You may choose an enterprise Section 2 of the Executive Order of regulates the handling of olives grown January 30, 2017, titled ‘Reducing unit for all FAC acreage (soybeans in California. The amendment, which irrigated practice and non-irrigated Regulation and Controlling Regulatory was proposed by the California Olive Costs’ ’’ (February 2, 2017). practice) and an enterprise unit for all Committee (Committee), was approved This rule has been reviewed under NFAC acreage (soybeans irrigated by producers in a referendum. This Executive Order 12988, Civil Justice practice and non-irrigated practice). action revises the marketing order’s Reform. This rule is not intended to * * * * * quorum requirement and makes a have retroactive effect. (4) * * * clarifying change stating that alternate (i) On or before the acreage reporting members acting as members to form a The Act provides that administrative date, you may elect to insure: quorum would also be eligible to cast proceedings must be exhausted before (A) One enterprise unit for all FAC or votes. parties may file suit in court. Under NFAC cropping practices provided you section 8c(15)(A) of the Act (7 U.S.C. meet the requirements in section DATES: This rule is effective July 29, 608c(15)(A)), any handler subject to an 34(a)(4), and basic or optional units for 2020. order may file with USDA a petition the other cropping practice, whichever FOR FURTHER INFORMATION CONTACT: stating that the order, any provision of you report on your acreage report and Geronimo Quinones, Marketing the order, or any obligation imposed in qualify for; or Specialist, Marketing Order and connection with the order is not in (B) One enterprise unit for all acreage Agreement Division, Specialty Crops accordance with the law and request a of the crop in the county provided you Program, AMS, USDA, 1400 modification of the order or to be meet the requirements in section Independence Avenue SW, Stop 0237, exempted therefrom. A handler is 34(a)(4); or Washington, DC 20250–0237; afforded the opportunity for a hearing (C) Basic or optional units for all Telephone: (202) 720–2491, Fax: (202) on the petition. After the hearing, USDA acreage of the crop in the county, 720–8938, or Email: would rule on the petition. The Act whichever you report on your acreage [email protected]. provides that the district court of the report and qualify for; or Small businesses may request United States in any district in which (ii) At any time after the acreage information on complying with this the handler is an inhabitant, or has his reporting date, your unit structure will regulation by contacting Richard Lower, or her principal place of business, has be one enterprise unit for all acreage of Marketing Order and Agreement jurisdiction to review USDA’s ruling on the crop in the county provided you Division, Specialty Crops Program, the petition, provided an action is filed

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no later than 20 days after the date of Final Regulatory Flexibility Analysis find enough members to fill positions entry of the ruling. Pursuant to the requirements set forth on the Committee. The Committee considered Section 1504 of the Food, in the Regulatory Flexibility Act (RFA) alternatives to the proposal, including Conservation, and Energy Act of 2008 (5 U.S.C. 601–612), AMS has considered making no changes. AMS believes the (2008 Farm Bill) (Pub. L. 110–246) the economic impact of this action on proposal is justified and necessary to amended section 8c(17) of the Act (7 small entities. Accordingly, AMS has ensure the Committee’s ability to locally U.S.C. 608c(17)), which in turn required prepared this final regulatory flexibility administer the program. Revising the the addition of supplemental rules of analysis. quorum requirement, will help ensure a The purpose of the RFA is to fit practice to 7 CFR part 900 (73 FR 49307; more efficient and orderly flow of regulatory actions to the scale of August 21, 2008). The amendment of business. section 8c(17) of the Act and additional businesses subject to such actions in supplemental rules of practice authorize order that small businesses will not be Paperwork Reduction Act the use of informal rulemaking (5 U.S.C. unduly or disproportionately burdened. In accordance with the Paperwork 553) to amend Federal fruit, vegetable, Marketing orders issued pursuant to the Reduction Act of 1995 (44 U.S.C. and nut marketing agreements and Act, and rules issued thereunder, are chapter 35), the Order’s information orders. USDA may use informal unique in that they are brought about collection requirements have been rulemaking to amend marketing orders through group action of essentially previously approved by OMB and based on the nature and complexity of small entities acting on their own assigned OMB No. 0581–0178 Vegetable the proposed amendments, the potential behalf. and Specialty Crops. No changes in regulatory and economic impacts on There are approximately 900 those requirements are necessary as a affected entities, and any other relevant producers of olives in the production result of this action. Should any changes matters. area and two handlers subject to become necessary, they would be regulation under the Order. The Small submitted to OMB for approval. The Agricultural Marketing Service Business Administration (SBA) defines (AMS) considered these factors and has As with all Federal marketing order small agricultural producers as those programs, reports and forms are determined that amending the Order as having annual receipts of less than proposed could appropriately be periodically reviewed to reduce $1,000,000, and small agricultural information requirements and accomplished through informal service firms as those whose annual rulemaking. duplication by industry and public receipts are less than $30,000,000 (13 sector agencies. In addition, USDA has The proposed amendment was CFR 121.201). not identified any relevant Federal rules unanimously recommended by the According to the National that duplicate, overlap, or conflict with Committee following deliberations at a Agricultural Statistics Service (NASS) this rule. public meeting held on July 29, 2019. A data, as of June 2019 the average price AMS is committed to complying with proposed rule soliciting comments on to producers for the 2018 crop year was the E-Government Act, to promote the the amendment was issued on $766.00 per ton, and total assessable use of the internet and other November 1, 2019, and published in the volume for the 2018 crop year was information technologies to provide Federal Register on November 6, 2019 17,953 tons. Based on production, the increased opportunities for citizens to (84 FR 59736). No comments were total number of California olive access Government information and received. As a result, no changes to the producers, and price paid to those services, and for other purposes. proposed rule were made. A ‘‘proposed producers, the average annual producer The Committee’s meetings were rule and referendum order’’ was then revenue is less than $1,000,000 ($766.00 widely publicized throughout the issued on February 21, 2020, and times 17,953 tons equals $13,751,998 California olive production area. All published in the Federal Register on divided by 900 producers equals an interested persons were invited to February 27, 2020 (85 FR 11312). This average annual producer revenue of attend the meetings and encouraged to document directed that a referendum $15,280.00). Therefore, most olive participate in Committee deliberations among California olive producers be producers may be classified as small on all issues. The Committee meetings conducted March 9, 2020, through entities. Both handlers may be classified were public, and all entities, both large March 20, 2020, to determine whether as large entities under the SBA’s and small, were encouraged to express they favored the proposal. To become definitions because their annual receipts their views on these proposals. effective, the amendment had to be are greater than $30,000,000. A proposed rule concerning this approved by two-thirds of producers The amendment, which was action was published in the Federal voting or by those producers voting in unanimously recommended by the Register on November 6, 2019 (84 FR the referendum who represented at least Committee at a public meeting on July 59736). Copies of the proposed rule two-thirds of the volume of California 29, 2019, will change the Committee’s were mailed or sent via facsimile to all olives. quorum requirement. A clarifying Committee members and all interested change stating that alternate members parties. The proposed rule was made The amendment was favored by 86 acting as members to form a quorum available through the internet by USDA percent of the producers voting and by would be eligible to cast votes will also and the Office of the Federal Register. 96 percent of the volume represented in be made. A 30-day comment period ending the referendum; both calculations This amendment will have no direct December 6, 2019, was provided to exceed the two-thirds requirement. economic effect on producers or allow interested persons to respond to The amendment in this final rule handlers. The number of producers and the proposals. No comments were changes the Committee’s quorum handlers operating in the industry has received; therefore, no changes were requirements. The amendment also decreased significantly since the Order made to the proposed amendment. makes a clarifying change that alternate was established in 1965, dropping from A proposed rule and referendum members acting as members to form a 2,500 to 900 (64 percent) and from 28 order was then issued on February 21, quorum would also be eligible to cast to 2 (93 percent), respectively. Industry 2020, and published in the Federal votes. consolidation has made it difficult to Register on February 27, 2020 (85 FR

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11312). This document directed that a of commercial and industrial activity Register on November 6, 2019, (84 FR referendum among California olive specified in the Order; 59736) will be and are the terms and producers be conducted March 9, 2020, 3. The Order, as amended, and as provisions of this order amending the through March 20, 2020, to determine hereby further amended, is limited in Order and are set forth in full herein. application to the smallest regional whether they favored the proposal. To List of Subjects in 7 CFR Part 932 become effective, the amendment had to production area that is practicable, be approved by two-thirds of producers consistent with carrying out the Olives, Marketing agreements, voting or by those producers voting in declared policy of the Act, and the Reporting and recordkeeping the referendum who represented at least issuance of several orders applicable to requirements. two-thirds of the volume of California subdivisions of the production area Bruce Summers, olives. would not effectively carry out the Administrator, Agricultural Marketing The amendment was favored by 86 declared policy of the Act; Service. percent of the producers voting and by 4. The Order, as amended, and as 96 percent of the volume represented; hereby further amended, prescribes, PART 932—OLIVES GROWN IN both exceeding the two-thirds insofar as practicable, such different CALIFORNIA requirement. terms applicable to different parts of the The amended marketing agreement production area as are necessary to give ■ 1. The authority citation for 7 CFR was subsequently mailed to all olive due recognition to the differences in the part 932 continues to read as follows: handlers in the production area for their production and marketing of olives Authority: 7 U.S.C. 601–674. approval. The marketing agreement was produced in the production area; and not approved by handlers representing 5. All handling of olives produced in § 932.36 [Amended] more than 50 percent of the volume of the production area as defined in the ■ 2. Revise § 932.36 to read as follows: olives handled by all handlers during Order is in the current of interstate or § 932.36 Procedure. the representative period. Consequently, foreign commerce or directly burdens, no companion handler agreement will obstructs, or affects such commerce. Decisions of the committee shall be by be established. (b) Determinations. majority vote of the members, including A small business guide on complying It is hereby determined that: alternates acting as members, present with fruit, vegetable, and specialty crop 1. Handlers (excluding cooperative and voting, and a quorum must be marketing agreements and orders may associations of producers who are not present: Provided, That decisions be viewed at: https:// engaged in processing, distributing, or requiring a recommendation to the www.ams.usda.gov/rules-regulations/ shipping of olives covered under the Secretary on matters pertaining to grade moa/small-businesses. Any questions Order) who during the period August 1, and size regulations shall require at about the compliance guide should be 2018, through July 31, 2019, handled least 10 affirmative votes, at least 5 of sent to Richard Lower at his previously not less than 50 percent of the volume which must be from producer members and at least 5 of which must be from mentioned address in the FOR FURTHER of such olives covered by said Order, as handler members and, if the committee INFORMATION CONTACT section. hereby amended, have signed an amended marketing agreement; and is increased by the addition of a public Order Amending the Order Regulating 2. The issuance of this amendatory member, at least 11 affirmative votes the Olives Grown in the California 1 order, further amending the aforesaid shall be required, at least 5 of which Findings and Determinations Order, is favored or approved by at least must be from producer members and at two-thirds of the producers who least 5 of which must be from handler (a) Findings and Determinations participated in a referendum on the members. A quorum shall consist of at Upon the Basis of the Rulemaking question of approval and who, during least 10 members, including alternates Record. the period of August 1, 2018, through acting as members, and, if the The findings hereinafter set forth are July 31, 2019, were engaged within the committee is increased by the addition supplementary to the findings and production area in the production of of a public member, a quorum shall determinations which were previously such olives. Such producers also consist of at least 11 members, made in connection with the issuance of produced for market at least two-thirds including alternates acting as members. the Order; and all said previous findings of the volume of such commodity Except in case of an emergency, a and determinations are hereby ratified represented in the referendum. minimum of 5 days advance notice shall and affirmed, except insofar as such 3. The issuance of this amendatory be given with respect to any meeting of findings and determinations may be in order together with a signed marketing the committee. In case of an emergency, conflict with the findings and agreement advances the interests of to be determined within the discretion determinations set forth herein. growers of olives in the production area of the chairman of the committee, as 1. The Order, as amended, and as pursuant to the declared policy of the much advance notice of a meeting as is hereby further amended, and all of the Act. practicable in the circumstances shall be terms and conditions thereof, would given. The committee may vote by mail tend to effectuate the declared policy of Order Relative to Handling or telegram upon due notice to all the Act; It is therefore ordered, that on and members, but any proposition to be so 2. The Order, as amended, and as after the effective date hereof, all voted upon first shall be explained hereby further amended, regulates the handling of olives grown in California accurately, fully, and identically by mail handling of olives grown in California shall be in conformity to, and in or telegram to all members. When voted in the same manner as, and is applicable compliance with, the terms and on by such method, at least 14 only to, persons in the respective classes conditions of the said Order as hereby affirmative votes, of which seven shall proposed to be amended as follows: be producer member votes and seven 1 This order shall not become effective unless and The provisions amending the Order shall be handler member votes, shall be until the requirements of § 900.14 of the rules of practice and procedure governing proceedings to contained in the proposed rule issued required for adoption and, if the formulate marketing agreements and marketing by the Administrator on November 1, committee is increased by the addition orders have been met. 2019, and published in the Federal of a public member, votes by mail or

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telegram shall require at least 15 DATES: Effective June 25, 2020, through requirements. In addition, other affirmative votes, of which at least 7 March 31, 2021. individuals may be unable to satisfy shall be producer member votes and at ADDRESSES: For information on where to certain requirements due to a reduced least 7 shall be handler member votes. obtain copies of rulemaking documents availability of personnel that are able to The committee may recommend for the and other information related to this conduct routine aviation activities. In Secretary’s approval changes in the final rule, see ‘‘How to Obtain other instances, such activities may be number of affirmative votes required for Additional Information’’ in the contrary to State and local directives adoption of any proposition voted upon SUPPLEMENTARY INFORMATION section of that continue certain restrictions as they by means of a mail or telegram ballot: this document. implement phased recovery plans. The FAA recognizes that there are Provided, That the number of FOR FURTHER INFORMATION CONTACT: For aviation operations outside of air carrier affirmative votes required for adoption technical questions concerning this and commercial operations conducted shall not be less than 10, and in any action for pilots, contact Craig Holmes, under part 119 of title 14 of the Code of case an equal number of producer General Aviation and Commercial Federal Regulations (14 CFR) that are member and handler member votes Division; Federal Aviation critical, including operations that shall be required for adoption and, if the Administration, 800 Independence support essential services and flights committee is increased by the addition Avenue SW, Washington, DC 20591; that support the COVID–19 public of a public member, the number of telephone (202) 267–1100; email 9-AVS- health emergency response efforts. affirmative votes required for adoption AFS800-COVID19-Correspondence@ These operations are likely to face shall be increased by 1. faa.gov. For technical questions disruption due to a decreased supply of [FR Doc. 2020–12884 Filed 6–26–20; 8:45 am] concerning this action for mechanics qualified pilots resulting from the BILLING CODE P and special flight permits, contact Kevin effects of the COVID–19 public health Morgan, Aircraft Maintenance Division; emergency including the reduced Federal Aviation Administration, 800 number of personnel available to DEPARTMENT OF TRANSPORTATION Independence Avenue SW, Washington, administer required training, checking, DC 20591; telephone (202) 267–1675; and testing. Without the relief in this Federal Aviation Administration email [email protected]. For SFAR, beginning July 1, 2020, and with technical questions concerning this each month thereafter, a new group of 14 CFR Parts 21, 61, 63, 65, 91, 107, action for aircraft dispatchers and flight pilots will become unavailable to 125, and 141 engineers, contact Theodora Kessaris perform critical operations due to an and Sheri Pippin, Air Transportation inability to comply with regulatory [Docket No.: FAA–2020–0446; Amdt. No(s). Division, Federal Aviation requirements. This SFAR will provide 21–102, 61–145, 63–43, 65–60, 91–357, 107– Administration, 800 Independence temporary relief to certain individuals 3, 125–69, and 141–21] Avenue SW, Washington, DC 20591; whose qualifications would otherwise telephone (202) 267–8166; email 9-AVS- RIN 2120–AL64 lapse, to ensure there are a sufficient [email protected]. number of qualified personnel available Limited Extension of Relief for Certain SUPPLEMENTARY INFORMATION: to conduct essential aviation activities Persons and Operations During the Good Cause for Immediate Adoption during this period. The FAA finds that Coronavirus Disease 2019 (COVID–19) this temporary action is needed to Public Health Emergency Section 553(b)(3)(B) of the enable individuals to continue to Administrative Procedure Act (APA) (5 exercise their airman certificate AGENCY: Federal Aviation U.S.C.) authorizes agencies to dispense privileges during the immediate period Administration (FAA), Department of with notice and comment procedures following the initial COVID–19 public Transportation (DOT). for rules when the agency for ‘‘good health emergency. ACTION: Final rule. cause’’ finds that those procedures are This action is also needed to provide ‘‘impracticable, unnecessary, or contrary immediate notification to individuals SUMMARY: This final rule amends the to the public interest.’’ In addition, facing impending expiration dates for regulatory relief originally provided in section 553(d) of the APA requires that certificates, endorsements, and test the Relief for Certain Persons and agencies publish a rule not less than 30 results.1 With the cessation of many Operations during the Coronavirus days before its effective date, except a non-essential aviation training and Disease 2019 (COVID–19) final rule. substantive rule that relieves a testing activities, many individuals have Other than relief for medical certificate restriction or ‘‘as otherwise provided by been unable to complete certain duration, the relief in this final rule the agency for good cause found and activities before encountering expiration applies to a new population of airmen published with the rule.’’ 5 U.S.C. dates. Absent the relief in this rule, and does not extend the relief provided 553(d)(1) and (3). persons may attempt to satisfy certain in the original Special Federal Aviation The FAA finds good cause under 5 requirements to avoid economic Regulation (SFAR). The amended relief U.S.C. 553(b)(3)(B) to waive prior notice burdens associated with non- applies to new persons who may have and the opportunity for public compliance even though compliance challenges complying with certain comment. The provisions in this final could require acting contrary to national training, recent experience, testing, and rule provide temporary relief to persons social distancing guidelines and checking requirements. This relief who have been unable to meet certain restrictions in State and local directives allows operators to continue to use requirements during the national associated with phased recovery efforts. pilots and other crewmembers in emergency concerning COVID–19. support of essential operations during Without this final rule, certain 1 Certain FAA regulations require a person to act this extended period. This SFAR also individuals will not be able to continue within a particular timeframe in order to avoid an provides regulatory relief to additional exercising privileges in support of expiration. For example, a knowledge test result is generally valid for 24 months. A person must take persons unable to meet duration and essential operations due to their the practical test before the knowledge test result renewal requirements due to the public inability to satisfy certain training, expires or he or she must retake the knowledge test health emergency. recent experience, testing, and checking at additional cost.

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In addition, as routine activities begin to for the issuance of airman certificates IV. Regulatory Notices and Analyses resume, these individuals may be when the Administrator finds, after V. Executive Order Determinations unable to satisfy requirements for investigation, that an individual is VI. How To Obtain Additional Information reasons outside their control, such as qualified for, and physically able to I. Overview of Final Rule the reduced number of personnel. This perform the duties related to, the final rule provides immediate relief position authorized by the certificate. The FAA’s regulations contain several from certain duration and renewal This rulemaking provides airmen relief training, recent experience, testing, and requirements to reduce unnecessary risk from certain training, recency, testing, checking requirements that persons of exposure and to assure persons that and checking requirements, and must comply with prior to exercising they will not endure economic burdens establishes qualification requirements their airman or crewmember privileges. due to non-compliance with certain for airmen seeking to conduct essential The FAA’s regulations also contain regulations. operations during the COVID–19 public duration requirements, such as those Accordingly, the FAA finds that health emergency. For these reasons, pertaining to medical certificates, the providing notice and an opportunity to this rulemaking is within the scope of validity of knowledge tests, and general comment is contrary to the public the FAA’s authority. procedures for completing a practical interest, because any delay in test. Persons continue to have difficulty List of Abbreviations and Acronyms implementation of this final rule could complying with several of the FAA’s Frequently Used in This Document result in disruption to critical aviation requirements because of the ongoing operations, and could increase the ATP—Airline Transport Pilot effects of the COVID–19 public health incidence of exposure during this public COVID–19—Coronavirus Disease 2019 emergency, including the continuation health emergency and into the period of IFR—Instrument Flight Rules of social distancing guidelines to recovery. Furthermore, the continually PIC—Pilot in Command prevent transmission of the virus. As a SIC—Second in Command result, ‘‘lapses’’ in qualifications, which evolving public health situation as a UAS—Unmanned Aircraft Systems result of, and State and local responses occur on the last day of each month, to, the COVID–19 public health Table of Contents will affect an additional cohort of emergency significantly limits how far regulated parties at the end of each I. Overview of Final Rule month even as stay-at-home advisories in advance the FAA can usefully assess II. Background the need for the flexibilities provided III. Discussion of Final Rule are lifted and replaced with State and for in this regulation. A. Relief From Certain Training, Recency, local directives for phased recovery and In addition, for the same reasons Testing and Checking Requirements routine activities resume. The regulatory stated above, the FAA finds good cause 1. Part 61 relief provided in this final rule will to waive the 30-day delay in effective a. Second-in-Command Qualifications amend the Relief for Certain Persons date of this final rule under 5 U.S.C. (§ 61.55) and Operations during the Coronavirus b. Flight Review (§ 61.56) Disease 2019 (COVID–19) final rule 553(d)(3) for the SFAR provisions that c. Recent Flight Experience: Pilot in address the training and qualification (SFAR 118) (85 FR 26326) that was Command (§ 61.57) issued on April 30, 2020. This requirements. Because the APA also d. Pilot-in-Command Proficiency Check: allows a substantive rule that relieves a Operation of an Aircraft That Requires amendment will enable the continuity restriction to become effective in less More Than One Pilot Flight of aviation operations that are critical than 30 days after publication, the FAA Crewmember or Is Turbojet-Powered during the COVID–19 public health finds that the SFAR provisions that (§ 61.58) emergency and the recovery, including provide relief by extending duration and 2. Part 91, Subpart K Flight Crewmember operations that support essential renewal requirements may also be Requirements (§§ 91.1065, 91.1067, services and flights that support 91.1069, 91.1071, 91.1073, 91.1089, response efforts. In addition, the SFAR immediately effective. 5 U.S.C. 91.1091, 91.1093, 91.1095, 91.1099, 553(d)(1). contains regulatory relief for persons 91.1107) who are unable to satisfy certain Authority for This Rulemaking 3. Mitsubishi MU–2B Series Special Training, Experience, and Operating requirements to prevent those persons The FAA’s authority to issue rules on Requirements (Part 91, §§ 91.1703, from enduring unnecessary economic aviation safety is found in Title 49 of the 91.1705, 91.1715) burdens due to circumstances related to United States Code (49 U.S.C.). Subtitle 4. Aeronautical Knowledge Recency the public health emergency that are I, Section 106 describes the authority of (§ 107.65) outside of their control. The FAA notes the FAA Administrator. Subtitle VII, 5. Part 125 Flight Crewmember that, except for one instance related to Aviation Programs, describes in more Requirements (§§ 125.285, 125.287, the extension of medical certificates, no detail the scope of the agency’s 125.289, 125.291, 125.293) extension of relief has been granted to 6. Robinson R–22/R–44 Special Training airmen who were eligible for relief in authority. and Experience Requirements (SFAR 73) This rulemaking is promulgated B. Relief From Certain Duration and SFAR 118. The FAA also notes that, in under the authority described in 49 Renewal Requirements this final rule, it is not expanding every U.S.C. 106(f), which establishes the 1. Part 61 area of relief provided in original SFAR authority of the Administrator to a. Medical Certificates: Requirement and 118. Although this amended SFAR will promulgate regulations and rules; 49 Duration (§ 61.23) remain effective through March 31, U.S.C. 44701(a)(5), which requires the b. Prerequisites for Practical Tests (§ 61.39) 2021, that date does not reflect the Administrator to promulgate regulations 2. Part 63 duration for every provision. As a result, and minimum standards for other a. Certificates and Ratings Required (§ 63.3) airman, operators, and air agencies b. Knowledge Requirements (§ 63.35) should review the eligibility, practices, methods, and procedures 3. Part 65 necessary for safety in air commerce and a. [Dispatcher] Knowledge Requirements conditions, and duration of the SFAR national security; and 49 U.S.C. (§ 65.55) carefully to ensure compliance. 44703(a), which requires the b. Eligibility Requirements: General The table below summarizes the Administrator to prescribe regulations (§ 65.71) amendments to SFAR 118.

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14 CFR Area of relief Original SFAR 118 relief Amended SFAR 118–1 relief

61.55 ...... Second-in-Command Pilot Qualifica- Due March–June 2020 has 3 grace Added pilots due July–Sept 2020. tions. months to complete training. 61.56 ...... Pilot Flight Review ...... Due March–June 2020 has 3 grace Added pilots due July–Sept 2020. months to complete flight review. 61.57 ...... Pilot Instrument Currency...... 9-month currency look-back period Added look-back period for flights in (instead of 6 months) for flights July–Sept 2020. April 30–June 30, 2020. 61.58 ...... Pilot-in-Command Proficiency Check Due March–June 2020 has 3 grace Added pilots due in July–Sept 2020. months to complete check. Part 91, Subpart K ...... Crewmember Requirements ...... Due March–June 2020 has 3 grace Added crewmembers due in July– months to complete training, Sept 2020. recency, and checking. Part 91, Subpart N ...... Mitsubishi MU–2B Series Special Due March–June 2020 has 3 grace Added pilots due in July–Sept 2020. Training, Experience, and Oper- months to complete training and ating Requirements. flight review. 107.65 ...... Remote Pilot Aeronautical Knowl- Due March–June 2020; privileges Added remote pilots whose privileges edge Recency. are renewed for 6 months fol- are due to expire July–Sept 2020. lowing completion of online training. Part 125 ...... Flight Crewmember Requirements .... Due March–June 2020 has 3 grace Added crewmembers due in July– months to complete training, Sept 2020. recency, and checking. SFAR 73 ...... Robinson R–22/R–44 Special Train- Due March–June 2020 has 3 grace Added pilots due in July–Sept 2020. ing and Experience Requirements. months to complete flight review. 61.23 ...... Pilot Medical Certificate Duration ...... Validity of March–May 2020 medicals Extend medical validity period by 3 extended to June 30, 2020. calendar months from expiration applies to medicals expiring March–Sept 2020. 61.39 ...... Pilot Knowledge Test Validity Period Test results expiring March–June Knowledge tests expiring in July– 2020 extended 3 calendar months. Sept 2020 added. 61.197 ...... Flight Instructor Renewal ...... Certificate expiration March–May No change. 2020 have until June 30, 2020 to renew. SFAR 100–2 ...... Relief for U.S. Military and Civilian Eligible persons that returned from No change. Personnel Who are Assigned Out- overseas October 2019–March side the U.S. in Support of U.S. 2020 received an extension of 3 Armed Forces Operations. calendar months. 63.3 ...... Flight Engineer Medical Certificate Validity of March–May 2020 medicals Extend medical validity period by 3 Duration. extended to June 30, 2020. calendar months from expiration applies to medicals expiring March–Sept 2020. 63.35 ...... Flight Engineer Written Test Validity Test results expiring March–June Written tests expiring in July–Sept Period. 2020 extended 3 calendar months. 2020 added. 65.55 ...... Dispatcher Knowledge Test Validity Test results expiring March–June Knowledge tests expiring in July– Period. 2020 extended 3 calendar months. Sept 2020 added. 65.71 ...... Mechanic Applicant Testing Period ... Testing period expires March–June Testing period expiring in July–Sept 2020 extended 3 months. 2020 added. 65.93 ...... Mechanic with Inspection Authoriza- 3 additional months (April–June No change. tion Renewal. 2020) to meet year one renewal requirements. 65.117 ...... Military Riggers...... Eligible military parachute riggers No change. who were released March–June 2019 have 3 additional months to make application. 141.5 ...... Pilot School Certificate Requirements Provisional certificate expires April– No change. June 2020 extended to Dec 31, 2020 to apply for a pilot school certificate. 141.27 ...... Pilot School Certificate Renewal Re- Certificate expires April–June 2020 No change. quirements. extended to Dec 31, 2020 to renew. 21.197 ...... Special Flight Permit—Move Aircraft April 30–Dec 31, 2020 ...... No change. to Storage.

II. Background public health emergency.2 The content Disease 2019 (COVID–19) final rule of the letters and the relief and (SFAR 118) (85 FR 26326). On May 29, In March 2020, the FAA received flexibility sought were described in the 2020, the FAA received an additional several letters from industry Relief for Certain Persons and letter signed by six industry associations associations petitioning the FAA for Operations during the Coronavirus seeking to extend by a month the relief relief and extensions from certain granted to those individuals eligible for requirements during the COVID–19 2 These letters are available in the rulemaking docket.

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relief in SFAR 118.3 The letter also stream of airmen for flight operations issued remain today. As those airmen requested the FAA to expand the and ensure continuity of essential air that exercised the relief in the SFAR eligibility of the relief to additional service while reducing possible begin to reschedule training and groups of pilots, operators, and exposure to COVID–19 and allowing for qualification activities, further strain is certificate holders who face expiring flexibility in scheduling medical placed on the training ecosystem for experience, testing, checking, duration, appointments. A4A added that, as those airmen who are due for events in medical, and renewal requirements in access to aviation medical examiners the upcoming months. In addition, the July through September 2020. resumes, these non-emergency medical FAA workforce and its designees have The industry associations supported appointments may be subject to large not fully returned to normal activity. As their position by acknowledging that backlogs and not considered priority. a result, airman qualifications will lapse while restrictions are easing in some A4A reiterated the FAA’s determination because persons cannot access training areas, they continue to see burdens and from SFAR 118 that ‘‘pilots may operate or testing facilities or schedule events in restrictions that will continue to have a beyond the validity period of their a timely fashion, or because FAA negative impact on the aviation medical certificate for a limited time inspectors or designees are unavailable community into the foreseeable future. without creating a risk to aviation safety to conduct required tests, checks, or The letter cited guidance from the that is unacceptable under the observations. To enable the continuity Centers for Disease Control and extraordinary circumstances of aviation operations that are critical to Prevention (CDC), which continues to surrounding the COVID–19 outbreak.’’ the Nation, the FAA finds it necessary recommend limited contact with In addition, on May 19, 2020, the to provide short-term relief from certain persons outside of one’s household, and President issued Executive Order 13924, training, qualification, duration, and added that State and local governments Regulatory Relief to Support Economic renewal requirements to a new cohort of are enforcing social distancing Recovery, setting forth ‘‘the policy of the airmen. requirements. As a result, many aviation United States to combat the economic Because this SFAR addresses multiple stakeholders seek to minimize their risk consequences of COVID–19 with the regulations from several parts of the of exposure. The industry associations same vigor and resourcefulness with Federal Aviation Regulations, the FAA referenced FAA data, which indicates which the fight against COVID–19 itself has provided the necessary background that ‘‘more than 57% of [designated has been waged.’’ Among other things, information in the relevant sections of pilot examiners] are over the age of 60, the Executive Order directed executive the Discussion of the Final Rule. The a demographic at higher risk of severe branch agencies to ‘‘address this FAA emphasizes that, apart from the effects’’ from COVID–19 disease. The economic emergency by rescinding, limited relief granted in this SFAR, letter also cited aviation medical modifying, waiving, or providing individuals must continue to comply examiners either being unavailable or exemptions from regulations and other with all applicable FAA regulations.5 taking weeks to schedule appointments. requirements that may inhibit economic Each of the following sections They added that the additional recovery consistent with applicable law explains the relief being granted and the flexibility will allow airmen and and with protection of the public health airmen or air agencies eligible for the examiners to abide by CDC and and safety . . . .’’ This final rule is relief.6 The mitigations the FAA found individual State recommendations consistent with this Executive Order. necessary to ensure aviation safety while stimulating the economy and remain unchanged from SFAR 118; III. Discussion of Final Rule moving medical and emergency therefore, they are not fully explained in supplies when needed. The industry Without the expanded relief provided the preamble of this amendment. associations believe the safety in this SFAR, certain persons are at risk While the FAA is expanding the relief mitigations in SFAR 118 will continue of ceasing operations due to their in SFAR 118 to a new group of airmen, to ensure an equivalent level of safety inability to satisfy training and it has not extended the period of relief during the extensions. qualification requirements due to The FAA also received a petition for disruptions caused by the COVID–19 5 The FAA notes, in particular, that § 61.51(a) exemption from Airlines for America public health emergency. Airmen requires an individual to log training and aeronautical experience used to meet the (A4A) requesting additional relief from continue to have trouble complying requirements for a certificate, rating, or flight expiration dates for medical certificates with certain training, recency, checking, review and aeronautical experience required for beyond what SFAR 118 provided for testing, duration, and renewal meeting the recent flight experience requirements of part 121 pilots and flight engineers. requirements even as stay-at-home part 61. Likewise, § 61.51(i) requires a person to present their pilot certificate, medical certificate, Specifically, A4A requested that airmen advisories are lifted. Even as the Nation logbook, or any other record required by part 61 for holding medical certificates that were transitions to various phases of inspection upon a reasonable request by (i) the due to expire in April 2020 and May reopening throughout the country, Administrator; (ii) an authorized representative 2020 be extended for a total of three authorities continue to promote social from the National Transportation Safety Board; or 4 (iii) any Federal, State, or local law enforcement calendar months. In addition, A4A distancing and limiting exposure to officer. sought a 3-month extension to medicals slow the spread of the virus. To comply 6 As explained further in Section IV.F of this that will expire in July through with many of the FAA’s training, SFAR (International Compatibility), certain relief September 2020. It stated that such recency, checking, testing, duration, and provided in this SFAR does not conform with the International Civil Aviation Organization (ICAO) relief would facilitate an uninterrupted renewal requirements, an airman is Standards and Recommended Practices (SARPs). required to be in close proximity to Apart from this SFAR’s application within the 3 The letter was from the Aircraft Owners and another individual, often in a small, United States, certificate holders or operators may Pilots Association (AOPA), Air Medical Operators confined space such as the flight deck dispatch or release flights and pilots and other Association (AMOA), Experimental Aircraft crewmembers may operate outside of the United Association (EAA), Helicopter Association of an aircraft or inside a simulator. In States under this SFAR, unless otherwise International (HAI), National Agricultural Aviation such an environment, there is an prohibited by a foreign country. For international Association, National Air Transportation increased risk of transmission of the operations where pilots and other crewmembers Association (NATA), and National Business virus. will exercise the relief identified in this SFAR, Aviation Association (NBAA). Although there are signs of increased anyone exercising this relief must have access to the 4 SFAR 118 provided disproportionate relief for SFAR when outside the United States and present medical certificates that expired in April and May aviation activity, many of the challenges a copy of this SFAR for inspection upon request by 2020 by extending them all until June 30, 2020. that existed when SFAR 118 was first a foreign civil aviation authority.

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provided to the original group of airmen who obtained relief under the original This relief also extends to flight except in one instance related to SFAR will receive an extension of that attendant crewmembers, check pilots, medical certification that is explained relief. Specific eligibility changes for and flight instructors under part 91, later in this preamble. The FAA individual sections will be discussed in subpart K, and part 125. Finally, this maintains that limited extensions, not to those sections. relief applies to operations conducted exceed 3 calendar months (grace The relief applies to any operation under part 107 of this chapter by a months), for training, checking, and that requires the pilot to hold at least a person who holds a remote pilot currency requirements are acceptable in commercial pilot certificate. This certificate issued under part 107. Pilots these extraordinary circumstances. provision will support the continuity of exercising commercial pilot privileges Further extending the grace period essential commercial operations, which have at least 190 hours of flight time as provided to the original group of airmen include aerial observation of critical a pilot and have been tested to a higher covered by SFAR 118, however, infrastructure, aerial applications (e.g., standard than private pilots. The presents an added risk to the system crops), and private carriage of medical eligibility requirements for private that the FAA does not broadly support. supplies and equipment, which are pilots are consistent with conditions The grace months provided by the SFAR conducted under part 91, subpart K, and and limitations imposed on private were to offer flexibility in scheduling parts 125, 133, and 137.7 pilots conducting charitable flights the necessary events given the In addition, this relief applies to some under a part 11 exemption. disruption caused by the COVID–19 operations conducted by pilots This amendment to SFAR 118 public health emergency. Certificate exercising private pilot privileges, addresses crewmember qualifications holders should seek to schedule those provided the pilot has at least 500 hours that may lapse in the next few months, events as soon as it is practical and safe of total time as a pilot of which 400 provided the crewmember is eligible for to do so given individual circumstances. hours is as PIC and 50 of the PIC hours the relief and satisfies the safety were accrued in the last 12 calendar A. Relief From Certain Training, mitigations before exercising the months. The kinds of operations privileges. The eligibility requirements Recency, Testing, and Checking permitted are those that are: Requirements and mitigations are discussed more fully • Incidental to business or in each subsection. As noted in the letters from industry, employment, general aviation operators and • in support of family medical needs 1. Part 61 crewmembers can be a key part of the or to transport essential goods for Part 61 prescribes the requirements U.S. infrastructure. The support that personal use, for pilot, flight instructor, and ground • general aviation provides is particularly necessary to fly an aircraft to a instructor certification, which include critical as the Nation begins to recover location in order to meet a requirement training, recency, testing, and checking from the public health emergency. of this chapter, or • requirements. The FAA is providing Because some phased recovery a flight to transport essential goods relief for second-in-command (SIC) measures continue to recommend that and/or medical supplies to support qualifications, pilot flight reviews, people stay at home or limit exposure public health needs. specific recency of experience through social distancing, some airmen This SFAR also extends to pilots requirements, and the PIC proficiency will continue to have difficulty conducting charitable medical flights for check for pilots that operate aircraft that completing certain regulatory a volunteer pilot organization pursuant require more than one pilot flight requirements in the short-term. In to an exemption issued under part 11, crewmember or are turbojet-powered. addition, as aviation activity begins to provided the pilots continue to comply The specific relief is described in resume, the FAA anticipates that the with the conditions and limitations of paragraphs A.1.a. through A.1.d. demand for training, checking, and the exemption. For flights conducted by testing will exceed the availability of private pilots under this relief, no one a. Second-in-Command Qualifications qualified instructors, check airmen, and may be carried on the aircraft unless (§ 61.55) examiners in many locations. The relief that person is essential to the purpose Section 61.55(b) states that no person in this final rule will provide additional of the flight, such as when transporting may serve as SIC of an aircraft time and flexibility for airmen to doctors for the purpose of providing certificated for more than one required schedule and complete those regulatory medical care. This relief does not permit pilot flight crewmember or in operations activities. The FAA encourages airmen private pilots to conduct these requiring an SIC unless that person has, not to delay scheduling until the last operations for compensation or hire within the previous 12 calendar months, possible moment to ensure compliance unless permitted under the exceptions become familiar with certain by the end of the grace periods. As a in § 61.113(b), (d), (e), or (h) or by information specific to the type of 8 result, the FAA finds temporary relief exemption. aircraft and performed and logged pilot from some requirements is still time in the type of aircraft or in a flight necessary to maintain critical 7 In accordance with § 137.19, a private operator simulator that represents the type of pilot that holds a private pilot certificate is also operations, increase flexibility in aircraft.9 Although paragraph (c) scheduling, and reduce burdens on eligible for relief. 8 The FAA has consistently construed airmen. compensation under § 61.113(a) broadly. 9 Section 61.55(b)(1)(i) specifies SICs must Relief granted in this section to Compensation does not require a profit, profit become familiar with operational procedures certain eligible pilots and crewmembers motive, or the actual payment of funds. Rather, applicable to the powerplant, equipment, and applies only to persons conducting compensation is the receipt of anything of value, systems; performance specifications and including the reimbursement of expenses. For limitations; normal, abnormal, and emergency specific operations for which the FAA additional discussion, the FAA has issued legal operating procedures; flight manual; and placards has determined relief is appropriate. interpretations with respect to what constitutes and markings. As prescribed in paragraph (b)(2), the The overarching eligibility for relief in compensation. Furthermore, nothing in this SFAR SIC must also log pilot time and perform at least Section A remains unchanged from the relieves a person from the requirement to hold a three takeoffs and three landings to a full stop as part 119 certificate if applicable FAA regulations the sole manipulator of the flight controls; engine- original issuance of SFAR 118; however, require a part 119 certificate. See generally FAA out procedures and maneuvering with an engine it is reiterated here for clarity. Except for Advisory Circular 120–12A (Apr. 24, 1986) and out while executing the duties of pilot in command; medical certification, no individuals FAA Advisory Circular 61–142 (Feb. 25, 2020). and receive crew resource management training.

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provides SICs a grace month 10 for month extension applies to pilots who instructor, company check pilot, accomplishing this recency were current to act as PIC of an aircraft designated pilot examiner, or person requirement, the effects of the COVID– in March 2020 and whose flight review approved by the Administrator.17 19 public health emergency continues to was due in March 2020 through The FAA finds, under the create challenges for accomplishing this September 2020. Eligible pilots must extraordinary circumstances of the requirement even within that additional complete the requirements prescribed in COVID–19 outbreak, that relief for timeframe. SFAR 118 prior to serving as a PIC.14 instrument recency is appropriate under As a result, the FAA finds, under the The FAA notes that, for pilots whose certain conditions. The FAA is extraordinary circumstances of the flight review was due in March 2020, extending the six-calendar month COVID–19 public health emergency, the three-month grace period is requirement of § 61.57(c)(1) by an that allowing eligible SICs two available through June 30, 2020, and additional three calendar months. This additional grace months for completing these pilots must complete the will enable a pilot to continue the requirements of § 61.55(b) would not requirements in § 61.56 before acting as exercising instrument privileges, present additional risk to aviation safety PIC after June 30, 2020. provided the pilot has performed the required tasks within the nine calendar that cannot be mitigated, as explained in c. Recent Flight Experience: Pilot in months preceding the month of the the next paragraph. The additional grace Command (§ 61.57) months are available to pilots whose flight, instead of the preceding six base month falls in March through Section 61.57 contains the recent calendar months. September 2020. The ‘‘base month’’ is flight experience requirements to serve To be eligible for the relief, a pilot the month in which training is due. as a PIC in an aircraft under various will need to have some recent Under this SFAR, pilots will have a total conditions. After reviewing the recent experience in instrument flight. More of three grace months after the base flight experience requirements of this specifically, the FAA is requiring that month to accomplish the requirements section, the FAA has determined that the pilot have logged, in the preceding of § 61.55(b).11 If these requirements are only relief for instrument recency is six calendar months, three instrument completed during the grace period, they warranted. approaches in actual weather Section 61.57(c) specifies the will be considered to have been conditions, or under simulated requirements to serve as a PIC under IFR completed during the base month. To conditions using a view-limiting device. or weather conditions less than the Eligible pilots may exercise the relief in attain the two additional grace months, minimums prescribed for visual flight eligible pilots must complete the this SFAR through September 30, 2020. rules (VFR). To be current under After that date, a pilot must be current requirements prescribed in SFAR 118 § 61.57(c),15 a pilot must have prior to serving as an SIC.12 in accordance with § 61.57(c). If the performed and logged, within the six pilot does not meet the instrument The FAA notes that, for pilots whose calendar months preceding the month of base month is March 2020, the three- experience requirements before the flight, six instrument approaches, September 30, 2020, the pilot retains the month grace period is available through holding procedures and tasks, and June 30, 2020, and these pilots must ability to reestablish recency in intercepting and tracking courses using accordance with § 61.57(d). However, complete the requirements in § 61.55 navigational electronic systems. before acting as SIC after June 30, 2020. the pilot will no longer have six months If a pilot is unable to establish to reestablish instrument recency. b. Flight Review (§ 61.56) instrument recency in accordance with Instead, the number of months available § 61.57(c), paragraph (d) prescribes how Section 61.56(c) states that no person for a pilot to attain the instrument a pilot may reestablish instrument may act as PIC of an aircraft, unless experience prior to requiring recency. If a pilot does not have the since the beginning of the 24th calendar completion of the instrument required approaches, holding, and month before the month in which that proficiency check will depend on when intercepting and tracking courses in the person acts as PIC, that person has the person last established instrument preceding six calendar months, the pilot 18 accomplished a flight review in an recency in accordance with § 61.57(c). has an additional six calendar months to aircraft for which that person is rated obtain the required experience by flying 17 and the person’s logbook has been Section 61.57(d)(3) contains the list of persons with a view-limiting device and a safety who may administer an instrument proficiency endorsed for that review by an pilot 16 or using a training device. check. authorized instructor certifying the 18 During this period, the pilot may not For example, if the pilot performed and logged review was satisfactorily completed.13 the tasks required by § 61.57(c)(1) in December serve as the PIC under IFR or weather The FAA finds, under the 2019, that pilot may continue exercising instrument conditions less than the minimums extraordinary circumstances of the privileges under this SFAR after June 2020, prescribed for VFR. If the pilot fails to provided the pilot meets the qualification COVID–19 public health emergency, meet the instrument experience requirements. This SFAR would allow that pilot to that extending the 24-calendar month continue acting as PIC under IFR or in weather requirements for more than six calendar requirement of § 61.56(c) by up to three conditions less than the minimums prescribed for months, the pilot must complete an calendar months will not adversely VFR until September 30, 2020. After September 30, instrument proficiency check 2020, that pilot would be required to comply with affect safety, provided the extension administered by an authorized § 61.57(c). As previously mentioned, § 61.57(d) applies to active pilots and certain risk gives a pilot who has failed to meet the instrument mitigations are met. The three-calendar experience requirements of paragraph (c) a grace 14 85 FR 263301. period of six calendar months to reestablish 15 Section 61.57(c)(1) contains the requirements instrument recency. A pilot who does not 10 The ‘‘grace month’’ is the month after the for maintaining instrument experience in an reestablish instrument recency during those month in which training is due during which the airplane, powered-lift, helicopter, or airship. additional six calendar months may reestablish pilot is still eligible to maintain recency. Section 61.57(c)(3) contains the requirements for instrument recency only by completing an 11 The three grace months consist of the grace maintaining instrument experience in a glider. instrument proficiency check. Therefore, if the pilot month provided in § 61.55(c) and the two 16 A safety pilot is a person who occupies a in this hypothetical fails to complete the tasks additional grace months provided by this SFAR. control seat in an aircraft and maintains a visual required by § 61.57(c)(1) by September 30, 2020, 12 85 FR 26330. watch when the pilot manipulating the flight that pilot would have three calendar months (until 13 Section 61.56(a) requires the flight review to controls of the aircraft is using a view-limiting December 31, 2020) available to attain the consist of a minimum of 1 hour of flight training device to simulate flight by reference to instrument experience prior to requiring and 1 hour of ground training. instruments. 14 CFR 91.109(c). completion of an instrument proficiency check.

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d. Pilot-in-Command Proficiency Check: PIC proficiency check completed during recurrent training required by subpart K Operation of an Aircraft That Requires the grace period will be considered to to be completed in the month before or More Than One Pilot Flight have been completed in the base month. after the month it is required. Crewmember or Is Turbojet-Powered The FAA notes that, for pilots whose Subpart K of part 91 also contains (§ 61.58) proficiency check was due in March instructor and check pilot qualifications 2020, the three-month grace period is Section 61.58 requires a PIC in §§ 91.1089 through 91.1095. Sections available through June 30, 2020, and proficiency check for those pilots that 91.1089 and 91.1091 require check these pilots must complete the fly an aircraft that requires more than pilots and flight instructors qualified in requirements in § 61.58 before acting as one pilot or is turbojet-powered. simulators to fly at least two flight PIC after June 30, 2020. Paragraph (a)(1) requires a pilot to segments as a required crewmember for complete a PIC proficiency check within 2. Part 91, Subpart K Flight the type, class, or category of aircraft the preceding twelve calendar months Crewmember Requirements (§§ 91.1065, involved within the previous twelve- in an aircraft that is type certificated for 91.1067, 91.1069, 91.1071, 91.1073, month period or complete an approved more than one required pilot or is 91.1089, 91.1091, 91.1093, 91.1095, line-observation program within the turbojet-powered. In addition, 91.1099, 91.1107) period prescribed by that program. paragraph (a)(2) requires a pilot to Part 91, subpart K, prescribes the Paragraph (g) in both sections provides accomplish, within the preceding 24 a grace month stating that the flight calendar months, a PIC proficiency additional rules that apply to private, segments or line observations are check in the particular type of aircraft general aviation fractional ownership considered complete if completed in the in which that person will serve as PIC programs. There are currently nine month before or the month after in that is type-certificated for more than fractional ownership programs one required pilot flight crewmember or operating under part 91, subpart K. which they are due. Sections 91.1093 is turbojet-powered.19 Paragraph (i) They range in size from managers with and 91.1095 require that a person who establishes a grace month for two aircraft to managers with over 500 conducts checking or instruction have completing the PIC proficiency check. airplanes and helicopters. satisfactorily completed an observation Specifically, it allows the check to be The crewmember testing and check within the preceding 24 months. completed in the month prior to or the checking requirements are established Paragraph (b) in both sections also month after the month in which the in §§ 91.1065, 91.1067, 91.1069, and provides a grace month for the checks check is due. 91.1071. Recurrent training to be completed. requirements for crewmembers are The FAA finds, under the The FAA finds, under the specified in §§ 91.1073, 91.1099, and extraordinary circumstances of the extraordinary circumstances of the 91.1107. These requirements cover the COVID–19 public health emergency, COVID–19 public health emergency, following activities and timelines for that allowing two additional grace that allowing a total of three grace months for completing the PIC completion: • Section 91.1065—pilot knowledge months after the base month for proficiency checks required by completing the covered training, testing, § 61.58(a)(1) and (2) does not present a testing and competency checking requirements (completed within the and checking requirements for risk to aviation safety that cannot be crewmembers, check pilots, and flight mitigated, as explained in SFAR 118.20 previous twelve months before the pilot serves as a required crewmember); instructors whose base month is in Eligible pilots are those pilots who are • March through September 2020—many required to complete a proficiency Section 91.1067—flight attendant of which already permit one grace check in accordance with § 61.58(a)(1) crewmember testing requirements month—does not present a risk to and whose base month falls within the (completed within the previous twelve aviation safety that cannot be mitigated time period of March 2020 through months before serving as a flight attendant crewmember); under the conditions of SFAR 118.23 If September 2020. In accordance with • § 61.58(a)(2), pilots who have not Section 91.1069(a) and (b)— a management specification holder completed a proficiency check in the instrument proficiency checking seeks the relief provided in this aircraft they intend to fly within the requirements for PICs (completed amendment, the risk mitigation plan preceding 24 calendar months and within the previous six months) and must include reference to crewmembers whose base month falls between March SICs (completed in previous twelve whose base month is July through months); September 2020, as appropriate. This 2020 and September 2020, are also • eligible for the relief in this SFAR.21 Section 91.1099—initial or may require an amendment to a Pilots will have a total of three grace recurrent training (completed within the previously submitted mitigation plan months after the base month to previous twelve months before serving under the conditions of SFAR 118; as a crewmember); however, persons whose base month accomplish the PIC proficiency check • required by § 61.58(a)(1) and (2).22 A Section 91.1107—crewmember was March through June 2020 receive recurrent training (completed within the no further relief under this portion of 19 In accordance with § 61.58(b), this section does previous twelve months before serving the final rule. not apply to persons conducting operations under as a crewmember); subpart K of part 91, or part 121, 125, 133, 135, or • Section 91.1069(c)—instrument 3. Mitsubishi MU–2B Series Special 137. In accordance with § 61.57(c), the PIC approach procedure recency Training, Experience, and Operating proficiency check given in accordance with subpart K of part 91, parts 121, 125, or 135 may be used (demonstrated that type of approach Requirements (§§ 91.1703, 91.1705, to satisfy the requirements of this section. within previous six months); 91.1715) 20 85 FR 26331–2 • Section 91.1071(a)—creates a grace 21 If a pilot’s base month is September 2020, this month that allows a crewmember test or Subpart N of part 91 contains training, SFAR extends the validity through December 30, flight check required by subpart K to be experience, and operating requirements 2020. completed in the month before or after specific to the Mitsubishi MU–2B series 22 This three-month grace period includes the the month it is required; and airplane. Except as specified in grace month that is already provided by § 61.58(i) • and the two additional grace months provided by Section 91.1073(b)—creates a grace this SFAR. month that allows crewmember 23 85 FR 26332–3.

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§ 91.1703(b),24 a person may not flying MU–2B series airplanes. This who would normally establish recency manipulate the controls, act as PIC, or relief is not applicable to pilots that are of knowledge in accordance with act as SIC of a MU–2B series airplane for required to complete initial/transition or § 107.65(a) or (b) may complete online the purpose of flight unless that person requalification training in an MU–2B training as an alternative if required to satisfies certain ground and flight series airplane,29 because these pilots establish recency between April 2020 training requirements,25 including could not meet the qualification and September 2020. The remote pilot recurrent training requirements, in an requirements. may complete the FAA-developed FAA-approved MU–2B training program Under this SFAR, a person may obtain initial or recurrent online training that meets the standards of subpart N of two additional grace months to courses 33 at www.faasafety.gov one time part 91. This requirement is contained complete the recurrent training to establish knowledge recency for six in § 91.1705(a)(1).26 requirements.30 To be eligible for this calendar months.34 As previously In addition, § 91.1705(b)(1) states that, relief, pilots must be qualified under stated, the initial or recurrent online except as specified in § 91.1703(b), a subpart N of part 91 and their base training course covers a condensed list person may not manipulate the controls, month for completing the recurrent of UAS-specific knowledge areas act as PIC, or act as SIC, of a MU–2B training must fall in March through because it is intended for persons who series airplane for the purpose of flight September 2020. If a pilot completes the hold part 61 pilot certificates and satisfy unless that person satisfactorily recurrent training requirements within the flight review requirements of completes, if applicable, recurrent pilot the grace period provided by this SFAR, § 61.56. The FAA finds that, for a training on the special emphasis items the requirements will be considered to limited duration of time, allowing and all items listed in the Training have been completed in the base month. remote pilots to complete one of these Course Final Phase Check in accordance In addition, to ensure there is no online training courses is an adequate with an FAA-approved MU–2B training adverse impact to safety, the FAA has alternative to passing a knowledge test. program that meets the standards of determined it is necessary to impose However, because these courses do not subpart N of part 91.27 certain qualification requirements on include all the knowledge areas under Section 91.1703(e) requires a person pilots seeking to exercise this relief. The § 107.73(a) or (b) that a remote pilot is to complete recurrent training within qualification requirements are intended required to be tested on every 24 the preceding twelve months without to serve as risk mitigations and are calendar months, the remote pilot will the option of a grace month.28 Under described in SFAR 118.31 need to establish knowledge recency in § 91.1705(e), however, a person has one 4. Aeronautical Knowledge Recency accordance with § 107.65 upon grace month to comply with the training (§ 107.65) conclusion of the six calendar months. requirements of § 91.1705(a) or (b). Remote pilots who qualify to establish Section 107.65 requires remote pilots Therefore, § 91.1705(e) allows a person recency of aeronautical knowledge per certificated under part 107 to establish to accomplish the recurrent training one § 107.65(c) are not included in this recency of knowledge every 24 calendar month after the month it is due. relief. Pilots who use the relief from months. To meet the recency of Section 91.1715(c) stipulates that § 61.56 in this SFAR amendment may knowledge requirement per § 107.65(a) completion of a flight review to satisfy establish recency of aeronautical or (b), remote pilots must pass an FAA the requirements of § 61.56 is valid for knowledge per § 107.65(c) and retain operation of a Mitsubishi MU–2B series knowledge test at a knowledge testing center. The initial and recurrent remote pilot privileges for 24 calendar airplane only if that flight review is months. conducted in a Mitsubishi MU–2B knowledge tests required by § 107.65(a) series airplane, or an MU–2B simulator or (b) cover the comprehensive list of 5. Part 125 Flight Crewmember approved for landings with an approved knowledge areas specified in § 107.73(a) Requirements (§§ 125.285, 125.287, course conducted under part 142. or (b), respectively. Section 107.65(c) 125.289, 125.291, 125.293) Under the extraordinary allows remote pilots who are also Part 125 certificated operators circumstances of the COVID–19 public certificated under part 61 and have a conduct non-common carriage health emergency, the FAA supports current flight review in accordance with operations. The FAA issues a Letter of relief for certain experienced pilots § 61.56 to complete online training to Deviation Authority (LODA) for various meet aeronautical knowledge recency. kinds of operations to include airplane 24 Section 91.1703(b) states that a person who The initial or recurrent training course covers the condensed list of knowledge does not meet the requirements of subpart N of part 33 ALC–451 (Part 107 Small Unmanned Aircraft 91 may manipulate the controls of a Mitsubishi areas specified in § 107.74(a) or (b), Systems (small UAS) Initial); ALC–515 (Part 107 MU–2B series airplane if a PIC who meets the respectively, because the part 61 pilot Small Unmanned Aircraft Systems (small UAS) requirements of subpart N of part 91 is occupying Recurrent). a pilot station, no passengers or cargo are carried who has a current flight review has 34 On February 13, 2019, the FAA published an on board the airplane, and the flight is being already demonstrated knowledge of NPRM that, if adopted, would update the conducted for one of the reasons specified in many of the topic areas tested on the regulations that govern part 107 operations. In the § 91.1703(b)(1) through (3). 32 UAS knowledge test. NPRM, the FAA proposed to amend § 107.65(b) to 25 The requirements for ground and flight training Under the extraordinary allow a remote pilot to meet the recency are on initial/transition, requalification, recurrent, circumstances of the COVID–19 public requirements by completing recurrent training and differences training. 14 CFR 91.1705(a)(1). (rather than a recurrent knowledge test) covering 26 health emergency, eligible remote pilots Section 91.1705(a)(2) requires the person’s the areas of knowledge specified in § 107.73. The logbook to have been endorsed in accordance with FAA is therefore actively engaged in rulemaking § 91.1705(f). 29 See § 91.1703(c) or (d). that, if adopted, would provide the option for taking 27 Section 91.1705(b)(2) also requires the person’s 30 This means a person will have a total of three an online recurrent training course in lieu of a UAS logbook to have been endorsed in accordance with grace months after the due month, because knowledge test to all part 107 certificate holders. § 91.1705(f). § 91.1705(e) already provides one grace month. The The proposed recurrent training course would cover 28 Successful completion of initial/transition ‘‘grace months’’ are months after the month in the comprehensive list of knowledge areas set forth training or requalification training within the which training is due, during which the pilot is still in § 107.73, rather than the condensed list of preceding twelve months satisfies the requirement eligible to meet the recurrent training requirements. knowledge areas in § 107.74, which are intended for of recurrent training. A person must successfully 31 85 FR 26333. part 61 certificate holders who satisfy the flight complete initial/transition training or 32 Final Rule, Operation and Certification of review requirements specified in § 61.56. NPRM, requalification training before being eligible to Small Unmanned Aircraft Systems, 81 FR 42063, Operation of Small Unmanned Aircraft Systems receive recurrent training. 14 CFR 91.1703(e). 42164 (Jun. 28 (2016). Over People, 84 FR 3856 (Feb. 13, 2019).

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ferry, sales demonstrations, or requirements does not present a risk to person meets the recency requirements training.35 These LODA-holders aviation safety that cannot be mitigated. of § 61.56 established in this SFAR in an conduct operations under part 91 and In addition, the FAA is granting an R–22 or R–44, or both, as appropriate. may hold an operating certificate and additional sixty days for completing the This relief is limited to Robinson pilots have operations specifications three required takeoffs and landings. that have at least 200 hours in (OpSpecs).36 The FAA also issues a The requirements of this SFAR ensure helicopters of which at least 50 hours LODA to an operator that conducts only that certificate holders and A125 LODA are in the applicable Robinson model non-commercial operations (i.e., private holders demonstrate a plan to mitigate helicopter for which the person has PIC use only)—specifically an A125 LODA. any potential risk introduced by privileges. Low-time Robinson pilots Holders of an A125 LODA do not hold extending flight crewmember that are required to complete a flight an operating certificate or have qualifications.40 The relief applies to review every twelve calendar months in OpSpecs. Instead, they are issued a requirements for currently qualified accordance with SFAR 73 must letter of authorization (LOA) because flight crewmembers only, whose base continue to comply with that SFAR. the flightcrew members operating under month is March through September For the relief in this SFAR, the flight an A125 LODA must comply with the 2020. It does not apply to requirements review must include SFAR 73 recency, recurrent testing, and for the training and qualification of new awareness training subjects in paragraph proficiency checking requirements of personnel. To utilize the relief provided 2(a)(3) and the flight training subjects in part 125. by this SFAR, the certificate holder or paragraph 2(b). R–22 or R–44 pilots Section 125.287 requires a pilot of a A125 LODA holder must provide an whose flight review is due in March part 125 operation to have passed a acceptable risk mitigation plan as through September 2020 may extend an written or oral test given by the described in SFAR 118.41 If a certificate additional three calendar months, Administrator or a check airman every holder or A125 LODA holder seeks the provided the pilots meet the 12 calendar months and pass a relief provided in this amendment, the requirements prescribed in SFAR 118.44 competency check in the type of mitigation plan must include reference airplane flown in part 125 operations to crewmembers whose base month is B. Relief From Certain Duration and every 12 calendar months.37 Section July through September 2020, as Renewal Requirements 125.289 requires a flight attendant to appropriate. This may require an Maintaining the continuity of complete recurrent testing every 12 amendment to a previously submitted operations through the relief in section calendar months. Section 125.293(a) mitigation plan under the conditions of A of this document is important to provides for a grace month for SFAR 118; however, persons whose ensure the stability of essential crewmembers to complete testing or base month was March through June functions of the U.S. transportation 38 checking. Section 125.291(a) requires 2020 receive no further relief under this system. The FAA also finds that it is that since the beginning of the sixth portion of the final rule. appropriate to provide relief for calendar month before service, the PIC 6. Robinson R–22/R–44 Special Training additional persons for certain duration of an airplane in a part 125 operation and renewal requirements because the under IFR must have passed an and Experience Requirements (SFAR 73) COVID–19 public health emergency has instrument proficiency check and the continued to make compliance difficult. Administrator or an authorized check SFAR 73 established special training Without extending this short-term relief, airman has so certified in a letter of and experience requirements for pilots some certificate holders will not have 39 competency. Finally, § 125.285(a) operating the Robinson model R–22 or the flexibility necessary to schedule requires that pilot flight crewmembers R–44 helicopters to maintain safe testing events or medical exams due to complete three takeoffs and landings operation of these helicopters. the backlog of required events and the within the preceding 90 days in the type To act as PIC of a Robinson R–22 or availability of FAA examiners and airplane in which that person is to R–44 helicopter, SFAR 73 requires the designees. person to complete the flight review serve. The relief discussed more fully in the required under § 61.56 in an R–22 or R– The FAA finds, under the following sections responds to 44 helicopter, as appropriate to the PIC extraordinary circumstances of the continued disruptions that have privileges sought, if the person has at COVID–19 public health emergency, prevented certificate holders from least 200 flight hours in helicopters of that allowing two additional grace seeking timely renewals of certificates which at least 50 flight hours are in the months for completing the recurrent or from completing certain testing applicable Robinson model helicopter testing, checking, and training activity before expiration dates have for which the person has PIC passed. Because disruptions have 35 These are A510, A511, or A512 LODA holders, privileges.42 Otherwise, it requires the continued as activities begin to resume, respectively. person to comply with the endorsement 36 the FAA is providing the relief for Pilots of these LODA-holders comply with the requirements of SFAR 73.43 recency, training, and checking requirements of part periods of time deemed necessary to Under the extraordinary 61. alleviate the burden. The FAA has 37 circumstances of the COVID–19 public This section also requires the certificate holder determined, under the extraordinary to use a pilot who has passed the written or oral health emergency, the FAA has circumstances of the COVID–19 public test and competency check within the preceding 12 determined that the PIC of an R–22 or health emergency, that this relief will calendar months. R–44 is compliant with SFAR 73 if the 38 If a crewmember who is required to take a test not adversely affect safety because it is or check under part 125, if he or she completes the narrowly focused on a small segment of test or check in the calendar month before or after 40 Pilots of other LODA-holders would comply the calendar month in which it is required, that with the applicable relief to part 61 training, the regulated community, it will be in crewmember is considered to have completed the recency, testing, and checking requirements. effect for a short duration, and the test or check in the calendar month in which it is 41 85 FR 26334. regulations will provide safeguards to required. 42 An R–44 PIC may credit up to 25 hours of R– ensure an appropriate level of safety is 39 The certificate holder is also required to use a 22 PIC time towards the 50 hours of PIC time maintained. PIC in an airplane of a part 125 IFR operation who required in the R–44. has completed the instrument proficiency check 43 See 14 CFR part 61, SFAR 73, section 2, within the preceding six calendar months. paragraph (b)(1) or (2) Aeronautical Experience. 44 85 FR 26335.

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1. Part 61 for a short period of time. In SFAR 118, the medical certificate necessary for the pilot the FAA extended to June 30, 2020, the operation; or The FAA is granting temporary (2) Is taking medication or receiving other regulatory relief from the validity dates validity period of all medical certificates due to expire in March through May treatment for a medical condition that results for medical certificates. This relief is in the person being unable to meet the further described in B.1.a and B.2.a. The 2020. This relief was helpful to many requirements for the medical certificate FAA also recognizes that the inability to pilots; however, the relief granted some necessary for the pilot operation. complete a practical test at this time pilots a three-month extension, some b. Prerequisites for Practical Tests may still be outside the applicant’s pilots a two-month extension, and some (§ 61.39) control due to the limited number of pilots a one-month extension. This practical tests currently being approach has resulted in four groups of Section 61.39 establishes the conducted. As a result, the FAA is airmen with medical certificates set to eligibility requirements for an applicant providing relief to extend the expire on the same day. To provide seeking to take a practical test for a knowledge test validity period as relief to those airmen who continue to certificate or rating issued under part described in B.1.b. be affected by restrictions and 61. Among these requirements, an recommendations implementing phased applicant must have passed the required a. Medical Certificates: Requirement and reopening, and allow for flexibility in FAA knowledge test within a specified Duration (§§ 61.2, 61.23) scheduling the medical exams, the FAA period. Except for the multiengine Section 61.2(a)(5) states that no is amending the relief in SFAR 118. The airplane airline transport pilot (ATP) person may exercise privileges of a FAA has determined that pilots may certificate, FAA knowledge tests are medical certificate issued under 14 CFR operate with a medical certificate that valid for 24 calendar months.47 The part 67 if the medical certificate is has been extended no more than 3 multiengine airplane ATP knowledge expired according to the duration calendar months for a limited time test is valid for 60 calendar months.48 standards set forth in § 61.23(d). Section without creating a risk to aviation safety Because of the COVID–19 public 61.23(d) states that the duration of a that is unacceptable under the health emergency, an applicant may not medical certificate depends on the age extraordinary circumstances have been able to complete a practical of the person on the date of the medical surrounding the COVID–19 public test, as planned, prior to the expiration examination, the duty position in which health emergency. For the reasons cited, of his or her knowledge test. Applicants the person is serving, the type of this final rule revises SFAR 118 to continue to have trouble scheduling operation the person is conducting, and extend the validity period of medical practical tests. A majority of FAA the class of certificate. certificates that expire in April through examiners and designees have not yet On April 1, 2020, the FAA published September 2020 to 3 calendar months resumed practical testing activities. an Enforcement Policy for Expired beyond the original expiration.46 Given the extended period where there Airman Medical Certificates in the Accordingly, those pilots who obtained were no practical tests being taken, Federal Register (85 FR 18110) only a one- or two-month extension there is a backlog of testing that needs notifying the public that the Agency under the original SFAR will be granted to occur. would not take legal enforcement action additional relief not to exceed an If an applicant’s knowledge test against any person serving as a required extension of three months total. Those expires before he or she can complete pilot flight crewmember or flight pilots who hold medical certificates that the practical test, that applicant is engineer based on noncompliance with would have expired in March 2020 required to pass another knowledge test medical certificate duration standards. obtain no additional relief under this prior to completing the practical test. It The policy was limited to specified SFAR, and they must obtain a new costs a person $96–$160 per test,49 certificate expiration dates and to medical certificate to continue operating depending upon the testing location, to operations within U.S. airspace. The after June 30, 2020. Pilots who hold take an FAA knowledge test. Therefore, FAA also granted two exemptions medical certificates that expire in July, requiring a person whose knowledge relating to the duration of medical August, and September will have a full test result expired during the COVID–19 certificates, No. 18516 (Regulatory three-month extension. public health emergency to take another Docket No. FAA–2020–0318) and No. The FAA notes that the provisions of knowledge test would result in an 18515 (Regulatory Docket No. FAA– this SFAR do not extend to the additional economic burden on the 2020–0317) limited to operations requirements of § 61.53 regarding applicant. outside U.S. airspace conducted by prohibition on operations during The FAA has determined, under the certain 14 CFR part 119 certificate medical deficiency. These prohibitions extraordinary circumstances of the holders. The FAA incorporated the remain critical for all pilots to observe, COVID–19 public health emergency, relief granted in those exemptions into especially given the policy of emergency that it is necessary to amend the SFAR 118 and expanded it to all pilots accommodation announced here and regulatory relief originally provided in to encompass all operations subject to the health threat of COVID–19. SFAR 118 to add the specific class of §§ 61.2, 61.23, and 63.3.45 Accordingly, the FAA emphasizes that Under the extraordinary under § 61.53, no person who holds a 47 Section 61.39(a)(1)(i) requires the applicant to circumstances of the COVID–19 public have passed the required knowledge test within the medical certificate issued under 14 CFR 24-calendar month period preceding the month the health emergency, the FAA has part 67 may act as a required pilot flight applicant completes the practical test, if a determined that even as some routine crewmember while that person: knowledge test is required. activity is resuming and aviation 48 Section 61.39(a)(1)(ii) requires the applicant to (1) Knows or has reason to know of any pass the required knowledge test within the sixty- medical examiners are beginning to see medical condition that would make the patients for aviation medical calendar month period preceding the month the person unable to meet the requirements for applicant completes the practical test for those examinations, further relief is necessary applicants who complete the ATP certification 46 A medical certificate that was to expire in May training program in § 61.156 and pass the 45 Because the medical certification requirement 2020 has been extended by three calendar months knowledge test for an ATP certificate with a for flight engineers falls under part 63, rather than and is now valid until August 31, 2020. Likewise, multiengine class rating after July 31, 2014. part 61, the SFAR relief pertaining to § 63.3 is a medical certificate that expires in September 2020 49 FAA Regulatory Support Division provided addressed in Section B.2 of this preamble. is now valid until December 31, 2020. knowledge test cost information on April 14, 2020.

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individuals who have knowledge tests expiration of medical certificates to requirements for his or her current expiring between July 2020 and provide additional time for airmen to medical certificate. September 2020. To ensure these accomplish medical examinations and b. Flight Engineer Knowledge individuals are not penalized by having obtain new medical certificates. Requirements (§ 63.35) to take another knowledge test, the FAA Similarly, medical relief for flight is extending the validity of knowledge engineers is necessary as described in Section 63.35 establishes the tests by a duration of three calendar B.2.a. Extending knowledge test passing knowledge requirements for a person months. Therefore, this SFAR will allow results for flight engineers is also seeking a flight engineer certificate. an individual who has a knowledge test necessary and explained in B.2.b. Paragraph (d) states the applicant for a expiring between March 2020 and flight engineer certificate or rating must September 2020 to present the expired a. Certificates and Ratings Required have passed the written tests required knowledge test to show eligibility under (§ 63.3) by paragraphs (a) and (b) since the § 61.39(a)(1) to take a practical test for Section 63.3(b) states that a person beginning of the 24th calendar month a certificate or rating issued under part may act as a flight engineer of an aircraft before the month in which the flight is 61 for an additional three calendar only if that person holds a current taken.55 months.50 second-class medical certificate issued For the reasons discussed in section In addition to passing a knowledge to that person under part 67. For the B.1.b of this preamble and subject to the test, the eligibility requirements for reason previously stated in section B.1.a same condition and limitations, the taking a practical test require an and subject to the same conditions and FAA is also amending the relief in applicant to satisfactorily accomplish limitations, the FAA has determined SFAR 118 to expand it to include the required training and obtain the that flight engineers may operate with a persons seeking a flight engineer aeronautical experience required for the medical certificate that has had its certificate under part 63 who have certificate or rating sought.51 The validity period extended for a period written tests expiring between July 2020 regulations also require the applicant to not to exceed three calendar months and September 2020. Consistent with have received flight training from an without creating a risk to aviation safety the relief provided to pilot applicants authorized instructor in preparation for that is unacceptable under the under part 61, the FAA is extending the the practical test within the two months extraordinary circumstances validity of written tests under part 63 preceding the month of the test.52 The surrounding the COVID–19 public for a duration of three calendar months. authorized instructor must endorse the health emergency. Accordingly, the The FAA finds, under the extraordinary applicant’s logbook or training record FAA is amending SFAR 118 and circumstances of the COVID–19 public certifying that the applicant has extending the validity period for health emergency, that this relief will received and logged this training and is medical certificates that expire in March not adversely affect safety because it is prepared for the required practical 2020 through September 2020 by three narrowly focused on a small segment of test.53 While this amended SFAR will calendar months. the regulated community, it will be in allow certain individuals to use an Consistent with the relief to pilots effect for a short period of time, and the expired knowledge test, the other explained in section B.1.a, flight regulations will provide adequate requirements in part 61 will ensure the engineers who obtained only a one- or safeguards to ensure an appropriate individual is prepared for the practical two-month extension under the original level of safety is maintained. test, and the evaluator administering the SFAR will be granted additional relief 3. Part 65 practical test will have the opportunity not to exceed an extension of three to determine whether the person is As described for pilots and flight months total. Those flight engineers engineers, extending knowledge test and qualified to hold the certificate.54 Under who hold medical certificates that the extraordinary circumstances of the written test results for aircraft would have expired in March 2020 dispatchers and mechanics, COVID–19 public health emergency, obtain no additional relief under this and because the relief applies to a respectively, is also warranted and SFAR amendment, and they must obtain further described in B.3.a. and B.3.b. specific group of individuals and is a new medical certificate to continue limited in duration, the FAA has The FAA finds, under the extraordinary operating after June 30, 2020. Flight circumstances of the COVID–19 public determined that these regulatory engineers who hold medical certificates requirements will provide sufficient health emergency, that the relief that expire in July, August, and provided to part 65 airmen will not assurance that there will be no adverse September will have a full three-month impact to safety. adversely affect safety because it is extension. narrowly focused on a small segment of 2. Part 63 The FAA notes that the provisions of the regulated community, it will be in this SFAR do not extend to the As previously described, the FAA is effect for a short period of time, and the requirements of § 63.19 regarding amending the temporary relief from the existing regulations will provide prohibition on operations during adequate safeguards to ensure an 50 Except for a multiengine ATP knowledge test, physical deficiency. These prohibitions appropriate level of safety is a knowledge test taken for a pilot certificate or remain critical for all flight engineers to maintained. rating in May 2018 would expire in May 2020. With observe, especially given the policy of the relief in this SFAR, the passing knowledge test emergency accommodation announced a. Dispatcher Knowledge Requirements results are valid until August 2020. here and the health threat of COVID–19. (§ 65.55) 51 14 CFR 61.39(a)(3). 52 14 CFR 61.39(a)(6)(i), 61.99, 61.109, 61.129, Accordingly, the FAA emphasizes that Section 65.55 establishes the 61.313. under § 63.19, no person who holds a knowledge requirements for a person 53 14 CFR 61.39(a)(6). medical certificate issued under 14 CFR 54 The regulations require the applicant to pass part 67 may serve as a flight engineer 55 Exceptions to the 24-calendar month limitation the practical test on the areas of operation required during a period of known physical are prescribed in paragraphs (d)(1) for applicants for the certificate or rating sought. 14 CFR employed as a flight crewmember or mechanic by 61.96(b)(7), 61.103(h), 61.123(g), 61.153(h), deficiency, or increase in physical an air carrier; or (d)(2) for applicants that 61.165(e)(4) and (f)(5), 61.183(h), 61.307(b), deficiency, that would make him or her participated in a military flight engineer or 61.405(b)(2). unable to meet the physical maintenance program.

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seeking an aircraft dispatcher certificate. provided under parts 61 and 63, the regarding impacts on small entities are Paragraph (b) requires the applicant for FAA is extending the validity of the not required. This rule will not create an aircraft dispatcher certificate to testing period under § 65.71 for a unnecessary obstacles to the foreign present passing knowledge test results duration of three months. Accordingly, commerce of the United States. This within the preceding 24 calendar an individual who has a testing period rule will not impose an unfunded months. expiring in March through September mandate on State, local, or tribal For the reasons discussed in section 2020 may show eligibility under § 65.71 governments, or on the private sector, B.1.b and subject to the same conditions to take a practical test for a mechanic by exceeding the threshold identified and limitations, the FAA, under the certificate or rating provided the testing previously. To take advantage of the extraordinary circumstances of the period does not exceed 27 months.57 relief from this SFAR, this rule will COVID–19 public health emergency, is IV. Regulatory Notices and Analyses result in a one-time collection of also amending the relief in SFAR 118 to information for affected operators and extend it to persons seeking an aircraft Changes to Federal regulations must pilot schools to submit plans to mitigate dispatcher certificate under part 65 who undergo several analyses. First, safety risks and ensure proficiencies. have knowledge tests expiring between Executive Orders 12866 and 13563 July 2020 and September 2020. direct that each Federal agency shall A. Regulatory Evaluation Therefore, consistent with the relief propose or adopt a regulation only upon i. Safety and Regulatory Relief Benefits provided to pilot applicants under part a reasoned determination that the 61 and flight engineer applicants under benefits of the intended regulation The provisions in this final rule part 63, the FAA is extending the justify its costs. In addition, DOT amend the regulatory relief originally validity of knowledge tests under rulemaking procedures in 49 CFR part 5 provided in SFAR 118. The amended § 65.55 for a duration of three calendar instruct DOT agencies to issue a relief applies to new persons who may months. Accordingly, an individual regulation upon a reasoned have challenges complying with certain who has a knowledge test expiring determination that benefits exceed training, recent experience, testing, and between March 2020 and September costs. Second, the Regulatory Flexibility checking requirements. Without the 2020 may present the expired Act of 1980 (Pub. L. 96–354), as codified relief in this SFAR, beginning July 1, knowledge test to show eligibility under in 5 U.S.C. 603 et seq., requires agencies 2020, and with each month thereafter, a § 65.55 to take a practical test for an to analyze the economic impact of new group of pilots will become aircraft dispatcher certificate for a regulatory changes on small entities. unavailable to perform critical period of three calendar months. Third, the Trade Agreements Act of operations due to an inability to comply 1979 (Pub. L. 96–39), as codified in 19 with regulatory requirements. This relief b. Eligibility Requirements: General U.S.C. chapter 13, prohibits agencies allows affected operators to continue to (§ 65.71) from setting standards that create use pilots and other crewmembers in Section 65.71 establishes the unnecessary obstacles to the foreign support of essential operations during eligibility requirements for a mechanic commerce of the United States. In this extended period. In addition, this certificate and associated ratings. developing U.S. standards, the Trade rule provides regulatory relief to Paragraph (a)(3) requires an applicant to Agreements Act requires agencies to persons unable to meet duration and have passed all the prescribed tests consider international standards and, renewal requirements due to the public within a period of 24 months from the where appropriate, that they be the basis health emergency. The regulatory relief in this initiation of testing. Testing for a FAA of U.S. standards. Fourth, the Unfunded amendment will enable the continuity mechanic certificate includes three Mandates Reform Act of 1995 (Pub. L. of aviation operations that are critical tests, which are the written, oral, and 104–4), as codified in 2 U.S.C. chapter 56 during the COVID–19 public health practical. Section 65.75 establishes the 25, requires agencies to prepare a emergency and recovery, including knowledge requirements, including the written assessment of the costs, benefits, operations that support essential requirement to pass a written test. and other effects of proposed or final services and flights that support Section 65.79 contains the skill rules that include a Federal mandate response efforts. In addition, this rule requirements, including the requirement likely to result in the expenditure by contains regulatory relief for persons to pass an oral and practical test. In State, local, or tribal governments, in the who are unable to satisfy certain addition, § 65.71(b) requires a aggregate, or by the private sector, of requirements, to prevent those persons certificated mechanic who applies for $100 million or more annually (adjusted from enduring unnecessary economic an additional rating to meet the for inflation with base year of 1995). burdens due to circumstances related to experience requirements of § 65.77 and, The FAA also analyzes this regulation the public health emergency that are within a period of 24 months, pass the under the Paperwork Reduction Act. outside of their control. This rule also written test required by § 65.75 and the This portion of the preamble provides additional flexibility for oral and practical tests required by summarizes the FAA’s analysis of the scheduling training and qualification § 65.79 for the additional rating sought. economic impacts of this final rule. For the reasons discussed in section In conducting these analyses, the FAA activities as the U.S. transitions from B.1.b of this preamble, the FAA, under has determined this rule is not a safer-at-home advisories to various the extraordinary circumstances of the significant regulatory action, as defined phases of reopening. In addition, this relief applies to some COVID–19 public health emergency, is in section 3(f) of Executive Order 12866 operations conducted by pilots also amending SFAR 118 and extending and under DOT rulemaking procedures. exercising private pilot privileges, the relief to persons seeking a mechanic As notice and comment under 5 U.S.C. provided the pilot has at least 500 hours certificate or rating issued under part 65 553 are not required for this final rule, of total time as a pilot of which 400 who have testing periods expiring the regulatory flexibility analyses hours is as PIC with 50 of the PIC hours between July 2020 and September 2020. described in 5 U.S.C. 603 and 604 Therefore, consistent with the relief accrued in the last twelve calendar months. As previously discussed, the 57 If a testing period was to expire on April 30, 56 Under part 65, subpart D, the FAA may issue 2020, this SFAR extends the testing period to July kinds of operations permitted include, an airframe or powerplant rating. 14 CFR 65.73. 31, 2020. but are not limited to, flights to

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transport essential goods and/or medical unnecessary risk of exposure and to final agency rule that may result in an supplies to support public health needs. assure persons that they will not endure expenditure of $100 million or more (in This rule also extends to pilots economic burdens due to non- 1995 dollars) in any one year by State, conducting charitable medical flights for compliance with certain regulations. local, and tribal governments, in the a volunteer pilot organization pursuant aggregate, or by the private sector; such B. Regulatory Flexibility Act to an exemption issued under part 11, a mandate is deemed to be a ‘‘significant provided the pilots continue to comply The Regulatory Flexibility Act (RFA), regulatory action.’’ The FAA currently with the conditions and limitations of in 5 U.S.C. 603, requires an agency to uses an inflation-adjusted value of $155 the exemption. prepare an initial regulatory flexibility million in lieu of $100 million. In addition to pilots, this rule analysis describing impacts on small This final rule does not contain such provides temporary relief to other entities whenever an agency is required a mandate. Therefore, the requirements persons such as flight attendant by 5 U.S.C. 553, or any other law, to of Title II of the Act do not apply. crewmembers, aircraft dispatchers, publish a general notice of proposed E. Paperwork Reduction Act flight engineers, mechanics, and rulemaking for any proposed rule. instructors. This relief extends to flight Similarly, 5 U.S.C. 604 requires an The Paperwork Reduction Act of 1995 attendant crewmembers, check pilots, agency to prepare a final regulatory (44 U.S.C. 3507(d)) requires that the and flight instructors under subpart K of flexibility analysis when an agency FAA consider the impact of paperwork part 91, and part 125. Finally, this relief issues a final rule under 5 U.S.C. 553, and other information collection applies to operations conducted under after being required by that section or burdens imposed on the public. part 107 by a person who holds a remote any other law to publish a general As previously discussed, to utilize the pilot certificate issued under part 107. notice of proposed rulemaking. The temporary relief provided by this SFAR FAA found good cause to forgo notice amendment, an affected certificate ii. Costs To Utilize Relief and comment and any delay in the holder or a part 125 LODA holder must This rule will result in small costs for effective date for this rule. As notice and provide a plan to its assigned FAA affected operators to notify the FAA and comment under 5 U.S.C. 553 are not principal operations inspector. The plan submit plans to mitigate safety risks and required in this situation, the regulatory is to contain a safety analysis and ensure proficiencies. To take advantage flexibility analyses described in 5 U.S.C. corresponding risk mitigations and of the extended relief provided by this 603 and 604 are not required. methods to ensure that each rule, an affected certificate holder or crewmember remains adequately tested A125 LODA holder will be required to C. International Trade Impact and currently proficient for each submit a new or revised mitigation plan Assessment aircraft, duty position, and type of to its assigned FAA principal operations The Trade Agreements Act of 1979 operation in which the person serves. inspector. The plan will contain a safety (Pub. L. 96–39) prohibits Federal While SFAR 118 provided relief in analysis and corresponding risk agencies from establishing standards or the form of a grace period for those mitigations and methods to ensure that engaging in related activities that create entities whose base month for each crewmember remains adequately unnecessary obstacles to the foreign completing the recurrent testing, tested and currently proficient for each commerce of the United States. checking, and training requirements was aircraft, duty position, and type of Pursuant to this Act, the establishment March, April, May, or June 2020, this operation in which the person serves. of standards is not considered an final rule extends the grace period to Similarly, part 91 management unnecessary obstacle to the foreign those whose base month falls in July specifications holders must also commerce of the United States, so long 2020 through September 2020. A part conduct a safety analysis and provide as the standard has a legitimate 125 certificate holder or A125 LODA appropriate mitigations in a plan to domestic objective, such as the holder will, therefore, be required to their FAA principal inspector that protection of safety, and does not submit a new or revised mitigation plan addresses potential risks introduced by operate in a manner that excludes to take advantage of the relief provided extending crewmember, check pilot, imports that meet this objective. The in this amendment. and flight instructor qualifications, statute also requires consideration of In SFAR 118, the FAA estimated that training, and checking. The plan must international standards and, where of the 69 part 125 certificate holders and ensure crewmembers remain adequately appropriate, that they be the basis for A125 LODA holders, all would avail trained and currently proficient for each U.S. standards. themselves of the relief provided by aircraft, crewmember position, and type The FAA has assessed the potential SFAR 118, and therefore would be of operation in which the crewmember effect of this final rule and determined required to provide mitigation plans to serves. that its purpose has a legitimate their assigned principal operations The FAA expects these plans to domestic objective to promote the inspector. For this final rule, the FAA contain existing information maintained continuity and safety of U.S. civil estimates that those same 69 part 125 by affected operators. The FAA does not aviation from risks of the COVID–19 certificate holders and A125 LODA expect these plans to be burdensome. public health emergency while holders will avail themselves of the Therefore, the FAA expects the supporting essential services necessary extended grace period for those entities benefits of this action exceed the costs to fight the public health emergency. whose base month falls in July, August, since it provides additional relief to Therefore, the FAA has determined this and September 2020 and will submit enable operators to continue to use final rule complies with the Trade new or revised mitigation plans. The pilots and other crewmembers in Agreements Act of 1979. FAA continues to estimate that each support of essential operations. As a respondent would spend two hours result, this rule will reduce disruption D. Unfunded Mandates Assessment preparing and submitting its plan, for a to the continuity of essential services in Title II of the Unfunded Mandates total of 138 hours. The FAA believes the response to the COVID–19 public health Reform Act of 1995 (Pub. L. 104–4) additional paperwork burden would be emergency. This rule also provides requires each Federal agency to prepare borne by the director of operations. At extended relief from certain duration a written statement assessing the effects $51 per hour multiplied by 138 total and renewal requirements to reduce of any Federal mandate in a proposed or hours, the FAA estimates the total

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burden to part 125 certificate holders requirements. In addition, other unless the FAA deems safety is being and A125 LODA holders for this individuals may—to the extent possible compromised. ICAO tentatively plans to amendment to be $7,038.58 Therefore, given closures—attempt to satisfy maintain the CCRD sub-system through the total burden of this collection is requirements contrary to the national March 31, 2021. estimated to be $14,076.59 social distancing guidelines solely to The FAA has reviewed the The FAA estimates that it would avoid economic burdens resulting from corresponding ICAO SARPs and has require an Aviation Safety Inspector non-compliance with FAA regulations. identified the following differences with (ASI) one hour to review and analyze a The use of normal clearance procedures these proposed regulations. In Annex 1, plan submitted by a part 125 certificate will result in increased economic section 1.2.4.4.1, a medical assessment holder or A125 LODA holder. With 69 burden, disruption to critical aviation can be extended at the FAA’s discretion part 125 certificate holders or A125 operations, and increased risk of up to 45 days. With this final rule, the LODA holders estimated to have exposure during this public health FAA is extending the validity by three submitted a plan to take advantage of emergency. Due to the pressing calendar months for pilots with expiring the relief in SFAR 118 and the same 69 considerations associated with the medicals between April 2020 and part 125 certificate holders and A125 COVID–19 public health emergency, it September 2020. As a result, the FAA LODA holders expected to submit a new is not practicable to afford ninety days will update the temporary difference or revised plan for this amendment, the of public comment on this collection of filed with ICAO. total number of plans for review by an information. Therefore, FAA is In Annex 6, Part 2, Section 3.9.4.2, a ASI is 138. The total number of plans requesting OMB approval of this PIC is required to have made three to review multiplied by the hourly wage temporary collection of information takeoffs and landings within the of a GS–13 FAA ASI results in an upon the date that this SFAR is placed preceding ninety days on the same type estimated burden to the FAA of $13,720 on public inspection at the Federal of airplane or in a flight simulator prior (138 responses × 1 hour × $99.42 = Register. Upon OMB approval of its to serving as a PIC in that airplane. With $13,720).60 Emergency clearance request, FAA will this final rule, the FAA is extending the As provided under 5 CFR 1320.13, follow the normal clearance procedures look-back period by sixty days for PICs Emergency Processing, and the for the information collection associated conducting operations under part 91, Paperwork Reduction Act and its with this SFAR. subpart N, and part 125 operations. As implementing regulations, DOT is F. International Compatibility a result, the FAA will update the requesting emergency processing to temporary difference filed with ICAO. amend the temporary collection of In keeping with U.S. obligations In Annex 6, Part 2, Section 3.9.4.3, an information previously approved under under the Convention on International SIC is required to have made three emergency processing with the original Civil Aviation, it is FAA policy to takeoffs and landings within the SFAR (OMB 2120–0788). DOT cannot conform to International Civil Aviation preceding ninety days on the same type reasonably comply with normal Organization (ICAO) Standards and of airplane or in a flight simulator prior clearance procedures because the Recommended Practices (SARPs) to the to serving as a SIC in that airplane. With information is necessary to provide maximum extent practicable. On April this final rule, the FAA is extending the temporary relief to persons who have 3, 2020, ICAO issued a State Letter (AN look-back period by sixty days for SICs been unable to meet certain 11/55–20/50) to address operational conducting operations under part 91, requirements during the COVID–19 measures States are taking to ensure safe subpart N, and part 125 operations. As public health emergency. Without this operations during the COVID–19 public a result, the FAA will update the information, certain individuals will not health emergency. ICAO recognized the temporary difference filed with ICAO. be able to continue exercising privileges varying needs of the States to provide Apart from this SFAR’s application in support of essential operations due to relief and encouraged States to be within the United States, certificate their inability to satisfy certain training, flexible in their approaches for relief holders or operators may dispatch or recent experience, testing, and checking while also adhering to their obligations release flights, and pilots and under the Convention on International crewmembers may operate outside of 58 The FAA is using the BLS wage rate for Civil Aviation. During this period of the United States under this SFAR, commercial pilots of $39.54 per hour (https:// relief, ICAO is paying particular unless otherwise prohibited by a foreign www.bls.gov/ooh/transportation-and-material- attention to the SARPs related to moving/airline-and-commercial-pilots.htm) country. For international operations certificates and licenses. ICAO has ($82,240/2080 hours = $39.54) multiplied by a where pilots and crewmembers will established a process for States to file fringe benefit multiplier of 29.9 percent (https:// exercise the relief identified here, they www.bls.gov/news.release/ecec.nr0.htm) which temporary differences through a must have access to this SFAR when results in an hourly wage of $51. COVID–19 Contingency-Related 59 outside the United States. In accordance The burden for the original plan submission Differences (CCRDs) sub-system, which from SFAR 118 was $7,038. That is added to the with the Convention on International is accessible through ICAO’s amendment burden for new or revised plan Civil Aviation (Chicago Convention), submissions of $7,038 for a total of $14,076. Continuous Monitoring Approach and its Annexes, pilots and 60 The FAA assumes a mid-grade GS–13 salary, (CMA) Online Framework of Electronic Rest of USA locality. Annual salary is $103,396 Filing of Differences (EFOD) dashboard crewmembers must present a copy of (https://www.opm.gov/policy-data-oversight/pay- that States use normally to file this SFAR for inspection upon request leave/salaries-wages/salary-tables/pdf/2020/ by a foreign civil aviation authority. RUS.pdf) divided by 2,080 hours for an hourly rate differences related to the Annexes. of $49.70. The FAA uses a fringe benefits and When States are submitting their V. Executive Order Determinations overhead cost, for FAA employees, of 100%, which differences, ICAO is requiring the State results in a fully loaded wage of $99.42 per hour. also to indicate whether it will A. Executive Order 12114, The U.S. Department of Health and Human Environmental Effects Abroad of Major Services, ‘‘Guidelines for Regulatory Impact recognize the differences of other States. Analysis’’ (2016), on page 30, HHS states, ‘‘As an FAA has already filed temporary Federal Actions interim default, while HHS conducts more research, differences with some of the relief it has The FAA has analyzed this action analysts should assume overhead costs (including benefits) are equal to 100 percent of pretax wages given through exemptions under 14 CFR under Executive Order 12114, . . .’’ (https://aspe.hhs.gov/system/files/pdf/ part 11 and has indicated it will Environmental Effects Abroad of Major 242926/HHS_RIAGuidance.pdf). recognize other States’ differences Federal Actions (44 FR 1957, January 4,

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1979), and DOT Order 5610.1C, (CAAs) on the kind of relief provided by List of Subjects Paragraph 16. Executive Order 12114 this SFAR. The FAA has analyzed this 14 CFR Part 21 requires the FAA to be informed of action under the policies and agency environmental considerations and take responsibilities of Executive Order Aircraft, Aviation safety, Exports, those considerations into account when 13609, and has determined that this Imports, Reporting and recordkeeping making decisions on major Federal action would have no effect on requirements. actions that could have environmental international regulatory cooperation. 14 CFR Part 61 impacts anywhere beyond the borders of The provisions in this final rule provide the United States. Like SFAR 118, the temporary relief to persons who are Aircraft, Airmen, Aviation safety, FAA has determined that this action is unable to meet certain requirements Reporting and recordkeeping exempt pursuant to Section 2–5(a)(i) of during the COVID–19 public health requirements, Security measures, Executive Order 12114 because it does emergency and prevents persons from Teachers. not have the potential for a significant encountering situations that would 14 CFR Part 63 effect on the environment outside the unnecessarily increase the risk of United States. transmission of the virus through Aircraft, Airman, Aviation safety, In accordance with FAA Order personal contact. Navigation (air), Reporting and 1050.1F, Environmental Impacts: recordkeeping requirements, Security Policies and Procedures, paragraph 8– F. Executive Order 13771, Reducing measures. 6(c), the FAA has prepared a Regulation and Controlling Regulatory memorandum for the record stating the Costs 14 CFR Part 65 reason(s) for this determination and has Air traffic controllers, Aircraft, This rule is not an E.O. 13771 placed it in the docket for SFAR 118 Airmen, Airports, Aviation safety, regulatory action because this rule is not (the same docket for this rulemaking). Reporting and recordkeeping significant under E.O. 12866. The FAA reviewed the memorandum it requirements, Security measures. added to the docket to support SFAR VI. How To Obtain Additional 14 CFR Part 91 118 and finds the determination applies Information to this rule unchanged. Air carrier, Air taxis, Air traffic A. Availability of Rulemaking B. Executive Order 13132, Federalism control, Aircraft, Airmen, Airports, Documents Aviation safety, Charter flights, Freight, The FAA has analyzed this final rule An electronic copy of a rulemaking Reporting and recordkeeping under the principles and criteria of requirements, Transportation. Executive Order 13132, Federalism. The document may be obtained by using the agency determined that this action will internet — 14 CFR Part 107 not have a substantial direct effect on 1. Search the Federal eRulemaking Aircraft, Airmen, Aviation safety, the States, or the relationship between Portal (https://www.regulations.gov/); Reporting and recordkeeping the Federal Government and the States, 2. Visit the FAA’s Regulations and requirements, Security measures, Signs or on the distribution of power and Policies web page at https:// and symbols. responsibilities among the various www.faa.gov/regulations_policies/ or levels of government, and, therefore, 14 CFR Part 125 does not have federalism implications. 3. Access the Government Printing Office’s web page at https:// Aircraft, Airmen, Aviation safety, C. Executive Order 13211, Regulations www.govinfo.gov/. Reporting and recordkeeping That Significantly Affect Energy Supply, requirements. Distribution, or Use Copies may also be obtained by sending a request (identified by notice, 14 CFR Part 141 The FAA analyzed this final rule amendment, or docket number of this Airmen, Educational facilities, under Executive Order 13211, Actions rulemaking) to the Federal Aviation Concerning Regulations that Reporting and recordkeeping Administration, Office of Rulemaking, requirements, Schools. Significantly Affect Energy Supply, ARM–1, 800 Independence Avenue SW, Distribution, or Use (May 18, 2001). The Washington, DC 20591, or by calling The Amendment agency has determined that it is not a (202) 267–9677. ‘‘significant energy action’’ under the In consideration of the foregoing, the Executive order and it is not likely to B. Small Business Regulatory Federal Aviation Administration have a significant adverse effect on the Enforcement Fairness Act amends chapter I of title 14, Code of supply, distribution, or use of energy. Federal Regulations, as follows: The Small Business Regulatory D. Executive Order 13609, Promoting Enforcement Fairness Act (SBREFA) of PART 21—CERTIFICATION International Regulatory Cooperation 1996 requires FAA to comply with PROCEDURES FOR PRODUCTS AND Executive Order 13609, Promoting small entity requests for information or ARTICLES International Regulatory Cooperation, advice about compliance with statutes ■ 1. The authority citation for part 21 promotes international regulatory and regulations within its jurisdiction. continues to read as follows: cooperation to meet shared challenges A small entity with questions regarding involving health, safety, labor, security, this document, may contact its local Authority: 42 U.S.C. 7572; 49 U.S.C. environmental, and other issues and to FAA official, or the person listed under 106(f), 106(g), 40105, 40113, 44701–44702, 44704, 44707, 44709, 44711, 44713, 44715, reduce, eliminate, or prevent the FOR FURTHER INFORMATION CONTACT 45303. unnecessary differences in regulatory heading at the beginning of the requirements. As described in Section preamble. To find out more about ■ 2. Remove Special Federal Aviation IV. F., International Compatibility, the SBREFA, visit https://www.faa.gov/ Regulation (SFAR) No. 118 from part 21 FAA is working with ICAO and other regulations_policies/rulemaking/sbre_ and add, in its place, SFAR No. 118–1 foreign Civil Aviation Authorities act/. to part 21 to read as follows:

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Special Federal Aviation Regulation pilot organization pursuant to an (A) Must review and become familiar No. 118–1—Relief for Certain Persons exemption issued under part 11 of this with the following information for the During the National Emergency chapter, and the flight involves only the specific type of aircraft for which Concerning the Novel Coronavirus carriage of persons considered essential second-in-command privileges are Disease (COVID–19) Public Health for the flight; sought— Emergency (ii) The person is conducting an (1) Operational procedures applicable For the text of SFAR No. 118–1, see agricultural aircraft operation under a to the powerplant, equipment, and part 61 of this chapter. private agricultural aircraft operating systems; certificate issued in accordance with (2) Performance specifications and PART 61—CERTIFICATION: PILOTS, § 137.19 of this chapter; limitations; FLIGHT INSTRUCTORS, AND GROUND (iii) The person has at least 500 hours (3) Normal, abnormal, and emergency INSTRUCTORS of total time as a pilot, that includes at operating procedures; least 400 hours as a pilot in command (4) Flight manual; and ■ 3. The authority citation for part 61 and at least 50 hours that were accrued (5) Placards and markings; and continues to read as follows: within the preceding 12 calendar (B) Prior to serving as second-in- months, and the person is conducting command, must have logged at least Authority: 49 U.S.C. 106(f), 106(g), 40113, three takeoffs and landings to a full stop 44701–44703, 44707, 44709–44711, 44729, one of the following operations 44903, 45102–45103, 45301–45302; Sec. consistent with the compensation or as the sole manipulator of the flight 2307 Pub. L. 114–190, 130 Stat. 615 (49 hire exceptions specified in § 61.113: controls within the 180 days preceding the date of the flight. U.S.C. 44703 note). (A) A flight incidental to that person’s (2) Flight review requirements of ■ 4. Remove Special Federal Aviation business or employment; § 61.56. A person who has not Regulation (SFAR) No. 118 from part 61 (B) A flight in support of family completed a flight review within the and add, in its place, SFAR No. 118–1 medical needs or to transport essential previous 24 calendar months in to part 61 to read as follows: goods for personal use; accordance with § 61.56 may continue (C) A flight necessary to fly an aircraft Special Federal Aviation Regulation to act as pilot in command of an aircraft, to a location in order to meet a No. 118–1—Relief for Certain Persons provided the following requirements are requirement of this chapter; or During the National Emergency met— Concerning the Novel Coronavirus (D) A flight to transport essential (i) Airmen requirements. The person Disease (COVID–19) Public Health goods and medical supplies to support was current to act as pilot in command Emergency public health needs; of an aircraft in March 2020 and, to (3) For operations conducted under maintain currency, is required to 1. Applicability. This Special Federal part 91, subpart K, and part 125 of this Aviation Regulation (SFAR) applies to— complete a flight review under § 61.56 chapter, persons who are serving as between March 1, 2020 and September (a) Certain persons who are unable to flight attendant crewmembers, check meet the following requirements during 30, 2020. pilots, and flight instructors; and (ii) Qualification requirements. To act some period between March 1, 2020 and (4) Operations conducted under part September 30, 2020— as pilot in command of an aircraft 107 of this chapter by a person who during the period specified in paragraph (1) Training, recency, testing and holds a remote pilot certificate issued checking requirements specified in parts 2.(b)(2)(iii) of this SFAR, the person under part 107 of this chapter. must have— 61, 91, 107, and 125 of this chapter, and (b) This Part. SFAR No. 73 of this part; and (A) Within the 12 calendar months (1) Second-in-command (2) Duration and renewal preceding the month in which the flight qualifications of § 61.55. (i) Airmen requirements specified in parts 61, 63, review is due, logged at least 10 hours requirements. Notwithstanding the 65, and 141 of this chapter, and SFAR of flight time as pilot in command in an period specified in § 61.55(c) of this No. 100–2 of this part; and aircraft for which that pilot is rated; and (b) Certain air carriers and operators chapter, a person who is required to (B) Since January 1, 2020 and who are unable to obtain special flight complete the second-in-command preceding the date of flight, completed permits with a continuing authorization familiarization and currency online Wings courses for pilots from the under part 21 of this chapter for the requirements under § 61.55(b)(1) and (2) FAA Safety Team website, available at purpose of flying the aircraft to a point between March 1, 2020 and September www.faasafety.gov. The online training of storage. 30, 2020 for purposes of maintaining courses must total at least 3 Wings 2. Training, recency, testing, and second-in-command privileges may credits. checking requirements. complete the requirements of (iii) Grace period. The person may act (a) Applicability. The relief provided § 61.55(b)(1) and (2) in the month before as pilot in command of an aircraft for a by paragraph 2 of this SFAR applies or three months after the month in duration of three calendar months from to— which they are required, provided the the month in which the flight review (1) Operations conducted for pilot meets the requirements of was due. Before acting as pilot in compensation or hire under parts 91, paragraph 2.(b)(1)(ii) of this SFAR. A command of an aircraft in the fourth 125, 133, and 137 of this chapter by pilot who meets the requirements of month after the month in which the persons who are exercising the § 61.55(b)(1) and (2) within the period flight review was due, the person must privileges of at least a commercial pilot prescribed by this paragraph 2.(b)(1)(i) satisfactorily complete a flight review in certificate issued under this part; will be considered to have completed accordance with § 61.56. (2) Operations conducted by persons the requirements in the month in which (3) Instrument experience who are exercising the privileges of a they were due. requirements of § 61.57. A person who private pilot certificate issued this part, (ii) Qualification requirements. To has not performed and logged the tasks provided the person meets one of the complete the requirements of required by § 61.57(c)(1) within the 6 following paragraphs— § 61.55(b)(1) or (2) within the period calendar months preceding the month of (i) The person is conducting a specified in paragraph 2.(b)(1)(i) of this the flight may continue to act as pilot in charitable medical flight for a volunteer SFAR, the person— command under IFR or in weather

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conditions less than the minimums (2) Performance specifications and (3) Safety mitigations. The prescribed for VFR, provided the limitations; management specification holder following requirements are met— (3) Normal, abnormal, and emergency satisfies paragraph 2.(b)(5)(vi) of this (i) Qualification requirements. The operating procedures; SFAR. person has— (4) Flight manual; and (B) Non-precision instrument (A) Within the 6 calendar months (5) Placards and markings. approaches. A pilot who has not preceding the month of the flight, (5) Flight Crewmember Requirements satisfactorily demonstrated either the performed and logged at least three of Part 91, Subpart K, of this Chapter. type of non-precision instrument instrument approaches in actual (i) Testing and checking approach procedure to be used, or any weather conditions, or under simulated Requirements. Notwithstanding the other two different types of non- conditions using a view-limiting device; period specified in § 91.1071(a) of this precision approach procedures, within and chapter, a crewmember who is required the previous six months in accordance (B) Within the 9 calendar months to take a test or a flight check under with § 91.1069(c) of this chapter may preceding the month of the flight, § 91.1065(a), § 91.1065(b), § 91.1067, continue to use that type of non- performed and logged the tasks required § 91.1069(a), or § 91.1069(b) of this precision instrument approach by § 61.57(c)(1). chapter between March 1, 2020 and procedure, provided the following (ii) Grace period. Between April 30, September 30, 2020 for purposes of requirements are met— 2020 and September 30, 2020, a person maintaining qualification may complete (1) Airmen requirements. The person who meets the qualification the test or check in the month before or was current under § 91.1069(c) of this requirements of paragraph 2.(b)(3)(i) of three months after the month it is chapter to use that type of non-precision this SFAR may act as pilot in command required, provided the requirements of instrument approach procedure in March 2020, and is required to under IFR or in weather conditions less paragraph 2.(b)(5)(vi) of this SFAR are demonstrate that type of non-precision than the minimums prescribed for VFR. met. A crewmember who completes a (iii) Instrument currency after instrument approach procedure, or any test or check in accordance with this September 30, 2020. Before acting as other two different types of non- paragraph will be considered to have pilot in command under IFR or in precision instrument approach completed the test or check in the weather conditions less than the procedures, between March 1, 2020 and month in which it was required. minimums prescribed for VFR after September 30, 2020. (ii) Recurrent training requirements. September 30, 2020, the person must (2) Grace period. The person Notwithstanding the period specified in comply with § 61.57(c). satisfactorily demonstrates that type of (4) Pilot in command proficiency § 91.1073(b) of this chapter, a non-precision instrument approach check requirements of § 61.58. (i) crewmember who is required to procedure within three months after the Airmen requirements. Notwithstanding complete recurrent training under month in which it was required. the period specified in § 61.58(i), a pilot §§ 91.1099 or 91.1107(c) of this chapter (3) Safety mitigations. The who is required to take a pilot in between March 1, 2020 and September management specification holder command proficiency check under 30, 2020 for purposes of maintaining satisfies paragraph 2.(b)(5)(vi) of this § 61.58(a)(1) or (2) between March 1, qualification may complete that training SFAR. 2020 and September 30, 2020 for in the month before or three months (iv) Check pilot (simulator) and flight purposes of maintaining pilot in after the month in which it is required, instructor (simulator) requirements. command privileges may complete the provided the requirements of paragraph Notwithstanding the period specified in check in the month before or three 2.(b)(5)(vi) of this SFAR are met. A §§ 91.1089(g) and 91.1091(g) of this months after the month in which it is crewmember who completes recurrent chapter, a check pilot (simulator) or required, provided the pilot meets the training in accordance with this flight instructor (simulator) who is requirements of paragraph 2.(b)(4)(ii) of paragraph 2.(b)(5(ii) will be considered required to complete the flight segments this SFAR. A pilot who completes the to have completed the training in the or line-observation program under proficiency check within the period month in which it was required. § 91.1089(f) or § 91.1091(f) of this prescribed by this paragraph 2.(b)(4)(i) (iii) Instrument experience. chapter between March 1, 2020 and will be considered to have completed (A) Precision instrument approaches. September 30, 2020 for purposes of the check in the month in which it was A pilot who has not satisfactorily maintaining qualification may complete required. demonstrated the type of precision the flight segments or line-observation (ii) Qualification requirements. To instrument approach procedure to be program requirements in the month complete the pilot in command used within the previous six months in before or three months after the month proficiency check required by accordance with § 91.1069(c) of this they are required, provided the § 61.58(a)(1) or (2) within the period chapter may continue to use that type of requirements of paragraph 2.(b)(5)(vi) of specified in paragraph 2.(b)(4)(i) of this approach procedure, provided the this SFAR are met. A check pilot SFAR, the person— following requirements are met— (simulator) or flight instructor (A) Must meet the flight experience (1) Airmen requirements. The person (simulator) who completes the flight requirements of § 61.57 that are was current under § 91.1069(c) of this segments or line-observation program applicable to the operation to be chapter to use that type of precision requirements in accordance with this conducted; and instrument approach procedure in paragraph 2.(b)(5)(iv) will be considered (B) Within the 3 calendar months March 2020, and is required to to have completed the requirements in preceding the month of the flight, must demonstrate that type of precision the month in which they were due. have reviewed the following instrument approach procedure between (v) Check pilot and flight instructor information for the specific type of March 1, 2020 and September 30, 2020. observation check requirements. aircraft for which pilot in command (2) Grace period. The person Notwithstanding the period specified in privileges are sought— satisfactorily demonstrates that type of §§ 91.1093(b) and 91.1095(b) of this (1) Operational procedures applicable precision instrument approach chapter, a check pilot or flight instructor to the powerplant, equipment, and procedure within three months after the who is required to complete an systems; month in which it was required. observation check under § 91.1093(a)(2)

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or § 91.1095(a)(2) of this chapter currency, is required to complete a aircraft system under part 107 of this between March 1, 2020 and September flight review in a Mitsubishi MU–2B chapter, provided that person meets the 30, 2020 for purposes of maintaining series airplane between March 1, 2020 following requirements— qualification may complete the and September 30, 2020; and (i) Airmen requirements. The person observation check in the month before (2) The requirements of paragraph was current to exercise the privileges of or three months after the month it is 2.(b)(6)(iii) of this SFAR are met. a remote pilot certificate in March 2020 required, provided the requirements of (B) Grace period. The person may act and, to maintain aeronautical currency, paragraph 2.(b)(5)(vi) of this SFAR are as pilot in command of a Mitsubishi is required to meet the aeronautical met. A check pilot or flight instructor MU–2B series airplane for a duration for recency requirements in § 107.65(a) or who completes an observation check in three calendar months from the month (b) of this chapter between April 1, 2020 accordance with this paragraph in which the flight review was due. and September 30, 2020. 2.(b)(5)(v) will be considered to have Before acting as pilot in command of an (ii) Qualification requirements. The completed the check in the month it aircraft in the fourth month after the person must have completed an FAA- which it was due. month in which the flight review was developed initial or recurrent online (vi) Safety mitigations. The due, the person must satisfactorily training course, available at management specification holder must complete a flight review in accordance www.faasafety.gov, covering the areas of provide an acceptable plan to the with §§ 61.56 and 91.1715(c) of this knowledge specified in § 107.74(a) or (b) responsible Flight Standards office that chapter in a Mitsubishi MU–2B series of this chapter. Each person is eligible contains the following information— airplane or an MU–2B Simulator to take an online training course (A) A safety analysis and approved for landings with an approved specified in this paragraph 2.(b)(7)(ii) corresponding risk mitigations to be course conducted under part 142 of this one time for the purpose of obtaining implemented by the management chapter. the six calendar month grace period specification holder; and (iii) Qualification requirements. To specified in paragraph 2.(b)(7)(iii) of this (B) The method the management complete the recurrent training or flight SFAR; specification holder will use to ensure review during the grace period provided (iii) Grace period. The person may that each crewmember complying with under paragraph 2.(b)(6) of this SFAR, operate a small unmanned aircraft paragraph 2.(b)(5) of this SFAR remains the person must— system under part 107 of this chapter for adequately tested and currently (A) Within the 12 calendar months a duration of six calendar months from proficient for each aircraft, duty preceding the month the recurrent the month in which the person position, and type of operation in which training or flight review is due, logged completed the online training course the person serves. at least 10 hours of flight time in an specified in paragraph 2.(b)(7)(ii) of this (6) Mitsubishi MU–2B Series Special MU–2B series airplane that includes at SFAR. Before operating a small Training, Experience, and Operating least 3 hours of flight time in the 3 unmanned aircraft system under part Requirements of Part 91, Subpart N, of calendar months preceding the month 107 in the seventh month after the this Chapter. in which the recurrent training or flight month in which the person completed (i) Recurrent training. review is due; the online training course, the person Notwithstanding the period specified in (B) Since January 1, 2020, completed must satisfy § 107.65 of this chapter. § 91.1705(e) of this chapter, a person online Wings courses for pilots from (8) Flight Crewmember Requirements who is required to complete recurrent FAA Safety Team website, available at of Part 125 of this Chapter. training under § 91.1703(e) of this www.faasafety.gov. The online training (i) Recent experience requirements. A chapter between March 1, 2020 and courses must total at least 3 Wings person who has not satisfied the recent September 30, 2020 for purposes of credits; and experience requirements of § 125.285(a) complying with § 91.1705(a) and (b) (C) Prior to manipulating the controls of this chapter may be used by a may complete the recurrent training in of an MU–2B series airplane, completed certificate holder (or holder of an A125 the month before or three months after three hours of self-study, since January letter of deviation authority), and may the month the recurrent training is 1, 2020 and preceding the date of the serve as a required pilot flight required, provided the requirements of flight, on the following subjects— crewmember, in operations conducted paragraph 2.(b)(6)(iii) of this SFAR are (1) The ground training curriculum under part 125 of this chapter, provided met. A person who completes the required by § 91.1705(h)(1) of this the following requirements are met— recurrent training in accordance with chapter; (A) Grace period. The person has this paragraph 2.(b)(6)(i) will be (2) The Special Emphasis Items listed made at least three takeoffs and considered to have completed the in the approved MU–2B training landings, within the preceding 150 training in the month it was required. program that the pilot last completed; days, in the type of airplane in which (ii) Flight review. A person who has (3) The limitations, procedures, that person is to serve. not completed a flight review in aircraft performance, and MU–2B (B) Safety Mitigations. The certificate accordance with §§ 61.56 and 91.1715(c) Cockpit Checklist procedures applicable holder complies with paragraph of this chapter in a Mitsubishi MU–2B to the MU–2B model to be flown, which 2.(b)(8)(iii) of this SFAR. series airplane or an MU–2B Simulator are contained in the flight training (ii) Testing and checking approved for landings with an approved curriculum required by § 91.1705(h)(2) requirements. Notwithstanding the course conducted under part 142 of this of this chapter; and period specified in § 125.293(a) of this chapter may continue to act as pilot in (4) The current general operating and chapter, a crewmember who is required command of a Mitsubishi MU–2B series flight rules of part 91 of this chapter. to take a test or check under airplane, providing the following (7) Aeronautical Knowledge Recency § 125.287(a), § 125.287(b), § 125.289, or requirements are met— Requirements of § 107.65 of this § 125.291(a) of this chapter between (A) Airmen requirements. The person Chapter. A person who has not satisfied March 1, 2020 and September 30, 2020 was— the aeronautical knowledge recency for purposes of maintaining (1) Current to act as pilot in command requirements of § 107.65(a) or (b) of this qualifications may complete the test or of a Mitsubishi MU–2B series airplane chapter within the previous 24 calendar check in the month before or three in March 2020 and, to maintain months may operate a small unmanned months after the month it is required,

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provided the requirements of paragraph (1) The awareness training subject (ii) Within the 63-calendar month 2.(b)(8)(iii) of this SFAR are met. A areas specified in paragraph 2.(a)(3)(i) period preceding the month the crewmember who completes the test or through (v) of SFAR No. 73 of this part; applicant completes the practical test check in accordance with this paragraph (2) The current general operating and for those applicants who complete the 2.(b)(8)(ii) will be considered to have flight rules of part 91 of this chapter; airline transport pilot certification completed the test or check in the (3) Robinson R–22 or R–44 Maneuvers training program in § 61.156 and pass month in which it was required. Guide, as applicable to the model(s) in the knowledge test for an airline (iii) Safety mitigations. The certificate which the airmen holds pilot in transport pilot certificate with a holder (or holder of an A125 letter of command privileges; multiengine class rating, provided the deviation authority) must provide an (C) Complete Course ALC–103: knowledge test was passed between acceptable plan to its assigned principal Helicopter Weight and Balance, March 1, 2015 and September 30, 2015. operations inspector that contains the Performance at www.faasafety.gov; and (3) Extension of renewal requirements following information— (D) Complete Course ALC–104: for flight instructor certification. The (A) A safety analysis and Helicopter—General and Flight holder of a flight instructor certificate corresponding risk mitigations to be Aerodynamics at www.faasafety.gov. that expires between March 31, 2020 implemented by the certificate holder (iii) Grace period. A person may act and May 31, 2020 may renew his or her (or holder of an A125 letter of deviation as a pilot in command of a Robinson flight instructor certificate by submitting authority); and model R–22 or R–44 helicopter, as a completed and signed application to (B) The method the certificate holder appropriate, for a duration of three the FAA and satisfactorily completing (or holder of an A125 letter of deviation calendar months from the month in one of the renewal requirements authority) will use to ensure that each which the flight review was due. Before specified in § 61.197(a)(2)(i) through (iv) crewmember complying with paragraph acting as pilot in command of an aircraft before June 30, 2020. 2.(b)(8) of this SFAR remains adequately in the fourth month after the month in (b) Part 63 of this Chapter. tested and currently proficient for each which the flight review was due, the (1) Extension of medical certificate aircraft, duty position, and type of person must satisfactorily complete a duration requirements. For a person operation in which the person serves. flight review in a Robinson model R–22 acting as a flight engineer of an aircraft, (9) Robinson R–22/R–44 Special or R–44 helicopter, as appropriate to the the expiration date of a second-class (or Training and Experience Requirements privileges sought, in accordance with higher) medical certificate that expires of SFAR No. 73 of this Part. A person paragraph 2(c) of SFAR No. 73 of this between March 31, 2020 and September who has not completed a flight review part and § 61.56. 30, 2020 is extended 3 calendar months in a Robinson model R–22 or R–44 3. Duration and renewal from the original expiration date. Unless helicopter, as appropriate, within the requirements. otherwise prohibited by a foreign preceding 24 calendar months in (a) This Part. country, a person may operate outside accordance with paragraph 2(c) of SFAR (1) Extension of medical certificate of the United States under this No. 73 and § 61.56, may continue to act duration requirements. The expiration paragraph 3.(b)(1) if the person: as pilot in command of a Robinson date of a first-, second-, or third- class (i) Has access to this SFAR when model R–22 or R–44 helicopter, as medical certificate that expires between outside the United States; and appropriate, providing the following March 31, 2020 and September 30, 2020 (ii) Presents a copy of this SFAR for requirements are met— is extended three calendar months from inspection upon request by a foreign (i) Airmen requirements. The person the duration established in § 61.23(d) of Civil Aviation Authority in accordance was current to act as pilot in command this part. A certificate extended under with the Convention on International of a Robinson model R–22 or R–44 this paragraph 3.(a)(1) is considered Civil Aviation (Chicago Convention), helicopter, as appropriate, in March valid under § 61.2(a)(5). Unless and its Annexes. 2020 and, to maintain currency, is otherwise prohibited by a foreign (2) Extension of written test duration required to complete a flight review in country, a person may operate outside requirements in § 63.35 of this chapter. a Robinson model R–22 or R–44 of the United States under this An applicant for a flight engineer helicopter, as appropriate, between paragraph 3.(a)(1) if the person— certificate or rating may satisfy the March 1, 2020 and September 30, 2020. (i) Has access to this SFAR when knowledge requirement in § 63.35(d) of (ii) Qualification requirements. The outside the United States; and this chapter by passing the required person must— (ii) Presents a copy of this SFAR for written test within the 27-calendar (A) Satisfy the qualification inspection upon request by a foreign month period preceding the month the requirements specified in paragraph Civil Aviation Authority in accordance applicant completes the practical test, 2.(b)(2)(ii) of this SFAR, except with the Convention on International provided the written test was passed (1) The 10 hours of flight time as pilot Civil Aviation (Chicago Convention), between March 1, 2018 and September in command must be obtained in a and its Annexes. 30, 2018. Robinson model R–22 or R–44 (2) Extension of knowledge test (c) Part 65 of this Chapter. helicopter, as appropriate to the duration requirements in § 61.39. An (1) Extension of knowledge test privileges sought; applicant for a certificate or rating duration requirements in § 65.55 of this (2) At least 3 hours of flight time must issued under part 61 of this chapter may chapter. An applicant for an aircraft be obtained within the 3 calendar satisfy the eligibility requirement in dispatcher certificate may satisfy the months preceding the month in which § 61.39(a)(1) by passing the required knowledge requirement in § 65.55(b) of the flight review is due; and knowledge test: this chapter by presenting satisfactory (3) The courses required by paragraph (i) Within the 27-calendar month evidence that the applicant passed the 2.(b)(9)(ii)(C) and (D) of this SFAR may period preceding the month the knowledge test within the 27-calendar count towards the 3 Wings credits. applicant completes the practical test, if month period preceding the month the (B) Complete three hours of self- a knowledge test is required, provided applicant completes the practical test, study, since January 1, 2020 and the knowledge test was passed between provided the knowledge test was passed preceding the date of flight, on the March 1, 2018 and September 30, 2018; between March 1, 2018 and September following subjects— or 30, 2018.

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(2) Extension of testing period in period specified in paragraph 2 of SFAR (C) The pilot school meets the § 65.71 of this chapter. A person may No. 100–2 of this part, a person may requirements of paragraph 3.(e)(2)(ii) of show eligibility for a mechanic exercise the relief specified in paragraph this SFAR. certificate or rating under § 65.71 of this 1 of SFAR No. 100–2 for a duration of (ii) Safety mitigations. chapter by passing all the prescribed nine calendar months after returning to (A) Each pilot school must submit to tests of part 65, subpart D, of this the United States, provided the the responsible Flight Standards office chapter within a period of 27 months, person— notification that it will renew its pilot provided the testing period began (i) Is eligible in accordance with school certificate in accordance with between March 1, 2018 and September paragraph 2 of SFAR No. 100–2 of this this SFAR. 30, 2018. part; (B) Each pilot school must include in (3) Renewal of inspection (ii) Complies with the documentation its notification an acceptable plan that authorizations in § 65.93 of this chapter. requirements specified in paragraph 3 of explains the method to regain currency, (i) Grace period for meeting renewal SFAR No. 100–2 of this part; and including— requirements. Notwithstanding the (iii) Returned to the United States (1) Ensuring each instructor used for requirement in § 65.93(c) of this chapter, from deployment between October 2019 ground or flight training is current and an inspection authorization holder who and March 2020. proficient; and did not complete one of the activities in (e) Part 141 of this Chapter. (2) Evaluating students to determine if § 65.93(a)(1) through (5) of this chapter (1) Pilot school certificate they are assigned to the proper stage of by March 31, 2020 of the first year may requirements of § 141.5 of this chapter. the training course and if additional still be eligible for renewal of an (i) Provisional pilot school. training is necessary. inspection authorization for a 2-year Notwithstanding the period specified in 4. Other relief for special flight period in March 2021. To be eligible for § 141.5 of this chapter, a provisional permits issued under § 21.197(c) of this renewal, the inspection authorization pilot school may apply for, and the FAA chapter. In addition to the purposes holder must show completion of one of may issue, a pilot school certificate with specified in § 21.197(c) of this chapter, the five activities in § 65.93(a)(1) the appropriate ratings if the following notwithstanding §§ 119.5(l) and through (5) of this chapter by June 30, requirements are met— 91.1015(a) of this chapter, a special 2020, and completion of the one of the (A) The provisional pilot school must flight permit with a continuing five activities in § 65.93(a)(1) through (5) satisfy the requirements of § 141.5(a) authorization may be issued under of this chapter during the second year through (e) of this chapter before § 21.197(c) of this chapter for aircraft of the 2-year period. A person who December 31, 2020; that may not meet applicable completes one of the five activities by (B) The provisional pilot school airworthiness requirements, but are June 30, 2020 will be considered to have certificate must expire between April capable of safe flight for the purpose of completed the activity by March 31, 2020 and June 2020; and flying the aircraft to a point of storage, 2020 of the first year for purposes of (C) The provisional pilot school meets provided the following requirements are determining eligibility under § 65.93 of the requirements of paragraph 3.(e)(1)(ii) met— this chapter. of this SFAR. (a) The air carrier or operator must (ii) Inspection authorization privileges (ii) Safety mitigations. hold a special flight permit with after June 2020. If the inspection (A) The provisional pilot school must continuing authorization to conduct a authorization holder does not complete notify its responsible Flight Standards ferry flight program issued under one of the five activities in § 65.93(a)(1) office that it is applying for a pilot § 21.197(c) of this chapter; and through (5) of this chapter by June 30, school certificate in accordance with (b) The certificate holder or 2020, the inspection authorization this SFAR. management specification holder must holder may not exercise inspection (B) Each provisional pilot school must notify the responsible Flight Standards authorization privileges after June 30, include in its notification an acceptable office each time the special flight permit 2020. The inspection authorization plan that explains the method to meet is used for the purpose of flying the holder may resume exercising the requirements of § 141.5(d) and (e) of aircraft to a point of storage. inspection authorization privileges only this chapter, including— 5. Expiration date. This SFAR is after passing an oral test from an FAA (1) Ensuring each instructor used for effective until March 31, 2021. The FAA inspector in accordance with § 65.93(c) ground or flight training is current and may amend, rescind, or extend the of this chapter. proficient; and SFAR as necessary. (4) Military riggers or former military (2) Evaluating students to determine if 6. Office of Management and Budget riggers: Special certification rule of they are assigned to the proper stage of (OMB) control number. The Paperwork § 65.117 of this chapter. A person may the training course and if additional Reduction Act of 1995 (44 U.S.C. 3501– satisfy the requirements of § 65.117(a) training is necessary. 3520) requires the FAA to get approval and (b) of this chapter for a senior (2) Renewal of certificates and ratings from OMB for our information parachute rigger certificate by in § 141.27 of this Chapter. collection activities. The OMB control presenting satisfactory documentary (i) Pilot school. A pilot school may number assigned to the FAA’s evidence that the person was honorably apply for renewal of its pilot school information collection associated with discharged or released from any status certificate and ratings after the this SFAR is 2120–0788. covered by § 65.117(a) of this chapter expiration of its pilot schools certificate, between March 2019 and June 2019, and provided the school applies for renewal PART 63—CERTIFICATION: FLIGHT has served as a parachute rigger for an before December 31, 2020 and the CREWMEMBERS OTHER THAN Armed Force within the 15 months following requirements are met— PILOTS before the date of application. (A) The pilot school must meet (d) Relief for U.S. Military and § 141.27(a)(2) of this chapter before ■ 5. The authority citation for part 63 Civilian Personnel Who are Assigned December 31, 2020; continues to read as follows: Outside the United States in Support of (B) The pilot school certificate must Authority: 49 U.S.C. 106(f), 106(g), 40113, U.S. Armed Forces Operations. expire between April 2020 and June 44701–44703, 44707, 44709–44711, 45102– Notwithstanding the six calendar month 2020; and 45103, 45301–45302.

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■ 6. Remove Special Federal Aviation ■ 12. Remove Special Federal Aviation Issued under authority provided by 49 Regulation (SFAR) No. 118 from part 63 Regulation (SFAR) No. 118 from part U.S.C. 106(f), 44701(a), and 44703 in and add, in its place, SFAR No. 118–1 107 and add, in its place, SFAR No. Washington, DC, on June 24, 2020. to part 63 to read as follows: 118–1 to part 107 to read as follows: Steve Dickson, Administrator, Federal Aviation Special Federal Aviation Regulation Special Federal Aviation Regulation Administration. No. 118–1—Relief for Certain Persons No. 118–1—Relief for Certain Persons [FR Doc. 2020–13960 Filed 6–25–20; 8:45 am] During the National Emergency During the National Emergency BILLING CODE 4910–13–P Concerning the Novel Coronavirus Concerning the Novel Coronavirus Disease (COVID–19) Public Health Disease (COVID–19) Public Health Emergency Emergency DEPARTMENT OF TRANSPORTATION For the text of SFAR No. 118–1, see part 61 of this chapter. For the text of SFAR No. 118–1, see Federal Aviation Administration part 61 of this chapter. PART 65—CERTIFICATION: FLIGHT 14 CFR Part 71 CREWMEMBERS OTHER THAN PART 125—CERTIFICATION AND OPERATIONS: AIRPLANES HAVING A [Docket No. FAA–2020–0007; Airspace PILOTS Docket No. 19–ASO–11] SEATING CAPACITY OF 20 OR MORE ■ 7. The authority citation for part 65 PASSENGERS OR A MAXIMUM RIN 2120–AA66 continues to read as follows: PAYLOAD CAPACITY OF 6,000 Revocation and Amendment of Authority: 49 U.S.C. 106(f), 106(g), 40113, POUNDS OR MORE; AND RULES Multiple Air Traffic Service (ATS) 44701–44703, 44707, 44709–44711, 45102– GOVERNING PERSONS ON BOARD 45103, 45301–45302. Routes in the Vicinity of Newcombe, SUCH AIRCRAFT KY ■ 8. Remove Special Federal Aviation Regulation (SFAR) No. 118 from part 65 ■ 13. The authority citation for part 125 AGENCY: Federal Aviation and add, in its place, SFAR No. 118–1 continues to read as follows: Administration (FAA), DOT. to part 65 to read as follows: Authority : 49 U.S.C. 106(f), 106(g), 40113, ACTION: Final rule. 44701–44702, 44705, 44710–44711, 44713, Special Federal Aviation Regulation SUMMARY: This action amends VHF 44716–44717, 44722. No. 118–1 —Relief for Certain Persons Omnidirectional Range (VOR) Federal During the National Emergency ■ airways V–4 and V–119, and removes Concerning the Novel Coronavirus 14. Remove Special Federal Aviation Regulation (SFAR) No. 118 from part VOR Federal airways V–331 and V–478 Disease (COVID–19) Public Health in the vicinity of Newcombe, KY. The Emergency 125 and add, in its place, SFAR No. 118–1 to part 125 to read as follows: Air Traffic Service (ATS) route For the text of SFAR No. 118–1, see modifications are necessary due to the part 61 of this chapter. Special Federal Aviation Regulation planned decommissioning of the VOR No. 118–1—Relief for Certain Persons portion of the Newcombe, KY, VOR/ PART 91—GENERAL OPERATING AND During the National Emergency Tactical Air Navigation (VORTAC) FLIGHT RULES Concerning the Novel Coronavirus navigation aid (NAVAID) which Disease (COVID–19) Public Health provides navigation guidance for ■ 9. The authority citation for part 91 Emergency portions of the affected ATS routes. The continues to read as follows: Newcombe VOR is being Authority : 49 U.S.C. 106(f), 106(g), 40113, For the text of SFAR No. 118–1, see decommissioned as part of the FAA’s 44701–44703, 44707, 44709–44711, 44729, part 61 of this chapter. VOR Minimum Operational Network 44903, 45102–45103, 45301–45302; Sec. (MON) program. 2307 Pub. L. 114–190, 130 Stat. 615 (49 PART 141—PILOT SCHOOLS The VOR Federal airway V–53, V– U.S.C. 44703 note). 115, V–140, and V–339, and Area ■ 10. Remove Special Federal Aviation ■ 15. The authority citation for part 141 Navigation (RNAV) route T–215 and T– Regulation (SFAR) No. 118 from part 91 continues to read as follows: 323 modifications proposed in the and add, in its place, SFAR No. 118–1 Authority: 49 U.S.C. 106(f), 106(g), 40113, notice of proposed rulemaking (NPRM) part 91 to read as follows: 44701–44703, 44707, 44709, 44711, 45102– require additional coordination and Special Federal Aviation Regulation 45103, 45301–45302. flight inspection activities. As such, No. 118–1—Relief for Certain Persons those ATS route modifications are ■ During the National Emergency 16. Remove Special Federal Aviation removed from this rule. Concerning the Novel Coronavirus Regulation (SFAR) No. 118 from part DATES: Effective date 0901 UTC, Disease (COVID–19) Public Health 141 and add, in its place, SFAR No. September 10, 2020. The Director of the Emergency 118–1 to part 141 to read as follows: Federal Register approves this incorporation by reference action under For the text of SFAR No. 118–1, see Special Federal Aviation Regulation Title 1 Code of Federal Regulations part part 61 of this chapter. No. 118–1—Relief for Certain Persons 51, subject to the annual revision of During the National Emergency PART 107—SMALL UNMANNED FAA Order 7400.11 and publication of Concerning the Novel Coronavirus conforming amendments. AIRCRAFT SYSTEMS Disease (COVID–19) Public Health ADDRESSES: FAA Order 7400.11D, Emergency ■ 11. The authority citation for part 107 Airspace Designations and Reporting continues to read as follows: For the text of SFAR No. 118–1, see Points, and subsequent amendments can Authority: 49 U.S.C. 106(f), 40101 note, part 61 of this chapter. be viewed online at https:// 40103(b), 44701(a)(5); Sec. 333 of Pub. L. www.faa.gov/air_traffic/publications/. 112–95, 126 Stat. 75. For further information, you can contact

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the Rules and Regulations Group, require additional coordination and VORTAC between the Newcombe, KY, Federal Aviation Administration, 800 flight inspection activities. As a result, VORTAC and the Henderson, WV, Independence Avenue SW, Washington, those ATS route modifications are VORTAC is removed. The unaffected DC 20591; telephone: (202) 267–8783. removed from this rule and will be portions of the existing airway remain The Order is also available for reworked in a separate rulemaking as charted. inspection at the National Archives and action. V–331: V–331 currently extends Records Administration (NARA). For VOR Federal airways are published in between the Newcombe, KY, VORTAC information on the availability of FAA paragraph 6010(a) of FAA Order and the Hazard, KY, VOR/DME. The Order 7400.11D at NARA, email: 7400.11D dated August 8, 2019, and airway is removed in its entirety. [email protected] or go to https:// effective September 15, 2019, which is V–478: V–478 currently extends www.archives.gov/federal-register/cfr/ incorporated by reference in 14 CFR between the Falmouth, KY, VOR/DME ibr-locations.html. 71.1. The VOR Federal airways listed in and the Beckley, WV, VOR/DME. The airway is removed in its entirety. FOR FURTHER INFORMATION CONTACT: this document will be subsequently The NAVAID radials in the VOR Colby Abbott, Rules and Regulations published in the Order. Federal airway descriptions below are Group, Office of Policy, Federal Availability and Summary of unchanged and stated in True degrees. Aviation Administration, 800 Documents for Incorporation by FAA Order 7400.11, Airspace Independence Avenue SW, Washington, Reference Designations and Reporting Points, is DC 20591; telephone: (202) 267–8783. This document amends FAA Order published yearly and effective on SUPPLEMENTARY INFORMATION: 7400.11D, Airspace Designations and September 15. Authority for This Rulemaking Reporting Points, dated August 8, 2019, Regulatory Notices and Analyses and effective September 15, 2019. FAA The FAA’s authority to issue rules Order 7400.11D is publicly available as The FAA has determined that this regarding aviation safety is found in listed in the ADDRESSES section of this regulation only involves an established Title 49 of the United States Code. document. FAA Order 7400.11D lists body of technical regulations for which Subtitle I, Section 106 describes the Class A, B, C, D, and E airspace areas, frequent and routine amendments are authority of the FAA Administrator. air traffic service routes, and reporting necessary to keep them operationally Subtitle VII, Aviation Programs, points. current. It, therefore: (1) Is not a describes in more detail the scope of the ‘‘significant regulatory action’’ under agency’s authority. This rulemaking is Differences From the NPRM Executive Order 12866; (2) is not a promulgated under the authority In the NPRM, the FAA proposed to ‘‘significant rule’’ under Department of described in Subtitle VII, Part A, amend VOR Federal airways V–53, V– Transportation (DOT) Regulatory Subpart I, Section 40103. Under that 115, V–140; amend RNAV routes T–215 Policies and Procedures (44 FR 11034; section, the FAA is charged with and T–323; and remove VOR Federal February 26, 1979); and (3) does not prescribing regulations to assign the use airway V–339 due to the planned warrant preparation of a regulatory of the airspace necessary to ensure the decommissioning of the VOR portion of evaluation as the anticipated impact is safety of aircraft and the efficient use of the Hazard, KY, VOR/DME NAVAID. so minimal. Since this is a routine airspace. This regulation is within the However, additional coordination and matter that will only affect air traffic scope of that authority as it would flight inspection activity are required to procedures and air navigation, it is modify the route structure as necessary modify these ATS routes at this time. certified that this rule, when to preserve the safe and efficient flow of Therefore, the ATS route amendments promulgated, will not have a significant air traffic within the National Airspace and removal noted above are not economic impact on a substantial System. included in this final rule and will be number of small entities under the History reworked in a separate rulemaking criteria of the Regulatory Flexibility Act. action. The FAA published a NPRM for Environmental Review Docket No. FAA–2020–0007 in the The Rule The FAA has determined that this Federal Register (85 FR 3292; January The FAA is amending Title 14 Code action of modifying VOR Federal 21, 2020), amending VOR Federal of Federal Regulations (14 CFR) part 71 airways V–4 and V–119, and removing airways V–4, V–53, V–115, V–119, and by modifying VOR Federal airways V– VOR Federal airways V–331 and V–478, V–140; amending low altitude RNAV 4 and V–119, and removing VOR due to the planned decommissioning of routes T–215 and T–323; and removing Federal airways V–331 and V–478. The the VOR portion of the Newcombe, KY, VOR Federal airways V–331, V–339, planned decommissioning of the VOR VORTAC NAVAID, qualifies for and V–478 due to the planned portion of the Newcombe, KY, VORTAC categorical exclusion under the National decommissioning of the VOR portions NAVAID has made this action Environmental Policy Act and its of the Newcombe, KY, VORTAC and the necessary. The airway changes are implementing regulations at 40 CFR part Hazard, KY, VOR/Distance Measuring outlined below. 1500, and in accordance with FAA Equipment (VOR/DME) NAVAIDs. V–4: V–4 extends between the Order 1050.1F, Environmental Impacts: Interested parties were invited to Tatoosh, WA, VORTAC and the Armel, Policies and Procedures, paragraph 5– participate in this rulemaking effort by VA, VOR/DME. The airway segment 6.5a, which categorically excludes from submitting written comments on the overlying the Newcombe, KY, VORTAC further environmental impact review proposal. No comments were received. between the Lexington, KY, VOR/DME rulemaking actions that designate or Subsequent to the NPRM, the FAA and the Charleston, WV, VORTAC is modify classes of airspace areas, determined VOR Federal airway V–53, removed. The unaffected portions of the airways, routes, and reporting points V–115, V–140, and V–339, and RNAV existing airway remain as charted. (see 14 CFR part 71, Designation of route T–215 and T–323 modifications V–119: V–119 extends between the Class A, B, C, D, and E Airspace Areas; proposed in the NPRM, due to the Newcombe, KY, VORTAC and the Air Traffic Service Routes; and planned decommissioning of the VOR Rochester, NY, VOR/DME. The airway Reporting Points). As such, this action portion of the Hazard, KY, VOR/DME, segment overlying the Newcombe, KY, is not expected to result in any

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potentially significant environmental V–331 [Removed] FAA Order 7400.11 and publication of impacts. In accordance with FAA Order * * * * * conforming amendments. 1050.1F, paragraph 5–2 regarding V–478 [Removed] ADDRESSES: FAA Order 7400.11D, Extraordinary Circumstances, the FAA Airspace Designations and Reporting * * * * * has reviewed this action for factors and Points, and subsequent amendments can circumstances in which a normally Issued in Washington, DC, on June 22, be viewed online at https:// categorically excluded action may have 2020. www.faa.gov/air_traffic/publications/. a significant environmental impact Scott M. Rosenbloom, For further information, you can contact requiring further analysis. The FAA has Acting Manager, Rules and Regulations the Rules and Regulations Group, determined that no extraordinary Group. Federal Aviation Administration, 800 circumstances exist that warrant [FR Doc. 2020–13742 Filed 6–26–20; 8:45 am] Independence Avenue SW, Washington, preparation of an environmental BILLING CODE 4910–13–P DC 20591; telephone: (202) 267–8783. assessment or environmental impact The Order is also available for study. inspection at the National Archives and DEPARTMENT OF TRANSPORTATION List of Subjects in 14 CFR Part 71 Records Administration (NARA). For information on the availability of FAA Airspace, Incorporation by reference, Federal Aviation Administration Order 7400.11D at NARA, email: Navigation (air). [email protected] or go to https:// 14 CFR Part 71 Adoption of the Amendment www.archives.gov/federal-register/cfr/ [Docket No. FAA–2019–1105; Airspace ibr-locations.html. In consideration of the foregoing, the Docket No. 19–AGL–17] FOR FURTHER INFORMATION CONTACT: Federal Aviation Administration RIN 2120–AA66 Colby Abbott, Rules and Regulations amends 14 CFR part 71 as follows: Group, Office of Policy, Federal PART 71—DESIGNATION OF CLASS A, Amendment of Multiple Air Traffic Aviation Administration, 800 B, C, D, AND E AIRSPACE AREAS; AIR Service (ATS) Routes in the Independence Avenue SW, Washington, TRAFFIC SERVICE ROUTES; AND Northcentral United States DC 20591; telephone: (202) 267–8783. SUPPLEMENTARY INFORMATION: REPORTING POINTS AGENCY: Federal Aviation Administration (FAA), DOT. Authority for This Rulemaking ■ 1. The authority citation for part 71 continues to read as follows: ACTION: Final rule. The FAA’s authority to issue rules regarding aviation safety is found in Authority: 49 U.S.C. 106(f), 106(g); 40103, SUMMARY: This action amends VHF Title 49 of the United States Code. 40113, 40120; E.O. 10854, 24 FR 9565, 3 CFR, Omnidirectional Range (VOR) Federal 1959–1963 Comp., p. 389. Subtitle I, Section 106 describes the airways V–13, V–55, and V–505, and authority of the FAA Administrator. § 71.1 [Amended] Area Navigation (RNAV) route T–354 in Subtitle VII, Aviation Programs, the Northcentral United States. The describes in more detail the scope of the ■ 2. The incorporation by reference in modifications are necessary due to the agency’s authority. This rulemaking is 14 CFR 71.1 of FAA Order 7400.11D, planned decommissioning of the VOR promulgated under the authority Airspace Designations and Reporting portion of the Siren, WI, VOR/Distance described in Subtitle VII, Part A, Points, dated August 8, 2019 and Measuring Equipment (VOR/DME) Subpart I, Section 40103. Under that effective September 15, 2019, is navigation aid (NAVAID) which section, the FAA is charged with amended as follows: provides navigation guidance for prescribing regulations to assign the use Paragraph 6010(a) Domestic VOR Federal portions of the affected air traffic service of the airspace necessary to ensure the Airways. (ATS) routes. The Siren VOR is being safety of aircraft and the efficient use of * * * * * decommissioned as part of the FAA’s airspace. This regulation is within the VOR Minimum Operational Network scope of that authority as it will modify V–4 [Amended] (MON) program. ° the route structure as necessary to From Tatoosh, WA; INT of Tatoosh 102 The VOR Federal airway V–15, V–26, preserve the safe and efficient flow of and Seattle, WA, 329° radials; Seattle; V–78, V–100, V–159, V–175, V–219, and air traffic within the National Airspace Yakima, WA; Pendleton, OR; Baker, OR; V–307, and Area Navigation (RNAV) Boise, ID; INT Boise 130° and Burley, ID, System. ° route T–285 modifications proposed in 292 radials; Burley; Malad City, ID; Rock History Springs, WY; Cherokee, WY; Laramie, WY; the notice of proposed rulemaking Gill, CO; Thurman, CO; Goodland, KS; Hill (NPRM) require additional coordination The FAA published a NPRM for City, KS; Salina, KS; Topeka, KS; Kansas and flight inspection activities. As such, Docket No. FAA–2019–1105 in the City, MO; Hallsville, MO; St. Louis, MO; those ATS route modifications are Federal Register (85 FR 3295; January Troy, IL; Centralia, IL; Pocket City, IN; removed from this rule. Additionally, 21, 2020), amending VOR Federal Louisville, KY; to Lexington, KY. From the V–55 and T–354 modifications airways V–13, V–15, V–26, V–55, V–78, Charleston, WV; Elkins, WV; Kessel, WV; effected by the Park Rapids, MN, VOR/ ° ° V–100, V–159, V–175, V–219, V–307, INT Kessel 097 and Armel, VA, 292 radials; DME proposed in the NPRM also to Armel. and V–505, and RNAV routes T–285 require additional coordination and and T–354 in the Northcentral United * * * * * flight inspection activities, and are States. The proposed modifications V–119 [Amended] removed from this rule, too. were due to the planned From Henderson, WV; Parkersburg, WV; DATES: Effective date 0901 UTC, decommissioning of the VOR portion of INT Parkersburg 067° and Indian Head, PA, September 10, 2020. The Director of the the Park Rapids, MN, VOR/DME; Siren, 254° radials; Indian Head; Clarion, PA; Federal Register approves this WI, VOR/DME; Sioux City, IA, VOR/ Bradford, PA; Wellsville, NY; Geneseo, NY; incorporation by reference action under Tactical Air Navigation (VORTAC); and to Rochester, NY. Title 1 Code of Federal Regulations part Huron, SD, VORTAC NAVAIDs. * * * * * 51, subject to the annual revision of Interested parties were invited to

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participate in this rulemaking effort by T–354. The planned decommissioning ‘‘significant rule’’ under Department of submitting written comments on the of the VOR portion of the Siren, WI, Transportation (DOT) Regulatory proposal. No comments were received. VOR/DME NAVAID has made this Policies and Procedures (44 FR 11034; Subsequent to the NPRM, the FAA action necessary. The VOR Federal February 26, 1979); and (3) does not determined the VOR Federal airway V– airway changes are outlined below. warrant preparation of a regulatory 15, V–26, V–55, V–78, V–100, V–159, V–13: V–13 extends between the evaluation as the anticipated impact is V–175, V–219, and V–307, and the McAllen, TX, VOR/DME and the so minimal. Since this is a routine RNAV route T–285 and T–354 Thunder Bay, ON, Canada, VOR/DME. matter that will only affect air traffic modifications proposed in the NPRM, The airspace outside the United States procedures and air navigation, it is due to the planned decommissioning of is excluded. The airway segment certified that this rule, when the VOR portion of the Park Rapids, overlying the Siren, WI, VOR/DME promulgated, will not have a significant MN, VOR/DME; Sioux City, IA, between the Farmington, MN, VORTAC economic impact on a substantial VORTAC; and Huron, SD, VORTAC and the Duluth, MN, VORTAC is number of small entities under the NAVAIDs, required additional removed. The airspace outside the criteria of the Regulatory Flexibility Act. coordination and flight inspection United States continues to be excluded. activities. As a result, those ATS route The unaffected portions of the existing Environmental Review modifications are removed from this airway remain as charted. The FAA has determined that this rule and will be reworked in a separate V–55: V–55 extends between the action of amending VOR Federal rulemaking action. Dayton, OH, VOR/DME and the airways V–13, V–55, and V–505, and VOR Federal airways are published in intersection of the Green Bay, WI, RNAV route T–354, due to the planned paragraph 6010(a) and RNAV T-routes VORTAC 270° and Oshkosh, WI, decommissioning of the VOR portion of are published in paragraph 6011 of FAA VORTAC 339° radials; between the Eau the Siren, WI, VOR/DME NAVAID, Order 7400.11D dated August 8, 2019, Claire, WI, VORTAC and the Siren, WI, qualifies for categorical exclusion under and effective September 15, 2019, which VOR/DME; and between the Park the National Environmental Policy Act is incorporated by reference in 14 CFR Rapids, MN, VOR/DME and the and its implementing regulations at 40 71.1. The VOR Federal airways listed in Bismarck, ND, VOR/DME. The airway CFR part 1500, and in accordance with this document would be subsequently segment overlying the Siren, WI, VOR/ FAA Order 1050.1F, Environmental published in the Order. DME between the Eau Claire, WI, Impacts: Policies and Procedures, VORTAC and the Siren, WI, VOR/DME Availability and Summary of paragraph 5–6.5a, which categorically is removed. The unaffected portions of Documents for Incorporation by excludes from further environmental the existing airway remain as charted. Reference impact review rulemaking actions that V–505: V–505 extends between the designate or modify classes of airspace This document amends FAA Order Des Moines, IA, VORTAC and the areas, airways, routes, and reporting 7400.11D, Airspace Designations and International Falls, MN, VOR/DME. The points (see 14 CFR part 71, Designation Reporting Points, dated August 8, 2019, airway segment overlying the Siren, WI, of Class A, B, C, D, and E Airspace and effective September 15, 2019. FAA VOR/DME between the Gopher, MN, Areas; Air Traffic Service Routes; and Order 7400.11D is publicly available as VORTAC and the Duluth, MN, VORTAC Reporting Points). As such, this action listed in the ADDRESSES section of this is removed. Additionally, an editorial is not expected to result in any document. FAA Order 7400.11D lists correction changes the state potentially significant environmental Class A, B, C, D, and E airspace areas, abbreviation for the Duluth VORTAC impacts. In accordance with FAA Order air traffic service routes, and reporting listed in the description from ‘‘MI’’ to 1050.1F, paragraph 5–2 regarding points. ‘‘MN’’. The unaffected portions of the Extraordinary Circumstances, the FAA Differences From the NPRM existing airway remain as charted. has reviewed this action for factors and The RNAV route change is outlined circumstances in which a normally In the NPRM, the FAA proposed below. categorically excluded action may have amendments to VOR Federal airways V– T–354: T–354 extends between the a significant environmental impact 15, V–26, V–55, V–78, V–100, V–159, Park Rapids, MN, VOR/DME and the requiring further analysis. The FAA has V–175, V–219, and V–307, and RNAV Siren, WI, VOR/DME. The Siren, WI determined that no extraordinary routes T–285 and T–354 due to the (RZN), route point listed as ‘‘VOR/ circumstances exist that warrant planned decommissioning of the VOR DME’’ is changed to ‘‘DME’’. The preparation of an environmental portion of the Park Rapids, MN, VOR/ unaffected portions of the existing assessment or environmental impact DME; Sioux City, IA, VORTAC; and RNAV route remain as charted. study. Huron, SD, VORTAC NAVAIDs. All radials listed in the route However, additional coordination and descriptions below are unchanged and List of Subjects in 14 CFR Part 71 flight inspection activity are required to stated in True degrees. Airspace, Incorporation by reference, modify the route segments of these ATS FAA Order 7400.11, Airspace Navigation (air). routes that are effected by the Park Designations and Reporting Points, is Rapids VOR/DME, Sioux City VORTAC, published yearly and effective on Adoption of the Amendment and Huron VORTAC. Therefore, the September 15. In consideration of the foregoing, the ATS route amendments associated with Regulatory Notices and Analyses Federal Aviation Administration those three NAVAIDs are not included amends 14 CFR part 71 as follows: in this final rule and will be reworked The FAA has determined that this in a separate rulemaking action. regulation only involves an established PART 71—DESIGNATION OF CLASS A, body of technical regulations for which B, C, D, AND E AIRSPACE AREAS; AIR The Rule frequent and routine amendments are TRAFFIC SERVICE ROUTES; AND The FAA is amending Title 14 Code necessary to keep them operationally REPORTING POINTS of Federal Regulations (14 CFR) part 71 current. It, therefore: (1) Is not a by modifying VOR Federal airways V– ‘‘significant regulatory action’’ under ■ 1. The authority citation for part 71 13, V–55, and V–505, and RNAV route Executive Order 12866; (2) is not a continues to read as follows:

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Authority: 49 U.S.C. 106(f), 106(g); 40103, Palacios, TX, 241° radials; Palacios; Humble, ND; INT Grand Forks 239° and Bismarck, ND, 40113, 40120; E.O. 10854, 24 FR 9565, 3 CFR, TX; Lufkin, TX; Belcher, LA; Texarkana, AR; 067° radials; to Bismarck. 1959–1963 Comp., p. 389. Rich Mountain, OK; Fort Smith, AR; INT Fort * * * * * Smith 006° and Razorback, AR, 190° radials; § 71.1 [Amended] Razorback; Neosho, MO; Butler, MO; V–505 [Amended] ■ 2. The incorporation by reference in Napoleon, MO; Lamoni, IA; Des Moines, IA; From Des Moines, IA; Fort Dodge, IA, 14 CFR 71.1 of FAA Order 7400.11D, Mason City, IA; to Farmington, MN. From excluding the airspace at and above 11,000 Airspace Designations and Reporting Duluth, MN; to Thunder Bay, ON, Canada. feet MSL between 27 miles and 64 miles Points, dated August 8, 2019 and The airspace outside the United States is northwest of Des Moines VOR during the time that the Boone MOA is activated; Mason effective September 15, 2019, is excluded. ° amended as follows: City, IA; INT Mason City 349 and Gopher, * * * * * MN, 188° radials; to Gopher. From Duluth, MN; INT Duluth 331° and Hibbing, MN, 120° Paragraph 6010(a) Domestic VOR Federal V–55 [Amended] Airways. radials; Hibbing; INT Hibbing 319° and ° * * * * * From Dayton, OH; Fort Wayne, IN; Goshen, International Falls, MN, 182 radials; to IN; Gipper, MI; Keeler, MI; Pullman, MI; International Falls. ° V–13 [Amended] Muskegon, MI; INT Muskegon 327 and * * * * * From McAllen, TX; INT McAllen 060° Green Bay, WI, 116° radials; Green Bay; to radial and Corpus Christi, TX, 178° radials; INT Green Bay 270° and Oshkosh, WI, 339° 6011 United States Area Navigation Routes Corpus Christi; INT Corpus Christi 039° and radials. From Park Rapids, MN; Grand Forks, * * * * *

T–354 Park Rapids, MN (PKD) to Siren, WI (RZN) [Amended] Park Rapids, MN (PKD) VOR/DME (Lat. 46°53′53.34″ N, long. 095°04′15.21″ W) BRNRD, MN WP (Lat. 46°20′53.81″ N, long. 094°01′33.54″ W) Siren, WI (RZN) DME (Lat. 45°49′13.60″ N, long. 092°22′28.26″ W)

* * * * * operations under instrument flight rules Service Area in which the affected Issued in Washington, DC, on June 22, at the affected airports. airport is located. 2020. DATES: This rule is effective June 29, FOR FURTHER INFORMATION CONTACT: Scott M. Rosenbloom, 2020. The compliance date for each Thomas J. Nichols, Flight Procedures Acting Manager, Rules and Regulations SIAP, associated Takeoff Minimums, and Airspace Group, Flight Group. and ODP is specified in the amendatory Technologies and Procedures Division, [FR Doc. 2020–13818 Filed 6–26–20; 8:45 am] provisions. Flight Standards Service, Federal The incorporation by reference of Aviation Administration. Mailing BILLING CODE 4910–13–P certain publications listed in the Address: FAA Mike Monroney regulations is approved by the Director Aeronautical Center, Flight Procedures DEPARTMENT OF TRANSPORTATION of the Federal Register as of June 29, and Airspace Group, 6500 South 2020. MacArthur Blvd., Registry Bldg. 29 Federal Aviation Administration ADDRESSES: Availability of matters Room 104, Oklahoma City, OK 73169. incorporated by reference in the Telephone: (405) 954–4164. 14 CFR Part 97 amendment is as follows: SUPPLEMENTARY INFORMATION: This rule amends Title 14 of the Code of Federal For Examination [Docket No. 31316 Amdt. No. 3909] Regulations, Part 97 (14 CFR part 97), by 1. U.S. Department of Transportation, establishing, amending, suspending, or Standard Instrument Approach Docket Ops-M30, 1200 New Jersey removes SIAPS, Takeoff Minimums Procedures, and Takeoff Minimums Avenue SE, West Bldg., Ground Floor, and/or ODPS. The complete regulatory and Obstacle Departure Procedures; Washington, DC 20590–0001. description of each SIAP and its Miscellaneous Amendments 2. The FAA Air Traffic Organization associated Takeoff Minimums or ODP Service Area in which the affected for an identified airport is listed on FAA AGENCY: Federal Aviation airport is located; form documents which are incorporated Administration (FAA), DOT. 3. The office of Aeronautical by reference in this amendment under 5 ACTION: Final rule. Navigation Products, 6500 South U.S.C. 552(a), 1 CFR part 51, and 14 MacArthur Blvd., Oklahoma City, OK CFR part 97.20. The applicable FAA SUMMARY: This rule establishes, amends, 73169 or, forms are FAA Forms 8260–3, 8260–4, suspends, or removes Standard 4. The National Archives and Records 8260–5, 8260–15A, and 8260–15B when Instrument Approach Procedures Administration (NARA). For required by an entry on 8260–15A. (SIAPs) and associated Takeoff information on the availability of this The large number of SIAPs, Takeoff Minimums and Obstacle Departure material at NARA, email fedreg.legal@ Minimums and ODPs, their complex Procedures (ODPs) for operations at nara.gov or go to: https:// nature, and the need for a special format certain airports. These regulatory www.archives.gov/federal-register/cfr/ make publication in the Federal actions are needed because of the ibr-locations.html. Register expensive and impractical. adoption of new or revised criteria, or Further, airmen do not use the because of changes occurring in the Availability regulatory text of the SIAPs, Takeoff National Airspace System, such as the All SIAPs and Takeoff Minimums and Minimums or ODPs, but instead refer to commissioning of new navigational ODPs are available online free of charge. their graphic depiction on charts facilities, adding new obstacles, or Visit the National Flight Data Center at printed by publishers of aeronautical changing air traffic requirements. These nfdc.faa.gov to register. Additionally, materials. Thus, the advantages of changes are designed to provide safe individual SIAP and Takeoff Minimums incorporation by reference are realized and efficient use of the navigable and ODP copies may be obtained from and publication of the complete airspace and to promote safe flight the FAA Air Traffic Organization description of each SIAP, Takeoff

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Minimums and ODP listed on FAA form ‘‘significant rule’’ under DOT Hartford, KY, Ohio County, VOR/DME–A, documents is unnecessary. This Regulatory Policies and Procedures (44 Orig-A, CANCELLED amendment provides the affected CFR FR 11034; February 26,1979); and (3) Deblois, ME, Deblois Flight Strip, RNAV sections and specifies the types of does not warrant preparation of a (GPS)-A, Orig-A SIAPs, Takeoff Minimums and ODPs Harlowton, MT, Wheatland County at regulatory evaluation as the anticipated Harlowton, RNAV (GPS) RWY 27, Orig with their applicable effective dates. impact is so minimal. For the same Block Island, RI, Block Island State, RNAV This amendment also identifies the reason, the FAA certifies that this (GPS) RWY 10, Orig-D airport and its location, the procedure, amendment will not have a significant Block Island, RI, Block Island State, VOR and the amendment number. economic impact on a substantial RWY 28, Amdt 5A Longview, TX, East Texas Rgnl, RNAV (GPS) Availability and Summary of Material number of small entities under the criteria of the Regulatory Flexibility Act. RWY 13, Amdt 1A Incorporated by Reference Abingdon, VA, Virginia Highlands, RNAV The material incorporated by List of Subjects in 14 CFR Part 97 (GPS) RWY 6, Amdt 1B reference is publicly available as listed Air Traffic Control, Airports, Appleton, WI, Appleton Intl, RNAV (GPS) in the ADDRESSES section. Incorporation by reference, Navigation RWY 21, Amdt 2C The material incorporated by (Air). [FR Doc. 2020–13890 Filed 6–26–20; 8:45 am] reference describes SIAPS, Takeoff BILLING CODE 4910–13–P Issued in Washington, DC, on June 12, Minimums and/or ODPS as identified in 2020. the amendatory language for part 97 of Robert C. Carty, this final rule. DEPARTMENT OF TRANSPORTATION Executive Deputy Director, Flight Standards The Rule Service. Federal Aviation Administration This amendment to 14 CFR part 97 is Adoption of the Amendment effective upon publication of each 14 CFR Part 97 separate SIAP, Takeoff Minimums and Accordingly, pursuant to the authority delegated to me, Title 14, ODP as Amended in the transmittal. [Docket No. 31317; Amdt. No. 3910] Some SIAP and Takeoff Minimums and Code of Federal Regulations, part 97 (14 textual ODP amendments may have CFR part 97) is amended by Standard Instrument Approach been issued previously by the FAA in a establishing, amending, suspending, or Procedures, and Takeoff Minimums Flight Data Center (FDC) Notice to removing Standard Instrument and Obstacle Departure Procedures; Airmen (NOTAM) as an emergency Approach Procedures and/or Takeoff Miscellaneous Amendments action of immediate flight safety relating Minimums and Obstacle Departure directly to published aeronautical Procedures effective at 0901 UTC on the AGENCY: Federal Aviation charts. dates specified, as follows: Administration (FAA), DOT. The circumstances that created the PART 97—STANDARD INSTRUMENT ACTION: Final rule. need for some SIAP and Takeoff APPROACH PROCEDURES Minimums and ODP amendments may SUMMARY: This rule amends, suspends, require making them effective in less ■ 1. The authority citation for part 97 or removes Standard Instrument than 30 days. For the remaining SIAPs continues to read as follows: Approach Procedures (SIAPs) and and Takeoff Minimums and ODPs, an Authority: 49 U.S.C. 106(f), 106(g), 40103, associated Takeoff Minimums and effective date at least 30 days after 40106, 40113, 40114, 40120, 44502, 44514, Obstacle Departure Procedures for publication is provided. 44701, 44719, 44721–44722. operations at certain airports. These Further, the SIAPs and Takeoff regulatory actions are needed because of Minimums and ODPs contained in this ■ 2. Part 97 is amended to read as the adoption of new or revised criteria, amendment are based on the criteria follows: or because of changes occurring in the contained in the U.S. Standard for Effective 16 July 2020 National Airspace System, such as the Terminal Instrument Procedures Sitka, AK, Sitka Rocky Gutierrez, RNAV commissioning of new navigational (TERPS). In developing these SIAPs and (GPS) RWY 11, Amdt 2 facilities, adding new obstacles, or Takeoff Minimums and ODPs, the Teller, AK, Teller, RNAV (GPS) RWY 8, changing air traffic requirements. These TERPS criteria were applied to the Amdt 1 changes are designed to provide for the conditions existing or anticipated at the Teller, AK, Teller, RNAV (GPS) RWY 26, safe and efficient use of the navigable affected airports. Because of the close Amdt 1 airspace and to promote safe flight and immediate relationship between Keystone Heights, FL, Keystone Heights, operations under instrument flight rules these SIAPs, Takeoff Minimums and Takeoff Minimums and Obstacle DP, Orig-A at the affected airports. ODPs, and safety in air commerce, I find Brunswick, GA, Brunswick Golden Isles, that notice and public procedure under RNAV (GPS) RWY 25, Amdt 1B DATES: This rule is effective June 29, 5 U.S.C. 553(b) are impracticable and Honolulu, HI, Daniel K Inouye Intl, LOC 2020. The compliance date for each contrary to the public interest and, RWY 8L, Amdt 1B SIAP, associated Takeoff Minimums, where applicable, under 5 U.S.C 553(d), Honolulu, HI, Daniel K Inouye Intl, RNAV and ODP is specified in the amendatory good cause exists for making some (GPS) Y RWY 8L, Amdt 3A provisions. SIAPs effective in less than 30 days. Chicago, IL, Chicago Midway Intl, RNAV The incorporation by reference of The FAA has determined that this (GPS) Z RWY 22L, Amdt 2 Macomb, IL Macomb Muni, RNAV (GPS) certain publications listed in the regulation only involves an established regulations is approved by the Director body of technical regulations for which RWY 9, Amdt 1C Macomb, IL Macomb Muni, RNAV (GPS) of the Federal Register as of June 29, frequent and routine amendments are RWY 27, Amdt 1B 2020. necessary to keep them operationally Hartford, KY, Ohio County, RNAV (GPS) current. It, therefore—(1) is not a RWY 3, Orig-D ADDRESSES: Availability of matter ‘‘significant regulatory action’’ under Hartford, KY, Ohio County, RNAV (GPS) incorporated by reference in the Executive Order 12866; (2) is not a RWY 21, Orig-D amendment is as follows:

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For Examination incorporation by reference are realized cause exists for making these SIAPs 1. U.S. Department of Transportation, and publication of the complete effective in less than 30 days. Docket Ops–M30, 1200 New Jersey description of each SIAP contained on The FAA has determined that this Avenue SE, West Bldg., Ground Floor, FAA form documents is unnecessary. regulation only involves an established Washington, DC 20590–0001; This amendment provides the affected body of technical regulations for which 2. The FAA Air Traffic Organization CFR sections, and specifies the SIAPs frequent and routine amendments are Service Area in which the affected and Takeoff Minimums and ODPs with necessary to keep them operationally airport is located; their applicable effective dates. This current. It, therefore—(1) is not a 3. The office of Aeronautical amendment also identifies the airport ‘‘significant regulatory action’’ under Navigation Products, 6500 South and its location, the procedure and the Executive Order 12866;(2) is not a MacArthur Blvd., Oklahoma City, OK amendment number. ‘‘significant rule’’ under DOT regulatory Policies and Procedures (44 FR 11034; 73169 or, Availability and Summary of Material 4. The National Archives and Records February 26, 1979); and (3) does not Incorporated by Reference Administration (NARA). For warrant preparation of a regulatory information on the availability of this The material incorporated by evaluation as the anticipated impact is material at NARA, email fedreg.legal@ reference is publicly available as listed so minimal. For the same reason, the nara.gov or go to: https:// in the ADDRESSES section. FAA certifies that this amendment will www.archives.gov/federal-register/cfr/ The material incorporated by not have a significant economic impact ibr-locations.html. reference describes SIAPs, Takeoff on a substantial number of small entities Minimums and ODPs as identified in under the criteria of the Regulatory Availability the amendatory language for part 97 of Flexibility Act. All SIAPs and Takeoff Minimums and this final rule. ODPs are available online free of charge. List of Subjects in 14 CFR part 97 The Rule Visit the National Flight Data Center Air Traffic Control, Airports, online at nfdc.faa.gov to register. This amendment to 14 CFR part 97 is Incorporation by reference, Navigation Additionally, individual SIAP and effective upon publication of each (Air). Takeoff Minimums and ODP copies may separate SIAP and Takeoff Minimums Issued in Washington, DC on June 12, be obtained from the FAA Air Traffic and ODP as amended in the transmittal. 2020. Organization Service Area in which the For safety and timeliness of change Robert C. Carty, affected airport is located. considerations, this amendment Executive Deputy Director, Flight Standards FOR FURTHER INFORMATION CONTACT: incorporates only specific changes Service. Thomas J. Nichols, Flight Procedures contained for each SIAP and Takeoff and Airspace Group, Flight Minimums and ODP as modified by Adoption of the Amendment Technologies and Procedures Division, FDC permanent NOTAMs. Accordingly, pursuant to the Flight Standards Service, Federal The SIAPs and Takeoff Minimums authority delegated to me, Title 14, Aviation Administration. Mailing and ODPs, as modified by FDC Code of Federal regulations, Part 97, (14 Address: FAA Mike Monroney permanent NOTAM, and contained in CFR part 97), is amended by amending Aeronautical Center, Flight Procedures this amendment are based on the Standard Instrument Approach and Airspace Group, 6500 South criteria contained in the U.S. Standard Procedures and Takeoff Minimums and MacArthur Blvd., Registry Bldg. 29 for Terminal Instrument Procedures ODPs, effective at 0901 UTC on the Room 104, Oklahoma City, OK 73169. (TERPS). In developing these changes to dates specified, as follows: Telephone: (405) 954–4164. SIAPs and Takeoff Minimums and SUPPLEMENTARY INFORMATION: This rule ODPs, the TERPS criteria were applied PART 97—STANDARD INSTRUMENT amends Title 14, Code of Federal only to specific conditions existing at APPROACH PROCEDURES Regulations, Part 97 (14 CFR part 97) by the affected airports. All SIAP amending the referenced SIAPs. amendments in this rule have been ■ 1. The authority citation for part 97 The complete regulatory description previously issued by the FAA in a FDC continues to read as follows: of each SIAP is listed on the appropriate NOTAM as an emergency action of Authority: 49 U.S.C. 106(f), 106(g), 40103, FAA Form 8260, as modified by the immediate flight safety relating directly 40106, 40113, 40114, 40120, 44502, 44514, National Flight Data Center (NFDC)/ to published aeronautical charts. 44701, 44719, 44721–44722. Permanent Notice to Airmen (P– The circumstances that created the ■ 2. Part 97 is amended to read as NOTAM), and is incorporated by need for these SIAP and Takeoff follows: reference under 5 U.S.C. 552(a), 1 CFR Minimums and ODP amendments part 51, and 14 CFR 97.20. The large require making them effective in less By amending: § 97.23 VOR, VOR/ number of SIAPs, their complex nature, than 30 days. DME, VOR or TACAN, and VOR/DME and the need for a special format make Because of the close and immediate or TACAN; § 97.25 LOC, LOC/DME, their verbatim publication in the relationship between these SIAPs, LDA, LDA/DME, SDF, SDF/DME; Federal Register expensive and Takeoff Minimums and ODPs, and § 97.27 NDB, NDB/DME; § 97.29 ILS, impractical. Further, airmen do not use safety in air commerce, I find that notice ILS/DME, MLS, MLS/DME, MLS/RNAV; the regulatory text of the SIAPs, but and public procedure under 5 U.S.C. § 97.31 RADAR SIAPs; § 97.33 RNAV refer to their graphic depiction on charts 553(b) are impracticable and contrary to SIAPs; and § 97.35 COPTER SIAPs, printed by publishers of aeronautical the public interest and, where Identified as follows: materials. Thus, the advantages of applicable, under 5 U.S.C. 553(d), good * * * Effective Upon Publication

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AIRAC date State City Airport FDC No. FDC date Subject

16-Jul-20 ...... CA Sacramento ...... Sacramento Intl ...... 0/2704 5/20/20 This NOTAM, published in Dock- et No. 31315, Amdt No. 3908, TL 20–15, (85 FR 35800; June 12, 2020) is hereby rescinded in its entirety. 16-Jul-20 ...... MN Park Rapids...... Park Rapids Muni-Konshok 0/1758 6/1/20 RNAV (GPS) RWY 13, Amdt 1. Field. 16-Jul-20 ...... GA Monroe ...... Monroe-Walton County ...... 0/2642 5/29/20 RNAV (GPS) RWY 3, Amdt 2B. 16-Jul-20 ...... NM Roswell ...... Roswell Air Center...... 0/2895 5/29/20 ILS OR LOC RWY 21, Amdt 18A. 16-Jul-20 ...... NM Roswell ...... Roswell Air Center ...... 0/2896 5/29/20 LOC BC RWY 3, Amdt 9C. 16-Jul-20 ...... NM Roswell ...... Roswell Air Center ...... 0/2897 5/29/20 RADAR 1, Orig–B. 16-Jul-20 ...... NM Roswell ...... Roswell Air Center ...... 0/2898 5/29/20 RNAV (GPS) RWY 3, Orig. 16-Jul-20 ...... NM Roswell ...... Roswell Air Center ...... 0/2899 5/29/20 RNAV (GPS) RWY 17, Orig. 16-Jul-20 ...... NM Roswell ...... Roswell Air Center ...... 0/2900 5/29/20 RNAV (GPS) RWY 21, Orig. 16-Jul-20 ...... NM Roswell ...... Roswell Air Center ...... 0/2901 5/29/20 RNAV (GPS) RWY 35, Orig. 16-Jul-20 ...... NM Roswell ...... Roswell Air Center ...... 0/2902 5/29/20 VOR–B, Amdt 1. 16-Jul-20 ...... GA Atlanta ...... Atlanta Rgnl Falcon Field ...... 0/4193 6/2/20 ILS OR LOC RWY 31, Amdt 2B. 16-Jul-20 ...... PA Danville ...... Danville ...... 0/4878 6/1/20 VOR–A, Orig. 16-Jul-20 ...... PA Danville ...... Danville ...... 0/4879 6/1/20 RNAV (GPS) RWY 27, Orig–B. 16-Jul-20 ...... PA Danville ...... Danville ...... 0/4880 6/1/20 RNAV (GPS) RWY 9, Orig–B. 16-Jul-20 ...... CA Sacramento ...... Sacramento Intl ...... 0/5322 6/3/20 ILS OR LOC RWY 17R, ILS RWY 17R (SA CAT I), ILS RWY 17R (CAT II–III), Amdt 16C. 16-Jul-20 ...... NC Statesville ...... Statesville Rgnl ...... 0/5727 6/3/20 RNAV (GPS) RWY 10, Amdt 1A. 16-Jul-20 ...... IL Chicago ...... Chicago Midway Intl ...... 0/6470 6/4/20 RNAV (RNP) X RWY 22L, Orig.

[FR Doc. 2020–13891 Filed 6–26–20; 8:45 am] FOR FURTHER INFORMATION CONTACT: amendments to the Rule, took effect on BILLING CODE 4910–13–P Christine M. Todaro, Attorney, Division July 1, 2007, so that franchisors would of Marketing Practices, Bureau of have a one-year phase-in period within Consumer Protection, Federal Trade which to comply with the amended FEDERAL TRADE COMMISSION Commission, 600 Pennsylvania Avenue Rule’s revised disclosure requirements NW, Washington, DC 20580; phone before the July 1, 2008, final compliance 16 CFR Part 436 number: (202–326–3711), email address: deadline.6 [email protected]. As required by the Rule, the Disclosure Requirements and SUPPLEMENTARY INFORMATION: The FTC’s Commission previously revised the Prohibitions Concerning Franchising Trade Regulation Rule entitled three monetary thresholds to reflect AGENCY: Federal Trade Commission. ‘‘Disclosure Requirements and Prohibitions Concerning Franchising’’ inflation in the CPI–U in 2012 and ACTION: Final rule. 7 (Franchise Rule or Rule) 1 provides three 2016. The Commission bases the SUMMARY: The Federal Trade exemptions based on a monetary exemption monetary thresholds that Commission (‘‘FTC’’ or ‘‘Commission’’) threshold: The ‘‘minimum payment will take effect on July 1, 2020, on the announces revised monetary thresholds exemption,’’ 2 the ‘‘large franchise increase in the CPI–U between 2007 and for three exemptions from the Franchise investment exemption’’ 3 and the ‘‘large 2019. During this period, the annual Rule. The FTC is required to adjust the franchisee exemption.’’ 4 The Rule average value of the Consumer Price size of the monetary thresholds every requires the Commission to ‘‘adjust the Index for all urban consumers and all fourth year based upon changes in the size of the monetary thresholds every items increased by 23.3%—from an Consumer Price Index for All Urban fourth year based upon the . . . index value of 207.342 to a value of Consumers (‘‘CPI–U’’) published by the Consumer Price Index for all urban 255.657.8 Applying the percentage Department of Labor. consumers [CPI–U] published by the increase to the three monetary DATES: This final rule is effective on July Department of Labor.’’ 5 This thresholds increases the thresholds as 1, 2020. requirement, added by the 2007 follows:

1 16 CFR part 436. 2 16 CFR 436.8(a)(1). 3 16 CFR 436.8(a)(5)(i). 4 16 CFR 436.8(a)(5)(ii). 5 16 CFR 436.8(b). 6 72 FR 15444 (Mar. 30, 2007). 7 77 FR 36149, 36150 (June 18, 2012); 81 FR 31500 (May 19, 2016). 8 Bureau of Labor Statistics, Consumer Price Index: Historical Consumer Price Index for All Urban Consumers (CPI–U), available at https:// www.bls.gov/cpi/tables/supplemental-files/ historical-cpi-u-201912.pdf.

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Adjusted 2020 Exemption 2007 Base Threshold

Minimum Payment ...... $500 9 $615 Large Franchise Investment ...... 1,000,000 1,233,000 Large franchisee ...... 5,000,000 6,165,000

Because the calculation of these ■ c. In paragraph (a)(5)(ii), remove safety of life on navigable waterways thresholds is purely ministerial in ‘‘$5,715,500’’ and, in its place, add during this event. Our regulation for nature and implements the Rule’s ‘‘$6,165,000’’. marine events within the Eleventh Coast mandatory adjustment mechanism, By direction of the Commission. Guard District, § 100.1101, specifies the these adjustments are exempt from the April J. Tabor, location of the regulated area for the rulemaking procedures specified in Dutch Shoe Marathon which Acting Secretary. section 18 of the FTC Act.10 In addition, encompasses the waters of San Diego the Commission has determined that [FR Doc. 2020–12617 Filed 6–26–20; 8:45 am] Bay, CA, from Shelter Island to Glorietta notice and comment are unnecessary BILLING CODE 6750–01–P Bay. Under the provisions of § 100.1101, under the Administrative Procedure Act persons and vessels are prohibited from (‘‘APA’’) for the same reason. The anchoring, blocking, loitering, or Commission, therefore, has omitted DEPARTMENT OF HOMELAND impeding within this regulated area notice and comment for good cause as SECURITY unless authorized by the Captain of the provided by section 553(b)(B) of the Port, or his designated representative. APA.11 For this reason, the Coast Guard The Coast Guard may be assisted by requirements of the Regulatory other Federal, State, or local law Flexibility Act also do not apply.12 33 CFR Part 100 enforcement agencies in enforcing this Accordingly, the adjusted thresholds [Docket No. USCG–2020–0260] regulation. will take effect on July 1, 2020. In addition to this notice of Pursuant to the Congressional Review Special Local Regulation; Dutch Shoe enforcement in the Federal Register, the Act (5 U.S.C. 801 et seq.), the Office of Marathon; San Diego, CA Coast Guard will provide the maritime Information and Regulatory Affairs community with advance notification of designated this rule as not a ‘‘major AGENCY: Coast Guard, DHS. this enforcement period via the Local rule,’’ as defined by 5 U.S.C. 804(2). ACTION: Notice of enforcement of Notice to Mariners, Safety Marine regulation. Information Broadcast, and local List of Subjects in 16 CFR Part 436 advertising by the event sponsor. SUMMARY: Advertising, Business and industry, The Coast Guard will enforce If the Captain of the Port Sector San Franchising, Trade practices. the Dutch Shoe Marathon special local Diego or his designated representative For the reasons set out in the regulation on the waters of San Diego determines that the regulated area need preamble, the Federal Trade Bay, California on July 17, 2020. These not be enforced for the full duration Commission amends 16 CFR part 436 as special local regulations are necessary to stated on this document, he or she may follows: provide for the safety of the use a marine information broadcast or participants, crew, spectators, sponsor other communications coordinated with PART 436—DISCLOSURE vessels, and general users of the the event sponsor to grant general REQUIREMENTS AND PROHIBITIONS waterway. During the enforcement permission to enter the regulated area. CONCERNING FRANCHISING period, persons and vessels are prohibited from anchoring, blocking, Dated: June 9, 2020. ■ 1. The authority citation for part 436 loitering, or impeding within this T.J. Barelli, continues to read as follows: regulated area unless authorized by the Captain, U.S. Coast Guard, Captain of the Port San Diego. Authority: 15 U.S.C. 41–58. Captain of the Port, or his designated representative. [FR Doc. 2020–12864 Filed 6–26–20; 8:45 am] § 436.8 [Amended] DATES: The regulations in 33 CFR BILLING CODE 9110–04–P ■ 2. Amend § 436.8 as follows: 100.1101 will be enforced for the Dutch ■ a. In paragraph (a)(1), remove ‘‘$570’’ Shoe Marathon regulated area listed in and, in its place, add ‘‘$615’’; DEPARTMENT OF HOMELAND item 4 in Table 1 to § 100.1101 from SECURITY ■ b. In paragraph (a)(5)(i), remove both noon to 4 p.m. on July 17, 2020. references to ‘‘$1,143,000’’ and, in their FOR FURTHER INFORMATION CONTACT: If Coast Guard place, add ‘‘$1,233,000’’; and you have questions about this notice of enforcement, call or email Lieutenant 33 CFR Part 165 9 The Commission has rounded this figure from $616.50 to $615 to facilitate compliance and for Briana Biagas, Waterways Management, clarity. U.S. Coast Guard Sector San Diego, CA; [Docket Number USCG–2020–0370] 10 See 15 U.S.C. 57a(d)(2)(B); 16 CFR 1.15(b) telephone (619) 278–7656, email (providing that non-substantive amendments to [email protected]. RIN 1625–AA00 trade regulation rules are exempt from the rulemaking procedures of Section 18 of the FTC SUPPLEMENTARY INFORMATION: The Coast Act). Guard will enforce the special local Safety Zone; Fischer Wedding 11 5 U.S.C. 553(b)(B) (providing that ‘‘good cause’’ regulations in 33 CFR 100.1101 Table 1, Fireworks Lake Charlevoix, Boyne exists to forego notice and comment when public Item 4 of that section for the Dutch Shoe City, MI comment is unnecessary). 12 5 U.S.C. 603 and 604 (no regulatory flexibility Marathon in San Diego Bay, CA from AGENCY: Coast Guard, DHS. noon to 4 p.m. on July 17, 2020. This analyses required where the APA does not require ACTION: Temporary final rule. public comment). action is being taken to provide for the

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SUMMARY: The Coast Guard is from the hazards associated with the Charlevoix. Moreover, the Coast Guard establishing a temporary safety zone for fireworks display. would issue a Broadcast Notice to navigable waters within a 420-ft radius Mariners via VHF–FM marine channel III. Legal Authority and Need for Rule of a fireworks display. The safety zone 16 about the zone. is needed to protect personnel, vessels, The Coast Guard is issuing this rule B. Impact on Small Entities and the marine environment from under authority in 46 U.S.C. 70034 potential hazards associated with a (previously 33 U.S.C. 1231). The The Regulatory Flexibility Act of fireworks display. Entry of vessels or Captain of the Port Sault Sainte Marie 1980, 5 U.S.C. 601–612, as amended, persons into this zone is prohibited (COTP) has determined that potential requires Federal agencies to consider unless specifically authorized by the hazards associated with a fireworks the potential impact of regulations on Captain of the Port Sault Sainte Marie. display on July 2, 2020 will be a safety small entities during rulemaking. The DATES: This rule is effective from 10 concern for anyone within a 420-foot term ‘‘small entities’’ comprises small p.m. until 11:59 p.m., July 2, 2020. radius of the navigable waters businesses, not-for-profit organizations ADDRESSES: To view documents surrounding the fireworks launching that are independently owned and mentioned in this preamble as being location. This rule is needed to protect operated and are not dominant in their available in the docket, go to https:// personnel, vessels, and the marine fields, and governmental jurisdictions www.regulations.gov, type USCG–2020– environment in the navigable waters with populations of less than 50,000. 0370 in the ‘‘SEARCH’’ box and click within the safety zone during the The Coast Guard certifies under 5 U.S.C. ‘‘SEARCH.’’ Click on Open Docket fireworks display. 605(b) that this rule will not have a significant economic impact on a Folder on the line associated with this IV. Discussion of the Rule rule. substantial number of small entities. This rule establishes a safety zone While some owners or operators of FOR FURTHER INFORMATION CONTACT: If from 10 p.m. until 11:59 p.m. on July 2, you have questions on this rule, call or vessels intending to transit the safety 2020. The safety zone will cover all email LT Sean V. Murphy, U.S. Coast zone may be small entities, for the navigable waters within 420 feet of a Guard Sector Sault Sainte Marie reasons stated in section V.A above, this fireworks display in Lake Charlevoix Waterways Management, U.S. Coast rule will not have a significant near Boyne City, MI. The duration of the Guard; telephone 906–635–3223, email economic impact on any vessel owner zone is intended to protect personnel, [email protected]. or operator. vessels, and the marine environment in Under section 213(a) of the Small SUPPLEMENTARY INFORMATION: these navigable waters during the Business Regulatory Enforcement I. Table of Abbreviations fireworks display. No vessel or person Fairness Act of 1996 (Pub. L. 104–121), will be permitted to enter the safety we want to assist small entities in CFR Code of Federal Regulations DHS Department of Homeland Security zone without obtaining permission from understanding this rule. If the rule FR Federal Register the COTP or a designated would affect your small business, NPRM Notice of proposed rulemaking representative. organization, or governmental § Section jurisdiction and you have questions V. Regulatory Analyses U.S.C. United States Code concerning its provisions or options for We developed this rule after II. Background Information and compliance, please call or email the considering numerous statutes and Regulatory History person listed in the FOR FURTHER Executive orders related to rulemaking. INFORMATION CONTACT section. The Coast Guard is issuing this Below we summarize our analyses Small businesses may send comments temporary rule without prior notice and based on a number of these statutes and on the actions of Federal employees opportunity to comment pursuant to Executive orders, and we discuss First who enforce, or otherwise determine authority under section 4(a) of the Amendment rights of protestors. compliance with, Federal regulations to Administrative Procedure Act (APA) (5 A. Regulatory Planning and Review the Small Business and Agriculture U.S.C. 553(b)). This provision Regulatory Enforcement Ombudsman authorizes an agency to issue a rule Executive Orders 12866 and 13563 and the Regional Small Business without prior notice and opportunity to direct agencies to assess the costs and Regulatory Fairness Boards. The comment when the agency for good benefits of available regulatory Ombudsman evaluates these actions cause finds that those procedures are alternatives and, if regulation is annually and rates each agency’s ‘‘impracticable, unnecessary, or contrary necessary, to select regulatory responsiveness to small business. If you to the public interest.’’ Under 5 U.S.C. approaches that maximize net benefits. wish to comment on actions by 553(b)(B), the Coast Guard finds that Executive Order 13771 directs agencies employees of the Coast Guard, call 1– good cause exists for not publishing a to control regulatory costs through a 888–REG–FAIR (1–888–734–3247). The notice of proposed rulemaking (NPRM) budgeting process. This rule has not Coast Guard will not retaliate against with respect to this rule because doing been designated a ‘‘significant small entities that question or complain so would be impracticable. This safety regulatory action,’’ under Executive about this rule or any policy or action zone is needed to be established by July Order 12866. Accordingly, this rule has of the Coast Guard. 2, 2020 in order to protect the public not been reviewed by the Office of from the dangers associated with a Management and Budget (OMB), and C. Collection of Information fireworks display. pursuant to OMB guidance it is exempt This rule will not call for a new Under 5 U.S.C. 553(d)(3), the Coast from the requirements of Executive collection of information under the Guard finds that good cause exists for Order 13771. Paperwork Reduction Act of 1995 (44 making this rule effective less than 30 This regulatory action determination U.S.C. 3501–3520). days after publication in the Federal is based on size, location, duration, and Register. Delaying the effective date of time-of-day of the safety zone. Vessel D. Federalism and Indian Tribal this rule would be impracticable traffic will be able to safely transit Governments because action is needed to establish a around this safety zone which would A rule has implications for federalism safety zone in order to protect the public impact a small designated area of Lake under Executive Order 13132,

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Federalism, if it has a substantial direct Protesters are asked to call or email the Dated: June 24, 2020. effect on the States, on the relationship person listed in the FOR FURTHER A.E. Florentino, between the National Government and INFORMATION CONTACT section to Commander, U.S. Coast Guard, Acting the States, or on the distribution of coordinate protest activities so that your Captain of the Port Sault Sainte Marie. power and responsibilities among the message can be received without [FR Doc. 2020–14025 Filed 6–26–20; 8:45 am] various levels of government. We have jeopardizing the safety or security of BILLING CODE 9110–04–P analyzed this rule under that Order and people, places or vessels. have determined that it is consistent List of Subjects in 33 CFR Part 165 with the fundamental federalism FEDERAL COMMUNICATIONS principles and preemption requirements Harbors, Marine safety, Navigation COMMISSION described in Executive Order 13132. (water), Reporting and record keeping Also, this rule does not have tribal requirements, Security measures, 47 CFR Parts 1 and 43 implications under Executive Order Waterways. 13175, Consultation and Coordination [WC Docket No. 11–10 and 19–195, FCC For the reasons discussed in the 19–79; FRS 16815] with Indian Tribal Governments, preamble, the Coast Guard amends 33 because it does not have a substantial CFR part 165 as follows: Establishing the Digital Opportunity direct effect on one or more Indian Data Collection; Modernizing the FCC tribes, on the relationship between the PART 165—REGULATED NAVIGATION Form 477 Data Program Federal Government and Indian tribes, AREAS AND LIMITED ACCESS AREAS or on the distribution of power and AGENCY: Federal Communications responsibilities between the Federal ■ 1. The authority citation for part 165 Commission. Government and Indian tribes. continues to read as follows: ACTION: Final rule; announcement of effective date. E. Unfunded Mandates Reform Act Authority: 46 U.S.C. 70034, 70051; 33 CFR 1.05–1, 6.04–1, 6.04–6, and 160.5; The Unfunded Mandates Reform Act SUMMARY: In this document, the Federal Department of Homeland Security Delegation Communications Commission of 1995 (2 U.S.C. 1531–1538) requires No. 0170.1. Federal agencies to assess the effects of (Commission) announces that the Office their discretionary regulatory actions. In ■ 2. Add § 165.T09–0370 to read as of Management and Budget (OMB) has particular, the Act addresses actions follows: approved, for a period of three years, the information collection requirements that may result in the expenditure by a § 165.T09–0370 Fischer Wedding State, local, or tribal government, in the associated with the Local Telephone Fireworks Lake Charlevoix, Boyne City, MI. Competition and Broadband Reporting, aggregate, or by the private sector of (a) Location. The following area is a $100,000,000 (adjusted for inflation) or Report and Order, FCC Form 477. This safety zone: All navigable water within document is consistent with the Report more in any one year. Though this rule 420 feet of the fireworks launching will not result in such an expenditure, and Order, which stated that the location in position 45°16′35.80″ N, Commission would publish a document we do discuss the effects of this rule 85°06′11.00″ W (NAD 83) elsewhere in this preamble. in the Federal Register announcing (b) Definitions. As used in this OMB approval and the effective date of F. Environment section, designated representative the information collection requirements. We have analyzed this rule under means a Coast Guard Patrol DATES: Paragraphs 44 through 51 of the Department of Homeland Security Commander, including a Coast Guard Report and Order, published at 84 FR Directive 023–01, Rev. 1, associated coxswain, petty officer, or other officer 43705, August 22, 2019, are effective on implementing instructions, and operating a Coast Guard vessel and a June 29, 2020. Environmental Planning COMDTINST Federal, State, and local officer FOR FURTHER INFORMATION CONTACT: For 5090.1 (series), which guide the Coast designated by or assisting the Captain of additional information, contact Cathy Guard in complying with the National the Port Sault Sainte Marie (COTP) in Williams, [email protected], (202) Environmental Policy Act of 1969 (42 the enforcement of the safety zone. 418–2918. U.S.C. 4321–4370f), and have (c) Regulations. (1) In accordance with SUPPLEMENTARY INFORMATION: This determined that this action is one of a the general regulations in § 165.23, entry document announces that, on May 28, category of actions that do not into, transiting, or anchoring within the 2020, OMB approved the information individually or cumulatively have a safety zone described in paragraph (a) is collection requirements contained in the significant effect on the human prohibited unless authorized by the Commission’s Report and Order, FCC environment. This rule involves a safety Captain of the Port, Sault Sainte Marie 19–79, published at 84 FR 43705, zone lasting less than 2 hours that will or his designated representative. August 22, 2019. The OMB Control prohibit entry within 420 feet of a (2) Before a vessel operator may enter Numbers are 3060–0816. The fireworks display in Lake Charlevoix. It or operate within the safety zone, they Commission publishes this document as is categorically excluded from further must obtain permission from the an announcement of the effective date of review under paragraph L[60(a)] of Captain of the Port, Sault Sainte Marie, the information collection requirements. Appendix A, Table 1 of DHS Instruction or his designated representative via VHF Manual 023–01–001–01, Rev. 1. A Channel 16 or telephone at (906) 635– Synopsis Record of Environmental Consideration 3233. Vessel operators given permission As required by the Paperwork supporting this determination is to enter or operate in the safety zone Reduction Act of 1995 (44 U.S.C. 3507), available in the docket. For instructions must comply with all orders given to the FCC is notifying the public that it on locating the docket, see the them by the Captain of the Port, Sault received OMB approval on May 28, ADDRESSES section of this preamble. Sainte Marie or his designated 2020, for the information collection representative. requirements contained in the G. Protest Activities (d) Enforcement period. This section Commission’s rules. The Coast Guard respects the First will be enforced from 10 p.m. through No person shall be subject to any Amendment rights of protesters. 11:59 p.m. on July 2, 2020. penalty for failing to comply with a

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collection of information subject to the 5G–NR (New Radio) technology Federal Communications Commission. Paperwork Reduction Act that does not standards developed by the 3rd Marlene Dortch, display a current, valid OMB Control Generation Partnership Project (3GPP) Secretary, Office of the Secretary. Number. The OMB Control Numbers are with Release 15 and requires providers [FR Doc. 2020–12135 Filed 6–26–20; 8:45 am] 3060–0816. to submit 5G deployment data that meet BILLING CODE 6712–01–P The foregoing notice is required by the specifications of Release 15 (or any the Paperwork Reduction Act of 1995, successor release that may be adopted Public Law 104–13, October 1, 1995, by the Commission’s Bureaus). These DEPARTMENT OF COMMERCE and 44 U.S.C. 3507. changes are necessary because the The total annual reporting burdens deployment data collected on Form 477 National Oceanic and Atmospheric and costs for the respondents are as are no longer sufficient for targeting Administration follows: universal service funds. The actions to OMB Control Number: 3060–0816. 50 CFR Part 648 OMB Approval Date: May 28, 2020. improve the Form 477 data collection OMB Expiration Date: March 31, will also increase the usefulness of the [Docket No. 200623–0167] information to the Commission, 2023. RIN 0648–BJ61 Title: Local Telephone Competition Congress, the industry, and the public. and Broadband Reporting, Report and The Order reduces the burden on Fisheries of the Northeastern United Order, FCC Form 477 (WC Docket No. broadband providers by removing the States; Atlantic Bluefish Fishery; 19–195, WC Docket No. 11–10, FCC 19– requirement that facilities-based Revised 2020 and Projected 2021 79). providers submit separate coverage Specifications and Recreational Form Number: FCC Form 477. maps depicting their broadband Management Measures Respondents: Business or other non- network coverage areas for each AGENCY: profit or for-profit entities; not-for-profit transmission technology and each National Marine Fisheries Service (NMFS), National Oceanic and institutions; and state, local, or tribal frequency band. It also modifies the Atmospheric Administration (NOAA), government. requirement that mobile broadband Number of Respondents: 2,515 Commerce. providers report coverage information respondents, 5,030 responses. for each technology deployed in their ACTION: Final rule. Estimated Time per Response: 348 hours. networks by reducing the number of SUMMARY: NMFS issues revised Frequency of Response: Semi-annual categories from nine to four. The Order specifications and recreational reporting requirement. also eliminates the requirement that management measures for the 2020 Obligation to Respond: Required to facilities-based providers submit a list of Atlantic bluefish fishery and projected obtain or retain benefits. The statutory census tracts in which the provider specifications for fishing year 2021. This authority for this collection of advertises its mobile wireless broadband action is necessary to establish information is contained in 47 U.S.C. service and in which the service is allowable harvest levels and other 4(i), 201, 218–220, 251–252, 271, 303(r), available to actual and potential management measures to prevent 332 and 403 of the Communications Act subscribers. Finally, the Order removes overfishing, consistent with the most of 1934, as amended, and 47 U.S.C. the requirement that fixed providers recent scientific information. This rule 1302. offering business/enterprise/government informs the public of these revised Total Annual Burden: Approximately services to report the maximum fishery specifications and management 1,750,440 hours (for all respondents). downstream and upstream contractual measures for the 2020 fishing year. Total Annual Cost: No cost. or guaranteed data throughput rate DATES: Effective June 29, 2020. Privacy Impact Assessment: No (committed information rate) available ADDRESSES: The Mid-Atlantic Fishery impact(s). in each reported census block. As Nature and Extent of Confidentiality: Management Council prepared an adopted by the Commission, the Order The Commission will no longer treat as environmental assessment (EA) for these required mobile providers to submit confidential service providers’ specifications that describes the action minimum advertised or expected speed broadband and voice subscriber data at and other considered alternatives. The data for mobile broadband services. the census-tract level based on the EA provides an analysis of the Thus, provider-specific coverage data subscriber’s place of primary use for biological, economic, and social impacts will be publicly released for all postpaid subscribers and based on the of the preferred measures and other subsequent Form 477 filings. This subscriber’s telephone number for considered alternatives; a Regulatory action is necessary to ensure that prepaid and resold subscribers. These Impact Review; and economic analysis. consumers can easily use the rules will not become effective as a Copies of these specifications, including information that is disclosed to the result of the Broadband DATA Act the EA, Regulatory Flexibility Act public, including minimum advertised (Broadband Deployment Accuracy and Analyses, and other supporting or expected speed data, because such Technology Availability Act, Public documents for the action are available information is only beneficial if Law 116–130, 134 Stat. 228 (2020) upon request from Dr. Christopher M. Moore, Executive Director, Mid-Atlantic consumers know where service coverage (codified at 47 U.S.C. 641–646)). The Fishery Management Council, Suite 201, is available. Broadband DATA Act directs the 800 N State Street, Dover, DE 19901. Needs and Uses: On August 1, 2019, Commission to ‘‘continue to collect and These documents are also accessible via the Commission adopted a Report and publicly report subscription data that Order, FCC 19–79, in WC Docket Nos. the internet at https://www.mafmc.org/ the Commission collected through the supporting-documents. 19–195 and 11–10. The Order makes Form 477 broadband deployment FOR FURTHER INFORMATION CONTACT: targeted changes to the existing Form service availability process, as in effect Cynthia Ferrio, Fishery Policy Analyst, 477 data collection to reduce reporting on July 1, 2019.’’ 47 U.S.C. 642(b)(6)(B), (978) 281–9180. burdens for all filers and incorporate which became law on March 23, 2020. new technologies. The Order adopts the SUPPLEMENTARY INFORMATION:

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Background of the 2020 fishing year until new comments from the public, and no The Mid-Atlantic Fishery measures could be developed changes were made to the final rule as Management Council and the Atlantic incorporating the results of the a result of those comments (see States Marine Fisheries Commission operational assessment. However, those Comments and Responses for additional jointly manage the Atlantic Bluefish interim specifications are substantially detail). Additional background Fishery Management Plan (FMP). The more liberal than what the best available information regarding the development FMP requires the specification of the science indicates is necessary to of these specifications was provided in acceptable biological catch (ABC), constrain catch and prevent overfishing the proposed rule and is not repeated annual catch limit (ACL), annual catch in 2020. Interim recreational here. management measures were targets (ACT), commercial quota, Final Specifications recreational harvest limit, and other implemented on February 28, 2020 (85 management measures for up to three FR 11863), which reduced the This action implements the final years at a time. This action implements recreational bag limit for the fishery in revised 2020 and projected 2021 specifications and recreational an effort to prevent overfishing in the bluefish catch specifications, as well as management measures for the 2020 early months of the fishing year. This the revised recreational management bluefish fishery, and announces final action is necessary to implement measures to constrain harvest the new projected specifications for 2021. these recreational measures beyond the limits, as outlined in the proposed rule. The most recent 2019 bluefish temporary period of the interim rule These specifications substantially operational assessment incorporated that expires in August 2020. This action reduce both the commercial quota and revised Marine Recreational Information revises the 2020 specifications to reflect recreational harvest limit (RHL) in Program (MRIP) estimates into its the assessment results and project response to the results of the 2019 analyses and reference points, and similar specifications for 2021, as well operational assessment and to prevent determined that the bluefish stock is as implements recreational management overfishing on the overfished bluefish now overfished but not subject to measures to constrain catch to these stock. There is no transfer of quota from overfishing. The Council is developing new limits on a permanent basis. the recreational to commercial sector a rebuilding plan to be implemented for The proposed rule for this action because the recreational fishery is the 2022 fishing year. Interim published in the Federal Register on expected to achieve the full harvest specifications status quo to 2019 were May 11, 2020 (85 FR 27703), and limit. A comparison of the interim 2020 implemented on October 9, 2019 (84 FR comments were accepted through May and the revised 2020–21 specifications 54041) to be in place for the beginning 26, 2020. NMFS received nine is shown below in Table 1.

TABLE 1—COMPARISON OF INTERIM 2020 AND REVISED 2020–21 BLUEFISH SPECIFICATIONS *

Interim 2020 Revised 2020–2021 Percent Million lb Metric tons Million lb Metric tons change

ABC = ACL ...... 21.81 9,895 16.28 7,385 ¥25 Commercial ACT ...... 3.71 1,682 2.77 1,255 ¥25 Recreational ACT ...... 18.11 8,213 13.51 6,130 ¥25 Commercial Total Allowable Landings (TAL) ...... 3.71 1,682 2.77 1,255 ¥25 Recreational TAL ...... 15.62 7,085 9.48 4,301 ¥39 Sector Transfer ...... 4.00 1,814 0.00 0 ¥100 Commercial Quota...... 7.71 3,497 2.77 1,255 ¥64 RHL ...... 11.62 5,271 9.48 4,301 ¥18 * Specifications are derived in metric tons (mt). When values are converted to millions of pounds the numbers may slightly shift due to rounding. The conversion factor used is 1 mt = 2,204.6226 pounds.

Table 2 provides the commercial state and the allocation percentages defined commercial fishery accountability allocations based on the final coastwide in the FMP. No states exceeded their measures are necessary for the 2020 commercial quota for 2020 and 2021, allocated quota in 2019; therefore, no fishing year.

TABLE 2—2020–21 BLUEFISH STATE COMMERCIAL QUOTA ALLOCATIONS

Percent Quota Quota State share (lb) (kg)

Maine ...... 0.67 18,496 8,388 New Hampshire ...... 0.41 11,468 5,201 Massachusetts ...... 6.72 185,838 84,280 Rhode Island ...... 6.81 188,366 85,427 Connecticut ...... 1.27 35,036 15,889 New York ...... 10.39 287,335 130,311 New Jersey ...... 14.82 409,934 185,911 Delaware ...... 1.88 51,966 23,567 Maryland ...... 3.00 83,054 37,666 Virginia ...... 11.88 328,682 149,062 North Carolina ...... 32.06 887,058 402,294 South Carolina ...... 0.04 974 442 Georgia ...... 0.01 263 119

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TABLE 2—2020–21 BLUEFISH STATE COMMERCIAL QUOTA ALLOCATIONS—Continued

Percent Quota Quota State share (lb) (kg)

Florida ...... 10.06 278,332 126,228

Total ...... 100.00 2,766,801 1,254,785

As previously mentioned, changes to recreational catch instead of only a Classification the recreational management measures substantially reduced bag limit. The Pursuant to section 304(b)(1)(A) of the were already made through a temporary Council and Commission explored other Magnuson Stevens Fishery Conservation interim action implemented by NMFS methods to reduce catch, such as size and Management Act (Magnuson- using Magnuson-Stevens Act authority limits or phased reductions, during Stevens Act), the NMFS Administrator, to prevent overfishing (section 305(c)). development of these measures; Greater Atlantic Region, has determined This action permanently implements however, these measures were not that this final rule is necessary for the the change in the daily federal adopted. This action achieves the conservation and management of the recreational bag limit. The 2020 necessary reduction in catch while Atlantic bluefish fishery, and that it is measures reduce the limit from 15 fish having the smallest negative impact on consistent with the Atlantic Bluefish for all anglers to 3 fish per person for all stakeholders coastwide. FMP, other provisions of the Magnuson- private anglers and to 5 fish per person A comment from a fishing Stevens Act, and other applicable laws. for for-hire (charter/party) vessels. All organization in Florida expressed The Assistant Administrator for other federal management measures, concerns about the accuracy of the data Fisheries, NOAA, finds good cause including commercial measures, and under 5 U.S.C. 553(d)(3) to waive the used in the latest assessment, especially recreational season (open all year) and 30-day delay in effective date for this with regards to certain states. This minimum fish size (none), remain rule, to ensure that these final commenter alleged that inaccuracies unchanged. specifications are in place as soon as The Council will review the could be found in both the recreational possible to prevent overfishing in the specifications for fishing year 2021 to and commercial fishery data, and such 2020 fishing year, which began on determine if any changes need to be drastic reductions should not be made January 1, 2020. This action establishes made prior to their final based on an assessment that includes final, revised specifications (i.e., annual implementation. Changes may occur if flawed data. The revised MRIP and catch limits) and recreational daily bag 2020 quota overages trigger commercial data used in the 2019 limits for the 2020 bluefish fishery that accountability measures, or if new stock operational assessment are the best began on January 1. A delay in information results in changes to the scientific data available, and the effectiveness well into the 2020 fishing ABC recommendations. NMFS will appropriate model from which to base year would be contrary to the public publish a notice prior to or early in 2021 these management decisions. MRIP is interest, as it could create confusion in to finalize the projected measures or the only program to provide consistent, both the commercial and recreational announce any necessary changes. comprehensive recreational catch and fishery sectors. Additionally, it could effort data for the entire Atlantic coast compromise the effectiveness of the new Comments and Responses to cover the range of the bluefish specifications to prevent overfishing. The public comment period for the fishery, and the recent revisions This rule is being issued at the earliest proposed rule ended on May 26, 2020, incorporating the Fishing Effort Survey possible date. The proposed rule and and NMFS received nine comments improved the accuracy of the data; public comment period were delayed from the public. Four commenters reducing bias and increasing efficiency. due to the timing of the operational supported this action and encouraged In terms of commercial fishery data and stock assessment and the time necessary restriction in the bluefish fishery, quota allocation, these specifications for the Council and Commission to mentioning that they have noticed a allocate commercial quota based on the develop new specifications based on decline in the available bluefish percentage share determined by this updated information. The proposed resource in recent years. However, one Amendment 1 to the FMP (65 FR 45844; rule published on May 11, 2020, with a of these commenters did note concerns August 25, 2000). Revision of these 15-day comment period ending May 26, about the implications of implementing allocations is being discussed under 2020. A 30-day delay in effectiveness different recreational measures for Bluefish Amendment 7, but this is a would postpone implementation of the private anglers and for-hire vessels, separate action and does not need to be revised specifications and recreational especially when the stock is overfished. addressed with these specifications. bag limit well into the 2020 fishing year NMFS understands these concerns, and and after the start of the recreational The final comment was not these issues are being discussed as part season for most of the coast, which is responsive to the action or bluefish of ongoing agency, Council, and contrary to the public interest. fishery, and as such, it does not warrant Commission recreational reform Furthermore, it is important to initiative, as well as under Amendment a response. No changes were made to implement the lower catch limits as 7 to the FMP and the rebuilding plan, the proposed rule as a result of these soon as possible to minimize the currently in various stages of comments. potential for overfishing. Although development. Changes From the Proposed Rule interim specifications are in place, the Two commenters suggested that this specifications in this rule provide a action’s catch reduction is too drastic NMFS has not made any changes to substantial reduction in catch limits and should be reconsidered, and the proposed regulatory text, and there based on the most recent stock another commenter suggested that a slot are no substantive changes from the assessment, which also determined the limit or size limits be used to restrict proposed rule. bluefish stock to be overfished. Further

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harvest under old catch limits could Management Council (see ADDRESSES). for-hire (party/charter) fishery, 389 harm the resource and subject it to a The preamble to the proposed rule affiliate firms reported revenue from greater risk of overfishing. This could included a detailed summary of the recreational fishing from 2016–2018. All also have further negative impact on analyses contained in the IRFA, and that 389 of those firms are categorized as industry, as overharvest could result in discussion is not repeated here. small businesses based on their 2018 revenues. It is not possible to derive even more restrictive catch limits in the A Summary of the Significant Issues what proportion of the overall revenues near future. Raised by the Public in Response to the Finally, regulated parties do not for these for-hire firms came from IRFA, a Summary of the Agency’s require any additional time to come into fishing activities for an individual Assessment of Such Issues, and a compliance with this rule, and thus, a species. Nevertheless, given the Statement of Any Changes Made in the 30-day delay does not provide any popularity of bluefish as a recreational Final Rule as a Result of Such benefit. species along the Atlantic seaboard, Comments Unlike actions that require an revenues generated from this species are adjustment period to comply with new NMFS did not receive any comments likely somewhat important for many of rules, bluefish fishery participants will in response to the IRFA or regulatory these firms at certain times of the year. not have to purchase new equipment or flexibility analysis (RFA) process. Refer The 3-year average (2016–2018) otherwise expend time or money to to the ‘‘Comments and Responses’’ combined gross receipts (all for-hire comply with these status quo section of this rule’s preamble for more fishing activity combined) for these management measures. Rather, detail on the public comments that were small entities was $52,156,152, ranging complying with this final rule simply received. No changes to the proposed from less than $10,000 for 119 entities means adhering to the catch limits and rule were made as a result of public (lowest value $124) to over $1,000,000 management measures set for the comment. for 8 entities (highest value $2.9 bluefish fishing year. Fishery Description and Estimate of Number of million). stakeholders have also been involved in Small Entities to Which the Rule Would Description of Projected Reporting, the development of this action and are Apply Recordkeeping, and Other Compliance anticipating this rule. Therefore, there Requirements would be no benefit to delaying the This final rule affects small entities implementation of these specifications. engaged in commercial fishing There are no new reporting, For these reasons, NMFS finds that a operations in the Atlantic bluefish recordkeeping, or other compliance 30-day delay in effectiveness would be fishery (those with commercial bluefish requirements are included in this final contrary to the public interest, and permits), and those with Federal party/ rule. charter recreational permits for bluefish. therefore waives the requirement Description of the Steps the Agency Has consistent with 5 U.S.C. 553(d)(3). As a Private recreational anglers are not considered ‘‘entities’’ under the RFA, Taken To Minimize the Significant result, there is good cause to implement Economic Impact on Small Entities this action on June 29, 2020. thus economic impacts on private anglers are not considered here. For the Consistent With the Stated Objectives of This final rule has been determined to Applicable Statutes be not significant for purposes of purposes of the RFA analysis, the Executive Order 12866. ownership entities (or firms), not the Specification of catch limits and This final rule is not an Executive individual vessels, are considered to be management measures is constrained by Order 13771 regulatory action because the regulated entities. Ownership the conservation objectives of the FMP this action is not significant under entities are defined as those entities or and the Magnuson-Stevens Act. This Executive Order 12866. firms with common ownership action revises 2020 catch limits and This final rule does not duplicate, personnel as listed on the permit recreational management measures, and conflict, or overlap with any existing application. Because of this, some projects 2021 specifications for the Federal rules. vessels with bluefish permits may be Atlantic bluefish fishery based on the This action does not contain a considered to be part of the same firm most recent operational stock collection of information requirement because they may have the same assessment and the application of the for the purposes of the Paperwork owners. To identify these small and Council’s Risk Policy to prevent Reduction Act. large firms, vessel ownership data from overfishing. Because the bluefish stock The Council reviewed the regulations the permit database were grouped declared overfished by the most recent for this action and deemed them according to common owners and sorted assessment conducted in 2019 and is at necessary and appropriate to implement by size. In terms of RFA, a business high risk for overfishing, the Council consistent with section 303(c) of the primarily engaged in commercial fishing and the agency are required to take steps Magnuson-Stevens Act. is classified as a small business if it has to protect the stock. NMFS is combined annual receipts not in excess constrained in the specifications process Final Regulatory Flexibility Analysis of $11 million, for all its affiliated in that the agency can approve, A final regulatory flexibility analysis operations worldwide. A business disapprove, partially approve, or in very (FRFA) was prepared pursuant to 5 primarily engaged in for-hire (party/ limited circumstances substitute U.S.C. 604(a), and is included in this charter) fishing is classified as small measures to end overfishing and rebuild final rule. The FRFA incorporates the business if it has combined annual stocks if Council-recommended initial regulatory flexibility analysis receipts not in excess of $8 million. measures will not do so. Because of this, (IRFA), a summary of the significant In the commercial fishery, 735 firms there are limited options to minimize issues raised by the public comments in reported commercial bluefish revenue potential impacts on small entities. response to the IRFA, and NMFS from 2016–2018. According to the Revenues in 2020 and 2021 are responses to those comments, and a vessel ownership database, based on uncertain and will depend not only on summary of the analyses completed to 2018 revenues, 728 of those 735 total the quota, but also on availability of support the action. A public copy of the firms are categorized as small bluefish, market factors (e.g., price of EA containing the IRFA is available businesses, and 7 are categorized as bluefish compared to alternative from the Mid-Atlantic Fishery large businesses. For the recreational species), weather, and other factors.

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This rule decreases the coastwide substantial reduction in the commercial PART 648—FISHERIES OF THE commercial quota by 64 percent, and quota, analyses indicate that coastwide NORTHEASTERN UNITED STATES the recreational harvest limit by 18 bluefish landings have been less than percent. Although these are substantial the approved limit in recent years. It is ■ 1. The authority citation for part 648 reductions, especially for the unlikely that potential revenue losses continues to read as follows: commercial fishery due to the lack of would be directly affected by these Authority: 16 U.S.C. 1801 et seq. quota transfer from the recreational quota reductions. The recreational ■ 2. In § 648.164, sector, commercial bluefish entities are fishery has a relatively smaller unlikely to be substantially negatively ■ a. Lift the suspension on paragraphs reduction to the RHL and loses no quota (a) and (b); impacted. Preliminary reports indicate through a sector transfer. Also, the that the commercial bluefish fishery ■ b. Revise paragraphs (a) and (b); and choice to reduce harvest through only only landed 2.61 million lb (1,185 mt) ■ c. Remove paragraphs (c) and (d). in 2019, which is below the revised bag limit rather than adjusting other The revisions read as follows: commercial quota of 2.77 million lb management measures such as size limit or season enables recreational trips to § 648.164 Bluefish possession (1,255 mt). Therefore, the commercial restrictions. fishery overall is not expected to continue. The choice to allow a higher (a) Recreational possession limits. experience substantial negative impacts bag limit (5 fish) to the for-hire sector Any person fishing from a vessel in the from the quota reduction. However, was also a step taken to lessen any EEZ that is not fishing under a bluefish commercial entities in certain states that negative impact on small entities. commercial permit shall observe the more actively target bluefish may still be Section 212 of the Small Business applicable recreational possession limit. affected as the allocated state quotas Regulatory Enforcement Fairness Act of The owner, operator, and crew of a proportionately decrease. Any quota 1996 states that, for each rule or group charter or party boat issued a bluefish losses should be able to be made up in of related rules for which an agency is commercial permit are not subject to the state-to-state transfers. Compared to the required to prepare a FRFA, the agency recreational possession limit when not average receipts for 2016–2018, the shall publish one or more guides to carrying passengers for hire and when revised 2020–2021 commercial quotas assist small entities in complying with the crew size does not exceed five for a are expected to result in an overall the rule, and shall designate such party boat and three for a charter boat. revenue reduction of 0.38 percent for publications as ‘‘small entity (1) Private recreational vessels. Any small entities. In the recreational fishery (for-hire or compliance guides.’’ The agency shall person fishing from a vessel that is not party/charter entities), impacts to explain the actions a small entity is fishing under a bluefish commercial or entities are more likely to be driven by required to take to comply with a rule charter/party vessel permit issued the change in recreational management or group of rules. As part of this pursuant to § 648.4(a)(8), may land up to measures than the reduction in RHL. In rulemaking process, a letter to permit three bluefish per day. the development of the proposed holders that also serves as small entity (2) For-hire vessels. Anglers fishing measures, a mode-specific bag limit was compliance guide was prepared and onboard a for-hire vessel under a chosen specifically to mitigate the will be sent to all holders of Federal bluefish charter/party vessel permit negative impacts on for-hire entities permits issued for the bluefish fishery. issued pursuant to § 648.4(a)(8), may fishing for bluefish. To achieve the In addition, copies of this final rule and land up to five bluefish per person per required reduction in the RHL, these guide (i.e., permit holder letter) are day. (b) Pooling Catch. Bluefish harvested measures implement a reduction in the available from NMFS at the following by vessels subject to the possession daily recreational bag limit from 15 to website: https://www.fisheries.noaa.gov/ limit with more than one person on 3 fish per person for private anglers and species/bluefish#management. to 5 fish per person for for-hire (charter/ board may be pooled in one or more party) vessels. Because for-hire vessels List of Subjects in 50 CFR Part 648 containers. Compliance with the daily are responsible for less than 5 percent possession limit will be determined by Fisheries, Fishing, Reporting and of overall bluefish recreational catch, dividing the number of bluefish on recordkeeping requirements. but the bag limit can affect demand for board by the number of persons on mixed-catch trips and general business Dated: June 23, 2020. board, other than the captain and the revenues, this action allows the for-hire Samuel D. Rauch III, crew. If there is a violation of the possession limit on board a vessel mode two additional fish per-person Deputy Assistant Administrator for than the initially determined 3-fish bag carrying more than one person, the Regulatory Programs, National Marine violation shall be deemed to have been limit for the entire recreational fishery. Fisheries Service. NMFS does not anticipate significant committed by the owner and operator of economic impacts on small entities as a For the reasons set out in the the vessel. result of implementing the reduced preamble, 50 CFR part 648 is amended [FR Doc. 2020–13867 Filed 6–26–20; 8:45 am] quotas in this action. While there is a as follows: BILLING CODE 3510–22–P

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Proposed Rules Federal Register Vol. 85, No. 125

Monday, June 29, 2020

This section of the FEDERAL REGISTER DC 20591; telephone: (202) 267–8783. comments through the internet at contains notices to the public of the proposed The Order is also available for https://www.regulations.gov. issuance of rules and regulations. The inspection at the National Archives and Commenters wishing the FAA to purpose of these notices is to give interested Records Administration (NARA). For acknowledge receipt of their comments persons an opportunity to participate in the information on the availability of FAA on this action must submit with those rule making prior to the adoption of the final comments a self-addressed, stamped rules. Order 7400.11D at NARA, email: [email protected] or go to https:// postcard on which the following www.archives.gov/federal-register/cfr/ statement is made: ‘‘Comments to FAA DEPARTMENT OF TRANSPORTATION ibr-locations.html. Docket No. FAA–2020–0567; Airspace Docket No. 20–AAL–15.’’ The postcard FOR FURTHER INFORMATION CONTACT: will be date/time stamped and returned Federal Aviation Administration Christopher McMullin, Rules and to the commenter. Regulations Group, Office of Policy, 14 CFR Part 71 All communications received on or Federal Aviation Administration, 800 before the specified comment closing [Docket No. FAA–2020–0567; Airspace Independence Avenue SW, Washington, date will be considered before taking Docket No. 20–AAL–15] DC 20591; telephone: (202) 267–8783. action on the proposed rule. The RIN 2120–AA66 SUPPLEMENTARY INFORMATION: proposal contained in this action may be changed in light of comments Authority for This Rulemaking Proposed Amendment to Federal received. All comments submitted will Airways Amber 15 (A–15), V–444, J– The FAA’s authority to issue rules be available for examination in the 502, and J–511; Alaska regarding aviation safety is found in public docket both before and after the comment closing date. A report AGENCY: Federal Aviation Title 49 of the United States Code. Administration (FAA), DOT. Subtitle I, Section 106 describes the summarizing each substantive public contact with FAA personnel concerned ACTION: authority of the FAA Administrator. Notice of proposed rulemaking with this rulemaking will be filed in the (NPRM). Subtitle VII, Aviation Programs, describes in more detail the scope of the docket. SUMMARY: This action proposes to agency’s authority. This rulemaking is Availability of NPRMs amend Federal airways A–15, V–444, J– promulgated under the authority 502, and J–511 in Alaska. The described in Subtitle VII, Part A, An electronic copy of this document modifications are necessary due to the Subpart I, Section 40103. Under that may be downloaded through the internet at https://www.regulations.gov. decommissioning of the Burwash Non- section, the FAA is charged with Recently published rulemaking Directional Beacon (NDB) in Yukon prescribing regulations to assign the use documents can also be accessed through Territory, Canada, which provided of the airspace necessary to ensure the the FAA’s web page at https:// navigation guidance for portions of the safety of aircraft and the efficient use of www.faa.gov/air_traffic/publications/ affected routes. The Burwash NDB was airspace. This regulation is within the _ scope of that authority as it would airspace amendments/. decommissioned effective March 26, You may review the public docket modify the route structure as necessary 2020 due to ongoing maintenance containing the proposal, any comments to preserve the safe and efficient flow of problems and logistic issues. received and any final disposition in air traffic within the National Airspace DATES: Comments must be received on person in the Dockets Office (see System. or before August 13, 2020. ADDRESSES section for address and ADDRESSES: Send comments on this Comments Invited phone number) between 9:00 a.m. and proposal to the U.S. Department of 5:00 p.m., Monday through Friday, Transportation, Docket Operations, 1200 Interested parties are invited to except federal holidays. An informal New Jersey Avenue SE, West Building participate in this proposed rulemaking docket may also be examined during Ground Floor, Room W12–140, by submitting such written data, views, normal business hours at the office of Washington, DC 20590; telephone: or arguments as they may desire. the Western Service Center, Operations 1(800) 647–5527, or (202) 366–9826. Comments that provide the factual basis Support Group, Federal Aviation You must identify FAA Docket No. supporting the views and suggestions Administration, 2200 South 216th St., FAA–2020–0567; Airspace Docket No. presented are particularly helpful in Des Moines, WA 98198. 20–AAL–15 at the beginning of your developing reasoned regulatory comments. You may also submit decisions on the proposal. Comments Availability and Summary of comments through the internet at are specifically invited on the overall Documents for Incorporation by https://www.regulations.gov. regulatory, aeronautical, economic, Reference FAA Order 7400.11D, Airspace environmental, and energy-related This document proposes to amend Designations and Reporting Points, and aspects of the proposal. FAA Order 7400.11D, Airspace subsequent amendments can be viewed Communications should identify both Designations and Reporting Points, online at https://www.faa.gov/air_ docket numbers (FAA Docket No. FAA– dated August 8, 2019, and effective traffic/publications/. For further 2020–0567; Airspace Docket No. 20– September 15, 2019. FAA Order information, you can contact the Rules AAL–15) and be submitted in triplicate 7400.11D is publicly available as listed and Regulations Group, Federal to the Docket Management Facility (see in the ADDRESSES section of this Aviation Administration, 800 ADDRESSES section for address and document. FAA Order 7400.11D lists Independence Avenue SW, Washington, phone number). You may also submit Class A, B, C, D, and E airspace areas,

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air traffic service routes, and reporting remain as charted. The portion within Procedures’’ prior to any FAA final points. Canada is excluded. regulatory action. Background J–502: J–502 currently extends List of Subjects in 14 CFR Part 71 between Seattle, WA and Kotzebue, AK. Due to the decommissioning of the The FAA proposes to remove the Airspace, Incorporation by reference, Burwash, YT, Canada, NDB it requires segment between the Intersection of Navigation (air). amendment to Federal airways A–15, Sisters Island 311° (M), 331° (T), and The Proposed Amendment V–444, and jet routes J–502 and J–511 Whitehorse 189° (M), 207° (T) radials; In consideration of the foregoing, the to remove associated airway segments. and the Intersection of Northway 120° Federal Aviation Administration Colored Federal airway A–15 is (M), 138° (T), and Gulkana 062° (M), proposes to amend 14 CFR part 71 as currently published from the Ethelda, 079° (T) radials. The unaffected portions follows: BC, Canada, NDB to the Delta Junction, of the existing route would remain as AK, NDB and will require deletion of charted. the segment between the Haines, AK, PART 71—DESIGNATION OF CLASS A, J–511: J–511 currently extends B, C, D, AND E AIRSPACE AREAS; AIR NDB and the Beaver Creek, YT, NDB. between Dillingham, AK and Burwash The requested amended route will stop TRAFFIC SERVICE ROUTES; AND Landing, YT, Canada, NDB. The FAA REPORTING POINTS at the US/Canadian border and resume proposes to remove the segment at Beaver Creek YT, NDB. between Gulkana, AK; and the ■ 1. The authority citation for part 71 Federal airway V–444 navigates from intersection of Gulkana 078° (M), 102° continues to read as follows: Barrow, AK, to the Burwash, YT, NDB, (T) radial; and Northway 137° (M), 161° and the portion of the airway from the Authority: 49 U.S.C. 106(f), 106(g); 40103, (T) radial. The unaffected portions of intersection of Northway 120° (M) 138° 40113, 40120; E.O. 10854, 24 FR 9565, 3 CFR, the existing route would remain as 1959–1963 Comp., p. 389. (T) and Gulkana 062° (M) 079° (T) to the charted. Burwash, YT, NDB will require § 71.1 [Amended] Colored and Alaskan VOR Federal deletion. ■ airways are published in paragraphs 2. The incorporation by reference in Federal airway J–502 currently 14 CFR 71.1 of FAA Order 7400.11D, navigates from Seattle, WA to Kotzebue, 6009 and 6010(b) and Jet routes are published in paragraph 2004, of FAA Airspace Designations and Reporting AK and will require amendment to Points, dated August 8, 2019 and remove the segment from an Order 7400.11D dated August 8, 2019, and effective September 15, 2019, which effective September 15, 2019, is intersection at the US/Canadian border amended as follows: north of the Sister Island, AK, VORTAC is incorporated by reference in 14 CFR to an intersection at the US/Canadian part 71.1. The Federal airways listed in Paragraph 6009 Colored Federal Airways border southeast of Northway, AK, this document will be subsequently * * * * * published in the Order. VORTAC. A–15 [Amended] Federal airway J–511 currently FAA Order 7400.11, Airspace From Ethelda, BC, Canada, NDB; Nichols, navigates from Dillingham, AK, to Designations and Reporting Points, is published yearly and effective on AK, NDB; Sumner Strait, AK, NDB; Coghlan Burwash Landing, YT. The segment of Island, AK, NDB; Haines, AK, NDB; the route between Burwash Landing, September 15. Intersection of Sisters Island 311° (M), 331° ° ° YT, Canada and the intersection of Regulatory Notices and Analyses (T), and Whitehorse 189 (M), 207 (T) Gulkana 078° radial; and Northway 137° radials; and then; Beaver Creek, YT, Canada, will require deletion. The airway will The FAA has determined that this NDB; Nabesna, AK, NDB; to Delta Junction, terminate at the US/Canadian boundary. proposed regulation only involves an AK, NDB. The airspace within Canada is established body of technical excluded. The Proposal regulations for which frequent and * * * * * The FAA is proposing an amendment routine amendments are necessary to Paragraph 6010(b) Alaskan VOR Federal to Title 14 Code of Federal Regulations keep them operationally current. It, Airways. (14 CFR) part 71 to amend Federal therefore: (1) Is not a ‘‘significant * * * * * airways A–15, V–444, J–502, and J–511 regulatory action’’ under Executive The proposed Federal airway actions are Order 12866; (2) is not a ‘‘significant V–444 [Amended] described below. rule’’ under Department of From Barrow, AK, Evansville, AK, NDB; A–15: A–15 currently extends Transportation (DOT) Regulatory Bettles, AK; Fairbanks, AK; Big Delta, AK; Northway, AK; intersection of the Northway between the Ethelda, BC, Canada, NDB Policies and Procedures (44 FR 11034; ° ° ° and the Delta Junction, AK, NDB. This February 26, 1979); and (3) does not 120 (M), 138 (T), and Gulkana 062 (M), 079° (T) radials. action proposes to remove the segment warrant preparation of a regulatory between the Intersection of Sisters evaluation as the anticipated impact is * * * * * Island 311° (M), 331° (T), and so minimal. Since this is a routine Paragraph 2004 Jet Routes. Whitehorse 189° (M), 207° (T) radials matter that will only affect air traffic * * * * * and Beaver Creek, YT, NDB. The procedures and air navigation, it is unaffected portions of the existing route certified that this proposed rule, when J–502 [Amended] would remain as charted. promulgated, will not have a significant From Seattle, WA; via Victoria, BC, V–444: V–444 currently extends economic impact on a substantial Canada; Port Hardy, BC, Canada; Annette between the Barrow, AK, NDB and the number of small entities under the Island, AK; Level Island, AK; Sisters Island, AK; Intersection of Sisters Island 311° (M), Burwash, YT, NDB. This action criteria of the Regulatory Flexibility Act. 331° (T), and Whitehorse 189° (M), 207° (T) proposes to remove the segment Environmental Review radials. From the Intersection of Northway between the intersection of the 120° (M), 138° (T), and Gulkana 062° (M), Northway 120° (M), 138 ° (T), and This proposal will be subject to an 079° (T) radials; Northway, AK; Fairbanks, Gulkana 062° (M), 079° (T) and environmental analysis in accordance AK; to Kotzebue, AK, excluding the airspace Burwash, YT, NDB. The unaffected with FAA Order 1050.1F, within Canada. portions of the existing route would ‘‘Environmental Impacts: Policies and * * * * *

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J–511 [Amended] Postal Mail, Commercial Delivery, or provide an appropriate accommodation From Dillingham, AK; via INT Dillingham Hand Delivery: If you mail or deliver or auxiliary aid to an individual with a 059° and Anchorage, AK 247° radials, to your comments about the proposed disability who needs assistance to Anchorage, AK; Gulkana, AK; to Intersection priorities, requirements, definitions, and review the comments or other of Gulkana 078° (M), 102° (T) radial; and selection criteria, address them to documents in the public rulemaking ° ° Northway 137 (M), 161 (T) radial. Adrienne Hawkins, U.S. Department of record for the proposed priorities, * * * * * Education, 400 Maryland Avenue SW, requirements, definitions, and selection Issued in Washington, DC, on June 22, Room 4W220, Washington, DC 20202. criteria. If you want to schedule an 2020. Privacy Note: The Department of appointment for this type of Scott M. Rosenbloom, Education’s (Department) policy is to accommodation or auxiliary aid, please FOR Acting Manager, Rules and Regulations make all comments received from contact the person listed under Group. members of the public available for FURTHER INFORMATION CONTACT. Purpose of Program: The PN program [FR Doc. 2020–13807 Filed 6–26–20; 8:45 am] public viewing in their entirety on the Federal eRulemaking Portal at is authorized under the Elementary and BILLING CODE 4910–13–P www.regulations.gov. Therefore, Secondary Education Act of 1965, as commenters should be careful to amended by the Every Student Succeeds include in their comments only Act (ESEA). The purpose of the PN DEPARTMENT OF EDUCATION information that they wish to make program is to significantly improve the academic and developmental outcomes 34 CFR Chapter II publicly available. FOR FURTHER INFORMATION CONTACT: of children living in the most distressed [Docket ID ED–2020–OESE–0037] Adrienne Hawkins, U.S. Department of communities of the United States, including ensuring school readiness, Proposed Priorities, Requirements, Education, 400 Maryland Avenue SW, Room 4W220, Washington, DC 20202. high school graduation, and access to a Definitions, and Selection Criteria— community-based continuum of high- Promise Neighborhoods (PN) Program Telephone: (202) 453–5638. Email: [email protected]. quality services. The program serves AGENCY: Office of Elementary and If you use a telecommunications neighborhoods with high concentrations Secondary Education, Department of device for the deaf (TDD) or a text of low-income individuals; multiple Education. telephone (TTY), call the Federal Relay signs of distress, which may include high rates of poverty, childhood obesity, ACTION: Proposed priorities, Service (FRS), toll free, at 1–800–877– 8339. academic failure, and juvenile requirements, definitions, and selection delinquency, adjudication, or criteria. SUPPLEMENTARY INFORMATION: incarceration; and schools Invitation to Comment: We invite you SUMMARY: implementing comprehensive support The Assistant Secretary for to submit comments regarding these Elementary and Secondary Education and improvement activities or targeted proposed priorities, requirements, support and improvement activities proposes priorities, requirements, definitions, and selection criteria. To definitions, and selection criteria under under section 1111(d) of the ESEA. All ensure that your comments have strategies in the continuum of solutions the PN program, Catalog of Federal maximum effect in developing the Domestic Assistance (CFDA) number must be accessible to children with notice of final priorities, requirements, disabilities and English learners. 84.215N. The Assistant Secretary may definitions, and selection criteria, we use these priorities, requirements, Program Authority: 20 U.S.C. 7273– urge you to identify clearly the specific 7274. definitions, and selection criteria for proposed priority, requirement, competitions in fiscal year (FY) 2020 definition, or selection criterion that Proposed Priorities and later years. We take this action to each comment addresses. This document contains four make program improvements based on We invite you to assist us in proposed priorities. lessons learned over the last decade and complying with the specific Background: Beginning in 2010, and to improve program outcomes. requirements of Executive Orders in the FY 2017 competition, the PN DATES: We must receive your comments 12866, 13563, and 13371 and their program used absolute priorities for on or before July 29, 2020. overall requirement of reducing rural, Tribal, and non-rural, non-Tribal ADDRESSES: Submit your comments regulatory burden that might result from applicants to create three different through the Federal eRulemaking Portal these proposed priorities, requirements, funding slates. Multiple funding slates or via postal mail, commercial delivery, definitions, and selection criteria. Please created a level playing field for different or hand delivery. We will not accept let us know of any further ways we applicants by allowing applicants with comments submitted by fax or by email could reduce potential costs or increase similar challenges and circumstances to or those submitted after the comment potential benefits while preserving the compete against one another. The three period. To ensure that we do not receive effective and efficient administration of absolute priorities resulted in a mix of duplicate copies, please submit your the program. rural, Tribal, and non-rural, non-Tribal comments only once. In addition, please During and after the comment period, grantees. Over the years, the PN include the Docket ID at the top of your you may inspect all public comments program has awarded 54 grants to urban comments. about these proposed priorities, communities, 13 grants to rural Federal eRulemaking Portal: Go to requirements, definitions, and selection communities, and 6 grants to Tribal www.regulations.gov to submit your criteria at 400 Maryland Avenue SW, communities. Without multiple slates comments electronically. Information Washington, DC 20202 between the there would have been much fewer rural on using Regulations.gov, including hours of 8:30 a.m. and 4:00 p.m., and Tribal grants. Therefore, in this instructions for accessing agency Eastern Time, Monday through Friday document the Department proposes to documents, submitting comments, and of each week except Federal holidays. establish priorities for non-rural, non- viewing the docket is available on the Assistance to Individuals With Tribal and for Tribal communities under site under ‘‘How to use Disabilities in Reviewing the Proposed Priorities 1 and 2. The Regulations.gov’’ in the Help section. Rulemaking Record: On request, we will Secretary’s Administrative Priorities (85

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FR 13640), which are available for use the community level; and (3) provide, in grants to organizations partnering with in the PN program, already include a its application, a memorandum of a Byrne Criminal Justice Innovation priority for rural applicants. In future understanding between it and the grantee. These grantees have yielded competitions, separate slates will be partner organization responsible for results that have improved school safety utilized to determine rural, Tribal, and managing the effort. The memorandum and chronic absenteeism in their non-rural, non-Tribal grantees.) of understanding must indicate a communities. In 2018, the DOJ renamed Proposed Priority 1—Non-Rural and commitment on the part of the applicant the Byrne Criminal Justice Innovation Non-Tribal Communities. to coordinate implementation and align program to the Innovations in To meet this priority, an applicant resources to the greatest extent Community-Based Crime Reduction must propose to implement a PN practicable. Program. Additionally, DOJ continues to strategy that serves one or more non- Proposed Priority 4—Evidence-Based implement the Formerly Incarcerated rural or non-Tribal communities. Activities to Support Academic Reenter Society Transformed Safely Proposed Priority 2—Tribal Achievement. Transitioning Every Person (FIRST Communities. Background: Over the last 10 years, STEP) initiative to support the re-entry To meet this priority, an applicant PN grantees attempted to significantly of formerly incarcerated individuals must propose to implement a PN improve the academic achievement of into their communities. This proposed strategy that serves one or more Indian children served by providing supports priority would allow us to support the Tribes (as defined in this notice). external to classroom instruction. While connection of these important Proposed Priority 3—Community- most grantees achieved some success in community-based public safety Level Opioid Abuse Prevention Efforts. improving the academic achievement of initiatives to PN communities by Background: In 2017, in response to students in the neighborhoods served, aligning education and public safety the opioid crisis 1 plaguing many other grantees experienced challenges efforts. communities across the country, the due to external factors such as change Proposed Priority 5: Department created a priority for of school administration, housing To meet this priority, an applicant applicants that proposed to leverage affordability, family mobility, and must: (1) Demonstrate how it will other Federal resources available to fight school or neighborhood safety issues. partner with an organization that opioid addiction. The Department Although our grantees attempt to conducts high-quality activities focused awarded competitive preference points resolve these issues through on the re-entry of formerly incarcerated to applicants that demonstrated receipt partnerships, these issues take time to individuals or on community-based of a Drug Free Communities (DFC) resolve individually and collectively. crime reduction activities, such as an Support Program Grant from the Office Grantees with success in supporting organization supported by a U.S. of National Drug Policy to prevent students’ successful transition to the Department of Justice (DOJ), Innovations opioid abuse (as one of its areas of next grade level, and completion of in Community-Based Crime Reduction focus) or a partnership with a DFC postsecondary education attributed the Program grant, a grant authorized under grantee as demonstrated by a success to providing evidence-based the Second Chance Act, as reauthorized memorandum of understanding. Of the instructional and comprehensive service under the. Formerly Incarcerated 80 applications received in the 2017 strategies. Reenter Society Transformed Safely competition, 40 applicants addressed Proposed Priority 4: Transitioning Every Person (FIRST this priority as a need in their Projects that propose to use evidence- STEP) Act, or DOJ Office of Justice communities and all applicants who based (as defined in 34 CFR 77.1(c)) Programs competitive grants related to received awards in 2017 addressed this activities, strategies, or interventions juvenile justice and delinquency priority. Funded grantees have that support teaching practices that will prevention; (2) describe the partner leveraged these resources to provide lead to increasing student achievement organization’s record of success with direct support to families devastated by (as defined in this notice), graduation supporting the re-entry of formerly the opioid crisis through mental health rates, and career readiness. incarcerated individuals or community- Proposed Priority 5—Community- support and drug prevention resources based crime reduction and how their Based Crime Reduction Efforts. in schools where children are affected efforts will be coordinated with the PN Background: In 2011, the Department by this epidemic. Through Proposed activities of this grant; and (3) provide, responded to challenges many Priority 3, the Department seeks to in its application, a memorandum of neighborhoods were facing with crime— continue to address the opioid crisis in understanding between it and a partner and specifically its effects on school PN communities while also expanding organization managing the effort. The safety, chronic absenteeism, and the eligibility pool beyond projects memorandum of understanding must juvenile delinquency—by establishing a supported with Federal resources. indicate a commitment on the part of priority for the PN program focused on Proposed Priority 3: the applicant to coordinate crime reduction. Through ongoing To meet this priority, an applicant implementation and align resources to collaboration with the Department of must: (1) Demonstrate how it will the greatest extent practicable. Justice (DOJ), the Department provided partner with an organization that supplemental funding to organizations Types of Priorities conducts high-quality, community-level with PN and Byrne Criminal Justice activities to prevent opioid abuse, such When inviting applications for a Innovation grants to further enhance as an organization supported by an competition using one or more community-based crime prevention Office of National Drug Control Policy, priorities, we designate the type of each efforts. In 2017, recognizing these efforts DFC Support Program grant, in PN priority as absolute, competitive could be expanded to the pool of communities; (2) describe the partner preference, or invitational through a applicants through the PN competition, organization’s record of success in notice in the Federal Register. The the Department established a approaching opioid abuse prevention at effect of each type of priority follows: competitive preference priority to Absolute priority: Under an absolute priority, we consider only applications 1 ‘‘STATCAST—Week of September 9, 2019.’’ encourage ongoing collaboration STATCAST, 2019, www.cdc.gov/nchs/pressroom/ between education and public safety that meet the priority (34 CFR podcasts/20190911/20190911.htm. efforts. Ultimately, we awarded two new 75.105(c)(3)).

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Competitive preference priority: preexisting presence, as demonstrated this notice), including an explanation of Under a competitive preference priority, by the applicant’s past history providing the process the applicant will use to we give competitive preference to an programs and services, in the establish and maintain family and application by (1) awarding additional neighborhood to be served and is community engagement. points, depending on the extent to representative of that neighborhood; and Proposed Definitions which the application meets the priority (4) ensure that an applicant will design (34 CFR 75.105(c)(2)(i)); or (2) selecting its project to prepare and empower The Assistant Secretary proposes the an application that meets the priority families to be active in choosing the following definitions for this program. over an application of comparable merit educational and other supports that best We may apply one or more of these that does not meet the priority (34 CFR meet the needs of students in the definitions in any year in which this 75.105(c)(2)(ii)). community. We believe the proposed program is in effect. Invitational priority: Under an requirements would not only improve Background: To ensure a common invitational priority, we are particularly the application and review process but understanding of the proposed interested in applications that meet the also improve program outcomes. priorities, requirements, and selection priority. However, we do not give an Proposed Application Requirements criteria, we propose definitions that are application that meets the priority a critical to the statutory and policy preference over other applications (34 The Assistant Secretary proposes the purposes of the PN program. We CFR 75.105(c)(1)). following application requirements for propose these definitions in order to this program. We may apply one or Proposed Requirements clarify expectations for applicants for more of these requirements in any year PN program grants and to ensure that Background: The Assistant Secretary in which this program is in effect. the review process for applications for proposes application requirements to be Proposed Application Requirements: PN grants remains as transparent as used in conjunction with those in To be considered for an award under possible. section 4624(a) of the ESEA. In general, this competition, an applicant must the Department believes, based on past provide the following— Proposed Definitions experiences administering this program, (1) In addressing the application Family navigation system means a that these proposed requirements are requirements in sections 4624(a)(4),(5), service delivery model that includes necessary for the proper consideration and (7) of the ESEA, an applicant must coordinators who teach, mentor, and of applications and would increase the clearly demonstrate needs, including, a collaborate with students and their likelihood of successful projects. segmentation analysis, gaps in services, families, as well as community Through the years, the program has and any available data from within the members, to choose interventions, pushed the field to embrace data-driven last 3 years to demonstrate needs. The treatments, or solutions provided by the efforts to improve outcomes from cradle applicant should also describe proposed grantee and that best meet the needs of to career at the population level. Key activities that address these needs and students and their families. Students elements proposed in this document the extent to which these activities are and their families can select services would help us to further target PN funds evidence-based (as defined in 34 CFR and supports based on available services on interventions in school, college, and 77.1(c). The applicant should also and individual needs, as well as career settings. describe their, or partner organizations In addition, through proposed advocate for additional services. if applicable, experience providing Graduation rate means the four-year enhanced application requirements the these activities including any data program seeks to better support adjusted cohort graduation rate or demonstrating effectiveness. extended-year adjusted cohort applicants and grantees to report high- (2) In addressing the requirement in graduation rate as defined in section quality site-level data. PN grantees have section 4624(a)(6) of the ESEA, an 8101(25) and (23) of the ESEA. improved significantly in this area over applicant must provide a description of Indian Tribe means an Indian Tribe or the past several years through our the process used to develop the Tribal Organization as defined in technical assistance efforts, and we application, which must include the section 4 of the Indian Self- believe that the proposed application involvement of an LEA(s) (including but determination Act (25 U.S. 450b). requirements would further support the not limited to the LEA’s or LEAs’ Department’s and grantees’ ability to involvement in the creation and Indicators of need means currently make data-informed decisions. The planning of the application and a signed available data that describe— program seeks to clarify and enhance Memorandum of Understanding) and at (a) Education need, which means— the statutory definitions and selection least one public elementary or (1) All or a portion of the criteria to coincide with improvements secondary school that is located within neighborhood includes or is within the to the overall purpose and structure of the identified geographic area that the attendance zone of a low-performing the PN program. grant will serve. school that is a high school, especially The proposed application (3) An applicant must demonstrate one in which the graduation rate (as requirements are intended to: (1) Assist that its proposed project— defined in this notice) is less than 60 applicants with clearly demonstrating (a) Is representative of the geographic percent or a school that can be the need for the project and proposed area proposed to be served (as defined characterized as low-performing based solutions (activities, strategies, and in this notice); and on another proxy indicator, such as interventions) specific to the (b) Would provide a majority of the students’ on-time progression from neighborhood’s need; (2) acknowledge solutions from the applicant’s proposed grade to grade; and the critical role and direct, ongoing pipeline services in the geographic area (2) Other indicators, such as involvement that local educational proposed to be served. significant achievement gaps between agencies (LEAs) and schools should (4) In addressing the requirement in subgroups of students (as identified in have in identifying and implementing section 4624(a)(9) of the ESEA, an section 1111(b)(2)(B)(xi) of the ESEA), solutions, especially those specific to applicant must describe the process it within a school or LEA, high teacher improving academic outcomes; (3) will use to establish and maintain a and principal turnover, or high student ensure that an applicant has a family navigation system (as defined in absenteeism; and

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(b) Family and community support described in paragraph (b) of this Proposed Selection Criteria need, which means— definition, provided they are rigorous The Assistant Secretary proposes the (1) Percentages of children with and comparable across classrooms and following selection criteria for preventable chronic health conditions programs; and evaluating an application under this (e.g., asthma, poor nutrition, dental (b) For non-tested grades and subjects, program. We may apply one or more of problems, obesity) or avoidable alternative measures of student learning these criteria in any year in which this developmental delays; and performance, such as student scores program is in effect. (2) Immunization rates; (a) Need for project. In determining (3) Rates of crime, including violent on pre-tests and end-of-course tests; the need for the proposed project, the crime; student performance on English (4) Student mobility rates; language proficiency assessments; and Secretary considers one or more of the (5) Teenage birth rates; other measures of student achievement following factors— (6) Percentage of children in single that are rigorous and comparable across (1) The magnitude or severity of the parent or no-parent families; classrooms. problems to be addressed by the (7) Rates of vacant or substandard Student mobility rate is calculated by proposed project as described by homes, including distressed public and dividing the total number of new indicators of need and other relevant indicators identified in part by the assisted housing; or student entries and withdrawals at a needs assessment and segmentation (8) Percentage of the residents living school, from the day after the first analysis; and at or below the Federal poverty official enrollment number is collected (2) The extent to which specific gaps threshold. through the end of the academic year, or weaknesses in services, Regular high school diploma has the by the first official enrollment number infrastructure, or opportunities have meaning set out in section 8101(43) of of the academic year. the ESEA. been identified and will be addressed by Representative of the geographic area Proposed Selection Criteria the proposed project, including— proposed to be served means that (i) The nature and magnitude of those residents of the geographic area Background: The Department has gaps or weaknesses; and proposed to be served have an active held six PN competitions since 2010. (ii) A pipeline of solutions addressing role in decision-making and that at least Our experience with administering the identified gaps and weaknesses, one-third of the applicant’s governing these competitions, including feedback including solutions targeted to early board or advisory board is made up of— from peer reviewers, applicants, funded childhood, K–12, family and (a) Residents who live in the grantees, and experts, demonstrates the community supports, and college and geographic area proposed to be served, need to use program-specific selection career. which may include residents who are criteria to evaluate specific program (b) Quality of project design. In representative of the ethnic and racial elements. We propose to modify two determining the quality of project composition of the neighborhood’s general Education Department General design for the proposed project, the residents and the languages they speak; Administrative Regulations selection Secretary considers one or more of the (b) Residents of the city or county in criteria—Need for Project and Quality of following factors— which the neighborhood is located but Project Design—to encourage applicants (1) The extent to which the applicant who live outside the geographic area to fully address gaps and weaknesses in describes a plan to create a complete proposed to be served, and who earn the full pipeline of solutions from cradle pipeline of services, without time and less than 80 percent of the area’s median through college and a career. resource gaps, that is designed to income as published by the U.S. Under Need for Project, the prepare all children in the Department of Housing and Urban Department proposes to add a program- neighborhood to attain a high-quality Development; specific emphasis on the applicant’s education and successfully transition to (c) Public officials who serve the proposed pipeline of solutions. The college and a career; geographic area proposed to be served Department recognized in past grant (2) The extent to which the project (although not more than one-half of the competitions that applicants were not will significantly increase the governing board or advisory board may connecting the identified gaps and proportion of students in the be made up of public officials); or weaknesses to the full pipeline of neighborhood that are served by the (d) Some combination of individuals solutions. The Department considers it complete continuum of high-quality from the three groups listed in important for applicants to address and services; and paragraphs (a), (b), and (c) of this align the needs identified with the full (3) The extent to which the proposed definition. pipeline of solutions. family navigation system is high quality Segmentation analysis means the and provides students and their families process of grouping and analyzing data Also, under Quality of Project Design, sufficient services and supports based from children and families in the the Department proposes to encourage on available services and individual geographic area proposed to be served applicants to discuss college or career needs. according to indicators of need or other and technical education training completion in addition to college and Final Priorities, Requirements, relevant indicators to allow grantees to Definitions, and Selection Criteria differentiate and more effectively target career readiness. Over the years, the interventions based on the needs of Department has noticed that many We will announce the final priorities, different populations in the geographic applicants and funded grantees tend to requirements, definitions, and selection area. end services prior to students in the criteria in the Federal Register. We will Student achievement means— community entering college or the determine the final priorities, (a) For tested grades and subjects— workforce. The Department deems it requirements, definitions, and selection (1) A student’s score on the State’s important to ensure that services and criteria after considering responses to assessments under the ESEA; and supports are offered to program the proposed priorities, requirements, (2) As appropriate, other measures of participants beyond high school definitions, and selection criteria and student learning, such as those completion. other information available to the

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Department. This document does not explicitly reaffirms the principles, requirements and those we have preclude us from proposing additional structures, and definitions governing determined as necessary for priorities, requirements, definitions, and regulatory review established in administering the Department’s selection criteria, subject to meeting Executive Order 12866. To the extent programs and activities. The benefits applicable rulemaking requirements. permitted by law, Executive Order include enhancing project design and Note: This notice does not solicit 13563 requires that an agency— quality of services to better prepare applications. In any year in which we (1) Propose or adopt regulations only grantees to meet the objectives of the choose to use these priorities, upon a reasoned determination that programs. requirements, definitions, and selection their benefits justify their costs Clarity of the Regulations criteria, we invite applications through (recognizing that some benefits and a notice in the Federal Register. costs are difficult to quantify); Executive Order 12866 and the (2) Tailor its regulations to impose the Presidential memorandum ‘‘Plain Executive Orders 12866, 13563, and least burden on society, consistent with Language in Government Writing’’ 13771 obtaining regulatory objectives and require each agency to write regulations Regulatory Impact Analysis taking into account—among other things that are easy to understand. and to the extent practicable—the costs The Secretary invites comments on Under Executive Order 12866, it must of cumulative regulations; how to make the proposed priorities, be determined whether this regulatory (3) In choosing among alternative requirements, definitions, and selection action is ‘‘significant’’ and, therefore, regulatory approaches, select those criteria easier to understand, including subject to the requirements of the approaches that maximize net benefits answers to questions such as the Executive order and subject to review by (including potential economic, following: the Office of Management and Budget environmental, public health and safety, • Are the requirements in the (OMB). Section 3(f) of Executive Order and other advantages; distributive proposed regulations clearly stated? 12866 defines a ‘‘significant regulatory impacts; and equity); • Do the proposed regulations contain action’’ as an action likely to result in (4) To the extent feasible, specify technical terms or other wording that a rule that may— performance objectives, rather than the interferes with their clarity? (1) Have an annual effect on the behavior or manner of compliance a • Does the format of the proposed economy of $100 million or more, or regulated entity must adopt; and regulations (grouping and order of adversely affect a sector of the economy, (5) Identify and assess available sections, use of headings, paragraphing, productivity, competition, jobs, the alternatives to direct regulation, etc.) aid or reduce their clarity? environment, public health or safety, or including economic incentives—such as • Would the proposed regulations be State, local, or Tribal governments or user fees or marketable permits—to easier to understand if we divided them communities in a material way (also encourage the desired behavior, or into more (but shorter) sections? referred to as an ‘‘economically provide information that enables the • Could the description of the significant’’ rule); public to make choices. proposed regulations in the (2) Create serious inconsistency or Executive Order 13563 also requires SUPPLEMENTARY INFORMATION section of otherwise interfere with an action taken an agency ‘‘to use the best available this preamble be more helpful in or planned by another agency; techniques to quantify anticipated making the proposed regulations easier (3) Materially alter the budgetary present and future benefits and costs as to understand? If so, how? impacts of entitlement grants, user fees, accurately as possible.’’ The Office of • What else could we do to make the or loan programs or the rights and Information and Regulatory Affairs of proposed regulations easier to obligations of recipients thereof; or OMB has emphasized that these understand? (4) Raise novel legal or policy issues techniques may include ‘‘identifying Regulatory Flexibility Act Certification arising out of legal mandates, the changing future compliance costs that President’s priorities, or the principles might result from technological The Secretary certifies that this stated in the Executive order. innovation or anticipated behavioral proposed regulatory action would not This proposed regulatory action is not changes.’’ have a significant economic impact on a significant regulatory action subject to We are issuing the proposed a substantial number of small entities. review by OMB under section 3(f) of priorities, requirements, definitions, and The U.S. Small Business Administration Executive Order 12866. selection criteria only on a reasoned Size Standards define ‘‘small entities’’ Under Executive Order 13771, for determination that their benefits justify as for-profit or nonprofit institutions each new regulation that the their costs. In choosing among with total annual revenue below Department proposes for notice and alternative regulatory approaches, we $7,000,000 or, if they are institutions comment or otherwise promulgates that selected those approaches that would controlled by small governmental is a significant regulatory action under maximize net benefits. The Department jurisdictions (that are comprised of Executive Order 12866, and that believes that this regulatory action is cities, counties, towns, townships, imposes total costs greater than zero, it consistent with the principles in villages, school districts, or special must identify two deregulatory actions. Executive Order 13563. districts), with a population of less than For FY 2020, any new incremental costs We also have determined that this 50,000. associated with a new regulation must regulatory action would not unduly The small entities that this proposed be fully offset by the elimination of interfere with State, local, and Tribal regulatory action would affect are State existing costs through deregulatory governments in the exercise of their educational agencies; LEAs, including actions. Because the proposed governmental functions. charter schools that operate as LEAs regulations are not a significant In accordance with both Executive under State law; institutions of higher regulatory action, the requirements of orders, the Department has assessed the education; other public agencies; private Executive Order 13771 do not apply. potential costs and benefits, both nonprofit organizations; freely We have also reviewed this proposed quantitative and qualitative, of this associated States and outlying areas; regulatory action under Executive Order regulatory action. The potential costs Indian Tribes or Tribal organizations; 13563, which supplements and are those resulting from statutory and for-profit organizations. We believe

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that the costs imposed on an applicant strengthened federalism. The Executive SUMMARY: The Copyright Office is by the proposed priorities, order relies on processes developed by issuing a revised proposed rule to make requirements, definitions, and selection State and local governments for electronic-only books published in the criteria would be limited to paperwork coordination and review of proposed United States subject to the Copyright burden related to preparing an Federal financial assistance. Act’s mandatory deposit provisions if application and that the benefits of the This document provides early they are affirmatively demanded by the proposed priorities, requirements, notification of our specific plans and Office. In response to comments definitions, and selection criteria would actions for this program. received in response to the Office’s outweigh any costs incurred by the Assessment of Educational Impact April 16, 2018 Notice of Proposed applicant. Rulemaking, the revised proposed rule Participation in the PN program is In accordance with section 411 of makes additional clarifying edits to the voluntary. For this reason, the proposed General Education Provisions Act, 20 definition of an ‘‘electronic-only book’’ priorities, requirements, definitions, and U.S.C. 1221e–4, the Secretary and adjusts the requirements related to selection criteria would impose no particularly requests comments on employment of technological protection burden on small entities unless they whether the proposed regulations would measures. This document also updates applied for funding under the program. require transmission of information that the public on developments We expect that in determining whether any other agency or authority of the subsequently announced by the Library to apply for PN program funds, an United States gathers or makes of Congress related to certain questions applicant would evaluate the available. raised in public comments with respect requirements of preparing an Accessible Format: Individuals with to its digital collection strategy and application and any associated costs, disabilities can obtain this document in information technology security matters. and weigh them against the benefits an accessible format (e.g., braille, large DATES: Written comments must be likely to be achieved by receiving a PN print, audiotape, or compact disc) on received no later than 11:59 p.m. program grant. An applicant would request to the program contact person Eastern Time on July 29, 2020. listed under FOR FURTHER INFORMATION probably apply only if it determines that ADDRESSES: For reasons of government the likely benefits exceed the costs of CONTACT. Electronic Access to This Document: efficiency, the Copyright Office is using preparing an application. the regulations.gov system for the We believe that the proposed The official version of this document is the document published in the Federal submission and posting of public priorities, requirements, definitions, and comments in this proceeding. All Register. You may access the official selection criteria would not impose any comments are to be submitted edition of the Federal Register and the additional burden on a small entity electronically through regulations.gov. Code of Federal Regulations at applying for a grant than the entity Specific instructions for submitting www.govinfo.gov. At this site you can would face in the absence of the comments are available on the view this document, as well as all other proposed action. That is, the length of Copyright Office website at https:// documents of this Department the applications those entities would www.copyright.gov/rulemaking/ published in the Federal Register, in submit in the absence of the proposed ebookdeposit. If electronic submission text or Adobe Portable Document regulatory action and the time needed to of comments is not feasible due to lack Format (PDF). To use PDF you must prepare an application would likely be of access to a computer and/or the have Adobe Acrobat Reader, which is the same. internet, please contact the Office using This proposed regulatory action available free at the site. You may also access documents of the the contact information below for would not have a significant economic special instructions. impact on a small entity once it receives Department published in the Federal FOR FURTHER INFORMATION CONTACT: a grant because it would be able to meet Register by using the article search Regan A. Smith, General Counsel and the costs of compliance using the funds feature at www.federalregister.gov. Associate Register of Copyrights, provided under this program. We invite Specifically, through the advanced [email protected]; Kevin R. Amer, comments from small eligible entities as search feature at this site, you can limit Deputy General Counsel, kamer@ to whether they believe this proposed your search to documents published by copyright.gov; or Mark T. Gray, regulatory action would have a the Department. Attorney-Advisor, mgray@ significant economic impact on them Frank T. Brogan, copyright.gov. They can be reached by and, if so, request evidence to support Assistant Secretary for Elementary and telephone at 202–707–3000. that belief. Secondary Education. SUPPLEMENTARY INFORMATION: Paperwork Reduction Act [FR Doc. 2020–13158 Filed 6–26–20; 8:45 am] I. Background The proposed priorities, BILLING CODE 4000–01–P requirements, definitions, and selection A. Mandatory Deposit Under the criteria contain information collection Copyright Act Generally requirements that are approved by OMB LIBRARY OF CONGRESS Section 407 of title 17 requires that under OMB control number 1894–0006; Copyright Office the owner of the copyright or the the proposed priorities, requirements, exclusive right of publication in a work definitions, and selection criteria do not 37 CFR Part 202 published in the United States, within affect the currently approved data three months of publication, deposit collection. [Docket No. 2016–03] ‘‘two complete copies of the best Intergovernmental Review edition’’ with the Copyright Office ‘‘for Mandatory Deposit of Electronic-Only the use or disposition of the Library of This program is subject to Executive Books Congress.’’ 1 The ‘‘best edition’’ is Order 12372 and the regulations in 34 AGENCY: U.S. Copyright Office, Library defined as ‘‘the edition, published in the CFR part 79. One of the objectives of the of Congress. Executive order is to foster an 1 ACTION: Notice of proposed rulemaking. 17 U.S.C. 407(a), (b); see generally 37 CFR intergovernmental partnership and a 202.19.

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United States at any time before the date only works from the mandatory deposit comments praised the efforts to collect of deposit, that the Library of Congress requirement, the Office also, however, more works in the identified categories, determines to be most suitable for its adopted an exception to this exemption, others expressed reservations. purposes.’’ 2 These requirements are requiring the deposit of electronic-only D. 2018 Proposed Rule Regarding governed by section 202.19 and serials if affirmatively demanded by the Electronic-Only Book Deposit Appendix B of part 202 of the Office’s Office.7 An electronic-only serial is ‘‘an regulations, which set forth rules and electronic work published in the United In April 2018, the Office issued a criteria, respectively, for the different States and available only online, issued notice of proposed rulemaking (‘‘2018 types of works subject to the mandatory or intended to be issued on an NPRM’’) seeking public comment on a deposit requirement. established schedule in successive parts proposal to finalize the interim rule and Under the statute, the Register of bearing numerical or chronological to extend the demand-based mandatory Copyrights may issue a written demand designations, without subsequent deposit requirements to electronic-only for works at any time after they have alterations, and intended to be books.12 The 2018 NPRM proposed that 8 been published in the United States, continued indefinitely.’’ This category the term ‘‘electronic-only book’’ be and failure to deposit after a demand includes ‘‘periodicals, newspapers, ‘‘defined broadly as an electronic may subject the recipient to monetary annuals, and the journals, proceedings, literary work published in one volume liability.3 Compliance with this section transactions, and other publications of or a finite number of volumes published 9 is separate from the copyright societies.’’ The 2010 Interim Rule in the United States and available only registration process, but the Copyright stated that any additional categories of online,’’ with some exclusions for Act provides that deposits made under electronic-only works would first be specific types of works such as serials, section 407 may be used to satisfy the ‘‘identified as being subject to demand’’ audiobooks, websites, blogs, and registration deposit provisions under through a rulemaking with notice and emails.13 To clarify how the rule would section 408, if all other registration comment before the Office issues any apply in the context of books available 10 conditions are met.4 actual demands for such works. The for print-on-demand, the definition Certain categories of works are not present proposed rule is one such provided that a work would be deemed subject to mandatory deposit. As set out rulemaking. available only online ‘‘even if physical in the statute, unpublished works and C. 2016 Notice of Inquiry Regarding copies or phonorecords have been made foreign works that have not been Expansion of Demand-Based Deposit on demand for individual consumers, so published in any form in the United long as the work is otherwise available In 2016, the Office issued a notice of States do not have to be deposited. In only online.’’ 14 inquiry (‘‘NOI’’) that proposed to addition, under section 407(c), the The 2018 NPRM also addressed Register can, by regulation, exempt any finalize the 2010 interim rule and to add a new category of online works— questions raised by commenters categories of material from section 407’s regarding Library access policies and mandatory deposit requirements or electronic-only books—to the demand- based mandatory deposit scheme.11 The information technology requirements. demand only one copy to provide a The Office proposed to modify existing ‘‘satisfactory archival record of a work.’’ Office sought comments on four topics: (1) The efficacy of the interim rule, regulations to apply the same access Under this authority, the Register has policies to deposited electronic-only excluded numerous categories of works including whether it adequately serves the needs of the Library and other books as those applicable to electronic from the mandatory deposit deposits of newspapers: Access would requirement, such as greeting cards, affected parties and whether it could serve as a good framework for adding be provided only to authorized users on architectural blueprints, and three- Library of Congress premises and off- dimensional sculptural works.5 additional categories of electronic works to the mandatory deposit system; (2) the site to Library staff as part of their B. Regulations Regarding Mandatory Library’s access policy as applied to assigned duties via a secure Deposit of Electronic-Only Materials both electronic-only serials and, connection.15 In response to comments expressing concern about the adequacy In 2010, the Office issued an interim potentially, to electronic-only books; (3) of the Library’s technology security rule (the ‘‘2010 Interim Rule’’) codifying ‘‘information technology, security, and/ infrastructure, the 2018 NPRM provided its established practice of excluding or other requirements’’ that should information on the recent steps taken by from mandatory deposit requirements apply to the receipt and storage of, and the Library to address its information all ‘‘[e]lectronic works published in the access to, electronic-only books; and (4) technology needs, including the United States and available only how the ‘‘best edition’’ requirements appointment of a permanent Chief online.’’ 6 The 2010 Interim Rule should be applied to the mandatory Information Officer, the implementation referred to such works as ‘‘electronic- deposit of electronic-only books. The of security standards, and the use of only.’’ In generally excluding electronic- Office received fifteen comments on the proposed changes. While some of the comprehensive security testing for all 16 2 17 U.S.C. 101; see also 17 U.S.C. 407(b). Library systems. 3 17 U.S.C. 407(d). 7 2010 Interim Rule at 3865–66. ‘‘Electronic Finally, the proposed rule established 4 Id. at 408(b). Although section 408 states that works’’ are themselves defined as ‘‘works fixed and ‘‘best edition’’ requirements for published solely in an electronic format.’’ 37 CFR copies deposited pursuant to the mandatory deposit electronic-only books, adopting provision in section 407 may be used to satisfy the 202.24(c)(3). registration deposit requirement in section 408, in 8 37 CFR 202.19(b)(4). provisions from the Library’s practice the Office treats copies of works submitted 9 Id. Recommended Formats Statement with for registration as satisfying the mandatory deposit 10 2010 Interim Rule at 3866. some clarifying language regarding the requirement (assuming the deposit requirements are 11 Mandatory Deposit of Electronic Books and the same), and not vice versa. 37 CFR 202.19(f)(1), Sound Recordings Available Only Online, 81 FR 12 Mandatory Deposit of Electronic-Only Books, 202.20(e); see 43 FR 763, 768 (Jan. 4, 1978). 30505, 30506–08 (May 17, 2016) (‘‘2016 NOI’’). The 83 FR 16269 (Apr. 16, 2018) (‘‘2018 NPRM’’). 5 See 37 CFR 202.19(c). NOI also included online sound recordings as a 13 6 Mandatory Deposit of Published Electronic potential additional category of works to subject to Id. at 16272. Works Available Only Online, 75 FR 3863, 3869 mandatory deposit, but the Office has decided to 14 Id. at 16272–73. (Jan. 25, 2010) (‘‘2010 Interim Rule’’); 37 CFR postpone further consideration of this issue until 15 Id. at 16270 (citing 37 CFR 202.18). 202.19(c)(5). after the conclusion of this rulemaking. 16 2018 NPRM at 16273–74.

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‘‘completeness’’ of a work.17 These pursuant to the rule. Some commenters phonorecords (e.g., audiobooks), serials provisions also included a requirement urged the Office to provide additional (as defined in § 202.3(b)(1)(v)), that depositors remove technological assurances as to the adequacy of the computer programs, websites, blogs, and measures that control access to or use of Library’s digital security practices,24 emails.’’ 28 A number of comments the work, as is currently required for while others objected to the proposed raised questions about the scope of electronic-only serials.18 requirement that deposited materials be materials that would be subject to free of technological protection mandatory deposit under this II. Discussion measures.25 definition. The Office received nine comments in The Office has carefully considered First, the National Writers Union response to the 2018 NPRM. these comments and finds that they (NWU) found certain terminology in the Commenters generally expressed have helpfully identified several areas proposed rule ambiguous. It noted that agreement with the broad goal of that would benefit from further ‘‘[t]he term ‘volume,’ as applied to supporting the Library’s acquisition and discussion or explanation. In response digital data, is normally used to describe preservation of digital materials for the to certain issues raised by commenters, a physical or virtual drive, storage benefit of the American public. The the Office has made revisions to the device, partition, or filesystem, which Library Copyright Alliance supported proposed regulatory text. In addition, to can contain any number of related or the proposed rule ‘‘because of the further demonstrate the basis for the unrelated files.’’ 29 NWU therefore critical role of deposit in building the proposed rule, the Office is providing believed the rule was unclear as to Library’s collection and ensuring long- additional information in response to ‘‘which digital files or groups of files the term preservation’’ of digital commenters’ questions regarding Copyright Office considers or will deem materials.19 Authors Guild similarly Library collections and security to constitute ‘volumes.’ ’’ 30 noted that the Library ‘‘cannot fulfill policies, including to share relevant Additionally, NWU expressed confusion [its] mission today without collecting developments that occurred after the over the exclusion of ‘‘websites’’ and books that are published only in close of the initial comment period.26 ‘‘email’’ from the definition, noting that electronic form,’’ 20 and the Association The Office addresses each of these ‘‘[m]ost works distributed in electronic of American Publishers stated issues below and welcomes additional formats are distributed either as files ‘‘[p]ublishers have long supported the public comment. In light of the existing downloadable from the World Wide special privilege of the Library to collect rulemaking record and, as noted below, Web—i.e., as part of websites—or by works’’ through mandatory deposit.21 the progress the Library has reported to email.’’ 31 Based on this interpretation, Authors Alliance supported the rule the Office in response to the 2018 NWU reads the proposed rule to because, in its view, mandatory deposit NPRM, the Office anticipates being able exclude, for example, all e-book files ‘‘serve[s] the long-term interests of to reasonably move forward with released for the Amazon Kindle because authors by ensuring that their creative finalization of the proposed rule after those files ‘‘can be downloaded . . . and intellectual legacies are this round of comments. through the Amazon.com website’’ and preserved.’’ 22 thus are ‘‘part of websites.’’ 32 A. Scope of Material Subject to Deposit At the same time, the comments After consideration of NWU’s revealed significant concern over 1. Definition of ‘‘Electronic-Only Book’’ comments, the Office does not agree that several aspects of the proposed rule. A The 2018 proposed rule defined an the cited provisions are likely to cause number of commenters requested ‘‘electronic-only book’’ as ‘‘an electronic confusion. When read in context, the clarification of the rule’s intended literary work published in one volume term ‘‘volume’’ cannot plausibly be scope, pointing to ambiguity in the or a finite number of volumes published understood to describe a physical or definition of the term ‘‘electronic-only in the United States and available only digital drive that stores data. Rather, the book’’ and uncertainty as to the online.’’ 27 It specifically excluded regulatory text makes clear that the term collections policies that would govern ‘‘literary works distributed solely in carries its ordinary meaning as a unit in acquisition decisions.23 Commenters which a ‘‘literary work’’ is published.33 also raised questions regarding the 24 Copyright Alliance Comment at 4 (requesting The language simply indicates that, for security of digital materials deposited the Library ‘‘demonstrat[e] the adequacy of the purposes of defining an ‘‘electronic-only Library’s IT system’’ before finalizing the rule); book,’’ it is immaterial whether a work 17 Id. at 16274–75. Authors Guild Comment at 3 (seeking additional specifics about the ‘‘security measures for e-books’’ is published in one file or is broken into 18 Id. at 16275. and requesting more information about Library’s multiple files. Nor does the Office find 19 Library Copyright Alliance Comment at 2; see creation of a secure e-book repository); AAP NWU’s interpretation of ‘‘websites’’ to also University of Michigan Copyright Office Comment at 2–3 (seeking additional information be a reasonable reading. The fact that Comment at 1–2 (‘‘strongly support[ing]’’ the about ‘‘the state of the Library’s technology proposed rule because it ‘‘provide a means for the capabilities, protocols, and security measures’’). copies of a work are distributed via a Library of Congress to acquire [electronic-only 25 Copyright Alliance Comment at 4–5 (stating website does not mean the work is part books], preserve them, and provide limited access that technological protection measures serve as of the website. Moreover, excluding to them’’). ‘‘important safeguards’’ for digital material); 20 Authors Guild Comment at 2. Authors Guild Comment at 5–6 (expressing concern 28 21 American Association of Publishers (‘‘AAP’’) Id. that requiring removal of technological protection 29 Comment at 3–4; see also Copyright Alliance measures may ‘‘essentially require the publisher to NWU Comment at 3. Comment at 2 (noting ‘‘the value of the Library’s create a new edition’’ where no such version is sold 30 Id. ongoing efforts to preserve culturally significant in the market). 31 Id. at 4. works’’). 26 The Library Copyright Alliance suggested the 32 Id. at 4. 22 Authors Alliance Comment at 2. Library’s access policies were overly restrictive and 33 The existing interim rule for electronic serials 23 Authors Guild Comment at 3–4 (raising should allow for more than two users at a time to uses the terms ‘‘issues’’ and ‘‘volumes’’ in reference questions about the Library’s collections policies view the same resource. Library Copyright Alliance to units of a literary work, and depositors have not and recommending changes to definition of Comment at 4. For the reasons stated in the 2018 expressed confusion in applying these terms. See 37 ‘‘electronic-only book’’); National Writers Union NPRM, the Office believes the Library’s access CFR 202 app. B.IX.A.2.b. (requiring submission of (‘‘NWU’’) Comment at 3–4 (expressing uncertainty policies strike an appropriate balance between available metadata for ‘‘volume(s)’’ and ‘‘issue about what material would be demanded based on protecting against infringement and facilitating dates(s)’’); 2010 Interim Rule at 3867 (‘‘[I]t is Library collections policies); Copyright Alliance lawful uses by Library patrons. See 2018 NPRM at expected that each issue of a demanded serial will Comment at 3 (raising questions about Library’s 16723. be deposited with the Copyright Office thereafter as collections strategy). 27 2018 NPRM at 16275. is the current practice.’’).

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such books would be at odds with both balance between ensuring that the regulations for printed textual matter, the purpose of the rule and Copyright Library retains sufficient flexibility in which require ‘‘the regular and timely Office practice. As the NOI explained, its acquisition decisions, and making receipt of all appropriate looseleaf this proceeding is intended to facilitate clear that rule’s intended focus is on updates, supplements, and releases.’’ 44 collection of ‘‘electronic books that have ‘‘textual works that are marketed or The deposit requirement for updates to been published solely through online presented as ‘electronic books’ and electronic-only books will be channels,’’ 34 which certainly would other monographic works such as administered in the same manner that include books distributed through major organizational reports and long-form publishers are accustomed to for printed platforms such as Amazon. Further, the essays’’—and not on blogs, social media material. Nor is revision required to Compendium of U.S. Copyright Office posts, websites, and the like.40 The accommodate books available in print Practices provides that a ‘‘work that is additional language proposed here with additional content in a digital perceptible to the user only by further clarifies this distinction. version. Where a work is available in downloading or separately purchasing Third, the Authors Guild suggested both digital and print editions, the work that particular work is not considered that the proposed definition is is not ‘‘available only online,’’ and thus part of the website for registration underinclusive because the phrase is not subject to the rule. To the extent purposes and must be registered ‘‘available only online’’ might not the digital version contains separately.’’ 35 encompass electronic books distributed supplementary material that is not Second, the Authors Guild noted that offline, such as books preloaded onto e- published in the physical version, the the proposed regulatory language did readers or tablets.41 The Authors Guild electronically enhanced version would not address the length of works subject proposed instead that references to a be subject to demand if it constitutes a to the rule even though ‘‘books are work being ‘‘available only online’’ be separate ‘‘work’’ under the Copyright generally defined as longer literary replaced with ‘‘available in electronic Act and is not otherwise excluded from works.’’ 36 It recommended modifying form.’’ 42 The Office agrees that works of the rule. the rule to clarify that ‘‘very short this type should be covered by the rule, Fifth, the Office has determined that works, such as a single poem or a string but the language proposed by the the rule should be revised to further of tweets,’’ are not covered.37 Authors Guild potentially could sweep clarify when print-on-demand books are Although the 2018 NPRM noted that in electronic works that are also to be deemed ‘‘available only online.’’ the Library ‘‘does not intend to obtain published in physical form. The Office The original proposed rule provided blog posts, social media posts, and believes that a more targeted solution is that ‘‘[a] work shall be deemed to be general web pages’’ through this rule,38 to address this situation in the section available only online even if physical the Office agrees that that limitation of the rule defining when a work is copies have been made on demand for could be made clearer in the regulatory considered to be available only online. individual consumers, so long as the text itself. The Office therefore proposes The revised proposed rule adds work is otherwise available only 45 revising the definitional language to language to that definition providing online.’’ The Office proposed that expressly exclude ‘‘short online literary that a work shall be deemed to be definition to address commenters’ works such as social media posts.’’ The available only online ‘‘even if copies concern that, in the case of books made Office considered the possibility of have been loaded onto electronic available for printing by individual adopting a longer and more detailed list devices, such as tablets or e-readers, in consumers, ‘‘it [would] be difficult for of exclusions but ultimately concluded advance of sale to individual publishers to determine whether such consumers, so long as the work is that such an approach would be works are subject to the general otherwise available only online.’’ infeasible given the speed at which new exemption for electronic-only works Fourth, AAP raised questions about online services emerge. Moreover, any (and the demand-based mandatory the rule’s requirement that ‘‘[a]ll deposit scheme proposed here), or attempt to further limit the subclasses of updates, supplements, releases, and literary works subject to the rule could whether they are subject to affirmative supersessions’’ of the work be deposited mandatory deposit requirements.’’ 46 result in the exclusion of certain works in a timely manner. AAP requested that that fall within the rule’s intended The 2018 NPRM thus contemplated that the Office define the terms ‘‘updates, a work would qualify as an e-book scope. For example, excluding ‘‘poems’’ supplements, releases, and would not be advisable, as some poems under the rule even if copies were supersessions’’ and sought clarification ‘‘printed privately, in consumers’ are long enough to constitute a book as how the Office would treat books (e.g., Paradise Lost). As noted in the homes, or at kiosks at brick-and-mortar available in print whose digital editions 47 2018 NPRM, the Office recognizes that bookstores.’’ contain additional content or That situation, however, is the traditional definition of a physical revisions.43 After consideration, the book ‘‘does not translate neatly to the distinguishable from a business model Office does not believe modification of in which an author, publisher, or digital environment’’ and that the regulatory text is necessary. The distinguishing ‘‘electronic-only books’’ distributor prints copies in response to language regarding updates and similar purchases by individual consumers. For from other types of online literary works material is analogous to a longstanding may be difficult in certain cases at the example, a physical or online retailer requirement in the best edition might place orders for printed copies of margins.39 Nevertheless, the Office a particular title only as individual continues to believe that the overall 40 Id. To the extent that numerous short online requests for that title are received from definitional approach set forth in the posts, blogs, and social media posts are collected customers, as opposed to ordering 2018 NPRM strikes an appropriate and published in a single monograph, such a collection would be subject to this rule, because it multiple copies from the publisher in would be presented as an ‘‘electronic book’’ and 34 advance of any customer purchases. 81 FR at 30508. would be copyrightable as a collective work. 35 These books are outside the scope of U.S. Copyright Office, Compendium of U.S. 41 Authors Guild Comment at 4. Copyright Office Practices sec. 1002.2 (3d ed. 2017). 42 Id. 36 44 Authors Guild Comment at 4. 43 AAP Comment at 7 (inquiring as to the ‘‘degree 37 CFR 202 app. B.I.A.8. 37 Id. of variation from the print version [that] suffices to 45 2018 NPRM at 16275. 38 2018 NPRM at 16272. make an electronic-only book subject to the 46 Id. at 16272–73. 39 Id. requirement’’). 47 Id. at 16273.

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this rule, and instead remain subject to materials specifically, the Authors’ Collection Development Office has the general mandatory deposit Guild explained, ‘‘[i]t is our explained, this policy reflects the obligation under section 407. In understanding that the Library has not Library’s effort to develop ‘‘one circumstances where a retailer provides yet created and adopted a interdependent collection that contains a physical copy for sale, it is immaterial comprehensive strategy for safely both its traditional physical holdings to the purchaser—and likely unknown storing books published in electronic and materials in digital formats.’’ 61 to acquisition specialists at the form, despite the fact that e-books and With respect to commenters’ concerns Copyright Office—whether the retailer electronic audio books have been a about the Library’s digital strategy,62 the has multiple copies on hand or obtains significant and growing percentage of Library has provided further public them individually to fulfill purchases as books published for over a decade.’’ 53 information following the close of the they occur. To make this distinction As the 2018 NPRM indicates, the comment period, most notably in its clear, the Office has amended the Copyright Office consults with the five-year strategic plan and in a formal proposed rule to more precisely refer to Library and relies on those discussions books made available for on-demand along with the Library’s public digital strategy document that supports printing by individual consumers, as statements in considering and the strategic plan. The 2019–2023 distinguished from on-demand activities responding to commenters’ concerns in strategic plan, Enriching the User performed by distributors, publishers, this area.54 According to the Library, the Experience, notes that ‘‘being digitally retailers, or others in the supply chain. criteria used to determine what enabled is paramount to [the Library of 63 The revised language provides: ‘‘A work electronic materials to acquire ‘‘do not Congress’s] success.’’ Describing shall be deemed to be available only greatly differ from those used for other digital efforts as an ‘‘ongoing process,’’ online even if copies have been made formats.’’ 55 The Library prepares the plan states that in the next five years available to individual consumers to subject-specific Collections Policy the Library will streamline its print on demand, so long as the work is Statements (e.g., Education, Chemical operational capabilities and undertake otherwise available only online.’’ 48 Sciences, Medicine, Theater) and makes efforts to identify gaps in expertise and them available on its website.56 These recruit new talent to fill those gaps.64 2. The Library’s Collections Policies policies detail what kinds of works the The Library’s digital strategy, published In discussing the scope of materials Library seeks to collect and at what in April 2019, describes a five-year plan subject to deposit under this rule, a level of comprehensiveness. For for expanding its digital collections and number of commenters sought example, the Political Science statement providing access to that material, in additional information about the Library notes that the Library seeks to ‘‘collect[ ] connection with the Library’s broad of Congress’s specific collections all the important current reference goals of ‘‘throwing open the treasure policies. As the AAP put it, ‘‘[i]n works’’ in the field, regardless of chest, connecting, and investing in our providing for the transfer of said copies language, while it collects foreign future.’’ 65 It notes that the Library through mandatory deposit, Congress textbooks ‘‘on a highly selective intends to ‘‘exponentially’’ expand its made clear that the Library must make basis.’’ 57 The Library also maintains digital collections, provide ‘‘maximum demands under Section 407 with a supplementary guidelines to assist in authorized access’’ to material in the purpose.’’ 49 The NWU stated that it applying these standards to electronic collection depending on the type of ‘‘remain[ed] puzzled as to what works works.58 For example, the guidelines patron, and use ‘‘verifiable chain of the Copyright Office intends to demand note that criteria weighing in favor of custody’’ to ensure the authenticity of be deposited’’ under the proposed acquisition include the at-risk nature of digital material and prevent digital rule,50 and the Authors Guild desired to a work or its availability only in digital deterioration.66 see a ‘‘comprehensive collection 59 format. In general, however, the Office The Library also has worked to strategy’’ from the Library before understands that Library acquisition implement the recommendation made finalization of a rule.51 The Copyright decisions involving electronic materials in an April 2015 report by its Inspector Alliance expressed concern that there are governed by the relevant Collections was a ‘‘lack of a clear and cohesive Policy Statement, as is true for works in digital collections strategy within the 60 devpol/polisci.pdf (‘‘[c]omparable electronic physical format. As the Library’s materials are collected at the same levels’’ as Library of Congress’’ and requested the physical materials). opportunity to give input into that 53 Authors Guild Comment at 2. 61 Library of Congress Collection Development strategy.52 And with respect to 54 See 2018 NPRM at 16271, 16273 (noting Office, Collecting Digital Content at the Library of collection and preservation of digital consultations with and public statements by the Congress at 3 (Feb. 2017), https://www.loc.gov/acq/ Library). devpol/CollectingDigitalContent.pdf. 55 Library of Congress, Library of Congress 62 Authors Guild Comment at 2; Copyright 48 On a related issue, one commenter inquired Collections Policy Statements Supplementary Alliance Comment at 3. whether a copyright owner could comply with a Guidelines: Electronic Resources 2 (Aug. 2016), 63 demand from the Office under this rule by Library of Congress, Enriching the Library https://www.loc.gov/acq/devpol/ providing a print version of an electronic-only Experience: The FY2019–2023 Strategic Plan of the electronicresources.pdf. book. AAP Comment at 7. Because this rule is Library of Congress at 13, https://www.loc.gov/ 56 _ _ crafted ‘‘as a way to fulfill the Library’s digital See Collections Policy Statements and static/portals/strategic-plan/documents/LOC Strat _ collections,’’ 2018 NPRM at 16271, the rule does Supplementary Guidelines, Library of Congress, Plan 2018.pdf. not contemplate deposit of a print version of an https://www.loc.gov/acq/devpol/cpsstate.html. 64 Id. at 13, 23. electronic-only book. As with any deposit demand 57 Library of Congress, Library of Congress 65 Library of Congress, Digital Strategy at 2 (Apr. under section 407, however, copyright owners may Collections Policy Statements: Political Science 2– 26, 2019), https://www.loc.gov/static/portals/ request special relief from the deposit requirement 3 (Nov. 2017), https://www.loc.gov/acq/devpol/ digital-strategy/documents/Library-of-Congress- to provide a different format, such as a print polisci.pdf. Digital-Strategy-v1.1.2.pdf. version. Such a decision would be made by the 58 Library of Congress, Library of Congress 66 Id. at 3–4, 10 (digital acquisitions will be Register after consultation with other appropriate Collections Policy Statements Supplementary expanding ‘‘as outlined in Collecting Digital officials from the Library of Congress. See 37 CFR Guidelines: Electronic Resources 2 (Aug. 2016), Content at the Library of Congress’’); see also 202.19(e)(2). https://www.loc.gov/acq/devpol/ Library of Congress Collection Development Office, 49 AAP Comment at 4 (citing H.R. Rep. No. 1476, electronicresources.pdf. Collecting Digital Content at the Library of Congress 94th Cong., 2d Sess. 151 (1976)). 59 Id. at 3–6 (Feb. 2017), https://www.loc.gov/acq/devpol/ 50 NWU Comment at 3. 60 See, e.g., Library of Congress, Library of CollectingDigitalContent.pdf (describing Library’s 51 Authors Guild Comment at 3. Congress Collections Policy Statements: Political plans to expand digital collections through avenues 52 Copyright Alliance Comment at 3. Science 2 (Nov. 2017), https://www.loc.gov/acq/ such as copyright deposit, purchase, and exchange).

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General (‘‘OIG’’) on these issues.67 In to the Office’s knowledge, has owner has elected to remove such March 2018, the OIG noted that the functioned without issue for those technological measures. Library had made progress toward deposits. It is important to note, however, that creating ‘‘an overarching, transformative Some commenters objected to under section 202.24, the Office’s eCollections Strategy for collecting extending this requirement to regulations already provide that electronic works’’ by aligning all electronic-only books. For example, the deposits ‘‘must be able to be accessed electronic collection under a single Authors Guild expressed concern that in and reviewed by the Copyright Office, 68 Digital Collecting Plan. A subsequent some instances, the only published Library of Congress, and the Library’s OIG report noted that the Library has authorized users on an ongoing edition of a book may be one employing 79 provided evidence of its efforts toward technological protection measures, and basis.’’ Such language is consistent closing this recommendation, including that requiring removal would force with section 407 of the Copyright Act, ‘‘current Library of Congress Collections some publishers to ‘‘transfer the files to which obligates deposit of materials for Policy Statements, which include digital new formats or use hacking codes to ‘‘use or disposition of the Library of Congress’’ in its collections.80 So as a content and proof that digital collecting remove the controls.’’ 74 This would floor, the proposed rule clarifies that is part of overarching Library collections ‘‘not only put[ ] the author’s work at risk 69 deposits must be otherwise provided in strategies.’’ The report further noted of piracy, but [would] put[ ] an a manner that meets the requirements of that the Library and OIG met in unnecessary burden on publishers, current section 202.24(a)(4). In sum, September 2019 to discuss next steps to especially on authors who depositors must take reasonable steps to achieve closure of the remaining e- independently publish and small ensure that the Library is able to access deposit and e-collections publishers.’’ 75 The Copyright Alliance 70 the work to the extent necessary for recommendations. pointed to this requirement as The Office interprets this additional preservation and other lawful uses.81 In heightening concerns about the information to further clarify that the the case of a TPM-protected work, such Library’s IT security system, arguing Library’s plans to increase its digital efforts might include providing the collection do not reflect a shift in the that the possession of unencrypted same access codes that are available to content-based considerations digital works greatly increases the purchasing consumers. And as potential harm if the Library’s storage underlying its collections policies. 76 explained in the NPRM, ‘‘in the unlikely Rather, the Office understands that the system were ever breached. event that the Library seeks to acquire Library’s digital collections policies are For the reasons noted in the 2018 a work that is only published in a substantively the same as its policies for NPRM, the Library generally prefers proprietary format that cannot be physical works, and so an expansion of TPM-free editions of works to simplify viewed by the Library, the Office will the mandatory deposit rule to and further its preservation efforts.77 At work with the publisher to identify a electronic-only books would not the same time, the 2018 NPRM noted means to access the work.’’ 82 significantly change the nature of the that the statutory deposit requirement is C. Library of Congress IT Security Library’s collections activity. limited to the best published edition and ‘‘does not require the publisher or Several comments were directed not B. Technological Protection Measures producer to create a special preservation at the specific regulatory text in the The 2018 proposed rule provided that copy simply for the benefit of the proposed rule but instead at the ‘‘technological measures that control Library of Congress.’’ 78 To Library’s IT security practices and the access to or use of the work should be appropriately balance these ability of the Library to secure electronic removed.’’ 71 In support of that considerations, and to respond to deposits from digital theft. The 2018 requirement, the 2018 NPRM noted that commenters’ concerns, the revised NPRM briefly discussed the Library’s while technological protection measures proposed rule removes the requirement work in this area,83 but in light of the (‘‘TPM’’s) ‘‘provide significant security that TPMs be removed from deposit level of concern expressed by assurances, . . . encumbering deposited copies, but updates the Best Edition commenters, and because of important copies with such protections would regulations in Appendix B to Part 202 developments that have occurred since conflict with the Library’s purposes of to reflect the Library’s preference for a the close of the prior comment period, preserving the works.’’ 72 This TPM-free edition, if such a version has the Office is providing additional requirement was adopted for electronic been published. That is, where a serials in the 2010 interim rule 73 and, publisher has published both TPM- 79 37 CFR 202.24(a)(4). protected and non-TPM-protected 80 As commenters noted, in 1998, Congress 67 See Library of Congress Office of the Inspector versions of an e-book, the best edition specifically protected the use of technological General, The Library Needs to Determine an protection measures by copyright owners by eDeposit and eCollections Strategy at 12 (Apr. 24, for purposes of this rule is the latter. In establishing a separate remedy against 2015), https://www.loc.gov/static/portals/about/ accordance with the general approach of circumvention of such measures under section 1201 documents/edeposit-and-ecollections-strategy-april- Appendix B to provide alternate options of title 17. See Copyright Alliance Comment at 5 2015.pdf. in descending orders of preference, (raising concerns about removal of technology 68 Library of Congress Office of the Inspector protection measures, ‘‘which Congress considered General, Semiannual Report to Congress at 38 (Mar. where an electronic-only book is not critical enough to secure with independent legal 30, 2018), https://www.loc.gov/static/portals/about/ published TPM-free, the proposed rule protection’’). But there is no indication that there office-of-the-inspector-general/annual-reports/ would next accept a copy for which the was any congressional intent to abrogate the documents/March2018-semi-annual-report-to- Library’s preexisting entitlement to usable deposits congress.pdf. in section 407. See 17 U.S.C. 407(b) (‘‘The required 69 Library of Congress Office of the Inspector 74 Authors Guild Comment at 5. copies . . . shall be deposited . . . for the use or General, Semiannual Report to Congress at 30 (Sept. 75 Id. disposition of the Library of Congress.’’). 30, 2019), https://www.loc.gov/static/portals/about/ 76 Copyright Alliance Comment at 4–5. 81 Cf. 37 CFR 202.20(b)(2)(iii)(D) (noting that office-of-the-inspector-general/annual-reports/ 77 The University of Michigan Copyright Office correspondence may be necessary for digital documents/September-2019-OIG-Semiannual- wrote in support of this proposed requirement deposits ‘‘if the Copyright Office cannot access, Report-to-Congress.pdf. because, in its experience, ‘‘such technological view, or examine the content of any particular 70 Id. measures seriously impede long-term preservation.’’ digital file that has been submitted for the 71 2018 NPRM at 16275. University of Michigan Copyright Office Comment registration of a work’’). 72 Id. at 3. 82 2018 NPRM at 16274. 73 2010 Interim Rule at 3870. 78 2018 NPRM at 16274–75. 83 Id. at 16273–74.

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information shared by the Library that of the digital content in [its] care.’’ 88 He Office, in no known instance has the speaks to these issues. also has testified that the Library is Library’s security been breached or its Many commenters from organizations implementing encryption for electronic digital collections stolen. representing copyright owners were copyright deposits, putting such Since the 2018 NPRM was published, reluctant to support the proposed rule materials on the same footing as other the Library has provided additional 89 without additional assurances regarding sensitive Library data. Likewise, the detail on its IT security policies in the Library’s security capabilities. The Library has informed the Office that several recent public statements, Authors Guild stated that it was electronic deposits are given the same including congressional testimony. The ‘‘premature’’ to finalize a rule until the level of security as other highly Library’s Chief Information Officer Library could ‘‘ensure[ ]’’ the security of sensitive information held by the recently testified that the Library has e-books, and requested that a full Library, such as congressional material. ‘‘significantly increased our IT security security plan be explained and ‘‘vetted According to the Library, this material posture over the last few years. We have implemented NIST security standards, with publishers.’’ 84 The Copyright is stored on a network that complies with role based security, to ensure that Alliance requested that the Library with the security standards established users only have access to the data they ‘‘demonstrat[e] the adequacy of the by the National Institute of Standards 90 are supposed to see.’’ 95 He further noted Library’s IT system’’ before finalizing a and Technology (‘‘NIST’’), including 91 that the Library regularly conducts rule, lest the Office ‘‘put[ ] the cart standards SP 800–53 Rev. 4 and FIPS 92 penetration tests of its high value assets before the horse’’ in demanding ‘‘blind 140–2, among others. NIST creates and ‘‘are implementing encryption—at- faith’’ from copyright owners that the these security standards as required by the Federal Information Security rest and in-motion—for all sensitive Library will protect deposits.85 And Management Act,93 which seeks to Library data, including e-deposits.’’ 96 AAP said it would be ‘‘premature’’ and ensure that federal agencies Noting that ‘‘[s]ecurity is always a top ‘‘nothing short of reckless’’ to issue a ‘‘incorporate adequate, risk-based, and priority for all Library IT,’’ he further final rule before implementation of the cost-effective security compatible with stated that the Library employs recommendations of the Government business processes.’’ 94 Through its cybersecurity professionals to Accountability Office (‘‘GAO’’) in its systems, the Library has received tens of proactively monitor, test, and oversee 2015 report on the Library’s IT millions of digital files in the last security of the Library’s systems.97 management.86 decade, including over 300,000 The Librarian has similarly testified The Copyright Office appreciates electronic serial issues and 460,000 that the Library had made ‘‘significant concerns about the security of digital electronic books received under the IT security improvements’’ and deposits and agrees that the Office and interim rule or pursuant to special relief cybersecurity enhancements ‘‘to Library occupy a position of public trust agreements with publishers. As the heighten the detection of threats, thwart with respect to copyright deposits. It is Library has reported to the Copyright denial of service attacks, protect against incumbent on both organizations to malware and enable continuous operate in accordance with that trust. As 88 Oversight of Modernization of the United States monitoring so that issues are prevented, the Library has stated in its digital Copyright Office, Hearing Before the Senate and if they occur, quickly identified and strategy, ‘‘[p]romoting creativity and Subcomm. on Intellectual Property, 116th Cong. 3 resolved.’’ 98 Other improvements (Dec. 10, 2019) (prepared statement of Bernard A. building cultural heritage collections Barton, Jr., Chief Information Officer, Library of highlighted by the Library include entails protecting creators’ intellectual Congress), https://www.judiciary.senate.gov/imo/ requiring all staff to use multi-factor property rights. This responsibility is media/doc/Barton%20Testimony.pdf (‘‘Dec. 2019 authentication to access the Library’s salient at the Library, as the home of the Senate Oversight CIO Statement’’). systems,99 upgrading the Library to a 89 Id. at 4. 87 United States Copyright Office.’’ After 90 See id. at 3–4 (stating that the Library has new data center that reduces the risk of consultation with the Library, the Office ‘‘implemented NIST security standards, with role service interruptions,100 and is sharing additional information based security, to ensure that users only have access to the data they are supposed to see’’). 95 Dec. 2019 Senate Oversight CIO Statement at 3– provided to it that discusses the 91 significant effort the Library has Special Publication (SP) 800–53 is ‘‘a catalog of 4. With respect to digital deposits, for example, the security and privacy controls for federal only staff able to access digital copies of undertaken to revamp its IT operations information systems and organizations’’ provided audiovisual works are system administrators and and ensure the integrity of its electronic by NIST that is meant to secure federal employees of the Library’s National Audio-Visual deposits and other digital material in its organizations ‘‘from a diverse set of threats Conservation Center. including hostile cyber attacks, natural disasters, 96 collections. structural failures, and human errors (both Id. 97 Id. As an initial matter, the Library has intentional and unintentional).’’ SP 800–53 Rev. 4: Security and Privacy Controls for Federal 98 Library of Congress Modernization Oversight, provided assurances of its commitment Information Systems and Organizations, NIST (Jan. Hearing Before the Senate Comm. on Rules and to digital security, both in public 22, 2015), https://csrc.nist.gov/publications/detail/ Admin., 116th Cong. 23–24, (Nov. 7, 2019) statements and in consultations with the sp/800-53/rev-4/final. (prepared statement of Carla Hayden, Librarian of Office. As the Library’s Chief 92 The FIPS 140–2 standard is the current set of Congress), https://www.govinfo.gov/content/pkg/ requirements for cryptographic security outlined by CHRG-116shrg38506/pdf/CHRG-116shrg38506.pdf Information Officer testified to Congress NIST. See FIPS 140–2: Security Requirements for (‘‘Nov. 2019 Senate Oversight Hearing’’). in December 2019, ‘‘the Library is well Cryptographic Modules, NIST (May 25, 2001), 99 Id. at 23 (‘‘We have implemented multi-factor aware of the need to ensure the security https://csrc.nist.gov/publications/detail/fips/140/2/ authentication for all users, enhancing security final. protections for access to sensitive Library 93 The Federal Information Security Management resources.’’). 84 Authors Guild Comment at 2–3. Act was passed as Title III of the E-Government Act 100 Annual Oversight of the Library of Congress, 85 Copyright Alliance Comment at 4. of 2002, Public Law 107–347. Hearing Before the Senate Comm. on Rules & 86 AAP Comment at 3, 5; see Government 94 44 U.S.C. 3602(f)(15) (describing Admin. 116th Cong. 21–22 (Mar. 6, 2019) (prepared Accountability Office, Strong Leadership Needed to responsibilities of head of Office of Electronic statement of Carla Hayden, Librarian of Congress), Address Serious Information Technology Government); see also National Institute of https://www.rules.senate.gov/imo/media/doc/ Management Weaknesses (Mar. 31, 2015), https:// Standards and Technology, FISMA Implementation Annual%20Oversight%20of%20the%20library%20 www.gao.gov/assets/670/669367.pdf. Project: FISMA Background (Feb. 26, 2020), https:// of%20Congress%20Transcript.pdf (‘‘Mar. 2019 87 Library of Congress, Digital Strategy at 4 (Apr. csrc.nist.gov/projects/risk-management/detailed- Senate Oversight Hearing’’) (‘‘We are optimizing our 26, 2019), https://www.loc.gov/static/portals/ overview/ (describing law as ‘‘explicitly hosting environments by transitioning to a new, digital-strategy/documents/Library-of-Congress- emphasiz[ing] a risk-based policy for cost-effective Tier III-level data center, reducing the risk of Digital-Strategy-v1.1.2.pdf. security’’). service interruptions.’’).

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participating in the Legislative Branch content. Inventory systems maintain logs of Systems Development Lifecycle Cyber Security Working Group, which actions on digital content by digital content addresses the need for robust facilitates the exchange of expertise and managers as well as systems. No single user security.’’ 112 should be able to unilaterally move or delete coordination in response to security Further, the Library has announced 101 digital content without following an threats. established procedure or system protocol, significant strides toward full More generally, the Library has sought which can be monitored according to the implementation of the GAO’s 2015 to provide greater coordination by documentation and recordkeeping of actions recommendations.113 Some commenters 107 centralizing all IT efforts under the in inventory logs. requested that the Office wait to issue a direction of the Office of the Chief The DCMC also sets out a set of final rule until the GAO’s thirty-one Information Officer (‘‘OCIO’’). As the principles to be followed by the Library public recommendations had been Librarian has explained, centralization in providing access to digital collections implemented.114 In late 2019, the was completed in October 2018 (after that are supplementary to the regulatory Librarian reported to Congress that all the close of the comment period), and restrictions established in 37 CFR but four of the public recommendations now OCIO serves as the ‘‘single 202.18, including ‘‘communicat[ing] have been implemented and closed, and authoritative source for technology’’ at known restrictions’’ on digital works to that the GAO is reviewing the Library’s the Library.102 The Library has stated patrons and requiring patrons seeking evidence for closing the final six (two of that it views IT centralization as key to use of digital items to ‘‘mak[e] which are not public).115 Moreover, enabling more efficient use of IT independent legal assessments and three of the four remaining public resources and improving IT security.103 secur[e] necessary permissions.’’ 108 recommendations do not directly In addition, in late 2019 the Library The Library’s security efforts are launched a Digital Collections implicate security, instead involving the bolstered by oversight from the OIG, adoption of organizational plans for cost Management Compendium (‘‘DCMC’’), which issues public reports detailing an online resource that collects the estimates, project scheduling, and the Library’s progress. For example, the customer satisfaction.116 The final Library’s policies and practices for OIG’s March 2019 semiannual report to management of its digital collections.104 Congress noted that the Library uses 112 Library of Congress Office of the Inspector The DCMC is intended to ‘‘broadly Security Information and Event explain the Library’s practices for General, Semiannual Report to Congress at 33 (Mar. Management (‘‘SIEM’’) functionality for 30, 2018), https://www.loc.gov/static/portals/about/ managing digital content for the ‘‘robust continuous monitoring office-of-the-inspector-general/annual-reports/ public.’’ 105 It includes information documents/March2018-semi-annual-report-to- capabilities and ongoing insight into IT congress.pdf. about how the Library keeps inventory 109 security control effectiveness.’’ The 113 and tracks use of digital material, who The GAO landing page for the report keeps OIG noted that it had engaged an IT track of which recommendations have been closed is responsible for the security of digital contractor to evaluate the Library’s and the status of those that remain open. U.S. collections, and what policies govern ‘‘SIEM implementation strategy and Government Accountability Office, Library of user permissions and periodic reviews Congress: Strong Leadership Needed to Address execution, internal controls, of staff accounts.106 For example, its Serious Information Technology Management configuration, and incident detection Weaknesses, https://www.gao.gov/products/GAO- guidance for digital collections security response,’’ and that the Library agreed 15-315#summary_recommend. See Government for stored digital content states: with all of the resulting Accountability Office, Strong Leadership Needed to Address Serious Information Technology To safeguard digital collections, the Library recommendations.110 OIG also monitors will develop and follow policies to ensure Management Weaknesses (Mar. 31, 2015), https:// the Library’s security practices in www.gao.gov/assets/670/669367.pdf (underlying that only authorized user accounts and report). systems may modify digital collection connection with its April 2015 report, which recommended that the Library, in 114 AAP Comment at 3 (‘‘AAP insists that it is premature for the Copyright Office to issue a final 101 Id. at 21. developing a comprehensive policy for rule for the benefit of the Library before there is 102 Nov. 2019 Senate Oversight Hearing at 23 digital collections, ensure that public accountability as to the Library’s (prepared statement of Carla Hayden, Librarian of electronic collections material be implementation of all of the Government Congress). protected by ‘‘robust security’’ to Accountability Office’s 2015 rectifying 103 Mar. 2019 Senate Oversight Hearing at 16. prevent ‘‘loss, alteration, and recommendations’’); Copyright Alliance Comment 104 at 4–5 (citing GAO report and recommending a See Library of Congress, Digital Collections 111 Management: About This Program, https://loc.gov/ unauthorized access’’ The OIG’s delay until ‘‘proper IT security and infrastructure is programs/digital-collections-management/about- March 2018 report stated that ‘‘the in place and fully functional’’). this-program/. Library’s IT Security Program and 115 Nov. 2019 Senate Oversight Hearing at 22–23 105 Library of Congress, Digital Collections (prepared statement of Carla Hayden, Librarian of Congress) (of the 107 total recommendations made Management: Frequently Asked Questions, https:// 107 Id. www.loc.gov/programs/digital-collections- by GAO, Library has closed 27 out of 31 public 108 Library of Congress, Principles of Access, management/about-this-program/frequently-asked- recommendations, 72 out of 74 non-public questions/. The information in the Compendium is https://www.loc.gov/programs/digital-collections- recommendations, and both recommendations for ‘‘specifically focused on a collections management management/access/principles-of-access/. See also Copyright Office technology); Oversight of approach to ongoing management of digital 2018 NPRM at 16275 (expanding 37 CFR 202.18 to Modernization of the United States Copyright collections’’ and thus ‘‘focuses less on the specific electronic deposits under this rule); 2016 NOI at Office, Hearing Before Senate Subcomm. on technical requirements of systems and more on the 30508. Intellectual Property, 116th Cong. 1 (Dec. 10, 2019) areas of work which are critical to the Library at 109 Library of Congress Office of the Inspector (prepared statement of Carla Hayden, Librarian of present, including digital formats, custody, and General, Semiannual Report to Congress at 10 (Mar. Congress), https://www.judiciary.senate.gov/imo/ inventory management.’’ Id. 29, 2019), https://www.loc.gov/static/portals/about/ media/doc/Hayden%20Testimony.pdf (‘‘Dec. 2019 106 Library of Congress, Digital Collections office-of-the-inspector-general/annual-reports/ Senate Oversight Librarian Statement’’) (‘‘[T]his Security, https://www.loc.gov/programs/digital- documents/March2019-OIG-Semiannual-Report-to- hard work has allowed us to close as implemented collections-management/inventory-and-custody/ Congress.pdf. nearly 95% of the IT recommendations made by the digital-collections-security/ (explaining that ‘‘digital 110 Id. Government Accountability Office (GAO) in 2015, collections security policies and systems ensure 111 Library of Congress Office of the Inspector and we will keep working until we close 100%.’’). that appropriate controls prevent unauthorized General, The Library Needs to Determine an 116 See U.S. Government Accountability Office, access, changes, deletion, or removal of collection eDeposit and eCollections Strategy at 35 (Apr. 24, Library of Congress: Strong Leadership Needed to content’’ and that the Library coordinates periodic 2015), https://www.loc.gov/static/portals/about/ Address Serious Information Technology account review to ‘‘ensure[ ] that appropriate access documents/edeposit-and-ecollections-strategy-april- Management Weaknesses, https://www.gao.gov/ levels are maintained for digital content managers, 2015.pdf (recommending Architecture Review products/GAO-15-315#summary_recommend and that account holders and system users Board be required to address eCollections security (comments in response to Recommendations 17, 18, represent currently active Library staff’’). needs). 30).

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outstanding public recommendation, Office believes that these security List of Subjects in 37 CFR Part 202 No. 22, calls for comprehensive and upgrades, together with the additional Copyright. effective security testing.117 In response, IT-related information made public the Library advised the GAO that it has since the close of the prior comment Proposed Regulations conducted monthly tests since August period, may reasonably address the For the reasons set forth in the 2015, and in November 2019 the Library concerns raised by commenters preamble, the Copyright Office proposes provided the GAO with security control regarding the security of digital amending 37 CFR part 202 as follows: assessments for select systems.118 The deposits.122 To ensure, however, that Library has advised Congress that it stakeholders have an adequate PART 202—PREREGISTRATION AND expects to achieve closure of these opportunity to consider and respond to REGISTRATION OF CLAIMS TO outstanding recommendations within the information provided on this COPYRIGHT the next several months.119 important issue, the Office invites While the Office appreciates further comment on this topic. ■ 1. The authority citation for part 202 commenters’ interest in full continues to read as follows: III. Subjects of Inquiry implementation of the GAO’s Authority: 17 U.S.C. 408(f), 702. recommendations, it does not appear After considering the comments in ■ that the few remaining open items response to the 2018 NPRM, the Office 2. Amend § 202.18 by: ■ a. Adding in paragraph (a) the words provide a basis for further delaying is proposing certain revisions to the issuance of the proposed rule, initial proposed rule. The amended rule: ‘‘and § 202.19, and transferred into the particularly given the Library’s overall (1) Redefines an ‘‘electronic-only Library of Congress’s collections,’’ after efforts with respect to IT security since book’’ to clarify that short online works, ‘‘under § 202.4(e)’’ in the first sentence; ■ b. Adding in paragraph (b), the words 2018. Collectively, those efforts support such as social media posts, are not ‘‘and § 202.19’’ after ‘‘under § 202.4(e)’’ the Library’s statement that it has intended to be encompassed by the rule; in the first sentence; ‘‘invested heavily in the optimization (2) Clarifies that books that are ■ c. Adding in paragraph (c), the words and centralization of information preloaded onto electronic devices before ‘‘and § 202.19’’ after ‘‘under § 202.4(e)’’ technology’’ and that ‘‘from a those devices are sold to consumers are in the first sentence, and d. Adding technological perspective, the Library of subject to the rule, provided they paragraph (f) to read as follows: Congress today is a fundamentally otherwise meet its requirements; different institution than it was just (3) Modifies the definitional language § 202.18 Access to electronic works. 120 to further clarify when print-on-demand three short years ago.’’ Further, the * * * * * Library has repeatedly expressed a books are to be deemed ‘‘available only online’’; and (f) Except as provided under special commitment ‘‘to ensure the security of relief agreements entered into pursuant the digital content in [its] care.’’ 121 The (4) Removes the requirement that all technological protection measures be to § 202.19(e) or § 202.20(d), electronic works will be transferred to the Library 117 Id. (‘‘To better protect IT systems and reduce removed, while retaining the general the risk that the information they contain will be requirement that deposits be able to be of Congress for its collections and made compromised, the Librarian should conduct ‘‘accessed and reviewed by the available only under the conditions comprehensive and effective security testing for all Copyright Office, Library of Congress, specified by this section. systems within the time frames called for by Library ■ 3. Amend § 202.19 by: policy, to include assessing security controls that and the Library’s authorized users on an ongoing basis.’’ ■ a. Revising paragraph (b)(4), and are inherited from the Library’s information ■ security program.’’). The Copyright Office invites comment b. Adding in paragraph (c)(5), the 118 Id. (comments in response to from the public on these proposed words ‘‘electronic-only books and’’ after Recommendation 22). amendments and on the other matters the words ‘‘This exemption includes’’. 119 See Nov. 2019 Senate Oversight Hearing at 14 The revisions read as follows: (testimony by Bernard A. Barton, Jr., Chief discussed in this notice. Information Officer, Library of Congress) (‘‘We are § 202.19 Deposit of published copies or in constant communication with the GAO and of Congress, Digital Strategy at 4 (Apr. 26, 2019), phonorecords for the Library of Congress. providing evidence on closing out the remaining six https://www.loc.gov/static/portals/digital-strategy/ finding. I do not have any concerns about being able documents/Library-of-Congress-Digital-Strategy- * * * * * to meet that by the end of this fiscal year.’’); Dec. v1.1.2.pdf (‘‘Promoting creativity and building (b) * * * 2019 Senate Oversight Librarian Statement at 1 cultural heritage collections entails protecting (4) For purposes of paragraph (c)(5) of (‘‘this hard work has allowed us to close as creators’ intellectual property rights. This this section: implemented nearly 95% of the IT responsibility is salient at the Library, as the home recommendations made by the Government of the United States Copyright Office. We will (i) An electronic-only serial is a serial Accountability Office (GAO) in 2015, and we will explore creative solutions to reduce the barriers to as defined in § 202.3(b)(1)(v) that is keep working until we close 100%’’). material while respecting the rights of creators, the published in electronic form in the 120 Dec. 2019 Senate Oversight Barton Statement desires of our donors, and our other legal and ethical responsibilities.’’). United States and available only online. at 1. (ii) An electronic-only book is an 121 Id. at 3; Mar. 2019 Senate Oversight Hearing 122 The Library has also sought stakeholder input at 16 (Mar. 6, 2019) (testimony by Carla Hayden, when making technology decisions, providing electronic literary work published in Librarian of Congress) (stating that ‘‘security is of opportunities for commenters to advise on the one volume or a finite number of paramount importance’’ in response to question Library’s security practices. See Dec. 2019 Senate volumes published in the United States about whether Library was prepared for security Oversight Barton Statement at 1 (thanking leaders and available only online. This class threats to Library and Copyright Office materials); of subcommittee ‘‘for facilitating the opportunity for Oversight of the Library of Congress’ Information . . . me to speak with copyright stakeholders last excludes literary works distributed Technology Management, Hearing Before the House month about modernization,’’ as such dialogue solely in phonorecords (e.g., Committee on Administration, 115th Cong. 10 (June ‘‘goes a long way to increase transparency and audiobooks), serials (as defined in 8, 2017) (testimony of Bernard A. Barton, Jr., Chief clarify OCIO’s role in the copyright modernization Information Officer, Library of Congress) https:// process’’); Library of Congress, Library of Congress § 202.3(b)(1)(v)), computer programs, www.govinfo.gov/content/pkg/CHRG- Fiscal 2020 Budget Justification at 121, https:// websites, blogs, emails, and short online 115hhrg27632/pdf/CHRG-115hhrg27632.pdf (‘‘As www.loc.gov/static/portals/about/reports-and- literary works such as social media confidential consultants to the Congress, budgets/documents/budgets/fy2020.pdf (‘‘the USCO posts. administrator of the national copyright system, and and Library’s OCIO will provide opportunities for stewards of the Nation’s cultural history, the broad involvement’’ through ‘‘[o]ngoing stakeholder (iii) A work shall be deemed to be Library is well aware of the need to ensure security outreach’’ in modernizing Copyright Office available only online even if copies of the digital content in our care.’’); see also Library systems). have been made available to individual

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consumers to print on demand, so long b. Page-oriented rendition: iii. Other widely-used book DTD/schemas as the work is otherwise available only i. PDF/UA (Portable Document Format/ (e.g., TEI, DocBook, etc.). online. A work also shall be deemed to Universal Accessibility; compliant with ISO b. Page-oriented rendition: be available only online even if copies 14289–1). i. PDF/UA (Portable Document Format/ ii. PDF/A (Portable Document Format/ Universal Accessibility; compliant with ISO have been loaded onto electronic Archival; compliant with ISO 19005). 14289–1). devices, such as tablets or e-readers, in iii. PDF (Portable Document Format, with ii. PDF/A (Portable Document Format/ advance of sale to individual searchable text, rather than without; highest Archival; compliant with ISO 19005). consumers, so long as the work is quality available, with features such as ii. PDF (Portable Document Format; highest otherwise available only online. searchable text, embedded fonts, lossless quality available, with features such as * * * * * compression, high resolution images, device- searchable text, embedded fonts, lossless ■ 4. Amend § 202.24 by: independent specification of colorspace; compression, high resolution images, device- ■ a. Removing in paragraph (a)(2), the content tagging; includes document formats independent specification of colorspace; such as PDF/X). words ‘‘works’’ and adding in its place content tagging; includes document formats c. Other structured or markup formats: such as PDF/X). the words ‘‘electronic-only serials’’. i. Widely-used serials or journal non- ■ b. Redesignating paragraphs (a)(3) and c. Other structured markup formats: proprietary XML-based DTDs/schemas with i. XHTML or HTML, with DOCTYPE (4) as paragraphs (a)(4) and (5), presentation stylesheet(s). declaration and presentation stylesheet(s). respectively. ii. Proprietary XML-based format for serials ii. XML-based document formats (widely- ■ c. Adding new paragraph (a)(3). or journals (with documentation) with DTD/ used and publicly-documented), with ■ d. Removing in paragraph (b), the schema and presentation stylesheet(s). presentation style sheet(s) if applicable. iii. XHTML or HTML, with DOCTYPE words ‘‘online-only’’ and adding in its Includes ODF (ISO/IEC 26300) and OOXML declaration and presentation stylesheet(s). place the words ‘‘electronic-only’’. (ISO/IEC 29500). iv. XML-based document formats (widely ■ e. Revising paragraph (c)(3). iii. SGML, with included or accessible used and publicly documented). With The addition and revision reads as DTD. presentation stylesheets, if applicable. follows: iv. Other XML-based non-proprietary Includes ODF (ISO/IEC 26300) and OOXML formats, with presentation stylesheet(s). (ISO/IEC 29500). § 202.24 Deposit of published electronic v. XML-based formats that use proprietary d. PDF (web-optimized with searchable works available only online. DTDs or schemas, with presentation text). stylesheet(s). * * * * * e. Other formats: d. PDF (web-optimized with searchable (a) * * * i. Rich text format. text). (3) Demands may be made only for ii. Plain text. electronic-only books published on or iii. Widely-used proprietary word e. Other formats: after EFFECTIVE DATE OF RULE. processing or page-layout formats. i. Rich text format. ii. Plain text. * * * * * iv. Other text formats not listed here. 2. Metadata Elements: If included with iii. Widely-used proprietary word (c) * * * processing formats. (3) ‘‘Electronic-only’’ works are published version of work, descriptive data (metadata) as described below should iv. Other text formats not listed here. electronic works that are published and 2. Metadata Elements: If included with available only online. accompany the deposited material: a. Title level metadata: Serial or journal published version of work, descriptive data * * * * * title, ISSN, publisher, frequency, place of (metadata) as described below should accompany the deposited material: Appendix B to Part 202 [Amended] publication. b. Article level metadata, as relevant/or a. As supported by format (e.g., standards- ■ 6. Amend Appendix B to Part 202 by applicable: Volume(s), number(s), issue based formats such as ONIX, XMP, MODS, or revising paragraph IX to read as follows: dates(s), article title(s), article author(s), MARCXML either embedded in or accompanying the digital item): Title, creator, * * * * * article identifier (DOI, etc.). c. With other descriptive metadata (e.g., creation date, place of publication, publisher/ IX. Electronic-Only Works Published in the subject heading(s), descriptor(s), abstract(s)), producer/distributor, ISBN, contact United States and Available Only Online rather than without. information. The following encodings are listed in 3. Completeness: b. Include if part of published version of descending order of preference for all a. All elements considered integral to the work: Language of work, other relevant deposits in all categories below: publication and offered for sale or identifiers (e.g., DOI, LCCN, etc.), edition, 1. UTF–8. distribution must be deposited—e.g., articles, subject descriptors, abstracts. 2. UTF–16 (with BOM). table(s) of contents, front matter, back matter, 3. Rarity and Special Features: 3. US–ASCII. etc. Includes all associated external files and a. Limited editions (including those with 4. ISO 8859. fonts considered integral to or necessary to special features such as high resolution 5. All other character encodings. view the work as published. images.) A. Electronic-Only Serials: b. All updates, supplements, releases, and b. Editions with the greatest number of 1. Content Format: supersessions published as part of the work unique features (such as additional content, a. Serials-specific structured/markup and offered for sale or distribution must be multimedia, interactive elements.) format: deposited and received in a regular and 4. Completeness: i. Content compliant with the NLM Journal timely manner for proper maintenance of the a. For items published in a finite number Archiving (XML) Document Type Definition deposit. of separate components, all elements (DTD), with presentation stylesheet(s), rather 4. Technological measures that control published as part of the work and offered for than without NISO JATS: Journal Article Tag access to or use of the work should be sale or distribution must be deposited. Suite (NISO Z39.96–201x) with XSD/XSL removed. Includes all associated external files and presentation stylesheet(s) and explicitly B. Electronic-Only Books: fonts considered integral to or necessary to stated character encoding. 1. Content Format: view the work as published. ii. Other widely used serials or journal a. Book-specific structured/markup format, b. All updates, supplements, releases, and XML DTDs/schemas, with presentation i.e., XML-based markup formats, with supersessions published as part of the work stylesheet(s), rather than without. included or accessible DTD/schema, XSD/ and offered for sale or distribution must be iii. Proprietary XML format for serials or XSL presentation stylesheet(s), and explicitly submitted and received in a regular and journals (with documentation), with DTD/ stated character encoding: timely manner for proper maintenance of the schema and presentation stylesheet(s), rather i. BITS-compliant (NLM Book DTD). deposit. than without. ii. EPUB-compliant. 5. Technological Protection Measures:

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a. Copies published in formats that do not The written comment is considered the Area as nonattainment for the 1997 8-hr contain technological measures controlling official comment and should include ozone NAAQS. access to or use of the work. discussion of all points you wish to Once a nonattainment area has three b. Copies published with technological years of complete and certified air measures that control access to or use of the make. EPA will generally not consider work, and for which the owner has elected comments or comment contents located quality data that has been determined to to remove such technological measures. outside of the primary submission (i.e., attain the NAAQS, and the area has met c. Copies otherwise provided in a manner on the web, cloud, or other file sharing the other criteria outlined in CAA that meets the requirements of § 202.24(a)(5). system). For additional submission section 107(d)(3)(E),2 the state can * * * * * methods, please contact the person submit a request to EPA to redesignate FOR FURTHER the area to attainment. Areas that have Dated: June 11, 2020. identified in the INFORMATION CONTACT section. For the been redesignated by EPA from Regan A. Smith, full EPA public comment policy, nonattainment to attainment are referred General Counsel and Associate Register of information about CBI or multimedia to as ‘‘maintenance areas.’’ One of the Copyrights. submissions, and general guidance on criteria for redesignation is to have an [FR Doc. 2020–12969 Filed 6–26–20; 8:45 am] making effective comments, please visit approved maintenance plan under CAA BILLING CODE 1410–30–P https://www.epa.gov/dockets/ section 175A. The maintenance plan commenting-epa-dockets. must demonstrate that the area will continue to maintain the standard for FOR FURTHER INFORMATION CONTACT: ENVIRONMENTAL PROTECTION the period extending 10 years after AGENCY Gregory Becoat, Planning & redesignation, and it must contain such Implementation Branch (3AD30), Air & additional measures as necessary to 40 CFR Part 52 Radiation Division, U.S. Environmental ensure maintenance as well contingency Protection Agency, Region III, 1650 measures as necessary to assure that [EPA–R03–OAR–2020–0194; FRL 10010–69– Arch Street, Philadelphia, Pennsylvania Region 3] violations of the standard will be 19103. The telephone number is (215) promptly corrected. Air Plan Approval; West Virginia; 1997 814–2036. Mr. Becoat can also be On July 11, 2006 (71 FR 39001, 8-Hour Ozone Standard Second reached via electronic mail at effective August 10, 2006), EPA Maintenance Plan for the Charleston, [email protected]. approved a redesignation request (and West Virginia Area Comprising SUPPLEMENTARY INFORMATION: On maintenance plan) from WVDEP for the Kanawha and Putnam Counties December 10, 2019, WVDEP submitted Charleston Area. In accordance with a revision to the West Virginia SIP to section 175A(b), at the end of the eighth AGENCY: Environmental Protection incorporate a plan for maintaining the year after the effective date of the Agency (EPA). 1997 ozone NAAQS through August 10, redesignation, the state must also ACTION: Proposed rule. 2026, in accordance with CAA section submit a second maintenance plan to ensure ongoing maintenance of the SUMMARY: The Environmental Protection 175A. standard for an additional 10 years. Agency (EPA) is proposing to approve a I. Background EPA’s final implementation rule for state implementation plan (SIP) revision In 1979, under section 109 of the the 2008 ozone NAAQS revoked the submitted by the State of West Virginia. 1997 ozone NAAQS and provided that This revision pertains to the West CAA, EPA established primary and secondary NAAQS for ozone at 0.12 one consequence of revocation was that Virginia Department of Environmental areas that had been redesignated to Protection’s (WVDEP) plan for parts per million (ppm), averaged over a 1-hour period. 44 FR 8202 (February attainment (i.e., maintenance areas) for maintaining the 1997 8-hour ozone the 1997 NAAQS no longer needed to national ambient air quality standards 8, 1979). On July 18, 1997 (62 FR 38856),1 EPA revised the primary and submit second 10-year maintenance (NAAQS) for the Charleston Area plans under CAA section 175A(b).3 (comprising Kanawha and Putnam secondary NAAQS for ozone to set the acceptable level of ozone in the ambient However, in South Coast Air Quality Counties). This action is being taken Management District v. EPA 4 (South under the Clean Air Act (CAA). air at 0.08 ppm, averaged over an 8-hour period. EPA set the 8-hour ozone Coast II), the United States Court of DATES: Written comments must be Appeals for the District of Columbia received on or before July 29, 2020. NAAQS based on scientific evidence demonstrating that ozone causes (D.C. Circuit) vacated EPA’s ADDRESSES: Submit your comments, adverse health effects at lower interpretation that, because of the identified by Docket ID No. EPA–R03– concentrations and over longer periods revocation of the 1997 ozone standard, OAR–2020–0194 at https:// of time than was understood when the second maintenance plans were not www.regulations.gov, or via email to pre-existing 1-hour ozone NAAQS was required for ‘‘orphan maintenance [email protected]. For set. Following promulgation of a new or areas,’’ (i.e., areas like Kanawha and comments submitted at Regulations.gov, Putnam Counties) that had been revised NAAQS, EPA is required by the follow the online instructions for redesignated to attainment for the 1997 CAA to designate areas throughout the submitting comments. Once submitted, NAAQS and were designated attainment nation as attaining or not attaining the comments cannot be edited or removed for the 2008 ozone NAAQS. Thus, states NAAQS. On April 30, 2004 (69 FR from Regulations.gov. For either manner 23858), EPA designated the Charleston of submission, EPA may publish any 2 The requirements of CAA section 107(d)(3)(E) comment received to its public docket. include attainment of the NAAQS, full approval 1 In March 2008, EPA completed another review under section 110(k) of the applicable SIP, Do not submit electronically any of the primary and secondary ozone standards and determination that improvement in air quality is a information you consider to be tightened them further by lowering the level for result of permanent and enforceable reductions in confidential business information (CBI) both to 0.075 ppm. 73 FR 16436 (March 27, 2008). emissions, demonstration that the state has met all or other information whose disclosure is Additionally, in October 2015, EPA completed a applicable section 110 and part D requirements, and review of the primary and secondary ozone a fully approved maintenance plan under CAA restricted by statute. Multimedia standards and tightened them by lowering the level section 175A. submissions (audio, video, etc.) must be for both to 0.70 ppm. 80 FR 65292 (October 26, 3 See 80 FR 12315 (March 6, 2015). accompanied by a written comment. 2015). 4 882 F.3d 1138 (D.C. Cir. 2018).

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with these ‘‘orphan maintenance areas’’ demonstrating that the area’s design of actual emissions for an attainment under the 1997 ozone NAAQS must value 7 was well below the NAAQS and year which identifies the level of submit maintenance plans for the that the historical stability of the area’s emissions in the area which is sufficient second maintenance period. air quality levels showed that the area to maintain the NAAQS. The inventory As previously discussed, CAA section was unlikely to violate the NAAQS in should be developed consistent with 175A sets forth the criteria for adequate the future. Specifically, EPA believes EPA’s most recent guidance. For ozone, maintenance plans. In addition, EPA that if the most recent air quality design the inventory should be based on has published longstanding guidance value for the area is at a level that is typical summer day’s emissions of below 85% of the standard, or in this that provides further insight on the oxides of nitrogen (NOX) and volatile case below 0.071 ppm, then EPA content of an approvable maintenance organic compounds (VOC), the considers the state to have met the plan, explaining that a maintenance precursors to ozone formation. In the section 175A requirement for a plan should address five elements: (1) first maintenance plan for the An attainment emissions inventory; (2) demonstration that the area will maintain the NAAQS for the requisite Charleston Area, WVDEP used 2004 for a maintenance demonstration; (3) a period. Accordingly, on December 10, the attainment year inventory, because commitment for continued air quality 2019, WVDEP submitted a second 2004 was one of the years in the 2002– monitoring; (4) a process for verification maintenance plan for the Charleston 2004 three-year period when the area of continued attainment; and (5) a Area, following EPA’s LMP guidance first attained the 1997 8-hour ozone contingency plan. The Calcagni memo 5 and demonstrating that the area will NAAQS. The Charleston Area continued provides that states may generally maintain the 1997 ozone NAAQS to monitor attainment of the 1997 8- demonstrate maintenance by either through August 10, 2026, i.e., through hour ozone NAAQS in 2014. Therefore, performing air quality modeling to show the end of the 20-year maintenance the emissions inventory from 2014 the future mix of sources and emission period. represents emissions levels conducive rates will not cause a violation of the NAAQS or by showing that future II. Summary of SIP Revision and EPA to continued attainment (i.e., emissions of a pollutant and its Analysis maintenance) of the NAAQS. Thus, precursors will not exceed the level of WVDEP is using 2014 as representing WVDEP’s December 10, 2019 SIP attainment level emissions for its emissions during a year when the area submittal outlines a plan for continued second maintenance plan. WVDEP used was attaining the NAAQS (i.e., maintenance of the 1997 ozone NAAQS 2014 summer day emissions from EPA’s attainment year inventory). See Calcagni which addresses the criteria set forth in Memo at 9. EPA further clarified in the Calcagni memo as follows. 2014 version 7.0 modeling platform as three subsequent guidance memos the basis for the 2014 inventory describing ‘‘limited maintenance plans’’ A. Attainment Emissions Inventory presented in Table 1.8 (LMPs) 6 that the requirements of CAA A state should develop a section 175A could be met by comprehensive and accurate inventory

TABLE 1—2014 TYPICAL SUMMER DAY VOC AND NOX EMISSIONS [tons/day] 9

Area Source category VOC NOX

Kanawha County ...... Fire ...... 2.18 0.15 Nonpoint ...... 22.23 6.17 Nonroad ...... 4.58 1.60 Onroad ...... 5.21 13.27 Point ...... 3.71 16.39

Subtotal ...... 38 38

Putnam County ...... Fire ...... 0.00 0.00 Nonpoint ...... 4.65 2.18 Nonroad ...... 0.62 0.47 Onroad ...... 1.27 3.24 Point ...... 0.62 10.93

Subtotal ...... 7 17

Charleston Area, WV ...... Totals ...... 45 54

5 ‘‘Procedures for Processing Requests to Joseph Paisie, OAQPS, dated October 6, 1995; and 8 On April, 22, 2020, WVDEP submitted a Redesignate Areas to Attainment,’’ Memorandum ‘‘Limited Maintenance Plan Option for Moderate clarifying letter to EPA noting that the headings in from John Calcagni, Director, Air Quality PM10 Nonattainment Areas’’ from Lydia Wegman, Table 4 of its submittal were inadvertently titled, Management Division, September 4, 1992 (Calcagni OAQPS, dated August 9, 2001. ‘‘2014 Summertime Daily NOX Emissions (tpd)’’ Memo). instead of ‘‘2014 Summertime Daily VOC Emissions 7 The ozone design value for a monitoring site is 6 See ‘‘Limited Maintenance Plan Option for (tpd).’’ EPA does not believe that this mislabeling the 3-year average of the annual fourth-highest daily Nonclassifiable Ozone Nonattainment Areas’’ from negatively impacts proposed approval of this SIP Sally L. Shaver, Office of Air Quality Planning and maximum 8-hour average ozone concentrations. revision. Standards (OAQPS), dated November 16, 1994; The design value for an ozone nonattainment area 9 Data in Table 1 of the preamble only includes ‘‘Limited Maintenance Plan Option for is the highest design value of any monitoring site tons/day. See Tables 3 and 4 of WVDEP’s December Nonclassifiable CO Nonattainment Areas’’ from in the area. 10, 2019 submittal for data in tons/year.

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The 2014 emissions inventory was generating units, and pharmaceutical measures are not necessary to assure prepared by WVDEP and uploaded into factories. On-road mobile emissions are maintenance). EPA’s Emissions Inventory System (EIS) modelled by WVDEP using EPA’s Motor For the purposes of demonstrating a for inclusion in EPA’s National Vehicle Emission Simulator (MOVES). stable or improving air quality trend, Emission Inventory (NEI). The inventory WVDEP generates nonroad mobile West Virginia used a weighted design addresses four anthropogenic emission source emissions data through the use of value of the most recent five design source categories: Stationary (point) EPA’s NONROAD2014a model. EPA values. The five most recent design sources, stationary nonpoint (area) reviewed the supporting documentation values available cover the 2012–2018 sources, nonroad mobile, and on-road submitted by WVDEP 10 and proposes to ambient air monitoring data. This mobile sources. Point sources are conclude that the plan’s inventory is includes 3-year design values for 2012– stationary sources that have the acceptable for the purposes of a 2014, 2013–2015, 2014–2016, 2015– potential to emit (PTE) more than 100 subsequent maintenance plan under 2017, and 2016–2018. Data from 2014, tons per year (tpy) of VOC, or more than CAA section 175A(b).11 2015, and 2016 was included in three 50 tpy of NO , and which are required out of five design values. Table 2 shows X B. Maintenance Demonstration to obtain an operating permit. Data are the most recent five years of ambient collected for each source at a facility In order to attain the 1997 ozone ozone air quality 3-year design values. and reported to WVDEP. NAAQS, the three-year average of the These design values are from EPA’s Air The fire emissions sector includes fourth-highest daily average ozone Quality System (AQS). The 7th column emissions from agricultural burning, concentrations (design value, DV) at is the 5-year weighted design value prescribed fires, wildfires, and other each monitor within an area must not calculated by West Virginia. This 5-year types of fires. The nonpoint emissions exceed 0.08 ppm. Based on the weighted design value was calculated sector includes emissions from rounding convention described in 40 by averaging all the 4th Max Ozone equipment, operations, and activities CFR part 50, appendix I, the standard is values from the years 2012–2018. The that are numerous and in total have attained if the DV is 0.084 or below. 8th column is the 5-year design value significant emissions. Examples include CAA section 175A requires a average calculated by EPA. The 5-year emissions from commercial and demonstration that the area will design value average is calculated by consumer products, portable fuel continue to maintain the NAAQS averaging the design values for 2012– containers, home heating, repair and throughout the duration of the requisite 2014, 2013–2015, 2014–2016, 2015– refinishing operations, and crematories. maintenance period. Consistent with the 2017, and 2016–2018. Both the 5-year The non-road emissions sector includes prior guidance documents discussed weighted design value calculated by emissions from engines that are not previously in this document, EPA West Virginia, and the 5-year design primarily used to propel transportation believes that if the most recent DV for value average calculated by EPA, for the equipment, such as generators, forklifts, the area is well below the NAAQS (e.g., Charleston area, were calculated to be and marine pleasure craft. The on-road below 85%, or in this case below 0.071 0.067 ppm, which is below the 0.071 emissions sector includes emissions ppm), the section 175A demonstration ppm threshold level and 79% of the from engines used primarily to propel requirement has been met, provided that NAAQS. Table 2 shows that the most equipment on highways and other Prevention of Significant Deterioration recent five years of ambient ozone air roads, including passenger vehicles, (PSD) requirements, any control quality 3-year average DVs for the motorcycles, and heavy-duty diesel measures already in the SIP, and any Charleston Area continue to be below trucks. The point source sector includes Federal measures remain in place 85% of the 1997 ozone NAAQS. It large industrial operations that are through the end of the second 10-year demonstrates that 8-hour ozone air relatively few in number but have large maintenance period (absent a showing quality levels are significantly below the emissions, such as kraft mills, electrical consistent with section 110(l) that such level of the standard.

TABLE 2—CHARLESTON AREA 8-HOUR OZONE DESIGN VALUES IN PART PER MILLION [ppm]

5-Year design Site 2012–2014 2013–2015 2014–2016 2015–2017 2016–2018 5-Year value average Projected weighted (ppm) 2023

Charleston, WV...... 0.069 0.067 0.067 0.067 0.067 0.067 0.067 0.060

For the 2023 projections shown in simulation period. These include remained unchanged for the future-year Table 2, EPA used a 2011-based air gridded, hourly emissions estimates and model simulations. The 2011 modeling quality modeling platform, which meteorological data, and boundary platform and projected 2023 emissions includes emissions, meteorology, and concentrations. Separate emissions were used to drive the 2011 base year other inputs for 2011 as the base year inventories were prepared for the 2011 and 2023 future case air quality model and emissions for 2023 as the future base year and the 2023 base case. All simulations. The 2023 projected DV for analytic year base case. Specifically, the other inputs (i.e., meteorological fields, the Charleston Area is 0.060 ppm, well modeling platform included a variety of initial concentrations, and boundary below the level of the 1997 8-hour data that contained information concentrations) were specified for the ozone NAAQS, 0.08 ppm. Therefore, pertaining to the modeling domain and 2011 base year model application and EPA proposes to determine that that

10 See Appendix C of WVDEP’s December 10, were excerpted from: https://www.epa.gov/sites/ www.epa.gov/ground-level-ozone-pollution/1997- 2019 submittal. production/files/2018-11/ozone_1997_naaqs_ ozonenational-ambient-air-quality-standards- 11 The daily emissions data for 2014 typical emiss_inv_data_nov_19_2018_0.xlsx (‘‘2014 2028 naaqs-nonattainment. summer day VOC and NOX emissions in Table 1 area emiss by sector’’ tab) posted at https://

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future violations of the NAAQS in this a violation of the NAAQS that might compliance with open burning area are unlikely. occur after redesignation of an area to restrictions, and school bus engine The 2023 design value of 0.060 ppm attainment. Section 175A of the CAA retrofit program). projected by EPA includes 2011 requires that a maintenance plan If there is indeed a violation and the emissions from the Appalachian Power include such contingency measures as DV exceeds the NAAQS, the Company—Kanawha River Plant (54– EPA deems necessary to assure that the contingency plan will be ‘‘triggered,’’ 039–00006), which was a contributor to state will promptly correct a violation of based on the following schedule: (1) the 2011 base year emissions used to the NAAQS that occurs after Quality assurance procedures must develop the 2023 projections. This redesignation. The maintenance plan confirm the monitored violation within facility was permanently shut down on should identify the contingency 45 days of occurrence; (2) a draft rule June 1, 2015 and Appalachian Power measures to be adopted, a schedule and would be developed by the WVDEP for Company officially withdrew their air procedure for adoption and any regulation chosen, (3) WVDEP will permits for the Kanawha River Plant. implementation of the contingency adopt the selected control measure(s) as Therefore, the elimination of measures, and a time limit for action by emergency rule(s) which will be approximately 2,500 tons per year of the state. The state should also identify implemented within six months after NOX emissions is expected to drive specific indicators to be used to adoption and will file the rule(s) as projected design values even lower. determine when the contingency legislative rule(s) for permanent Other facility emission reductions are measures need to be adopted and authorization by the legislature; and (4) expected to occur before 2023. With this implemented. The maintenance plan for each voluntary measure selected, the consideration, and based on EPA’s 2023 must include a requirement that the WVDEP will initiate program projection data source, the actual design state will implement all pollution development with local governments values for 2023 are expected to be lower control measures that were contained in within the area by the start of the than what EPA has projected.12 the SIP before redesignation of the area following ozone season. Furthermore, if the triennial C. Continued Air Quality Monitoring to attainment. See section 175A(d) of the CAA. WVDEP’s December 10, 2019 inventories indicate emissions growth and Verification of Continued in excess of 10% of the 2011 base-year Attainment submittal outlines its adopted permanent and Federally enforceable inventory or if a monitored ozone air Once an area has been redesignated to control measures in order to regulate quality exceedance pattern indicates attainment, the state remains obligated emission growth. The Charleston Area’s that an ozone NAAQS violation may be to maintain an air quality network in control measures include the permitting imminent, WVDEP will evaluate accordance with 40 CFR part 58, in regulations and PSD measures, which existing control measures to ascertain if order to verify the area’s attainment will remain in effect through the additional regulatory revisions are necessary to maintain the ozone status. In the December 10, 2019 maintenance plan period. Air permits standards. submittal, West Virginia committed to issued will incorporate applicable PSD, EPA finds that West Virginia’s maintaining an appropriate air quality New Source Performance Standard, and monitoring network, in accordance with contingency measures, as well as the National Emission Standards for commitment to continue implementing 40 CFR part 58. West Virginia will Hazardous Air Pollutant requirements. continue to conduct ambient ozone air any SIP requirements, satisfy the WVDEP’s December 10, 2019 quality monitoring in the area pertinent requirements of section 175A. submittal included the required throughout the term of the maintenance Importantly, while EPA notes that West contingency plan, to be implemented in plan to verify continued attainment Virginia’s contingency measures option the event of NAAQS violations in the with the 1997 8-hour ozone NAAQS and six (increasing public understanding) future. WVDEP has committed to to protect any applicable PSD and seven (voluntary local control adopting and implementing one or more increments. WVDEP states that air measures), are not enforceable measures of the following control measures quality measurements will be performed that standing alone are likely to lead to within three months after verification of in accordance with appropriate reductions in emissions that could a monitored ozone standard violation in regulations and guidance documents promptly correct a violation of the the Charleston Area: (1) Extend the along with EPA quality assurance NAAQS, their inclusion among other applicability of the VOC reasonably requirements, and monitoring measures that meet that criterion, is available control technology (RACT) procedures will be determined in overall SIP-strengthening, and their rule to include source categories accordance with 40 CFR part 58. inclusion does not alter EPA’s proposal previously excluded (e.g., wastewater WVDEP commits to submitting quality- to find the LMP is fully approvable. treatment facilities); (2) revise assured ozone data to EPA through the permitting requirements establishing E. Transportation Conformity AQS and ultimately certified by the more stringent emissions control Transportation conformity is required WVDEP. EPA has analyzed the measures and/or emissions offsets; (3) by section 176(c) of the CAA. commitments in the plan and implement NO Conformity to a SIP means that determined that they meet the X RACT requirements if transportation activities will not requirements. necessary; (4) develop regulations to establish plant-wide emission caps; (5) produce new air quality violations, D. Contingency Plan implement Stage II Vapor Recovery worsen existing violations, or delay The contingency plan provisions are regulations; (6) establish a program timely attainment of the NAAQS (CAA designed to promptly correct or prevent focusing on increasing the public’s 176(c)(1)(B)). EPA’s conformity rule at understanding of air quality issues and 40 CFR part 93 requires that 12 In June 2018, EPA issued a technical support increasing support for actions to transportation plans, programs and document (TSD) entitled, ‘‘Air Quality Modeling improve the air quality; and (7) initiate projects conform to SIPs and establish Technical Support Document for the Updated 2023 voluntary local control measures (e.g., the criteria and procedures for Projected Ozone Design Values’’. This TSD describes the air quality modeling EPA performed bicycle/pedestrian measures, engine determining whether or not they to projected ozone design values at individual idling reduction, partnership with conform. The conformity rule generally monitoring sites to 2023. ground freight industry, increase requires a demonstration that emissions

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from the Regional Transportation Plan IV. Statutory and Executive Order implications as specified by Executive (RTP) and the Transportation Reviews Order 13175 (65 FR 67249, November 9, Improvement Program (TIP) are Under the CAA, the Administrator is 2000), because the SIP is not approved consistent with the motor vehicle required to approve a SIP submission to apply in Indian country located in the emissions budget (MVEB) contained in that complies with the provisions of the state, and EPA notes that it will not the control strategy SIP revision or CAA and applicable Federal regulations. impose substantial direct costs on tribal maintenance plan (40 CFR 93.101, 42 U.S.C. 7410(k); 40 CFR 52.02(a). governments or preempt tribal law. 93.118, and 93.124). An MVEB is Thus, in reviewing SIP submissions, List of Subjects in 40 CFR Part 52 defined as ‘‘that portion of the total EPA’s role is to approve state choices, Environmental protection, Air allowable emissions defined in the provided that they meet the criteria of pollution control, Incorporation by submitted or approved control strategy the CAA. Accordingly, this action reference, Nitrogen dioxide, Ozone, implementation plan revision or merely approves state law as meeting Volatile organic compounds. maintenance plan for a certain date for Federal requirements and does not the purpose of meeting reasonable impose additional requirements beyond Dated: June 16, 2020. further progress milestones or those imposed by state law. For that Cosmo Servidio, demonstrating attainment or reason, this proposed action: Regional Administrator, Region III. maintenance of the NAAQS, for any • Is not a ‘‘significant regulatory [FR Doc. 2020–13453 Filed 6–26–20; 8:45 am] criteria pollutant or its precursors, action’’ subject to review by the Office BILLING CODE 6560–50–P allocated to highway and transit vehicle of Management and Budget under use and emissions (40 CFR 93.101).’’ Executive Orders 12866 (58 FR 51735, October 4, 1993) and 13563 (76 FR 3821, ENVIRONMENTAL PROTECTION Under the conformity rule, LMP areas January 21, 2011); AGENCY may demonstrate conformity without a • Is not an Executive Order 13771 (82 regional emission analysis (40 CFR FR 9339, February 2, 2017) regulatory 40 CFR Part 52 93.109(e)). However, because LMP areas action because SIP approvals are are still maintenance areas, certain [EPA–R03–OAR–2020–0195; FRL 10010–70– exempted under Executive Order 12866. Region 3] aspects of transportation conformity • Does not impose an information determinations still will be required for collection burden under the provisions Air Plan Approval; West Virginia; 1997 transportation plans, programs and of the Paperwork Reduction Act (44 8-Hour Ozone Standard Second projects. Specifically, for such U.S.C. 3501 et seq.); Maintenance Plan for the West Virginia determinations, RTPs, TIPs and • Is certified as not having a Portion of the Steubenville-Weirton, transportation projects still will have to significant economic impact on a OH-WV Area Comprising Brooke and demonstrate that they are fiscally substantial number of small entities Hancock Counties constrained (40 CFR 93.108), meet the under the Regulatory Flexibility Act (5 criteria for consultation (40 CFR 93.105 U.S.C. 601 et seq.); AGENCY: Environmental Protection and 40 CFR 93.112) and Transportation • Does not contain any unfunded Agency (EPA). Control Measure implementation in the mandate or significantly or uniquely ACTION: Proposed rule. affect small governments, as described conformity rule provisions (40 CFR SUMMARY: The Environmental Protection 93.113). Additionally, conformity in the Unfunded Mandates Reform Act Agency (EPA) is proposing to approve a determinations for RTPs and TIPs must of 1995 (Pub. L. 104–4); state implementation plan (SIP) revision • Does not have Federalism be determined no less frequently than submitted by the State of West Virginia. implications as specified in Executive every four years, and conformity of plan This revision pertains to the West Order 13132 (64 FR 43255, August 10, and TIP amendments and transportation Virginia Department of Environmental 1999); projects is demonstrated in accordance Protection’s (WVDEP) plan for • Is not an economically significant with the timing requirements specified maintaining the 1997 8-hour ozone regulatory action based on health or in 40 CFR 93.104. In addition, for national ambient air quality standards safety risks subject to Executive Order projects to be approved they must come (NAAQS) for the West Virginia portion 13045 (62 FR 19885, April 23, 1997); from a currently conforming RTP and of the Steubenville-Weirton, OH-WV • Is not a significant regulatory action TIP (40 CFR 93.114 and 93.115). The area (Weirton Area), comprising Brooke subject to Executive Order 13211 (66 FR Charleston Area remains under the and Hancock Counties. This action is 28355, May 22, 2001); obligation to meet the applicable being taken under the Clean Air Act • Is not subject to requirements of conformity requirements for the 1997 8- (CAA). Section 12(d) of the National hour ozone NAAQS. Technology Transfer and Advancement DATES: Written comments must be III. Proposed Action Act of 1995 (15 U.S.C. 272 note) because received on or before July 29, 2020. application of those requirements would ADDRESSES: Submit your comments, EPA’s review of WVDEP’s December be inconsistent with the CAA; and identified by Docket ID No. EPA–R03– 10, 2019 submittal indicates it meets • Does not provide EPA with the OAR–2020–0195 at https:// CAA section 175A and all applicable discretionary authority to address, as www.regulations.gov, or via email to CAA requirements. EPA is proposing to appropriate, disproportionate human [email protected]. For approve the LMP for the 1997 8-hour health or environmental effects, using comments submitted at Regulations.gov, ozone NAAQS for the Charleston Area practicable and legally permissible follow the online instructions for (comprising Kanawha and Putnam methods, under Executive Order 12898 submitting comments. Once submitted, Counties), as a revision to the West (59 FR 7629, February 16, 1994). comments cannot be edited or removed Virginia SIP. EPA is soliciting public In addition, this proposed rule, from Regulations.gov. For either manner comments on the issues discussed in pertaining to West Virginia’s second of submission, EPA may publish any this document. These comments will be maintenance plan for Kanawha and comment received to its public docket. considered before taking final action. Putnam Counties, does not have tribal Do not submit electronically any

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information you consider to be period. EPA set the 8-hour ozone submit second 10-year maintenance confidential business information (CBI) NAAQS based on scientific evidence plans under CAA section 175A(b).4 or other information whose disclosure is demonstrating that ozone causes However, in South Coast Air Quality restricted by statute. Multimedia adverse health effects at lower Management District v. EPA 5 (South submissions (audio, video, etc.) must be concentrations and over longer periods Coast II), the United States Court of accompanied by a written comment. of time than was understood when the Appeals for the District of Columbia The written comment is considered the pre-existing 1-hour ozone NAAQS was (D.C. Circuit) vacated EPA’s official comment and should include set. Following promulgation of a new or interpretation that, because of the discussion of all points you wish to revised NAAQS, EPA is required by the revocation of the 1997 ozone standard, make. EPA will generally not consider CAA to designate areas throughout the second maintenance plans were not comments or comment contents located nation as attaining or not attaining the required for ‘‘orphan maintenance outside of the primary submission (i.e., NAAQS. On April 30, 2004 (69 FR areas,’’ (i.e., areas like Brooke and on the web, cloud, or other file sharing 23858), EPA designated Steubenville- Hancock Counties) that had been system). For additional submission Weirton, Ohio-West Virginia (OH-WV) redesignated to attainment for the 1997 methods, please contact the person as nonattainment for the 1997 8-hr NAAQS and were designated attainment identified in the FOR FURTHER ozone NAAQS. The Steubenville- for the 2008 ozone NAAQS. Thus, states INFORMATION CONTACT section. For the Weirton, OH-WV nonattainment area with these ‘‘orphan maintenance areas’’ full EPA public comment policy, consists of Brooke and Hancock under the 1997 ozone NAAQS must information about CBI or multimedia Counties, WV and Jefferson County, OH. submit maintenance plans for the submissions, and general guidance on Once a nonattainment area has three second maintenance period. making effective comments, please visit years of complete and certified air As previously discussed, CAA section https://www.epa.gov/dockets/ quality data that has been determined to 175A sets forth the criteria for adequate commenting-epa-dockets. attain the NAAQS, and the area has met maintenance plans. In addition, EPA FOR FURTHER INFORMATION CONTACT: the other criteria outlined in CAA has published longstanding guidance Gregory Becoat, Planning & section 107(d)(3)(E),3 the state can that provides further insight on the Implementation Branch (3AD30), Air & submit a request to EPA to redesignate content of an approvable maintenance Radiation Division, U.S. Environmental the area to attainment. Areas that have plan, explaining that a maintenance Protection Agency, Region III, 1650 been redesignated by EPA from plan should address five elements: (1) Arch Street, Philadelphia, Pennsylvania nonattainment to attainment are referred An attainment emissions inventory; (2) 19103. The telephone number is (215) to as ‘‘maintenance areas.’’ One of the a maintenance demonstration; (3) a 814–2036. Mr. Becoat can also be criteria for redesignation is to have an commitment for continued air quality reached via electronic mail at approved maintenance plan under CAA monitoring; (4) a process for verification [email protected]. section 175A. The maintenance plan of continued attainment; and (5) a 6 SUPPLEMENTARY INFORMATION: On must demonstrate that the area will contingency plan. The Calcagni memo December 10, 2019, WVDEP submitted continue to maintain the standard for provides that states may generally a revision to the West Virginia SIP to the period extending 10 years after demonstrate maintenance by either incorporate a plan for maintaining the redesignation, and it must contain such performing air quality modeling to show 1997 ozone NAAQS through June 13, additional measures as necessary to the future mix of sources and emission 2027, in accordance with CAA section ensure maintenance as well contingency rates will not cause a violation of the 175A.1 measures as necessary to assure that NAAQS or by showing that future violations of the standard will be emissions of a pollutant and its I. Background promptly corrected. precursors will not exceed the level of In 1979, under section 109 of the On May 14, 2007 (72 FR 27060, emissions during a year when the area CAA, EPA established primary and effective June 13, 2007), EPA approved was attaining the NAAQS (i.e., secondary NAAQS for ozone at 0.12 a redesignation request (and attainment year inventory). See Calcagni parts per million (ppm), averaged over maintenance plan) from WVDEP for the memo at 9. EPA further clarified in a 1-hour period. 44 FR 8202 (February Weirton Area. In accordance with three subsequent guidance memos 8, 1979). On July 18, 1997 (62 FR section 175A(b), at the end of the eighth describing ‘‘limited maintenance plans’’ 38856),2 EPA revised the primary and year after the effective date of the (LMPs) that the requirements of CAA section 175A could be met by secondary NAAQS for ozone to set the redesignation, the state must also demonstrating that the area’s design acceptable level of ozone in the ambient submit a second maintenance plan to value was well below the NAAQS and air at 0.08 ppm, averaged over an 8-hour ensure ongoing maintenance of the that the historical stability of the area’s standard for an additional 10 years. 1 In its December 10, 2019 submittal, the State EPA’s final implementation rule for air quality levels showed that the area was unlikely to violate the NAAQS in consistently refers to the Weirton Area, rather than the 2008 ozone NAAQS revoked the referring to the West Virginia portion of the the future. Specifically, EPA believes 1997 ozone NAAQS and provided that Steubenville-Weirton, OH-WV area. While the that if the most recent air quality design state’s terminology is technically incorrect, it is one consequence of revocation was that value for the area is at a level that is clear that what the State refers to as the Weirton areas that had been redesignated to below 85% of the standard, or in this Area is identical to the West Virginia portion of the attainment (i.e., maintenance areas) for Steubenville-Weirton, OH-WV area designated by case below 0.071 ppm, then EPA the 1997 NAAQS no longer needed to EPA pursuant to the 1997 8-Hour ozone NAAQS. considers the state to have met the See 40 CFR 81.349. section 175A requirement for a 2 In March 2008, EPA completed another review 3 The requirements of CAA section 107(d)(3)(E) of the primary and secondary ozone standards and include attainment of the NAAQS, full approval tightened them further by lowering the level for under section 110(k) of the applicable SIP, 4 See 80 FR 12315 (March 6, 2015). both to 0.075 ppm. 73 FR 16436 (March 27, 2008). determination that improvement in air quality is a 5 882 F.3d 1138 (D.C. Cir. 2018). Additionally, in October 2015, EPA completed a result of permanent and enforceable reductions in 6 ‘‘Procedures for Processing Requests to review of the primary and secondary ozone emissions, demonstration that the state has met all Redesignate Areas to Attainment,’’ Memorandum standards and tightened them by lowering the level applicable section 110 and part D requirements, and from John Calcagni, Director, Air Quality for both to 0.70 ppm. 80 FR 65292 (October 26, a fully approved maintenance plan under CAA Management Division, September 4, 1992 (Calcagni 2015). section 175A. Memo).

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demonstration that the area will A. Attainment Emissions Inventory the years in the 2002–2004 three-year maintain the NAAQS for the requisite period when the area first attained the period. Accordingly, on December 10, A state should develop a 1997 8-hour ozone NAAQS. The comprehensive and accurate inventory 2019, WVDEP submitted a second Weirton Area continued to monitor of actual emissions for an attainment maintenance plan for the Weirton Area, attainment of the 1997 8-hour ozone year which identifies the level of following EPA’s LMP guidance and NAAQS in 2014. Therefore, the emissions in the area which is sufficient demonstrating that the area will emissions inventory from 2014 maintain the 1997 ozone NAAQS to maintain the NAAQS. The inventory should be developed consistent with represents emissions levels conducive through June 13, 2027, i.e., through the to continued attainment (i.e., end of the 20-year maintenance period. EPA’s most recent guidance. For ozone, the inventory should be based on a maintenance) of the NAAQS. Thus, II. Summary of SIP Revision and EPA typical summer day’s emission of oxides WVDEP is using 2014 as representing Analysis of nitrogen (NOX) and volatile organic attainment level emissions for its WVDEP’s December 10, 2019 SIP compounds (VOC), the precursors to second maintenance plan. WVDEP used submittal outlines a plan for continued ozone formation. In the first 2014 summer day emissions from EPA’s maintenance of the 1997 ozone NAAQS maintenance plan for the Weirton Area, 2014 version 7.0 modeling platform as which addresses the criteria set forth in WVDEP used 2004 for the attainment the basis for the 2014 inventory the Calcagni memo as follows. year inventory, because 2004 was one of presented in Table 1.

TABLE 1—2014 TYPICAL SUMMER DAY VOC AND NOX EMISSIONS [Tons/day] 7

Area Source category VOC NOX

Brooke County, WV ...... Fire ...... 0.00 0.0 Nonpoint ...... 11.47 1.0 Nonroad ...... 0.31 0.3 Onroad ...... 0.43 0.8 Point ...... 0.89 1.8

Subtotal ...... 13.11 3.9

Hancock County, WV ...... Fire ...... 0.00 0.0 Nonpoint ...... 1.61 1.5 Nonroad ...... 0.44 0.3 Onroad ...... 0.54 0.7 Point ...... 0.43 1.1

Subtotal ...... 3.01 3.6

Jefferson County, OH ...... Fire ...... 0.00 0.0 Nonpoint ...... 2.68 2.0 Nonroad ...... 1.32 0.5 Onroad ...... 1.35 2.4 Point ...... 0.82 34.6

Subtotal ...... 6.17 39.5

Steubenville-Weirton Area, OH–WV ...... Totals ...... 22 47.0

The 2014 emissions inventory was The fire emissions sector includes roads, including passenger vehicles, prepared by WVDEP and uploaded into emissions from agricultural burning, motorcycles, and heavy-duty diesel EPA’s Emissions Inventory System (EIS) prescribed fires, wildfires, and other trucks. The point source sector includes for inclusion in EPA’s National types of fires. The nonpoint emissions large industrial operations that are Emission Inventory (NEI). The inventory sector includes emissions from relatively few in number but have large addresses four anthropogenic emission equipment, operations, and activities emissions, such as kraft mills, electrical source categories: Stationary (point) that are numerous and in total have generating units, and pharmaceutical sources, stationary nonpoint (area) significant emissions. Examples include factories. On-road mobile emissions are sources, nonroad mobile, and on-road emissions from commercial and modelled by WVDEP using EPA’s Motor mobile sources. Point sources are consumer products, portable fuel Vehicle Emission Simulator (MOVES). stationary sources that have the containers, home heating, repair and WVDEP generates nonroad mobile potential to emit (PTE) more than 100 refinishing operations, and crematories. tons per year (tpy) of VOC, or more than source emissions data through the use of The non-road emissions sector includes EPA’s NONROAD2014a model. EPA 50 tpy of NOX, and which are required emissions from engines that are not to obtain an operating permit. Data are reviewed the supporting documentation primarily used to propel transportation submitted by WVDEP and proposes to collected for each source at a facility equipment, such as generators, forklifts, and reported to WVDEP. conclude that the plan’s inventory is and marine pleasure craft. The on-road acceptable for the purposes of a emissions sector includes emissions 7 Data in Table 1 only includes tons/day. See subsequent maintenance plan under from engines used primarily to propel Tables 3 and 4 of WVDEP’s December 10, 2019 CAA section 175A(b). submittal for data in tons/year. equipment on highways and other

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B. Maintenance Demonstration measures already in the SIP, and any design value calculated by West In order to attain the 1997 ozone Federal measures remain in place Virginia. This 5-year weighted design NAAQS, the three-year average of the through the end of the second 10-year value was calculated by averaging all fourth-highest daily average ozone maintenance period (absent a showing the 4th Max Ozone values from the concentrations (design value, DV) at consistent with section 110(l) that such years 2012–2018. The 8th column is the each monitor within an area must not measures are not necessary to assure 5-year design value average calculated exceed 0.08 ppm. Based on the maintenance). by EPA. The 5-year design value average rounding convention described in 40 For the purposes of demonstrating a is calculated by averaging the design CFR part 50, appendix I, the standard is stable or improving air quality trend, values for 2012–2014, 2013–2015, 2014– attained if the DV is 0.084 or below. West Virginia used a weighted design 2016, 2015–2017, and 2016–2018. The CAA section 175A requires a value of the most recent five design 5-year weighted design value calculated demonstration that the area will values. The five most recent design by West Virginia is 0.067 ppm, and the continue to maintain the NAAQS values available cover the 2012–2018 5-year design value average calculated throughout the duration of the requisite ambient air monitoring data. This by EPA is 0.066 ppm, for the Weirton maintenance period. Consistent with the includes 3-year design values for 2012– Area, both of which are below the 0.071 prior guidance documents discussed 2014, 2013–2015, 2014–2016, 2015– ppm threshold level and 79% of the previously in this document, EPA 2017, and 2016–2018. Data from 2014, NAAQS. Table 2 of this document believes that if the most recent DV for 2015, and 2016 was included in three shows that the most recent five years of the area is well below the NAAQS (e.g. out of five design values. Table 2 of this ambient ozone air quality 3-year average below 85%, or in this case below 0.071 document shows the most recent five DVs for the Weirton Area continue to be ppm), the section 175A demonstration years of ambient ozone air quality 3-year below 85% of the 1997 ozone NAAQS. requirement has been met, provided that design values. These design values are It demonstrates that 8-hour ozone air Prevention of Significant Deterioration from EPA’s Air Quality System (AQS). quality levels are significantly below the (PSD) requirements, any control The 7th column is the 5-year weighted level of the standard.

TABLE 2—WEIRTON AREA 8-HOUR OZONE DESIGN VALUES IN PART PER MILLION [ppm]

5-Year design Site 2012–2014 2013–2015 2014–2016 2015–2017 2016–2018 5-Year weight- value average Projected ed (ppm) 2023

Weirton, WV...... 0.070 0.067 0.067 0.066 0.065 0.067 0.066 0.060

For the 2023 projections shown in C. Continued Air Quality Monitoring determined that they meet the Table 2 of this document, EPA used a and Verification of Continued requirements. 2011-based air quality modeling Attainment D. Contingency Plan platform, which includes emissions, meteorology, and other inputs for 2011 Once an area has been redesignated to The contingency plan provisions are as the base year and emissions for 2023 attainment, the state remains obligated designed to promptly correct or prevent as the future analytic year base case. to maintain an air quality network in a violation of the NAAQS that might Specifically, the modeling platform accordance with 40 CFR part 58, in occur after redesignation of an area to included a variety of data that contained order to verify the area’s attainment attainment. Section 175A of the CAA requires that a maintenance plan information pertaining to the modeling status. In the December 10, 2019 include such contingency measures as domain and simulation period. These submittal, West Virginia committed to EPA deems necessary to assure that the include gridded, hourly emissions maintaining an appropriate air quality state will promptly correct a violation of estimates and meteorological data, and monitoring network, in accordance with 40 CFR part 58. West Virginia will the NAAQS that occurs after boundary concentrations. Separate redesignation. The maintenance plan emissions inventories were prepared for continue to conduct ambient ozone air quality monitoring in the area should identify the contingency the 2011 base year and the 2023 base measures to be adopted, a schedule and throughout the term of the maintenance case. All other inputs (i.e., procedure for adoption and plan to verify continued attainment meteorological fields, initial implementation of the contingency concentrations, and boundary with the 1997 8-hour ozone NAAQS and measures, and a time limit for action by concentrations) were specified for the to protect any applicable PSD the state. The state should also identify 2011 base year model application and increments. WVDEP states that air specific indicators to be used to remained unchanged for the future-year quality measurements will be performed determine when the contingency model simulations. The 2011 modeling in accordance with appropriate measures need to be adopted and platform and projected 2023 emissions regulations and guidance documents implemented. The maintenance plan were used to drive the 2011 base year along with EPA quality assurance must include a requirement that the and 2023 future case air quality model requirements, and monitoring state will implement all pollution simulations. The 2023 projected DV for procedures will be determined in control measures that were contained in the Weirton Area is 0.060 ppm, well accordance with 40 CFR part 58. the SIP before redesignation of the area below the level of the 1997 8-hour WVDEP commits to submitting quality- to attainment. See section 175A(d) of ozone NAAQS, 0.08 ppm. Therefore, assured ozone data to EPA through the the CAA. WVDEP’s December 10, 2019 EPA proposes to determine that future AQS and ultimately certified by the submittal outlines its adopted violations of the NAAQS in this area are WVDEP. EPA has analyzed the permanent and Federally enforceable unlikely. commitments in the plan and control measures in order to regulate

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emission growth. The Weirton Area’s imminent, WVDEP will evaluate determinations, RTPs, TIPs and control measures include the permitting existing control measures to ascertain if transportation projects still will have to regulations and PSD measures, which additional regulatory revisions are demonstrate that they are fiscally will remain in effect through the necessary to maintain the ozone constrained (40 CFR 93.108), meet the maintenance plan period. Air permits standards. criteria for consultation (40 CFR 93.105 issued will incorporate applicable PSD, EPA finds that West Virginia’s and 40 CFR 93.112) and Transportation New Source Performance Standard, and contingency measures, as well as the Control Measure implementation in the National Emission Standards for commitment to continue implementing conformity rule provisions (40 CFR Hazardous Air Pollutant requirements. any SIP requirements, satisfy the 93.113). Additionally, conformity WVDEP’s December 10, 2019 pertinent requirements of section 175A. determinations for RTPs and TIPs must submittal included the required Importantly, while EPA notes that West be determined no less frequently than contingency plan, to be implemented in Virginia’s contingency measures option every four years, and conformity of plan the event of NAAQS violations in the six (increasing public understanding) and TIP amendments and transportation future. WVDEP has committed to and seven (voluntary local control projects is demonstrated in accordance adopting and implementing one or more measures), are not enforceable measures with the timing requirements specified of the following control measures that standing alone are likely to lead to in 40 CFR 93.104. In addition, for within three months after verification of reductions in emissions that could projects to be approved they must come a monitored ozone standard violation in promptly correct a violation of the from a currently conforming RTP and the Weirton Area: (1) Extend the NAAQS, their inclusion among other TIP (40 CFR 93.114 and 93.115). The applicability of the VOC reasonably measures that meet that criterion, is Weirton Area remains under the available control technology (RACT) overall SIP-strengthening, and their obligation to meet the applicable rule to include source categories inclusion does not alter EPA’s proposal conformity requirements for the 1997 8- previously excluded (e.g., wastewater to find the LMP is fully approvable. hour ozone NAAQS. treatment facilities); (2) revise E. Transportation Conformity permitting requirements establishing III. Proposed Action Transportation conformity is required more stringent emissions control EPA’s review of WVDEP’s December by section 176(c) of the CAA. measures and/or emissions offsets; (3) 10, 2019 submittal indicates it meets Conformity to a SIP means that implement NOx RACT requirements if CAA section 175A and all applicable transportation activities will not necessary; (4) develop regulations to CAA requirements. EPA is proposing to produce new air quality violations, establish plant-wide emission caps; (5) approve the LMP for the 1997 8-hour worsen existing violations, or delay implement Stage II Vapor Recovery ozone NAAQS for the Weirton Area timely attainment of the NAAQS (CAA regulations; (6) establish a program (comprising Brooke and Hancock 176(c)(1)(B)). EPA’s conformity rule at focusing on increasing the public’s Counties), as a revision to the West understanding of air quality issues and 40 CFR part 93 requires that transportation plans, programs and Virginia SIP. EPA is soliciting public increasing support for actions to comments on the issues discussed in improve the air quality; and (7) initiate projects conform to SIPs and establish the criteria and procedures for this document. These comments will be voluntary local control measures (e.g., considered before taking final action. bicycle/pedestrian measures, engine determining whether or not they idling reduction, partnership with conform. The conformity rule generally IV. Statutory and Executive Order ground freight industry, increase requires a demonstration that emissions Reviews from the Regional Transportation Plan compliance with open burning Under the CAA, the Administrator is restrictions, and school bus engine (RTP) and the Transportation Improvement Program (TIP) are required to approve a SIP submission retrofit program). that complies with the provisions of the If there is indeed a violation and the consistent with the motor vehicle CAA and applicable Federal regulations. DV exceeds the NAAQS, the emissions budget (MVEB) contained in 42 U.S.C. 7410(k); 40 CFR 52.02(a). contingency plan will be ‘‘triggered,’’ the control strategy SIP revision or based on the following schedule: (1) maintenance plan (40 CFR 93.101, Thus, in reviewing SIP submissions, Quality assurance procedures must 93.118, and 93.124). An MVEB is EPA’s role is to approve state choices, confirm the monitored violation within defined as ‘‘that portion of the total provided that they meet the criteria of 45 days of occurrence; (2) a draft rule allowable emissions defined in the the CAA. Accordingly, this action would be developed by the WVDEP for submitted or approved control strategy merely approves state law as meeting any regulation chosen, (3) WVDEP will implementation plan revision or Federal requirements and does not adopt the selected control measure(s) as maintenance plan for a certain date for impose additional requirements beyond emergency rule(s) which will be the purpose of meeting reasonable those imposed by state law. For that implemented within six months after further progress milestones or reason, this proposed action: • adoption and will file the rule(s) as demonstrating attainment or Is not a ‘‘significant regulatory legislative rule(s) for permanent maintenance of the NAAQS, for any action’’ subject to review by the Office authorization by the legislature; and (4) criteria pollutant or its precursors, of Management and Budget under for each voluntary measure selected, the allocated to highway and transit vehicle Executive Orders 12866 (58 FR 51735, WVDEP will initiate program use and emissions (40 CFR 93.101).’’ October 4, 1993) and 13563 (76 FR 3821, development with local governments Under the conformity rule, LMP areas January 21, 2011); within the area by the start of the may demonstrate conformity without a • Is not an Executive Order 13771 (82 following ozone season. regional emission analysis (40 CFR FR 9339, February 2, 2017) regulatory Furthermore, if the triennial 93.109(e)). However, because LMP areas action because SIP approvals are inventories indicate emissions growth are still maintenance areas, certain exempted under Executive Order 12866. in excess of 10% of the 2011 base-year aspects of transportation conformity • Does not impose an information inventory or if a monitored ozone air determinations still will be required for collection burden under the provisions quality exceedance pattern indicates transportation plans, programs and of the Paperwork Reduction Act (44 that an ozone NAAQS violation may be projects. Specifically, for such U.S.C. 3501 et seq.);

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• Is certified as not having a ENVIRONMENTAL PROTECTION making effective comments, please visit significant economic impact on a AGENCY https://www.epa.gov/dockets/ substantial number of small entities commenting-epa-dockets. 40 CFR Part 52 under the Regulatory Flexibility Act (5 FOR FURTHER INFORMATION CONTACT: U.S.C. 601 et seq.); [EPA–R03–OAR–2020–0196; FRL 10010–68– Gregory Becoat, Planning & • Does not contain any unfunded Region 3] Implementation Branch (3AD30), Air & mandate or significantly or uniquely Radiation Division, U.S. Environmental Air Plan Approval; West Virginia; 1997 affect small governments, as described Protection Agency, Region III, 1650 8-Hour Ozone Standard Second in the Unfunded Mandates Reform Act Arch Street, Philadelphia, Pennsylvania Maintenance Plan for the West Virginia 19103. The telephone number is (215) of 1995 (Pub. L. 104–4); Portion of the Huntington-Ashland, • 814–2036. Mr. Becoat can also be Does not have Federalism WV-KY Area Comprising Cabell and reached via electronic mail at implications as specified in Executive Wayne Counties [email protected]. Order 13132 (64 FR 43255, August 10, AGENCY: SUPPLEMENTARY INFORMATION: On 1999); Environmental Protection Agency (EPA). December 10, 2019, WVDEP submitted • Is not an economically significant ACTION: Proposed rule. a revision to the West Virginia SIP to regulatory action based on health or incorporate a plan for maintaining the safety risks subject to Executive Order SUMMARY: The Environmental Protection 1997 ozone NAAQS through October 16, 13045 (62 FR 19885, April 23, 1997); Agency (EPA) is proposing to approve a 2026, in accordance with CAA section • Is not a significant regulatory action state implementation plan (SIP) revision 175A.1 submitted by the State of West Virginia. subject to Executive Order 13211 (66 FR I. Background 28355, May 22, 2001); This revision pertains to the West • Virginia Department of Environmental In 1979, under section 109 of the Is not subject to requirements of Protection’s (WVDEP) plan for CAA, EPA established primary and Section 12(d) of the National maintaining the 1997 8-hour ozone secondary NAAQS for ozone at 0.12 Technology Transfer and Advancement national ambient air quality standards parts per million (ppm), averaged over Act of 1995 (15 U.S.C. 272 note) because (NAAQS) for the West Virginia Portion a 1-hour period. 44 FR 8202 (February application of those requirements would of the Huntington-Ashland, WV-KY area 8, 1979). On July 18, 1997 (62 FR be inconsistent with the CAA; and (Huntington Area), comprising Cabell 38856),2 EPA revised the primary and • Does not provide EPA with the and Wayne Counties. This action is secondary NAAQS for ozone to set the discretionary authority to address, as being taken under the Clean Air Act acceptable level of ozone in the ambient appropriate, disproportionate human (CAA). air at 0.08 ppm, averaged over an 8-hour health or environmental effects, using DATES: Written comments must be period. EPA set the 8-hour ozone practicable and legally permissible received on or before July 29, 2020. NAAQS based on scientific evidence demonstrating that ozone causes methods, under Executive Order 12898 ADDRESSES: Submit your comments, (59 FR 7629, February 16, 1994). adverse health effects at lower identified by Docket ID No. EPA–R03– concentrations and over longer periods In addition, this proposed rule, OAR–2020–0196 at https:// of time than was understood when the pertaining to West Virginia’s second www.regulations.gov, or via email to pre-existing 1-hour ozone NAAQS was maintenance plan for Brooke and [email protected]. For set. Following promulgation of a new or Hancock Counties, does not have tribal comments submitted at Regulations.gov, revised NAAQS, EPA is required by the implications as specified by Executive follow the online instructions for CAA to designate areas throughout the Order 13175 (65 FR 67249, November 9, submitting comments. Once submitted, nation as attaining or not attaining the 2000), because the SIP is not approved comments cannot be edited or removed NAAQS. On April 30, 2004 (69 FR to apply in Indian country located in the from Regulations.gov. For either manner 23858), EPA designated Huntington- of submission, EPA may publish any state, and EPA notes that it will not Ashland Area, West Virginia-Kentucky comment received to its public docket. impose substantial direct costs on tribal (WV-KY) as nonattainment for the 1997 Do not submit electronically any governments or preempt tribal law. 8-hr ozone NAAQS. The Huntington- information you consider to be Ashland Area, WV-KY nonattainment List of Subjects in 40 CFR Part 52 confidential business information (CBI) area consists of Cabell and Wayne or other information whose disclosure is Counties, WV and Boyd County, KY. Environmental protection, Air restricted by statute. Multimedia pollution control, Incorporation by submissions (audio, video, etc.) must be 1 In its December 10, 2019 submittal, the State reference, Nitrogen dioxide, Ozone, accompanied by a written comment. consistently refers to the Huntington Area, rather Volatile organic compounds. The written comment is considered the than referring to the West Virginia portion of the Huntington-Ashland, WV-KY area. While the Dated: June 16, 2020. official comment and should include discussion of all points you wish to State’s terminology is technically incorrect, it is Cosmo Servidio, clear that what the State refers to as the Huntington make. EPA will generally not consider Regional Administrator, Region III. Area is identical to the West Virginia portion of the comments or comment contents located Huntington-Ashland, WV-KY area designated by [FR Doc. 2020–13454 Filed 6–26–20; 8:45 am] outside of the primary submission (i.e. EPA pursuant to the 1997 8-Hour ozone NAAQS. BILLING CODE 6560–50–P on the web, cloud, or other file sharing See 40 CFR 81.349. 2 In March 2008, EPA completed another review system). For additional submission of the primary and secondary ozone standards and methods, please contact the person tightened them further by lowering the level for identified in the FOR FURTHER both to 0.075 ppm. 73 FR 16436 (March 27, 2008). INFORMATION CONTACT section. For the Additionally, in October 2015, EPA completed a review of the primary and secondary ozone full EPA public comment policy, standards and tightened them by lowering the level information about CBI or multimedia for both to 0.70 ppm. 80 FR 65292 (October 26, submissions, and general guidance on 2015).

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Once a nonattainment area has three areas,’’ (i.e., areas like Cabell and Wayne the future. Specifically, EPA believes years of complete and certified air Counties) that had been redesignated to that if the most recent air quality design quality data that has been determined to attainment for the 1997 NAAQS and value for the area is at a level that is attain the NAAQS, and the area has met were designated attainment for the 2008 below 85% of the standard, or in this the other criteria outlined in CAA ozone NAAQS. Thus, states with these case below 0.071 ppm, then EPA section 107(d)(3)(E),3 the state can ‘‘orphan maintenance areas’’ under the considers the state to have met the submit a request to EPA to redesignate 1997 ozone NAAQS must submit section 175A requirement for a the area to attainment. Areas that have maintenance plans for the second demonstration that the area will been redesignated by EPA from maintenance period. maintain the NAAQS for the requisite nonattainment to attainment are referred As previously discussed, CAA section period. Accordingly, on December 10, to as ‘‘maintenance areas.’’ One of the 175A sets forth the criteria for adequate 2019, WVDEP submitted a second criteria for redesignation is to have an maintenance plans. In addition, EPA maintenance plan for the Huntington approved maintenance plan under CAA has published longstanding guidance Area, following EPA’s LMP guidance section 175A. The maintenance plan that provides further insight on the and demonstrating that the area will must demonstrate that the area will content of an approvable maintenance maintain the 1997 ozone NAAQS continue to maintain the standard for plan, explaining that a maintenance through October 16, 2026, i.e., to the the period extending 10 years after plan should address five elements: (1) end of the 20-year maintenance period. redesignation, and it must contain such An attainment emissions inventory; (2) additional measures as necessary to a maintenance demonstration; (3) a II. Summary of SIP Revision and EPA ensure maintenance as well contingency commitment for continued air quality Analysis measures as necessary to assure that monitoring; (4) a process for verification violations of the standard will be of continued attainment; and 5) a WVDEP’s December 10, 2019 SIP promptly corrected. contingency plan. The Calcagni memo 6 submittal outlines a plan for continued On September 15, 2006 (71 FR 54421, provides that states may generally maintenance of the 1997 ozone NAAQS effective October 16, 2006), EPA demonstrate maintenance by either which addresses the criteria set forth in approved a redesignation request (and performing air quality modeling to show the Calcagni memo as follows. maintenance plan) from WVDEP for the the future mix of sources and emission A. Attainment Emissions Inventory Huntington Area. In accordance with rates will not cause a violation of the section 175A(b), at the end of the eighth NAAQS or by showing that future A state should develop a year after the effective date of the emissions of a pollutant and its comprehensive and accurate inventory redesignation, the state must also precursors will not exceed the level of of actual emissions for an attainment submit a second maintenance plan to emissions during a year when the area year which identifies the level of ensure ongoing maintenance of the was attaining the NAAQS (i.e., emissions in the area which is sufficient standard for an additional 10 years. attainment year inventory). See Calcagni to maintain the NAAQS. The inventory EPA’s final implementation rule for memo at 9. EPA further clarified in should be developed consistent with the 2008 ozone NAAQS revoked the three subsequent guidance memos EPA’s most recent guidance. For ozone, 1997 ozone NAAQS and provided that describing ‘‘limited maintenance plans’’ the inventory should be based on 7 one consequence of revocation was that (LMPs) that the requirements of CAA typical summer day’s emissions of areas that had been redesignated to section 175A could be met by oxides of nitrogen (NO ) and volatile attainment (i.e., maintenance areas) for X demonstrating that the area’s design organic compounds (VOC), the the 1997 NAAQS no longer needed to 8 value was well below the NAAQS and precursors to ozone formation. In the submit second 10-year maintenance that the historical stability of the area’s first maintenance plan for the plans under CAA section 175A(b).4 air quality levels showed that the area Huntington Area, WVDEP used 2004 for However, in South Coast Air Quality was unlikely to violate the NAAQS in the attainment year inventory, because Management District v. EPA 5 (South 2004 was one of the years in the 2002– Coast II), the United States Court of 6 ‘‘Procedures for Processing Requests to Appeals for the District of Columbia Redesignate Areas to Attainment,’’ Memorandum 2004 three-year period when the area from John Calcagni, Director, Air Quality first attained the 1997 8-hour ozone (D.C. Circuit) vacated EPA’s Management Division, September 4, 1992 (Calcagni interpretation that, because of the NAAQS. The Huntington Area Memo). continued to monitor attainment of the revocation of the 1997 ozone standard, 7 See ‘‘Limited Maintenance Plan Option for second maintenance plans were not Nonclassifiable Ozone Nonattainment Areas’’ from 1997 8-hour ozone NAAQS in 2014. required for ‘‘orphan maintenance Sally L. Shaver, Office of Air Quality Planning and Therefore, the emissions inventory from Standards (OAQPS), dated November 16, 1994; 2014 represents emissions levels ‘‘Limited Maintenance Plan Option for 3 The requirements of CAA section 107(d)(3)(E) Nonclassifiable CO Nonattainment Areas’’ from conducive to continued attainment (i.e., include attainment of the NAAQS, full approval Joseph Paisie, OAQPS, dated October 6, 1995; and maintenance) of the NAAQS. Thus, under section 110(k) of the applicable SIP, ‘‘Limited Maintenance Plan Option for Moderate WVDEP is using 2014 as representing determination that improvement in air quality is a PM10 Nonattainment Areas’’ from Lydia Wegman, attainment level emissions for its result of permanent and enforceable reductions in OAQPS, dated August 9, 2001. emissions, demonstration that the state has met all 8 The ozone design value for a monitoring site is second maintenance plan. WVDEP used applicable section 110 and part D requirements, and the 3-year average of the annual fourth-highest daily 2014 summer day emissions from EPA’s a fully approved maintenance plan under CAA maximum 8-hour average ozone concentrations. 2014 version 7.0 modeling platform as section 175A. The design value for an ozone nonattainment area the basis for the 2014 inventory 4 See 80 FR 12315 (March 6, 2015). is the highest design value of any monitoring site 5 882 F.3d 1138 (D.C. Cir. 2018). in the area. presented in Table 1.

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TABLE 1—2014 TYPICAL SUMMER DAY VOC AND NOX EMISSIONS [Tons/day] 9

Area Source category VOC NOX

Cabell County, WV ...... Fire ...... 0.00 0.0 Nonpoint ...... 4.6 3.6 Nonroad ...... 2 0.7 Onroad ...... 2 4.7 Point ...... 0.5 0.8

Subtotal ...... 9.2 9.7

Wayne County, WV ...... Fire ...... 0.3 0.0 Nonpoint ...... 4.6 3.7 Nonroad ...... 0.5 0.3 Onroad ...... 0.7 1.6 Point ...... 0.6 2.8

Subtotal ...... 6.7 8.5

Boyd County, KY ...... Fire ...... 0.1 0.0 Nonpoint ...... 2.1 1.1 Nonroad ...... 0.3 0.3 Onroad ...... 1.5 2.8 Point ...... 2.3 7.6

Subtotal ...... 6.3 11.9

Huntington-Ashland Area, WV-KY ...... Totals ...... 22.3 30.1

The 2014 emissions inventory was from engines used primarily to propel rounding convention described in 40 prepared by WVDEP and uploaded into equipment on highways and other CFR part 50, appendix I, the standard is EPA’s Emissions Inventory System (EIS) roads, including passenger vehicles, attained if the DV is 0.084 or below. for inclusion in EPA’s National motorcycles, and heavy-duty diesel CAA section 175A requires a Emission Inventory (NEI). The inventory trucks. The point source sector includes demonstration that the area will addresses four anthropogenic emission large industrial operations that are continue to maintain the NAAQS source categories: stationary (point) relatively few in number but have large throughout the duration of the requisite sources, stationary nonpoint (area) emissions, such as kraft mills, electrical maintenance period. Consistent with the sources, nonroad mobile, and on-road generating units, and pharmaceutical prior guidance documents discussed mobile sources. Point sources are factories. On-road mobile emissions are previously in this notice, EPA believes stationary sources that have the modelled by WVDEP using EPA’s Motor that if the most recent DV for the area potential to emit (PTE) more than 100 Vehicle Emission Simulator (MOVES). is well below the NAAQS (e.g., below tons per year (tpy) of VOC, or more than WVDEP generates nonroad mobile 85%, or in this case below 0.071 ppm), 50 tpy of NOX, and which are required source emissions data through the use of the section 175A demonstration to obtain an operating permit. Data are EPA’s NONROAD2014a model. EPA requirement has been met, provided that collected for each source at a facility reviewed the supporting documentation Prevention of Significant Deterioration and reported to WVDEP. submitted by WVDEP 10 and proposes to (PSD) requirements, any control The fire emissions sector includes conclude that the plan’s inventory is measures already in the SIP, and any emissions from agricultural burning, acceptable for the purposes of a Federal measures remain in place prescribed fires, wildfires, and other subsequent maintenance plan under through the end of the second 10-year types of fires. The nonpoint emissions CAA section 175A(b).11 maintenance period (absent a showing consistent with section 110(l) that such sector includes emissions from B. Maintenance Demonstration equipment, operations, and activities measures are not necessary to assure that are numerous and in total have In order to attain the 1997 ozone maintenance). significant emissions. Examples include NAAQS, the three-year average of the For the purposes of demonstrating a emissions from commercial and fourth-highest daily average ozone stable or improving air quality trend, consumer products, portable fuel concentrations (design value, DV) at West Virginia used a weighted design containers, home heating, repair and each monitor within an area must not value of the most recent five design refinishing operations, and crematories. exceed 0.08 ppm. Based on the values. The five most recent design values available cover the 2012–2018 The non-road emissions sector includes 10 emissions from engines that are not See Appendix C of WVDEP’s December 10, ambient air monitoring data. This 2019 submittal. includes 3-year design values for 2012– primarily used to propel transportation 11 The daily emissions data for 2014 typical 2014, 2013–2015, 2014–2016, 2015– equipment, such as generators, forklifts, summer day VOC and NOX emissions in Table 1 and marine pleasure craft. The on-road were excerpted from: https://www.epa.gov/sites/ 2017, and 2016–2018. Data from 2014, _ _ _ emissions sector includes emissions production/files/2018-11/ozone 1997 naaqs 2015, and 2016 was included in three emiss_inv_data_nov_19_2018_0.xlsx (‘‘2014 2028 out of five design values. Table 2 shows area emiss by sector’’ tab) posted at https:// 9 Data in Table 1 of the preamble only includes www.epa.gov/ground-level-ozone-pollution/1997- the most recent five years of ambient tons/day. See Tables 3 and 4 of WVDEP’s December ozonenational-ambient-air-quality-standards- ozone air quality 3-year design values. 10, 2019 submittal for data in tons/year. naaqs-nonattainment. These design values are from EPA’s Air

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Quality System (AQS). The 7th column averaging the design values for 2012– NAAQS. Table 2 shows that the most is the 5-year weighted design value 2014, 2013–2015, 2014–2016, 2015– recent five years of ambient ozone air calculated by West Virginia. This 5-year 2017, and 2016–2018. The 5-year quality 3-year average DVs for the weighted design value was calculated weighted design value calculated by Huntington Area continue to be below by averaging all the 4th Max Ozone West Virginia is 0.065 ppm and the 5- 85% of the 1997 ozone NAAQS. It values from the years 2012–2018. The year design value average calculated by demonstrates that 8-hour ozone air 8th column is the 5-year design value EPA, for the Huntington area is 0.063 quality levels are significantly below the average calculated by EPA. The 5-year ppm, both of which are below the 0.071 level of the standard. design value average is calculated by ppm threshold level and 79% of the

TABLE 2—HUNTINGTON AREA 8-HOUR OZONE DESIGN VALUES IN PART PER MILLION [ppm]

5-Year design Site 2012–2014 2013–2015 2014–2016 2015–2017 2016–2018 5-Year value average Projected weighted (ppm) 2023

Huntington, WV...... 0.065 0.062 0.064 0.064 0.064 0.065 0.063 0.060

For the 2023 projections shown in quality measurements will be performed will remain in effect through the Table 2, EPA used a 2011-based air in accordance with appropriate maintenance plan period. Air permits quality modeling platform, which regulations and guidance documents issued will incorporate applicable PSD, includes emissions, meteorology, and along with EPA quality assurance New Source Performance Standard, and other inputs for 2011 as the base year requirements, and monitoring National Emission Standards for and emissions for 2023 as the future procedures will be determined in Hazardous Air Pollutant requirements. analytic year base case. Specifically, the accordance with 40 CFR part 58. WVDEP’s December 10, 2019 modeling platform included a variety of WVDEP commits to submitting quality- submittal included the required data that contained information assured ozone data to EPA through the contingency plan, to be implemented in pertaining to the modeling domain and AQS and ultimately certified by the the event of NAAQS violations in the simulation period. These include WVDEP. EPA has analyzed the future. WVDEP has committed to gridded, hourly emissions estimates and commitments in the plan and adopting and implementing one or more meteorological data, and boundary determined that they meet the of the following control measures concentrations. Separate emissions requirements. within three months after verification of inventories were prepared for the 2011 a monitored ozone standard violation in D. Contingency Plan base year and the 2023 base case. All the Huntington Area: (1) Extend the other inputs (i.e. meteorological fields, The contingency plan provisions are applicability of the VOC reasonably initial concentrations, and boundary designed to promptly correct or prevent available control technology (RACT) concentrations) were specified for the a violation of the NAAQS that might rule to include source categories 2011 base year model application and occur after redesignation of an area to previously excluded (e.g., wastewater remained unchanged for the future-year attainment. Section 175A of the CAA treatment facilities); (2) revise model simulations. The 2023 projected requires that a maintenance plan permitting requirements establishing DV for the Huntington Area is 0.060 include such contingency measures as more stringent emissions control ppm, well below the level of the 1997 EPA deems necessary to assure that the measures and/or emissions offsets; (3) 8-hour ozone NAAQS, 0.08 ppm. state will promptly correct a violation of implement NOX RACT requirements if Therefore, EPA proposes to determine the NAAQS that occurs after necessary; (4) develop regulations to that that future violations of the NAAQS redesignation. The maintenance plan establish plant-wide emission caps; (5) in this area are unlikely. should identify the contingency implement Stage II Vapor Recovery measures to be adopted, a schedule and regulations; (6) establish a program C. Continued Air Quality Monitoring procedure for adoption and focusing on increasing the public’s and Verification of Continued implementation of the contingency understanding of air quality issues and Attainment measures, and a time limit for action by increasing support for actions to Once an area has been redesignated to the state. The state should also identify improve the air quality; and (7) initiate attainment, the state remains obligated specific indicators to be used to voluntary local control measures (e.g., to maintain an air quality network in determine when the contingency bicycle/pedestrian measures, engine accordance with 40 CFR part 58, in measures need to be adopted and idling reduction, partnership with order to verify the area’s attainment implemented. The maintenance plan ground freight industry, increase status. In the December 10, 2019 must include a requirement that the compliance with open burning submittal, West Virginia committed to state will implement all pollution restrictions, and school bus engine maintaining an appropriate air quality control measures that were contained in retrofit program). monitoring network, in accordance with the SIP before redesignation of the area If there is indeed a violation and the 40 CFR part 58. West Virginia will to attainment. See section 175A(d) of DV exceeds the NAAQS, the continue to conduct ambient ozone air the CAA. WVDEP’s December 10, 2019 contingency plan will be ‘‘triggered,’’ quality monitoring in the area submittal outlines its adopted based on the following schedule: (1) throughout the term of the maintenance permanent and Federally enforceable Quality assurance procedures must plan to verify continued attainment control measures in order to regulate confirm the monitored violation within with the 1997 8-hour ozone NAAQS and emission growth. The Huntington Area’s 45 days of occurrence; (2) a draft rule to protect any applicable PSD control measures include the permitting would be developed by the WVDEP for increments. WVDEP states that air regulations and PSD measures, which any regulation chosen, (3) WVDEP will

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adopt the selected control measure(s) as maintenance plan for a certain date for those imposed by state law. For that emergency rule(s) which will be the purpose of meeting reasonable reason, this proposed action: implemented within six months after further progress milestones or • Is not a ‘‘significant regulatory adoption and will file the rule(s) as demonstrating attainment or action’’ subject to review by the Office legislative rule(s) for permanent maintenance of the NAAQS, for any of Management and Budget under authorization by the legislature; and (4) criteria pollutant or its precursors, Executive Orders 12866 (58 FR 51735, for each voluntary measure selected, the allocated to highway and transit vehicle October 4, 1993) and 13563 (76 FR 3821, WVDEP will initiate program use and emissions (40 CFR 93.101).’’ January 21, 2011); development with local governments Under the conformity rule, LMP areas • Is not an Executive Order 13771 (82 within the area by the start of the may demonstrate conformity without a FR 9339, February 2, 2017) regulatory following ozone season. regional emission analysis (40 CFR action because SIP approvals are Furthermore, if the triennial 93.109(e)). However, because LMP areas exempted under Executive Order 12866. inventories indicate emissions growth are still maintenance areas, certain • Does not impose an information in excess of 10% of the 2011 base-year aspects of transportation conformity collection burden under the provisions inventory or if a monitored ozone air determinations still will be required for of the Paperwork Reduction Act (44 quality exceedance pattern indicates transportation plans, programs and U.S.C. 3501 et seq.); that an ozone NAAQS violation may be projects. Specifically, for such • imminent, WVDEP will evaluate determinations, RTPs, TIPs and Is certified as not having a existing control measures to ascertain if transportation projects still will have to significant economic impact on a additional regulatory revisions are demonstrate that they are fiscally substantial number of small entities necessary to maintain the ozone constrained (40 CFR 93.108), meet the under the Regulatory Flexibility Act (5 standards. criteria for consultation (40 CFR 93.105 U.S.C. 601 et seq.); EPA finds that West Virginia’s and 40 CFR 93.112) and Transportation • Does not contain any unfunded contingency measures, as well as the Control Measure implementation in the mandate or significantly or uniquely commitment to continue implementing conformity rule provisions (40 CFR affect small governments, as described any SIP requirements, satisfy the 93.113). Additionally, conformity in the Unfunded Mandates Reform Act pertinent requirements of section 175A. determinations for RTPs and TIPs must of 1995 (Pub. L. 104–4); Importantly, while EPA notes that West be determined no less frequently than • Does not have Federalism Virginia’s contingency measures option every four years, and conformity of plan implications as specified in Executive six (increasing public understanding) and TIP amendments and transportation Order 13132 (64 FR 43255, August 10, and seven (voluntary local control projects is demonstrated in accordance 1999); measures), are not enforceable measures with the timing requirements specified • Is not an economically significant that standing alone are likely to lead to in 40 CFR 93.104. In addition, for regulatory action based on health or reductions in emissions that could projects to be approved they must come safety risks subject to Executive Order promptly correct a violation of the from a currently conforming RTP and 13045 (62 FR 19885, April 23, 1997); NAAQS, their inclusion among other TIP (40 CFR 93.114 and 93.115). The • Is not a significant regulatory action measures that meet that criterion, is Huntington Area remains under the subject to Executive Order 13211 (66 FR overall SIP-strengthening, and their obligation to meet the applicable 28355, May 22, 2001); inclusion does not alter EPA’s proposal conformity requirements for the 1997 8- • Is not subject to requirements of to find the LMP is fully approvable. hour ozone NAAQS. Section 12(d) of the National E. Transportation Conformity III. Proposed Action Technology Transfer and Advancement Transportation conformity is required EPA’s review of WVDEP’s December Act of 1995 (15 U.S.C. 272 note) because by section 176(c) of the CAA. 10, 2019 submittal indicates it meets application of those requirements would Conformity to a SIP means that CAA section 175A and all applicable be inconsistent with the CAA; and • transportation activities will not CAA requirements. EPA is proposing to Does not provide EPA with the produce new air quality violations, approve the LMP for the 1997 8-hour discretionary authority to address, as worsen existing violations, or delay ozone NAAQS for the Huntington Area appropriate, disproportionate human timely attainment of the NAAQS (CAA (comprising Cabell and Wayne health or environmental effects, using 176(c)(1)(B)). EPA’s conformity rule at Counties), as a revision to the West practicable and legally permissible 40 CFR part 93 requires that Virginia SIP. EPA is soliciting public methods, under Executive Order 12898 transportation plans, programs and comments on the issues discussed in (59 FR 7629, February 16, 1994). projects conform to SIPs and establish this document. These comments will be In addition, this proposed rule, the criteria and procedures for considered before taking final action. pertaining to West Virginia’s second determining whether or not they maintenance plan for Cabell and Wayne conform. The conformity rule generally IV. Statutory and Executive Order Counties, does not have tribal requires a demonstration that emissions Reviews implications as specified by Executive from the Regional Transportation Plan Under the CAA, the Administrator is Order 13175 (65 FR 67249, November 9, (RTP) and the Transportation required to approve a SIP submission 2000), because the SIP is not approved Improvement Program (TIP) are that complies with the provisions of the to apply in Indian country located in the consistent with the motor vehicle CAA and applicable Federal regulations. state, and EPA notes that it will not emissions budget (MVEB) contained in 42 U.S.C. 7410(k); 40 CFR 52.02(a). impose substantial direct costs on tribal the control strategy SIP revision or Thus, in reviewing SIP submissions, governments or preempt tribal law. maintenance plan (40 CFR 93.101, EPA’s role is to approve state choices, List of Subjects in 40 CFR Part 52 93.118, and 93.124). An MVEB is provided that they meet the criteria of defined as ‘‘that portion of the total the CAA. Accordingly, this action Environmental protection, Air allowable emissions defined in the merely approves state law as meeting pollution control, Incorporation by submitted or approved control strategy Federal requirements and does not reference, Nitrogen dioxide, Ozone, implementation plan revision or impose additional requirements beyond Volatile organic compounds.

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Dated: June 16, 2020. information about CBI or multimedia regulation has since been recodified as Cosmo Servidio, submissions, and general guidance on Regulations of Connecticut State Regional Administrator, Region III. making effective comments, please visit Agencies (RCSA) section 22a–174–18. [FR Doc. 2020–13510 Filed 6–26–20; 8:45 am] https://www.epa.gov/dockets/ The most recent amendments to BILLING CODE 6560–50–P commenting-epa-dockets. Publicly section 22a–174–18 were submitted by available docket materials are available CT DEEP on December 1, 2004 and at https://www.regulations.gov or at the approved into the Connecticut SIP on ENVIRONMENTAL PROTECTION U.S. Environmental Protection Agency, July 16, 2014. See 79 FR 41427. Those AGENCY EPA Region 1 Regional Office, Air and amendments updated the State’s visible Radiation Division, 5 Post Office emissions standards. Details of the 40 CFR Part 52 Square—Suite 100, Boston, MA. EPA State’s December 2004 SIP submittal [EPA–R01–OAR–2020–0255; FRL–10011– requests that if at all possible, you and the rationale for EPA’s approval are 23–Region 1] contact the contact listed in the FOR explained in the August 15, 2013, notice FURTHER INFORMATION CONTACT section to proposed of rulemaking (NPRM). See 78 Air Plan Approval; Connecticut; schedule your inspection. The Regional FR 49701. See Section II of that NPRM Control of Particulate Matter and Office’s official hours of business are for a brief discussion of the Visible Emissions Monday through Friday, 8:30 a.m. to relationships among ‘‘visible 4:30 p.m., excluding legal holidays and emissions,’’ ‘‘opacity’’ and ‘‘particulate AGENCY: Environmental Protection facility closures due to COVID–19. matter.’’ Agency (EPA). FOR FURTHER INFORMATION CONTACT: 2018 Amendments to RCSA Section ACTION: Proposed rule. Alison C. Simcox, Air Quality Branch, 22a–174–18 SUMMARY: The Environmental Protection U.S. Environmental Protection Agency, Agency (EPA) is proposing to approve a EPA Region 1, 5 Post Office Square— On October 19, 2018, Connecticut State Implementation Plan (SIP) Suite 100, (Mail code 05–2), Boston, MA submitted to EPA revisions to RCSA revision submitted by the State of 02109–3912, tel. (617) 918–1684, email section 22a–174–18. These revisions, Connecticut. This revision amends a [email protected]. which became effective in Connecticut Connecticut air-quality regulation for SUPPLEMENTARY INFORMATION: on August 3, 2018, consist of revisions controlling particulate matter (PM) and Throughout this document whenever to subsections (c), (f), and (j) of RCSA visible emissions. The intended effect of ‘‘we,’’ ‘‘us,’’ or ‘‘our’’ is used, we mean section 22a–174–18 regarding the this action is to define the process EPA. control of emissions of particulate matter from process industries. The industries and activities to which this Table of Contents regulation applies, and to make revisions modify language and correct technical corrections to an emission-rate I. Background and Purpose errors in the State’s 2004 revision of calculation method. This action is being II. EPA’s Evaluation of Connecticut’s RCSA section 22a–174–18, which was taken under the Clean Air Act. Regulation approved by EPA on July 16, 2014. See III. Proposed Action 79 FR 41427. DATES: Written comments must be IV. Incorporation by Reference Specifically, the revisions clarify the received on or before July 29, 2020. V. Statutory and Executive Order Reviews types of industrial activities regulated ADDRESSES: Submit your comments, I. Background and Purpose by subsection (f) by adding a definition identified by Docket ID No. EPA–R01– of ‘‘process industry’’ in subsection (f).1 OAR–2020–0255 at https:// On October 19, 2018, the Connecticut Department of Energy and The revisions also simplify the method www.regulations.gov, or via email to used in subsection (f) to calculate the [email protected]. For comments Environmental Protection (DEEP) submitted a revision to its State allowable emission rate for process submitted at Regulations.gov, follow the industries, clarify in subsection (c) that online instructions for submitting Implementation Plan (SIP) for amendments to Regulations of process industries subject to subsection comments. Once submitted, comments (f) are not subject to subsection (c), and cannot be edited or removed from Connecticut State Agencies (RCSA) section 22a–174–18, Control of make minor, non-substantive changes in Regulations.gov. For either manner of 2 particulate matter (PM) and visible language to subsection (j). submission, the EPA may publish any EPA has determined that comment received to its public docket. emissions. The revision consists of amendments to subsections (c), (f), and Connecticut’s revisions to RCSA section Do not submit electronically any 22a–174–18 are clarifications and information you consider to be (j) to define the process industries and activities to which this regulation corrections that improve the State’s Confidential Business Information (CBI) ability to implement the regulation. In or other information whose disclosure is applies, to make technical corrections to an emission-rate calculation method, addition, the submitted revisions to restricted by statute. Multimedia subsection (j) are non-substantive (e.g., submissions (audio, video, etc.) must be and to make minor, non-substantive modifications in regulatory language. changing ‘‘subdivision’’ to accompanied by a written comment. ‘‘subsection’’). These revisions do not The written comment is considered the II. EPA’s Evaluation of Connecticut’s official comment and should include Regulation 1 The definition of ‘‘process industry’’ is given as discussion of all points you wish to ‘‘a business that is primarily concerned with make. The EPA will generally not Background processing of bulk material into other products.’’ consider comments or comment Connecticut first adopted regulations The revisions also define ‘‘bulk material’’ as dry material, such as, but not limited to, ore, coal, contents located outside of the primary to limit PM and visible emissions from cereal, wood, sand, gravel or stone in loose, bulk submission (i.e. on the web, cloud, or stationary sources, including among form.’’ other file sharing system). For other sources, electric generating units 2 We note that as a matter of state law, additional submission methods, please (EGUs) and boilers, in the early 1970s. Connecticut has also removed certain language from FOR subsections (j)(1) and (2) in order to conform state contact the person identified in the In 1972, EPA approved ‘‘Control of law to the existing SIP. The removal of such FURTHER INFORMATION CONTACT section. particulate emissions,’’ into the language as a matter of state law has no impact on For the full EPA public comment policy, Connecticut SIP. See 37 FR 10842. That the Connecticut SIP or this action.

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result in any substantive change to the • Is not expected to be an Executive ENVIRONMENTAL PROTECTION EPA-approved subsection (j). Therefore, Order 13771 regulatory action because AGENCY EPA proposes to approve into the this action is not significant under Connecticut SIP the revisions to Executive Order 12866; 40 CFR Part 52 subsections (c), (f), and (j) that CT DEEP • Does not impose an information submitted on October 19, 2018. collection burden under the provisions [EPA–R03–OAR–2020–0198; FRL 10010–71– of the Paperwork Reduction Act (44 Region 3] III. Proposed Action U.S.C. 3501 et seq.); Air Plan Approval; West Virginia; 1997 • Is certified as not having a EPA is proposing to approve, and 8-Hour Ozone Standard Second significant economic impact on a incorporate into the Connecticut SIP, Maintenance Plan for the West Virginia substantial number of small entities the revisions to subsections (c), (f), and Portion of the Wheeling, WV-OH Area under the Regulatory Flexibility Act (5 (j) of RCSA section 22a–174–18, Control Comprising Marshall and Ohio U.S.C. 601 et seq.); of Particulate Matter and Visible • Counties Emissions, effective on August 3, 2018, Does not contain any unfunded submitted to EPA on October 19, 2018. mandate or significantly or uniquely AGENCY: Environmental Protection affect small governments, as described EPA is soliciting public comments on Agency (EPA). in the Unfunded Mandates Reform Act the issues discussed in this notice or on ACTION: Proposed rule. of 1995 (Pub. L. 104–4); other relevant matters. These comments • Does not have federalism will be considered before taking final SUMMARY: The Environmental Protection implications as specified in Executive Agency (EPA) is proposing to approve a action. Interested parties may Order 13132 (64 FR 43255, August 10, participate in the Federal rulemaking state implementation plan (SIP) revision 1999); submitted by the State of West Virginia. procedure by submitting written • Is not an economically significant comments to this proposed rule by This revision pertains to the West regulatory action based on health or Virginia Department of Environmental following the instructions listed in the safety risks subject to Executive Order ADDRESSES section of this Federal Protection’s (WVDEP) plan for 13045 (62 FR 19885, April 23, 1997); maintaining the 1997 8-hour ozone Register. • Is not a significant regulatory action national ambient air quality standards subject to Executive Order 13211 (66 FR IV. Incorporation by Reference (NAAQS) for the West Virginia portion 28355, May 22, 2001); In this rule, the EPA is proposing to • Is not subject to requirements of of the Wheeling, WV-OH area (Wheeling include in a final EPA rule regulatory Section 12(d) of the National Area), comprising Marshall and Ohio text that includes incorporation by Technology Transfer and Advancement Counties). This action is being taken reference. In accordance with Act of 1995 (15 U.S.C. 272 note) because under the Clean Air Act (CAA). requirements of 1 CFR 51.5, the EPA is application of those requirements would DATES: Written comments must be proposing to incorporate by reference be inconsistent with the Clean Air Act; received on or before July 29, 2020. into the Connecticut SIP the and ADDRESSES: Submit your comments, Connecticut regulation referenced in • Does not provide EPA with the identified by Docket ID No. EPA–R03– Section III above. The EPA has made, discretionary authority to address, as OAR–2020–0198 at https:// and will continue to make, these appropriate, disproportionate human www.regulations.gov, or via email to documents generally available through health or environmental effects, using [email protected]. For https://www.regulations.gov and at the practicable and legally permissible comments submitted at Regulations.gov, EPA Region 1 Office (please contact the methods, under Executive Order 12898 follow the online instructions for person identified in the FOR FURTHER (59 FR 7629, February 16, 1994). submitting comments. Once submitted, INFORMATION CONTACT section of this In addition, the SIP is not approved comments cannot be edited or removed preamble for more information). to apply on any Indian reservation land from Regulations.gov. For either manner or in any other area where EPA or an of submission, EPA may publish any V. Statutory and Executive Order Indian tribe has demonstrated that a Reviews comment received to its public docket. tribe has jurisdiction. In those areas of Do not submit electronically any Under the Clean Air Act, the Indian country, the rule does not have information you consider to be Administrator is required to approve a tribal implications and will not impose confidential business information (CBI) SIP submission that complies with the substantial direct costs on tribal or other information whose disclosure is provisions of the Act and applicable governments or preempt tribal law as restricted by statute. Multimedia Federal regulations. 42 U.S.C. 7410(k); specified by Executive Order 13175 (65 submissions (audio, video, etc.) must be 40 CFR 52.02(a). Thus, in reviewing SIP FR 67249, November 9, 2000). accompanied by a written comment. submissions, EPA’s role is to approve List of Subjects in 40 CFR Part 52 The written comment is considered the state choices, provided that they meet Environmental protection, Air official comment and should include the criteria of the Clean Air Act. pollution control, Carbon monoxide, discussion of all points you wish to Accordingly, this proposed action Incorporation by reference, make. EPA will generally not consider merely approves state law as meeting Intergovernmental relations, Lead, comments or comment contents located Federal requirements and does not Nitrogen dioxide, Ozone, Particulate outside of the primary submission (i.e. impose additional requirements beyond matter, Reporting and recordkeeping on the web, cloud, or other file sharing those imposed by state law. For that requirements, Sulfur oxides, Volatile system). For additional submission reason, this proposed action: organic compounds. methods, please contact the person • Is not a significant regulatory action identified in the FOR FURTHER subject to review by the Office of Dated: June 18, 2020. INFORMATION CONTACT section. For the Management and Budget under Dennis Deziel, full EPA public comment policy, Executive Orders 12866 (58 FR 51735, Regional Administrator, EPA Region 1. information about CBI or multimedia October 4, 1993) and 13563 (76 FR 3821, [FR Doc. 2020–13636 Filed 6–26–20; 8:45 am] submissions, and general guidance on January 21, 2011); BILLING CODE 6560–50–P making effective comments, please visit

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https://www.epa.gov/dockets/ data that has been determined to attain submit maintenance plans for the commenting-epa-dockets. the NAAQS, and the area has met the second maintenance period. FOR FURTHER INFORMATION CONTACT: other criteria outlined in CAA section As previously discussed, CAA section Gregory Becoat, Planning & 107(d)(3)(E),3 the state can submit a 175A sets forth the criteria for adequate Implementation Branch (3AD30), Air & request to EPA to redesignate the area to maintenance plans. In addition, EPA Radiation Division, U.S. Environmental attainment. Areas that have been has published longstanding guidance Protection Agency, Region III, 1650 redesignated by EPA from that provides further insight on the Arch Street, Philadelphia, Pennsylvania nonattainment to attainment are referred content of an approvable maintenance 19103. The telephone number is (215) to as ‘‘maintenance areas.’’ One of the plan, explaining that a maintenance 814–2036. Mr. Becoat can also be criteria for redesignation is to have an plan should address five elements: (1) reached via electronic mail at approved maintenance plan under CAA An attainment emissions inventory; (2) [email protected]. section 175A. The maintenance plan a maintenance demonstration; (3) a SUPPLEMENTARY INFORMATION: On must demonstrate that the area will commitment for continued air quality December 10, 2019, WVDEP submitted continue to maintain the standard for monitoring; (4) a process for verification a revision to the West Virginia SIP to the period extending 10 years after of continued attainment; and (5) a 6 incorporate a plan for maintaining the redesignation, and it must contain such contingency plan. The Calcagni memo 1997 ozone NAAQS through June 14, additional measures as necessary to provides that states may generally 2027, in accordance with CAA section ensure maintenance as well contingency demonstrate maintenance by either 175A.1 measures as necessary to assure that performing air quality modeling to show violations of the standard will be the future mix of sources and emission I. Background rates will not cause a violation of the promptly corrected. In 1979, under section 109 of the NAAQS or by showing that future CAA, EPA established primary and On May 15, 2007 (72 FR 27247, emissions of a pollutant and its secondary NAAQS for ozone at 0.12 effective June 14, 2007), EPA approved precursors will not exceed the level of parts per million (ppm), averaged over a redesignation request (and emissions during a year when the area a 1-hour period. 44 FR 8202 (February maintenance plan) from WVDEP for the was attaining the NAAQS (i.e., 8, 1979). On July 18, 1997 (62 FR Wheeling Area. In accordance with attainment year inventory). See Calcagni 38856),2 EPA revised the primary and section 175A(b), at the end of the eighth memo at 9. EPA further clarified in secondary NAAQS for ozone to set the year after the effective date of the three subsequent guidance memos acceptable level of ozone in the ambient redesignation, the state must also describing ‘‘limited maintenance plans’’ air at 0.08 ppm, averaged over an 8-hour submit a second maintenance plan to (LMPs) 7 that the requirements of CAA period. EPA set the 8-hour ozone ensure ongoing maintenance of the section 175A could be met by NAAQS based on scientific evidence standard for an additional 10 years. demonstrating that the area’s design 8 demonstrating that ozone causes EPA’s final implementation rule for value was well below the NAAQS and adverse health effects at lower the 2008 ozone NAAQS revoked the that the historical stability of the area’s concentrations and over longer periods 1997 ozone NAAQS and provided that air quality levels showed that the area of time than was understood when the one consequence of revocation was that was unlikely to violate the NAAQS in pre-existing 1-hour ozone NAAQS was areas that had been redesignated to the future. Specifically, EPA believes set. Following promulgation of a new or attainment (i.e., maintenance areas) for that if the most recent air quality design revised NAAQS, EPA is required by the the 1997 NAAQS no longer needed to value for the area is at a level that is CAA to designate areas throughout the submit second 10-year maintenance below 85% of the standard, or in this nation as attaining or not attaining the plans under CAA section 175A(b).4 case below 0.071 ppm, then EPA NAAQS. On April 30, 2004 (69 FR However, in South Coast Air Quality considers the state to have met the 23858), EPA designated Wheeling Area, Management District v. EPA 5 (South section 175A requirement for a West Virginia-Ohio (WV-OH), as Coast II), the United States Court of demonstration that the area will nonattainment for the 1997 8-hr ozone Appeals for the District of Columbia maintain the NAAQS for the requisite NAAQS. The Wheeling Area, WV-OH (D.C. Circuit) vacated EPA’s period. Accordingly, on December 10, nonattainment area consists of Marshall interpretation that, because of the 2019, WVDEP submitted a second and Ohio Counties, WV and Belmont revocation of the 1997 ozone standard, maintenance plan LMP for the Wheeling Area, following EPA’s LMP guidance County, OH. second maintenance plans were not and demonstrating that the area will Once a nonattainment area has three required for ‘‘orphan maintenance years of complete, certified air quality areas,’’ (i.e., areas like Marshall and 6 ‘‘Procedures for Processing Requests to Ohio Counties) that had been Redesignate Areas to Attainment,’’ Memorandum 1 In its December 10, 2019 submittal, the State redesignated to attainment for the 1997 from John Calcagni, Director, Air Quality consistently refers to the Wheeling Area, rather than Management Division, September 4, 1992 (Calcagni referring to the West Virginia portion of the NAAQS and were designated attainment for the 2008 ozone NAAQS. Thus, states Memo). Wheeling, WV-OH area. While the state’s 7 See ‘‘Limited Maintenance Plan Option for terminology is technically incorrect, it is clear that with these ‘‘orphan maintenance areas’’ Nonclassifiable Ozone Nonattainment Areas’’ from what the State refers to as the Wheeling Area is under the 1997 ozone NAAQS must Sally L. Shaver, Office of Air Quality Planning and identical to the West Virginia portion of the Standards (OAQPS), dated November 16, 1994; Wheeling, WV-OH area designated by EPA pursuant ‘‘Limited Maintenance Plan Option for 3 to the 1997 8-Hour ozone NAAQS. See 40 CFR The requirements of CAA section 107(d)(3)(E) Nonclassifiable CO Nonattainment Areas’’ from 81.349. include attainment of the NAAQS, full approval Joseph Paisie, OAQPS, dated October 6, 1995; and 2 In March 2008, EPA completed another review under section 110(k) of the applicable SIP, ‘‘Limited Maintenance Plan Option for Moderate of the primary and secondary ozone standards and determination that improvement in air quality is a PM10 Nonattainment Areas’’ from Lydia Wegman, tightened them further by lowering the level for result of permanent and enforceable reductions in OAQPS, dated August 9, 2001. both to 0.075 ppm. 73 FR 16436 (March 27, 2008). emissions, demonstration that the state has met all 8 The ozone design value for a monitoring site is Additionally, in October 2015, EPA completed a applicable section 110 and part D requirements, and the 3-year average of the annual fourth-highest daily review of the primary and secondary ozone a fully approved maintenance plan under CAA maximum 8-hour average ozone concentrations. standards and tightened them by lowering the level section 175A. The design value for an ozone nonattainment area for both to 0.70 ppm. 80 FR 65292 (October 26, 4 See 80 FR 12315 (March 6, 2015). is the highest design value of any monitoring site 2015). 5 882 F.3d 1138 (D.C. Cir. 2018). in the area.

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maintain the 1997 ozone NAAQS year which identifies the level of attained the 1997 8-hour ozone NAAQS. through June 14, 2027, i.e., through the emissions in the area which is sufficient The Wheeling Area continued to end of the 20-year maintenance period. to maintain the NAAQS. The inventory monitor attainment of the 1997 8-hour II. Summary of SIP Revision and EPA should be developed consistent with ozone NAAQS in 2014. Therefore, the Analysis EPA’s most recent guidance. For ozone, emissions inventory from 2014 the inventory should be based on represents emissions levels conducive WVDEP’s December 10, 2019 SIP typical summer day’s emissions of to continued attainment (i.e., submittal outlines a plan for continued oxides of nitrogen (NO ) and volatile maintenance) of the NAAQS. Thus, maintenance of the 1997 ozone NAAQS X which addresses the criteria set forth in organic compounds (VOC), the WVDEP is using 2014 as representing the Calcagni memo as follows. precursors to ozone formation. In the attainment level emissions for its first maintenance plan for the Wheeling second maintenance plan. WVDEP used A. Attainment Emissions Inventory Area, WVDEP used 2004 for the 2014 summer day emissions from EPA’s A state should develop a attainment year inventory, because 2004 2014 version 7.0 modeling platform as comprehensive and accurate inventory was one of the years in the 2002–2004 the basis for the 2014 inventory of actual emissions for an attainment three-year period when the area first presented in Table 1.9

TABLE 1—2014 TYPICAL SUMMER DAY VOC AND NOX EMISSIONS [tons/day] 10

Area Source category VOC NOX

Marshall County, WV ...... Fire ...... 0.5 0.0 Nonpoint ...... 19.1 3.2 Nonroad ...... 0.4 0.5 Onroad ...... 0.6 4.1 Point ...... 1.0 0.0

Subtotal ...... 21.6 7.9

Ohio County, WV ...... Fire ...... 0.0 0.0 Nonpoint ...... 1.8 2.1 Nonroad ...... 1.0 0.3 Onroad ...... 1.7 1.0 Point ...... 0.1 24.4

Subtotal ...... 4.7 27.9

Belmont County, OH ...... Fire ...... 0.0 0.0 Nonpoint ...... 6.2 0.6 Nonroad ...... 1.3 0.4 Onroad ...... 2.0 3.4 Point ...... 0.2 0.2

Subtotal ...... 9.7 4.6

Wheeling Area, WV–OH ...... Totals ...... 35.9 40.4

The 2014 emissions inventory was The fire emissions sector includes from engines used primarily to propel prepared by WVDEP and uploaded into emissions from agricultural burning, equipment on highways and other EPA’s Emissions Inventory System (EIS) prescribed fires, wildfires, and other roads, including passenger vehicles, for inclusion in EPA’s National types of fires. The nonpoint emissions motorcycles, and heavy-duty diesel Emission Inventory (NEI). The inventory sector includes emissions from trucks. The point source sector includes addresses four anthropogenic emission equipment, operations, and activities large industrial operations that are source categories: Stationary (point) that are numerous and in total have relatively few in number but have large sources, stationary nonpoint (area) significant emissions. Examples include emissions, such as kraft mills, electrical sources, nonroad mobile, and on-road emissions from commercial and generating units, and pharmaceutical mobile sources. Point sources are consumer products, portable fuel factories. On-road mobile emissions are stationary sources that have the containers, home heating, repair and modelled by WVDEP using EPA’s Motor potential to emit (PTE) more than 100 refinishing operations, and crematories. Vehicle Emission Simulator (MOVES). tons per year (tpy) of VOC, or more than The non-road emissions sector includes WVDEP generates nonroad mobile emissions from engines that are not 50 tpy of NOX, and which are required source emissions data through use of primarily used to propel transportation to obtain an operating permit. Data are EPA’s NONROAD2014a model. EPA equipment, such as generators, forklifts, collected for each source at a facility reviewed the supporting documentation and marine pleasure craft. The on-road and reported to WVDEP. emissions sector includes emissions

9 On April 22, 2020, WVDEP submitted a instead of ‘‘2014 Summertime Daily VOC Emissions 10 Data in Table 1 only includes tons/day. See clarifying letter to EPA noting that the headings in (tpd).’’ EPA does not believe that this mislabeling Tables 3 and 4 of WVDEP’s December 10, 2019 Table 4 of its submittal were inadvertently titled, negatively impacts proposed approval of this SIP submittal for data in tons/year. ‘‘2014 Summertime Daily NOX Emissions (tpd)’’ revision.

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submitted by WVDEP 11 and proposes to requirement has been met, provided that The 7th column is a calculated 5-year conclude that the plan’s inventory is Prevention of Significant Deterioration weighted design value calculated by acceptable for the purposes of a (PSD) requirements, any control West Virginia. This 5-year weighted subsequent maintenance plan under measures already in the SIP, and any design value was calculated by CAA section 175A(b).12 Federal measures remain in place averaging all the 4th Max Ozone values B. Maintenance Demonstration through the end of the second 10-year from the years 2012–2018. The 8th maintenance period (absent a showing column is the 5-year design value In order to attain the 1997 ozone consistent with section 110(l) that such average calculated by EPA. The 5-year NAAQS, the three-year average of the measures are not necessary to assure design value average is calculated by fourth-highest daily average ozone maintenance). averaging the design values for 2012– concentrations (design value, DV) at each monitor within an area must not For the purposes of demonstrating a 2014, 2013–2015, 2014–2016, 2015– exceed 0.08 ppm. Based on the stable or improving air quality trend, 2017, and 2016–2018. The 5-year rounding convention described in 40 West Virginia used a weighted design weighted design value calculated by CFR part 50, appendix I, the standard is value of the most recent five design West Virginia is 0.067 ppm, and the 5- attained if the DV is 0.084 or below. values. The five most recent design year design value calculated by EPA is CAA section 175A requires a values available cover the 2012–2018 0.066 p.m., for the Wheeling Area, both demonstration that the area will ambient air monitoring data. This of which are below the 0.071 ppm continue to maintain the NAAQS includes 3-year design values for 2012– threshold level and 79% of the NAAQS. throughout the duration of the requisite 2014, 2013–2015, 2014–2016, 2015– Table 2 shows that the most recent five maintenance period. Consistent with the 2017, and 2016–2018. Data from 2014, years of ambient ozone air quality 3-year prior guidance documents discussed 2015, and 2016 was included in three average DVs for the Wheeling Area previously in this document, EPA out of five design values. Table 2 of this continue to be below 85% of the 1997 believes that if the most recent DV for document shows the most recent five ozone NAAQS. It demonstrates that 8- the area is well below the NAAQS (e.g. years of ambient ozone air quality 3-year hour ozone air quality levels are below 85%, or in this case below 0.071 design values. These design values are significantly below the level of the ppm), the section 175A demonstration from EPA’s Air Quality System (AQS). standard.

TABLE 2—WHEELING AREA 8-HOUR OZONE DESIGN VALUES IN PART PER MILLION [ppm]

5-Year design Site 2012–2014 2013–2015 2014–2016 2015–2017 2016–2018 5-Year value Projected weighted average 2023 (ppm)

Wheeling, WV...... 0.067 0.066 0.068 0.067 0.066 0.067 0.066 0.060

For the 2023 projections shown in simulations. The 2023 projected DV for with the 1997 8-hour ozone NAAQS and Table 2, EPA used a 2011-based air the Wheeling Area is 0.060 ppm, well to protect any applicable PSD quality modeling platform, which below the level of the 1997 8-hour increments. WVDEP states that air includes emissions, meteorology, and ozone NAAQS, 0.08 ppm. Therefore, quality measurements will be performed other inputs for 2011 as the base year EPA proposes to determine that that in accordance with appropriate and emissions for 2023 as the future future violations of the NAAQS in this regulations and guidance documents analytic year base case. Specifically, the area are unlikely. along with EPA quality assurance requirements, and monitoring modeling platform included a variety of C. Continued Air Quality Monitoring procedures will be determined in data that contained information and Verification of Continued accordance with 40 CFR part 58. pertaining to the modeling domain and Attainment simulation period. These include WVDEP commits to submitting quality- gridded, hourly emissions estimates and Once an area has been redesignated to assured ozone data to EPA through the meteorological data, and boundary attainment, the state remains obligated AQS and ultimately certified by the concentrations. Separate emissions to maintain an air quality network in WVDEP. EPA has analyzed the inventories were prepared for the 2011 accordance with 40 CFR part 58, in commitments in the plan and base year and the 2023 base case. All order to verify the area’s attainment determined that they meet the other inputs (i.e. meteorological fields, status. In the December 10, 2019 requirements. initial concentrations, and boundary submittal, West Virginia committed to D. Contingency Plan concentrations) were specified for the maintaining an appropriate air quality 2011 base year model application and monitoring network, in accordance with The contingency plan provisions are remained unchanged for the future-year 40 CFR part 58. West Virginia will designed to promptly correct or prevent model simulations. The 2011 modeling continue to conduct ambient ozone air a violation of the NAAQS that might platform and projected 2023 emissions quality monitoring in the area occur after redesignation of an area to were used to drive the 2011 base year throughout the term of the maintenance attainment. Section 175A of the CAA and 2023 future case air quality model plan to verify continued attainment requires that a maintenance plan

11 See Appendix C of WVDEP’s December 10, were excerpted from: https://www.epa.gov/sites/ www.epa.gov/ground-level-ozone-pollution/1997- 2019 submittal. production/files/2018-11/ozone_1997_naaqs_ ozonenational-ambient-air-quality-standards- 12 The daily emissions data for 2014 typical emiss_inv_data_nov_19_2018_0.xlsx (‘‘2014 2028 naaqs-nonattainment. summer day VOC and NOX emissions in Table 1 area emiss by sector’’ tab) posted at https://

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include such contingency measures as contingency plan will be ‘‘triggered,’’ the control strategy SIP revision or EPA deems necessary to assure that the based on the following schedule: (1) maintenance plan (40 CFR 93.101, state will promptly correct a violation of Quality assurance procedures must 93.118, and 93.124). An MVEB is the NAAQS that occurs after confirm the monitored violation within defined as ‘‘that portion of the total redesignation. The maintenance plan 45 days of occurrence; (2) a draft rule allowable emissions defined in the should identify the contingency would be developed by the WVDEP for submitted or approved control strategy measures to be adopted, a schedule and any regulation chosen, (3) WVDEP will implementation plan revision or procedure for adoption and adopt the selected control measure(s) as maintenance plan for a certain date for implementation of the contingency emergency rule(s) which will be the purpose of meeting reasonable measures, and a time limit for action by implemented within six months after further progress milestones or the state. The state should also identify adoption and will file the rule(s) as demonstrating attainment or specific indicators to be used to legislative rule(s) for permanent maintenance of the NAAQS, for any determine when the contingency authorization by the legislature; and (4) criteria pollutant or its precursors, measures need to be adopted and for each voluntary measure selected, the allocated to highway and transit vehicle implemented. The maintenance plan WVDEP will initiate program use and emissions (40 CFR 93.101).’’ must include a requirement that the development with local governments Under the conformity rule, LMP areas state will implement all pollution within the area by the start of the may demonstrate conformity without a control measures that were contained in following ozone season. regional emission analysis (40 CFR the SIP before redesignation of the area Furthermore, if the triennial 93.109(e)). However, because LMP areas to attainment. See section 175A(d) of inventories indicate emissions growth are still maintenance areas, certain the CAA. WVDEP’s December 10, 2019 in excess of 10% of the 2011 base-year aspects of transportation conformity submittal outlines its adopted inventory or if a monitored ozone air determinations still will be required for permanent and Federally enforceable quality exceedance pattern indicates transportation plans, programs and control measures in order to regulate that an ozone NAAQS violation may be projects. Specifically, for such emission growth. The Wheeling Area’s imminent, WVDEP will evaluate determinations, RTPs, TIPs and control measures include the permitting existing control measures to ascertain if transportation projects still will have to regulations and PSD measures, which additional regulatory revisions are demonstrate that they are fiscally will remain in effect through the necessary to maintain the ozone constrained (40 CFR 93.108), meet the maintenance plan period. Air permits standards. criteria for consultation (40 CFR 93.105 issued will incorporate applicable PSD, EPA finds that West Virginia’s and 93.112) and Transportation Control New Source Performance Standard, and contingency measures, as well as the Measure implementation in the National Emission Standards for commitment to continue implementing conformity rule provisions (40 CFR Hazardous Air Pollutant requirements. any SIP requirements, satisfy the 93.113). Additionally, conformity WVDEP’s December 10, 2019 pertinent requirements of section 175A. determinations for RTPs and TIPs must submittal included the required Importantly, while EPA notes that West be determined no less frequently than contingency plan, to be implemented in Virginia’s contingency measures option every four years, and conformity of plan the event of NAAQS violations in the six (increasing public understanding) and TIP amendments and transportation future. WVDEP has committed to and seven (voluntary local control projects is demonstrated in accordance adopting and implementing one or more measures), are not enforceable measures with the timing requirements specified of the following control measures that standing alone are likely to lead to in 40 CFR 93.104. In addition, for within three months after verification of reductions in emissions that could projects to be approved they must come a monitored ozone standard violation in promptly correct a violation of the from a currently conforming RTP and the Wheeling Area: (1) Extend the NAAQS, their inclusion among other TIP (40 CFR 93.114 and 93.115). The applicability of the VOC reasonably measures that meet that criterion, is Wheeling Area remains under the available control technology (RACT) overall SIP-strengthening, and their obligation to meet the applicable rule to include source categories inclusion does not alter EPA’s proposal conformity requirements for the 1997 8- previously excluded (e.g., wastewater to find the LMP is fully approvable. hour ozone NAAQS. treatment facilities); (2) revise E. Transportation Conformity permitting requirements establishing III. Proposed Action more stringent emissions control Transportation conformity is required EPA’s review of WVDEP’s December measures and/or emissions offsets; (3) by section 176(c) of the CAA. 10, 2019 submittal indicates it meets implement NOx RACT requirements if Conformity to a SIP means that CAA section 175A and all applicable necessary; (4) develop regulations to transportation activities will not CAA requirements. EPA is proposing to establish plant-wide emission caps; (5) produce new air quality violations, approve the LMP for the 1997 8-hour implement Stage II Vapor Recovery worsen existing violations, or delay ozone NAAQS for the Wheeling Area regulations; (6) establish a program timely attainment of the NAAQS (CAA (comprising Marshall and Ohio focusing on increasing the public’s 176(c)(1)(B)). EPA’s conformity rule at Counties), as a revision to the West understanding of air quality issues and 40 CFR part 93 requires that Virginia SIP. EPA is soliciting public increasing support for actions to transportation plans, programs and comments on the issues discussed in improve the air quality; and (7) initiate projects conform to SIPs and establish this document. These comments will be voluntary local control measures (e.g., the criteria and procedures for considered before taking final action. bicycle/pedestrian measures, engine determining whether or not they idling reduction, partnership with conform. The conformity rule generally IV. Statutory and Executive Order ground freight industry, increase requires a demonstration that emissions Reviews compliance with open burning from the Regional Transportation Plan Under the CAA, the Administrator is restrictions, and school bus engine (RTP) and the Transportation required to approve a SIP submission retrofit program). Improvement Program (TIP) are that complies with the provisions of the If there is indeed a violation and the consistent with the motor vehicle CAA and applicable Federal regulations. DV exceeds the NAAQS, the emissions budget (MVEB) contained in 42 U.S.C. 7410(k); 40 CFR 52.02(a).

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Thus, in reviewing SIP submissions, List of Subjects in 40 CFR Part 52 Effective March 19, 2020, and until EPA’s role is to approve state choices, Environmental protection, Air further notice, the Commission no provided that they meet the criteria of pollution control, Incorporation by longer accepts any hand or messenger the CAA. Accordingly, this action reference, Nitrogen dioxide, Ozone, delivered filings. This is a temporary merely approves state law as meeting Volatile organic compounds. measure taken to help protect the health Federal requirements and does not and safety of individuals, and to impose additional requirements beyond Dated: June 17, 2020. mitigate the transmission of COVID–19. those imposed by state law. For that Cosmo Servidio, See FCC Announces Closure of FCC reason, this proposed action: Regional Administrator, Region III. Headquarters Open Window and • Is not a ‘‘significant regulatory [FR Doc. 2020–13508 Filed 6–26–20; 8:45 am] Change in Hand-Delivery Policy, Public action’’ subject to review by the Office BILLING CODE 6560–50–P Notice, DA 20–304 (March 19, 2020). of Management and Budget under https://www.fcc.gov/document/fcc- Executive Orders 12866 (58 FR 51735, closes-headquarters-open-window-and- October 4, 1993) and 13563 (76 FR 3821, FEDERAL COMMUNICATIONS changes-hand-delivery-policy. January 21, 2011); COMMISSION During the time the Commission’s • Is not an Executive Order 13771 (82 building is closed to the general public FR 9339, February 2, 2017) regulatory 47 CFR Parts 1, 2, 25, 27, and 101 and until further notice, if more than action because SIP approvals are [GN Docket No. 18–122, DA 20–644; FRS one docket or rulemaking number exempted under Executive Order 12866. 16883] appears in the caption of a proceeding, • Does not impose an information paper filers need not submit two collection burden under the provisions Wireless Telecommunications Bureau additional copies for each additional of the Paperwork Reduction Act (44 Seeks Comment on PSSI Global docket or rulemaking number; an U.S.C. 3501 et seq.); Services, L.L.C. Request for Stay of original and one copy are sufficient. • Is certified as not having a 3.7–4.2 GHz Band Report and Order FOR FURTHER INFORMATION CONTACT: significant economic impact on a and Order of Proposed Modification Susan Mort, Wireless Telecommunications Bureau, at substantial number of small entities AGENCY: Federal Communications [email protected] or 202–418–2429. under the Regulatory Flexibility Act (5 Commission. U.S.C. 601 et seq.); SUPPLEMENTARY INFORMATION: ACTION: Notification of petition for stay; This is a • Does not contain any unfunded request for comment. summary of the Commission’s mandate or significantly or uniquely document, GN Docket No. 18–122, DA affect small governments, as described SUMMARY: In this document, the 20–644, released on June 18, 2020. The in the Unfunded Mandates Reform Act Wireless Telecommunications Bureau complete text of this document is of 1995 (Public Law 104–4); (Bureau) seeks comment on a request available on the Commission’s website • Does not have Federalism that the Commission stay, pending at https://ecfsapi.fcc.gov/file/ implications as specified in Executive judicial review, the rules adopted in the 061838609756/DA-20-644A1.pdf or by Order 13132 (64 FR 43255, August 10, Report and Order and Order of Proposed using the search function for GN Docket 1999); Modification, filed by PSSI Global No. 18–122 on the Commission’s ECFS • Is not an economically significant Services, L.L.C. (PSSI). web page at www.fcc.gov/ecfs. regulatory action based on health or DATES: Comments are due on or before Pursuant to §§ 1.415 and 1.419 of the safety risks subject to Executive Order June 25, 2020, and reply comments are Commission’s rules, 47 CFR 1.415, 13045 (62 FR 19885, April 23, 1997); due on June 30, 2020. 1.419, interested parties may file • Is not a significant regulatory action ADDRESSES: You may submit comments elections on or before the date indicated subject to Executive Order 13211 (66 FR and reply comments, identified by GN on the first page of this document. 28355, May 22, 2001); People with Disabilities: To request • Docket No. 18–122, by any of the Is not subject to requirements of following methods: materials in accessible formats for Section 12(d) of the National D Electronic Filers: Elections may be people with disabilities (braille, large Technology Transfer and Advancement filed electronically using the internet by print, electronic files, audio format), Act of 1995 (15 U.S.C. 272 note) because accessing the ECFS: http://apps.fcc.gov/ send an email to [email protected] or call application of those requirements would ecfs/. the Consumer & Governmental Affairs be inconsistent with the CAA; and D Paper Filers: Parties who choose to Bureau at 202–418–0530 (voice), 202– • Does not provide EPA with the file by paper must file an original and 418–0432 (tty). discretionary authority to address, as one copy of each filing. Ex Parte Rules: This proceeding shall appropriate, disproportionate human D Filings can be sent by commercial be treated as a ‘‘permit-but-disclose’’ health or environmental effects, using overnight courier, or by first-class or proceeding in accordance with the practicable and legally permissible overnight U.S. Postal Service mail. All Commission’s ex parte rules. Persons methods, under Executive Order 12898 filings must be addressed to the making ex parte presentations must file (59 FR 7629, February 16, 1994). Commission’s Secretary, Office of the a copy of any written presentation or a In addition, this proposed rule, Secretary, Federal Communications memorandum summarizing any oral pertaining to West Virginia’s second Commission. presentation within two business days maintenance plan for Marshall and Ohio D Commercial overnight mail (other after the presentation (unless a different Counties, does not have tribal than U.S. Postal Service Express Mail deadline applicable to the Sunshine implications as specified by Executive and Priority Mail) must be sent to 9050 period applies). Persons making oral ex Order 13175 (65 FR 67249, November 9, Junction Drive, Annapolis Junction, MD parte presentations are reminded that 2000), because the SIP is not approved 20701. memoranda summarizing the to apply in Indian country located in the D U.S. Postal Service first-class, presentation must: (1) List all persons state, and EPA notes that it will not Express, and Priority mail must be attending or otherwise participating in impose substantial direct costs on tribal addressed to 445 12th Street SW, the meeting at which the ex parte governments or preempt tribal law. Washington, DC 20554. presentation was made; and (2)

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summarize all data presented and DEPARTMENT OF COMMERCE otherwise sensitive information arguments made during the submitted voluntarily by the sender will presentation. If the presentation National Oceanic and Atmospheric be publicly accessible. consisted in whole or in part of the Administration The Western Pacific Fishery presentation of data or arguments Management Council (Council) and already reflected in the presenters 50 CFR Part 665 NMFS prepared a regulatory written comments, memoranda, or other [Docket No. 200616–0160] amendment, including an filings in the proceeding, the presenter environmental assessment (EA), that RIN 0648–BH61 may provide citations to such data or describes the potential impacts on the arguments in his or her prior comments, Pacific Island Fisheries; Swordfish Trip human environment that could result memoranda, or other filings (specifying Limits in the American Samoa Pelagic from the proposed rule. The regulatory the relevant page and/or paragraph Longline Fishery amendment is available at numbers where such data or arguments www.regulations.gov, or from the can be found) in lieu of summarizing AGENCY: National Marine Fisheries Council, 1164 Bishop St., Suite 1400, them in the memorandum. Documents Service (NMFS), National Oceanic and Honolulu, HI 96813, tel 808–522–8220, Atmospheric Administration (NOAA), shown or given to Commission staff fax 808–522–8226, www.wpcouncil.org. Commerce. during ex parte meetings are deemed to FOR FURTHER INFORMATION CONTACT: be written ex parte presentations and ACTION: Proposed rule; request for Sarah Ellgen, NMFS PIR Sustainable must be filed consistent with § 1.1206(b) comments. Fisheries, 808–725–5173. of the Commission’s rules. In SUMMARY: NMFS proposes to remove the SUPPLEMENTARY INFORMATION: The proceedings governed by § 1.49(f) of the swordfish retention limit in the Council and NMFS manage the rules or for which the Commission has American Samoa deep-set longline American Samoa deep-set longline made available a method of electronic fishery. NMFS originally implemented fishery under the Fishery Ecosystem filing, written ex parte presentations the limit as part of a suite of gear and Plan for Pelagic Fisheries of the Western and memoranda summarizing oral ex operational requirements intended to Pacific (FEP) and implementing parte presentations, and all attachments discourage shallow-set fishing, thus regulations, as authorized by the thereto, must be filed through the reducing interactions with green sea Magnuson-Stevens Fishery electronic comment filing system turtles. The gear requirements have Conservation and Management Act available for that proceeding, and must reduced green sea turtle interactions, (Magnuson-Stevens Act). The fishery be filed in their native format (e.g., .doc, and the swordfish retention limit is not targets South Pacific albacore, and .xml., .ppt, searchable .pdf). Participants needed. The proposed rule would occasionally catches other pelagic fish, in this proceeding should familiarize remove the unnecessary restriction that such as swordfish. In 2011, based on a themselves with the Commission’s ex results in the discard of small amounts Council recommendation in FEP parte rules. of marketable swordfish that could Amendment 5, NMFS implemented gear otherwise be supplied as seafood. The requirements that were intended to Synopsis proposed rule is intended to promote reduce interactions with green sea efficiency in the fishery. turtles (76 FR 52888, August 24, 2011). With the document, DA 20–644, the DATES: NMFS must receive comments That rule also implemented a limit of 10 Bureau seeks comment on a request that by July 14, 2020. swordfish that may be retained on a the Commission stay, pending judicial ADDRESSES: fishing trip for vessels over 40 ft. The review, the rules adopted in the Report You may submit comments on this document, identified by NOAA– 10-fish limit was intended to discourage and Order (85 FR 22804, April 23, NMFS–2019–0123, by either of the switching from deep-set gear targeting 2020), filed by the PSSI.1 PSSI has following methods: albacore to shallow-set gear targeting challenged the Report and Order in the • Electronic Submission: Submit all swordfish because shallow-set fishing United States Court of Appeals for the electronic public comments via the may interact more frequently with green D.C. Circuit and seeks a stay from the Federal e-Rulemaking Portal. Go to sea turtles than deep-set fishing. Commission pending judicial review. https://www.regulations.gov/ The deep-set gear requirements, The Bureau seeks comment on the docket?D=NOAA-NMFS-2019-0123, including setting hooks below 100 m, issues raised by the Small Satellite click the ‘‘Comment Now!’’ icon, have reduced interactions with green Operators’ request for stay. complete the required fields, and enter sea turtles. The number of swordfish or attach your comments. caught per trip has been small, and Federal Communications Commission. • Mail: Send written comments to there has been no evidence that longline Amy Brett, Michael D. Tosatto, Regional fishermen have targeted swordfish. Associate Division Chief, Competition and Administrator, NMFS Pacific Islands Based on logbook data from 2010 Infrastructure Policy Division, Wireless Region (PIR), 1845 Wasp Blvd., Bldg. through 2018, the average annual catch Telecommunications Bureau. 176, Honolulu, HI 96818. rate of swordfish ranged from 0.0008 to [FR Doc. 2020–13937 Filed 6–25–20; 11:15 am] Instructions: NMFS may not consider 0.03 swordfish per 1,000 hooks. From BILLING CODE 6712–01–P comments sent by any other method, to 2008 through 2018, the number of any other address or individual, or swordfish caught ranged from 0.6 to 2.8 received after the end of the comment fish per trip. The most recent stock period. All comments received are a assessment of Southwest Pacific part of the public record and will swordfish, conducted in 2017, indicated generally be posted for public viewing the swordfish stock is neither overfished on https://www.regulations.gov without nor subject to overfishing. See the change. All personal identifying regulatory amendment and the 1 Request for Stay, GN Docket No. 18–122, PSSI information (e.g., name, address, etc.), Classification section for details about (filed June 17, 2020). confidential business information, or catch and revenue in this fishery.

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The current requirement for vessels other measures applicable to the fishery excess of $11 million for all of its over 40 ft. to discard any swordfish in would remain unchanged. The proposed affiliated operations worldwide. Based excess of the 10-fish limit results in rule intends to reduce regulatory on available information, NMFS has wasteful discards, potential lost discards and optimize the yield of determined that all vessels that are revenues, and an unnecessary reduction swordfish. currently permitted federally under the in seafood available to the Nation. The This rule would directly affect vessels FEP are small entities. American Samoa longline fishery is that hold American Samoa longline facing challenging economic conditions limited entry Class B, C, and D permits. Under the proposed action, American and the Council recommended that Class A permit holders are exempt from Samoa-based longline fishermen would NMFS remove the swordfish limit to the current swordfish retention be able to keep more swordfish than provide relief. Removing the swordfish requirement. As of May 15, 2020, 43 what is currently allowed, resulting in limit would allow fishermen to retain a vessels held American Samoa longline an additional revenue gain of up to few more swordfish that might be limited entry Class B, C, and D permits, $1,393 per active vessel per year. The caught incidentally during deep-set but the potential number of affected other action alternative that was fishing, while maintaining safeguards vessels could be as high as 60, which is considered would allow the retention of for green sea turtles through the existing the total number of permits available. up to 25 swordfish per trip for a trip gear restrictions. All other management According to logbook information, where no observer is on board the measures (including a limited vessel twelve American Samoa longline vessel, and an unlimited amount of participation, prohibited fishing areas, vessels within these class size permit swordfish if an observer is on board. fishery observers, logbook reporting, categories actively fished in 2018 (four The preferred action was selected vessel monitoring systems, and gear and Class C and eight Class D). No Class B because deep-set gear restrictions have operational requirements) would remain vessels actively fished in recent years. reduced green sea turtle interactions, Based on data provided in logbooks in place and continue to apply in the there has been no evidence that and observer records, a total of fishery. fishermen switch to shallow-setting on approximately 21,500 lb of swordfish NMFS will consider public comments unobserved trips, and this action would on this proposed rule and will may have been discarded due to the be preferred by small entities. announce the final rule in the Federal swordfish trip limit among all vessels Register. NMFS must receive any from 2013 through 2016. At the 2018 Under the proposed action, the comments by the date provided in the market price of $3.37/lb, and assuming American Samoa longline fishery DATES heading, not postmarked or that none of those discards were due to managed under the Pelagic FEP is not otherwise transmitted by that date. shark predation, small size, or other expected to expand substantially nor factors contributing to low change the manner in which they are Classification marketability, those discards would currently conducted (i.e., area fished, Pursuant to section 304(b)(1)(A) of the have represented a loss of total number of vessels longline fishing, Magnuson-Stevens Act, the NMFS fleetwide revenue of approximately number of trips taken per year, number Assistant Administrator has determined $72,000 over the four years, or an of hooks set per vessel during a trip, that this proposed rule is consistent annual fleetwide loss in revenue of just depth of hooks, or deployment over $18,000. Using the average number with the FEP, other provisions of the techniques in setting longline gear). The of Class C and D longline vessels that Magnuson-Stevens Act, and other proposed rule does not duplicate, applicable laws, subject to further actively fished in 2017 and 2018, this overlap, or conflict with other Federal consideration after public comment. would represent an annual loss in This proposed rule has been potential revenue of $1,393 per active rules and is not expected to have determined to be not significant for vessel. Not all swordfish retained would significant impact on small purposes of Executive Order 12866. have been sold in the local markets; organizations or government This proposed rule is not an some would be retained for onboard jurisdictions. Furthermore, there would Executive Order 13771 regulatory action consumption, kept for personal be little, if any, disproportionate adverse because this rule is not significant under consumption and/or given away to the economic impacts from the proposed Executive Order 12866. local community, as is customary in rule based on gear type, or relative American Samoa. vessel size. The proposed rule also will Certification of Finding of No NMFS estimates the average annual not place a substantial number of small Significant Impact on Substantial 2015–2018 gross ex-vessel value of Number of Small Entities entities, or any segment of small pelagic fish landed by the American entities, at a significant competitive The Chief Counsel for Regulation of Samoa-based longline fishery to be disadvantage to large entities. the Department of Commerce certified about $5.075 million (all years adjusted to the Chief Counsel for Advocacy of the to 2018 dollars). Based on the average For the reasons above, NMFS does not Small Business Administration that this number of vessels fishing during those expect the proposed action to have a proposed rule, if adopted, would not years, the average annual revenue significant economic impact on a have a significant economic impact on would be just over $300,000 per active substantial number of small entities. As a substantial number of small entities. vessel. NMFS has established a small a result, an initial regulatory flexibility This proposed rule would remove the business size standard for businesses, analysis is not required and none has limits on the number of swordfish that including their affiliates, whose primary been prepared. may be landed or possessed during any industry is commercial fishing (see 50 List of Subjects in 50 CFR 665 given American Samoa-based longline CFR 200.2). A business primarily fishing trip south of the Equator. engaged in commercial fishing is Administrative practice and Currently, a longline vessel over 40 ft classified as a small business if it is procedure, American Samoa, Fisheries, may keep no more than 10 swordfish on independently owned and operated, is Fishing, Longline, Pacific Islands, any given trip. Under the proposed rule, not dominant in its field of operation Seafood, Swordfish. there would be no limit on the number (including its affiliates), and its of swordfish landed or kept per trip. All combined annual receipts are not in

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Dated: June 16, 2020. Authority: 16 U.S.C. 1801 et seq. registered for use with any valid Samuel D. Rauch, III, longline permit issued pursuant to ■ 2. In § 665.813, revise paragraph (k) Deputy Assistant Administrator for § 665.801 must use longline gear that is introductory text and remove paragraph Regulatory Programs, National Marine configured according to the (k)(5) to read as follows: Fisheries Service. requirements in paragraphs (k)(1) For the reasons set out in the § 665.813 Western Pacific longline fishing through (4) of this section. preamble, NMFS proposes to amend 50 restrictions. * * * * * CFR part 665 as follows: * * * * * [FR Doc. 2020–13317 Filed 6–26–20; 8:45 am] PART 665—FISHERIES IN THE (k) South Pacific Longline BILLING CODE 3510–22–P WESTERN PACIFIC Requirements. When fishing south of the Equator (0° lat.) for western Pacific ■ 1. The authority citation for 50 CFR pelagic MUS, owners and operators of part 665 continues to read as follows: vessels longer than 40 ft (12.2 m)

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Notices Federal Register Vol. 85, No. 125

Monday, June 29, 2020

This section of the FEDERAL REGISTER displays a currently valid OMB control DEPARTMENT OF AGRICULTURE contains documents other than rules or number. proposed rules that are applicable to the Animal and Plant Health Inspection public. Notices of hearings and investigations, Food and Nutrition Service Service committee meetings, agency decisions and rulings, delegations of authority, filing of Title: USDA Professional Standards [Docket No. APHIS–2020–0053] petitions and applications and agency Training Tracker Tool (PSTTT). Notice of Request for Revision to and statements of organization and functions are OMB Control Number: 0584–0626. examples of documents appearing in this Extension of Approval of an section. Summary of Collection: Section 306 of Information Collection; National the Healthy Hunger-Free Kids Act of Veterinary Services Laboratories; 2010 (HHFKA) requires Professional Bovine Spongiform Encephalopathy DEPARTMENT OF AGRICULTURE Standards for state and local school Surveillance Program district nutrition professionals. In Submission for OMB Review; addition to hiring standards, mandatory ACTION: Revision to and extension of Comment Request annual training will be required for all approval of an information collection; comment request. June 24, 2020. individuals involved in preparing The Department of Agriculture has school meals. To meet the training SUMMARY: In accordance with the submitted the following information requirements and assist in keeping track Paperwork Reduction Act of 1995, this collection requirement(s) to OMB for of training and training courses, FNS notice announces the Animal and Plant review and clearance under the has developed a web-based application Health Inspection Service’s intention to Paperwork Reduction Act of 1995, tool with a SQL-server database which request a revision to and extension of Public Law 104–13. Comments are is available to local educational agencies approval of an information collection requested regarding; whether the and school food authorities through the associated with National Veterinary collection of information is necessary FNS public website. While training Services Laboratories diagnostic support for the proper performance of the requirements are mandatory, using the for the bovine spongiform functions of the agency, including USDA PSTTT to track the training is encephalopathy surveillance program. whether the information will have voluntary. State and local school district DATES: We will consider all comments practical utility; the accuracy of the nutrition professionals can use any that we receive on or before August 28, agency’s estimate of burden including 2020. the validity of the methodology and method to track and manage their assumptions used; ways to enhance the trainings. These resources facilitate ADDRESSES: You may submit comments compliance with HHFKA requirements by either of the following methods: quality, utility and clarity of the • information to be collected; and ways to and are provided at no cost to the state, Federal eRulemaking Portal: Go to minimize the burden of the collection of district, or school nutrition http://www.regulations.gov/ information on those who are to professionals. #!docketDetail;D=APHIS-2020-0053. • Postal Mail/Commercial Delivery: respond, including through the use of Need and Use of the Information: Send your comment to Docket No. appropriate automated, electronic, State and school nutrition professionals APHIS–2020–0053, Regulatory Analysis mechanical, or other technological can use the PSTTT to keep track of their collection techniques or other forms of and Development, PPD, APHIS, Station training courses, learning objectives, 3A–03.8, 4700 River Road, Unit 118, information technology. and training hours, in accordance with Comments regarding this information Riverdale, MD 20737–1238. HHFKA requirements. State reviewers collection received by July 29, 2020 will Supporting documents and any can run reports from the PSTTT that be considered. Written comments and comments we receive on this docket recommendations for the proposed they can use in preparation for may be viewed at http:// information collection should be Administrative Reviews that are www.regulations.gov/ submitted within 30 days of the conducted onsite at the school food #!docketDetail;D=APHIS-2020-0053 or publication of this notice on the authorities. in our reading room, which is located in following website www.reginfo.gov/ Description of Respondents: State, Room 1141 of the USDA South public/do/PRAMain. Find this Local, or Tribal Government. Building, 14th Street and Independence Avenue SW, Washington, DC. Normal particular information collection by Number of Respondents: 10,006. selecting ‘‘Currently under 30-day reading room hours are 8 a.m. to 4:30 Review—Open for Public Comments’’ or Frequency of Respondents: Reporting: p.m., Monday through Friday, except by using the search function. On occasion; Quarterly; Annually; holidays. To be sure someone is there to An agency may not conduct or Weekly; Monthly. help you, please call (202) 799–7039 sponsor a collection of information Total Burden Hours: 17,090. before coming. unless the collection of information FOR FURTHER INFORMATION CONTACT: For displays a currently valid OMB control Ruth Brown, information on the regulations to number and the agency informs Departmental Information Collection prevent the introduction of bovine potential persons who are to respond to Clearance Officer. spongiform encephalopathy into the the collection of information that such [FR Doc. 2020–13949 Filed 6–26–20; 8:45 am] United States, contact Dr. Christina persons are not required to respond to BILLING CODE 3410–30–P Loiacono, Coordinator, National Animal the collection of information unless it Health Laboratory Network, USDA,

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APHIS, Veterinary Services, 1920 appropriate, of automated, electronic, comments on the inclusion of Dayton Road, Ames, IA 50010; (515) mechanical, and other collection Siluriformes fish and fish products with 337–7911; christina.m.loiacono@ technologies; e.g., permitting electronic meat products. usda.gov. For information on the submission of responses. DATES: Applicable July 29, 2020. information collection process, contact Estimate of burden: The public Comments on this notice must be Mr. Joseph Moxey, APHIS Information burden for this collection of information received on or before August 28, 2020. Collection Coordinator, at (301) 851– is estimated to average 0.10 hours per ADDRESSES: FSIS invites interested 2483; [email protected]. response. persons to submit comments on this SUPPLEMENTARY INFORMATION: Respondents: Slaughter Federal Register notice. Comments may Title: National Veterinary Services establishments, offsite collection be submitted by one of the following Laboratories; Bovine Spongiform facilities for condemned slaughter methods: Encephalopathy Surveillance Program. cattle, rendering 3D/4D facilities, State • Federal eRulemaking Portal: This OMB Control Number: 0579–0409. animal health personnel, veterinary website provides commenters the ability Type of Request: Revision to and diagnostic laboratories, and accredited to type short comments directly into the extension of approval of an information veterinarians. comment field on the web page or to Estimated annual number of collection. attach a file for lengthier comments. Go respondents: 1,099. Abstract: Under the Animal Health to http://www.regulations.gov. Follow Estimated annual number of Protection Act (7 U.S.C. 8301 et seq.), the on-line instructions at that site for responses per respondent: 23. the Animal and Plant Health Inspection submitting comments. Estimated annual number of • Service (APHIS) of the U.S. Department responses: 25,640. Mail, including CD–ROMs, etc.: of Agriculture (USDA) is authorized, Estimated total annual burden on Send to Docket Clerk, U.S. Department among other things, to carry out respondents: 2,565 hours. (Due to of Agriculture, Food Safety and activities to detect, control, and averaging, the total annual burden hours Inspection Service, 1400 Independence eradicate pests and diseases of livestock may not equal the product of the annual Avenue SW, Mailstop 3758, Room 6065, within the United States. APHIS’ Washington, DC 20250–3700. number of responses multiplied by the • National Veterinary Services reporting burden per response.) Hand- or courier-delivered Laboratories (NVSL) safeguard U.S. All responses to this notice will be submittals: Deliver to 1400 animal health and contribute to public summarized and included in the request Independence Avenue SW, Room 6065, health by ensuring that timely and for OMB approval. All comments will Washington, DC 20250–3700. accurate laboratory support is provided also become a matter of public record. Instructions: All items submitted by by their nationwide animal health mail or electronic mail must include the diagnostic system. Done in Washington, DC, this 24th day of Agency name and docket number FSIS– June 2020. USDA complies with the standard set 2020–0012. Comments received in by the World Organization for Animal Mark Davidson, response to this docket will be made Health (OIE) for bovine spongiform Acting Administrator, Animal and Plant available for public inspection and encephalopathy (BSE) surveillance. This Health Inspection Service. posted without change, including any compliance is critical for maintaining [FR Doc. 2020–13944 Filed 6–26–20; 8:45 am] personal information, to http:// our BSE-risk status with the OIE. Our BILLING CODE 3410–34–P www.regulations.gov. BSE surveillance program requires Docket: For access to background information collection activities, such as documents or comments received, call completing the USDA BSE Surveillance DEPARTMENT OF AGRICULTURE (202)720–5627 to schedule a time to visit the FSIS Docket Room at 1400 Submission form and the USDA BSE Food Safety and Inspection Service Surveillance Data Collection form. Independence Avenue SW, Room 6065, We are asking the Office of [Docket No. FSIS–2020–0012] Washington, DC 20250–3700. Management and Budget (OMB) to FOR FURTHER INFORMATION CONTACT: Gina approve our use of these information Retail Exemptions Adjusted Dollar Kouba, Office of Policy and Program collection activities, as described, for an Limitations Development, Food Safety and additional 3 years. AGENCY: Food Safety and Inspection Inspection Service, USDA, 1400 The purpose of this notice is to solicit Service, USDA. Independence Avenue SW, Room 6065, comments from the public (as well as ACTION: Notice. South Building, Washington, DC 20250– affected agencies) concerning our 3700; (202) 720–5627. information collection. These comments SUMMARY: The Food Safety and SUPPLEMENTARY INFORMATION: will help us: Inspection Service (FSIS) is announcing (1) Evaluate whether the collection of the dollar limitations on the amount of Background information is necessary for the proper meat and meat food products and The Federal Meat Inspection Act (21 performance of the functions of the poultry and poultry products that a U.S.C. 601 et seq.) and the Poultry Agency, including whether the retail store can sell to hotels, Products Inspection Act (21 U.S.C. 451 information will have practical utility; restaurants, and similar institutions et seq.) provide a comprehensive (2) Evaluate the accuracy of our without disqualifying itself for statutory framework to ensure that meat estimate of the burden of the collection exemption from Federal inspection and meat food products and poultry and of information, including the validity of requirements. Because Siluriformes fish poultry products prepared for commerce the methodology and assumptions used; have been regulated, along with are wholesome, not adulterated, and (3) Enhance the quality, utility, and traditional meat products, under the properly labeled and packaged. clarity of the information to be Federal Meat Inspection Act since 2016, Statutory provisions requiring collected; and FSIS has included Siluriformes fish and inspection of the processing of meat and (4) Minimize the burden of the fish products in its calculations for the meat food products and poultry and collection of information on those who retail dollar limitation for meat products poultry products do not apply to are to respond, through use, as in this announcement. FSIS requests operations of types traditionally and

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usually conducted at retail stores and adjustment in the dollar limitation for methodology to exempt half of the restaurants in regard to products offered poultry and poultry products. The percentage of Siluriformes sales, in this for sale to consumers in normal retail dollar limitation for poultry and poultry case 3.88 percent, the fish retail quantities (21 U.S.C. 661(c)(2) and products remains unchanged at $56,600 exemption total is $79 million. 454(c)(2)). FSIS’s regulations (9 CFR for calendar year 2020. The 2012 Economic Census has sales 303.1(d) and 381.10(d)) elaborate on the revenue ranges for supermarket sales. Adjustment to Account for Siluriformes FSIS applied the 2017 Economic Census conditions under which requirements Methodology for inspection do not apply to retail numbers to the proportions in the 2012 operations involving the preparation of FSIS used the 2012 Economic Economic Census. FSIS then calculated meat and meat food products and the Census,2 the 2017 Economic Census,3 the midpoint sales for each range and processing of poultry and poultry the 2017 Food Industry Association’s multiplied the midpoint by the number products. (FMI) Supermarket Sales,4 the 2017 of retail establishments in each sales National Fisheries Institute’s (NFI) category to estimate total sales per Sales to Hotels, Restaurants, and consumption data,5 and the Bureau of category. FSIS then used the same Similar Institutions Labor Statistics’ CPI 6 to estimate the calculations above to determine the Under the aforementioned total sales of Siluriformes fish and fish Siluriformes sales per category. Finally, regulations, sales to hotels, restaurants, products at retail. FSIS then used the FSIS used the midpoint sales amounts and similar institutions (other than methodology in the October 3, 1970 to sum the number of retail household consumers) disqualify a ‘‘Revision Pursuant to Wholesome Meat establishments in each sales category retail store from exemption if the retail Act’’ final rule (35 FR 15552), which until the total Siluriformes fish and fish product sales exceed either of two established the initial baseline value products revenue amount was less than maximum limits: 25 percent of the used for the meat and poultry retail or equal to $79 million. This calculation dollar value of the total retail product exemptions, to determine the percentage would exempt approximately 33,722 sales of the amenable product or the of exempted sales.7 retail establishments. The exemption calendar year retail dollar limitation set According to the 2017 Economic amount per retail establishment would by the FSIS Administrator. The retail Census there were $625 billion in equal $79 million divided by 33,722 dollar limitation is adjusted supermarket sales. The 2017 FMI report retail establishments, or about $2,376 8 automatically during the first quarter of noted that 12.64 percent, or $79 billion, per retail establishment. This number the year if the Consumer Price Index of supermarket sales were for meat, was inflated to $2,466 9 and then (CPI), published by the Bureau of Labor poultry, and fish. FSIS assumed a third rounded to the nearest hundred to equal Statistics, shows an increase or decrease of these sales, or $26 billion, were for $2,500 per establishment. FSIS requests of more than $500 in the price of the fish products. FSIS then used NFI’s comments on the inclusion of same volume of product for the previous 2017 Top Ten List to estimate the total Siluriformes fish and fish products in year. FSIS publishes a notice of the sales of Siluriformes at retail. NFI’s Top the retail exemption dollar limitation for adjusted retail dollar limitations in the Ten List breaks down the pounds per all meat products. Federal Register. (See 9 CFR capita consumption rate of fish in the Congressional Review Act 303.1(d)(2)(iii)(b) and U.S.; the sum of the consumption of 381.10(d)(2)(iii)(b).) Catfish and Pangasius was 7.75 percent Pursuant to the Congressional Review The CPI for 2019 reveals an annual of total fish consumption. FSIS assumed Act at 5 U.S.C. 801 et seq., the Office of average price increase for meat and meat that the percentage of the domestic Information and Regulatory Affairs has food products at 1.30 percent and an consumption of Catfish and Pangasius determined that this notice is not a annual average price decrease for represented the percentage of ‘‘major rule,’’ as defined by 5 U.S.C. poultry and poultry products at 0.3 Siluriformes retail sales, thus 804(2). Siluriformes sales were estimated to be percent. When rounded to the nearest Additional Public Notification $100 dollar, the retail dollar limitation $26 billion multiplied by 7.75 percent, for meat and meat food products or $2 billion. Following the final rule’s Public awareness of all segments of increased by $1,000 and the retail dollar rulemaking and policy development is 2 2012 Economic Census of the United States. important. Consequently, FSIS will limitation for poultry and poultry Table EC1244SSSZ1 Retail Trade: Subject Series— products decrease by $200. In Estab & Firm Size: Summary Statistics by Sales Size announce this Federal Register notice accordance with 9 CFR of Establishments for the U.S. NAICS 44511 on-line through its web page located at: 303.1(d)(2)(iii)(b) and Supermarkets and other grocery (except http://www.fsis.usda.gov/federal- convenience) stores. 381.10(d)(2)(iii)(b), because the retail register. 3 2017 Economic Census of the United States. FSIS will also announce and provide dollar limitations for meat and meat Table EC1700BASIC. NAICS 44511 Supermarkets food products increased by more than and other grocery (except convenience) stores. a link to this Federal Register notice $500 and FSIS then included an 4 Food Industry Association (2017) Supermarket through the FSIS Constituent Update, additional $2,500 1 to account for Sales by Department-Percent of Total Supermarket which is used to provide information Sales. Accessed on March 6, 2020: https:// regarding FSIS policies, procedures, Siluriformes fish and fish product retail www.fmi.org/docs/default-source/research/ sales in the 2020 calculation, FSIS is supermarket-sales-by-department-2018fd94300324 regulations, Federal Register notices, increasing the dollar limitation on sales aa67249237ff0000c12749.pdf?sfvrsn=2c3e576e_0 FSIS public meetings, and other types of 5 to hotels, restaurants, and similar National Fisheries Institute. (2018, December information that could affect or would 13). Top 10 List Shows Significant Increase in be of interest to our constituents and institutions to $79,200 for meat and Seafood Consumption. Accessed on March 9, 2020: meat food products for calendar year https://www.aboutseafood.com/press_release/top- stakeholders. The Constituent Update is 2020. 10-list-shows-significant-increase-in-seafood- Because the decrease in poultry prices consumption/ . 8 Calculations may differ due to rounding. 6 Bureau of Labor Statistics. Consumer Price 9 Bureau of Labor Statistics: CPI-All Urban is less than $500, FSIS is making no Index. Fish and seafood in U.S. city average, all Consumers (Current Series): CUUR0000SEFG: Not urban consumers, not seasonally adjusted Seasonally Adjusted: Fish and seafood U.S. city 1 Please see Adjustment to Account for (CUUR0000SEFG). average: Annual. CPI (2017) = 287.676; CPI (2019) Siluriformes Methodology section for more 7 In the final rule, the exemption percentage was = 298.493; (298.493–287.676)/287.676=3.8%; information about how this amount was calculated. half the percentage of sales. $2,376+($2,376*0.038) = $2,466.

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available on the FSIS web page. DEPARTMENT OF AGRICULTURE OMB Number: 0584–0303. Through the FSIS web page, the Agency Expiration Date: July 31, 2020. can provide information to a much Food and Nutrition Service Type of Request: Revision of a broader, more diverse audience. In currently approved collection. Agency Information Collection addition, FSIS offers an email Abstract: Section 16 of the Food and Activities: Proposed Collection; Nutrition Act of 2008, as amended, subscription service which provides Comment Request—FNS 275—SNAP provides the legislative basis for the automatic and customized access to Quality Control Regulations operation of the SNAP QC system. Part selected food safety news and 275, Subpart C, of SNAP regulations information. This service is available at: AGENCY: Food and Nutrition Service implements the legislative mandates http://www.fsis.usda.gov/subscribe. (FNS), USDA. found in Section 16. Section 11(d) of the Options range from recalls to export ACTION: Notice. Food and Nutrition Act of 2008, as information, regulations, directives, and amended (the Act), requires each State SUMMARY: In accordance with the notices. Customers can add or delete agency administering SNAP to submit a subscriptions themselves and have the Paperwork Reduction Act of 1995, this plan of operation specifying the manner option to password protect their notice invites the general public and in which the program is conducted and accounts. other public agencies to comment on Section 11(e) of the Act authorizes the this proposed information collection. inclusion of other provisions as required USDA Non-Discrimination Statement This is a revision of a currently by regulation. In Part 275, there are four approved information collection components of the Quality Control (QC) No agency, officer, or employee of the request. USDA shall, on the grounds of race, system that are covered in this required color, national origin, religion, sex, DATES: Written comments must be information collection. They are: (1) The sampling plan; (2) the arbitration gender identity, sexual orientation, received on or before August 28, 2020. process; (3) the good cause process; and disability, age, marital status, family/ ADDRESSES: Comments may be sent to Stephanie Proska, Food and Nutrition (4) QC-related New Investments. parental status, income derived from a Each State agency is required to public assistance program, or political Service, U.S. Department of Agriculture, 1320 Braddock Place, Room 05.5040, develop a sampling plan that beliefs, exclude from participation in, demonstrates the integrity of its case deny the benefits of, or subject to Alexandria, VA 22314. Comments may also be submitted via email to SNAPHQ- selection process. The QC system is discrimination any person in the United [email protected]. Comments will also designed to measure each State agency’s States under any program or activity be accepted through the Federal payment error rate and case and conducted by the USDA. eRulemaking Portal. Go to http:// procedural error rate based on a statistically valid sample of SNAP cases. How to File a Complaint of www.regulations.gov, and follow the A State agency’s payment error rate Discrimination online instructions for submitting comments electronically. represents the proportion of cases that To file a complaint of discrimination, All responses to this notice will be were reported through a QC review as complete the USDA Program summarized and included in the request being ineligible, as well as the Discrimination Complaint Form, which for Office of Management and Budget proportion of SNAP benefits that were either overissued or underissued to may be accessed online at http:// approval. All comments will be a matter SNAP households. A State agency’s case www.ocio.usda.gov/sites/default/files/ of public record. and procedural error rate represents the docs/2012/Complain_combined_6_8_ FOR FURTHER INFORMATION CONTACT: correctness of a proportion of cases that 12.pdf, or write a letter signed by you Requests for additional information or were measured in a QC review in which or your authorized representative. copies of this information collection the State agency took an action to deny Send your completed complaint form should be directed to Stephanie Proska an application or suspend or terminate or letter to USDA by mail, fax, or email: at 703–305–2437. the benefits of a participating Mail: U.S. Department of Agriculture, SUPPLEMENTARY INFORMATION: Comments household. It also includes the accuracy Director, Office of Adjudication, 1400 are invited on: (a) Whether the proposed of measuring a State’s compliance with Independence Avenue SW, Washington, collection of information is necessary Federal procedural requirements for DC 20250–9410, Fax: (202) 690–7442, for the proper performance of the those actions, which include the Email: [email protected]. functions of the agency, including timeliness of the action and adherence whether the information shall have to notice requirements. Persons with disabilities who require practical utility; (b) the accuracy of the The QC system also contains alternative means for communication agency’s estimate of the burden of the procedures for resolving differences in (Braille, large print, audiotape, etc.), proposed collection of information, review findings between State Agencies should contact USDA’s TARGET Center including the validity of the and FNS. This is referred to as the at (202) 720–2600 (voice and TDD). methodology and assumptions that were arbitration process. As part of the Paul Kiecker, used; (c) ways to enhance the quality, arbitration process, State agencies must utility, and clarity of the information to defend, in writing, their disagreement Administrator. be collected; and (d) ways to minimize with the Federal re-reviewer’s finding or [FR Doc. 2020–13913 Filed 6–26–20; 8:45 am] the burden of the collection of disposition of a case and submit their BILLING CODE 3410–DM–P information on those who are to defense to the arbitrator for a decision respond, including use of appropriate to be made on their disagreement. automated, electronic, mechanical, or The QC system also contains other technological collection procedures that provide relief for State techniques or other forms of information agencies from all or a part of a QC technology. liability when a State agency can Title: Supplemental Nutrition demonstrate that a part or all of an Assistance Program (SNAP). excessive error rate was due to an

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unusual event that had an reporting burden associated with the QC The requested annual recordkeeping uncontrollable impact on the State sampling plan is 371 hours, an increase burden associated with the QC sampling agency’s payment error rate. This is of 106 hours from the current collection plan remains at 1.25 hours per year. The referred to as the good cause process. due to FNS increasing the burden hours revised annual recordkeeping burden Finally, when a State agency is unable per response from 5 hours to 7 hours; associated with arbitration has to demonstrate that a part or all of an (2) The estimated annual reporting decreased from 1.4868 hours to 0.8496 excessive error rate was due to an burden associated with arbitration is and the good cause process burden unusual event that had an 1,224 hours, a decrease of 288 hours decreased from 0.0472 hours to 0.0236 uncontrollable impact on the State from the current collection due to less hours due to fewer states requesting agency’s payment error rate and chooses arbitration requests; (3) The estimated arbitration and good cause. The to settle with FNS by investing fifty annual reporting burden associated with estimated recordkeeping burden for the percent of their total QC liability using the good cause process is 160 hours, QC-related new investment plan new State agency funds into the SNAP which is a decrease of 160 hours from increased from 0.0944 hours to 0.0214 program to target the root causes of their the current collection; (4) The estimated hours and the estimated recordkeeping errors, the State agency must submit a annual reporting burden associated with burden for the QC-related new new investment plan and, after the new investment plan is 288 hours, investment process report increased approval, new investment progress an increase of 160 hours from the from 0.1888 hours to 0.4248 hours due reports every six months until the plan current collection due to more State to more states needing to do new is complete. agencies needing to do new investment; investment plans and progress reports Burden for the QC system includes and finally (5) The estimated annual since the collection’s last approval. The reporting and recordkeeping burden for reporting burden associated with the burden for recordkeeping has decreased State agencies to create a QC sampling plan and participate in the arbitration, new investment progress report is 90 from 3.068 hours to 2.7612 hours. good cause, new investment plan and hours, an increase of 50 hours from the As a result, the overall annual new investment progress report current collection due to more State reporting and recordkeeping burden for processes. agencies needing to do progress reports. the QC system, as proposed by this The requested revisions for the The requested total estimated notice, decreased from 2,268.07 hours to reporting burdens for each component reporting burden for this collection is 2,135.76 hours. A decrease of 132.31 are as follows: (1) The estimated annual 2133 hours, a decrease of 132 hours. burden hours.

Estimated Estimated Responses Total annual average Estimated Affected public Requirement number of annually per responses number of total hours respondents respondent (col. bxc) hours per (col. dxe) response

Reporting Burden

State Agencies ...... Sampling Plan ...... 53 1 53 7 371 State Agencies ...... Arbitration Process ...... 12 3 36 34 1,224 State Agencies ...... Good Cause Process ...... 1 1 1 160 160 State Agencies...... New Investment Plan Template 9 1 9 32 288 Form FNS 74 A. State Agencies...... New Investment Progress Report 9 2 18 5 90 Template Form FNS 74 B.

Grand Total 53 ...... 117 ...... 2,133 Reporting. Number Estimated Estimated of reports Number of Estimated total Affected public Requirement number of annually per total annual time per recordkeeping respondents state records record hours

Recordkeeping Burden

State Agencies ...... Sampling Plan ...... 53 1 53 0.0236 1.2508 State Agencies ...... Arbitration Process ...... 12 3 36 0.0236 0.8496 State Agencies ...... Good Cause Process ...... 1 1 1 0.0236 0.0236 State Agencies...... New Investment Plan Template 9 1 9 0.0236 0.2124 Form FNS 74 A. State Agencies...... New Investment Progress Report 9 2 18 0.0236 0.4248 Template Form FNS 74 B.

Grand Total Recordkeeping ...... 53 ...... 117 ...... 2.7612

Combined Grand Total Reporting and Record- 53 4.41509434 234 9.12718462 2,135.76 keeping.

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Pamilyn Miller, the meeting. Written comments may be may be accessed through the Administrator, Food and Nutrition Service. mailed to the Regional Programs Unit, following link: https:// [FR Doc. 2020–13918 Filed 6–26–20; 8:45 am] U.S. Commission on Civil Rights, 230 S cc.readytalk.com/r/ BILLING CODE 3410–30–P Dearborn, Suite 2120, Chicago, IL tgl9d1qw2xh3&eom 60604. They may also be emailed to Corrine Sanders at [email protected]. FOR FURTHER INFORMATION CONTACT: COMMISSION ON CIVIL RIGHTS Persons who desire additional Evelyn Bohor at [email protected] or by information may contact the Regional phone at 202–376–7533. Notice of Public Meeting of the Virginia Programs Unit at (312) 353–8311. SUPPLEMENTARY INFORMATION: Interested Records generated from this meeting Advisory Committee to the U.S. members of the public may listen to the may be inspected and reproduced at the Commission on Civil Rights discussion by calling the following toll- Regional Programs Unit Office, as they free conference call-in number: 1–800– AGENCY: U.S. Commission on Civil become available, both before and after 353–6461 and conference ID: 9640368. Rights. the meeting. Records of the meeting will If you want to see the presenters and ACTION: Announcement of meeting. be available via www.facadatabase.gov under the Commission on Civil Rights, follow any visuals they may share, you SUMMARY: Notice is hereby given, Virginia Advisory Committee link. may join the visual portion of the pursuant to the provisions of the rules Persons interested in the work of this briefing using the link provided above. and regulations of the U.S. Commission Committee are directed to the Please be advised that before placing on Civil Rights (Commission) and the Commission’s website, http:// them into the conference call, the Federal Advisory Committee Act that www.usccr.gov, or may contact the conference call operator will ask callers the Virginia Advisory Committee Regional Programs Unit at the above to provide their names, their (Committee) will hold a meeting on email or street address. organizational affiliations (if any), and Friday, July 24, 2020 at 12:00 p.m. email addresses (so that callers may be Eastern time. The Committee will Agenda notified of future meetings). Callers can discuss civil rights concerns in the state. Welcome and Roll Call expect to incur charges for calls they DATES: The meeting will take place on Civil Rights in Virginia: Hate Crime initiate over wireless lines, and the Friday July 24, 2020 at 12:00 p.m. Future Plans and Actions Commission will not refund any Eastern time. Public Comment incurred charges. Callers will incur no Public Call Information: Dial: 800– Adjournment charge for calls they initiate over land- 437–2398, Conference ID: 9948857 Dated: June 24, 2020. line connections to the toll-free FOR FURTHER INFORMATION CONTACT: David Mussatt, conference call-in number. Melissa Wojnaroski, DFO, at Supervisory Chief, Regional Programs Unit. Persons with hearing impairments [email protected] or 312–353– [FR Doc. 2020–13926 Filed 6–26–20; 8:45 am] may also follow the discussion by first 8311 BILLING CODE P calling the Federal Relay Service at 1– SUPPLEMENTARY INFORMATION: Members 800–977–8339 and providing the of the public can listen to these operator with the toll-free conference COMMISSION ON CIVIL RIGHTS discussions. Committee meetings are call-in number: 1–800–353–6461 and available to the public through the Notice of Public Meeting of the conference ID: 9640368. above call in number. Any interested Connecticut Advisory Committee Members of the public are invited to member of the public may call this make statements during the open AGENCY: Commission on Civil Rights. number and listen to the meeting. An comment period of the meeting or open comment period will be provided ACTION: Announcement of meeting. submit written comments. The to allow members of the public to make comments must be received in the a statement as time allows. The SUMMARY: Notice is hereby given, pursuant to the provisions of the rules regional office approximately 30 days conference call operator will ask callers after each scheduled meeting. Written to identify themselves, the organization and regulations of the U.S. Commission comments may be emailed to Evelyn they are affiliated with (if any), and an on Civil Rights (Commission), and the Bohor at [email protected]. Persons who email address prior to placing callers Federal Advisory Committee Act desire additional information may into the conference room. Callers can (FACA), that the Connecticut Advisory contact the Evelyn Bohor at (202) 921– expect to incur regular charges for calls Committee to the U.S. Commission on 2212. they initiate over wireless lines, Civil Commission will hold a briefing according to their wireless plan. The via web conference at 12:00 p.m. (EDT) Records and documents discussed Commission will not refund any on Monday, July 13, 2020. The purpose during the meeting will be available for incurred charges. Callers will incur no of the meeting is for the Advisory public viewing as they become available charge for calls they initiate over land- Committee to review and vote on a at: Connecticut FACA link; click the line connections to the toll-free project proposal and to have a web ‘‘Meeting Details’’ and ‘‘Documents’’ telephone number. Persons with hearing conference briefing to hear from links. Records generated from this impairments may also follow the advocates and government officials meeting may also be inspected and proceedings by first calling the Federal about COVID 19 in nursing homes in reproduced at the Eastern Regional Relay Service at 1–800–877–8339 and Connecticut. Office, as they become available, both providing the Service with the DATES: Monday, July 13, 2020; 12:00 before and after the meetings. Persons conference call number and conference p.m. (EDT) interested in the work of this advisory ID number. Public Call-In Information (audio only): committee are advised to go to the Members of the public are also Conference call-in number: 1–800– Commission’s website, www.usccr.gov, entitled to submit written comments; 353–6461 and conference ID: 9640368 or to contact the Eastern Regional Office the comments must be received in the Web Access Information: (visual only): at the above phone numbers, email or regional office within 30 days following The online portion of the meeting street address.

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Agenda with hearing impairments may also (PC strand) from India would be likely follow the proceedings by first calling to lead to continuation or recurrence of Monday, July 13, 2020 at 12:00 p.m. the Federal Relay Service at 1–800–877– a countervailable subsidy at the level (EDT) 8339 and providing the Service with the indicated in the ‘‘Final Results of • Roll Call conference call number and conference Review’’ section of this notice. • Welcome and Introductions ID number. • Briefing: COVID 19 in Nursing Homes Members of the public are entitled to DATES: Applicable June 29, 2020. in Connecticut submit written comments; the FOR FURTHER INFORMATION CONTACT: • Open Comment comments must be received in the Benjamin Smith, AD/CVD Operations, • Next Steps regional office within 30 days following • Office Ill, Enforcement and Compliance, Adjournment the meeting. Written comments may be International Trade Administration, Dated: June 24, 2020. mailed to the Regional Programs Unit, U.S. Department of Commerce, 1401 David Mussatt, U.S. Commission on Civil Rights, 230 S Constitution Avenue NW, Washington, Supervisory Chief, Regional Programs Unit. Dearborn, Suite 2120, Chicago, IL DC 20230; telephone: (202) 482–2181. [FR Doc. 2020–13915 Filed 6–26–20; 8:45 am] 60604. They may also be faxed to the Commission at (312) 353–8324, or SUPPLEMENTARY INFORMATION: BILLING CODE P emailed to Corrine Sanders at csanders@ Background usccr.gov. Persons who desire COMMISSION ON CIVIL RIGHTS additional information may contact the On February 4, 2004, Commerce Regional Programs Unit at (312) 353– published the Order on PC strand in the Notice of Public Meetings of the 8311. Federal Register.1 On March 2, 2020, Oklahoma Advisory Committee Records generated from this meeting Commerce initiated the third sunset may be inspected and reproduced at the review of the Order pursuant to section AGENCY: U.S. Commission on Civil Regional Programs Unit Office, as they 751(c)(2) of the Tariff Act of 1930, as Rights. become available, both before and after amended (the Act), and 19 CFR ACTION: Announcement of meeting. the meeting. Records of the meeting will 351.218(c).2 On March 13, 2020, be available via www.facadatabase.gov Commerce received a timely notification SUMMARY: Notice is hereby given, under the Commission on Civil Rights, of intent to participate from Insteel Wire pursuant to the provisions of the rules Oklahoma Advisory Committee link. Products Company, Strand-Tech and regulations of the U.S. Commission Persons interested in the work of this Manufacturing, Inc., Sumiden Wire on Civil Rights (Commission) and the Committee are directed to the Federal Advisory Committee Act that Products Corporation, and Wire Mesh Commission’s website, http:// Corp. (collectively, domestic interested the Oklahoma Advisory Committee www.usccr.gov, or may contact the (Committee) will hold a series of parties), filed in accordance with 19 Regional Programs Unit at the above CFR 351.218(d)(l)(i).3 The domestic meetings via teleconference on Tuesday, email or street address. July 28, Monday, August 17, 2020 at interested parties claimed interested 2:00pm Central Time. The purpose of Agenda party status under section 771(9)(C) of discussing the Committee’s project the Act, as domestic producers of PC I. Welcome & Roll Call strand. proposal on policing. II. Approval of Minutes DATES: The meetings will be held on: III. Committee Discussion on Proposal On March 30, 2020, Commerce • Tuesday, July 28, 2020, at 2:00 p.m. Draft received adequate substantive responses Central Time IV. Public Comment to the Initiation from the domestic • Monday, August 17, 2020 at 2:00 p.m. VI. Adjournment interested parties within the 30-day period specified in 19 CFR Central Time Dated: June 24, 2020. 351.218(d)(3)(i).4 On February 25, 2020, Public Call Information: Dial: 866– David Mussatt, 248–8441, Conference ID: 7836612. Commerce notified the U.S. Supervisory Chief, Regional Programs Unit. International Trade Commission (ITC) FOR FURTHER INFORMATION CONTACT: [FR Doc. 2020–13914 Filed 6–26–20; 8:45 am] that it did not receive a substantive Brooke Peery, DFO, at [email protected] BILLING CODE P response from respondent interested or (202) 701–1376. parties.5 In accordance with section SUPPLEMENTARY INFORMATION: Members 751(c)(3)(B) of the Act and 19 CFR of the public may listen to this DEPARTMENT OF COMMERCE 351.218(e)(1)(ii)(C)(2), Commerce discussion through the above call in conducted an expedited (120-day) number. An open comment period will International Trade Administration sunset review of the Order on PC strand be provided to allow members of the [C–533–829] from India. public to make a statement as time allows. The conference call operator Prestressed Concrete Steel Wire 1 See Notice of Countervailing Duty Order: will ask callers to identify themselves, Strand From India: Final Results of Prestressed Concrete Steel Wire Strand from India, the organization they are affiliated with Expedited Sunset Review of 69 FR 5319 (February 4, 2004) (Order). (if any), and an email address prior to Countervailing Duty Order 2 See Initiation of Five-Year (Sunset) Reviews, 85 placing callers into the conference FR 12253 (March 2, 2020) (Initiation). AGENCY: Enforcement and Compliance, 3 See Domestic Interested Parties’ Letter, room. Callers can expect to incur regular ‘‘Prestressed Concrete Steel Wire Strand from charges for calls they initiate over International Trade Administration, India—Domestic Interested Parties’ Notice of Intent wireless lines, according to their Department of Commerce. to Participate,’’ dated March 13, 2020. wireless plan. The Commission will not SUMMARY: As a result of this sunset 4 See Domestic Interested Parties’ Letter, refund any incurred charges. Callers review, the Department of Commerce ‘‘Prestressed Concrete Steel Wire Strand from India Domestic Interested Parties’ Substantive Response,’’ will incur no charge for calls they (Commerce) finds that revocation of the dated March 30, 2020. initiate over land-line connections to countervailing duty (CVD) order on 5 See Commerce’s Letter, ‘‘Sunset Review the toll-free telephone number. Persons prestressed concrete steel wire strand Initiated on March 2, 2020,’’ dated April 22, 2020.

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Scope of the Order Net butadiene rubber (ESB rubber) from Producers/exporters countervailable Brazil at less than normal value during The merchandise subject to this order subsidy the period of review (POR) February 24, is prestressed concrete steel wire (PC (percent) 2017 through August 31, 2018. strand), which is steel strand produced All Manufacturers/Pro- DATES: Applicable June 29, 2020. from wire of non-stainless, non- ducers/Exporters ...... 62.92 FOR FURTHER INFORMATION CONTACT: galvanized steel, which is suitable for Drew Jackson, AD/CVD Operations, use in prestressed concrete (both pre- Administrative Protective Order Office IV, Enforcement and Compliance, tensioned and post-tensioned) International Trade Administration, applications. The product definition This notice serves as the only reminder to parties subject to U.S. Department of Commerce, 1401 encompasses covered and uncovered administrative protective order (APO) of Constitution Avenue NW, Washington, strand and all types, grades, and their responsibility concerning the DC 20230; telephone: (202) 482–4406. diameters of PC strand. disposition of proprietary information SUPPLEMENTARY INFORMATION: The merchandise under this order is disclosed under APO in accordance Background currently classifiable under subheadings with 19 CFR 351.305. Timely written 7312.10.3010 and 7312.10.3012 of the notification of the destruction of APO On November 14, 2019, Commerce Harmonized Tariff Schedule of the materials or conversion to judicial published the Preliminary Results.1 We United States (HTSUS). Although the protective order is hereby requested. invited interested parties to comment on HTSUS subheadings are provided for Failure to comply with the regulations the Preliminary Results.2 This review convenience and customs purposes, the and terms of an APO is a violation covers one respondent, ARLANXEO written description of the merchandise which is subject to sanction. Brasil S.A. (ARLANXEO Brasil). On under investigation is dispositive. December 13, 2019, ARLANXEO Brasil Notification to Interested Parties filed a case brief 3 and on December 23, Analysis of Comments Received Commerce is issuing and publishing 2019, the petitioner, Lion Elastomers, the final results and notice in LLC, filed a rebuttal brief.4 On January A complete discussion of all issues accordance with sections 751(c), 752(b), 29, 2019, Commerce held a public raised in this sunset review, including and 777(i)(1) of the Act, and 19 CFR hearing.5 On February 10, 2020, the likelihood of continuation or 351.218. Commerce extended the deadline for recurrence of countervailable subsidies Dated: June 23, 2020. issuing the final results of this review by and the net countervailable subsidy 6 Jeffrey I. Kessler, 42 days. On April 17, 2020, Commerce likely to prevail if the Order were extended the deadline for issuing the revoked, is provided in the Issues and Assistant Secretary, for Enforcement and Compliance. final results of this review by an Decision Memorandum.6 A list of the additional 18 days.7 On April 24, 2020, topics discussed in the Issues and APPENDIX Decision Memorandum is attached as an List of Topics Discussed in the Issues and 1 See Emulsion Styrene-Butadiene Rubber from appendix to this notice. The Issues and Decision Memorandum Brazil: Preliminary Results of Antidumping Duty Decision Memorandum is a public Administrative Review; 2017–2018, 84 FR 61889 I. Summary (November 14, 2019) (Preliminary Results), and document and is on file electronically II. Background accompanying Preliminary Decision Memorandum. via Enforcement and Compliance’s III. Scope of the Order 2 Id. Antidumping and Countervailing Duty IV. History of the Order 3 See ARLANXEO Brasil’s Letter, ‘‘Emulsion Centralized Electronic Services System V. Discussion of the Issues Styrene-Butadiene Rubber from Brazil: 1. Likelihood of Continuation or ARLANXEO’s Case Brief,’’ dated December 13, (ACCESS). ACCESS is available to Recurrence of a Countervailable Subsidy 2019. registered users at https://access. 2. Net Countervailable Subsidy Likely to 4 Commerce rejected the petitioner’s December trade.gov. In addition, a complete Prevail 23, 2019 rebuttal brief because it contained version of the Issues and Decision 3. Nature of the Subsidy untimely filed new factual information. See VI. Final Results of Sunset Review Commerce’s Letter, ‘‘Antidumping Duty Memorandum can be accessed directly Administrative Review of Emulsion Styrene- VII. Recommendation at https://enforcement.trade.gov/frn/. Butadiene Rubber from Brazil: Rejection of Rebuttal The signed and electronic versions of [FR Doc. 2020–13946 Filed 6–26–20; 8:45 am] Brief,’’ dated January 16, 2020. On January 17, 2020, the petitioner submitted a redacted rebuttal brief, BILLING CODE 3510–DS–P the Issues and Decision Memorandum which Commerce also rejected because it contained are identical in content. additional revisions that were not requested by Commerce. See Commerce’s Letter, ‘‘Antidumping Final Results of Sunset Review DEPARTMENT OF COMMERCE Duty Administrative Review of Emulsion Styrene- Butadiene Rubber from Brazil: Rejection of Lion Pursuant to sections 751(c)(1) and International Trade Administration Elastomers, LLC’s January 17, 2020 Rebuttal Brief,’’ 752(b) of the Act, Commerce determines dated January 31, 2020. On January 31, 2020, the [A–351–849] petitioner refiled its redacted rebuttal brief. See that revocation of the CVD Order on PC Petitioner’s Letter, ‘‘Antidumping Review of strand from India would be likely to Emulsion Styrene-Butadiene Rubber Emulsion Styrene-Butadiene Rubber (E–SBR) from lead to continuation or recurrence of from Brazil: Final Results of Brazil: Rebuttal Brief,’’ dated January 31, 2020. countervailable subsidies at the 5 See Public Hearing Transcript (undated), Antidumping Duty Administrative submitted February 5, 2020. following rate: Review; 2017–2018 6 See Memorandum, ‘‘Emulsion Styrene Butadiene Rubber from Brazil: Extension of AGENCY: Enforcement and Compliance, Deadline for Final Results of Antidumping Duty 6 See Memorandum, ‘‘Issues and Decision International Trade Administration, Administrative Review; 2017–2018,’’ dated Memorandum for the Final Results of the Expedited Department of Commerce. February 10, 2020. Third Sunset Review of the Countervailing Duty SUMMARY: 7 See Memorandum, ‘‘Emulsion Styrene Order on Prestressed Concrete Steel Wire Strand The Department of Commerce (Commerce) finds that ARLANXEO Butadiene Rubber from Brazil: Extension of from the India,’’ dated concurrently with, and Deadline for Final Results of Antidumping Duty hereby adopted by, this notice (Issues and Decision Brasil S.A. (ARLANXEO Brasil) made Administrative Review; 2017–2018,’’ dated April Memorandum). sales of certain emulsion styrene- 17, 2020.

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Commerce tolled all deadlines in Results, we have made changes to the Cash Deposit Requirements administrative reviews by 50 days, weighted-average dumping margin for The following cash deposit thereby extending the deadline for these ARLANXEO Brasil. For detailed requirements will be effective for all 8 results until July 1, 2020. Commerce information, see the Issues and Decision shipments of the subject merchandise conducted this review in accordance Memorandum. entered, or withdrawn from warehouse, with section 751 of the Tariff Act of Final Results of the Review for consumption on or after the 1930, as amended (the Act). publication date of the final results of Scope of the Order As a result of this review, Commerce this administrative review, as provided The merchandise covered by the order determines that the following weighted- by section 751(a)(2) of the Act: (1) The is certain emulsion styrene-butadiene average dumping margin exists for the cash deposit rate for ARLANXEO Brasil rubber from Brazil. The merchandise period February 24, 2017 through S.A. will be equal to the weighted- subject to this order is currently August 31, 2018: average dumping margin established in classifiable under subheadings the final results of this review; (2) for 4002.19.0015 and 4002.19.0019 of the Weighted- merchandise exported by companies not average covered in this review but covered in a Harmonized Tariff Schedule of the Exporter/producer margin United States (HTSUS). ESB rubber is (percent) prior segment of this proceeding, the described by Chemical Abstract Services cash deposit will continue to be the (CAS) Registry No. 9003–55–8. This ARLANXEO Brasil S.A...... 21.22 company-specific rate published for the CAS number also refers to other types most recently completed segment of this of styrene butadiene rubber. Although Disclosure of Calculations proceeding in which the company the HTSUS subheadings and CAS participated; (3) if the exporter is not a registry number are provided for We intend to disclose the calculations firm covered in this review or the convenience and customs purposes, the performed for these final results within original investigation, but the producer written description of the scope of this five days of the date of publication of is, then the cash deposit rate will be the order is dispositive. For a full this notice to parties in this proceeding, rate established for the most recently description of the scope, see the Issues in accordance with 19 CFR 351.224(b). completed segment for the producer of and Decision Memorandum.9 the subject merchandise; and (4) the Assessment Rates cash deposit rate for all other producers Analysis of Comments Received Pursuant to section 751(a)(2)(C) of the or exporters will continue to be 19.61 All issues raised in the case and Act and 19 CFR 351.212(b)(1), percent, the all-others rate established rebuttal briefs by parties to this in the less-than-fair-value Commerce has determined, and U.S. 11 administrative review are addressed in Customs and Border Protections (CBP) investigation. These cash deposit the Issues and Decision Memorandum. shall assess, antidumping duties on all requirements, when imposed, shall remain in effect until further notice. A list of the issues that parties raised appropriate entries of subject and to which we responded is attached merchandise in accordance with the Notification to Importers to this notice as an Appendix. The final results of this review. We will This notice serves as a final reminder Issues and Decision Memorandum is a calculate importer-specific assessment public document and is on-file to importers of their responsibility rates on the basis of the ratio of the total under 19 CFR 351.402(f)(2) to file a electronically via Enforcement and amount of antidumping duties Compliance’s Antidumping and certificate regarding the reimbursement calculated for each importer’s examined of antidumping duties prior to Countervailing Duty Centralized sales and the total entered value of the Electronic Service System (ACCESS). liquidation of the relevant entries sales in accordance with 19 CFR during this review period. Failure to ACCESS is available to registered users 351.212(b)(1). at https://access.trade.gov. In addition, a comply with this requirement could complete version of the Issues and Commerce’s ‘‘automatic assessment’’ result in Commerce’s presumption that Decision Memorandum can be accessed practice will apply to entries of subject reimbursement of antidumping duties directly on the internet at http:// merchandise during the POR produced occurred and the subsequent assessment enforcement.trade.gov/frn/index.html. by companies included in these final of double antidumping duties. The signed Issues and Decision results of review for which the reviewed Administrative Protective Order (APO) Memorandum and the electronic companies did not know that the This notice serves as the only versions of the Issues and Decision merchandise they sold to the reminder to parties subject to APO of Memorandum are identical in content. intermediary (e.g., a reseller, trading company, or exporter) was destined for their responsibility concerning the Changes Since the Preliminary Results the United States. In such instances, we disposition of proprietary information Based on a review of the record and will instruct CBP to liquidate disclosed under APO in accordance an analysis of the comments received unreviewed entries at the all-others rate with 19 CFR 351.305(a)(3), which from parties regarding the Preliminary if there is no rate for the intermediate continues to govern business company(ies) involved in the proprietary information in this segment 8 See Memorandum, ‘‘Tolling of Deadlines for transaction.10 of the proceeding. Timely written Antidumping and Countervailing Duty notification of return/destruction of Administrative Reviews in Response to Operational We intend to issue liquidation APO materials or conversion to judicial Adjustments Due to COVID–19,’’ dated April 24, instructions to CBP 15 days after protective order is hereby requested. 2020. publication of the final results of this Failure to comply with the regulations 9 See Memorandum, ‘‘Issues and Decision review. Memorandum for the Final Results of the 2017– 2018 Administrative Review of the Antidumping 11 See Emulsion Styrene-Butadiene Rubber from Order on Emulsion Styrene-Butadiene Rubber from 10 For a full discussion of this practice, see Brazil: Final Affirmative Determination of Sales at Brazil,’’ dated concurrently with, and hereby Antidumping and Countervailing Duty Proceedings: Less Than Fair Value and Final Negative adopted by, this notice (Issues and Decision Assessment of Antidumping Duties, 68 FR 23954 Determination of Critical Circumstances, 82 FR Memorandum). (May 6, 2003). 33048 (July 19, 2019).

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and the terms of an APO is a on OCTG from China.1 On April 1, adequate substantive response from sanctionable violation. 2020, Commerce published the respondent interested parties.5 As a initiation of the second sunset review of Notice to Interested Parties result, pursuant to section 751(c)(3)(B) this order, pursuant to section 751(c) of of the Act and 19 CFR This notice is issued and published in the Tariff Act of 1930, as amended (the 351.218(e)(1)(ii)(B)–(C), Commerce is accordance with sections 751(a)(1) and Act).2 On April 14, 2020, Commerce conducting an expedited (120-day) 777(i)(1) of the Act. received a notice of intent to participate sunset review of the CVD Order. Dated: June 23, 2020. from Maverick Tube Corporation, Jeffrey I. Kessler, Tenaris Bay City, Inc., and IPSCO Scope of the Order Tubulars Inc. (collectively, Tenaris Assistant Secretary for Enforcement and Imports covered by the order are Compliance. USA), and on April 16, 2020, Commerce received a notice of intent to participate shipments of certain oil country tubular Appendix from United States Steel Corporation goods, which are hollow steel products of circular cross-section, including oil List of Topics Discussed in the Final Issues (U.S. Steel), Vallourec Star, L.P. and and Decision Memorandum Welded Tube USA, Inc. (collectively, well casing and tubing, of iron (other than cast iron) or steel (both carbon and I. Summary Vallourec USA), and BENTELER Steel/ II. Background Tube Manufacturing Corp. alloy), whether seamless or welded, III. Scope of the Order (BENTELER).3 All notices of intent to regardless of end finish (e.g., whether or IV. Changes Since the Preliminary Results participate were filed within the not plain end, threaded, or threaded and V. Discussion of the Issues deadline specified in 19 CFR coupled) whether or not conforming to Comment 1: Whether Sales Occurred at 351.218(d)(1)(i). Tenaris USA, U.S. American Petroleum Institute (API) or Different Levels of Trade Steel, Vallourec USA, and BENTELER non-API specifications, whether Comment 2: Whether to Deduct Impostos (collectively, domestic interested finished (including limited service Sobre Produtos Industrializados (IPI) parties) claimed interested party status OCTG products) or unfinished Taxes from Home-Market Price under section 771(9)(C) of the Act as Comment 3: Preliminary Margin (including green tubes and limited Calculations producers of OCTG in the United States. service OCTG products), whether or not VI. Recommendation On May 1, 2020, Commerce received thread protectors are attached. The an adequate substantive response from scope of the order also covers OCTG [FR Doc. 2020–13945 Filed 6–26–20; 8:45 am] the domestic interested parties within coupling stock. Excluded from the scope BILLING CODE 3510–DS–P the 30-day deadline specified in 19 CFR 351.218(d)(3).4 Commerce did not of the order are casing or tubing receive any submissions from any other containing 10.5 percent or more by DEPARTMENT OF COMMERCE interested parties. Because Commerce weight of chromium; drill pipe; unattached couplings; and unattached International Trade Administration did not receive a substantive response from either the Government of China thread protectors. [C–570–944] (GOC) or the respondent interested The merchandise subject to this order parties who are producers or exporters may be classified in the Harmonized Certain Oil Country Tubular Goods of OCTG, we determined that Tariff Schedule of the United States From the People’s Republic of China: respondent interested parties provided Final Results of the Expedited Second (HTSUS) under subheadings inadequate responses to Commerce’s 7304.29.10.10, 7304.29.10.20, Sunset Review of the Countervailing notice of initiation. Duty Order 7304.29.10.30, 7304.29.10.40, On May 22, 2020, Commerce notified 7304.29.10.50, 7304.29.10.60, AGENCY: Enforcement and Compliance, the U.S. International Trade 7304.29.10.80, 7304.29.20.10, International Trade Administration, Commission that it did not receive an 7304.29.20.20, 7304.29.20.30, Department of Commerce. 7304.29.20.40, 7304.29.20.50, 1 See Certain Oil Country Tubular Goods from the SUMMARY: The Department of Commerce People’s Republic of China: Amended Final 7304.29.20.60, 7304.29.20.80, (Commerce) finds that revocation of the Affirmative Countervailing Duty Determination and 7304.29.31.10, 7304.29.31.20, countervailing duty (CVD) order on Countervailing Duty Order, 75 FR 3203 (January 20, 7304.29.31.30, 7304.29.31.40, certain oil country tubular goods 2010) (CVD Order). 7304.29.31.50, 7304.29.31.60, (OCTG) from the People’s Republic of 2 See Initiation of Five-Year (‘‘Sunset’’) Review, 85 FR 18189 (April 1, 2020). 7304.29.31.80, 7304.29.41.10, China (China) would be likely to lead to 3 See Tenaris USA’s Letter, ‘‘Notice of Intent to 7304.29.41.20, 7304.29.41.30, continuation or recurrence of Participate in Second Sunset Reviews of the 7304.29.41.40, 7304.29.41.50, countervailable subsidies. Antidumping and 7304.29.41.60, 7304.29.41.80, DATES: Applicable June 29, 2020. Countervailing Duty Orders on Oil Country Tubular Goods from the People’s Republic of 7304.29.50.15, 7304.29.50.30, FOR FURTHER INFORMATION CONTACT: China,’’ dated April 14, 2020; see also U.S. Steel’s 7304.29.50.45, 7304.29.50.60, Dusten Hom or Mary Kolberg, AD/CVD Letter, ‘‘Five-Year (‘‘Sunset’’) Review of 7304.29.50.75, 7304.29.61.15, Operations, Office I, Enforcement and Antidumping and Countervailing Duty Orders on 7304.29.61.30, 7304.29.61.45, Compliance, International Trade Oil Country Tubular Goods from China: Notice of Intent to Participate’’; Vallourec USA’s Letter, ‘‘Oil 7304.29.61.60, 7304.29.61.75, Administration, U.S. Department of Country Tubular Goods from the People’s Republic 7305.20.20.00, 7305.20.40.00, Commerce, 1401 Constitution Avenue of China, Second Sunset Review: Notice of Intent 7305.20.60.00, 7305.20.80.00, NW, Washington, DC 20230; telephone to Participate’’; and BENTELER’s Letter, ‘‘Notice of 7306.29.10.30, 7306.29.10.90, (202) 482–5075 or (202) 482–1785, Intent to Participate in Second Sunset Reviews of the Antidumping and Countervailing Duty Orders 7306.29.20.00, 7306.29.31.00, respectively. on Oil Country Tubular Goods from the People’s 7306.29.41.00, 7306.29.60.10, SUPPLEMENTARY INFORMATION: Republic of China’’; each dated April 16, 2020. 7306.29.60.50, 7306.29.81.10, and 4 See Domestic Interested Parties’ Letter, ‘‘Oil Background Country Tubular Goods from the People’s Republic 7306.29.81.50. of China: Substantive Response of the Domestic On January 20, 2010, Commerce Industry to Commerce’s Notice of Initiation of Five- 5 See Commerce’s Letter, ‘‘Sunset Reviews published the countervailing duty order Year (‘‘Sunset’’) Review,’’ dated May 1, 2020. Initiated April 1, 2020,’’ dated May 22, 2020.

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The OCTG coupling stock covered by purposes, the written description of the access.trade.gov. In addition, a complete the order may also enter under the scope of this order is dispositive. version of the Issues and Decision following HTSUS item numbers: Analysis of Comments Received Memorandum can be accessed directly 7304.39.00.24, 7304.39.00.28, at https://enforcement.trade.gov/frn. 7304.39.00.32, 7304.39.00.36, All issues raised in this review are The signed and electronic versions of 7304.39.00.40, 7304.39.00.44, addressed in the Issues and Decision the Issues and Decision Memorandum 6 7304.39.00.48, 7304.39.00.52, Memorandum and listed in the are identical in content. 7304.39.00.56, 7304.39.00.62, appendix to this notice, including the 7304.39.00.68, 7304.39.00.72, likelihood of continuation or recurrence Final Results of Review 7304.39.00.76, 7304.39.00.80, of a countervailable subsidy and the net 7304.59.60.00, 7304.59.80.15, countervailable subsidy likely to prevail Pursuant to sections 751(c)(1) and 7304.59.80.20, 7304.59.80.25, if the order were revoked. The Issues 752(b)(1) and (3) of the Act, we 7304.59.80.30, 7304.59.80.35, and Decision Memorandum is a public determine that revocation of the CVD 7304.59.80.40, 7304.59.80.45, document and is on file electronically Order would be likely to lead to 7304.59.80.50, 7304.59.80.55, via Enforcement and Compliance’s continuation or recurrence of 7304.59.80.60, 7304.59.80.65, Antidumping and Countervailing Duty countervailable subsidies at the 7304.59.80.70, and 7304.59.80.80. Centralized Electronic Service System following net countervailable subsidy Although HTSUS subheadings are (ACCESS). ACCESS is available to rates: provided for convenience and customs registered users at https://

Net subsidy Exporter/manufacturer rate (percent)

Jiangsu Changbao Steel Tube Co. and Jiangsu Changbao Precision Steel Tube Co., Ltd ...... 22.87 Tianjin Pipe (Group) Co., Tianjin Pipe Iron Manufacturing Co., Ltd., Tianguan Yuantong Pipe Product Co., Ltd., Tianjin Pipe International Economic and Trading Co., Ltd., and TPCO Charging Development Co., Ltd ...... 20.90 Wuxi Seamless Pipe Co, Ltd., Jiangsu Fanli Steel Pipe Co, Ltd., and Tuoketuo County Mengfeng Special Steel Co., Ltd ...... 25.36 Zhejiang Jianli Enterprise Co., Ltd., Zhejiang Jianli Steel Tube Co., Ltd., Zhuji Jiansheng Machinery Co., Ltd., and Zhejiang Jianli Industry Group Co., Ltd ...... 26.19 All Others ...... 23.82

Administrative Protective Order (APO) II. History of the Order FOR FURTHER INFORMATION CONTACT: III. Background This notice also serves as the only Thomas Schauer; AD/CVD Operations, IV. Scope of the Order Office I, Enforcement and Compliance, reminder to parties subject to V. Discussion of the Issues administrative protective order (APO) of 1. Likelihood of Continuation or International Trade Administration, their responsibility concerning the Recurrence of a Countervailable Subsidy U.S. Department of Commerce, 1401 return or destruction of proprietary 2. Net Countervailable Subsidy Likely to Constitution Avenue NW, Washington, information disclosed under APO in Prevail DC 20230; telephone: (202) 482–0410. 3. Nature of the Subsidies accordance with 19 CFR 351.305. SUPPLEMENTARY INFORMATION: Timely notification of the return or VI. Final Results of Review VII. Recommendation destruction of APO materials or The Petition conversion to judicial protective orders [FR Doc. 2020–13947 Filed 6–26–20; 8:45 am] is hereby requested. Failure to comply BILLING CODE 3510–DS–P On May 13, 2020, the Department of with the regulations and terms of an Commerce (Commerce) received a APO is a sanctionable violation. countervailing duty (CVD) petition DEPARTMENT OF COMMERCE concerning imports of passenger vehicle Notification to Interested Parties and light truck tires (passenger tires) International Trade Administration We are issuing and publishing these from the Socialist Republic of Vietnam results and notice in accordance with (Vietnam) filed in proper form on behalf sections 751(c), 752(b), and 777(i)(1) of [C–552–829] of the United Steel, Paper and Forestry, the Act, and 19 CFR 351.218. Passenger Vehicle and Light Truck Rubber, Manufacturing, Energy, Allied Dated: June 23, 2020. Tires From the Socialist Republic of Industrial and Service Workers Jeffrey I. Kessler, Vietnam: Initiation of Countervailing International Union, AFL–CIO, CLC (the 1 Assistant Secretary for Enforcement and Duty Investigation petitioner). The petition was Compliance. accompanied by antidumping duty (AD) AGENCY: Enforcement and Compliance, petitions concerning imports of Appendix International Trade Administration, passenger tires from Vietnam, Republic List of Topics Discussed in the Issues and Department of Commerce. of Korea, Taiwan, and Thailand.2 Decision Memorandum DATES: Applicable June 22, 2020. I. Summary

6 See Memorandum, ‘‘Issues and Decision China,’’ dated concurrently with, and hereby Thailand, and the Socialist Republic of Vietnam— Memorandum for the Final Results of the Second adopted by, this notice (Issues and Decision Petition for the Imposition of Antidumping and Expedited Five-Year Sunset Review of the Memorandum). Countervailing Duties,’’ dated May 13, 2020 (the Countervailing Duty Order on certain Oil Country 1 See Petitioner’s Letter, ‘‘Passenger vehicle and Petition). Tubular Goods from the People’s Republic of light truck tires from the Republic of Korea, Taiwan, 2 Id.

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Between May 18 and June 8, 2020, Scope of the Investigation electronically filed document must be Commerce requested supplemental The products covered by this received successfully in its entirety by information pertaining to certain aspects investigation are passenger tires from the time and date it is due. of the Petition.3 The petitioner filed Vietnam. For a full description of the Consultations responses to these requests on May 20 scope of this investigation, see the 4 and June 10, 2020. Appendix to this notice. Pursuant to sections 702(b)(4)(A)(i) On May 21, 2020, Commerce and (ii) of the Act, Commerce notified extended the initiation deadline by 20 Comments on the Scope of the representatives of the GOV of the receipt days to poll the domestic industry in Investigation of the Petition and provided it the accordance with section 702(c)(4)(D) of As discussed in the Preamble to opportunity for consultations with the Act, because it was not ‘‘clear from Commerce’s regulations, we are setting respect to the Petition.13 Consultations the Petitions whether the industry aside a period for interested parties to were held with the GOV on April 27, support criteria have been met ....’’5 raise issues regarding product coverage 2020.14 The GOV submitted In accordance with section 702(b)(1) (i.e., scope).8 Commerce will consider consultation remarks on June 16, of the Tariff Act of 1930, as amended all comments received from interested 2020.15 (the Act), the petitioner alleges that the parties and, if necessary, will consult Determination of Industry Support for Government of Vietnam (GOV) is with interested parties prior to the the Petition providing countervailable subsidies issuance of the preliminary within the meaning of sections 701 and determination. If scope comments Section 702(b)(1) of the Act requires 771(5) of the Act, and that imports of include factual information,9 all such that a petition be filed on behalf of the such products are materially injuring, or factual information should be limited to domestic industry. Section 702(c)(4)(A) threatening material injury to, the public information. To facilitate of the Act provides that a petition meets passenger tires industry in the United preparation of its questionnaires, this requirement if the domestic States. Consistent with section 702(b)(1) Commerce requests that all interested producers or workers who support the of the Act and 19 CFR 351.202(b), for parties submit such comments by 5:00 petition account for: (i) At least 25 those alleged programs on which we are p.m. Eastern Time (ET) on July 13, 2020, percent of the total production of the initiating a CVD investigation, the which is the next business day after 20 domestic like product; and (ii) more Petition was accompanied by calendar days from the signature date of than 50 percent of the production of the information reasonably available to the this notice.10 Any rebuttal comments, domestic like product produced by that petitioner supporting its allegation. which may include factual information, portion of the industry expressing Commerce finds that the petitioner is must be filed by 5:00 p.m. ET on July support for, or opposition to, the an interested party, as defined in section 23, 2020, which is ten calendar days petition. Moreover, section 702(c)(4)(D) 771(9)(D) of the Act. Commerce also from the initial comment deadline.11 of the Act provides that, if the petition finds that the petitioner demonstrated Commerce requests that any factual does not establish support of domestic sufficient industry support for the information parties consider relevant to producers or workers accounting for initiation of the requested CVD the scope of the investigation be more than 50 percent of the total investigation.6 submitted during this period. However, production of the domestic like product, Commerce shall: (i) Poll the industry or Period of Investigation if a party subsequently finds that additional factual information rely on other information in order to Because the Petition was filed on May pertaining to the scope of the determine if there is support for the 13, 2020, the period of investigation is investigation may be relevant, the party petition, as required by subparagraph January 1, 2019 through December 31, (A); or (ii) determine industry support 7 may contact Commerce and request 2019. permission to submit the additional using a statistically valid sampling information. All such comments must method to poll the ‘‘industry.’’ 3 See Commerce’s Letters, ‘‘Passenger Vehicle and Section 771(4)(A) of the Act defines Light Truck Tires from Korea, Taiwan, Thailand, be filed on the records of the concurrent and Vietnam: Response to Supplemental AD and CVD investigations. the ‘‘industry’’ as the producers as a Questions,’’ dated May 20, 2020 (General Issues whole of a domestic like product. Thus, Supplemental); and Country-Specific Supplemental Filing Requirements Questionnaires: ‘‘Petition for the Imposition of All submissions to Commerce must be 39263 (July 6, 2011); see also Enforcement and Countervailing Duties on Imports of Passenger Compliance; Change of Electronic Filing System Vehicle and Light Truck Tires from the Socialist filed electronically via Enforcement and Name, 79 FR 69046 (November 20, 2014) for details Republic of Vietnam: Supplemental Questions,’’ Compliance’s Antidumping Duty and of Commerce’s electronic filing requirements, dated May 18, 2020 and ‘‘Petition for the Imposition Countervailing Duty Centralized effective August 5, 2011. Information on help using of Countervailing Duties on Imports of Passenger Electronic Service System (ACCESS), ACCESS can be found at https://access.trade.gov/ Vehicle and Light Truck Tires from the Socialist 12 help.aspx and a handbook can be found at https:// Republic of Vietnam: Additional Supplemental unless an exception applies. An access.trade.gov/help/Handbook_on_Electronic_ Question’’ dated June 8, 2020. Filing_Procedures.pdf. 4 See the Petitioner’s Country-Specific 8 See Antidumping Duties; Countervailing Duties, 13 See Commerce’s Letter, ‘‘Countervailing Duty Supplemental Responses, ‘‘Passenger Vehicle and 62 FR 27296, 27323 (May 19, 1997) (Preamble). Petition on Passenger Vehicle and Light Truck Tires Light Truck Tires from Vietnam: Response to 9 See 19 CFR 351.102(b)(21) (defining ‘‘factual from the Socialist Republic of Vietnam; Invitation Supplemental Questions,’’ dated May 20, 2020; see information’’). for Consultations to Discuss the Countervailing also Petitioner’s Letter, ‘‘Passenger Vehicle and 10 In this case, 20 days after initiation falls on July Duty Petition,’’ dated May 14, 2020. Light Truck Tires from Vietnam: Response to 12, 2020, a Sunday. Where a deadline falls on a 14 See Memorandum, ‘‘Consultations with Supplemental Questions,’’ dated June 10, 2020. weekend or federal holiday, the appropriate Officials from the Government of the Socialist 5 See Notice of Extension of the Deadline for deadline is the next business day. See Notice of Republic of Vietnam Regarding the Countervailing Determining the Adequacy of the Antidumping and Clarification: Application of ‘‘Next Business Day’’ Duty Investigation of Passenger Vehicle and Light Countervailing Duty Petitions: Passenger Vehicle Rule for Administrative Determination Deadlines Truck Tires from the Socialist Republic of and Light Truck Tires from Korea, Taiwan, Pursuant to the Tariff Act of 1930, As Amended, 70 Vietnam,’’ dated June 2, 2020. Thailand, and Vietnam, 85 FR 32013 (May 28, FR 24533 (May 10, 2005). 15 See GOV’s Letter, ‘‘Submission of Viet Nam 2020) (Initiation Extension Notice). 11 See 19 CFR 351.303(b). regarding the Petition for the initiation of 6 See infra, section on ‘‘Determination of Industry 12 See Antidumping and Countervailing Duty antidumping, anti-subsidy investigations on Support for the Petition.’’ Proceedings: Electronic Filing Procedures; imports of passenger vehicles and light trucks tires 7 See 19 CFR 351.204(b)(2). Administrative Protective Order Procedures, 76 FR (PVL T Tires) from Viet Nam,’’ dated June 16, 2020.

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to determine whether a petition has the the Petitions whether the industry negligibility threshold provided for requisite industry support, the statute support criteria have been met ....’’20 under section 771(24)(A) of the Act.25 directs Commerce to look to producers On May 22, 2020, we issued polling The petitioner contends that the and workers who produce the domestic questionnaires to all known producers industry’s injured condition is like product. The International Trade identified in the Petition, as well as illustrated by a significant and Commission (ITC), which is responsible unions, employee organizations, or ad increasing volume of subject imports; for determining whether ‘‘the domestic hoc groups of workers involved in the reduced market share; underselling and industry’’ has been injured, must also production of passenger tires.21 We price depression or suppression; determine what constitutes a domestic requested that the companies/workers production and shipments lagging like product in order to define the complete the polling questionnaire and behind demand; declines in capacity industry. While both Commerce and the utilization and employment; and certify their responses by the due date 26 ITC must apply the same statutory specified in the cover letter to the declining financial performance. We definition regarding the domestic like questionnaire.22 assessed the allegations and supporting product,16 they do so for different evidence regarding material injury, Our analysis of the data we received purposes and pursuant to a separate and threat of material injury, causation, as in the polling questionnaire responses distinct authority. In addition, well as negligibility, and determined indicates that the domestic producers Commerce’s determination is subject to that these allegations are properly and workers who support the Petition limitations of time and information. supported by adequate evidence, and account for at least 25 percent of the Although this may result in different meet the statutory requirements for total production of the domestic like 27 definitions of the like product, such initiation. product and more than 50 percent of the differences do not render the decision of production of the domestic like product Initiation of CVD Investigation either agency contrary to law.17 produced by that portion of the industry Based upon the examination of the Section 771(10) of the Act defines the expressing support for, or opposition to, Petition and supplemental responses, domestic like product as ‘‘a product the Petition.23 Accordingly, Commerce we find that they meet the requirements which is like, or in the absence of like, determines that the industry support of section 702 of the Act. Therefore, we most similar in characteristics and uses requirements of section 702(c)(4)(A) are initiating a CVD investigation to with, the article subject to an have been met and that the Petition was determine whether imports of passenger investigation under this title.’’ Thus, the filed on behalf of the domestic industry tires from Vietnam benefit from reference point from which the within the meaning of section 702(b)(1) countervailable subsidies conferred by domestic like product analysis begins is of the Act.24 the GOV. In accordance with section ‘‘the article subject to an investigation’’ 703(b)(1) of the Act and 19 CFR Injury Test (i.e., the class or kind of merchandise to 351.205(b)(1), unless postponed, we will be investigated, which normally will be Because Vietnam is a ‘‘Subsidies make our preliminary determination no the scope as defined in the petition). Agreement Country’’ within the later than 65 days after the date of this With regard to the domestic like meaning of section 701(b) of the Act, initiation. product, the petitioner does not offer a section 701(a)(2) of the Act applies to Based on our review of the petition, definition of the domestic like product this investigation. Accordingly, the ITC we find that there is sufficient distinct from the scope of the must determine whether imports of the information to initiate a CVD 18 investigation. Based on our analysis of subject merchandise from Vietnam investigation on all alleged programs. the information submitted on the materially injure, or threaten material For a full discussion of the basis for our record, we have determined that injury to, a U.S. industry decision to initiate on each program, see passenger tires, as defined in the scope, Vietnam CVD Initiation Checklist. A constitute a single domestic like Allegations and Evidence of Material public version of the initiation checklist product, and we have analyzed industry Injury and Causation for this investigation is available on support in terms of that domestic like The petitioner alleges that the U.S. ACCESS. product.19 industry producing the domestic like Respondent Selection On May 21, 2020, Commerce product is benefitting from In the Petition, the petitioner named extended the initiation deadline by 20 countervailable subsidies and that such 13 companies 28 as producers/exporters days to poll the domestic industry in imports are causing, or threaten to of passenger tires. Commerce intends to accordance with section 702(c)(4)(D) of cause, material injury to the U.S. follow its standard practice in CVD the Act, because it was not ‘‘clear from industry producing the domestic like investigations and calculate company- product. In addition, the petitioner specific subsidy rates for each company. 16 See section 771(10) of the Act. alleges that subject imports exceed the 17 See USEC, Inc. v. United States, 132 F. Supp. In the event Commerce determines that 2d 1, 8 (CIT 2001) (citing Algoma Steel Corp., Ltd. the number of companies is large and it v. United States, 688 F. Supp. 639, 644 (CIT 1988), 20 See Initiation Extension Notice; see also cannot individually examine each Vietnam CVD Initiation Checklist at Attachment II. aff’d 865 F.2d 240 (Fed. Cir. 1989)). company based upon its resources, 18 See Volume I of the Petition at 3–5, and 21 See Memorandum, ‘‘Passenger Vehicle and Exhibits I–1 and I–3. Light Truck Tires from Korea, Taiwan, Thailand, 25 19 For a discussion of the domestic like product and Vietnam: Polling Questionnaire,’’ dated May See Volume I of the Petitions at 19–20 and analysis as applied to this case and information 22, 2020; see also Volume I of the Petition at 5–6 Exhibit I–9. regarding industry support, see Countervailing Duty and Exhibit I–2; and General Issues Supplemental 26 See Volume I of the Petitions at 23–37 and Investigation Initiation Checklist: Passenger Vehicle at 3 and Exhibit 1. Exhibits I–3, I–9, and I–11 through I–15. and Light Truck Tires from Vietnam (Vietnam CVD 22 For a detailed discussion of the responses 27 See CVD Vietnam Initiation Checklist at Initiation Checklist) at Attachment II, Analysis of received, see Vietnam CVD Initiation Checklist at Attachment III, Analysis of Allegations and Industry Support for the Antidumping and Attachment II. The polling questionnaire and Evidence of Material Injury and Causation for the Countervailing Duty Petitions Covering Passenger questionnaire responses are on file electronically Antidumping and Countervailing Duty Petitions Vehicle and Light Truck Tires from Korea, Taiwan, via ACCESS. Covering Passenger Vehicle and Light Truck Tires Thailand, and Vietnam (Attachment II). The 23 See Vietnam CVD Initiation Checklist at from Korea, Taiwan, Thailand, and Vietnam. checklist is dated concurrently with this notice and Attachment II. 28 See Volume I of the Petition at 14 and Exhibit on file electronically via ACCESS. 24 Id. I–8.

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where appropriate, Commerce intends Submission of Factual Information 09-20/html/2013-22853.htm, prior to to select mandatory respondents based Factual information is defined in 19 submitting factual information in this on U.S. Customs and Border Protection CFR 351.102(b)(21) as: (i) evidence investigation. (CBP) data for U.S. imports under the submitted in response to questionnaires; Certification Requirements appropriate Harmonized Tariff Schedule (ii) evidence submitted in support of of the United States numbers listed in allegations; (iii) publicly available Any party submitting factual the ‘‘Scope of the Investigation,’’ in the information to value factors under 19 information in an AD or CVD appendix to this notice. CFR 351.408(c) or to measure the proceeding must certify to the accuracy On June 16, 2020, Commerce released 32 adequacy of remuneration under 19 CFR and completeness of that information. CBP data on imports of passenger tires Parties must use the certification from Vietnam under Administrative 351.511(a)(2); (iv) evidence placed on the record by Commerce; and (v) formats provided in 19 CFR Protective Order (APO) to all parties 351.303(g).33 Commerce intends to with access to information protected by evidence other than factual information described in (i)–(iv). Any party, when reject factual submissions if the APO and indicated that interested submitting party does not comply with parties wishing to comment on the CBP submitting factual information, must specify under which subsection of 19 the applicable certification data or respondent selection must do so requirements. within three business days of the CFR 351.102(b)(21) the information is 30 publication date of the notice of being submitted and, if the Notification to Interested Parties initiation of this CVD investigation.29 information is submitted to rebut, clarify, or correct factual information Interested parties must submit Comments must be filed electronically applications for disclosure under APO using ACCESS. An electronically-filed already on the record, to provide an explanation identifying the information in accordance with 19 CFR 351.305. document must be received successfully Instructions for filing such applications in its entirety via ACCESS by 5:00 p.m. already on the record that the factual information seeks to rebut, clarify, or may be found on the Commerce website ET on the specified deadline. Commerce at http://enforcement.trade.gov/apo. will not accept rebuttal comments correct.31 Time limits for the submission of factual information are Parties wishing to participate in this regarding the CBP data or respondent investigation should ensure that they selection. addressed in 19 CFR 351.301, which provides specific time limits based on meet the requirements of 19 CFR Interested parties must submit 351.103(d) (e.g., by filing a notice of applications for disclosure under APO the type of factual information being submitted. Interested parties should appearance). Note that Commerce has in accordance with 19 CFR 351.305(b). temporarily modified certain portions of Instructions for filing such applications review the regulations prior to submitting factual information in this its requirements for serving documents may be found on Commerce’s website at containing business proprietary http://enforcement.trade.gov/apo. investigation. information, until July 17, 2020, unless Distribution of Copies of the CVD Extension of Time Limits extended.34 Petition Parties may request an extension of This notice is issued and published In accordance with section time limits before the expiration of a pursuant to sections 702(c)(2) and 777(i) 702(b)(4)(A)(i) of the Act and 19 CFR time limit established under 19 CFR of the Act, and 19 CFR 351.203(c). 351.202(f), a copy of the public version 351.301, or as otherwise specified by Dated: June 22, 2020. of the Petition has been provided to the Commerce. In general, an extension Jeffrey I. Kessler, GOV via ACCESS. To the extent request will be considered untimely if it Assistant Secretary for Enforcement and practicable, Commerce will attempt to is filed after the expiration of the time Compliance. provide a copy of the public version of limit established under 19 CFR 351.301. the Petition to each exporter named in For submissions that are due from Appendix—Scope of the Investigation the Petition, as provided under 19 CFR multiple parties simultaneously, an The scope of this investigation is passenger 351.203(c)(2). extension request will be considered vehicle and light truck tires. Passenger vehicle and light truck tires are new ITC Notification untimely if it is filed after 10:00 a.m. ET on the due date. Under certain pneumatic tires, of rubber, with a passenger Commerce will notify the ITC of our circumstances, Commerce may elect to vehicle or light truck size designation. Tires initiation, as required by section 702(d) specify a different time limit by which covered by this investigation may be tube- of the Act. type, tubeless, radial, or non-radial, and they extension requests will be considered may be intended for sale to original Preliminary Determination by the ITC untimely for submissions which are due equipment manufacturers or the replacement from multiple parties simultaneously. In market. The ITC will preliminarily determine, such a case, Commerce will inform within 45 days after the date on which Subject tires have, at the time of parties in a letter or memorandum of the importation, the symbol ‘‘DOT’’ on the the Petition was filed, whether there is deadline (including a specified time) by sidewall, certifying that the tire conforms to a reasonable indication that imports of which extension requests must be filed applicable motor vehicle safety standards. passenger tires from Vietnam are to be considered timely. An extension Subject tires may also have the following materially injuring, or threatening request must be made in a separate, prefixes or suffix in their tire size material injury to, a U.S. industry. A stand-alone submission; under limited negative ITC determination will result circumstances Commerce will grant 32 See section 782(b) of the Act. in the investigation being terminated. 33 See Certification of Factual Information to untimely-filed requests for the extension Import Administration During Antidumping and Otherwise, this investigation will of time limits. Parties should review proceed according to statutory and Countervailing Duty Proceedings, 78 FR 42678 (July Extension of Time Limits, 78 FR 57790 17, 2013) (Final Rule). Answers to frequently asked regulatory time limits. (September 20, 2013), available at questions regarding the Final Rule are available at _ http://www.gpo.gov/fdsys/pkg/FR-2013- http://enforcement.trade.gov/tlei/notices/factual 29 See Memorandum, ‘‘Countervailing Duty info_final_rule_FAQ_07172013.pdf. Investigation of Passenger Tires: Release of Customs 34 See Temporary Rule Modifying AD/CVD Data from U.S. Customs and Border Protection,’’ 30 See 19 CFR 351.301(b). Service Requirements Due to COVID–19; Extension dated June 16, 2020. 31 See 19 CFR 351.301(b)(2). of Effective Period, 85 FR 29615 (May18, 2020).

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designation, which also appears on the tire is ‘‘For Trailer Service Only’’ or ‘‘For DEPARTMENT OF COMMERCE sidewall of the tire: Trailer Use Only’’, Prefix designations: (d) the load index molded on the tire’s International Trade Administration P—Identifies a tire intended primarily for sidewall meets or exceeds those load indexes service on passenger cars. listed in the Tire and Rim Association Year LT—Identifies a tire intended primarily for Book for the relevant ST tire size, and [A–580–908, A–583–869, A–549–842, A–552– service on light trucks. (e) either 828] Suffix letter designations: (i) the tire’s speed rating is molded on the LT—Identifies light truck tires for service sidewall, indicating the rated speed in MPH Passenger Vehicle and Light Truck on trucks, buses, trailers, and multipurpose or a letter rating as listed by Tire and Rim Tires From the Republic of Korea, passenger vehicles used in nominal highway Association Year Book, and the rated speed Taiwan, Thailand, and the Socialist service. does not exceed 81 MPH or an ‘‘M’’ rating; Republic of Vietnam: Initiation of Less- All tires with a ‘‘P’’ or ‘‘LT’’ prefix, and all or Than-Fair-Value Investigations tires with an ‘‘LT’’ suffix in their sidewall (ii) the tire’s speed rating molded on the markings are covered by this investigation sidewall is 87 MPH or an ‘‘N’’ rating, and in AGENCY: Enforcement and Compliance, regardless of their intended use. either case the tire’s maximum pressure and International Trade Administration, In addition, all tires that lack a ‘‘P’’ or ‘‘LT’’ maximum load limit are molded on the Department of Commerce. prefix or suffix in their sidewall markings, as sidewall and either well as all tires that include any other prefix (1) both exceed the maximum pressure and DATES: Applicable June 22, 2020. or suffix in their sidewall markings, are maximum load limit for any tire of the same FOR FURTHER INFORMATION CONTACT: Alex included in the scope, regardless of their size designation in either the passenger car intended use, as long as the tire is of a size or light truck section of the Tire and Rim Villanueva; AD/CVD Operations, Office that fits passenger cars or light trucks. Sizes Association Year Book; or I, Enforcement and Compliance, that fit passenger cars and light trucks (2) if the maximum cold inflation pressure International Trade Administration, include, but are not limited to, the numerical molded on the tire is less than any cold U.S. Department of Commerce, 1401 size designations listed in the passenger car inflation pressure listed for that size Constitution Avenue NW, Washington, section or light truck section of the Tire and designation in either the passenger car or DC 20230; telephone: (202) 482–3208. Rim Association Year Book, as updated light truck section of the Tire and Rim annually. The scope includes all tires that are Association Year Book, the maximum load SUPPLEMENTARY INFORMATION: of a size that fits passenger cars or light limit molded on the tire is higher than the The Petitions trucks, unless the tire falls within one of the maximum load limit listed at that cold specific exclusions set out below. inflation pressure for that size designation in On May 13, 2020, the Department of Passenger vehicle and light truck tires, either the passenger car or light truck section Commerce (Commerce) received whether or not attached to wheels or rims, of the Tire and Rim Association Year Book; antidumping duty (AD) petitions are included in the scope. However, if a (6) tires designed and marketed exclusively concerning imports of passenger vehicle for off-road use and which, in addition, subject tire is imported attached to a wheel and light truck tires (passenger tires) or rim, only the tire is covered by the scope. exhibit each of the following physical Specifically excluded from the scope are characteristics: from the Republic of Korea (Korea), the following types of tires: (a) The size designation and load index Taiwan, Thailand, and the Socialist (1) Racing car tires; such tires do not bear combination molded on the tire’s sidewall Republic of Vietnam (Vietnam) filed in the symbol ‘‘DOT’’ on the sidewall and may are listed in the off-the-road, agricultural, proper form on behalf of the United be marked with ‘‘ZR’’ in size designation; industrial or ATV section of the Tire and Rim Steel, Paper and Forestry, Rubber, (2) pneumatic tires, of rubber, that are not Association Year Book, Manufacturing, Energy, Allied new, including recycled and retreaded tires; (b) in addition to any size designation Industrial and Service Workers (3) non-pneumatic tires, such as solid markings, the tire incorporates a warning, prominently molded on the sidewall, that the International Union, AFL–CIO, CLC (the rubber tires; petitioner).1 The Petitions were (4) tires designed and marketed exclusively tire is ‘‘Not For Highway Service’’ or ‘‘Not for as temporary use spare tires for passenger Highway Use’’, accompanied by a countervailing duty vehicles which, in addition, exhibit each of (c) the tire’s speed rating is molded on the (CVD) petition concerning imports of the following physical characteristics: sidewall, indicating the rated speed in MPH passenger tires from Vietnam.2 (a) The size designation and load index or a letter rating as listed by the Tire and Rim Between May 18 and 22, 2020, combination molded on the tire’s sidewall Association Year Book, and the rated speed Commerce requested supplemental does not exceed 55 MPH or a ‘‘G’’ rating, and are listed in Table PCT–1B (‘‘T’’ Type Spare information pertaining to certain aspects Tires for Temporary Use on Passenger (d) the tire features a recognizable off-road tread design. of the Petitions in separate Vehicles) or PCT–1B (‘‘T’’ Type Diagonal supplemental questionnaires.3 The (Bias) Spare Tires for Temporary Use on The products covered by this investigation Passenger Vehicles) of the Tire and Rim are currently classified under the following petitioner filed responses to the Association Year Book, Harmonized Tariff Schedule of the United States (HTSUS) subheadings: 4011.10.10.10, (b) the designation ‘‘T’’ is molded into the 1 See Petitioner’s Letter, ‘‘Passenger Vehicle and 4011.10.10.20, 4011.10.10.30, 4011.10.10.40, tire’s sidewall as part of the size designation, Light Truck Tires from the Republic of Korea, 4011.10.10.50, 4011.10.10.60, 4011.10.10.70, and, Taiwan, Thailand, and the Socialist Republic of 4011.10.50.00, 4011.20.10.05, and (c) the tire’s speed rating is molded on the Vietnam—Petition for the Imposition of 4011.20.50.10. Tires meeting the scope Antidumping and Countervailing Duties,’’ dated sidewall, indicating the rated speed in MPH description may also enter under the May 13, 2020 (the Petitions). or a letter rating as listed by Tire and Rim following HTSUS subheadings: 2 Id. Association Year Book, and the rated speed 4011.90.10.10, 4011.90.10.50, 4011.90.20.10, 3 See Commerce’s Letters, ‘‘Petitions for the is 81 MPH or a ‘‘M’’ rating; 4011.90.20.50, 4011.90.80.10, 4011.90.80.50, Imposition of Antidumping Duties on Imports of (5) tires designed and marketed exclusively 8708.70.45.30, 8708.70.45.46, 8708.70.45.48, Passenger Vehicle and Light Truck Tires from for specialty tire (ST) use which, in addition, 8708.70.45.60, 8708.70.60.30, 8708.70.60.45, Korea, Taiwan, Thailand, and Vietnam: Supplemental Questions,’’ dated May 18, 2020; and exhibit each of the following conditions: and 8708.70.60.60. While HTSUS (a) The size designation molded on the ‘‘Country-Specific Supplemental Questionnaires: subheadings are provided for convenience Korea Supplemental, Thailand Supplemental, tire’s sidewall is listed in the ST sections of and for customs purposes, the written the Tire and Rim Association Year Book, Taiwan Supplemental, Vietnam Supplemental,’’ description of the subject merchandise is dated May 18, 2020; see also ‘‘Petition for the (b) the designation ‘‘ST’’ is molded into the dispositive. Imposition of Antidumping Duties on Imports of tire’s sidewall as part of the size designation, Passenger Vehicle and Light Truck Tires from the (c) the tire incorporates a warning, [FR Doc. 2020–13957 Filed 6–26–20; 8:45 am] Thailand: Second Supplemental Questionnaire,’’ prominently molded on the sidewall, that the BILLING CODE 3510–DS–P dated May 21, 2020.

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supplemental questionnaires between Comments on the Scope of the electronically filed document must be May 20 and 26, 2020.4 Investigations received successfully in its entirety by On May 21, 2020, Commerce As discussed in the Preamble to the time and date it is due. extended the initiation deadline by 20 Commerce’s regulations, we are setting Comments on Product Characteristics days to poll the domestic industry in aside a period for interested parties to Commerce is providing interested accordance with section 702(c)(4)(D) of raise issues regarding product coverage parties an opportunity to comment on the Act, because it was not ‘‘clear from (i.e., scope).8 Commerce will consider the appropriate physical characteristics the Petitions whether the industry all comments received from interested 5 of passenger tires to be reported in support criteria have been met .... ’’ parties and, if necessary, will consult response to Commerce’s AD In accordance with section 732(b) of with interested parties prior to the questionnaires. This information will be the Tariff Act of 1930, as amended (the issuance of the preliminary used to identify the key physical Act), the petitioner alleges that imports determinations. If scope comments characteristics of the subject of passenger tires from Korea, Taiwan, include factual information,9 all such merchandise in order to report the Thailand, and Vietnam are being, or are factual information should be limited to relevant costs of production accurately, likely to be, sold in the United States at public information. To facilitate as well as to develop appropriate less than fair value (LTFV) within the preparation of its questionnaires, meaning of section 731 of the Act, and product-comparison criteria. Commerce requests that all interested Interested parties may provide any that imports of such products are parties submit such comments by 5:00 information or comments that they feel materially injuring, or threatening p.m. Eastern Time (ET) on July 13, 2020, are relevant to the development of an material injury to, the passenger tires which is the next business day after 20 accurate list of physical characteristics. industry in the United States. Consistent calendar days from the signature date of Specifically, they may provide with section 732(b)(1) of the Act, the 10 this notice. Any rebuttal comments, comments as to which characteristics Petitions are accompanied by which may include factual information, are appropriate to use as: (1) General information reasonably available to the must be filed by 5:00 p.m. ET on July product characteristics, and (2) product petitioner supporting its allegations. 23, 2020, which is ten calendar days 11 comparison criteria. We note that it is Commerce finds that the petitioner from the initial comment deadline. not always appropriate to use all Commerce requests that any factual filed the Petitions on behalf of the product characteristics as product information parties consider relevant to domestic industry, because the comparison criteria. We base product the scope of the investigations be petitioner is an interested party, as comparison criteria on meaningful defined in section 771(9)(D) of the Act. submitted during this period. However, if a party subsequently finds that commercial differences among products. Commerce also finds that the petitioner In other words, although there may be has demonstrated sufficient industry additional factual information pertaining to the scope of the some physical product characteristics support for the initiation of the utilized by manufacturers to describe requested AD investigations.6 investigations may be relevant, the party may contact Commerce and request passenger tires, it may be that only a Periods of Investigation permission to submit the additional select few product characteristics take into account commercially meaningful Because the Petitions were filed on information. All such submissions must physical characteristics. In addition, May 13, 2020, the period of be filed on the records of the concurrent interested parties may comment on the investigation (POI) for the Korea, AD and CVD investigations. order in which the physical Thailand, and Taiwan investigations is Filing Requirements characteristics should be used in April 1, 2019 through March 31, 2020, matching products. Generally, and the POI for the Vietnam All submissions to Commerce must be Commerce attempts to list the most investigation is October 1, 2019 through filed electronically via Enforcement and important physical characteristics first March 31, 2020, pursuant to 19 CFR Compliance’s Antidumping Duty and and the least important characteristics 351.204(b)(1).7 Countervailing Duty Centralized Electronic Service System (ACCESS), last. Scope of the Investigations unless an exception applies.12 An In order to consider the suggestions of interested parties in developing and The products covered by these 8 issuing the AD questionnaires, all investigations are passenger tires from See Antidumping Duties; Countervailing Duties, 62 FR 27296, 27323 (May 19, 1997) (Preamble). product characteristics comments must Korea, Taiwan, Thailand, and Vietnam. 9 See 19 CFR 351.102(b)(21) (defining ‘‘factual be filed by 5:00 p.m. ET on July 13, For a full description of the scope of information’’). 2020, which is the next business day 10 these investigations, see the Appendix In this case, 20 days after initiation falls on July after 20 calendar days from the to this notice. 12, 2020, a Sunday. Where a deadline falls on a weekend or a federal holiday, the appropriate signature date of this notice.13 Any deadline is the next business day. See Notice of rebuttal comments must be filed by 5:00 4 See Petitioner’s Country-Specific Supplemental Clarification: Application of ‘‘Next Business Day’’ p.m. ET on July 23, 2020, which is ten Responses, dated May 20, 2020; see also Petitioner’s Rule for Administrative Determination Deadlines Letter, ‘‘Passenger Vehicle and Light Truck Tires Pursuant to the Tariff Act of 1930, As Amended, 70 calendar days from the initial comment from the Korea, Taiwan, Thailand, and Vietnam— FR 24533 (May 10, 2005). deadline. All comments and Petitioner’s Amendment to Volume I Concerning 11 See 19 CFR 351.303(b). submissions to Commerce must be filed General Issues,’’ dated May 20, 2020 (General Issues 12 See Antidumping and Countervailing Duty electronically using ACCESS, as Supplement); and Petitioner’s ‘‘Thailand Second Proceedings: Electronic Filing Procedures; explained above, on the record of each Supplemental Responses,’’ dated May 22, 2020. Administrative Protective Order Procedures, 76 FR 5 See Notice of Extension of the Deadline for 39263 (July 6, 2011); see also Enforcement and of the AD investigations. Determining the Adequacy of the Antidumping and Compliance; Change of Electronic Filing System Determination of Industry Support for Countervailing Duty Petitions: Passenger Vehicle Name, 79 FR 69046 (November 20, 2014) for details and Light Truck Tires from Korea, Taiwan, of Commerce’s electronic filing requirements, the Petitions Thailand, and Vietnam, 85 FR 32013 (May 28, effective August 5, 2011. Information on help using Section 732(b)(1) of the Act requires 2020) (Initiation Extension Notice). ACCESS can be found at https://access.trade.gov/ 6 See infra, section on ‘‘Determination of Industry help.aspx and a handbook can be found at https:// that a petition be filed on behalf of the Support for the Petitions.’’ access.trade.gov/help/Handbook_on_Electronic_ 7 See 19 CFR 351.204(b)(1). Filing_Procedures.pdf. 13 See Next Business Day Rule, 70 FR at 24533.

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domestic industry. Section 732(c)(4)(A) definition of the domestic like product provided rebuttal comments on June 11, of the Act provides that a petition meets distinct from the scope of the 2020.24 this requirement if the domestic investigations.16 Based on our analysis Our analysis of the data we received producers or workers who support the of the information submitted on the in the polling questionnaire responses petition account for: (i) At least 25 record, we have determined that indicates that the domestic producers percent of the total production of the passenger tires, as defined in the scope, and workers who support the Petitions domestic like product; and (ii) more constitute a single domestic like account for at least 25 percent of the than 50 percent of the production of the product, and we have analyzed industry total production of the domestic like domestic like product produced by that support in terms of that domestic like product and more than 50 percent of the portion of the industry expressing product.17 production of the domestic like product support for, or opposition to, the On May 21, 2020, Commerce produced by that portion of the industry petition. Moreover, section 732(c)(4)(D) extended the initiation deadline by 20 expressing support for, or opposition to, of the Act provides that, if the petition days to poll the domestic industry in the Petitions.25 Accordingly, Commerce does not establish support of domestic accordance with section 732(c)(4)(D) of determines that the industry support producers or workers accounting for the Act, because it was not ‘‘clear from requirements of section 732(c)(4)(A) of more than 50 percent of the total the Petitions whether the industry the Act have been met and that the production of the domestic like product, support criteria have been met .... Petitions were filed on behalf of the Commerce shall: (i) Poll the industry or ’’18 domestic industry within the meaning rely on other information in order to On May 22, 2020, we issued polling of section 732(b)(1) of the Act.26 questionnaires to all known producers determine if there is support for the Allegations and Evidence of Material petition, as required by subparagraph identified in the Petitions, as well as the 19 Injury and Causation (A); or (ii) determine industry support USW. We requested that the using a statistically valid sampling companies/workers complete the The petitioner alleges that the U.S. method to poll the ‘‘industry.’’ polling questionnaire and certify their industry producing the domestic like Section 771(4)(A) of the Act defines responses by the due date specified in product is being materially injured, or is the cover letter to the questionnaire.20 threatened with material injury, by the ‘‘industry’’ as the producers as a 21 whole of a domestic like product. Thus, The petitioner and Sumitomo reason of the imports of the subject to determine whether a petition has the provided comments on the polling merchandise sold at LTFV. In addition, questionnaire responses on June 9, the petitioner alleges that subject requisite industry support, the statute 22 23 directs Commerce to look to producers 2020. The petitioner and Hankook imports exceed the negligibility threshold provided for under section and workers who produce the domestic 16 like product. The International Trade See Volume I of the Petitions at 3–5 and 771(24)(A) of the Act.27 Exhibits I–1 and I–3. The petitioner contends that the Commission (ITC), which is responsible 17 For a discussion of the domestic like product for determining whether ‘‘the domestic analysis as applied to these cases and information industry’s injured condition is industry’’ has been injured, must also regarding industry support, see country-specific AD illustrated by a significant and determine what constitutes a domestic Initiation Checklists at Attachment II, Analysis of increasing volume of subject imports; Industry Support for the Antidumping and reduced market share; underselling and like product in order to define the Countervailing Duty Petitions Covering Passenger industry. While both Commerce and the Vehicle and Light Truck Tires from Korea, Taiwan, price depression or suppression; ITC must apply the same statutory Thailand, and Vietnam. These checklists are dated production and shipments lagging concurrently with this notice and on file behind demand; declines in capacity definition regarding the domestic like electronically via ACCESS. 14 utilization and employment; and product, they do so for different 18 See Initiation Extension Notice; see also 28 purposes and pursuant to a separate and Attachment II of the country-specific AD Initiation declining financial performance. We distinct authority. In addition, Checklists. assessed the allegations and supporting Commerce’s determination is subject to 19 See Memorandum, ‘‘Passenger Vehicle and evidence regarding material injury, limitations of time and information. Light Truck Tires from Korea, Taiwan, Thailand, threat of material injury, causation, as and Vietnam: Polling Questionnaire,’’ dated May well as negligibility, and we have Although this may result in different 22, 2020; see also Volume I of the Petitions at 5– definitions of the like product, such 6 and Exhibit I–2; and General Issues Supplement determined that these allegations are differences do not render the decision of at 3 and Exhibit 1. properly supported by adequate either agency contrary to law.15 20 For a detailed discussion of the responses evidence, and meet the statutory received, see Attachment II of the country-specific requirements for initiation.29 Section 771(10) of the Act defines the AD Initiation Checklists. The polling questionnaire domestic like product as ‘‘a product and questionnaire responses are on file electronically via ACCESS. passenger tires. See Hankook’s Letter, ‘‘Entry of which is like, or in the absence of like, Appearance,’’ dated June 1, 2020. 21 Sumitomo Rubber (Thailand), Ltd., Sumitomo most similar in characteristics and uses 24 Rubber North America, Inc., and Sumitomo Rubber See Petitioner’s Letter, ‘‘Passenger Vehicle and with, the article subject to an USA, LLC (collectively, Sumitomo). Sumitomo is a Light Truck Tires from Korea, Taiwan, Thailand, investigation under this title.’’ Thus, the foreign producer/exporter in Thailand, a U.S. and Vietnam: Industry Support Rebuttal reference point from which the importer of passenger tires from Thailand, and a Comments,’’ dated June 11, 2020; see also Hankook’s Letter, ‘‘Antidumping Duty Petition on domestic like product analysis begins is U.S. producer of passenger tires. See Sumitomo’s Letter, ‘‘Entry of Appearance,’’ dated May 28, 2020. Passenger Vehicle and Light Truck Tires from Korea ‘‘the article subject to an investigation’’ (A–580–908): Rebuttal Industry Support 22 See Petitioner’s Letter, ‘‘Passenger Vehicle and Comments,’’ dated June 11, 2020. (i.e., the class or kind of merchandise to Light Truck Tires from Korea, Taiwan, Thailand, 25 be investigated, which normally will be and Vietnam: Industry Support Comments,’’ dated See Attachment II of the country-specific AD the scope as defined in the petition). June 9, 2020; see also Sumitomo’s Letter, ‘‘Light Initiation Checklists. 26 Id. With regard to the domestic like Truck Tires from Thailand: Comments Regarding Responses to Polling Questionnaire and Industry 27 See Volume I of the Petitions at 19–20 and product, the petitioner does not offer a Support for Petition,’’ dated June 9, 2020. Exhibit I–9. 23 Hankook Tire & Technology Co., Ltd., Hankook 28 See Volume I of the Petitions at 23–37 and 14 See section 771(10) of the Act. Tire America Corp., and Hankook Tire Exhibits I–3, I–9, and I–11 through I–15. 15 See USEC, Inc. v. United States, 132 F. Supp. Manufacturing Tennessee, LP (collectively, 29 See country-specific AD Initiation Checklists at 2d 1, 8 (CIT 2001) (citing Algoma Steel Corp., Ltd. Hankook). Hankook is a Korean producer/exporter Attachment III, Analysis of Allegations and v. United States, 688 F. Supp. 639, 644 (CIT 1988), of passenger tires, a U.S. importer of passenger tires Evidence of Material Injury and Causation for the aff’d 865 F.2d 240 (Fed. Cir. 1989)). from Korea, and a U.S. producer/exporter of Antidumping and Countervailing Duty Petitions

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Allegations of Sales at LTFV The petitioner claims that India is an expenses, financial expenses, and 39 The following is a description of the appropriate surrogate country for profit. Vietnam because India is a market allegations of sales at LTFV upon which Fair Value Comparisons Commerce based its decision to initiate economy country that is at a level of Based on the data provided by the AD investigations of imports of economic development comparable to petitioner, there is reason to believe that passenger tires from Korea, Taiwan, that of Vietnam and it is a significant 35 imports of passenger tires from Korea, Thailand, and Vietnam. The sources of producer of comparable merchandise. Taiwan, Thailand, and Vietnam are data for the deductions and adjustments The petitioner provided publicly being, or are likely to be, sold in the relating to U.S. price and normal value available information from India to United States at LTFV. Based on (NV) are discussed in greater detail in value all FOPs. Based on the comparisons of EP to NV in accordance the country-specific AD Initiation information provided by the petitioner, with sections 772 and 773 of the Act, Checklists. we determine that it is appropriate to use India as a surrogate country for the estimated dumping margins for U.S. Price initiation purposes. passenger tires for each of the countries covered by this initiation are as follows: For Korea, Taiwan, Thailand, and Interested parties will have the Vietnam, the Petitions base export price (1) Korea: 42.95 through 195.20 percent; opportunity to submit comments (2) Taiwan: 20.57 through 116.14 (EP) on the average unit value of regarding surrogate country selection publicly available import data.30 percent; (3) Thailand: 106.36 through and, pursuant to 19 CFR 217.50 percent; and (4) Vietnam: 5.48 Normal Value 31 351.301(c)(3)(i), will be provided an through 22.30 percent.40 opportunity to submit publicly available For Korea, Taiwan, and Thailand, the information to value FOPs within 30 Initiation of LTFV Investigations petitioner based NV on home market days before the scheduled date of the price quotes obtained through market Based upon the examination of the preliminary determination. research for passenger tires produced in Petitions and supplemental responses, and sold, or offered for sale, in each Factors of Production we find that they meet the requirements country within the applicable time of section 732 of the Act. Therefore, we period.32 For Taiwan, the petitioner Because the petitioner is not a are initiating AD investigations to provided information indicating that the domestic producer, but a union determine whether imports of passenger price quote was below the cost of representing workers in the domestic tires from Korea, Taiwan, Thailand, and Vietnam are being, or are likely to be, production (COP) and, therefore, the industry producing the like product of sold in the United States at LTFV. In petitioner also calculated NV based on passenger tires, information on the FOPs accordance with section 733(b)(1)(A) of constructed value (CV). For further based on the foreign producers’ or the Act and 19 CFR 351.205(b)(1), discussion of CV, see the section domestic producers’ own cost unless postponed, we will make our ‘‘Normal Value Based on Constructed experience was not reasonably available preliminary determinations no later Value.’’ to the petitioner. Therefore, to estimate Commerce considers Vietnam to be a Vietnamese manufacturers’ FOPs the than 140 days after the date of this initiation. non-market economy (NME) country.33 petitioner combined the information in In accordance with section 771(18)(C)(i) thirteen publicly available cost models Respondent Selection to create direct materials models that of the Act, any determination that a In the Petitions, the petitioner named provide the average percentage of total foreign country is an NME country shall nine companies in Korea, 13 companies tire weight represented by the direct remain in effect until revoked by in Taiwan, and 26 companies in materials for passenger car tires and for Commerce. Therefore, we continue to Thailand 41 as producers/exporters of light truck tires.36 The petitioner valued treat Vietnam as a NME country for passenger tires. purposes of the initiation of this the estimated FOPs using surrogate Following standard practice in AD investigation. Accordingly, NV in values from India. The petitioner investigations involving market Vietnam is appropriately based on calculated factory overhead, selling, economy countries, in the event factors of production (FOPs) valued in general and administrative expenses, Commerce determines that the number a surrogate market economy country, in and profit based on the experience of an of exporters or producers in any 37 accordance with section 773(c) of the Indian producer of passenger tires. individual case is large such that 34 Act. Normal Value Based on Constructed Commerce cannot individually examine Value each company based upon its resources, Covering Passenger Vehicle and Light Truck Tires where appropriate, Commerce intends from Korea, Taiwan, Thailand, and Vietnam. As noted above, the petitioner 30 to select mandatory respondents in that See country-specific AD Initiation Checklists. provided information indicating that the 31 In accordance with section 505(a) of the Trade case based on U.S. Customs and Border Preferences Extension Act of 2015 (TPEA), price charged for passenger tires Protection (CBP) data for U.S. imports amending section 773(b)(2) of the Act, for these produced in and sold, or offered for under the appropriate Harmonized investigations, Commerce will request information sale, in Taiwan was below the COP. Tariff Schedule of the United States necessary to calculate the constructed value and Accordingly, the petitioner also based numbers listed in the ‘‘Scope of the cost of production (COP) to determine whether 38 there are reasonable grounds to believe or suspect NV on CV. Pursuant to section 773(e) Investigations,’’ in the appendix. that sales of the foreign like product have been of the Act, the petitioner calculated CV On June 16, 2020, Commerce released made at prices that represent less than the COP of as the sum of the cost of manufacturing, CBP data on imports of passenger tires the product. Commerce no longer requires a COP selling, general, and administrative from Korea, Taiwan, and Thailand allegation to conduct this analysis. 32 See country-specific AD Initiation Checklists. under Administrative Protective Order 33 See Certain Frozen Fish Fillets from the 35 See Volume V of the Petition at 3–5 and Socialist Republic of Vietnam: Final Results, and Exhibits V–1, V–2, and V–3. 39 Id. Final Results of No Shipments of the Antidumping 36 See Volume V of the Petition at 8–15 and 40 See country-specific Initiation Checklists for Duty Administrative Review; 2016–2017, 84 FR Exhibit 22. details of calculations. 18007 (April 29, 2019). 37 See Vietnam AD Checklist. 41 See Volume I of the Petition at 14 and Exhibit 34 See Vietnam AD Checklist. 38 See Taiwan AD Checklist. I–8.

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(APO) to all parties with access to practice for respondent selection in AD {w}hile continuing the practice of assigning information protected by APO and cases involving NME countries, in the separate rates only to exporters, all separate indicated that interested parties wishing event Commerce decides to limit the rates that the Department will now assign in to comment on the CBP data must do so its NME Investigation will be specific to number of respondents individually those producers that supplied the exporter within three business days of the investigated, Commerce intends to base during the period of investigation. Note, publication date of the notice of respondent selection on the responses to however, that one rate is calculated for the initiation of these investigations.42 the Q&V questionnaire that it receives. exporter and all of the producers which Comments must be filed electronically Responses to the Q&V questionnaire supplied subject merchandise to it during the using ACCESS. An electronically-filed must be submitted by the relevant period of investigation. This practice applies document must be received successfully Vietnamese producers/exporters no later both to mandatory respondents receiving an individually calculated separate rate as well in its entirety via ACCESS by 5:00 p.m. than 5:00 p.m. ET on July 8, 2020. All ET on the specified deadline. Commerce as the pool of non-investigated firms Q&V questionnaire responses must be receiving the weighted-average of the will not accept rebuttal comments filed electronically via ACCESS. An individually calculated rates. This practice is regarding the CBP data or respondent electronically filed document must be referred to as the application of ‘‘combination selection. received successfully, in its entirety, by rates’’ because such rates apply to specific Interested parties must submit ACCESS no later than 5:00 p.m. ET on combinations of exporters and one or more applications for disclosure under APO the deadline noted above. Commerce producers. The cash-deposit rate assigned to in accordance with 19 CFR 351.305(b). intends to finalize its decisions an exporter will apply only to merchandise both exported by the firm in question and Instructions for filing such applications regarding respondent selection within may be found on Commerce’s website at produced by a firm that supplied the exporter 20 days of publication of this notice. 46 http://enforcement.trade.gov/apo. during the period of investigation. With respect to Vietnam, the Separate Rates Distribution of Copies of the AD 43 petitioner named 13 companies as In order to obtain separate-rate status Petitions producers/exporters of passenger tires in an NME investigation, exporters and In accordance with section in the Petitions. In accordance with our producers must submit a separate-rate 732(b)(3)(A) of the Act and 19 CFR standard practice for respondent application.44 The specific requirements 351.202(f), copies of the public version selection in AD investigations involving for submitting a separate- rate of the AD Petitions have been provided NME countries, Commerce selects application in a Vietnam investigation to the governments of Korea, Taiwan, respondents based on quantity and are outlined in detail in the application Thailand, and Vietnam via ACCESS. To value (Q&V) questionnaires in cases itself, which is available on Commerce’s the extent practicable, we will attempt where it has determined that the website at http://enforcement.trade.gov/ to provide a copy of the public version number of companies is large and it nme/nme-sep-rate.html. The separate- of the AD Petitions to each exporter cannot individually examine each rate application will be due 30 days named in the AD Petitions, as provided company based upon its resources. after publication of this initiation under 19 CFR 351.203(c)(2). Therefore, considering the number of notice.45 Exporters and producers who Vietnamese producers and exporters ITC Notification submit a separate-rate application and identified in the Petitions, Commerce have been selected as mandatory We will notify the ITC of our will solicit Q&V information that can respondents will be eligible for initiation, as required by section 732(d) serve as a basis for selecting exporters of the Act. for individual examination in the event consideration for separate-rate status that Commerce decides to limit the only if they respond to all parts of Preliminary Determinations by the ITC Commerce’s AD questionnaire as number of respondents individually The ITC will preliminarily determine, examined pursuant to section mandatory respondents. Commerce requires that companies from Vietnam within 25 days after the date on which 777A(c)(2) of the Act. Given that there the ITC receives notice from Commerce are 13 producers and exporters submit a response to both the Q&V questionnaire and the separate-rate of initiation of the investigations, identified in the Petitions, Commerce whether there is a reasonable indication has determined that it will issue Q&V application by the respective deadlines in order to receive consideration for that imports of passenger tires from questionnaires to each potential Korea, Taiwan, Thailand, and Vietnam respondent for which the petitioner has separate-rate status. Companies not filing a timely Q&V questionnaire are materially injuring, or threatening provided a complete address. material injury to, a U.S. industry.47 A In addition, Commerce will post the response will not receive separate rate consideration. negative ITC determination for any Q&V questionnaire along with filing country will result in the investigation instructions on Enforcement and Use of Combination Rates being terminated with respect to that Compliance’s website at https:// country.48 Otherwise, these AD www.trade.gov/ec-adcvd-case- Commerce will calculate combination rates for certain respondents that are investigations will proceed according to announcements. Producers/exporters of statutory and regulatory time limits. passenger tires from Vietnam that do not eligible for a separate rate in an NME receive Q&V questionnaires may still investigation. The Separate Rates and Submission of Factual Information Combination Rates Bulletin states: submit a response to the Q&V Factual information is defined in 19 questionnaire and can obtain a copy of CFR 351.102(b)(21) as: (i) Evidence the Q&V questionnaire from 44 See Policy Bulletin 05.1: Separate-Rates submitted in response to questionnaires; Enforcement and Compliance’s website. Practice and Application of Combination Rates in Antidumping Investigation involving NME (ii) evidence submitted in support of In accordance with the standard Countries (April 5, 2005), available at http:// allegations; (iii) publicly available enforcement.trade.gov/policy/bull05-1.pdf (Policy information to value factors under 19 42 See Memorandum, ‘‘Antidumping Duty Bulletin 05.1). CFR 351.408(c) or to measure the Investigation of Passenger Tires: Release of Customs 45 Although in past investigations this deadline Data from U.S. Customs and Border Protection,’’ was 60 days, consistent with 19 CFR 351.301(a), dated June 16, 2020. which states that ‘‘the Secretary may request any 46 See Policy Bulletin 05.1 at 6 (emphasis added). 43 See Volume I of the Petition at 14 and Exhibit person to submit factual information at any time 47 See section 733(a) of the Act. I–8. during a proceeding,’’ this deadline is now 30 days. 48 Id.

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adequacy of remuneration under 19 CFR Extensions of Time Limits 351.103(d)). Note that Commerce has 351.511(a)(2); (iv) evidence placed on Parties may request an extension of temporarily modified certain portions of the record by Commerce; and (v) time limits before the expiration of a its requirements for serving documents evidence other than factual information time limit established under 19 CFR containing business proprietary described in (i)–(iv). Section 351.301(b) 351.301, or as otherwise specified by information, until July 17, 2020, unless of Commerce’s regulations requires any Commerce. In general, an extension extended.54 party, when submitting factual request will be considered untimely if it This notice is issued and published information, to specify under which is filed after the expiration of the time pursuant to sections 732(c)(2) and 777(i) subsection of 19 CFR 351.102(b)(21) the limit established under 19 CFR 351.301. of the Act, and 19 CFR 351.203(c). 49 information is being submitted and, if For submissions that are due from Dated: June 22, 2020. the information is submitted to rebut, multiple parties simultaneously, an Joseph A. Laroski Jr., clarify, or correct factual information extension request will be considered Deputy Assistant Secretary for Policy and already on the record, to provide an untimely if it is filed after 10:00 a.m. ET Negotiations. explanation identifying the information on the due date. Under certain already on the record that the factual circumstances, we may elect to specify Appendix—Scope of the Investigations information seeks to rebut, clarify, or a different time limit by which The scope of these investigations is 50 correct. Time limits for the extension requests will be considered passenger vehicle and light truck tires. submission of factual information are untimely for submissions which are due Passenger vehicle and light truck tires are addressed in 19 CFR 351.301, which from multiple parties simultaneously. In new pneumatic tires, of rubber, with a provides specific time limits based on such a case, we will inform parties in a passenger vehicle or light truck size the type of factual information being designation. Tires covered by these letter or memorandum of the deadline investigations may be tube-type, tubeless, submitted. Interested parties should (including a specified time) by which review the regulations prior to radial, or non-radial, and they may be extension requests must be filed to be intended for sale to original equipment submitting factual information in these considered timely. An extension request manufacturers or the replacement market. investigations. must be made in a separate, stand-alone Subject tires have, at the time of Particular Market Situation Allegation submission; under limited importation, the symbol ‘‘DOT’’ on the circumstances we will grant untimely- sidewall, certifying that the tire conforms to Section 504 of the TPEA amended the filed requests for the extension of time applicable motor vehicle safety standards. Act by adding the concept of particular limits. Parties should review Extension Subject tires may also have the following market situation (PMS) for purposes of prefixes or suffix in their tire size of Time Limits; Final Rule, 78 FR 57790 CV under section 773(e) of the Act.51 designation, which also appears on the (September 20, 2013), available at Section 773(e) of the Act states that ‘‘if sidewall of the tire: http://www.gpo.gov/fdsys/pkg/FR-2013- a particular market situation exists such Prefix designations: 09-20/html/2013-22853.htm, prior to that the cost of materials and fabrication P—Identifies a tire intended primarily for submitting factual information in these service on passenger cars. or other processing of any kind does not investigations. LT—Identifies a tire intended primarily for accurately reflect the cost of production service on light trucks. in the ordinary course of trade, the Certification Requirements Suffix letter designations: administering authority may use Any party submitting factual LT—Identifies light truck tires for service another calculation methodology under information in an AD or CVD on trucks, buses, trailers, and multipurpose this subtitle or any other calculation proceeding must certify to the accuracy passenger vehicles used in nominal highway methodology.’’ When an interested and completeness of that information.52 service. All tires with a ‘‘P’’ or ‘‘LT’’ prefix, and all party submits a PMS allegation pursuant Parties must use the certification to section 773(e) of the Act, Commerce tires with an ‘‘LT’’ suffix in their sidewall formats provided in 19 CFR markings are covered by these investigations will respond to such a submission 351.303(g).53 Commerce intends to regardless of their intended use. consistent with 19 CFR 351.301(c)(2)(v). reject factual submissions if the In addition, all tires that lack a ‘‘P’’ or ‘‘LT’’ If Commerce finds that a PMS exists submitting party does not comply with prefix or suffix in their sidewall markings, as under section 773(e) of the Act, then it the applicable certification well as all tires that include any other prefix will modify its dumping calculations requirements. or suffix in their sidewall markings, are appropriately. included in the scope, regardless of their Neither section 773(e) of the Act, nor Notification to Interested Parties intended use, as long as the tire is of a size 19 CFR 351.301(c)(2)(v), set a deadline Interested parties must submit that fits passenger cars or light trucks. Sizes for the submission of PMS allegations applications for disclosure under APO that fit passenger cars and light trucks and supporting factual information. include, but are not limited to, the numerical in accordance with 19 CFR 351.305. size designations listed in the passenger car However, in order to administer section Instructions for filing such applications section or light truck section of the Tire and 773(e) of the Act, Commerce must may be found on the Commerce website Rim Association Year Book, as updated receive PMS allegations and supporting at http://enforcement.trade.gov/apo. annually. The scope includes all tires that are factual information with enough time to Parties wishing to participate in these of a size that fits passenger cars or light consider the submission. Thus, should investigations should ensure that they trucks, unless the tire falls within one of the an interested party wish to submit a meet the requirements of these specific exclusions set out below. PMS allegation and supporting new procedures (e.g., the filing of letters of Passenger vehicle and light truck tires, factual information pursuant to section appearance as discussed at 19 CFR whether or not attached to wheels or rims, 773(e) of the Act, it must do so no later are included in the scope. However, if a subject tire is imported attached to a wheel 52 than 20 days after submission of a See section 782(b) of the Act. or rim, only the tire is covered by the scope. 53 respondent’s initial section D See Certification of Factual Information to Specifically excluded from the scope are questionnaire response. Import Administration During Antidumping and Countervailing Duty Proceedings, 78 FR 42678 (July the following types of tires: 17, 2013) (Final Rule). Answers to frequently asked 49 See 19 CFR 351.301(b). questions regarding the Final Rule are available at 54 See Temporary Rule Modifying AD/CVD 50 See 19 CFR 351.301(b)(2). http://enforcement.trade.gov/tlei/notices/factual_ Service Requirements Due to COVID–19; Extension 51 See TPEA, Pub. L. 114–27, 129 Stat. 362 (2015). info_final_rule_FAQ_07172013.pdf. of Effective Period, 85 FR 29615 (May18, 2020).

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(1) Racing car tires; such tires do not bear are listed in the off-the-road, agricultural, and passcode and/or the log-in details the symbol ‘‘DOT’’ on the sidewall and may industrial or ATV section of the Tire and Rim will be provided by email to registrants. be marked with ‘‘ZR’’ in size designation; Association Year Book, Requests to register and any written (2) pneumatic tires, of rubber, that are not (b) in addition to any size designation comments should be submitted via new, including recycled and retreaded tires; markings, the tire incorporates a warning, (3) non-pneumatic tires, such as solid prominently molded on the sidewall, that the email to [email protected]. rubber tires; tire is ‘‘Not For Highway Service’’ or ‘‘Not for FOR FURTHER INFORMATION CONTACT: (4) tires designed and marketed exclusively Highway Use’’, Yuki Fujiyama, TFAC Designated as temporary use spare tires for passenger (c) the tire’s speed rating is molded on the Federal Officer (DFO) and Executive vehicles which, in addition, exhibit each of sidewall, indicating the rated speed in MPH Secretary, Office of Finance and the following physical characteristics: or a letter rating as listed by the Tire and Rim (a) The size designation and load index Insurance Industries, International Association Year Book, and the rated speed Trade Administration, U.S. Department combination molded on the tire’s sidewall does not exceed 55 MPH or a ‘‘G’’ rating, and are listed in Table PCT–1B (‘‘T’’ Type Spare (d) the tire features a recognizable off-road of Commerce at (202) 482–3468; email: Tires for Temporary Use on Passenger tread design. [email protected]. Vehicles) or PCT–1B (‘‘T’’ Type Diagonal The products covered by these SUPPLEMENTARY INFORMATION: (Bias) Spare Tires for Temporary Use on investigations are currently classified under Background: The TFAC was Passenger Vehicles) of the Tire and Rim the following Harmonized Tariff Schedule of established on August 11, 2016, Association Year Book, the United States (HTSUS) subheadings: (b) the designation ‘‘T’’ is molded into the pursuant to discretionary authority and 4011.10.10.10, 4011.10.10.20, 4011.10.10.30, in accordance with the Federal tire’s sidewall as part of the size designation, 4011.10.10.40, 4011.10.10.50, 4011.10.10.60, and, Advisory Committee Act, as amended, 5 4011.10.10.70, 4011.10.50.00, 4011.20.10.05, (c) the tire’s speed rating is molded on the and 4011.20.50.10. Tires meeting the scope U.S.C. App., and re-chartered for a sidewall, indicating the rated speed in MPH description may also enter under the second two-year term on August 9, or a letter rating as listed by Tire and Rim following HTSUS subheadings: 2018. The TFAC serves as the principal Association Year Book, and the rated speed advisory body to the Secretary of is 81 MPH or a ‘‘M’’ rating; 4011.90.10.10, 4011.90.10.50, 4011.90.20.10, (5) tires designed and marketed exclusively 4011.90.20.50, 4011.90.80.10, 4011.90.80.50, Commerce on policy matters relating to for specialty tire (ST) use which, in addition, 8708.70.45.30, 8708.70.45.46, 8708.70.45.48, access to trade finance for U.S. exhibit each of the following conditions: 8708.70.45.60, 8708.70.60.30, 8708.70.60.45, exporters, including small- and (a) The size designation molded on the and 8708.70.60.60. While HTSUS medium-sized enterprises, and their tire’s sidewall is listed in the ST sections of subheadings are provided for convenience foreign buyers. The TFAC is the and for customs purposes, the written the Tire and Rim Association Year Book, mechanism by which the Department of (b) the designation ‘‘ST’’ is molded into the description of the subject merchandise is dispositive. Commerce (the Department) convenes tire’s sidewall as part of the size designation, private sector stakeholders to identify (c) the tire incorporates a warning, [FR Doc. 2020–13958 Filed 6–26–20; 8:45 am] and develop consensus-based solutions prominently molded on the sidewall, that the BILLING CODE 3510–DS–P tire is ‘‘For Trailer Service Only’’ or ‘‘For to trade finance challenges. The Council Trailer Use Only’’, is comprised of a diverse group of (d) the load index molded on the tire’s DEPARTMENT OF COMMERCE stakeholders from the trade finance sidewall meets or exceeds those load indexes industry and the U.S. exporting listed in the Tire and Rim Association Year International Trade Administration community, as well as experts from Book for the relevant ST tire size, and academia and public policy (e) either U.S. Department of Commerce Trade organizations. (i) the tire’s speed rating is molded on the sidewall, indicating the rated speed in MPH Finance Advisory Council; Meeting On Thursday, July 16, 2020, the TFAC will hold the sixth and final meeting of or a letter rating as listed by Tire and Rim AGENCY: International Trade Association Year Book, and the rated speed its second (2018–2020) charter term via does not exceed 81 MPH or an ‘‘M’’ rating; Administration, U.S. Department of a teleconference or a videoconference. or Commerce. During this meeting, members are (ii) the tire’s speed rating molded on the ACTION: Notice of an open meeting. expected to discuss possible sidewall is 87 MPH or an ‘‘N’’ rating, and in recommendations on policies and SUMMARY: The U.S. Department of either case the tire’s maximum pressure and programs that can increase awareness maximum load limit are molded on the Commerce Trade Finance Advisory of, and expand access to, export sidewall and either Council (TFAC or Council) will hold a financing resources for U.S. exporters. (1) both exceed the maximum pressure and meeting via a teleconference or a Meeting minutes will be available maximum load limit for any tire of the same videoconference on Thursday, July 16, within 90 days of the meeting upon size designation in either the passenger car 2020. The meeting is open to the public or light truck section of the Tire and Rim request or on the TFAC’s website at with registration instructions provided Association Year Book; or https://www.trade.gov/about-us/trade- below. (2) if the maximum cold inflation pressure finance-advisory-committee. molded on the tire is less than any cold DATES: Thursday, July 16, 2020, from Public Participation: The meeting will inflation pressure listed for that size approximately 12:45 p.m. to 3:15 p.m. be open to the public and there will be designation in either the passenger car or Eastern Time (ET). The deadline for light truck section of the Tire and Rim limited time permitted for public Association Year Book, the maximum load members of the public to register, comments. In order to be considered at limit molded on the tire is higher than the including requests to make comments the meeting, comments from members maximum load limit listed at that cold during the meeting or to submit written of the public must be submitted by the inflation pressure for that size designation in comments for dissemination prior to the deadline identified under the DATE either the passenger car or light truck section meeting, is 5:00 p.m. ET on Wednesday, caption. Requests from members of the of the Tire and Rim Association Year Book; July 8, 2020. Registration, comments, public to participate in the meeting (6) tires designed and marketed exclusively and any requests should be submitted must be received by the same date. for off-road use and which, in addition, via email to [email protected]. exhibit each of the following physical Request should be submitted characteristics: ADDRESSES: The meeting will be held electronically to [email protected]. Last (a) The size designation and load index via a teleconference or a minute requests will be accepted, but combination molded on the tire’s sidewall videoconference. The call-in number may not be possible to accommodate.

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Members of the public may submit aluminum foil from China.2 On July 15, complete version of the Preliminary written comments concerning TFAC 2019, Commerce published a correction Decision Memorandum can be accessed affairs at any time before or after a of the original Initiation Notice to list directly at http://enforcement.trade.gov/ meeting. Comments may be submitted the correct period of review (POR).3 frn/. The signed and electronic versions to TFAC DFO Yuki Fujiyama, at the Pursuant to the Corrected Initiation of the Preliminary Decision contact information indicated above. All Notice, the correct POR is August 14, Memorandum are identical in content. 2017 through December 31, 2018.4 On comments and statements received, Scope of the Order including attachments and other December 2, 2020, Commerce fully supporting materials, are part of the extended the preliminary results The product covered by the Order is public record and subject to public deadline until April 29, 2020.5 On April aluminum foil from China. For a disclosure. 24, 2020, Commerce tolled all deadlines complete description of the scope of the in administrative reviews by 50 days, Order, see Appendix I. Michael Fuchs, thereby further extending the deadline Methodology Acting Director, Office of Finance and for these results until June 18, 2020.6 Insurance Industries, Industry & Analysis, Based on timely requests for Commerce is conducting this review International Trade Administration, U.S. withdrawal of administrative review, in accordance with section 751(a)(l)(A) Department of Commerce. Commerce intends to partially rescind of the Tariff Act of 1930, as amended [FR Doc. 2020–13980 Filed 6–26–20; 8:45 am] the administrative review of 14 (the Act). For each of the subsidy BILLING CODE 3510–DR–P entities.7 Therefore, concurrently with programs found countervailable, we these preliminary results, we are preliminarily determine that there is a rescinding the review with respect to subsidy, i.e., a government-provided DEPARTMENT OF COMMERCE these companies. financial contribution that gives rise to a benefit to the recipient, and that the International Trade Administration For a complete description of the events that followed the initiation of subsidy is specific.9 For a full this review, see the Preliminary description of the methodology [C–570–054] Decision Memorandum.8 A list of topics underlying our conclusions, see the discussed in the Preliminary Decision accompanying Preliminary Decision Certain Aluminum Foil From the Memorandum is included at the Memorandum. People’s Republic of China: Appendix to this notice. The Commerce notes that, in making these Preliminary Results of the Preliminary Decision Memorandum is a findings, it relied, in part, on facts Countervailing Duty Administrative public document and is on file available and, because it finds that the Review and Rescission of Review, in electronically via Enforcement and Government of China did not act to the Part; 2017–2018 Compliance’s Antidumping and best of its ability to respond to Commerce’s requests for information, it AGENCY: Enforcement and Compliance, Countervailing Duty Centralized Electronic Service System (ACCESS). drew an adverse inference where International Trade Administration, appropriate in selecting from among the Department of Commerce. ACCESS is available to registered users at http://access.trade.gov. In addition, a facts otherwise available. For further SUMMARY: The Department of Commerce information, see ‘‘Use of Facts (Commerce) preliminarily determines 2 See Initiation of Antidumping and Otherwise Available and Adverse that countervailable subsidies are being Countervailing Duty Administrative Reviews, 84 FR Inferences’’ in the Preliminary Decision provided to producers and exporters of 27587 (June 13, 2019) (Initiation Notice). Memorandum. certain aluminum foil (aluminum foil) 3 See Initiation of Antidumping and from the People’s Republic of China Countervailing Duty Administrative Reviews, 84 FR Rescission of Administrative Review, in (China). The period of review is August 33739 (July 15, 2019) (Corrected Initiation Notice). Part 4 See Corrected Initiation Notice, 84 FR at 33753. 14, 2017 through December 31, 2018. 5 See Memorandum, ‘‘Certain Aluminum Foil Pursuant to 19 CFR 351.213(d)(1), DATES: Applicable June 29, 2020. from the People’s Republic of China: Extension of Commerce will rescind an Deadline for Preliminary Results of Countervailing administrative review, in whole or in FOR FURTHER INFORMATION CONTACT: Duty Administrative Review; 08/14/2017—12/31/ part, if the party or parties that Yasmin Bordas, Tyler Weinhold or John 2018,’’ dated December 2, 2019. requested a review withdraw the request McGowan, AD/CVD Operations, Office 6 See Memorandum, ‘‘Tolling of Deadlines for within 90 days of the publication date VI, Enforcement and Compliance, Antidumping and Countervailing Duty Administrative Reviews in Response to Operational of the notice of initiation of the International Trade Administration, Adjustments Due to COVID–19,’’ dated April 24, requested review. As noted above, all U.S. Department of Commerce, 1401 2020. 7 See Shandong Yuanrui’s Letter, ‘‘Withdrawal of requests for administrative review were Constitution Avenue NW, Washington, timely withdrawn for certain DC 20230; telephone: (202) 482–3813, Review Request and Withdrawal as Counsel in the Administrative Review of the Countervailing Duty companies. Therefore, in accordance (202) 482–1121 or (202) 482–3019, Order on Aluminum Foil from the People’s with 19 CFR 351.213(d)(1), we are respectively. Republic of China (C–570–054),’’ dated June 24, 2019; Petitioner’ Letter, ‘‘First Administrative rescinding this administrative review SUPPLEMENTARY INFORMATION: Review of Countervailing Duty Order on Certain with respect to: Alcha International Aluminum Foil from the People’s Republic of Holdings Limited; Baotou Alcha Background China—Petitioners’ Withdrawal of Certain Requests Aluminum Co., Ltd.; Granges for Administrative Reviews,’’ dated July 15, 2019; On June 13, 2019, Commerce and Petitioner’s Letter, ‘‘1st Administrative Review Aluminum (Shanghai) Co., Ltd.; published a notice of initiation of an of the Countervailing Duty Order on Certain Guangxi Baise Xinghe Aluminum administrative review of the Aluminum Foil from the People’s Republic of Industry Co., Ltd.; Huafon Nikkei countervailing duty (CVD) order 1 on China—Petitioners’ Partial Withdrawal of Review Aluminium Corporation; Jiangsu Alcha Requests,’’ dated September 11, 2019. 8 See Memorandum, ‘‘Decision Memorandum for Aluminum Co., Ltd.; Jiangyin Dolphin 1 See Certain Aluminum Foil from the People’s the Preliminary Results of the Countervailing Duty Republic of China: Amended Final Affirmative Administrative Review of Certain Aluminum Foil 9 See sections 771(5)(B) and (D) of the Act Countervailing Duty Determination and from the People’s Republic of China,’’ dated regarding financial contribution; section 771(5)(E) Countervailing Duty Order, 83 FR 17360 (April 19, concurrently with, and hereby adopted by, this of the Act regarding benefit; and section 771(5A) of 2018) (Order). notice (Preliminary Decision Memorandum). the Act regarding specificity.

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Pack Ltd. Co.; Luoyang Longding Foil Co., Ltd.; Yantai Jintai International Preliminary Results Aluminium Industries Co., Ltd.; Trade Co., Ltd.; Yinbang Clad Material Commerce preliminarily determines Shandong Yuanrui Metal Material Co., Co., Ltd.; and Zhejiang Zhongjin that, during the POR, the following Ltd.; Suntown Technology Group Aluminum Industry Co., Ltd. estimated countervailable subsidy rates Limited; Yantai Donghai Aluminum exist:

Subsidy rate— Subsidy rate— 2017 2018 Company (percent (percent ad valorem) ad valorem)

Jiangsu Zhongji Lamination Materials Co., Ltd 10 ...... 45.31 48.26 Xiamen Xiashun Aluminum Foil Co., Ltd ...... 17.04 19.87 Dingsheng Aluminum Industries (Hong Kong) Trading Co. Ltd 11 * ...... 31.55 41.82 Hunan Suntown Marketing Limited * ...... 31.55 41.82 Inner Mongolia Liansheng New Energy Material Joint-Stock Co., Ltd * ...... 31.55 41.82 Shanghai Shenyan Packaging Materials Co., Ltd * ...... 31.55 41.82 SNTO International Trade Limited * ...... 31.55 41.82 Suzhou Manakin Aluminum Processing Technology Co., Ltd 12 * ...... 31.55 41.82 10 As discussed in the Preliminary Decision Memorandum, Commerce has found the following companies to be cross-owned with Jiangsu Zhongji Lamination Materials Co., Ltd.: Jiangsu Zhongji Lamination Materials Co., (HK) Ltd. (Zhongji HK); Jiangsu Huafeng Aluminum Industry Co. Ltd (Jiangsu Huafeng); Shantou Wanshun Material Stock Co., Ltd. (Shantou Wanshun); and Anhui Maximum Aluminum Industries Company Limited (Anhui Maximum). The subsidy rates apply to all cross-owned companies. 11 We note that in the investigation, Commerce found the following companies to be cross-owned with Dingsheng Aluminum Industries (Hong Kong) Trading Co., Ltd.: Jiangsu Dingsheng New Materials Joint-Stock Co., Ltd.; Hangzhou Teemful Aluminum Co., Ltd.; Hangzhou Five Star Aluminum Co., Ltd.; Hangzhou DingCheng Aluminum Co., Ltd.; Luoyang Longding Aluminum Co., Ltd.; Hangzhou Dingsheng Industrial Group Co., Ltd.; Hangzhou Dingsheng Import & Export Co., Ltd.; and Walson (HK) Trading Co., Limited. The subsidy rates apply to all cross-owned companies. An ‘‘*’’ denotes that the company listed in the table is a non-selected company under review. 12 We note that in the investigation, Commerce found the following company to be cross-owned with Suzhou Manakin Aluminum Processing Technology Co., Ltd.: Manakin Industries, LLC. The subsidy rates apply to the cross-owned company.

Assessment Rates within five days of the date of the number of participants, whether any publication of these preliminary participant is a foreign national, and a Consistent with section 751(a)(2)(C) of results.13 Interested parties may submit the Act, upon issuance of the final list of the issues to be discussed. If a written comments (case briefs) within results, Commerce shall determine, and request for a hearing is made, Commerce 30 days of publication of the Customs and Border Protection (CBP) will inform parties of the scheduled preliminary results and rebuttal 18 shall assess, countervailing duties on all date of the hearing. Issues addressed comments (rebuttal briefs) within seven appropriate entries covered by this during the hearing will be limited to days after the time limit for filing case 19 review. We intend to issue instructions those raised in the briefs. Parties briefs.14 Pursuant to 19 CFR to CBP 15 days after publication of the should confirm by telephone the date, 351.309(d)(2), rebuttal briefs must be final results of this review. Commerce time, and location of the hearing two limited to issues raised in the case intends to issue appropriate assessment days before the scheduled date. briefs. Pursuant to 19 CFR 351.309(c)(2) instructions directly to CBP 15 days and (d)(2), parties who submit Parties are reminded that all briefs after publication of this notice. arguments are requested to submit with and hearing requests must be filed Cash Deposit Rates the argument: (1) A statement of the electronically using ACCESS and issue; (2) a brief summary of the received successfully in their entirety by Pursuant to section 751(a)(1) of the argument; and (3) a table of 5 p.m. Eastern Time on the due date. Act, Commerce intends to instruct CBP authorities.15 Note that Commerce has to collect cash deposits of estimated Unless the deadline is extended modified certain of its requirements for countervailing duties in the amount pursuant to section 751(a)(3)(A) of the serving documents containing business indicated above with regard to Act, Commerce intends to issue the final proprietary information, until July 17, shipments of subject merchandise results of this administrative review, 2020, unless extended.16 entered, or withdrawn from warehouse, including the results of our analysis of for consumption on or after the date of Interested parties who wish to request the issues raised by the parties in their publication of the final results of this a hearing must do so within 30 days of comments, within 120 days after review. For all non-reviewed firms, we publication of these preliminary results publication of these preliminary results. will instruct CBP to continue to collect by submitting a written request to the cash deposits of estimated Assistant Secretary for Enforcement and Notification to Interested Parties countervailing duties at the most recent Compliance using Enforcement and Compliance’s ACCESS system.17 This administrative review and notice company-specific or all-others rate are in accordance with sections applicable to the company, as Requests should contain the party’s name, address, and telephone number, 751(a)(1) and 777(i)(1) of the Act and 19 appropriate. These cash deposit CFR 351.213 and 351.221(b)(4). instructions, when imposed, shall remain in effect until further notice. 13 See 19 CFR 224(b). 14 See 19 CFR 351.309(c)(1)(ii) and 351.309(d)(1). Disclosure and Public Comment 15 See 19 CFR 351.309(c)(2) and 351.309(d)(2). 16 See Temporary Rule Modifying AD/CVD We will disclose to parties to this Service Requirements Due to COVID–19; Extension proceeding the calculations performed of Effective Period, 85 FR 29615 (May 18, 2020). 18 See 19 CFR 351.310. in reaching the preliminary results 17 See 19 CFR 351.310(c). 19 See 19 CFR 351.310(c).

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Dated: June 17, 2020. DEPARTMENT OF COMMERCE (3) setting other model parameters, (4) Jeffrey I. Kessler, application of the rebuilder for the Assistant Secretary for Enforcement and National Oceanic and Atmospheric Council’s rebuilding alternatives, and Compliance. Administration (5) reviewing model outputs for the [RTID 0648–XA251] development and analysis of Appendix I alternatives. The meeting will also Scope of the Order Pacific Fishery Management Council; include discussion of 2021 stock Public Meeting assessments for coastal pelagic species. The merchandise covered by the Order is Other technical aspects of the sardine aluminum foil having a thickness of 0.2 mm AGENCY: National Marine Fisheries rebuilding plan may also be considered, or less, in reels exceeding 25 pounds, Service (NMFS), National Oceanic and as appropriate. Members of the regardless of width. Aluminum foil is made Atmospheric Administration (NOAA), Council’s Coastal Pelagic Species from an aluminum alloy that contains more Commerce. Management Team are responsible for than 92 percent aluminum. Aluminum foil ACTION: Notice of a public meeting. may be made to ASTM specification ASTM developing the sardine rebuilding plan and are expected to be active B479, but can also be made to other SUMMARY: The Pacific Fishery participants in the meeting. specifications. Regardless of specification, Management Council (Pacific Council, Although non-emergency issues not however, all aluminum foil meeting the Council) will hold an online meeting of contained in the meeting agenda may be scope description is included in the scope. its Scientific and Statistical Committee discussed, those issues may not be the Excluded from the scope of this Order is (SSC) Coastal Pelagic Species subject of formal action during this aluminum foil that is backed with paper, Subcommittee to review model meeting. Action will be restricted to paperboard, plastics, or similar backing specifications regarding the Pacific those issues specifically listed in this materials on only one side of the aluminum sardine rebuilding plan Rebuilder tool. document and any issues arising after foil, as well as etched capacitor foil and This meeting is open to the public. aluminum foil that is cut to shape. publication of this document that DATES: The online meeting will be held require emergency action under section Where the nominal and actual Wednesday, July 15, 2020 through measurements vary, a product is within the 305(c) of the Magnuson-Stevens Fishery Thursday, July 16, 2020. The meeting Conservation and Management Act, scope if application of either the nominal or will run 8:30 a.m. to 1 p.m. Pacific actual measurement would place it within provided the public has been notified of Daylight Time each day, or until the scope based on the definitions set forth the intent to take final action to address business for the day has been above. The products covered by the Order are the emergency. completed. currently classifiable under Harmonized Special Accommodations Tariff Schedule of the United States (HTSUS) ADDRESSES: The meeting will be held as subheadings 7607.11.3000, 7607.11.6000, an online meeting. Specific meeting Requests for sign language 7607.11.9030, 7607.11.9060, 7607.11.9090, information, including directions on interpretation or other auxiliary aids and 7607.19.6000. Further, merchandise that how to join the meeting and system should be directed to Mr. Kris falls within the scope of the Order may also requirements will be provided in the Kleinschmidt (kris.kleinschmidt@ be entered into the United States under meeting announcement on the Pacific noaa.gov; (503) 820–2412) at least 10 HTSUS subheadings 7606.11.3060, Council’s website (see days prior to the meeting date. 7606.11.6000, 7606.12.3045, 7606.12.3055, www.pcouncil.org). You may send an Authority: 16 U.S.C. 1801 et seq. 7606.12.3090, 7606.12.6000, 7606.91.3090, email to Mr. Kris Kleinschmidt 7606.91.6080, 7606.92.3090, and ([email protected]) or contact Dated: June 24, 2020. 7606.92.6080. Although the HTSUS him at (503) 820–2412 for technical Tracey L. Thompson, subheadings are provided for convenience assistance. Acting Deputy Director, Office of Sustainable and customs purposes, the written Council address: Pacific Fishery Fisheries, National Marine Fisheries Service. description of the scope of the Order is Management Council, 7700 NE [FR Doc. 2020–13964 Filed 6–26–20; 8:45 am] dispositive. Ambassador Place, Suite 101, Portland, BILLING CODE 3510–22–P OR 97220–1384. Appendix II FOR FURTHER INFORMATION CONTACT: DEPARTMENT OF COMMERCE List of Topics Discussed in the Preliminary Kerry Griffin, Pacific Council; Decision Memorandum telephone: (503) 820–2409. National Oceanic and Atmospheric I. Summary SUPPLEMENTARY INFORMATION: The Administration II. Background estimated biomass of Pacific sardine fell III. Rescission of Administrative Review, in below the minimum stock size [RTID 0648–XA244] Part threshold of 50,000 metric tons, based Takes of Marine Mammals Incidental to IV. Non-Selected Companies Under Review on the 2019 stock assessment. The V. Scope of the Order Specified Activities; Taking Marine Council and NMFS are required to Mammals Incidental to the Renewal of VI. Diversification of China’s Economy develop a rebuilding plan, which is VII. Subsidies Valuation U.S. Navy Target and Missile Launch scheduled for Council adoption at its Activities on San Nicolas Island VIII. Interest Rates, Discount Rates, and September 2020 meeting. The primary Input, Land, and Electricity Benchmarks purpose of the July 15–16 SSC AGENCY: National Marine Fisheries IX. Use of Facts Otherwise Available and Subcommittee meeting is to provide Service (NMFS), National Oceanic and Adverse Inferences review and advice on developing Atmospheric Administration (NOAA), X. Analysis of Programs proposed rebuilding alternatives relative Commerce. XI. Disclosure and Public Comment to the Pacific sardine rebuilding plan. ACTION: Notice; issuance of renewal XII. Recommendation Specific objectives will include: (1) [FR Doc. 2020–13971 Filed 6–26–20; 8:45 am] incidental harassment authorization. Establishing a stock-recruitment BILLING CODE 3510–DS–P relationship and associated uncertainty, SUMMARY: In accordance with the (2) establishing Tmin, Tmax, and Bmsy, regulations implementing the Marine

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Mammal Protection Act (MMPA), as can be found in section 3 of the MMPA and the findings in the initial IHA amended, notification is hereby given (16 U.S.C. 1362) and the agency’s remain valid. that NMFS has issued a Renewal regulations at 50 CFR 216.103. An additional public comment period incidental harassment authorization NMFS’ regulations implementing the of 15 days (for a total of 45 days), with (IHA) to U.S. Navy (Navy) to MMPA at 50 CFR 216.107(e) indicate direct notice by email, phone, or postal incidentally harass marine mammals that IHAs may be renewed for service to commenters on the initial incidental to target and missile launch additional periods of time not to exceed IHA, is provided to allow for any activities on San Nicolas Island (SNI). one year for each reauthorization. In the additional comments on the proposed DATES: This Renewal IHA is valid from notice of proposed IHA for the initial Renewal. A description of the Renewal June 19, 2020 through June 11, 2021. authorization, NMFS described the process may be found on our website at: FOR FURTHER INFORMATION CONTACT: circumstances under which we would www.fisheries.noaa.gov/national/ Bonnie DeJoseph, Office of Protected consider issuing a Renewal for this marine-mammal-protection/incidental- Resources, NMFS, (301) 427–8401. activity, and requested public comment harassment-authorization-renewals. Electronic copies of the original on a potential Renewal under those The NDAA (Pub. L. 108–136) application, Renewal request, and circumstances. Specifically, on a case- removed the ‘‘small numbers’’ and supporting documents (including NMFS by-case basis, NMFS may issue a one- ‘‘specified geographical region’’ Federal Register notices of the original time one-year Renewal IHA following limitations indicated above and proposed and final authorizations, and notice to the public providing an amended the definition of ‘‘harassment’’ the previous IHA), as well as a list of the additional 15 days for public comments as it applies to a ‘‘military readiness references cited in this document, may when (1) up to another year of identical activity.’’ The activity for which be obtained online at: https:// or nearly identical, or nearly identical, incidental take of marine mammals is www.fisheries.noaa.gov/permit/ activities as described in the Description being requested addressed here qualifies incidental-take-authorizations-under- of the Specified Activities and as a military readiness activity. marine-mammal-protection-act. In case Anticipated Impacts section of this History of Request of problems accessing these documents, notice is planned or (2) the activities as please call the contact listed above. described in the Description of the On June 12, 2019, NMFS issued an Specified Activities and Anticipated SUPPLEMENTARY INFORMATION: IHA to the Navy to take marine Impacts section of this notice would not mammals incidental to U.S. Navy Target Background be completed by the time the IHA and Missile Launch Activities on San The MMPA prohibits the ‘‘take’’ of expires and a Renewal would allow for Nicolas Island, California (84 FR 28462; marine mammals, with certain completion of the activities beyond that June 19, 2019), effective from June 12, exceptions. Sections 101(a)(5)(A) and described in the Dates and Duration 2019 through June 11, 2020. On April (D) of the MMPA (16 U.S.C. 1361 et section of the initial notice, provided all 14, 2020, NMFS received an application seq.) direct the Secretary of Commerce of the following conditions are met: for the Renewal of that initial IHA. As (as delegated to NMFS) to allow, upon • A request for renewal is received no described in the application for Renewal request, the incidental, but not later than 60 days prior to the needed IHA, the activities for which incidental intentional, taking of small numbers of Renewal IHA effective date (recognizing take is requested are identical. As marine mammals by U.S. citizens who that the Renewal IHA expiration date required, the applicant also provided a engage in a specified activity (other than cannot extend beyond one year from preliminary monitoring report (available commercial fishing) within a specified expiration of the initial IHA). at https://www.fisheries.noaa.gov/ geographical region if certain findings • The request for renewal must action/incidental-take-authorization-us- are made and either regulations are include the following: navy-target-and-missile-launch- issued or, if the taking is limited to (1) An explanation that the activities activities-san-nicolas-0) which confirms harassment, a notice of a proposed to be conducted under the requested that the applicant has implemented the incidental take authorization is Renewal IHA are identical to the required mitigation and monitoring, and provided to the public for review. activities analyzed under the initial which also shows that no impacts of a Authorization for incidental takings IHA, are a subset of the activities, or scale or nature not previously analyzed shall be granted if NMFS finds that the include changes so minor (e.g., or authorized have occurred as a result taking will have a negligible impact on reduction in pile size) that the changes of the activities conducted. the species or stock(s) and will not have do not affect the previous analyses, Description of the Specified Activities an unmitigable adverse impact on the mitigation and monitoring and Anticipated Impacts availability of the species or stock(s) for requirements, or take estimates (with taking for subsistence uses (where the exception of reducing the type or The Navy will continue a target and relevant). Further, NMFS must prescribe amount of take). missile launch program from two the permissible methods of taking and (2) A preliminary monitoring report launch sites on SNI. Missiles vary from other ‘‘means of effecting the least showing the results of the required tactical and developmental weapons to practicable adverse impact’’ on the monitoring to date and an explanation target missiles used to test defensive affected species or stocks and their showing that the monitoring results do strategies and other weapons systems. habitat, paying particular attention to not indicate impacts of a scale or nature Some launch events involve a single rookeries, mating grounds, and areas of not previously analyzed or authorized. missile, while others involve the launch similar significance, and on the Upon review of the request for of multiple missiles in quick succession. availability of such species or stocks for Renewal, the status of the affected The Navy plans to conduct a maximum taking for certain subsistence uses species or stocks, and any other of 40 missile launch events from SNI, (referred to here as ‘‘mitigation pertinent information, NMFS but the total may be less than 40 measures’’). Monitoring and reporting of determines that there are no more than depending on operational requirements. such takings are also required. The minor changes in the activities, the No more than 25 launches have meaning of key terms such as ‘‘take,’’ mitigation and monitoring measures occurred in any single year since 2001 ‘‘harassment,’’ and ‘‘negligible impact’’ will remain the same and appropriate, (Table 1).

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TABLE 1—THE TOTAL NUMBER OF pinnipeds hauled out at sites on SNI. Potential Effects on Marine Mammals LAUNCHES THAT HAVE OCCURRED Neither Navy nor NMFS expects serious and Their Habitat SINCE 2001 AT SNI injury or mortality to result from this activity. A description of the potential effects of the specified activity on marine Number of Detailed Description of the Activity Time period launches mammals and their habitat for the A detailed description of the target activities for the authorized take may be August 2001 to October 2005 .. 69 and missile launch activities for which found in the Notices of the Proposed February 2006 to December take is authorized here may be found in IHA for the initial authorization. NMFS 2009 ...... 11 the notices of the Proposed and Final has reviewed the monitoring data from January 2010 to December IHAs for the initial authorization. The the initial IHA, recent draft Stock 2014 ...... 36 location, timing, and nature of the December 2015 to November Assessment Reports, information on 2018 ...... 30 activities, including the types of relevant Unusual Mortality Events, and June 2019 to March 2020 ...... 12 equipment planned for use, are identical other scientific literature, and to those described in the previous determined that neither this nor any notices. This Renewal would be Launch timing will be determined by other new information affects our initial effective for a period of one year from operational, meteorological, and analysis of impacts on marine mammals the date of issuance. logistical factors. Up to 10 of the 40 and their habitat. launches may occur at night; night Description of Marine Mammals Estimated Take launches are also dependent on A description of the marine mammals operational requirements and will only in the area of the activities for which A detailed description of the methods be conducted when required by test take is authorized here, including and inputs used to estimate take for the objectives. These planned activities are information on abundance, status, specified activity are found in the identical to those in the Initial IHA and distribution, and hearing, may be found notices of the Proposed and Final IHAs are described in detail in the Initial in the notices of the Proposed and Final for the initial authorization. Proposed IHA (84 FR 18809; May 2, IHAs for the initial authorization. NMFS Specifically, the source levels, days of 2019). has reviewed the monitoring data from operation, and marine mammal Anticipated impacts, which would the initial IHA, recent draft Stock occurrence data applicable to this consist of Level B harassment of marine Assessment Reports, information on authorization remain unchanged from mammals, would also be identical to relevant Unusual Mortality Events, and the previously issued IHA. Further, the those analyzed and authorized in the other scientific literature, and 2019 monitoring data received from the Initial IHA (84 FR 28462; June 19, 2019). determined that neither this nor any Navy suggests that the actual number of The Navy’s request is for take of other new information affects which marine mammals taken during the Navy California sea lions (Zalophus species or stocks have the potential to launches remained well under the californianus), harbor seals (Phoca be affected or the pertinent information number authorized in the initial IHA vitulina), and northern elephant seals in the Description of the Marine and in this Renewal IHA. The stocks (Mirounga angustirostris) by Level B Mammals in the Area of Specified taken, methods of take, and types of take harassment only. All flights over SNI Activities section contained in the remain unchanged from the previously will be subsonic; therefore, there will be supporting documents for the initial issued IHA, as do the number of takes, no sonic booms that could affect IHA. which are indicated below in Table 2.

TABLE 2—PROPOSED LEVEL B HARASSMENT TAKE FOR PINNIPEDS ON SNI

Authorized Percent of stock abundance taken by Species Level B Level B harassment (assuming each harassment instance is different individual)

California sea lion ...... 11,000 257,606 (4.27 percent). Harbor seal ...... 480 30,968 (less than 2 percent). Northern elephant seal ...... 40 179,000 (less than 1 percent).

Description of Mitigation, Monitoring Mitigation which authorization has been granted and Reporting Measures but the authorized takes are met, the Operation Restrictions Navy must consult with NMFS before The mitigation, monitoring, and Personnel must not enter pinniped the next launch event. reporting measures included as haulouts. Personnel may be adjacent to requirements in this authorization are pinniped haulouts prior to and The Navy must review the launch identical to those included in the following a launch for monitoring procedure and monitoring methods, in cooperation with NMFS, if any Federal Register notice announcing the purposes. All aircraft and helicopter incidents of injury or mortality of a issuance of the initial IHA, and the flight paths must maintain a minimum pinniped are discovered during post- discussion of the least practicable distance of 305 meters (m) from launch surveys, or if surveys indicate adverse impact included in that recognized seal haulouts and rookeries, possible effects to the distribution, size, document remains accurate. The to the maximum extent practicable. or productivity of the affected pinniped following measures are authorized for Missiles must not cross over pinniped populations as a result of the specified this renewal: haulouts at elevations less than 305 m (1,000 feet (ft)). activities. If necessary, appropriate If a species for which authorization changes must be made through has not been granted, or a species for modification to this Authorization prior

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to conducting the next launch of the (approximate numbers and sexes of each same day. Acoustic measurements must same vehicle. age class). be collected and reported consistent Describe the launch event, including with section 13.2 of the Navy’s Timing Restrictions documenting the occurrence of a launch application. The Navy may not conduct more than event, the type of target/missile Reporting 10 launch events at night. Launches launched, the timing of the event, and must not occur during February through duration of audibility. A draft report on all monitoring April, to the maximum extent Document movements of pinnipeds, conducted under the IHA must be practicable. Launches must be limited including number and proportion submitted within 90 calendar days of during January through February and moving, direction and distance moved, the completion of marine mammal and June through July, to the maximum and pace of movement (slow or acoustic monitoring or 60 days prior to extent practicable. vigorous). In addition, the following the issuance of any subsequent IHA or variables concerning the circumstances incidental take regulations for this Monitoring Measures of the observations must also be project, whichever comes first. A final The Navy must obtain visual, video recorded from the videotape or from report must be prepared and submitted and audio, and acoustic data from up to direct observations at the site: within 30 days following resolution of three pinniped haulout monitoring sites 1. Study location, comments on the draft report from during each launch event, to the 2. Local time, NMFS. This report must contain the maximum extent practicable. The 3. Weather (including an estimate of informational elements described in holder of this IHA is required to abide wind strength and direction, and Section 5 of the Authorization. by the following marine mammal and presence of precipitation), and 4. Tide state. Reporting Injured or Dead Marine acoustic monitoring requirements: Identify and document any change in Mammals Visual Monitoring behavior or movements of pinnipeds In the unanticipated event that the that occurs at the time of the launch Marine mammal monitoring must be specified activity clearly causes the take event. of a marine mammal in a manner conducted by qualified, trained Compare received levels of launch protected species observers. The prohibited by this IHA, such as serious sound with pinniped responses, based injury, or mortality, the Navy must following visual monitoring measures on acoustic and behavioral data from up will be conducted during preparations immediately cease the specified to three monitoring sites at different activities and report the incident to the for video and acoustic monitoring, as distances from the launch site and described in Video and Audio NMFS Office of Protected Resources missile path during each launch; from (301–427–8401) and the West Coast Monitoring section below: 1) Visual the data accumulated across a series of monitoring must be conducted before Stranding Coordinator (562–980–3230). launches, to attempt to establish the The report must include the following and after launches, including scanning ‘‘dose-response’’ relationship for launch the affected haulout beaches and information: sounds under different launch 1. Time and date of the incident; counting the number and species of conditions if possible. 2. Description of the incident; pinnipeds over a 15–30 minute period; Ascertain periods or launch 3. Environmental conditions (e.g., 2) Prior to a launch event, Navy conditions when pinnipeds are most wind speed and direction, cloud cover, personnel must make observations of and least responsive to launch activities. and visibility); the monitored pinniped haulout and Lastly, document take by harassment: 4. Description of all marine mammal record the numbers and species of (1) Pinnipeds that are exposed to launch observations and active sound source pinnipeds observed on field data sheets; sounds strong enough to cause a use in the 24 hours preceding the and 3) After a launch event, Navy temporary threshold shift (TTS); or (2) incident; personnel must return to the monitored Pinnipeds that leave the haulout site, or 5. Species identification or pinniped haulout and record the exhibit prolonged movement (greater description of the animal(s) involved; numbers and species of pinnipeds that than 10 m) or prolonged behavioral 6. Fate of the animal(s); and remain on the haulout sites and any changes (such as pups separated from 7. Photographs or video footage of the notable changes. mothers) relative to their behavior animal(s). Video and Audio Monitoring immediately prior to the launch. Activities must not resume until NMFS is able to review the Before each launch, Navy personnel Acoustic Monitoring circumstances of the prohibited take. must set up or activate up to three video The Navy must use up to four NMFS will work with the Navy to cameras (either high-definition video autonomous audio recorders to make determine what measures are necessary cameras, or Forward-Looking Infrared acoustical measurements. During each to minimize the likelihood of further Radiometer (FLIR) thermal imaging launch, these must be located as close prohibited take and ensure MMPA cameras for night launch events) such as practicable to pinniped haulout compliance. The Navy may not resume that they overlook the monitoring sites. monitoring sites and near the launch their activities until notified by NMFS. Each camera will be set to record a focal pad itself. The monitored pinniped In the event the Navy discovers an group of pinnipeds within the haulout haulout sites must typically include one injured or dead marine mammal, and for the maximum recording time site as close as possible to the missile’s the lead observer determines that the permitted by the camera capacity. Video planned flight path and one or two cause of the injury or death is unknown and audio monitoring must be locations farther from the flight path and the death is relatively recent (e.g., conducted by recording continuously within the area of potential impact with in less than a moderate state of from a minimum of two hours before the pinnipeds present. Autonomous decomposition), the Navy must event to approximately one hour after Terrestrial Acoustic Recorders must be immediately report the incident to the the event in order to: deployed at the recording locations on Office of Protected Resources, NMFS, Determine the composition of the the launch day well before the launch and the West Coast Region Stranding focal subgroup of pinnipeds time, and must be retrieved later the Coordinator, NMFS. The report must

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include the same information identified stipulate that a renewal is a one-time not individually or cumulatively have in 6(b)(i) of this IHA. Activities may opportunity (a) in all Federal Register the potential for significant impacts on continue while NMFS reviews the notices requesting comments on the the quality of the human environment circumstances of the incident. NMFS possibility of a renewal, (b) on its web and for which we have not identified will work with the Navy to determine page detailing the renewal process, and any extraordinary circumstances that whether additional mitigation measures (c) in all draft and final authorizations would preclude this categorical or modifications to the activities are that include a term and condition for a exclusion. Accordingly, NMFS has appropriate. renewal and, (2) if NMFS declines to determined that the issuance of the In the event that the Navy discovers adopt this recommendation, explain Renewal IHA qualifies to be an injured or dead large whale or other fully its rationale for not doing so. categorically excluded from further cetaceans, and the lead observer Response: While NMFS has NEPA review. determines that the injury or death is consistently expressed the intent to not associated with or related to the implement Renewals as one-time Determinations specified activities (e.g., previously opportunities, as the Commission noted, wounded animal, carcass with moderate NMFS recently concurred with the The action of this Renewal IHA, target to advanced decomposition, or Commission’s recommendation to more and missile launch activities, will be scavenger damage), the Navy must explicitly describe this intent in all identical to the activities analyzed in report the incident to the Office of Federal Register notices and IHAs, and the Initial IHA. Based on the analysis Protected Resources, NMFS, and the the website. However, NMFS does not detailed in the notice of the Initial IHA West Coast Region Stranding agree with the Commission’s authorization of the likely effects of the Coordinator, NMFS, within 24 hours of recommendation to refrain from issuing specified activity on marine mammals the discovery. Renewals and, therefore, does not adopt and their habitat, and taking into This Authorization may be modified, the Commission’s recommendation. consideration the implementation of the suspended or withdrawn if the holder NMFS has addressed the Commission’s monitoring and mitigation measures, fails to abide by the conditions concerns in multiple FR notices (e.g., 84 NMFS found that the total marine prescribed herein, or if NMFS FR 52464, October 2, 2019), but has also mammal take from the activity will have determines the authorized taking is committed to provide a detailed a negligible impact on all affected having more than a negligible impact on explanation of its decision within 120 marine mammal species or stocks. the species or stock of affected marine days, as required by section 202(d) of NMFS has concluded that there is no mammals. the MMPA. new information suggesting that our Comment 3: The Commission Public Comments analysis or findings should change from recommends that NMFS review those reached for the initial IHA. Based A notice of NMFS’ proposal to issue applications and Federal Register on the information and analysis a Renewal IHA to the Navy was notices more thoroughly prior to published in the Federal Register on submitting them to the Federal Register contained here and in the referenced June 1, 2020 (85 FR 33124). That notice for public comment. documents, NMFS has determined the either described, or referenced Response: Renewal language was following: (1) The required mitigation descriptions of, the Navy’s activity, the erroneously included in the draft IHA measures will affect the least practicable marine mammal species that may be and NMFS appreciates the impact on marine mammal species or affected by the activity, the anticipated Commission’s comment noting it. NMFS stocks and their habitat; (2) the effects on marine mammals and their will continue to review Federal Register authorized takes will have a negligible habitat, proposed amount and manner notices as thoroughly as possible given impact on the affected marine mammal of take, and proposed mitigation, available resources and required species or stocks; (3) the Navy’s monitoring and reporting measures. timelines. activities will not have an unmitigable NMFS received a comment letter from Comment 4: The Commission adverse impact on taking for subsistence one entity, the Marine Mammal recommends that NMFS review their purposes as no relevant subsistence uses Commission (Commission). The comments on the initial IHA. of marine mammals are implicated by comments and our responses are Response: NMFS reviewed the this action, and; (4) appropriate summarized below. Commission’s comments on the initial monitoring and reporting requirements Comment 1: The Commission IHA and the responses published in the are included. recommended that NMFS refrain from Federal Register notice announcing the issuing the Navy’s authorization issuance of the final initial 2019 IHA (84 Endangered Species Act renewal until after the public comment FR 28462; June 19, 2019) remain valid. Section 7(a)(2) of the Endangered period closes on 16 June 2020 and all Species Act of 1973 (ESA: 16 U.S.C. comments received are fully considered. National Environmental Policy Act Response: NMFS concurs and will not To comply with the National 1531 et seq.) requires that each Federal issue until the public comment period Environmental Policy Act of 1969 agency insure that any action it closes and all comments are considered (NEPA; 42 U.S.C. 4321 et seq.) and authorizes, funds, or carries out is not fully. NOAA Administrative Order (NAO) likely to jeopardize the continued Comment 2: the Commission again 216–6A, NMFS must review our existence of any endangered or recommends that NMFS refrain from proposed action (i.e., the issuance of an threatened species or result in the issuing renewals for any authorization IHA) with respect to potential impacts destruction or adverse modification of and instead use its abbreviated Federal on the human environment. designated critical habitat. No Register notice process, which is This action is consistent with incidental take of ESA-listed species is similarly expeditious and fulfills categories of activities identified in proposed for authorization or expected NMFS’s intent to maximize efficiencies. Categorical Exclusion B4 (IHA with no to result from this activity. Therefore, The Commission has further anticipated serious injury or mortality) NMFS has determined that formal recommended that, if NMFS continues of the Companion Manual for NOAA consultation under section 7 of the ESA to propose to issue renewals, that it (1) Administrative Order 216–6A, which do is not required for this action.

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Renewal Office of Program Management, Safeguards Attestation Form collects NMFS has issued a Renewal IHA to National Technical Information Service, information based on an assessment by the Navy for the take of marine Department of Commerce, 5301 the ACAB conducted within three years mammals incidental to conducting Shawnee Road, Alexandria, VA 22312, prior to the date of the Person or target and missile launch activities on email: [email protected] or telephone: Certified Person’s submission of a SNI, California from June 19, 2020 703–605–6703. completed certification statement under through June 11, 2021. SUPPLEMENTARY INFORMATION: Section 1110.101(a) of the final rule. This collection includes specific Dated: June 23, 2020. I. Abstract requirements of the final rule, which the Donna S. Wieting, Title of Information Collection: ACAB must certify are satisfied, and the Director, Office of Protected Resources, (A) ‘‘Limited Access Death Master File provision of specific information by the National Marine Fisheries Service. (LADMF) Accredited Conformity ACAB, such as the date of the [FR Doc. 2020–13860 Filed 6–26–20; 8:45 am] Assessment Body Systems assessment and the auditing standard(s) BILLING CODE 3510–22–P Safeguards Attestation Form’’ used for the assessment. (ACAB Systems Safeguards Section 1110.501(a)(2) of the final rule Attestation Form) provides that a state or local government DEPARTMENT OF COMMERCE (B) ‘‘Limited Access Death Master File office of AG or IG and a Person or Certified Person that is a department or National Technical Information Service (LADMF) State or Local Government Auditor General (AG) agency of the same state or local Agency Information Collection or Inspector General (IG) Systems government, respectively, are not Activities; Submission to the Office of Safeguards Attestation Form’’ (AG considered to be owned by a common Management and Budget (OMB) for or IG Systems Safeguards ‘‘parent’’ entity under Section Review and Approval; Extension of Attestation Form) 1110.501(a)(1)(ii) for the purpose of Currently Approved Information This notice informs the public that determining independence, and Collection; Comment Request; Limited the National Technical Information attestation by the AG or IG is possible. Access Death Master File Systems Service (NTIS) is requesting approval The AG or IG Systems Safeguards Safeguards Attestation Forms for extension of the above information Attestation Form is for the use of a state collection for use in connection with the or local government AG or IG to attest AGENCY: National Technical Information final rule for the ‘‘Certification Program on behalf of a state or local government Service, Commerce. for Access to the Death Master File.’’ department or agency Person or ACTION: Notice of information collection, The final rule was promulgated under Certified Person. The AG or IG Systems request for comment. Section 203 of the Bipartisan Budget Act Safeguards Attestation Form requires of 2013, Public Law 113–67 (Act) and the state or local government AG or IG SUMMARY: The Department of published on June 1, 2016 (81 FR to attest that a Person seeking Commerce, in accordance with the 34882). The rule became effective on certification or a Certified Person Paperwork Reduction Act of 1995 November 28, 2016 (15 CFR part 1110). seeking renewal of certification has (PRA), invites the general public and No changes are being proposed to the information security systems, facilities other Federal agencies to comment on currently approved information and procedures in place to protect the proposed, and continuing information collection. security of the Limited Access DMF, as collections, which helps us assess the The Act prohibits the Secretary of required under Section 1110.102(a)(2) of impact of our information collection Commerce (Secretary) from disclosing the final rule. The AG or IG Systems requirements and minimize the public’s DMF information during the three-year Safeguards Attestation Form collects reporting burden. The purpose of this period following an individual’s death information based on an assessment by notice is to allow for 60 days of public (Limited Access DMF), unless the the state or local government AG or IG comment preceding submission of the person requesting the information has conducted within three years prior to collection to OMB. been certified to access the Limited the date of the Person or Certified DATES: To ensure consideration, Access DMF pursuant to certain criteria Person’s submission of a completed comments regarding this proposed in a program that the Secretary certification statement under Section information collection must be received establishes. The Secretary delegated the 1110.101(a) of the final rule. This on or before August 28, 2020. authority to carry out Section 203 to the collection includes specific ADDRESSES: Interested persons are Director of NTIS. requirements of the final rule, which the invited to submit written comments by To accommodate the requirements of state or local government AG or IG must mail to Daniel Ramsey, Supervisory the final rule, NTIS is using both the certify are satisfied, and the provision of Program Manager, Office of Program ACAB Systems Safeguards Attestation specific information by the state or local Management, National Technical Form and the AG or IG Systems government AG or IG, such as the date Information Service, Department of Safeguards Attestation Form. of the assessment. Commerce or by email to dramsey@ The ACAB Systems Safeguards II. Method of Collection ntis.gov or [email protected]. Attestation Form requires an Please reference OMB Control Number ‘‘Accredited Conformity Assessment The information will be collected by 0692–0016 in the subject line of your Body’’ (ACAB), as defined in the final paper format, email, mail, and fax. comments. Do not submit Confidential rule, to attest that a Person seeking III. Data Business Information or otherwise certification or a Certified Person sensitive or protected information. seeking renewal of certification has OMB Control Number: 0692–0016. FOR FURTHER INFORMATION CONTACT: information security systems, facilities Form Number(s): NTIS FM100A and Requests for additional information or and procedures in place to protect the NTIS FM100B. specific questions related to collection security of the Limited Access DMF, as Type of Review: Regular submission: activities should be directed to Daniel required under Section 1110.102(a)(2) of extension of a current information Ramsey, Supervisory Program Manager, the final rule. The ACAB Systems collection.

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Affected Public: Accredited NTIS personnel reviewing and cannot guarantee that we will be able to Conformity Assessment Bodies and state processing these forms. NTIS estimates do so. or local government Auditors General or that it will take an AG or IG senior Sheleen Dumas, Inspectors General attesting that a auditor three hours to complete the form Department PRA Clearance Officer, Office of Person seeking certification or a at a rate of approximately $100 per Certified Person seeking renewal of the Chief Information Officer, Commerce hour, for a total additional cost to the Department. certification under the final rule for the public of $9,000 (90 burden hours x ‘‘Certification Program for Access to the [FR Doc. 2020–13897 Filed 6–26–20; 8:45 am] $100/hour = $9,000). NTIS estimates the BILLING CODE 3510–13–P Death Master File’’ has information total annual cost to the public for AG or security systems, facilities and IG Systems Safeguards Attestation procedures in place to protect the Forms to be $24,750 ($15,750 in fees + security of the Limited Access DMF, as $9,000 in staff time = $24,750). COMMODITY FUTURES TRADING required by the final rule. COMMISSION Estimated Number of Respondents: NTIS estimates the total annual cost ACAB Systems Safeguards Attestation to the public for both the ACAB Systems Technology Advisory Committee Form: NTIS expects to receive Safeguards Attestation Forms and the approximately 250 ACAB Systems AG or IG Systems Safeguards AGENCY: Commodity Futures Trading Safeguards Attestation Forms from Attestation Forms to be $257,250 Commission. Persons and Certified Persons annually. ($232,500 for ACAB Systems Safeguards ACTION: Notice of meeting. AG or IG Systems Safeguards Attestation Forms + $24,750 for AG or SUMMARY: Attestation Form: NTIS expects to IG Systems Safeguards Attestation The Commodity Futures Trading Commission (CFTC) announces receive approximately30 AG or IG Forms). Systems Safeguards Attestation Forms that on July 16, 2020, from 10:00 a.m. from Persons and Certified Persons Respondent’s Obligation: Voluntary. to 2:00 p.m., the Technology Advisory annually. Legal Authority: Section 203 of the Committee (TAC) will hold a public Estimated Time Per Response: ACAB Bipartisan Budget Act of 2013, Public meeting via teleconference. At this Systems Safeguards Attestation Form: 3 Law 113–67; 15 CFR part 1110. meeting, the TAC will hear hours. AG or IG Systems Safeguards presentations from the TAC Attestation Form: 3 hours. IV. Request for Comments subcommittees on Automated and Estimated Total Annual Burden Modern Trading Markets, Distributed We are soliciting public comments to Hours: ACAB Systems Safeguards Ledger Technology and Market permit the Department to: (a) Evaluate Attestation Form: 750 (250 × 3 hours = Infrastructure, Virtual Currencies, and 750 hours). AG or IG Systems whether the proposed information Cyber Security. Safeguards Attestation Form: 90 (30 × 3 collection is necessary for the proper DATES: The meeting will be held on July functions of the Department, including hours = 90 hours). 16, 2020, from 10:00 a.m. to 2:00 p.m. Estimated Total Annual Cost to whether the information will have Members of the public who wish to Public: ACAB Systems Safeguards practical utility; (b) Evaluate the submit written statements in connection Attestation Form: NTIS expects to accuracy of our estimate of the time and with the meeting should submit them by receive approximately 250 ACAB cost burden for this proposed collection, July 23, 2020. Systems Safeguards Attestation Forms including the validity of the ADDRESSES: The meeting will take place annually at a fee of $525 per form, for methodology and assumptions used; (c) via teleconference. You may submit a total cost of $131,250. This total Evaluate ways to enhance the quality, annual cost reflects the cost to the public comments, identified by utility, and clarity of the information to ‘‘Technology Advisory Committee,’’ by Federal Government for the ACAB be collected; and (d) Minimize the Systems Safeguards Attestation Forms, any of the following methods: reporting burden on those who are to • CFTC Website: http:// which consists of the expenses respond, including the use of automated associated with NTIS personnel comments.cftc.gov. Follow the collection techniques or other forms of reviewing and processing these forms. instructions for submitting comments information technology. NTIS estimates that it will take an through the Comments Online process ACAB’s senior auditor three hours to Comments that you submit in on the website. • complete the form at a rate of response to this notice are a matter of Mail: Christopher Kirkpatrick, approximately $135 per hour, for a total public record. We will include or Secretary of the Commission, additional cost to the public of $101,250 summarize each comment in our request Commodity Futures Trading (750 burden hours × $135/hour = to OMB to approve this Information Commission, Three Lafayette Center, $101,250). NTIS estimates the total Collection Review (ICR). Before 1155 21st Street NW, Washington, DC annual cost to the public for the ACAB 20581. including your address, phone number, • Systems Safeguards forms to be email address, or other personal Hand Delivery/Courier: Same as $232,500 ($131,250 in fees + $101,250 identifying information in your Mail, above. Any statements submitted in in staff time = $232,500). comment, you should be aware that connection with the committee meeting AG or IG Systems Safeguards your entire comment—including your will be made available to the public, Attestation Form: NTIS expects to personal identifying information—may receive approximately 30 AG or IG including publication on the CFTC be made publicly available at any time. website, http://www.cftc.gov. Systems Safeguards Attestation Forms While you may ask us in your comment annually at a fee of $525 per form, for FOR FURTHER INFORMATION CONTACT: to withhold your personal identifying a total cost of $15,750. This total annual Meghan Tente, TAC Designated Federal information from public review, we cost reflects the cost to the Federal Officer, Commodity Futures Trading Government for the AG or IG Systems Commission, Three Lafayette Centre, Safeguards Attestation Forms, which 1155 21st Street NW, Washington, DC consists of the expenses associated with 20581; (202) 418–5785.

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SUPPLEMENTARY INFORMATION: Members before July 29, 2020 to be assured of the debt, information about the of the public may listen to the meeting consideration. consumer’s rights, and information by telephone by calling a domestic toll- ADDRESSES: You may submit comments, about how the consumer may respond if free telephone or international toll or identified by the title of the information they so choose; and toll-free number to connect to a live, collection, OMB Control Number (see (2) How consumers view and respond listen-only audio feed. Call-in below), and docket number (see above), to paper and electronic versions of the participants should be prepared to by any of the following methods: model validation notice. provide their first name, last name, and • Electronic: Go to http:// Request for Comments: The Bureau is affiliation. www.regulations.gov. Follow the publishing this notice and soliciting • Domestic Toll Free: 877–951–7311. instructions for submitting comments. comments on: (a) Whether the collection • International Toll and Toll Free: • Email: [email protected]. of information is necessary for the Will be posted on the CFTC’s website, Include Docket No. CFPB–2020–0024 in proper performance of the functions of http://www.cftc.gov, on the page for the the subject line of the message. the Bureau, including whether the meeting, under Related Links. • Mail/Hand Delivery/Courier: information will have practical utility; • Pass Code/Pin Code: 6735978. Comment intake, Bureau of Consumer (b) The accuracy of the Bureau’s The meeting agenda may change to Financial Protection (Attention: PRA estimate of the burden of the collection accommodate other TAC priorities. For Office), 1700 G Street NW, Washington, of information, including the validity of agenda updates, please visit the TAC DC 20552. Please note that due to the methods and the assumptions used; committee website at: https:// circumstances associated with the (c) Ways to enhance the quality, utility, www.cftc.gov/About/CFTCCommittees/ COVID–19 pandemic, the Bureau and clarity of the information to be TechnologyAdvisory/tac_meetings.html. discourages the submission of collected; and (d) Ways to minimize the After the meeting, a transcript of the comments by mail, hand delivery, or burden of the collection of information meeting will be published through a courier. Please note that comments on respondents, including through the link on the CFTC’s website at: http:// submitted after the comment period will use of automated collection techniques www.cftc.gov. All written submissions not be accepted. In general, all or other forms of information provided to the CFTC in any form will comments received will become public technology. Comments submitted in also be published on the CFTC’s records, including any personal response to this notice will be submitted website. Persons requiring special information provided. Sensitive to OMB as part of its review of this accommodations to attend the meeting personal information, such as account request. All comments will become a because of a disability should notify the numbers or Social Security numbers, matter of public record. contact person above. should not be included. Dated: June 24, 2020. Authority: 5 U.S.C. app. 2 section 10(a)(2). FOR FURTHER INFORMATION CONTACT: Darrin King, Dated: June 24, 2020. Documentation prepared in support of Paperwork Reduction Act Officer, Bureau of Robert Sidman, this information collection request is Consumer Financial Protection. available at www.regulations.gov. [FR Doc. 2020–13948 Filed 6–26–20; 8:45 am] Deputy Secretary of the Commission. Requests for additional information BILLING CODE 4810–AM–P [FR Doc. 2020–13905 Filed 6–26–20; 8:45 am] should be directed to Darrin King, PRA BILLING CODE 6351–01–P Officer, at (202) 435–9575, or email: [email protected]. If you require this DEPARTMENT OF DEFENSE document in an alternative electronic BUREAU OF CONSUMER FINANCIAL format, please contact CFPB_ Defense Acquisition Regulations PROTECTION [email protected]. Please do not System submit comments to these email boxes. [Docket No. CFPB–2020–0024] [Docket DARS–2019–0063; OMB Control SUPPLEMENTARY INFORMATION: Number 0750–0002] Agency Information Collection Title of Collection: Debt Collection Activities: Comment Request Validation Notice Qualitative Testing. Information Collection; Covered OMB Control Number: 3170–0022. Defense Telecommunications AGENCY: Bureau of Consumer Financial Type of Review: Request for approval Equipment or Services; Submission Protection. of a generic information collection for OMB Review; Comment Request ACTION: Notice and request for comment. under an existing Generic Information Collection Plan. AGENCY: Defense Acquisition SUMMARY: In accordance with the Affected Public: Individuals and Regulations System, Department of Paperwork Reduction Act of 1995 Households. Defense (DOD). (PRA), the Bureau of Consumer Estimated Number of Respondents: ACTION: Notice. Financial Protection (Bureau) is 400. publishing this notice seeking comment Estimated Total Annual Burden SUMMARY: The Defense Acquisition on a generic Information Collection Hours: 78. Regulations System has submitted to titled, ‘‘Debt Collection Validation Abstract: The Bureau plans to OMB for clearance, the following Notice Qualitative Testing’’ under the conduct cognitive interviews to assess proposal for extension of a collection of Generic Information Collection Plan the effectiveness and validate the information under the provisions of the entitled, ‘‘Generic Information performance of the Bureau’s model debt Paperwork Reduction Act. Collection Plan for the Development collection validation notices. The DATES: Consideration will be given to all and Testing of Disclosures and Related Bureau will collect information on how comments received by July 29, 2020. Materials’’ prior to requesting Office of consumers locate and use information SUPPLEMENTARY INFORMATION: Management and Budget’s (OMB’s) in the model notice, including: Title, Associated Form, and OMB approval of this collection. (1) Whether the consumer can locate Number: Defense Federal Acquisition DATES: Written comments are and use important information Regulation Supplement (DFARS); encouraged and must be received on or effectively, such as information about DFARS Part 204, Covered Defense

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Telecommunications Equipment or the provision at 252.204–7017, ACTION: Renewal of Federal Advisory Services; OMB Control Number 0750– Prohibition on the Acquisition of Committee. 0002. Covered Defense Telecommunications Affected Public: Businesses and other Equipment or Services—Representation, SUMMARY: The DoD is publishing this for-profit entities. and the clause at 252.204–2018, notice to announce that it is renewing Respondent’s Obligation: Required to Prohibition on Acquisition of Covered the charter for the Defense Business obtain or retain benefits. Defense Telecommunications Board (‘‘the Board’’). Type of Request: Extension of a Equipment or Services. FOR FURTHER INFORMATION CONTACT: Jim currently approved collection. This clearance covers the following Freeman, Advisory Committee Reporting Frequency: At least requirements: Management Officer for the Department annually. • DFARS 252.204–7016 requires the of Defense, 703–692–5952. Number of Respondents: 216,843. offeror to represent whether it does or SUPPLEMENTARY INFORMATION: The Responses per Respondent: 2. does not provide covered defense Board’s charter is being renewed in Annual Responses: 432,939. telecommunications equipment or accordance with the Federal Advisory Preparation Hours per Response services as a part of its offered products Committee Act (FACA) (5 U.S.C., (weighted average of the estimated or services to the Government in the Appendix) and 41 CFR 102–3.50(d). The hours to complete the representations, performance of any contract, charter and contact information for the the disclosure, and the report): 4.45 subcontract, or other contractual Board’s Designated Federal Officer hours instrument. (DFO) are found at https:// Annual Response Burden Hours: • DFARS 252.204–7017 requires that www.facadatabase.gov/FACA/apex/ 97,359. if an offeror provides an affirmative FACAPublicAgencyNavigation. A notice requesting that OMB provide representation under the provision at The Board shall examine and advise emergency clearance of collections of 252.204–7016, Covered Defense on DoD management, business information was published in the Telecommunications Equipment or processes, and governance from a Federal Register at 84 FR 69362, on Services—Representation, that offeror is private and academic sectors December 18, 2019. OMB authorized required to represent whether it will or perspective. The Board shall be emergency processing of an information will not provide under the contract, composed of no more than 25 members collection involved in this rule under covered defense telecommunications who possess one or more of the OMB Control Number 0750–0002. This equipment or services. following: (a) A proven track record of notice was published in conjunction • DFARS 252.204–7018 requires sound judgment and business acumen with pubication of an interim rule under contractors to report covered in leading or governing large, complex DFARS Case 2018–D022, Covered telecommunications equipment, public sector or private sector Defense Telecommunications systems and services identified during corporations or organizations or (b) a Equipment or Services, published on performance of a contract. wealth of top-level, global business or December 31, 2019, at 84 FR 72231. OMB Desk Officer: Comments and academic experience in the areas of Needs and Uses: The collection of recommendations on the proposed executive management, corporate information is necessary to protect information collection should be sent to governance, audit and finance, human against foreign interference with DoD Ms. Susan Minson, DoD Desk Officer, at resources, economics, technology, or telecommunications, which could [email protected]. Please healthcare. jeopardize our military identify the proposed information Board members who are not full-time communications, the lives of our collection by DoD Desk Officer and the or permanent part-time Federal civilian warfighters, and our national security. Docket ID number and title of the officers, employees, or active duty The collection of information is information collection. members of the Armed Forces will be essential to the mission of the agencies You may also submit comments, appointed as experts or consultants, to ensure DoD does not purchase identified by docket number and title, pursuant to 5 U.S.C. 3109, to serve as prohibited equipment, systems, and by the following method: special government employee members. services, and can respond appropriately Federal eRulemaking Portal: http:// Board members who are full-time or if any such purchases are not identified www.regulations.gov. Follow the permanent part-time Federal civilian until after delivery or use. instructions for submitting comments. officers, employees, or active duty This requirement supports DoD Clearance Officer: Requests for members of the Armed Forces will be implementation of section 1656(b) of the copies of the information collection appointed pursuant to 41 CFR 102– National Defense Authorization Act for proposal should be sent to Ms. Angela 3.130(a), to serve as regular government Fiscal Year 2018. Section 1656 prohibits James at whs.mc-alex.esd.mbx.dd-dod- employee members. DoD from procuring or obtaining, or [email protected]. All members of the Board are extending or renewing a contract to appointed to provide advice on the basis procure or obtain, any equipment, Jennifer Lee Hawes, of their best judgment without system, or service to carry out the Regulatory Control Officer, Defense representing any particular point of nuclear deterrence mission and Acquisition Regulations System. view and in a manner that is free from homeland defense mission that uses [FR Doc. 2020–13977 Filed 6–26–20; 8:45 am] conflict of interest. Except for covered telecommunications equipment BILLING CODE 5001–06–P reimbursement of official Board-related or services as a substantial or essential travel and per diem, members serve component of any system, or as critical without compensation. technology as a part of any system. DEPARTMENT OF DEFENSE The public or interested organizations This requirement is implemented in may submit written statements to the the Defense Federal Acquisition Office of the Secretary Board membership about the Board’s Regulation Supplement (DFARS) Charter Renewal of Department of mission and functions. Written through the provision at 252.204–7016, Defense Federal Advisory Committees statements may be submitted at any Covered Defense Telecommunications time or in response to the stated agenda Equipment or Services—Representation, AGENCY: Department of Defense (DoD). of planned meeting of the Board. All

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written statements shall be submitted to Room 5002, Potomac Center Plaza, accordance with section 437(d)(1) of the the DFO for the Board, and this Washington, DC 20202–5076. General Education Provisions Act individual will ensure that the written Telephone: (202) 245–7260. Email: (GEPA), 20 U.S.C. 1232(d)(1). statements are provided to the [email protected]. Or Kristen Absolute Priority: For FY 2020 and membership for their consideration. Rhinehart-Fernandez, U.S. Department any subsequent year in which we make Dated: June 23, 2020. of Education, 400 Maryland Avenue awards from the list of unfunded applications from this competition, this Aaron T. Siegel, SW, Room 5094, Potomac Center Plaza, Washington, DC 20202–5076. priority is an absolute priority. Under 34 Alternate OSD Federal Register Liaison CFR 75.105(c)(3), we consider only Officer, Department of Defense. Telephone: (202) 245–6103. Email: [email protected]. applications that meet this priority. [FR Doc. 2020–13881 Filed 6–26–20; 8:45 am] If you use a telecommunications This priority is: BILLING CODE 5001–06–P device for the deaf (TDD) or a text National Technical Assistance Center telephone (TTY), call the Federal Relay on Transition for Students and Youth Service (FRS), toll free, at 1–800–877– with Disabilities (Center). DEPARTMENT OF EDUCATION 8339. Background: Students and youth with disabilities Applications for New Awards; SUPPLEMENTARY INFORMATION: must be held to high expectations and Technical Assistance and Full Text of Announcement have the resources and supports needed Dissemination To Improve Services to expand their learning opportunities and Results for Children With I. Funding Opportunity Description and prepare them for success in Disabilities and Demonstration and Purpose of Programs: The purpose of postsecondary education or careers. Training Programs—National the Technical Assistance and This priority is aligned with the Technical Assistance Center on Dissemination to Improve Services and Secretary’s Final Supplemental Transition for Students and Youth with Results for Children with Disabilities Priorities and Definitions for Disabilities program is to promote academic Discretionary Grant Programs achievement and to improve results for (Supplemental Priorities) published in AGENCY: Office of Special Education and children with disabilities by providing the Federal Register on March 2, 2018 Rehabilitative Services, Department of TA, supporting model demonstration (83 FR 9096) and is designed to foster Education. projects, disseminating useful flexible and affordable paths to ACTION: Notice. information, and implementing obtaining knowledge and skills; foster activities that are supported by knowledge and promote the SUMMARY: The Department of Education scientifically based research. development of skills that prepare is issuing a notice inviting applications The purpose of the Demonstration students to be informed, thoughtful, and for new awards for fiscal year (FY) 2020 and Training program is to provide productive individuals and citizens; and for the National Technical Assistance competitive grants, including meet the unique needs of students and Center on Transition for Students with cooperative agreements, to, or enter into children with disabilities and those Disabilities (Center), Catalog of Federal contracts with, eligible entities to with unique gifts and talents. This Domestic Assistance (CFDA) number expand and improve the provision of priority also is designed to prepare 84.326E, to assist States in their work to vocational rehabilitation (VR) and other students for successful transitions to improve outcomes for students and services authorized under the college and careers by improving access youth with disabilities based on their Rehabilitation Act of 1973, as amended to career, technical, and adult education particular needs. To achieve this by title IV of the Workforce Innovation (CTE) and exploring options, such as purpose, the Center will engage in and Opportunity Act (WIOA) dual enrollment, that facilitate partnerships with parents, families, and (Rehabilitation Act), or to further the transition from secondary school to diverse stakeholders and empower purposes and policies in sections 2(b) postsecondary education and workforce States to pursue innovation. Further, the and (c) of the Rehabilitation Act by job skills development; to prepare Center will be required to customize its supporting activities that increase the students for high-quality science, technical assistance (TA) to meet each provision, extent, availability, scope, technology, engineering, and State’s specific, identified needs. This and quality of rehabilitation services mathematics (STEM) education with a notice relates to the approved under the Rehabilitation Act, including particular focus on computer science; 1 information collection under OMB related research and evaluation and provide students with equal access control number 1820–0028. activities. to high-quality educational DATES: Priority: This notice includes one opportunities. Applications Available: June 29, 2020. absolute priority. For the Technical The IDEA and the Elementary and Deadline for Transmittal of Assistance and Dissemination to Secondary Education Act of 1965, as Applications: August 28, 2020. Improve Services and Results for amended (ESEA), provide States ADDRESSES: For the addresses for Children with Disabilities program, in flexibility with the design of their obtaining and submitting an accordance with 34 CFR 75.105(b)(2)(v), educational systems and other application, please refer to our Common the absolute priority is from allowable provisions to support and promote Instructions for Applicants to activities specified in sections 663 and college and career readiness for Department of Education Discretionary 681(d) of the Individuals with students, including those with Grant Programs, published in the Disabilities Education Act (IDEA) (20 disabilities (English et al., 2016). Under Federal Register on February 13, 2019 U.S.C. 1463 and 1481(d)). For the ESEA, States need to ensure students (84 FR 3768) and available at Demonstration and Training program, www.govinfo.gov/content/pkg/FR-2019- we are also establishing this priority for 1 STEM is also a national priority. For more 02-13/pdf/2019-02206.pdf. the FY 2020 grant competition and any details, see ‘‘Charting A Course For Success: FOR FURTHER INFORMATION CONTACT: America’s Strategy For STEM Education,’’ subsequent year in which we make www.whitehouse.gov/wp-content/uploads/2018/12/ Selete Avoke, U.S. Department of awards from the list of unfunded STEM-Education-Strategic-Plan-2018.pdf Education, 400 Maryland Avenue SW, applications from this competition, in (December 2018).

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with disabilities, especially those with 9 entities (the freely associated States, 173,709 students and youth with significant disabilities, are not the outlying areas, Puerto Rico, and the disabilities were referred for VR services prevented from working toward a Bureau of Indian Education) (18 in program year (PY) 2018 (July 1, regular high school diploma that allows percent) reported 100 percent 2018—June 30, 2019). During this them to pursue college and career compliance with Indicator 13 period, 61 percent were referred by opportunities (Thurlow et al., 2016). requirements.3 As an IDEA requirement, educational institutions, while 39 Similarly, the Rehabilitation Act all States are expected to report 100 percent were referred by other referral emphasizes career readiness and high- percent compliance. sources (e.g., self-referrals, family/ quality outcomes for students and youth Similarly, State VR agencies and their friends, employers). As there were with disabilities. With the passage of partners must meet requirements 413,353 students ages 14 to 21 who WIOA, the differences in how education established in the Rehabilitation Act for received services under IDEA in school agencies and VR agencies define and the provision of services to students and year 2016–17, the percentage of referrals provide transition and pre-employment youth with disabilities to ensure they from educational institutions represents transition services became more have opportunities to receive training only a small fraction of those students evident. For example, transition services and other services necessary to achieve with disabilities who were potentially are available to eligible students and competitive integrated employment. eligible or eligible for VR services. youth with disabilities under an More specifically, the Rehabilitation As demonstrated by the data approved individualized plan for Act, as amended by WIOA, expands described above, there continues to be a employment. Pre-employment transition both the population of students with need for increased support to VR services are available to all students disabilities who may receive services agencies and LEAs both in identifying with disabilities who are potentially and the kinds of services that the VR potentially eligible and eligible students eligible and eligible for VR services. As agencies may provide to students and for VR services and providing those a result, State educational agencies youth with disabilities who are services. During PY 2018 alone,5 VR (SEAs), local educational agencies transitioning from school to agencies reported that 248,676 students (LEAs), and State VR agencies and their postsecondary education and with disabilities received pre- partners continue to examine their roles employment. The Rehabilitation Act employment transition services and responsibilities and identify ways also increases opportunities for students arranged for or provided by the VR to ensure that transition services and and youth with disabilities to practice program. Of this number, 138,120 were pre-employment transition services are and improve workplace skills, such as students with disabilities potentially coordinated in an efficient and effective through internships and other work- eligible for VR services, and 110,556 manner. Notwithstanding these based learning opportunities. were students with disabilities who requirements, States need assistance in Under the Rehabilitation Act, State applied for VR services, were implementing these transition services. VR agencies are required to reserve and determined eligible, and received pre- The IDEA requires States to report expend not less than 15 percent of the employment transition services. This data through their IDEA Part B State Federal VR grant award to provide, or data represents a small fraction of the Performance Plan/Annual Performance arrange for the provision of, (a) pre- total number of potentially eligible 2 Report (SPP/APR) on Indicator 13, employment transition services for students who could benefit from pre- which is the percentage of youth ages 16 students with disabilities transitioning employment transition services. Not and above with individualized from school to postsecondary education only could more students with education programs (IEPs) that include programs and employment, and (b) disabilities receiving special education appropriate measurable postsecondary coordinate the provision of pre- services be potentially eligible for pre- goals. The postsecondary goals are employment transition services with employment transition services, but also updated annually and are based upon LEAs. These requirements have fostered an additional number of students who age-appropriate transition assessments significant increases in communication have disabilities as described in Section related to training, education, and collaboration between State VR 504 of the Rehabilitation Act of 1973, as employment, and, where appropriate, agencies and LEAs, particularly amended, could be potentially eligible. independent living skills. The IEP must regarding the provision of pre- Department funds must be awarded also include transition services employment transition services for and projects must be operated in a (including courses of study) needed to students with disabilities. However, manner consistent with assist the student in reaching those even in States that have a history of nondiscrimination requirements postsecondary goals. States also must collaboration among SEAs, LEAs, and contained in the U.S. Constitution and provide evidence that each student was VR agencies, the depth of collaboration Federal civil rights laws. invited to the IEP Team meeting where required to define responsibilities and transition services were to be discussed align service implementation is a Priority and evidence that, if appropriate, a continuing challenge. The purpose of this priority is to fund representative of any participating LEAs and schools, including charter a cooperative agreement to establish and agency was invited to the IEP Team schools, continue to need TA to operate a National Technical Assistance meeting with the prior consent of the coordinate, implement, and provide pre- Center on Transition for Students and parent or student who has reached the employment transition services and Youth with Disabilities (Center). The age of majority. For Federal fiscal year IDEA transition services. According to Center will assist SEAs, LEAs, State VR (FFY) 2017–2018, only 11 out of the 50 the Case Service Report (RSA–911),4 agencies, and other VR and special States, the District of Columbia, and the education and related service providers 3 See https://osep.grads360.org/#program/spp- to implement effective practices and 2 The IDEA Part B SPP/APR Indicator 13 is based apr-resources. strategies that ensure that students and on the monitoring priority in 20 U.S.C. 4 RSA uses data collected through the Case youth with disabilities, including those 1416(a)(3)(B). More information on the indicator Service Report (RSA–911)(OMB control number and other SPP/APR indicators can be found in the 1820–0508) for the State VR Services Program and IDEA Part B SPP/APR Indicator Measurement the State Supported Employment (SE) Services and the President as required by sections 13 and Table, at https://osep.grads360.org/#communities/ Program to describe the performance of the VR and 101(a)(10) of the Rehabilitation Act. pdc/documents/18303. SE programs in the Annual Report to the Congress 5 RSA–911.

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with significant disabilities, graduate VR agencies, and other VR service services, CTE, vocational education and from high school with the knowledge, providers to inform and improve the training, dropout prevention, secondary skills, and supports needed for provision of services for students with transition, apprenticeship, and college postsecondary education, training, and disabilities; and careers; employment. In addition to in-person (g) Increased capacity of SEAs, LEAs, (ii) Demonstrate knowledge of services, the Center must offer and State VR agencies to collect and exemplary transition activities, appropriate remote environment evaluate data on the effectiveness of including pre-employment transition methodologies for these services in light services for students and youth with services, and career pathway models of the COVID–19 pandemic. The Center disabilities; that will assist SEAs, LEAs, State VR must achieve, at a minimum, the (h) Increased capacity of States to agencies, and other VR service following expected outcomes: design and implement a State-designed providers, in improving post-school (a) Improved development and alternative diploma where appropriate; outcomes for students with disabilities; implementation of, and compliance (i) Increased implementation of (iii) Demonstrate knowledge of with, interagency agreements between effective dropout prevention models current State VR agency and other SEAs, LEAs, and State VR agencies. and practices to increase school efforts to improve engagement with These interagency agreements address completion and graduation; secondary schools, charter schools, (j) Increased implementation of data sharing, fiscal and programmatic youth programs, and other programs transition services and pre-employment roles and responsibilities related to the that provide services to youth with transition services within a multi-tiered provision of pre-employment transition disabilities for the purpose of assisting systems of support (MTSS) framework services, and transition services and such youth to enter postsecondary (i.e., how schools can implement the other VR services; education or competitive integrated predictors and practices for post-school (b) Increased SEA and State VR employment; and agency capacity to provide TA and outcomes in an MTSS framework); (k) Increased implementation of (iv) Present applicable national and professional development to LEAs and transition services and pre-employment State data demonstrating the training VR service providers to implement pre- transition services for high-risk students needs of SEAs, LEAs, State VR agencies, employment transition services that with disabilities (e.g., students with the and other VR service providers to lead to post-secondary education, most significant disabilities, students in implement exemplary practices and training, and employment; strategies that will reduce high- school (c) Improved SEA, LEA, and State VR foster care, military-connected students and youth, youth involved with the dropout rates and facilitate the agency capacity to implement with transition to college and careers for fidelity evidence-based transition juvenile justice system, and youth who are homeless or using or abusing students with disabilities; services; (2) Demonstrate knowledge of high- (d) Improved SEA, LEA, and State VR controlled substances); and (l) Improved referral and application risk populations including students agency capacity to implement career with the most significant disabilities, pathways including work-based processes that facilitate parental involvement and consent for the students in foster care, military- learning experiences, internships, and connected students and youth, youth pre-apprenticeship and apprenticeship provision of services. In addition to applicants achieving involved with the juvenile justice activities for students and youth with the expected outcomes described above, system, and youth who are homeless or disabilities, including those with the to be considered for funding under the using or abusing controlled substances; most significant disabilities and those absolute priority, applicants must also and living in rural areas; meet the following application and (3) Demonstrate knowledge of (e) Increased SEA, LEA, and State VR administrative requirements, which are: effective means to improve agency capacity and collaboration to (a) Demonstrate, in the narrative communication and engagement among improve students with disabilities’ section of the application under students in public and nonpublic access to, and participation in, CTE that ‘‘Significance of the project,’’ how the schools, parents, families, education leads to occupations that require proposed project will— professionals, employers, and SEA, licenses or certification; (1) Address training and information LEA, and VR personnel to enhance (f) Increased use of data sharing collaboration and improve the post- 6 needs, gaps or weaknesses of SEAs, agreements among SEAs, LEAs, State LEAs, State VR agencies, and other VR school outcomes of students with service providers, including those disabilities. 6 Applicants must ensure the confidentiality of individual student data, consistent with the located in rural areas, to implement (b) Demonstrate, in the narrative Confidentiality of Information regulations under practices and strategies that will section of the application under both part B and part C of IDEA, which incorporate promote collaboration among agency ‘‘Quality of the project services,’’ how requirements and exceptions under section 444 of personnel, prevent students with the proposed project will— the General Education Provisions Act (20 U.S.C. 1232g), commonly known as the ‘‘Family disabilities from dropping out of school, (1) Ensure equal access and treatment Educational Rights and Privacy Act’’ (FERPA), but and facilitate the transition from for members of groups that have also include several provisions that are specifically secondary school to college and careers. traditionally been underrepresented related to children with disabilities receiving To meet this requirement, the applicant based on race, color, national origin, services under IDEA and provide protections beyond the FERPA regulations. Therefore, must— gender, age, or disability. examining the IDEA requirements first is the most (i) Demonstrate knowledge of new To meet this requirement, the effective and efficient way to meet the requirements and emerging issues and TA needs applicant must describe how it will— of both IDEA and FERPA for children with related to pre-employment transition (i) Identify the needs of the intended disabilities. Applicants should also be aware of State laws or regulations concerning the services, transition services, other VR recipients for TA and information; and confidentiality of individual records. See (ii) Ensure that services and products www2.ed.gov/policy/gen/guid/ptac/pdf/idea- are encouraged to review the final FERPA meet the needs of the intended ferpa.pdf and studentprivacy.ed.gov/resources/ regulations published on December 2, 2011 (76 FR recipients of the grant; ferpaidea-cross-walk. Final FERPA regulatory 75604). Questions can be directed to the Student changes became effective January 3, 2012, and Privacy Policy Office (www.ed.gov/fpco) at (202) (2) Achieve its goals, objectives, and include requirements for data sharing. Applicants 260–3887 or [email protected]. intended outcomes. To meet this

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requirement, the applicant must (iii) How the proposed project will (B) Its proposed approach to measure provide— incorporate current research and readiness of potential TA recipients to (i) A plan for how the Center proposes practices in the development and work with the project, assessing, at a to communicate, collaborate, and delivery of its products and services minimum, their current infrastructure, coordinate, on an ongoing basis with (section 101(a)(11)(D) of the available resources, and ability to build Parent Training and Information (PTI) Rehabilitation Act); capacity at the local level; and centers funded under sections 671 and (5) Develop new products or refine or (iv) Its proposed approach to 681(d) of IDEA and the PTI centers and update publicly available existing intensive, sustained TA,10 which must a national Center funded under section products and provide services that are identify— 303(c) of the Rehabilitation Act, as well of high quality and sufficient intensity (A) The intended recipients, as other Department-funded projects and duration to achieve the intended including the type and number of and those supported by other Federal outcomes of the proposed project recipients, that will receive the products agencies, including those funded by the (sections 103(a) and 113(d)(3) of the and services, a description of new or Department of Health and Human Rehabilitation Act). To address this existing publicly available products that Services, Administration on Community requirement, the applicant must may be used and services that the Living, as appropriate, and a description describe— Center proposes to make available, and of how the Center will evaluate the (i) How it proposes to identify or the expected impact of those products effectiveness of its coordination and develop the knowledge base on and services under this approach; collaboration; supporting students with disabilities to (ii) Measurable intended project stay in school, receive effective (B) Its proposed approach to measure outcomes; and transition services, pre-employment the readiness of SEAs, LEAs, State VR (iii) In Appendix A, the logic model 7 transition services and VR services, agencies, and other VR service providers by which the proposed project will CTE, and vocational education, and to to work with the project, including their achieve its intended outcomes that be prepared for college and careers, commitment to the initiative, alignment depicts, at a minimum, the goals and including in STEM fields; of the initiative to their needs, and how they will be measured, activities, (ii) Its proposed approach to ability to build capacity, and implement outputs, and intended project outcomes universal, general TA,8 which must and sustain TA at the local, district, or of the proposed project; identify the intended recipients, State level); (3) Use a conceptual framework (and including the type and number of (C) Its proposed plan for assisting provide a copy in Appendix A) to recipients, that will receive the products SEAs, LEAs, State VR agencies, and develop project plans and activities, and services, a description of new or other VR service providers to build and describing any underlying concepts, existing publicly available products that sustain training systems that include assumptions, expectations, beliefs, or may be used and services that the professional development based on theories, as well as the presumed Center proposes to make available, and adult learning principles and coaching; relationships or linkages among these the expected impact of those products and variables, and any empirical support for and services under this approach; and (D) Its proposed plan for working with this framework; (iii) Its proposed approach to targeted, appropriate levels of the education and 9 Note: The following websites provide specialized TA, which must identify— VR system (e.g., SEAs, LEAs State VR more information on logic models and (A) The intended recipients, agencies, VR service providers, CTE and conceptual frameworks: including the type and number of vocational education charter schools, www.osepideasthatwork.org/logicModel recipients, that will receive the products private industry, employers, Health and and www.osepideasthatwork.org/ and services, a description of new or Human Services personnel, Department resources-grantees/program-areas/ta-ta/ existing publicly available products that of Labor personnel, dropout prevention tad-project-logic-model-and-conceptual- may be used and services that the specialists, transition-related framework; Center proposes to make available, and professionals, postsecondary education (4) Be based on current research on the expected impact of those products professionals, regional TA providers, the most effective ways to prepare and services under this approach; and parents and families) to ensure that students with disabilities to participate there is communication between each in transition services, pre-employment 8 ‘‘Universal, general TA’’ means TA and transition services, other VR services, information provided to independent users through level and that there are systems in place college, CTE, vocational education, and their own initiative, resulting in minimal to support the use of effective transition interaction with TA center staff and including one- careers. To meet this requirement, the practices from school to college and time, invited or offered conference presentations by careers. applicant must describe— TA center staff. This category of TA also includes (i) The current research on the most information or products, such as newsletters, (6) Develop products and implement effective ways to prepare students with guidebooks, or research syntheses, downloaded services that maximize efficiency. To from the TA center’s website by independent users. address this requirement, the applicant disabilities for successful post-school Brief communications by TA center staff with outcomes; recipients, either by telephone or email, are also must describe— (ii) The current research about adult considered universal, general TA. (i) How the proposed project will use learning principles and implementation 9 ‘‘Targeted, specialized TA’’ means TA services technology to achieve the intended science that will inform the proposed based on needs common to multiple recipients and project outcomes; not extensively individualized. A relationship is TA (section 101(a)(11)(D) of the established between the TA recipient and one or Rehabilitation Act); and more TA center staff. This category of TA includes 10 ‘‘Intensive, sustained TA’’ means TA services one-time, labor-intensive events, such as facilitating often provided on-site and requiring a stable, 7 ‘‘Logic model’’ (also referred to as a theory of strategic planning or hosting regional or national ongoing relationship between the TA center staff action) means a framework that identifies key conferences. It can also include episodic, less labor- and the TA recipient. ‘‘TA services’’ are defined as project components of the proposed project (i.e., the intensive events that extend over a period of time, negotiated series of activities designed to reach a active ‘‘ingredients’’ that are hypothesized to be such as facilitating a series of conference calls on valued outcome. This category of TA should result critical to achieving the relevant outcomes) and single or multiple topics that are designed around in changes to policy, program, practice, or describes the theoretical and operational the needs of the recipients. Facilitating operations that support increased recipient capacity relationships among the key project components communities of practice can also be considered or improved outcomes at one or more systems and relevant outcomes. targeted, specialized TA. levels.

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(ii) With whom the proposed project application consistent with the revised and achieve the project’s intended will collaborate and the intended logic model and using the most rigorous outcomes; outcomes of this collaboration; and design suitable (e.g., prepare evaluation (3) The applicant and any key (iii) How the proposed project will questions about significant program partners have adequate resources to use non-project resources to achieve the processes and outcomes; develop carry out the proposed activities; and intended project outcomes; and quantitative or qualitative data (4) The proposed costs are reasonable (7) Develop a dissemination plan that collections that permit both the in relation to the anticipated results and describes how the applicant will collection of progress data, including benefits. systematically distribute information, fidelity of implementation, as (e) Demonstrate, in the narrative products, and services to varied appropriate, and the assessment of section of the application under intended audiences, using a variety of project outcomes; and identify analytic ‘‘Quality of the management plan,’’ dissemination strategies, to promote strategies); and how— awareness and use of the Center’s (iii) Revise the evaluation plan (1) The proposed management plan products and services. submitted in the application such that it will ensure that the project’s intended (c) In the narrative section of the clearly— outcomes will be achieved on time and application under ‘‘Quality of the (A) Specifies the evaluation questions, within budget. To address this project evaluation,’’ include an measures, and associated instruments or requirement, the applicant must evaluation plan for the project as sources for data appropriate to answer describe— described in the following paragraphs. these questions, suggests analytic (i) Clearly defined responsibilities for The evaluation plan must describe: strategies for those data, provides a key project personnel, partners, subject measures of progress in implementation, timeline for conducting the evaluation, matter experts, and contractors, as including the criteria for determining and includes staff assignments for applicable; and the extent to which the project’s completing the evaluation activities; (ii) Timelines and milestones for products and services have met the (B) Delineates the data expected to be accomplishing the project tasks; goals for reaching its target population; available by the end of the second (2) Key project personnel and any measures of intended outcomes or project year for use during the project’s consultants and subcontractors will be results of the project’s activities in order evaluation (3+2 review) for continued allocated and how these allocations are to evaluate those activities; and how funding described under the heading appropriate and adequate to achieve the project’s intended outcomes; well the goals or objectives of the Fourth and Fifth Years of the Project; (3) The proposed management plan proposed project, as described in its and will ensure that the products and logic model, have been met. The (C) Can be used to assist the project services provided are of high quality, applicant also must include a proposed director and the OSEP and RSA project plan for collecting baseline, targeted, relevant, and useful to recipients; and officers, with the assistance of CIPP, as (4) The proposed project will benefit and outcome data for each intensive TA needed, to specify the project site. from a diversity of perspectives, performance measures to be addressed including those of parents and families, The applicant must provide an in the project’s annual performance assurance that, in designing the educators in public and nonpublic report; schools, TA providers, researchers, and evaluation plan, it will— (2) Dedicate sufficient staff time and policy makers, among others, in its (1) Designate, with the approval of the other resources during the first six OSEP and RSA project officers, a project development and operation. months of the project to cooperate with (f) Address the following application liaison with sufficient dedicated time, CIPP staff, including regular meetings experience in evaluation, and requirements. The applicant must— (e.g., weekly, biweekly, or monthly) (1) Include, in Appendix A, knowledge of the project to work in with CIPP and the OSEP and RSA collaboration with the Center to personnel-loading charts and timelines, project officers, in order to accomplish as applicable, to illustrate the Improve Program and Project the tasks described in paragraph (c)(1) of 11 management plan described in the Performance (CIPP), the project this section; and director, and the OSEP project officer on narrative; (3) Dedicate sufficient funds in each (2) Include, in the budget, attendance the following tasks: budget year to cover the costs of (i) Revise the logic model submitted at the following: carrying out the tasks described in (i) A two-day kick-off meeting in in the application to provide for a more paragraphs (c)(1) and (2) of this section Washington, DC, after receipt of the comprehensive measurement of and revising and implementing the award, and an annual planning meeting, implementation and outcomes and to evaluation plan. Please note in your with the OSEP and RSA project officers reflect any changes or clarifications to budget narrative the funds dedicated for and other relevant staff during each the model discussed at the kick-off this activity. subsequent year of the project period. meeting; (d) Demonstrate, in the narrative Note: Within 30 days of receipt of the (ii) Refine the evaluation design and section of the application under award, a post-award teleconference instrumentation proposed in the ‘‘Adequacy of project resources,’’ how— must be held between the OSEP and (1) The proposed project will 11 RSA project officers and the grantee’s The major tasks of CIPP are to guide, encourage applications for employment coordinate, and oversee the design of formative project director or other authorized evaluations for every large discretionary investment from persons who are members of representative; (i.e., those awarded $500,000 or more per year and groups that have traditionally been (ii) A two and one-half day OSEP required to participate in the 3+2 process) in underrepresented based on race, color, project directors’ conference in OSEP’s Technical Assistance and Dissemination; Personnel Development; Parent Training and national origin, gender, age, or Washington, DC, during each year of the Information Centers; and Educational Technology, disability, as appropriate; project period; Media, and Materials programs. The efforts of CIPP (2) The proposed key project (iii) Three annual two-day trips to are expected to enhance individual project personnel, consultants, and attend Department briefings, evaluation plans by providing expert and unbiased subcontractors have the qualifications TA in designing the evaluations with due Department-sponsored conferences, and consideration of the project’s budget. CIPP does not and experience, including knowledge of other meetings, as requested by OSEP function as a third-party evaluator. VR, to carry out the proposed activities and RSA; and

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(iv) A two-day intensive 3+2 review (b) The timeliness with which, and Government wide Debarment and meeting during the second year of the how well, the requirements of the Suspension (Nonprocurement) in 2 CFR project period; negotiated cooperative agreement have part 180, as adopted and amended as (3) Include, in the budget, a line item been or are being met by the project; and regulations of the Department in 2 CFR for an annual set-aside of five percent of (c) The quality, relevance, and part 3485. (c) The Uniform OSEP’s portion of the grant amount to usefulness of the project’s products and Administrative Requirements, Cost support emerging needs that are services and the extent to which the Principles, and Audit Requirements for consistent with the proposed project’s project’s products and services are Federal Awards in 2 CFR part 200, as intended outcomes, as those needs are aligned with the project’s objectives and adopted and amended as regulations of identified in consultation with, and likely to result in the project achieving the Department in 2 CFR part 3474. (d) approved by, the OSEP project officer. its intended outcomes. The following definitions from 34 CFR With approval from the OSEP project References: part 361 apply: (1) ‘‘transition services’’ officer, the project must reallocate any English, D., Rasmussen, J., Cushing, E., & (34 CFR 361.5(c)(55)); (2) ‘‘pre- remaining funds from this annual set- Therriault, S. (2016). Leveraging Every employment transition services’’ (34 aside no later than the end of the third Student Succeeds Act to support state CFR 361.5(c)(42) and 361.48(a)); (3) ‘‘VR quarter of each budget period; visions for college and career readiness. services’’ (34 CFR 361.48(b)); (4) (4) Maintain a high-quality website, College and Career Readiness and ‘‘student with a disability’’ (34 CFR with an easy-to-navigate design, that Success Center. https://ccrscenter.org/ sites/default/files/AskCCRS_ 361.5(c)(51)); (5) ‘‘youth with disability’’ meets government or industry- (34 CFR 361.5(c)(58)); (6) ‘‘competitive recognized standards for accessibility LeveragingESSA.pdf. Thurlow, M., Test, D., Lazarus, S., Klare, M., integrated employment’’ (34 CFR including section 508 of the & Fowler, C. (2016). Considerations for 361.5(c)(9)); (7) ‘‘supported Rehabilitation Act. In meeting this developing state-defined alternate employment’’ (34 CFR 361.5(c)(53)); and requirement, applicants may develop diplomas for students with significant (8) ‘‘customized employment’’ (34 CFR new platforms or systems or may cognitive disabilities. University of 361.5(c)(11)). (e) The regulations in 34 modify existing platforms or systems, so Minnesota, National Center on CFR part 373 (Rehabilitation National long as the requirements of this priority Educational Outcomes; and University of North Carolina Charlotte, National Activities Program). (f) The regulations are met; in 48 CFR part 31 (Contract Cost (5) Ensure that annual progress Technical Assistance Center on Transition. Principles and Procedures). toward meeting project goals is posted Waiver of Proposed Rulemaking: Note: The regulations in 34 CFR part on the project website; 79 apply to all applicants except (6) Disseminate grant products, Under the Administrative Procedure Act (APA) (5 U.S.C. 553) the Department federally recognized Indian Tribes. information about targeted and Note: The regulations in 34 CFR part generally offers interested parties the universal TA activities, such as 86 apply to institutions of higher opportunity to comment on proposed webinars and other relevant education (IHEs) only. information, to a wide audience, as well priorities. Under the Technical as RSA’s National Clearinghouse of Assistance and Dissemination to II. Award Information Rehabilitation Training Materials Improve Services and Results for Type of Award: Cooperative (NCRTM) at www.ncrtm.ed.gov. The Children with Disabilities program, agreement. NCRTM is RSA’s central repository for section 681(d) of IDEA makes the public Estimated Available Funds: maintaining and sharing training and comment requirements of the APA $4,100,000 TA materials for the VR community; inapplicable to the priority in this Rehabilitation Act funds: $2,000,000. and notice. Under the Demonstration and IDEA funds: $2,100,000. (7) Include, in Appendix A, two Training program, section 437(d)(1) of Note: Applicants must address assurances. The first assurance is to GEPA allows the Secretary to exempt regulations outlining funding assist OSEP and RSA with the transfer from rulemaking requirements restrictions referenced in the Applicable of pertinent resources and products and regulations governing the first grant Regulations section of this notice, in to maintain the continuity of services to competition under a new or Part III Eligibility Determination, and in TA recipients during the transition to substantially revised program authority. Part IV Application Submission this new award period and at the end of This is the first grant competition for Information of this notice. Applicants this award period, as appropriate. The this program under section 29 U.S.C. must submit an ED–524 budget form second assurance is to ensure the 773(b)(5)(A) of the Rehabilitation Act and include a budget narrative in the applicant will track and report IDEA and therefore qualifies for this application specific to IDEA funding. and Rehabilitation Act funds separately. exemption. In order to ensure timely Applicants must also submit an ED–524 Please refer to the Funding Restrictions grant awards, the Secretary has decided budget form and include a budget section of the notice for more to forgo public comment on the priority narrative in the application specific to information about preparing the budget. under section 437(d)(1) of GEPA. This Rehabilitation Act funding. Fourth and Fifth Years of the Project: priority will apply to the FY 2020 grant Maximum Award: We will not make In deciding whether to continue competition and any subsequent year in an award exceeding $4,100,000 for a funding the project for the fourth and which we make awards from the list of single budget period of 12 months. fifth years, the Secretary will consider unfunded applications from this Estimated Number of Awards: 1. the requirements of 34 CFR 75.253(a), as competition. Note: The Department is not bound by well as— Program Authorities: 20 U.S.C. 1463 any estimates in this notice. (a) The recommendation of a 3+2 and 1481; 29 U.S.C. 709(c) and 773(b). Project Period: Up to 60 months. review team consisting of experts Applicable Regulations: (a) The selected by the Secretary. This review Education Department General III. Eligibility Information will be conducted during a two-day Administrative Regulations in 34 CFR 1. Eligible Applicants: SEAs; LEAs, intensive meeting that will be held parts 75, 77, 79, 81, 82, 84, 86, 97, 98, including public charter schools that during the last half of the second year and 99. (b) The Office of Management operate as LEAs under State law; IHEs; of the project period; and Budget Guidelines to Agencies on other public agencies; private nonprofit

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organizations; freely associated States Center on Transition for Students and (i) The extent to which specific gaps and outlying areas; Indian Tribes or Youth with Disabilities your application or weaknesses in services, Tribal organizations; and for-profit may include business information that infrastructure, or opportunities have organizations. you consider proprietary. In 34 CFR been identified and will be addressed by 2. Cost Sharing or Matching: There is 5.11 we define ‘‘business information’’ the proposed project, including the no requirement for cost sharing or and describe the process we use in nature and magnitude of those gaps or matching. determining whether any of that weaknesses. 3. Subgrantees: Under 34 CFR information is proprietary and, thus, (ii) The importance or magnitude of 373.23(b), a grantee may not make a protected from disclosure under the results or outcomes likely to be subgrant under the Rehabilitation Exemption 4 of the Freedom of attained by the proposed project. National Activities Program. However, a Information Act (5 U.S.C. 552, as (b) Quality of project services (35 grantee may contract for supplies, amended). Because we plan to make points). equipment, and other services, in successful applications available to the (1) The Secretary considers the accordance with 2 CFR part 200 public, you may wish to request quality of the services to be provided by (Uniform Administrative Requirements, confidentiality of business information. the proposed project. Cost Principles, and Audit Consistent with Executive Order 12600, (2) In determining the quality of the Requirements for Federal Awards) as please designate in your application any services to be provided by the proposed project, the Secretary considers the adopted at 2 CFR part 3474. Therefore, information that you believe is exempt quality and sufficiency of strategies for the grantee may not use Rehabilitation from disclosure under Exemption 4. In ensuring equal access and treatment for Act funds to award subgrants. Under 34 the appropriate Appendix section of eligible project participants who are CFR 75.708(b) and (c), a grantee under your application, under ‘‘Other members of groups that have this competition may award subgrants Attachments Form,’’ please list the page traditionally been underrepresented using IDEA funds to directly carry out number or numbers on which we can based on race, color, national origin, project activities described in its find this information. For additional gender, age, or disability. application and authorized under the information please see 34 CFR 5.11(c). IDEA to the following types of entities: (3) In addition, the Secretary 3. Intergovernmental Review: This considers the following factors: IHEs and private nonprofit competition is subject to Executive organizations suitable to carry out the (i) The extent to which the goals, Order 12372 and the regulations in 34 objectives, and outcomes to be achieved activities proposed in the application CFR part 79. However, under 34 CFR and authorized under the IDEA. The by the proposed project are clearly 79.8(a), we waive intergovernmental specified and measurable. grantee may award subgrants using review in order to make an award by the (ii) The extent to which there is a IDEA funds to entities it has identified end of FY 2020. conceptual framework underlying the in an approved application. 4. Funding Restrictions: Regulations proposed research or demonstration 4. Other General Requirements: outlining funding restrictions are (a) Recipients of funding under this activities and the quality of that referenced in the Applicable competition must make positive efforts framework. Regulations section of this notice. (iii) The extent to which the services to employ and advance in employment to be provided by the proposed project qualified individuals with disabilities Under 34 CFR 373.23(b), the grantee reflect up-to-date knowledge from (see section 606 of IDEA; 20 U.S.C. is not permitted to subgrant using Rehabilitation Act funds. research and effective practice. 1405). (iv) The extent to which the training (b) Applicants for, and recipients of, Under 34 CFR 373.22(a), indirect cost or professional development services to funding must, with respect to the reimbursement for grants under the Rehabilitation National Activities be provided by the proposed project are aspects of their proposed project of sufficient quality, intensity, and relating to the absolute priority, involve program is limited to the recipient’s actual indirect costs, as determined by duration to lead to improvements in individuals with disabilities, or parents practice among the recipients of those of individuals with disabilities ages its negotiated indirect cost rate agreement, or 10 percent of the total services. birth through 26, in planning, (v) The extent to which the TA implementing, and evaluating the direct cost base, whichever amount is less. This requirement only applies to services to be provided by the proposed project (see section 682(a)(1)(A) of project involve the use of efficient IDEA; 20 U.S.C. 1482). the Rehabilitation Act funds. Eligible entities can apply their negotiated strategies, including the use of IV. Application and Submission indirect cost rate for the IDEA funds. technology, as appropriate, and the Information Under 34 CFR 373.22(c), the 10 leveraging of non-project resources. (vi) The adequacy of mechanisms for percent limit on indirect cost 1. Application Submission ensuring high-quality products and reimbursement for the Rehabilitation Instructions: Applicants are required to services from the proposed project. follow Common Instructions for Act funds does not apply to federally (c) Quality of the project evaluation Applicants to Department of Education recognized Indian Tribal governments (20 points). Discretionary Grant Programs, and their Tribal representatives. (1) The Secretary considers the published in the Federal Register on V. Application Review Information quality of the evaluation to be February 13, 2019 (84 FR 3678) and conducted of the proposed project. available at www.govinfo.gov/content/ 1. Selection Criteria: The selection (2) In determining the quality of the pkg/FR-2019-02-13/pdf/2019-02206.pdf, criteria for this competition are from 34 evaluation, the Secretary considers the which contain requirements and CFR 75.210 and are as follows: following factors: information on how to submit an (a) Significance (10 points). (i) The extent to which the methods application. (1) The Secretary considers the of evaluation are thorough, feasible, and 2. Submission of Proprietary significance of the proposed project. appropriate to the goals, objectives, and Information: Given the types of projects (2) In determining the significance of outcomes of the proposed project. that may be proposed in applications for the proposed project, the Secretary (ii) The extent to which the methods the National Technical Assistance considers the following factors: of evaluation provide for examining the

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effectiveness of project implementation (i) The adequacy of the management applicants will not have conflicts of strategies. plan to achieve the objectives of the interest. It also will increase the quality, (iii) The extent to which the methods proposed project on time and within independence, and fairness of the of evaluation will provide performance budget, including clearly defined review process, while permitting panel feedback and permit periodic responsibilities, timelines, and members to review applications under assessment of progress toward achieving milestones for accomplishing project discretionary grant competitions for intended outcomes. tasks. which they also have submitted (iv) The extent to which the methods (ii) The extent to which the time applications. of evaluation include the use of commitments of the project director and 4. Risk Assessment and Specific objective performance measures that are principal investigator and other key Conditions: Consistent with 2 CFR clearly related to the intended outcomes project personnel are appropriate and 200.205, before awarding grants under of the project and will produce adequate to meet the objectives of the this competition the Department quantitative and qualitative data to the proposed project. conducts a review of the risks posed by extent possible. (iii) The adequacy of mechanisms for applicants. Under 2 CFR 3474.10, the (d) Adequacy of resources and quality ensuring high-quality products and Secretary may impose specific of project personnel (15 points). services from the proposed project. conditions and, in appropriate (1) The Secretary considers the (iv) How the applicant will ensure circumstances, high-risk conditions on a that a diversity of perspectives are adequacy of resources for the proposed grant if the applicant or grantee is not brought to bear in the operation of the project and the quality of the personnel financially stable; has a history of proposed project, including those of who will carry out the proposed project. unsatisfactory performance; has a parents, teachers, the business (2) In determining the quality of financial or other management system community, a variety of disciplinary project personnel, the Secretary that does not meet the standards in 2 and professional fields, recipients or considers the extent to which the CFR part 200, subpart D; has not beneficiaries of services, or others, as applicant encourages applications for fulfilled the conditions of a prior grant; appropriate. employment from persons who are or is otherwise not responsible. members of groups that have 2. Review and Selection Process: We remind potential applicants that in 5. Integrity and Performance System: traditionally been underrepresented If you are selected under this based on race, color, national origin, reviewing applications in any discretionary grant competition, the competition to receive an award that gender, age, or disability. over the course of the project period (3) In addition, the Secretary Secretary may consider, under 34 CFR may exceed the simplified acquisition considers the following factors: 75.217(d)(3), the past performance of the threshold (currently $250,000), under 2 (i) The qualifications, including applicant in carrying out a previous CFR 200.205(a)(2) we must make a relevant training and experience, of the award, such as the applicant’s use of judgment about your integrity, business project director or principal funds, achievement of project ethics, and record of performance under investigator. objectives, and compliance with grant (ii) The qualifications, including conditions. The Secretary may also Federal awards—that is, the risk posed relevant training and experience, of key consider whether the applicant failed to by you as an applicant—before we make project personnel. submit a timely performance report or an award. In doing so, we must consider (iii) The qualifications, including submitted a report of unacceptable any information about you that is in the relevant training and experience, of quality. integrity and performance system project consultants or subcontractors. In addition, in making a competitive (currently referred to as the Federal (iv) The qualifications, including grant award, the Secretary requires Awardee Performance and Integrity relevant training, experience, and various assurances, including those Information System (FAPIIS)), independence, of the evaluator. applicable to Federal civil rights laws accessible through the System for (v) The adequacy of support, that prohibit discrimination in programs Award Management. You may review including facilities, equipment, or activities receiving Federal financial and comment on any information about supplies, and other resources, from the assistance from the Department (34 CFR yourself that a Federal agency applicant organization or the lead 100.4, 104.5, 106.4, 108.8, and 110.23). previously entered and that is currently applicant organization. 3. Additional Review and Selection in FAPIIS. (vi) The relevance and demonstrated Process Factors: In the past, the Please note that, if the total value of commitment of each partner in the Department has had difficulty finding your currently active grants, cooperative proposed project to the implementation peer reviewers for certain competitions agreements, and procurement contracts and success of the project. because so many individuals who are from the Federal Government exceeds (vii) The extent to which the budget eligible to serve as peer reviewers have $10,000,000, the reporting requirements is adequate to support the proposed conflicts of interest. The standing panel in 2 CFR part 200, Appendix XII, project. requirements under section 682(b) of require you to report certain integrity (viii) The extent to which the costs are IDEA also have placed additional information to FAPIIS semiannually. reasonable in relation to the objectives, constraints on the availability of Please review the requirements in 2 CFR design, and potential significance of the reviewers. Therefore, the Department part 200, Appendix XII, if this grant proposed project. has determined that for some plus all the other Federal funds you (e) Quality of the management plan discretionary grant competitions, receive exceed $10,000,000. applications may be separated into two (20 points). VI. Award Administration Information (1) The Secretary considers the or more groups and ranked and selected quality of the management plan for the for funding within specific groups. This 1. Award Notices: If your application proposed project. procedure will make it easier for the is successful, we notify your U.S. (2) In determining the quality of the Department to find peer reviewers by Representative and U.S. Senators and management plan for the proposed ensuring that greater numbers of send you a Grant Award Notification project, the Secretary considers the individuals who are eligible to serve as (GAN); or we may send you an email following factors: reviewers for any particular group of containing a link to access an electronic

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version of your GAN. We may notify 5. Performance Measures: Under the enrollment opportunities in you informally, also. Government Performance Results comprehensive transition or If your application is not evaluated or Modernization Act of 2010, the postsecondary educational programs at not selected for funding, we notify you. Department has established a set of IHEs, workplace readiness training, and 2. Administrative and National Policy performance measures, including long- instruction in self-advocacy through Requirements: We identify term measures, that are designed to collaboration among State VR agencies administrative and national policy yield information on various aspects of and their service providers, SEAs, LEAs, requirements in the application package the effectiveness and quality of the and other workforce development and reference these and other Technical Assistance and Dissemination partners, as appropriate; and (b) requirements in the Applicable to Improve Services and Results for percentage of intensive TA sites that can Regulations section of this notice. Children With Disabilities program. attribute increases in competitive We reference the regulations outlining These measures are: integrated employment, supported the terms and conditions of an award in • Program Performance Measure 1: employment and customized the Applicable Regulations section of The percentage of Technical Assistance employment, or other relevant this notice and include these and other and Dissemination products and measures, as appropriate, to the TA specific conditions in the GAN. The services deemed to be of high quality by provided by the Center. GAN also incorporates your approved an independent review panel of experts The measures apply to projects application as part of your binding qualified to review the substantive funded under this competition, and commitments under the grant. content of the products and services. grantees are required to submit data on 3. Open Licensing Requirements: • Program Performance Measure 2: these measures as directed by OSEP and Unless an exception applies, if you are The percentage of Special Education RSA. awarded a grant under this competition, Technical Assistance and Dissemination Grantees will be required to report you will be required to openly license products and services deemed by an information on their project’s to the public grant deliverables created independent review panel of qualified performance in annual and final in whole, or in part, with Department experts to be of high relevance to performance reports to the Department grant funds. When the deliverable educational and early intervention (34 CFR 75.590). consists of modifications to pre-existing policy or practice. The Department will also closely works, the license extends only to those • Program Performance Measure 3: monitor the extent to which the modifications that can be separately The percentage of all Special Education products and services provided by the identified and only to the extent that Technical Assistance and Dissemination Center meet needs identified by open licensing is permitted under the products and services deemed by an stakeholders and may require the Center terms of any licenses or other legal independent review panel of qualified to report on such alignment in their restrictions on the use of pre-existing experts to be useful in improving annual and final performance reports. works. Additionally, a grantee or educational or early intervention policy 6. Continuation Awards: In making a subgrantee that is awarded competitive or practice, including the preparation of continuation award under 34 CFR grant funds must have a plan to students with disabilities for 75.253, the Secretary considers, among disseminate these public grant postsecondary education and other things: whether a grantee has deliverables. This dissemination plan employment. made substantial progress in achieving can be developed and submitted after • Program Performance Measure 4: the goals and objectives of the project; your application has been reviewed and The cost efficiency of the Technical whether the grantee has expended funds selected for funding. For additional Assistance and Dissemination Program in a manner that is consistent with its information on the open licensing includes the percentage of milestones approved application and budget; and, requirements please refer to 2 CFR achieved in the current annual if the Secretary has established 3474.20. performance report period and the performance measurement 4. Reporting: (a) If you apply for a percentage of funds spent during the requirements, the performance targets in grant under this competition, you must current fiscal year. the grantee’s approved application. ensure that you have in place the • Program Performance Measure 5: In making a continuation award, the necessary processes and systems to For recipients of intensive TA, increase Secretary also considers whether the comply with the reporting requirements the number and quality of signed and grantee is operating in compliance with in 2 CFR part 170 should you receive executed formal interagency agreements the assurances in its approved funding under the competition. This among SEAs, LEAs, and State VR application, including those applicable does not apply if you have an exception agencies that comply with the to Federal civil rights laws that prohibit under 2 CFR 170.110(b). requirements in 34 CFR 361.22(b). discrimination in programs or activities (b) At the end of your project period, • Long-term Program Performance receiving Federal financial assistance you must submit a final performance Measure: The percentage of States from the Department (34 CFR 100.4, report, including financial information, receiving Special Education Technical 104.5, 106.4, 108.8, and 110.23). as directed by the Secretary. If you Assistance and Dissemination services receive a multiyear award, you must regarding scientifically or evidence- VII. Other Information submit an annual performance report based practices for infants, toddlers, Accessible Format: Individuals with that provides the most current children, and youth with disabilities disabilities can obtain this document performance and financial expenditure that successfully promote the and a copy of the application package in information as directed by the Secretary implementation of those practices in an accessible format (e.g., braille, large under 34 CFR 75.118. The Secretary school districts and service agencies. print, audiotape, or compact disc) on may also require more frequent Applicants must also report the request to the program contact persons performance reports under 34 CFR following for recipients of intensive and listed under FOR FURTHER INFORMATION 75.720(c). For specific requirements on targeted TA: (a) Relevant data that CONTACT. reporting, please go to www.ed.gov/ substantiates increased provision of job Electronic Access to This Document: fund/grant/apply/appforms/ exploration counseling, work-based The official version of this document is appforms.html. learning experiences, counseling on the document published in the Federal

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Register. You may access the official 377–9674, or by email at elizabeth.tran@ maintained by DOE. For administrative edition of the Federal Register and the lm.doe.gov. purposes only, and in compliance with Code of Federal Regulations at SUPPLEMENTARY INFORMATION: Comments requirements of the Office of the Federal www.govinfo.gov. At this site you can are invited on: (a) Whether the proposed Register, the undersigned DOE Federal view this document, as well as all other collection of information is necessary Register Liaison Officer has been documents of this Department for the proper performance of the authorized to sign and submit the published in the Federal Register, in functions of the agency, including document in electronic format for text or Portable Document Format whether the information shall have publication, as an official document of (PDF). To use PDF you must have practical utility; (b) the accuracy of the the Department of Energy. This Adobe Acrobat Reader, which is agency’s estimate of the burden of the administrative process in no way alters available free at the site. proposed collection of information, the legal effect of this document upon You may also access documents of the including the validity of the publication in the Federal Register. Department published in the Federal methodology and assumptions used; (c) Signed in Washington, DC on June 24, Register by using the article search ways to enhance the quality, utility, and 2020. feature at www.federalregister.gov. clarity of the information to be Treena V. Garrett, Specifically, through the advanced collected; and (d) ways to minimize the Federal Register Liaison Officer, U.S. search feature at this site, you can limit burden of the collection of information Department of Energy. your search to documents published by on respondents, including through the [FR Doc. 2020–13924 Filed 6–26–20; 8:45 am] the Department. use of automated collection techniques or other forms of information BILLING CODE 6450–01–P Mark Schultz, technology. Commissioner, Rehabilitation Services This information collection request DEPARTMENT OF ENERGY Administration. Delegated the authority to contains: (1) OMB No.: New; (2) perform the functions and duties of the Information Collection Request Title: Assistant Secretary for the Office of Special Proposed Agency Information Education and Rehabilitative Services. Office of Legacy Management Collection Interpretive Centers’ Meeting Room [FR Doc. 2020–13975 Filed 6–26–20; 8:45 am] Webforms; (3) Type of Request: New; (4) AGENCY: Office of Legacy Management, BILLING CODE 4000–01–P Purpose: To create an evergreen U.S. Department of Energy. webform for meeting room requests ACTION: Notice and request for from stakeholders for the Office of comments. DEPARTMENT OF ENERGY Legacy Management (LM) Interpretive Centers; (5) Annual Estimated Number SUMMARY: The Department of Energy (DOE) invites public comment on a Proposed Agency Information of Respondents: 234; (6) Annual proposed collection of information that Collection Estimated Number of Total Responses: 234; (7) Annual Estimated Number of DOE is developing for submission to the AGENCY: Office of Legacy Management, Burden Hours: 234; (8) Annual Office of Management and Budget U.S. Department of Energy. Estimated Reporting and Recordkeeping (OMB) pursuant to the Paperwork ACTION: Notice and request for Cost Burden: $14,941.16. Reduction Act of 1995. comments. DATES: Comments regarding this Statutory Authority proposed information collection must SUMMARY: The Department of Energy Division A, Title III, and 132 STAT. be received on or before August 28, (DOE) invites public comment on a 2913 of Public Law 115–244: Energy 2020. If you anticipate difficulty in proposed collection of information that and Water, Legislative Branch, and submitting comments within that DOE is developing for submission to the Military Construction and Veterans period, contact the person listed in Office of Management and Budget Affairs Appropriations Act, 2019 ADDRESSES as soon as possible. • (OMB) pursuant to the Paperwork Act Enacted FY 2019 ADDRESSES: Written comments may be Reduction Act of 1995. appropriations for DOE Office of Legacy sent to: U.S. Department of Energy DATES: Comments regarding this Management’s mission of Long-Term Office of Legacy Management, c/o proposed information collection must Stewardship which includes outreach Elizabeth Tran, 11035 Dover Street, be received on or before August 28, activities required to operate the Suite 600, Westminster, CO 80021 or by 2020. If you anticipate difficulty in interpretative centers. email at [email protected]. Division C, Title III, and 133 STAT. submitting comments within that FOR FURTHER INFORMATION CONTACT: 2675 of Public Law 116–94: Further period, contact the person listed in Requests for additional information or ADDRESSES as soon as possible. Consolidated Appropriations Act, 2020 • Act Enacted FY 2020 copies of the information collection ADDRESSES: Written comments may be appropriations for DOE Office of Legacy instrument and instructions should be sent to: U.S. Department of Energy, Management’s mission of Long-Term directed to U.S. Department of Energy, Office of Legacy Management, c/o Stewardship which includes outreach Office of Legacy Management, c/o Elizabeth Tran, 11035 Dover Street, activities required to operate the Elizabeth Tran, 11035 Dover Street, Suite 600, Westminster, CO 80021 or by interpretative centers. Suite 600, Westminster, CO 80021, (720) email at [email protected]. 377–9674, or by email at elizabeth.tran@ FOR FURTHER INFORMATION CONTACT: Signing Authority lm.doe.gov. Requests for additional information or This document of the Department of SUPPLEMENTARY INFORMATION: Comments copies of the information collection Energy was signed on June 22, 2020, by are invited on: (a) Whether the proposed instrument and instructions should be Carmelo Melendez, Director, Office of collection of information is necessary directed to U.S. Department of Energy Legacy Management, pursuant to for the proper performance of the Office of Legacy Management, c/o delegated authority from the Secretary functions of the agency, including Elizabeth Tran, 11035 Dover Street, of Energy. That document with the whether the information shall have Suite 600, Westminster, CO 80021, (720) original signature and date is practical utility; (b) the accuracy of the

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agency’s estimate of the burden of the publication, as an official document of 20426. Hand delivered submissions in proposed collection of information, the Department of Energy. This docketed proceedings should be including the validity of the administrative process in no way alters delivered to Health and Human methodology and assumptions used; (c) the legal effect of this document upon Services, 12225 Wilkins Avenue, ways to enhance the quality, utility, and publication in the Federal Register. Rockville, Maryland 20852. clarity of the information to be Signed in Washington, DC, on June, 24 In addition to publishing the full text collected; and (d) ways to minimize the 2020. of this document in the Federal burden of the collection of information Treena V. Garrett, Register, the Commission provides all on respondents, including through the Federal Register Liaison Officer, U.S. interested persons an opportunity to use of automated collection techniques Department of Energy. view and/or print the contents of this or other forms of information [FR Doc. 2020–13923 Filed 6–26–20; 8:45 am] document via the internet through the technology. Commission’s Home Page (http:// BILLING CODE 6450–01–P This information collection request ferc.gov) using the ‘‘eLibrary’’ link. contains: (1) OMB No.: New; (2) Enter the docket number excluding the Information Collection Request Title: DEPARTMENT OF ENERGY last three digits in the docket number Office of Legacy Management field to access the document. At this Interpretive Centers’ Field Trip and Federal Energy Regulatory time, the Commission has suspended Outreach Program Webforms; (3) Type Commission access to the Commission’s Public of Request: New; (4) Purpose: To create [Docket No. ER20–2125–000] Reference Room, due to the an evergreen webform for Field Trip and proclamation declaring a National Outreach Program requests from WGP Redwood Holdings, LLC; Emergency concerning the Novel stakeholders for the Office of Legacy Supplemental Notice That Initial Coronavirus Disease (COVID–19), issued Management (LM) Interpretive Centers; Market-Based Rate Filing Includes by the President on March 13, 2020. For (5) Annual Estimated Number of Request for Blanket Section 204 assistance, contact the Federal Energy Respondents: 391; (6) Annual Estimated Authorization Regulatory Commission at Number of Total Responses: 391; (7) [email protected] or call Annual Estimated Number of Burden This is a supplemental notice in the toll-free, (886) 208–3676 or TYY, (202) Hours: 471; (8) Annual Estimated above-referenced proceeding of WGP 502–8659. Reporting and Recordkeeping Cost Redwood Holdings, LLC’s application Burden: $30,742.71. for market-based rate authority, with an Dated: June 23, 2020. accompanying rate tariff, noting that Nathaniel J. Davis, Sr., Statutory Authority such application includes a request for Deputy Secretary. Division A, Title III, and 132 STAT. blanket authorization, under 18 CFR [FR Doc. 2020–13911 Filed 6–26–20; 8:45 am] 2913 of Public Law 115–244: Energy part 34, of future issuances of securities BILLING CODE 6717–01–P and Water, Legislative Branch, and and assumptions of liability. Military Construction and Veterans Any person desiring to intervene or to Affairs Appropriations Act, 2019 protest should file with the Federal DEPARTMENT OF ENERGY • Act Enacted FY 2019 Energy Regulatory Commission, 888 appropriations for DOE Office of Legacy First Street NE, Washington, DC 20426, Federal Energy Regulatory Management’s mission of Long-Term in accordance with Rules 211 and 214 Commission Stewardship which includes outreach of the Commission’s Rules of Practice Combined Notice of Filings #1 activities required to operate the and Procedure (18 CFR 385.211 and interpretative centers. 385.214). Anyone filing a motion to Take notice that the Commission Division C, Title III, and 133 STAT. intervene or protest must serve a copy received the following exempt 2675 of Public Law 116–94: Further of that document on the Applicant. wholesale generator filings: Consolidated Appropriations Act, Notice is hereby given that the Docket Numbers: EG20–196–000. 2020 deadline for filing protests with regard Applicants: Hardin Solar Energy LLC. • Act Enacted FY 2020 to the applicant’s request for blanket Description: Notice of Self- appropriations for DOE Office of Legacy authorization, under 18 CFR part 34, of Certification of Exempt Wholesale Management’s mission of Long-Term future issuances of securities and Generator Status of Hardin Solar Energy Stewardship which includes outreach assumptions of liability, is July 13, LLC. activities required to operate the 2020. Filed Date: 6/22/20. interpretative centers. The Commission encourages Accession Number: 20200622–5162. electronic submission of protests and Comments Due: 5 p.m. ET 7/13/20. Signing Authority interventions in lieu of paper, using the Take notice that the Commission This document of the Department of FERC Online links at http:// received the following electric rate Energy was signed on June, 22, 2020, by www.ferc.gov. To facilitate electronic filings: Carmelo Melendez, Director, Office of service, persons with internet access Docket Numbers: ER04–835–010. Legacy Management, pursuant to who will eFile a document and/or be Applicants: California Independent delegated authority from the Secretary listed as a contact for an intervenor System Operator Corporation. of Energy. That document with the must create and validate an Description: Response to May 21, original signature and date is eRegistration account using the 2020 Deficiency Letter of California maintained by DOE. For administrative eRegistration link. Select the eFiling Independent System Operator purposes only, and in compliance with link to log on and submit the Corporation. requirements of the Office of the Federal intervention or protests. Filed Date: 6/22/20. Register, the undersigned DOE Federal Persons unable to file electronically Accession Number: 20200622–5214. Register Liaison Officer has been may mail similar pleadings to the Comments Due: 5 p.m. ET 7/13/20. authorized to sign and submit the Federal Energy Regulatory Commission, Docket Numbers: ER17–105–005; document in electronic format for 888 First Street NE, Washington, DC ER17–104–005; ER17–556–004; ER15–

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1019–007; ER10–1362–004; ER12–2639– Filed Date: 6/22/20. Comments Due: 5 p.m. ET 7/13/20. 009; ER10–2628–006; ER18–2158–001; Accession Number: 20200622–5198. Docket Numbers: ER20–2121–000. ER11–3959–008; ER20–1722–000. Comments Due: 5 p.m. ET 7/13/20. Applicants: Sierra Pacific Power Applicants: Broadview Energy JN, Docket Numbers: ER20–1942–001. Company. LLC, Broadview Energy KW, LLC, Grady Applicants: Midcontinent Description: § 205(d) Rate Filing: Wind Energy Center, LLC, Fowler Ridge Independent System Operator, Inc. Service Agreement No. 20–00023 to be IV Wind Farm LLC, Hatchet Ridge Description: Tariff Amendment: effective 6/23/2020. Wind, LLC, Spring Valley Wind LLC, 2020–06–22_Amendment to Filed Date: 6/22/20. Ocotillo Express LLC, Lost Creek Wind, Conventional Deliverable ICAP Filing to Accession Number: 20200622–5175. LLC, Post Rock Wind Power Project, be effective 8/12/2020. Comments Due: 5 p.m. ET 7/13/20. LLC, Stillwater Wind, LLC. Filed Date: 6/22/20. Docket Numbers: ER20–2122–000. Description: Supplement to April 20, Accession Number: 20200622–5173. Applicants: Carolina Power Partners, 2020 Notice of Change in Status of the Comments Due: 5 p.m. ET 6/29/20. LLC. Pattern MBR Entities, et al. Docket Numbers: ER20–2115–000. Description: § 205(d) Rate Filing: Filed Date: 6/23/20. Applicants: PJM Interconnection, Carolina Power Partners, LLC—Filing of Accession Number: 20200623–5181. L.L.C. Revised Tariff to be effective 4/6/2020. Comments Due: 5 p.m. ET 7/14/20. Description: Tariff Cancellation: Filed Date: 6/22/20. Docket Numbers: ER20–80–002. Notice of Cancellation of ISA No. 3568, Accession Number: 20200622–5176. Applicants: Meadow Lake Wind Farm Queue No. Y2–098 to be effective Comments Due: 5 p.m. ET 7/13/20. VI LLC. 8/31/2020. Docket Numbers: ER20–2123–000. Description: Compliance filing: Filed Date: 6/22/20. Applicants: Hardin Solar Energy LLC. Meadow Lake Wind Farm VI LLC, Accession Number: 20200622–5164. Description: Baseline eTariff Filing: Docket No. ER20–80–002 to be effective Comments Due: 5 p.m. ET 7/13/20. Application for Market-Based Rate 12/9/2019. Docket Numbers: ER20–2116–000. Authorization to be effective 8/23/2020. Filed Date: 6/23/20. Applicants: Forward WindPower LLC. Filed Date: 6/22/20. Accession Number: 20200623–5060. Comments Due: 5 p.m. ET 7/14/20. Description: § 205(d) Rate Filing: Accession Number: 20200622–5177. Market-Based Rate Tariff Revisions to be Comments Due: 5 p.m. ET 7/13/20. Docket Numbers: ER20–1061–003. effective 6/23/2020. Docket Numbers: ER20–2124–000. Applicants: Turquoise Nevada LLC. Filed Date: 6/22/20. Description: Tariff Amendment: Applicants: PJM Interconnection, Accession Number: 20200622–5168. L.L.C. Second Amended and Restated Shared Comments Due: 5 p.m. ET 7/13/20. Facilities Agreement to be effective Description: § 205(d) Rate Filing: 2/22/2020. Docket Numbers: ER20–2117–000. Amendment to WMPA, SA No. 5488; Filed Date: 6/23/20. Applicants: Lookout WindPower LLC. Queue No. AE2–006 (amend) to be Accession Number: 20200623–5136. Description: § 205(d) Rate Filing: effective 9/12/2019. Comments Due: 5 p.m. ET 7/14/20. Market-Based Rate Tariff Revisions to be Filed Date: 6/22/20. effective 6/23/2020. Accession Number: 20200622–5178. Docket Numbers: ER20–1120–002. Comments Due: 5 p.m. ET 7/13/20. Applicants: Paper Birch Energy, LLC. Filed Date: 6/22/20. Description: Tariff Amendment: Accession Number: 20200622–5169. Docket Numbers: ER20–2125–000. Response to Additional Information Comments Due: 5 p.m. ET 7/13/20. Applicants: WGP Redwood Holdings, Request to be effective 4/29/2020. Docket Numbers: ER20–2118–000. LLC. Filed Date: 6/23/20. Applicants: Pinnacle Wind, LLC. Description: Baseline eTariff Filing: Accession Number: 20200623–5067. Description: § 205(d) Rate Filing: Market-Based Rate Tariff Application to Comments Due: 5 p.m. ET 7/14/20. Market-Based Rate Tariff Revisions to be be effective 6/23/2020. Docket Numbers: ER20–1650–001. effective 6/23/2020. Filed Date: 6/22/20. Applicants: Little Bear Master Tenant, Filed Date: 6/22/20. Accession Number: 20200622–5179. LLC. Accession Number: 20200622–5170. Comments Due: 5 p.m. ET 7/13/20. Description: Tariff Amendment: Comments Due: 5 p.m. ET 7/13/20. Docket Numbers: ER20–2126–000. Supplement to Market-Based Rate Docket Numbers: ER20–2119–000. Applicants: Wolverine Power Supply Petition and Revised Market-Based Rate Applicants: ISO New England Inc., Cooperative, Inc. Tariff to be effective 6/24/2020. Versant Power. Description: § 205(d) Rate Filing: Filed Date: 6/22/20. Description: § 205(d) Rate Filing: Amended Restated Interconnection Accession Number: 20200622–5181. Versant Power; Notice of Succession to Facilities Agreement for Gray Station to Comments Due: 5 p.m. ET 7/13/20. ISO–NE Schedules 20A–EM and 21–EM be effective 6/23/2020. Docket Numbers: ER20–1673–001. to be effective 5/11/2020. Filed Date: 6/22/20. Applicants: Midcontinent Filed Date: 6/22/20. Accession Number: 20200622–5180. Independent System Operator, Inc. Accession Number: 20200622–5171. Comments Due: 5 p.m. ET 7/13/20. Description: Tariff Amendment: Comments Due: 5 p.m. ET 7/13/20. Docket Numbers: ER20–2127–000. 2020–06–23_Amendment to Docket Numbers: ER20–2120–000. Applicants: Southwest Power Pool, Compensation for Restoration Energy Applicants: Duke Energy Progress, Inc. Filing to be effective 6/28/2020. LLC. Description: § 205(d) Rate Filing: Filed Date: 6/23/20. Description: Tariff Cancellation: 3001R1 Evergy Missouri West & AECI Accession Number: 20200623–5117. Notice of Cancellation of Interconnection Agreement to be Comments Due: 5 p.m. ET 6/30/20. Reimbursement Agreements RS 353, effective 8/22/2020. Docket Numbers: ER20–1703–000. 355, 356, 357, 358 to be effective 9/1/ Filed Date: 6/23/20. Applicants: Capital Energy PA LLC. 2020. Accession Number: 20200623–5058. Description: Supplement to April 30, Filed Date: 6/22/20. Comments Due: 5 p.m. ET 7/14/20. 2020 Capital Energy PA LLC tariff filing. Accession Number: 20200622–5174. Docket Numbers: ER20–2128–000.

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Applicants: Southwest Power Pool, Description: § 205(d) Rate Filing: RE Description: § 205(d) Rate Filing: RE Inc. Mustang Two Whirlaway LLC SFA to be Mustang Two Barbaro, LLC Certificate Description: § 205(d) Rate Filing: effective 6/24/2020. of Concurrence with SFA to be effective 3198R1 Evergy MO West & City of Filed Date: 6/23/20. 6/24/2020. Gilman City, MO Inter. Agr. to be Accession Number: 20200623–5139. Filed Date: 6/23/20. effective 8/22/2020. Comments Due: 5 p.m. ET 7/14/20. Accession Number: 20200623–5184. Filed Date: 6/23/20. Docket Numbers: ER20–2136–000. Comments Due: 5 p.m. ET 7/14/20. Accession Number: 20200623–5068. Applicants: Southwest Power Pool, The filings are accessible in the Comments Due: 5 p.m. ET 7/14/20. Inc. Commission’s eLibrary system by Docket Numbers: ER20–2129–000. Description: § 205(d) Rate Filing: clicking on the links or querying the Applicants: Tri-State Generation and 1298R1 Evergy Kansas South and AECI docket number. Transmission Association, Inc. Interconnection Agr to be effective 8/22/ Any person desiring to intervene or Description: § 205(d) Rate Filing: Rate 2020. protest in any of the above proceedings Schedule FERC No. 274 between Tri- Filed Date: 6/23/20. must file in accordance with Rules 211 State and Empire to be effective 6/24/ Accession Number: 20200623–5146. and 214 of the Commission’s 2020. Comments Due: 5 p.m. ET 7/14/20. Regulations (18 CFR 385.211 and Filed Date: 6/23/20. Docket Numbers: ER20–2137–000. 385.214) on or before 5:00 p.m. Eastern Accession Number: 20200623–5074. Applicants: Starvation Solar I, LLC. time on the specified comment date. Comments Due: 5 p.m. ET 7/14/20. Description: Baseline eTariff Filing: Protests may be considered, but Docket Numbers: ER20–2130–000. Starvation Solar I, LLC SFA intervention is necessary to become a Applicants: Greenleaf Energy Unit 1 Concurrence to be effective 6/24/2020. party to the proceeding. LLC. Filed Date: 6/23/20. eFiling is encouraged. More detailed Description: Tariff Cancellation: Accession Number: 20200623–5176. information relating to filing Greenleaf Energy Unit 1, LLC Notice of Comments Due: 5 p.m. ET 7/14/20. requirements, interventions, protests, service, and qualifying facilities filings Cancellation of MBR Tariff to be Docket Numbers: ER20–2138–000. effective 6/24/2020. can be found at: http://www.ferc.gov/ Applicants: Fort Rock Solar I, LLC. docs-filing/efiling/filing-req.pdf. For Filed Date: 6/23/20. Description: Baseline eTariff Filing: Accession Number: 20200623–5088. other information, call (866) 208–3676 Fort Rock Solar I, LLC SFA Concurrence Comments Due: 5 p.m. ET 7/14/20. (toll free). For TTY, call (202) 502–8659. to be effective 6/24/2020. Docket Numbers: ER20–2131–000. Filed Date: 6/23/20. Dated: June 23, 2020. Applicants: Southwest Power Pool, Accession Number: 20200623–5177. Nathaniel J. Davis, Sr., Inc. Comments Due: 5 p.m. ET 7/14/20. Deputy Secretary. Description: § 205(d) Rate Filing: Docket Numbers: ER20–2139–000. [FR Doc. 2020–13907 Filed 6–26–20; 8:45 am] 2652R4 Waverly Wind Farm LLC GIA to Applicants: Fort Rock Solar IV, LLC. BILLING CODE 6717–01–P be effective 8/22/2020. Filed Date: 6/23/20. Description: Baseline eTariff Filing: Fort Rock Solar IV, LLC SFA Accession Number: 20200623–5100. DEPARTMENT OF ENERGY Comments Due: 5 p.m. ET 7/14/20. Concurrence to be effective 6/24/2020. Filed Date: 6/23/20. Docket Numbers: ER20–2132–000. Accession Number: 20200623–5178. Federal Energy Regulatory Applicants: Edgecombe Genco, LLC. Comments Due: 5 p.m. ET 7/14/20. Commission Description: Notice of Cancellation of [RM19–18–000] Market-Based Rate Tariff of Edgecombe Docket Numbers: ER20–2140–000. Applicants: Riley Solar I, LLC. Genco, LLC. Formal Requirements for Filings in Filed Date: 6/23/20. Description: Baseline eTariff Filing: Riley Solar I, LLC SFA Concurrence to Proceedings Before the Commission; Accession Number: 20200623–5121. Notice Regarding Effective Date Comments Due: 5 p.m. ET 7/14/20. be effective 6/24/2020. Docket Numbers: ER20–2133–000. Filed Date: 6/23/20. On August 27, 2019, the Commission Applicants: ISO New England Inc., Accession Number: 20200623–5179. issued a Final Rule in Docket No. Versant Power. Comments Due: 5 p.m. ET 7/14/20. RM19–18–000 requiring that deliveries Description: Compliance filing: Docket Numbers: ER20–2141–000. of filings and submissions, other than by Versant Power; Changes to Schedule Applicants: Fort Rock Solar IV, LLC. the United States Postal Service, be sent 21–VP in Compliance with Order No. Description: § 205(d) Rate Filing: Fort to an off-site facility 1 for security 864 to be effective 6/1/2020. Rock Solar IV, LLC SFA Concurrence to screening and processing.2 The Final Filed Date: 6/23/20. be effective 6/24/2020. Rule indicated that the new regulation Accession Number: 20200623–5130. Filed Date: 6/23/20. would take effect 60 days after the date Comments Due: 5 p.m. ET 7/14/20. Accession Number: 20200623–5182. of publication of the Final Rule in the Docket Numbers: ER20–2134–000. Comments Due: 5 p.m. ET 7/14/20. Federal Register. On October 11, 2019, Applicants: Cimarron Bend Wind Docket Numbers: ER20–2142–000. the Secretary issued a notice, stating Project III, LLC. Applicants: Fort Rock Solar I, LLC. that the effective date for the Final Rule Description: Baseline eTariff Filing: Description: § 205(d) Rate Filing: Fort was postponed indefinitely to ensure Cimarron Bend Wind Project III MBR Rock Solar I, LLC SFA Concurrence to that the public and the Commission Tariff to be effective 8/24/2020. be effective 6/24/2020. make an effective transition to utilizing Filed Date: 6/23/20. Filed Date: 6/23/20. the off-site facility. This notice hereby Accession Number: 20200623–5133. Accession Number: 20200623–5183. Comments Due: 5 p.m. ET 7/14/20. Comments Due: 5 p.m. ET 7/14/20. 1 Health and Human Services, 12225 Wilkins Avenue, Rockville, Maryland 20852. Docket Numbers: ER20–2135–000. Docket Numbers: ER20–2143–000. 2 Formal Requirements for Filings in Proceedings Applicants: RE Mustang Two Applicants: RE Mustang Two Barbaro Before the Commission, 168 FERC ¶ 61,120 (2019) Whirlaway LLC. LLC. (Final Rule).

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announces that the Final Rule will The Commission strongly encourages assumptions of liability, is July 13, become effective on July 1, 2020. electronic filing. Please file comments, 2020. Dated: June 23, 2020. motions to intervene, notices of intent, The Commission encourages Kimberly D. Bose, and competing applications using the electronic submission of protests and Commission’s eFiling system at http:// interventions in lieu of paper, using the Secretary. www.ferc.gov/docs-filing/efiling.asp. FERC Online links at http:// [FR Doc. 2020–13917 Filed 6–26–20; 8:45 am] Commenters can submit brief comments www.ferc.gov. To facilitate electronic BILLING CODE 6717–01–P up to 6,000 characters, without prior service, persons with internet access registration, using the eComment system who will eFile a document and/or be at http://www.ferc.gov/docs-filing/ listed as a contact for an intervenor DEPARTMENT OF ENERGY ecomment.asp. You must include your must create and validate an Federal Energy Regulatory name and contact information at the end eRegistration account using the Commission of your comments. For assistance, eRegistration link. Select the eFiling please contact FERC Online Support at link to log on and submit the [Project No. 15032–000] [email protected], (866) intervention or protests. 208–3676 (toll free), or (202) 502–8659 Persons unable to file electronically ECOsponsible, LLC; Notice of (TTY). may mail similar pleadings to the Preliminary Permit Application More information about this project, Federal Energy Regulatory Commission, Accepted for Filing and Soliciting including a copy of the application, can 888 First Street NE, Washington, DC Comments, Motions To Intervene, and be viewed or printed on the ‘‘eLibrary’’ 20426. Hand delivered submissions in Competing Applications link of the Commission’s website at docketed proceedings should be On May 6, 2020, ECOsponsible, LLC, http://www.ferc.gov/docs-filing/ delivered to Health and Human filed an application for a preliminary elibrary.asp. Enter the docket number Services, 12225 Wilkins Avenue, permit, pursuant to section 4(f) of the (P–15032) in the docket number field to Rockville, Maryland 20852. Federal Power Act (FPA), proposing to access the document. For assistance, In addition to publishing the full text study the feasibility of hydropower at contact FERC Online Support. of this document in the Federal the existing Springville Dam located on Dated: June 23, 2020. Register, the Commission provides all Cattaraugus Creek in the town of Kimberly D. Bose, interested persons an opportunity to view and/or print the contents of this Concord in Erie County, New York. The Secretary. sole purpose of a preliminary permit, if document via the internet through the [FR Doc. 2020–13916 Filed 6–26–20; 8:45 am] issued, is to grant the permit holder Commission’s Home Page (http:// BILLING CODE 6717–01–P priority to file a license application ferc.gov) using the ‘‘eLibrary’’ link. during the permit term. A preliminary Enter the docket number excluding the last three digits in the docket number permit does not authorize the permit DEPARTMENT OF ENERGY holder to perform any land-disturbing field to access the document. At this activities or otherwise enter upon lands Federal Energy Regulatory time, the Commission has suspended or waters owned by others without the Commission access to the Commission’s Public owners’ express permission. Reference Room, due to the The proposed Springville Dam Hydro [Docket No. ER20–1703–000] proclamation declaring a National Project would redevelop an abandoned Emergency concerning the Novel Capital Energy PA LLC; Supplemental Coronavirus Disease (COVID–19), issued project and would consist of the Notice That Initial Market-Based Rate following: (1) An existing 338-foot-long by the President on March 13, 2020. For Filing Includes Request for Blanket assistance, contact the Federal Energy and 40-foot-high concrete gravity dam Section 204 Authorization with a 182-foot-long spillway; (2) an Regulatory Commission at existing impoundment; (3) an existing This is a supplemental notice in the [email protected] or call powerhouse to be rebuilt and to include above-referenced Capital Energy PA toll-free, (886) 208–3676 or TYY, (202) two new identical turbine-generator LLC’s application for market-based rate 502–8659. units with an installed capacity of 500 authority, with an accompanying rate Dated: June 23, 2020. kilowatts each; (4) a new 4.8- to 13.2- tariff, noting that such application Nathaniel J. Davis, Sr., kilovolt, 500-foot-long transmission line includes a request for blanket Deputy Secretary. extending from the powerhouse to a grid authorization, under 18 CFR part 34, of [FR Doc. 2020–13909 Filed 6–26–20; 8:45 am] interconnection point; and (5) future issuances of securities and BILLING CODE 6717–01–P appurtenant facilities. The proposed assumptions of liability. project would have an annual Any person desiring to intervene or to generation of 6.5 gigawatt-hours. protest should file with the Federal DEPARTMENT OF ENERGY Applicant Contact: Dennis Ryan, Energy Regulatory Commission, 888 ECOsponsible, LLC, P.O. Box 114, West First Street NE, Washington, DC 20426, Federal Energy Regulatory Falls, NY 14170; phone: (716) 222–2188. in accordance with Rules 211 and 214 Commission FERC Contact: Monir Chowdhury; of the Commission’s Rules of Practice phone: (202) 502–6736. and Procedure (18 CFR 385.211 and [Docket No. ER20–2123–000] Deadline for filing comments, motions 385.214). Anyone filing a motion to Hardin Solar Energy LLC; to intervene, competing applications intervene or protest must serve a copy Supplemental Notice That Initial (without notices of intent), or notices of of that document on the Applicant. Market-Based Rate Filing Includes intent to file competing applications: 60 Notice is hereby given that the Request for Blanket Section 204 days from the issuance of this notice. deadline for filing protests with regard Authorization Competing applications and notices of to the applicant’s request for blanket intent must meet the requirements of 18 authorization, under 18 CFR part 34, of This is a supplemental notice in the CFR 4.36. future issuances of securities and above-referenced proceeding of Hardin

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Solar Energy LLC’s application for Dated: June 23, 2020. Filed Date: 6/22/20. market-based rate authority, with an Nathaniel J. Davis, Sr., Accession Number: 20200622–5166. accompanying rate tariff, noting that Deputy Secretary. Comments Due: 5 p.m. ET 7/6/20. such application includes a request for [FR Doc. 2020–13910 Filed 6–26–20; 8:45 am] Docket Numbers: RP20–964–000. blanket authorization, under 18 CFR BILLING CODE 6717–01–P Applicants: Saltville Gas Storage part 34, of future issuances of securities Company L.L.C. and assumptions of liability. Description: § 4(d) Rate Filing: Any person desiring to intervene or to DEPARTMENT OF ENERGY Saltville Cleanup Filing to be effective protest should file with the Federal 7/22/2020. Energy Regulatory Commission, 888 Federal Energy Regulatory Filed Date: 6/22/20. First Street NE, Washington, DC 20426, Commission Accession Number: 20200622–5167. in accordance with Rules 211 and 214 Comments Due: 5 p.m. ET 7/6/20. of the Commission’s Rules of Practice Combined Notice of Filings The filings are accessible in the and Procedure (18 CFR 385.211 and Take notice that the Commission has Commission’s eLibrary system by 385.214). Anyone filing a motion to received the following Natural Gas clicking on the links or querying the intervene or protest must serve a copy Pipeline Rate and Refund Report filings: docket number. of that document on the Applicant. Any person desiring to intervene or Docket Numbers: RP19–810–000. Notice is hereby given that the protest in any of the above proceedings Applicants: Tallgrass Interstate Gas deadline for filing protests with regard must file in accordance with Rules 211 Transmission, L, Trailblazer Pipeline to the applicant’s request for blanket and 214 of the Commission’s Company LLC, Rockies Express Pipeline authorization, under 18 CFR part 34, of Regulations (18 CFR 385.211 and LLC. future issuances of securities and 385.214) on or before 5:00 p.m. Eastern Description: Request for Additional assumptions of liability, is July 13, time on the specified date(s). Protests Time to Implement NAESB Standards of 2020. may be considered, but intervention is the Tallgrass Pipelines under RP19–810, The Commission encourages necessary to become a party to the electronic submission of protests and et al. Filed Date: 6/18/20. proceeding. interventions in lieu of paper, using the eFiling is encouraged. More detailed FERC Online links at http:// Accession Number: 20200618–5157. Comments Due: 5 p.m. ET 6/30/20. information relating to filing www.ferc.gov. To facilitate electronic requirements, interventions, protests, Docket Numbers: RP19–811–000. service, persons with internet access service, and qualifying facilities filings Applicants: Tallgrass Interstate Gas who will eFile a document and/or be can be found at: http://www.ferc.gov/ Transmission, L, Trailblazer Pipeline listed as a contact for an intervenor docs-filing/efiling/filing-req.pdf. For Company LLC, Rockies Express Pipeline must create and validate an other information, call (866) 208–3676 LLC. eRegistration account using the (toll free). For TTY, call (202) 502–8659. eRegistration link. Select the eFiling Description: Request for Additional link to log on and submit the Time to Implement NAESB Standards of Dated: June 23, 2020. intervention or protests. the Tallgrass Pipelines under RP19–810, Nathaniel J. Davis, Sr., Persons unable to file electronically et al. Deputy Secretary. may mail similar pleadings to the Filed Date: 6/18/20. [FR Doc. 2020–13908 Filed 6–26–20; 8:45 am] Federal Energy Regulatory Commission, Accession Number: 20200618–5157. BILLING CODE 6717–01–P 888 First Street NE, Washington, DC Comments Due: 5 p.m. ET 6/30/20. 20426. Hand delivered submissions in Docket Numbers: RP19–812–000. docketed proceedings should be Applicants: Tallgrass Interstate Gas ENVIRONMENTAL PROTECTION delivered to Health and Human Transmission, L, Trailblazer Pipeline AGENCY Services, 12225 Wilkins Avenue, Company LLC, Rockies Express Pipeline Rockville, Maryland 20852. LLC. [EPA–HQ–OAR–2007–0563; FRL–10011–72– In addition to publishing the full text Description: Request for Additional OMS] of this document in the Federal Time to Implement NAESB Standards of Information Collection Request Register, the Commission provides all the Tallgrass Pipelines under RP19–810, Submitted to OMB for Review and interested persons an opportunity to et al. Approval; Comment Request; Volatile view and/or print the contents of this Filed Date: 6/18/20. Organic Compound Emission document via the internet through the Accession Number: 20200618–5157. Commission’s Home Page (http:// Comments Due: 5 p.m. ET 6/30/20. Standards for Consumer Products (Renewal) ferc.gov) using the ‘‘eLibrary’’ link. Docket Numbers: RP20–962–000. Enter the docket number excluding the Applicants: Texas Eastern AGENCY: Environmental Protection last three digits in the docket number Transmission, LP. Agency (EPA). field to access the document. At this Description: § 4(d) Rate Filing: ACTION: Notice. time, the Commission has suspended Negotiated Rates—Chevron Release to access to the Commission’s Public Eco eff 07–01–20 to be effective 7/1/ SUMMARY: The U.S. Environmental Reference Room, due to the 2020. Protection Agency (EPA) has submitted proclamation declaring a National Filed Date: 6/22/20. an information collection request (ICR), Emergency concerning the Novel Accession Number: 20200622–5165. National Volatile Organic Compound Coronavirus Disease (COVID–19), issued Comments Due: 5 p.m. ET 7/6/20. Emission Standards for Consumer by the President on March 13, 2020. For Docket Numbers: RP20–963–000. Products (EPA ICR Number 1764.08, assistance, contact the Federal Energy Applicants: Lake Charles LNG OMB Control Number 2060–0348) to the Regulatory Commission at Company, LLC. Office of Management and Budget [email protected] or call Description: Tariff Cancellation: (OMB) for review and approval in toll-free, (886) 208–3676 or TYY, (202) Cancellation of Tariff to be effective 8/ accordance with the Paperwork 502–8659. 21/2020. Reduction Act. This is a proposed

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extension of the Information Collection 1744. For additional information about ENVIRONMENTAL PROTECTION Request (ICR), which is currently the EPA’s public docket, visit https:// AGENCY approved through August 31, 2020. www.epa.gov/dockets. [EPA–HQ–OECA–2013–0325; FRL—10011– Public comments were previously Abstract: The EPA is required under 66–OMS] requested via the Federal Register on section 183(e) of the Clean Air Act December 2, 2019, during a 60-day (CAA) to regulate volatile organic Information Collection Request comment period. No comments were compound (VOC) emissions from the Submitted to OMB for Review and received on that document. This notice use of consumer and commercial Approval; Comment Request; NESHAP allows for an additional 30 days for for Benzene Emissions From Benzene public comments. A fuller description products. Pursuant to CAA section 183(e)(3), the EPA published a list of Storage Vessels and Coke Oven By- of the ICR is given below, including its Product Recovery Plants (Renewal) estimated burden and cost to the public. consumer and commercial products and An agency may not conduct or sponsor a schedule for their regulation (60 FR AGENCY: Environmental Protection and a person is not required to respond 15264). The standards for consumer Agency (EPA). to a collection of information unless it products are codified at 40 CFR part 59, ACTION: Notice. displays a currently valid OMB control subpart C. The information collection number. includes initial reports and periodic SUMMARY: The Environmental Protection Agency (EPA) has submitted an DATES: Additional comments may be recordkeeping necessary for the EPA to information collection request (ICR), submitted on or before July 29, 2020. ensure compliance with Federal NESHAP for Benzene Emissions from ADDRESSES: Submit your comments, standards for VOC in consumer products. Respondents are Benzene Storage Vessels and Coke Oven referencing Docket ID No. EPA–HQ– By-Product Recovery Plants (EPA ICR OAR–2007–0563, to the EPA online manufacturers, distributors, and importers of consumer products. All Number 1080.16, OMB Control Number using https://www.regulations.gov/ (our 2060–0185), to the Office of information submitted to the EPA for preferred method), by email to a-and-r- Management and Budget (OMB) for which a claim of confidentiality is made [email protected], or by mail to EPA review and approval in accordance with Docket Center, U.S. Environmental will be safeguarded according to the the Paperwork Reduction Act. This is a Protection Agency, Mail Code 28221T, Agency policies set forth in 40 CFR part proposed extension of the ICR, which is 1200 Pennsylvania Ave. NW, 2, subpart B, Confidentiality of Business currently approved through August 31, Washington, DC 20460. Information. The reports required under 2020. Public comments were previously The EPA’s policy is that all comments the standards enable the EPA to identify requested, via the Federal Register, on received will be included in the public all consumer products manufacturers, May 6, 2019 during a 60-day comment docket without change, including any distributors, and importers in the period. This notice allows for an personal information provided, unless United States and to determine which additional 30 days for public comments. the comment includes profanity, threats, consumer products are subject to the A fuller description of the ICR is given information claimed to be Confidential standards. below, including its estimated burden Business Information, or other Form Numbers: None. and cost to the public. An agency may information whose disclosure is neither conduct nor sponsor, and a restricted by statute. Respondents/affected entities: Entities person is not required to respond to, a Submit written comments and potentially affected by this action as collection of information unless it recommendations to OMB for the respondents are manufacturers, displays a currently valid OMB control proposed information collection within distributors, and importers of consumer number. 30 days of publication of this notice to products. DATES: Additional comments may be www.reginfo.gov/public/do/PRAMain. Respondent’s obligation to respond: submitted on or before July 29, 2020. Find this particular information Responses to the collection are ADDRESSES: Submit your comments, collection by selecting ‘‘Currently under mandatory under 40 CFR part 59, 30-day Review—Open for Public referencing Docket ID Number EPA– subpart C. Comments’’ or by using the search HQ–OECA–2013–0325, to: (1) EPA function. Estimated number of respondents: online using www.regulations.gov (our 300 (total). preferred method), or by email to FOR FURTHER INFORMATION CONTACT: Ms. [email protected], or by mail to: EPA Frequency of response: On occasion. Kaye Whitfield, Sector Policies and Docket Center, Environmental Programs Division (D243–04), Office of Total estimated burden: 16,126 hours Protection Agency, Mail Code 28221T, Air Quality Planning and Standards, (per year). Burden is defined at 5 CFR 1200 Pennsylvania Ave. NW, Research Triangle Park, North Carolina 1320.03(b). Washington, DC 20460; and (2) OMB via 27711; telephone number: (919) 541– Total estimated cost: $1,765,427 (per email to [email protected]. 2509; fax number: (919) 541–4991; year), includes $0 annualized capital or Address comments to OMB Desk Officer email address: [email protected]. operation and maintenance costs. for EPA. SUPPLEMENTARY INFORMATION: EPA’s policy is that all comments Changes in the estimates: There is no Supporting documents, which explain received will be included in the public change in the burden estimate currently in detail the information that the EPA docket without change, including any approved by OMB. will be collecting, are available in the personal information provided, unless public docket for this ICR. The docket Courtney Kerwin, the comment includes profanity, threats, information claimed to be Confidential can be viewed online at https:// Director, Regulatory Support Division. Business Information (CBI), or other www.regulations.gov/ or in person at the [FR Doc. 2020–13928 Filed 6–26–20; 8:45 am] EPA Docket Center, WJC West Building, information whose disclosure is Room 3334, 1301 Constitution Ave. NW, BILLING CODE 6560–50–P restricted by statute. Washington, DC. The telephone number FOR FURTHER INFORMATION CONTACT: for the EPA Docket Center is (202) 566– Patrick Yellin, Monitoring, Assistance,

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and Media Programs Division, Office of kPa (29.72 psia) and without emissions ENVIRONMENTAL PROTECTION Compliance, Mail Code 2227A, to the atmosphere. This information is AGENCY Environmental Protection Agency, 1200 being collected to assure compliance Pennsylvania Ave. NW, Washington, DC [EPA–HQ–OECA–2013–0315; FRL–10011– with 40 CFR part 61, subpart Y. 70–OMS] 20460; telephone number: (202) 564– In general, all NESHAP standards 2970; fax number: (202) 564–0050; require initial notifications, Information Collection Request email address: [email protected]. performance tests, and periodic reports Submitted to OMB for Review and SUPPLEMENTARY INFORMATION: by the owners/operators of the affected Approval; Comment Request; NSPS Supporting documents, which explain facilities. They are also required to for Commercial and Industrial Solid in detail the information that the EPA maintain records of the occurrence and Waste Incineration (CISWI) Units will be collecting, are available in the duration of any startup, shutdown, or (Renewal) public docket for this ICR. The docket malfunction in the operation of an can be viewed online at AGENCY: Environmental Protection www.regulations.gov, or in person at the affected facility, or any period during Agency (EPA). EPA Docket Center, WJC West, Room which the monitoring system is ACTION: Notice. 3334, 1301 Constitution Ave. NW, inoperative. These notifications, reports, Washington, DC. The telephone number and records are essential in determining SUMMARY: The Environmental Protection for the Docket Center is 02–566–1744. compliance, and are required of all Agency (EPA) has submitted an For additional information about EPA’s affected facilities subject to NESHAP. information collection request (ICR), NSPS for Commercial and Industrial public docket, visit: http:// Form Numbers: None. www.epa.gov/dockets. Solid Waste Incineration (CISWI) Units Respondents/affected entities: (EPA ICR Number 2384.05, OMB Abstract: The NESHAP for Coke Oven Owners or operators of benzene storage By-Product Recovery Plants (40 CFR Control Number 2060–0662), to the vessels and coke oven by-product part 61, subpart L) were promulgated on Office of Management and Budget recovery plants. September 14, 1989 (54 FR 38073) and (OMB) for review and approval in amended on February 12, 1999 (64 FR Respondent’s obligation to respond: accordance with the Paperwork 7458). These regulations apply to each Mandatory (40 CFR part 41, subparts L Reduction Act. This is a proposed of the following benzene emission and Y). extension of the ICR, which is currently sources at furnace and foundry coke by- approved through August 31, 2020. Estimated number of respondents: 13 Public comments were previously product recovery plants: Tar decanters, (total). tar storage tanks, tar-intercepting sumps, requested, via the Federal Register, on flushing-liquor circulation tanks, light- Frequency of response: Occasionally, May 6, 2019 during a 60-day comment oil sumps, light-oil condensers, light-oil semiannually, and annually. period. This notice allows for an decanters, wash-oil decanters, wash-oil Total estimated burden: 1,730 hours additional 30 days for public comments. circulation tanks, naphthalene (per year). Burden is defined at 5 CFR A fuller description of the ICR is given processing, final coolers, final-cooler 1320.3(b). below, including its estimated burden and cost to the public. An agency may cooling towers, and equipment intended Total estimated cost: $201,000 (per to operate in benzene service, including: neither conduct nor sponsor, and a year), which includes $0 in annualized person is not required to respond to, a Pumps, valves, exhausters, pressure capital/startup and/or operation & relief devices, sampling connection collection of information unless it maintenance costs. systems, open-ended valves or lines, displays a currently valid OMB control flanges or other connectors, and other Changes in the Estimates: There is an number. control devices or systems. The adjustment decrease in the total DATES: Additional comments may be provisions of this subpart also apply to estimated burden as currently identified submitted on or before July 29, 2020. benzene storage tanks, BTX (benzene- in the OMB Inventory of Approved ADDRESSES: Submit your comments, toluene-xylene) storage tanks, light-oil Burdens. This increase is not due to any referencing Docket ID Number EPA– storage tanks, and excess ammonia- program changes. Based on HQ–OECA–2013–0315, to: (1) EPA liquor storage tanks at furnace coke by- consultations with industry, the number online using www.regulations.gov (our product recovery plants. This of coke plants subject to Subpart L has preferred method), or by email to information is being collected to assure been revised since the previous ICR, [email protected], or by mail to: EPA compliance with 40 CFR part 61, while the number of facilities subject to Docket Center, Environmental subpart L. Subpart Y remains unchanged. The Protection Agency, Mail Code 28221T, The NESHAP for Benzene Emissions number of coke plants subject to 1200 Pennsylvania Ave. NW, from Benzene Storage Vessels (40 CFR Subpart L reflects a decrease in the Washington, DC 20460; and (2) OMB via _ part 61, subpart Y) were promulgated on number of operating coke by-product email to oira [email protected]. September 14, 1989 (54 FR 38077) and recovery plants. This change results in Address comments to OMB Desk Officer amended on December 14, 2000 (65 FR a decrease in both burden hours and the for EPA. 78268). These standards apply to each number of responses. EPA’s policy is that all comments benzene storage vessel with a design received will be included in the public storage capacity greater than or equal to Courtney Kerwin, docket without change, including any 38 cubic meters (10,000 gallons). This Director, Regulatory Support Division. personal information provided, unless subpart does not apply to: (1) Storage [FR Doc. 2020–13892 Filed 6–26–20; 8:45 am] the comment includes profanity, threats, vessels used for storing benzene at coke information claimed to be Confidential BILLING CODE 6560–50–P by-product facilities; (2) vessels Business Information (CBI), or other permanently attached to motor information whose disclosure is vehicles—such as trucks, rail cars, restricted by statute. barges or ships; and (3) pressure vessels Submit written comments and designed to operate in excess of 204.9 recommendations to OMB for the

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proposed information collection within commenced reconstruction or overall result is an increase in burden 30 days of publication of this notice to modification after August 7, 2013. This hours and costs. www.reginfo.gov/public/do/PRAMain. information is being collected to assure Courtney Kerwin, Find this particular information compliance with 40 CFR part 60, collection by selecting ‘‘Currently under subpart CCCC. Director, Regulatory Support Division. 30-day Review—Open for Public [FR Doc. 2020–13930 Filed 6–26–20; 8:45 am] In general, all NSPS standards require BILLING CODE 6560–50–P Comments’’ or by using the search initial notifications, performance tests, function. and periodic reports by the owners/ FOR FURTHER INFORMATION CONTACT: operators of the affected facilities. They ENVIRONMENTAL PROTECTION Patrick Yellin, Monitoring, Assistance, are also required to maintain records of AGENCY and Media Programs Division, Office of the occurrence and duration of any Compliance, Mail Code 2227A, startup, shutdown, or malfunction in [EPA–OAR–2019–0631; FRL–10011–73– OMS] Environmental Protection Agency, 1200 the operation of an affected facility, or Pennsylvania Ave. NW, Washington, DC any period during which the monitoring Information Collection Request 20460; telephone number: (202) 564– system is inoperative. These Submitted to OMB for Review and 2970; fax number: (202) 564–0050; notifications, reports, and records are Approval; Comment Request; Regional email address: [email protected]. essential in determining compliance, Haze Regulations (Renewal) SUPPLEMENTARY INFORMATION: and are required of all affected facilities Supporting documents, which explain subject to NSPS. AGENCY: Environmental Protection in detail the information that the EPA Agency (EPA). Form Numbers: None. will be collecting, are available in the ACTION: Notice. public docket for this ICR. The docket Respondents/affected entities: can be viewed online at Owners and operators of commercial SUMMARY: The Environmental Protection www.regulations.gov, or in person at the and industrial solid waste incineration Agency (EPA) has submitted an EPA Docket Center, WJC West, Room (CISWI) units that commenced information collection request (ICR), 3334, 1301 Constitution Ave. NW, construction after June 4, 2010 or Regional Haze Regulations (EPA ICR Washington, DC. The telephone number commenced reconstruction or Number 2540.03, OMB Control Number for the Docket Center is 202–566–1744. modification after August 7, 2013. 2060–0704) to the Office of Management and Budget (OMB) for review and For additional information about EPA’s Respondent’s obligation to respond: public docket, visit: http:// approval in accordance with the Mandatory (40 CFR part 60 Subpart Paperwork Reduction Act (PRA). This is www.epa.gov/dockets. CCCC). Abstract: The New Source a proposed extension of the ICR, which Performance Standards (NSPS) for Estimated number of respondents: 11 is currently approved through August Commercial and Industrial Solid Waste (total). 31, 2020. Public comments were Incineration (CISWI) Units (40 CFR part Frequency of response: Semiannually previously requested via the Federal 60, subpart CCCC) were proposed on and annually. Register on November 27, 2019, during a 60-day comment period. This notice November 30, 1999, promulgated on Total estimated burden: 1,700 hours December 01, 2000, and most-recently allows for an additional 30 days for (per year). Burden is defined at 5 CFR public comments. A fuller description amended on: February 7, 2013; June 23, 1320.3(b). 2016; and April 16, 2019. The 2013 of the ICR is given below, including its amendment re-established emission Total estimated cost: $970,000 (per estimated burden and cost to the public. limits and expanded the rule to cover year), which includes $769,000 in An agency may not conduct or sponsor these CISWI subcategories: energy annualized capital/startup and/or and a person is not required to respond recovery units; waste burning kilns; operation & maintenance costs. to a collection of information unless it incinerators; and small, remote Changes in the Estimates: There is an displays a currently valid OMB control incinerators. The 2016 amendment adjustment increase in the total number. finalized reconsiderations to certain estimated burden as currently identified DATES: Additional comments may be aspects to the 2013 amendment and in the OMB Inventory of Approved submitted on or before July 29, 2020. finalized actions on the following four Burdens. This increase is not due to any ADDRESSES: Comments. Submit your topics: the definition of ‘‘continuous program changes. The change in the comments, identified by Docket ID No. emission monitoring system (CEMS) burden and cost estimates occurred EPA–HQ–OAR–2019–0631, at http:// data during startup and shutdown because there is a small increase in the www.regulations.gov. Follow the online periods;’’ the particulate matter (PM) number of sources subject to the rule instructions for submitting comments. limit for the waste-burning kiln due to continued, albeit low-growth, Once submitted, comments cannot be subcategory; the fuel variability factor within the industry. This ICR reflects edited or removed from Regulations.gov. (FVF) for coal-burning energy recovery the on-going burden and costs for The EPA may publish any comment units (ERUs); and the definition of existing facilities. We have adjusted the received to its public docket. Do not ‘‘kiln.’’ The 2019 amendments further burden to reflect the increased number submit electronically any information clarified implementation of the 2016 of existing respondents that perform you consider to be Confidential standards, including certain testing and annual performance tests, annual Business Information (CBI) or other monitoring issues and inconsistencies, monitoring, refresher training, and information whose disclosure is and editorial corrections and errors report parameter exceedances. In restricted by statute. Multimedia within the rules that required addition, there are a small number of submissions (audio, video, etc.) must be clarification or correction. These new facilities that are in the initial accompanied by a written comment. regulations apply to Commercial and compliance phase, whose costs include The written comment is considered the Industrial Solid Waste Incineration purchasing monitoring equipment, official comment and should include (CISWI) units that either commenced conducting performance tests and discussion of all points you wish to construction after June 4, 2010, or establishing recordkeeping systems. The make. The EPA will generally not

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consider comments or comment Abstract: This ICR is for activities ACTION: Notice and request for contents located outside of the primary related to the implementation of the comments. submission (e.g., on the Web, Cloud, or EPA’s Regional Haze Rule, for the time other file sharing system). For period between August 31, 2020, and SUMMARY: As part of its continuing effort additional submission methods, the full August 31, 2023, and renews the to reduce paperwork burdens, and as EPA public comment policy, previous ICR. The Regional Haze Rule required by the Paperwork Reduction information about CBI or multimedia codified at 40 CFR parts 308 and 309, Act (PRA), the Federal Communications submissions, and general guidance on as authorized by sections 169A and Commission (FCC or Commission) making effective comments, please visit 169B of the Clean Air Act, requires invites the general public and other http://www2.epa.gov/dockets/ states to develop implementation plans Federal agencies to take this commenting-epa-dockets. Out of an to protect visibility in 156 federally opportunity to comment on the abundance of caution for members of protected Class I areas. Tribes may following information collections. the public and our staff, the EPA Docket choose to develop implementation Comments are requested concerning: Center and Reading Room was closed to plans. For this time period, states will Whether the proposed collection of public visitors on March 31, 2020, to primarily be developing and submitting information is necessary for the proper reduce the risk of transmitting COVID– periodic comprehensive performance of the functions of the 19. Our Docket Center staff will implementation plan revisions to Commission, including whether the continue to provide remote customer comply with the regulations. information shall have practical utility; service via email, phone, and webform. Form Numbers: None. the accuracy of the Commission’s We encourage the public to submit Respondents/affected entities: Entities burden estimate; ways to enhance the comments via https:// potentially affected by this action are quality, utility, and clarity of the www.regulations.gov or email, as there state, local and tribal air quality information collected; ways to minimize is a temporary suspension of mail agencies, regional planning the burden of the collection of delivery to EPA, and no hand deliveries organizations and facilities potentially information on the respondents, are currently accepted. For further regulated under the Regional Haze Rule. including the use of automated information on EPA Docket Center Respondent’s obligation to respond: collection techniques or other forms of services and the current status, please Mandatory [see 40 CFR 51.308(b), (f) information technology; and ways to visit us online at https://www.epa.gov/ and (g) and 40 CFR 51.309(d)(10)]. further reduce the information dockets. Publicly available docket Estimated number of respondents: 52 collection burden on small business materials are available either (total); 52 state agencies. concerns with fewer than 25 employees. electronically in http:// Frequency of response: DATES: Written comments should be www.regulations.gov. The telephone Approximately every 5 years. submitted on or before August 28, 2020. number for the Air and Radiation Total estimated burden: 38,255 hours If you anticipate that you will be Docket and Information Center is (202) (per year). Burden is defined at 5 CFR submitting comments, but find it 566–1742. For additional information 1320.03(b) difficult to do so within the period of about the EPA’s public docket, visit the Total estimated cost: $2,050,007 (per time allowed by this notice, you should EPA Docket Center homepage at: http:// year). There are no annualized capital or advise the contacts below as soon as www.epa.gov/epahome/dockets.htm. operation & maintenance costs. possible. Changes in Estimates: There is an Submit written comments and ADDRESSES: Direct all PRA comments to increase of 24,945 hours in the total recommendations to OMB for the Cathy Williams, FCC, via email PRA@ estimated respondent burden compared proposed information collection within fcc.gov and to [email protected]. 30 days of publication of this notice to with the ICR currently approved by OMB. This increase in burden reflects FOR FURTHER INFORMATION CONTACT: For www.reginfo.gov/public/do/PRAMain. additional information about the Find this particular information changes in the activities conducted due to the normal progression of the information collection, contact Cathy collection by selecting ‘‘Currently under Williams at (202) 418–2918. 30-day Review—Open for Public program, especially the fact that states SUPPLEMENTARY INFORMATION: The FCC Comments’’ or by using the search will be working on and submitting may not conduct or sponsor a collection function. periodic comprehensive State Implementation Plan (SIP) revisions. of information unless it displays a FOR FURTHER INFORMATION CONTACT: There are 52 SIP revisions due by July currently valid Office of Management Joseph Stein, Air Quality Policy 31, 2021. and Budget (OMB) control number. No Division, Office of Air Quality Planning person shall be subject to any penalty and Standards, mail code C539–04, U.S. Courtney Kerwin, for failing to comply with a collection Environmental Protection Agency, Director, Collection Strategies Division. of information subject to the PRA that Research Triangle Park, NC 27709; [FR Doc. 2020–13929 Filed 6–26–20; 8:45 am] does not display a valid OMB control telephone number: (919) 541–0195; fax BILLING CODE 6560–50–P number. number: (919) 541–4028; email address: As part of its continuing effort to [email protected]. reduce paperwork burdens, and as SUPPLEMENTARY INFORMATION: FEDERAL COMMUNICATIONS required by the PRA of 1995 (44 U.S.C. Supporting documents, which explain COMMISSION 3501–3520), the FCC invites the general in detail the information that the EPA public and other Federal agencies to will be collecting, are available in the [OMB 3060–0132; FRS 16869] take this opportunity to comment on the public docket for this ICR. The docket Information Collection Being Reviewed following information collections. can be viewed online at https:// by the Federal Communications Comments are requested concerning: www.regulations.gov. The telephone Commission Under Delegated whether the proposed collection of number for the Docket Center is 202– Authority information is necessary for the proper 566–1744. For additional information performance of the functions of the about EPA’s public docket, visit http:// AGENCY: Federal Communications Commission, including whether the www.epa.gov/dockets. Commission. information shall have practical utility;

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the accuracy of the Commission’s assignment of frequencies in the 72–76 currently valid Office of Management burden estimate; ways to enhance the MHz band. and Budget (OMB) control number. No quality, utility, and clarity of the Federal Communications Commission. person shall be subject to any penalty information collected; ways to minimize Marlene Dortch, for failing to comply with a collection the burden of the collection of of information subject to the PRA that Secretary. information on the respondents, does not display a valid OMB control including the use of automated [FR Doc. 2020–13895 Filed 6–26–20; 8:45 am] number. collection techniques or other forms of BILLING CODE 6712–01–P As part of its continuing effort to information technology; and ways to reduce paperwork burdens, and as further reduce the information required by the PRA of 1995 (44 U.S.C. FEDERAL COMMUNICATIONS collection burden on small business 3501–3520), the FCC invites the general COMMISSION concerns with fewer than 25 employees. public and other Federal agencies to OMB Control No.: 3060–0132. [OMB 3060–0501; FRS 16863] take this opportunity to comment on the Title: Supplemental Information—72– following information collections. 76 MHz Operational Fixed Stations, Information Collection Being Reviewed Comments are requested concerning: FCC Form 1068A. by the Federal Communications Whether the proposed collection of Form No.: FCC Form 1068A. Commission information is necessary for the proper performance of the functions of the Type of Review: Extension of a AGENCY: Federal Communications currently approved collection. Commission. Commission, including whether the Respondents: Individuals or information shall have practical utility; ACTION: Notice and request for the accuracy of the Commission’s household; state, local or tribal comments. government; business or other for-profit burden estimate; ways to enhance the entities; not-for-profit institutions. SUMMARY: As part of its continuing effort quality, utility, and clarity of the Number of Respondents and to reduce paperwork burdens, and as information collected; ways to minimize Responses: 300 respondents and 300 required by the Paperwork Reduction the burden of the collection of responses. Act (PRA), the Federal Communications information on the respondents, Estimated Time per Response: 30 Commission (FCC or Commission) including the use of automated minutes. invites the general public and other collection techniques or other forms of Frequency of Response: On occasion Federal agencies to take this information technology; and ways to reporting requirement. opportunity to comment on the further reduce the information Obligation to Respond: Required to following information collections. collection burden on small business obtain or retain benefits. The statutory Comments are requested concerning: concerns with fewer than 25 employees. authority for this collection of Whether the proposed collection of OMB Control Number: 3060–0501. information is contained in 47 CFR information is necessary for the proper Title: Section 73.1942 Candidates 90.257 of the Commission’s rules and performance of the functions of the Rates; Section 76.206 Candidate Rates; the Communications Act of 1934, as Commission, including whether the Section 76.1611 Political Cable Rates amended. information shall have practical utility; and Classes of Time. Type of Review: Extension of a Total Annual Burden: 150 hours. the accuracy of the Commission’s currently approved collection. Total Annual Cost: No costs. burden estimate; ways to enhance the Respondents: Business or other for- Privacy Act Impact Assessment: Yes. quality, utility, and clarity of the profit entities. The FCC has a System of Records Notice information collected; ways to minimize Number of Respondents and (SORN), FCC/WTB–1, ‘‘Wireless the burden of the collection of Responses: 17,561 respondents; 403,610 Services Licensing Records’’, to cover information on the respondents, responses. the personally identifiable information including the use of automated Estimated Time per Response: 0.5 affected by these information collection collection techniques or other forms of hours to 20 hours. requirements. At this time, the information technology; and ways to Frequency of Response: Commission (FCC) is not required to further reduce the information Recordkeeping requirement; On complete a Privacy Impact Assessment. collection burden on small business occasion reporting requirement; Semi- Nature and Extent of Confidentiality: concerns with fewer than 25 employees. annual requirement; Third party In general, there is no need for DATES: Written comments should be disclosure requirement. confidentiality. On a case by case basis, submitted on or before August 28, 2020. Obligation to Respond: Required to the Commission may be required to If you anticipate that you will be obtain or retain benefits. The statutory withhold from disclosure certain submitting comments, but find it authority for this collection of information about the location, difficult to do so within the period of information is contained in Sections character, or ownership of a historic time allowed by this notice, you should 154(i) and 315 of the Communications property, including traditional religious advise the contacts below as soon as Act of 1934, as amended. sites. possible. Total Annual Burden: 927,269 hours. Needs and Uses: FCC rules require Total Annual Cost: None. ADDRESSES: Direct all PRA comments to that the applicant agrees to eliminate Privacy Act Impact Assessment: No Cathy Williams, FCC, via email PRA@ any harmful Interference caused by the impact(s). operation to TV reception on either fcc.gov and to [email protected]. Nature and Extent of Confidentiality: channel 4 or 5 that might develop. This FOR FURTHER INFORMATION CONTACT: For There is no need for confidentiality with form is required by the Communications additional information about the this collection of information. Act of 1934, as amended; International information collection, contact Cathy Needs and Uses: Section 315 of the Treaties and FCC Rules 47 CFR 90.257. Williams at (202) 418–2918. Communications Act directs broadcast FCC staff will use the data to determine SUPPLEMENTARY INFORMATION: The FCC stations and cable operators to charge if the information submitted will meet may not conduct or sponsor a collection political candidates the ‘‘lowest unit the FCC Rule requirements for the of information unless it displays a charge of the station’’ for the same class

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and amount of time for the same period, information collection should be burden estimates; (c) ways to enhance during the 45 days preceding a primary submitted on or before July 29, 2020. the quality, utility, and clarity of the or runoff election and the 60 days ADDRESSES: Comments should be sent to information collected; and (d) ways to preceding a general or special election. www.reginfo.gov/public/do/PRAMain. minimize the burden of the collection of The information collection Find this particular information information on the respondents, requirements contained in 47 CFR collection by selecting ‘‘Currently under including the use of automated 73.1942 require broadcast licensees and 30-day Review—Open for Public collection techniques or other forms of the requirements contained in 47 CFR Comments’’ or by using the search information technology. Pursuant to the 76.206 require cable television systems function. Your comment must be Small Business Paperwork Relief Act of to disclose any station practices offered submitted into www.reginfo.gov per the 2002, Public Law 107–198, see 44 U.S.C. to commercial advertisers that enhance above instructions for it to be 3506(c)(4), the FCC seeks specific the value of advertising spots and considered. In addition to submitting in comment on how it might ‘‘further different classes of time (immediately www.reginfo.gov also send a copy of reduce the information collection preemptible, preemptible with notice, your comment on the proposed burden for small business concerns with fixed, fire sale, and make good). These information collection to Cathy fewer than 25 employees.’’ rule sections also require licensees and Williams, FCC, via email to PRA@ OMB Control Number: 3060–1240. cable TV systems to calculate the lowest fcc.gov and to [email protected]. Title: FCC Form 2100, Application for unit charge. Broadcast stations and Include in the comments the OMB Media Bureau Video Service cable systems are also required to control number as shown in the Authorization, Schedule 387 (Transition review their advertising records SUPPLEMENTARY INFORMATION below. Progress Report). throughout the election period to FOR FURTHER INFORMATION CONTACT: For Form Number: FCC Form 2100, determine whether compliance with additional information or copies of the Schedule 387 (Transition Progress these rule sections require that information collection, contact Cathy Report Form). candidates receive rebates or credits. Williams at (202) 418–2918. To view a Type of Review: Extension of a The information collection copy of this information collection currently approved collection. Respondents: Business or other for- requirements contained in 47 CFR request (ICR) submitted to OMB: (1) Go profit entities; not-for-profit institutions. 76.1611 require cable systems to to the web page http://www.reginfo.gov/ Number of Respondents and disclose to candidates information about public/do/PRAMain, (2) look for the Responses: 1,000 respondents; 3,333 rates, terms, conditions and all value- section of the web page called responses. enhancing discount privileges offered to ‘‘Currently Under Review,’’ (3) click on commercial advertisers. Estimated Time per Response: 2 hours the downward-pointing arrow in the (1 hour to complete the form, 1 hour to Federal Communications Commission. ‘‘Select Agency’’ box below the respond to technical questions). Marlene Dortch, ‘‘Currently Under Review’’ heading, (4) Frequency of Response: On occasion Secretary. select ‘‘Federal Communications reporting requirement. [FR Doc. 2020–13896 Filed 6–26–20; 8:45 am] Commission’’ from the list of agencies Total Annual Burden: 6,666 hours. presented in the ‘‘Select Agency’’ box, BILLING CODE 6712–01–P Total Annual Costs: No costs. (5) click the ‘‘Submit’’ button to the Obligation to Respond: Required to right of the ‘‘Select Agency’’ box, (6) obtain or retain benefits. The statutory FEDERAL COMMUNICATIONS when the list of FCC ICRs currently authority for this collection is contained COMMISSION under review appears, look for the Title in Public Law 112–96, 6402 (codified at of this ICR and then click on the ICR 47 U.S.C. 309(j)(8)(G)), 6403 (codified at [OMB 3060–1240; FRS 16868] Reference Number. A copy of the FCC 47 U.S.C. 1452), 126 Stat. 156 (2012) submission to OMB will be displayed. Information Collection Being (Spectrum Act). Submitted for Review and Approval to SUPPLEMENTARY INFORMATION: The Nature and Extent of Confidentiality: Office of Management and Budget Commission may not conduct or There is no need for confidentiality with sponsor a collection of information this collection of information. impact(s). AGENCY: Federal Communications unless it displays a currently valid Privacy Impact Assessment(s): No Commission. Office of Management and Budget impact(s). ACTION: Notice and request for (OMB) control number. No person shall Needs and Uses: By Public Notice comments. be subject to any penalty for failing to released January 10, 2017, The Incentive comply with a collection of information Auction Task Force and Media Bureau SUMMARY: As part of its continuing effort subject to the PRA that does not display Release Transition Progress Report Form to reduce paperwork burdens, as a valid OMB control number. and Filing Requirements for Stations required by the Paperwork Reduction As part of its continuing effort to Eligible for Reimbursement from the TV Act (PRA) of 1995, the Federal reduce paperwork burdens, as required Broadcast Relocation Fund and Seek Communications Commission (FCC or by the Paperwork Reduction Act (PRA) Comment on the Filing of the Report by the Commission) invites the general of 1995 (44 U.S.C. 3501–3520), the FCC Non-Reimbursable Stations, MB Docket public and other Federal Agencies to invited the general public and other No. 16–306, Public Notice, 32 FCC Rcd take this opportunity to comment on the Federal Agencies to take this 256 (IATF/Med. Bur. 2017). The following information collection. opportunity to comment on the Incentive Auction Task Force and Pursuant to the Small Business following information collection. Media Bureau described the information Paperwork Relief Act of 2002, the FCC Comments are requested concerning: (a) that must be provided in the adopted seeks specific comment on how it can Whether the proposed collection of FCC Form 2100, Schedule 387 further reduce the information information is necessary for the proper (Transition Progress Report Form) to be collection burden for small business performance of the functions of the filed by Reimbursable Stations and concerns with fewer than 25 employees. Commission, including whether the when and how the Transition Progress DATES: Written comments and information shall have practical utility; Reports must be filed. We also proposed recommendations for the proposed (b) the accuracy of the Commission’s to require broadcast television stations

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that are not eligible to receive and that the matters could be and Jerry Lee Fleagle, both of Coralville, reimbursement of associated expenses considered in a closed meeting by Iowa; as a group acting in concert, to from the Reimbursement Fund (Non- authority of subsections (c)(2), (c)(4), acquire voting shares of First State Bank Reimbursable Stations), but must (c)(6), (c)(8), (c)(9)(A)(ii), (c)(9)(B), and Holding Company, and thereby transition to new channels as part of the (c)(10) of the ‘‘Government in the indirectly acquire voting shares of First Commission’s channel reassignment Sunshine Act’’ (5 U.S.C. 552b(c)(2), State Bank, both of Lynnville, Iowa. plan, to file progress reports in the same (c)(4), (c)(6), (c)(8), (c)(9)(A)(ii), (c)(9)(B), B. Federal Reserve Bank of Kansas manner and on the same schedule as and (c)(10). City (Dennis Denney, Assistant Vice Reimbursable Stations, and sought CONTACT PERSON FOR MORE INFORMATION: President) 1 Memorial Drive, Kansas comment on that proposal. By Public Requests for further information City, Missouri 64198–0001: Notice released May 18, 2017. The concerning the meeting may be directed 1. Mario Usera, Cari Usera, and Incentive Auction Task Force and to Mr. Robert E. Feldman, Executive Gabriella Usera, all of Liberty, Missouri; Media Bureau Adopt Filing Secretary of the Corporation, at 202– and Carmen Colford, Vermillion, South Requirements for the Transition 898–7043. Dakota; to become members of the Progress Report Form by Stations That Usera Family Group, a group acting in Are Not Eligible for Reimbursement Dated at Washington, DC, on June 25, 2020. concert, and retain voting shares of from the TV Broadcast Relocation Fund, Federal Deposit Insurance Corporation. CCSB Financial Corp., and thereby MB Docket No. 16–306, Public Notice, Robert E. Feldman, indirectly retain voting shares of Clay DA 17–484 (rel. May 18, 2017) (referred Executive Secretary. County Savings Bank, both of Liberty, to collectively with Public Notice cited [FR Doc. 2020–14055 Filed 6–25–20; 4:15 pm] Missouri. above as Transition Progress Report BILLING CODE 6714–01–P Board of Governors of the Federal Reserve Public Notices). We concluded that System, June 24, 2020. Non-Reimbursable Stations will be Yao-Chin Chao, required to file Transition Progress FEDERAL RESERVE SYSTEM Assistant Secretary of the Board. Reports following the filing procedures [FR Doc. 2020–13961 Filed 6–26–20; 8:45 am] adopted for Reimbursable Stations. Change in Bank Control Notices; BILLING CODE P The Commission is seeking a three- Acquisitions of Shares of a Bank or year extension for this information Bank Holding Company collection from the Office of FEDERAL RESERVE SYSTEM Management and Budget (OMB) The notificants listed below have applied under the Change in Bank approval for FCC Form 2100, Schedule Agency Information Collection Control Act (Act) (12 U.S.C. 1817(j)) and 387 (Transition Progress Report). Activities: Announcement of Board § 225.41 of the Board’s Regulation Y (12 Approval Under Delegated Authority Federal Communications Commission CFR 225.41) to acquire shares of a bank and Submission to OMB Marlene Dortch, or bank holding company. The factors Secretary, Office of the Secretary. that are considered in acting on the AGENCY: Board of Governors of the [FR Doc. 2020–13898 Filed 6–26–20; 8:45 am] applications are set forth in paragraph 7 Federal Reserve System. BILLING CODE 6712–01–P of the Act (12 U.S.C. 1817(j)(7)). SUMMARY: The Board of Governors of the The public portions of the Federal Reserve System (Board) is applications listed below, as well as adopting a proposal to implement the FEDERAL DEPOSIT INSURANCE other related filings required by the Pre-Hire Conflict of Interest Screening CORPORATION Board, if any, are available for Form (FR 28c; OMB No. 7100–NEW). immediate inspection at the Federal FOR FURTHER INFORMATION CONTACT: Sunshine Act Meetings Reserve Bank(s) indicated below and at Federal Reserve Board Clearance the offices of the Board of Governors. Officer—Nuha Elmaghrabi—Office of TIME AND DATE: 11:00 a.m. on Thursday, This information may also be obtained the Chief Data Officer, Board of June 25, 2020. on an expedited basis, upon request, by Governors of the Federal Reserve PLACE: The meeting was held in the contacting the appropriate Federal System, Washington, DC 20551, (202) Board Room located on the Sixth Floor Reserve Bank and from the Board’s 452–3829. of the FDIC Building located at 550 17th Freedom of Information Office at Office of Management and Budget Street NW, Washington, DC. https://www.federalreserve.gov/foia/ (OMB) Desk Officer—Shagufta Ahmed— STATUS: Closed. request.htm. Interested persons may Office of Information and Regulatory MATTERS TO BE CONSIDERED: In calling express their views in writing on the Affairs, Office of Management and the meeting, the Board determined, on standards enumerated in paragraph 7 of Budget, New Executive Office Building, motion of Director Martin J. Gruenberg, the Act. Room 10235, 725 17th Street NW, seconded by Director Kathleen L. Comments regarding each of these Washington, DC 20503, or by fax to Kraninger (Director, Consumer applications must be received at the (202) 395–6974. Financial Protection Bureau), and Reserve Bank indicated or the offices of A copy of the Paperwork Reduction concurred in by Director Brian P. Brooks the Board of Governors, Ann E. Act (PRA) OMB submission, including (Acting Comptroller of the Currency), Misback, Secretary of the Board, 20th the reporting form and instructions, and Chairman Jelena McWilliams, that Street and Constitution Avenue NW, supporting statement, and other Corporation business required its Washington, DC 20551–0001, not later documentation will be placed into consideration of the matters which were than July 14, 2020. OMB’s public docket files. These to be the subject of this meeting on less A. Federal Reserve Bank of Chicago documents also are available on the than seven days’ notice to the public; (Colette A. Fried, Assistant Vice Federal Reserve Board’s public website that no earlier notice of the meeting was President) 230 South LaSalle Street, at https://www.federalreserve.gov/apps/ practicable; that the public interest did Chicago, Illinois 60690–1414: reportforms/review.aspx or may be not require consideration of the matters 1. Nancy Kay Toppenberg, Newton, requested from the agency clearance in a meeting open to public observation; Iowa, together with Linda Louise Fleagle officer, whose name appears above.

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SUPPLEMENTARY INFORMATION: On June to obtain the benefit of Board Washington, DC 20503, or by fax to 15, 1984, OMB delegated to the Board employment. (202) 395–6974. authority under the PRA to approve and Generally, information provided on A copy of the Paperwork Reduction assign OMB control numbers to the FR 28c form may be kept Act (PRA) OMB submission, including collections of information conducted or confidential from the public under the reporting form and instructions, sponsored by the Board. Board- exemption 6 of the Freedom of supporting statement, and other approved collections of information are Information Act (FOIA), which protects documentation will be placed into incorporated into the official OMB information in ‘‘personnel and medical OMB’s public docket files. These inventory of currently approved files and similar files the disclosure of documents also are available on the collections of information. Copies of the which would constitute a clearly Federal Reserve Board’s public website PRA Submission, supporting unwarranted invasion of personal at https://www.federalreserve.gov/apps/ statements, and approved collection of privacy’’ (5 U.S.C. 552(b)(6)). In reportforms/review.aspx or may be information instrument(s) are placed addition, financial information collected requested from the agency clearance into OMB’s public docket files. on the form (such as confidential details officer, whose name appears above. Final Approval under OMB Delegated about the amount of shares an applicant, SUPPLEMENTARY INFORMATION: On June Authority of the Implementation of the their spouse, or minor child owns in a 15, 1984, OMB delegated to the Board Following Information Collection: bank) may be withheld under authority under the PRA to approve and Report title: Pre-Hire Conflict of exemption 4 of the FOIA, which assign OMB control numbers to Interest Screening Form. protects ‘‘financial information obtained collections of information conducted or Agency form number: FR 28c. from a person [that is] privileged and sponsored by the Board. Board- OMB control number: 7100–NEW. confidential’’ (5 U.S.C. 552(b)(4)). approved collections of information are Frequency: As needed. Current actions: On January 16, 2020, incorporated into the official OMB Respondents: Individuals who have the Board published a notice in the inventory of currently approved been selected for an interview during Federal Register (85 FR 2741) collections of information. Copies of the the hiring process. requesting public comment for 60 days PRA Submission, supporting Estimated number of respondents: on the implementation of the FR 28c. statements, and approved collection of 2,300. The comment period for this notice information instrument(s) are placed Estimated average hours per response: expired on March 16, 2020. The Board into OMB’s public docket files. 0.5. did not receive any comments. Final Approval under OMB Delegated Estimated annual burden hours: Board of Governors of the Federal Reserve Authority of the Extension for Three 1,150. System, June 23, 2020. Years, With Revision, of the Following General description of report: The FR Michele Taylor Fennell, Information Collection: 28c form will collect information from Assistant Secretary of the Board. Report title: Joint Standards for external applicants applying to the [FR Doc. 2020–13858 Filed 6–26–20; 8:45 am] Assessing the Diversity Policies and Board regarding certain financial BILLING CODE 6210–01–P Practices of Entities Regulated by the interests and business relationships Agencies (Policy Statement). held by the applicant and by his/her Agency form number: FR 2100. immediate family members, as well as FEDERAL RESERVE SYSTEM OMB control number: 7100–0368. the external applicant’s involvement Effective Date: Immediately. with certain outside organizations, to Agency Information Collection Frequency: Annual. determine whether a conflict of interest Activities: Announcement of Board Respondents: All financial may exist, which could impact the Approval Under Delegated Authority institutions regulated by the Board. applicant’s ability to fulfill the and Submission to OMB Estimated number of respondents: responsibilities associated with the 125. AGENCY: Board of Governors of the position for which they have applied. Estimated average hours per response: Federal Reserve System. Legal authorization and Reporting: 7 hours; Disclosure: 1 hour. confidentiality: The collection of this SUMMARY: The Board of Governors of the Estimated annual burden hours: 1,000 information is authorized by section 10 Federal Reserve System (Board) is hours. of the Federal Reserve Act, 12 U.S.C. adopting a proposal to extend for three General description of report: Section 244, which provides that the years, with revision, the Joint Standards 342 of the Dodd-Frank Wall Street ‘‘employment, compensation, leave, and for Assessing the Diversity Policies and Reform and Consumer Protection Act of expenses’’ of Board employees ‘‘shall be Practices of Entities Regulated by the 2010 (Dodd-Frank Act) requires the governed solely by the provisions of this Agencies (FR 2100; OMB No. 7100– Office of the Comptroller of the chapter and rules and regulations of the 0368). The revisions are effective Currency (OCC), Board, Federal Deposit Board not inconsistent therewith.’’ In immediately. Insurance Corporation (FDIC), National addition, pursuant to regulations FOR FURTHER INFORMATION CONTACT: Credit Union Administration (NCUA), promulgated by the Office of Federal Reserve Board Clearance Bureau of Consumer Financial Government Ethics (OGE) pursuant to 5 Officer—Nuha Elmaghrabi—Office of Protection (CFPB), and Securities and U.S.C. 7301, each executive agency’s the Chief Data Officer, Board of Exchange Commission (SEC) (the designated ethics officer is required to Governors of the Federal Reserve Agencies) each to establish an Office of provide ‘‘advice and counseling to System, Washington, DC 20551, (202) Minority and Women Inclusion (OMWI) prospective . . . employees regarding 452–3829. to be responsible for all matters of the government ethics laws and Office of Management and Budget Agency relating to diversity in regulations’’ and to ‘‘maintain records of (OMB) Desk Officer—Shagufta Ahmed— management, employment, and business agency ethics program activities’’ (5 CFR Office of Information and Regulatory activities. Section 342 requires each 2638.104(c)(2) and (4)). Affairs, Office of Management and OMWI director to develop standards for Providing the information collected Budget, New Executive Office Building, ‘‘assessing the diversity policies and on the FR 28c form is required in order Room 10235, 725 17th Street NW, practices of entities regulated by the

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agency.’’ The Policy Statement, template and asks for a more detailed approved collections of information are published jointly by the Agencies in description of the institution’s practices incorporated into the official OMB June 2015, contains those standards. during the annual self-assessment inventory of currently approved Legal authorization and period. Additionally, the FR 2100 collections of information. Copies of the confidentiality: The information includes a disclosure provision for PRA Submission, supporting collections contained within the Policy respondent institutions. The Board has statements, and approved collection of Statement, as well as the self-assessment revised the FR 2100 information information instrument(s) are placed reporting template, are authorized by collection to account for this disclosure into OMB’s public docket files. section 342 of the Dodd-Frank Act,1 provision. The comment period expired Final Approval under OMB Delegated which requires the Board’s OMWI on May 1, 2020. The Board did not Authority of the Extension for Three director to develop standards for receive any comments. The revisions Years, Without Revision, of the assessing regulated entities’ diversity will be implemented as proposed. Following Information Collection: policies and practices. The information Board of Governors of the Federal Reserve Report title: Compensation and Salary collections associated with the Policy System, June 23, 2020. Surveys. Statement are voluntary, as is the use of Michele Taylor Fennell, Agency form number: FR 29a, FR 29b. the self-assessment reporting template. OMB control number: 7100–0290. The Transparency Standard, and a Assistant Secretary of the Board. Frequency: FR 29a, annually; FR 29b, portion of the Self-Assessment [FR Doc. 2020–13859 Filed 6–26–20; 8:45 am] on occasion. Standard, call for regulated entities to BILLING CODE 6210–01–P Respondents: Employers considered provide information to the public, so competitors of the Board. confidentiality is not an issue with Estimated number of respondents: FR respect to those aspects of the Policy FEDERAL RESERVE SYSTEM 29a, 35; FR 29b, 10. Statement. A regulated entity may Estimated average hours per response: provide self-assessment material to the Agency Information Collection Activities: Announcement of Board FR 29a, 6 hours; FR 29b, 1 hour. Board (including through use of the Estimated annual burden hours: FR reporting template) containing Approval Under Delegated Authority and Submission to OMB 29a, 210 hours; FR 29b, 50 hours. confidential commercial information General description of report: The FR that is protectable under exemption 4 of AGENCY: Board of Governors of the 29a and FR 29b collect information on the Freedom of Information Act.2 If a Federal Reserve System. salaries, employee compensation regulated entity submits confidential SUMMARY: The Board of Governors of the policies, and other employee programs commercial information that is both Federal Reserve System (Board) is from employers that are considered customarily and actually treated as adopting a proposal to extend for three competitors of the Board. The data from private by the entity, the entity should years, without revision, the the surveys primarily are used to separately designate such information as Compensation and Salary Surveys (FR determine the appropriate salary ‘‘confidential commercial information,’’ 29a and FR 29b; OMB No. 7100–0290). structure and salary adjustments for as appropriate, and the Board will treat FOR FURTHER INFORMATION CONTACT: Board employees. The Board, along with such designated information as other Financial Institutions Reform, confidential to the extent permitted by Federal Reserve Board Clearance Officer—Nuha Elmaghrabi—Office of Recovery and Enforcement Act of 1989 law, including the Freedom of 1 the Chief Data Officer, Board of (FIRREA) agencies, conduct the FR 29a Information Act.3 As noted in the Policy survey jointly. The FR 29b is collected Statement, an entity’s primary federal Governors of the Federal Reserve System, Washington, DC 20551, (202) by the Board only. regulator may share information Legal authorization and obtained from regulated entities with 452–3829. Office of Management and Budget confidentiality: The FR 29 is authorized other Agencies, but the Agencies will (OMB) Desk Officer—Shagufta Ahmed— by sections 10(4) and 11(1) of the only publish information disclosed to 2 Office of Information and Regulatory Federal Reserve Act, which authorizes them in a form that does not identify a Affairs, Office of Management and the Board to determine employees’ particular entity or individual or Budget, New Executive Office Building, compensation. Survey submissions are disclose confidential business Room 10235, 725 17th Street NW, voluntary. The FR 29a survey is information. Washington, DC 20503, or by fax to conducted by an outside consultant that Current actions: On March 2, 2020, only submits to the Board a report of the Board published a notice in the (202) 395–6974. A copy of the Paperwork Reduction aggregate data. Because the Board does Federal Register (85 FR 12296) not collect or have access to the requesting comment for 60 days on the Act (PRA) OMB submission, including the reporting form and instructions, individual respondent data, no proposal to extend, with revision, the confidentiality issue arises with respect Joint Standards for Assessing the supporting statement, and other documentation will be placed into to the individual responses to the FR Diversity Policies and Practices of 29a. Individual responses to the FR 29b Entities Regulated by the Agencies. The OMB’s public docket files. These documents also are available on the may be kept confidential on a case-by- Board has revised the language in the case basis. The Board will consider ‘‘Use of Information’’ section of the Federal Reserve Board’s public website at https://www.federalreserve.gov/apps/ whether information collected through reporting template regarding the these surveys may be kept confidential designation of information as reportforms/review.aspx or may be requested from the agency clearance confidential by respondents. The Board 1 officer, whose name appears above. For purposes of this proposal, the FIRREA also eliminated the ‘‘Yes/No’’ check agencies consist of the Federal Reserve Board, the boxes under Section 5 (‘‘Institution’s SUPPLEMENTARY INFORMATION: On June Office of the Comptroller of the Currency, the Self-Assessment’’) of the reporting 15, 1984, OMB delegated to the Board Federal Deposit Insurance Corporation, the National authority under the PRA to approve and Credit Union Administration, the Commodity Futures Trading Commission, the Farm Credit 1 12 U.S.C. 5452. assign OMB control numbers to Administration, and the Securities and Exchange 2 5 U.S.C. 552(b)(4). collections of information conducted or Commission. 3 5 U.S.C. 552. sponsored by the Board. Board- 2 12 U.S.C. 244 and 248(l).

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under exemption 4 of the Freedom of www.federalreserve.gov/apps/foia/ authority delegated by the OMB under Information Act (‘‘FOIA’’), which proposedregs.aspx as submitted, unless the PRA. Comments are invited on the protects privileged or confidential modified for technical reasons or to following: commercial or financial information,3 remove personally identifiable a. Whether the proposed collection of exemption 6, which protects information at the commenter’s request. information is necessary for the proper information ‘‘the disclosure of which Accordingly, comments will not be performance of the Board’s functions, would constitute a clearly unwarranted edited to remove any identifying or including whether the information has invasion of personal privacy,’’ 4 or any contact information. Public comments practical utility; other applicable FOIA exemption. may also be viewed electronically or in b. The accuracy of the Board’s Current actions: On March 13, 2020, paper in Room 146, 1709 New York estimate of the burden of the proposed the Board published a notice in the Avenue NW, Washington, DC 20006, information collection, including the Federal Register (85 FR 14679) between 9:00 a.m. and 5:00 p.m. on validity of the methodology and requesting public comment for 60 days weekdays. For security reasons, the assumptions used; on the extension, without revision, of Board requires that visitors make an c. Ways to enhance the quality, the Compensation and Salary Surveys. appointment to inspect comments. You utility, and clarity of the information to The comment period for this notice may do so by calling (202) 452–3684. be collected; expired on May 12, 2020. The Board did Upon arrival, visitors will be required to d. Ways to minimize the burden of not receive any comments. present valid government-issued photo information collection on respondents, including through the use of automated Board of Governors of the Federal Reserve identification and to submit to security System, June 23, 2020. screening in order to inspect and collection techniques or other forms of photocopy comments. information technology; and Michele Taylor Fennell, e. Estimates of capital or startup costs Assistant Secretary of the Board Additionally, commenters may send a copy of their comments to the Office of and costs of operation, maintenance, [FR Doc. 2020–13857 Filed 6–26–20; 8:45 am] Management and Budget (OMB) Desk and purchase of services to provide BILLING CODE 6210–01–P Officer—Shagufta Ahmed—Office of information. Information and Regulatory Affairs, At the end of the comment period, the comments and recommendations FEDERAL RESERVE SYSTEM Office of Management and Budget, New Executive Office Building, Room 10235, received will be analyzed to determine Proposed Agency Information 725 17th Street NW, Washington, DC the extent to which the Board should Collection Activities; Comment 20503, or by fax to (202) 395–6974. modify the proposal. Request FOR FURTHER INFORMATION CONTACT: A Proposal Under OMB Delegated copy of the Paperwork Reduction Act AGENCY: Board of Governors of the Authority to Extend for Three Years, (PRA) OMB submission, including the Federal Reserve System. With Revision, the Following reporting form and instructions, Information Collection: ACTION: Notice, request for comment. supporting statement, and other Report title: Annual Daylight documentation will be placed into SUMMARY: The Board of Governors of the Overdraft Capital Report for U.S. OMB’s public docket files, if approved. Federal Reserve System (Board) invites Branches and Agencies of Foreign These documents will also be made comment on a proposal to extend for Banks. available on the Board’s public website three years, with revision the Annual Agency form number: FR 2225. Daylight Overdraft Capital Report for at https://www.federalreserve.gov/apps/ OMB control number: 7100–0216. U.S. Branches and Agencies of Foreign reportforms/review.aspx or may be Frequency: Annually. Banks (FR 2225; OMB No. 7100–0216). requested from the agency clearance Respondents: Foreign banking officer, whose name appears below. DATES: Comments must be submitted on organizations (FBOs). or before August 28, 2020. Federal Reserve Board Clearance Estimated number of respondents: 51. Officer—Nuha Elmaghrabi—Office of ADDRESSES: Estimated average hours per response: You may submit comments, the Chief Data Officer, Board of identified by FR 2225, by any of the 1. Governors of the Federal Reserve Estimated annual burden hours: 51. following methods: System, Washington, DC 20551, (202) • Agency website: https:// General description of report: The FR 452–3829. www.federalreserve.gov/. Follow the 2225 is required for FBOs that wish to instructions for submitting comments at SUPPLEMENTARY INFORMATION: On June and are eligible to establish a non-zero https://www.federalreserve.gov/apps/ 15, 1984, OMB delegated to the Board net debit cap for their U.S. branches and foia/proposedregs.aspx. authority under the PRA to approve and agencies under the Federal Reserve • Email: regs.comments@ assign OMB control numbers to Policy on Payment System Risk (PSR federalreserve.gov. Include the OMB collections of information conducted or policy). The FR 2225 reporting form number in the subject line of the sponsored by the Board. In exercising collects information needed to identify message. this delegated authority, the Board is the respondent and its fiscal year-end, • FAX: (202) 452–3819 or (202) 452– directed to take every reasonable step to and collects four items to determine its 3102. solicit comment. In determining year-end capital and assets for purposes • Mail: Ann E. Misback, Secretary, whether to approve a collection of of daylight overdraft monitoring. The Board of Governors of the Federal information, the Board will consider all four items, converted into U.S. dollars Reserve System, 20th Street and comments received from the public and collected for the capital and assets Constitution Avenue NW, Washington, other agencies. determination are: Worldwide capital for the reporting FBO (item 1); an DC 20551. Request for Comment on Information All public comments are available adjustment to avoid double counting of Collection Proposal from the Board’s website at https:// capital used by any direct or indirect The Board invites public comment on subsidiary of the FBO that also has 3 5 U.S.C. 552(b)(4). the following information collection, access to Fedwire and has its own net 4 5 U.S.C. 552(b)(6). which is being reviewed under debit cap (item 2); the FBO’s total

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daylight overdraft capital base for the deposits from, discount paper endorsed refugee households entering the U.S. in U.S. branch and agency family (item 3), by, and make advances to any branch or the previous five fiscal years. The which is used to calculate the net debit agency of a foreign bank in the same requested update is based upon results cap; and the reporting FBO’s total manner and to the same extent that it of a multi-year effort in instrument worldwide assets (item 4). The Reserve may exercise such powers with respect redesign and field testing. ACF Banks use items 1 and 2 as to a member bank if such branch or estimates the proposed changes will supplemental information to clarify the agency is maintaining reserves with increase response burden from 30 to 48 data reported in item 3. Federal Reserve such Reserve bank pursuant to section minutes per respondent. staff use the assets data reported in item 7 of the International Banking Act of DATES: Comments due within 30 days of 4 for analytical purposes. 1978.’’ In addition, sections 11(i), 16, Proposed revisions: The Board publication. OMB is required to make a and 19(f) of the FRA, 12 U.S.C. 248(i), decision concerning the collection of proposes to revise the instructions to 248–1, and 464, continue to provide remove references to an FBO’s strength information between 30 and 60 days authority for the collection of the FR after publication of this document in the of support assessment (SOSA) ranking 2225. The obligation to respond is and its status as a financial holding Federal Register. Therefore, a comment required to obtain a benefit (i.e., this is best assured of having its full effect company (FHC). These changes are information is required in order for an related to the revisions to the PSR if OMB receives it within 30 days of FBO to establish a non-zero net debit publication. policy, which the Board implemented cap so that its U.S. branches or agencies on April 1, 2019, and which will take may be eligible for intraday credit). ADDRESSES: Written comments and effect on October 1, 2020. The SOSA Consultation outside the agency: recommendations for the proposed ranking and FHC status are no longer There has been no consultation outside information collection should be sent used for determining an FBO’s the Federal Reserve System. within 30 days of publication of this eligibility for a positive net debit cap, notice to www.reginfo.gov/public/do/ the size of its net debit cap, and its Board of Governors of the Federal Reserve System, June 23, 2020. PRAMain. Find this particular eligibility to request a streamlined information collection by selecting procedure to obtain maximum daylight Michele Taylor Fennell, Assistant Secretary of the Board. ‘‘Currently under 30-day Review—Open overdraft capacity. In addition, the for Public Comments’’ or by using the [FR Doc. 2020–13855 Filed 6–26–20; 8:45 am] Board proposes to revise the search function. confidentiality section of the BILLING CODE 6210–01–P instructions to clarify how an FBO may SUPPLEMENTARY INFORMATION: request its information be treated as Description: Data from the Annual confidential, if the FBO believes the DEPARTMENT OF HEALTH AND Survey of Refugees are used to meet the information submitted on its FR 2225 HUMAN SERVICES Office of Refugee Resettlement’s (ORR’s) report is exempt from disclosure under Congressional reporting requirements, the Freedom of Information Act, 5 Administration for Children and as set forth in the Refugee Act of 1980 U.S.C. 552(b). The Board also is Families (Section 413(a) of the Immigration and changing language in the FR 2225 to Nationality Act). ORR makes survey Submission for OMB Review; Office of clarify where the confidentiality findings available to the general public Refugee Resettlement Annual Survey instructions can be found, and updating and uses findings for the purposes of of Refugees (OMB #0907–0033) the legal statutes listed on the face of the program planning, policy-making, and FR 2225. AGENCY: Office of Refugee Resettlement, budgeting. The requested update reflects Legal authorization and Administration for Children and changes to the survey instrument to: confidentiality: This information Families, HHS. enhance ORR’s understanding of refugees’ resettlement experiences; collection is authorized pursuant to ACTION: Request for public comment. section 7(a) of the International Banking streamline the collection of household- Act, 12 U.S.C. 3105(a), which SUMMARY: The Administration for level information; and improve data establishes reserve requirements for U.S. Children and Families (ACF) within the reliability and validity. branches and agencies of foreign banks, U.S. Department of Health and Human Respondents: The Annual Survey of and pursuant to section 13(14) of the Services (HHS) seeks an update to the Refugees secures a nationally Federal Reserve Act (FRA), 12 U.S.C. existing data collection for the Annual representative sample of refugee 347d, which provides that ‘‘each Survey of Refugees. The Annual Survey households arriving in the United States Federal Reserve bank may receive of Refugees is a yearly sample survey of in the previous five fiscal years.

ANNUAL BURDEN ESTIMATES

Total Annual Number of Average Annual Instrument number of number of responses per burden hours burden respondents respondents respondent per response hours

Introduction Letter and Postcard ...... 4,500 1,500 1 .05 75 ORR–9 Annual Survey of Refugees ...... 4,500 1,500 1 .80 1,200

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Estimated Total Annual Burden collections for NSCAW have been SUPPLEMENTARY INFORMATION: Hours: 1,275. approved by OMB under OMB #0970– Description: NSCAW is the only (Authority: Sec. 413.[8 U.S.C. 1523]) 0202. This request is for additional data source of nationally representative, collection. longitudinal, firsthand information Mary B. Jones, DATES: Comments due within 30 days of about the functioning and well-being, ACF/OPRE Certifying Officer. publication. OMB is required to make a service needs, and service utilization of [FR Doc. 2020–13941 Filed 6–26–20; 8:45 am] decision concerning the collection of children and families who come to the BILLING CODE 4184–45–P information between 30 and 60 days attention of the child welfare system. after publication of this document in the OMB previously approved data Federal Register. Therefore, a comment collection under OMB Control Number DEPARTMENT OF HEALTH AND is best assured of having its full effect 0970–0202 for NSCAW. The Phase I HUMAN SERVICES if OMB receives it within 30 days of submission, approved November 2016, publication. included recruitment and sampling Administration for Children and process data collection activities. The Families ADDRESSES: Written comments and Phase II submission, approved July recommendations for the proposed 2017, included baseline and 18-month Proposed Information Collection information collection should be sent follow-up data collection activities. Activity; National Survey of Child and directly to the following: Office of The proposed new data collection Adolescent Well-Being-Third Cohort Management and Budget, Paperwork (NSCAW III) (OMB #0970–0202) activities will provide national Reduction Project, Email: OIRA_ representative data on the AGENCY: Office of Planning, Research, [email protected], Attn: characteristics and activities of the and Evaluation (OPRE); Administration Desk Officer for the Administration for workforce in child welfare agencies for Children and Families; Department Children and Families. participating in NSCAW III. Surveys of Health and Human Services (HHS). Copies of the proposed collection may will collect information on workforce ACTION: Request for public comment. be obtained by emailing characteristics and competencies, [email protected]. training and professional development SUMMARY: The Administration for Alternatively, copies can also be opportunities, and organizational and Children and Families (ACF), within the obtained by writing to the agency factors. The surveys will also U.S. Department of Health and Human Administration for Children and collect information about the potential Services (HHS), is proposing to collect Families, Office of Planning, Research, impacts of the COVID–19 pandemic on data on the child welfare workforce as and Evaluation, 330 C Street SW, child welfare agency staff and practice. part of the third cohort of children and Washington, DC 20201, Attn: OPRE Respondents: The respondents are families for the National Survey of Child Reports Clearance Officer. All requests, agency directors, supervisors, and and Adolescent Well-Being (NSCAW emailed or written, should be identified caseworkers. All surveys will be III). Previous and current data by the title of the information collection. conducted in-person.

ANNUAL BURDEN ESTIMATES

Number of Average Instrument Total number Annual number responses per burden hours Annual of respondents of respondents respondent per response burden hours

Agency Director Survey ...... 56 19 1 .58 11 Supervisor Survey ...... 130 43 1 .58 25 Caseworker Survey ...... 390 130 1 .83 108

Estimated Total Annual Burden DEPARTMENT OF HEALTH AND Trauma-Specific Evidence-Based Hours: 144. HUMAN SERVICES Programs used in the Regional Partnership Grants (RPG) Program. Authority: 42 U.S.C. 628b; Continuing Administration for Children and Appropriations Act of 2020. Families DATES: Comments due within 60 days of publication. In compliance with the Mary B. Jones, Proposed Information Collection requirements of Section 3506(c)(2)(A) of ACF/OPRE Certifying Officer. Activity; Cost Study of Trauma- the Paperwork Reduction Act of 1995, [FR Doc. 2020–13856 Filed 6–26–20; 8:45 am] Specific Evidence-Based Programs ACF is soliciting public comment on the BILLING CODE 4184–01–P Used in the Regional Partnership specific aspects of the information Grants Program (New Collection) collection described above. AGENCY: Children’s Bureau, ADDRESSES: Copies of the proposed Administration for Children and collection of information can be Families, HHS. obtained and comments may be ACTION: Request for public comment. forwarded by emailing infocollection@ acf.hhs.gov. Alternatively, copies can SUMMARY: The Children’s Bureau (CB), also be obtained by writing to the Administration for Children and Administration for Children and Families (ACF), U.S. Department of Families, Office of Planning, Research, Health and Human Services (HHS), is and Evaluation (OPRE), 330 C Street proposing to collect data for a new SW, Washington, DC 20201, Attn: ACF descriptive study—the Cost Study of Reports Clearance Officer. All requests,

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emailed or written, should be identified All grantees collect data on a uniform Parent-Child Interaction Therapy, by the title of the information collection. set of performance measures and report Seeking Safety, and Trauma-Focused SUPPLEMENTARY INFORMATION: them to CB on a semi-annual basis Cognitive Behavioral Therapy. To carry Description: Since 2006, CB has through a web-based system. These out this objective, the study team will awarded multiple rounds of competitive ongoing data collection activities are collect detailed cost information from grants to state and local agencies and approved under OMB #0970–0527. All nine RPG round four and five grantees service providers under the RPG grantees are also required to use a who are implementing these selected Program. Grants are awarded to portion of their funding to conduct their EBPs. For each grantee, the study team organizations such as child welfare own ‘‘local’’ program impact evaluation. will administer two data collection agencies, substance abuse treatment This proposed cost study adds a new instruments: (1) A Cost Workbook used providers, or family court systems to and unique contribution to CB’s to collect comprehensive information on develop interagency collaborations and portfolio of evaluation activities. the cost of implementing each select provide services designed to increase Although the RPG cross-site evaluation program (Instrument #1), and (2) a Staff well-being, improve permanency, and will provide evidence for the Survey and Time Log used to collect enhance the safety of children who are effectiveness of some interventions to information on how program staff in or are at risk of being placed in out- address the emotional effects of trauma, allocate their time (Instrument #2). of-home care as a result of a parent’s or more information is needed about the caretaker’s substance abuse. Thirty-five cost of implementing these Evidence- Respondents: Grantee staff. grantees are participating in the ongoing Based Programs (EBPs). Annual Burden Estimates RPG national cross-site evaluation, The cost study has the key objective which examines implementation, to determine the cost of implementing Data collection will take place within partnerships, outcomes, and impacts. three select Trauma-Specific EBPs: a 1-year period.

Total number Average Total number of responses burden Total/annual Instrument of respondents per hours per burden hours respondent response

Cost Workbook ...... 9 1 8 72 Staff Survey and Time Log ...... 90 1 3.6 330

Estimated Total Annual Burden DEPARTMENT OF HEALTH AND after publication of this document in the Hours: 402. HUMAN SERVICES Federal Register. Therefore, a comment Comments: The Department is best assured of having its full effect Administration for Children and if OMB receives it within 30 days of specifically requests comments on (a) Families whether the proposed collection of publication. information is necessary for the proper Submission for OMB Review; Survey ADDRESSES: Written comments and performance of the functions of the of the National Survey of Child and recommendations for the proposed agency, including whether the Adolescent Well-Being (NSCAW) information collection should be sent information shall have practical utility; Adopted Youth, Young Adults, and within 30 days of publication of this (b) the accuracy of the agency’s estimate Adoptive Parents (New Collection) notice to www.reginfo.gov/public/do/ of the burden of the proposed collection PRAMain. Find this particular AGENCY: Office of Planning, Research of information; (c) the quality, utility, information collection by selecting and Evaluation (OPRE); Administration ‘‘Currently under 30-day Review—Open and clarity of the information to be for Children and Families; Department collected; and (d) ways to minimize the for Public Comments’’ or by using the Of Health and Human Services (HHS). search function. burden of the collection of information ACTION: Request for public comment. on respondents, including through the SUPPLEMENTARY INFORMATION: use of automated collection techniques SUMMARY: The Administration for Description: The proposed study or other forms of information Children and Families (ACF) at the U.S. would conduct web or telephone technology. Consideration will be given Department of Health and Human surveys with adopted youth, young to comments and suggestions submitted Services (HHS) seeks approval for a one- adults, and adults as well as adoptive within 60 days of this publication. time study to examine familial parents who were participants in the outcomes 8 or more years after a child’s first or second cohort of NSCAW Authority: The Child and Family Services adoption from the child welfare system. (NSCAW I, II; OMB #0970–0202). The Improvement and Innovation Act (Pub. L. The primary objective of this study is to surveys are designed to collect 112–34). estimate the prevalence of instability information about instability events Mary B. Jones, events that occur in families who have (such as foster care re-entry or running adopted children who have exited the ACF/OPRE Certifying Officer. away that occurred after a child’s foster care system. The second objective [FR Doc. 2020–13935 Filed 6–26–20; 8:45 am] adoption) as well as family functioning, is to understand risk and protective perceptions of the adoption BILLING CODE 4184–29–P factors associated with post adoption relationship, and services and support instability. received after adoption. DATES: Comments due within 30 days of Respondents: Adopted youth, young publication. OMB is required to make a adults, adults, and their associated decision concerning the collection of adoptive parents who participated in information between 30 and 60 days NSCAW I or II.

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ANNUAL BURDEN ESTIMATES

Average Total Number of burden hours Annual Instrument number of responses per per burden hours respondents respondent response

Survey of NSCAW Adopted Youth, Young Adults, and Adults ...... 588 1 .5 294 Survey of NSCAW Adoptive Parents ...... 554 1 .5 277

Estimated Total Annual Burden project period, July 1, 2020 through June of Device Establishment Inspection Hours: 571. 30, 2021. Processes and Standards.’’ FDA is Authority: Child Abuse Prevention and Award Amount: $2,188,339. issuing this guidance to comply with Treatment and Adoption Reform Act of 1978. Award Type: Cooperative Agreement. changes to the Federal Food, Drug, and Statutory Authority: This program is Cosmetic Act (FD&C Act) as amended Mary B. Jones, authorized under Section 317 of the by the FDA Reauthorization Act of 2017 ACF/OPRE Certifying Officer. Public Health Service Act (42 U.S.C. (FDARA), which requires that FDA [FR Doc. 2020–13939 Filed 6–26–20; 8:45 am] 247(b–4)). review and update, as needed, the BILLING CODE 4184–25–P CFDA Number: 93.325 Discretionary processes and standards applicable to Projects. inspections (other than for-cause) of The purpose of the supplemental domestic and foreign medical device DEPARTMENT OF HEALTH AND funding is to support the expansion the establishments in place as of August 18, HUMAN SERVICES National Paralysis Resource Center to 2017. This guidance describes how FDA improve the health and quality of life of will implement uniform inspection Administration for Community Living individuals living with paralysis and processes and standards. The guidance their families by raising awareness of Notice of Intent To Award a Sole also describes standardized methods of and facilitating access to a broad range Source Supplement to the Christopher communication during the inspection of services relevant to individuals with and Dana Reeve Foundation process and identifies practices for paralysis. With the additional funding, investigators and device establishments the PRC will work to expand the ACTION: Notice of Intent to award a sole to facilitate the continuity of inspections source supplement. National Resource and Information of such establishments. Center; increase the health and quality DATES: The announcement of the SUMMARY: The Administration for of life of Americans with disabilities guidance is published in the Federal Community Living (ACL) is announcing living with paralysis; increase support Register on June 29, 2020. the award of single-source supplement and resources to people with paralysis, ADDRESSES: You may submit either for the National Paralysis Resource their families and caregivers; expand electronic or written comments on Center (PRC) that was included in the collaboration with federal agencies and Agency guidances at any time as 2020 Congressional budget other national organizations that have a follows: appropriations. vested interest in the paralysis community; and strengthen Electronic Submissions SUPPLEMENTARY INFORMATION: The performance measures. Submit electronic comments in the National Paralysis Resource Center is Dated: June 17, 2020. following way: operated by the Christopher and Dana • Mary Lazare, Federal eRulemaking Portal: Reeve Foundation, which offers https://www.regulations.gov. Follow the important programmatic opportunities Principal Deputy Administrator, Administration for Community Living. instructions for submitting comments. for persons with disabilities and older Comments submitted electronically, [FR Doc. 2020–13577 Filed 6–26–20; 8:45 am] adults. The PRC provides including attachments, to https:// comprehensive information for people BILLING CODE 4154–01–P www.regulations.gov will be posted to living with spinal cord injury, paralysis, the docket unchanged. Because your and mobility-related disabilities and comment will be made public, you are their families. Resources include DEPARTMENT OF HEALTH AND HUMAN SERVICES solely responsible for ensuring that your information and referral by phone and comment does not include any email in multiple languages; a peer and Food and Drug Administration confidential information that you or a family support mentoring program; a third party may not wish to be posted, military and veterans program; [Docket No. FDA–2019–D–0914] such as medical information, your or multicultural outreach services; anyone else’s Social Security number, or multiple quality of life grants; and a Review and Update of Device Establishment Inspection Processes confidential business information, such national website. The administrative as a manufacturing process. Please note supplement for FY2020 will be in the and Standards; Guidance for Industry; Availability that if you include your name, contact amount of $2,188,339, bring the total information, or other information that award for FY20 to $8,700,000. AGENCY: Food and Drug Administration, identifies you in the body of your Program Name: National Paralysis HHS. comments, that information will be Resource Center. ACTION: Notice of availability. posted on https://www.regulations.gov. Recipient: Christopher and Dana • If you want to submit a comment Reeve Foundation. SUMMARY: The Food and Drug with confidential information that you Period of Performance: The Administration (FDA or Agency) is do not wish to be made available to the supplement award will be issued for the announcing the availability of a final public, submit the comment as a third year of a three year project a guidance entitled ‘‘Review and Update written/paper submission and in the

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manner detailed (see ‘‘Written/Paper received, go to https:// practices regulation (21 CFR 10.115). Submissions’’ and ‘‘Instructions’’). www.regulations.gov and insert the The guidance represents the current docket number, found in brackets in the thinking of FDA on this topic. It does Written/Paper Submissions heading of this document, into the not establish any rights for any person Submit written/paper submissions as ‘‘Search’’ box and follow the prompts and is not binding on FDA or the public. follows: and/or go to the Dockets Management You can use an alternative approach if • MAIL/HAND DELIVERY/COURIER (FOR Staff, 5630 Fishers Lane, Rm. 1061, it satisfies the requirements of the WRITTEN/PAPER SUBMISSIONS): Dockets Rockville, MD 20852, 240–402–7500. applicable statutes and regulations. Management Staff (HFA–305), Food and You may submit comments on any II. Paperwork Reduction Act of 1995 Drug Administration, 5630 Fishers guidance at any time (see 21 CFR Lane, Rm. 1061, Rockville, MD 20852. This guidance refers to currently • 10.115(g)(5)). For written/paper comments Submit written requests for a single approved FDA collections of submitted to the Dockets Management hard copy of the guidance entitled information. These collections of Staff, FDA will post your comment, as ‘‘Review and Update of Device information are subject to review by the well as any attachments, except for Establishment Inspection Processes and Office of Management and Budget information submitted, marked and Standards’’ to the Office of Strategic (OMB) under the Paperwork Reduction identified, as confidential, if submitted Planning and Operational Policy, Office Act of 1995 (44 U.S.C. 3501–3521). The as detailed in ‘‘Instructions.’’ of Regulatory Affairs, Food and Drug collections of information in 21 CFR Instructions: All submissions received Administration, 12420 Parklawn Dr., part 803 have been approved under must include the Docket No. FDA– Element Building, Rockville, MD 20857. OMB control number 0910–0437. The 2019–D–0914 for ‘‘Review and Update Send one self-addressed adhesive label collections of information in 21 CFR of Device Establishment Inspection part 820 have been approved under Processes and Standards.’’ Received to assist that office in processing your SUPPLEMENTARY OMB control number 0910–0073. comments will be placed in the docket request. See the and, except for those submitted as INFORMATION section for electronic III. Electronic Access access to the guidance document. ‘‘Confidential Submissions,’’ publicly Persons interested in obtaining a copy viewable at https://www.regulations.gov FOR FURTHER INFORMATION CONTACT: of the guidance may do so by or at the Dockets Management Staff Tiffany Kelley, Office of Regulatory downloading an electronic copy from between 9 a.m. and 4 p.m., Monday Affairs, Division of Operational Policy, the internet at either https:// through Friday, 240–402–7500. Food and Drug Administration, 10903 www.fda.gov/regulatory-information/ • Confidential Submissions—To New Hampshire Ave., Silver Spring, MD search-fda-guidance-documents/search- submit a comment with confidential 20993–0002, 301–348–1970, general-and-cross-cutting-topics- information that you do not wish to be [email protected]. guidance-documents or https:// made publicly available, submit your SUPPLEMENTARY INFORMATION: www.regulations.gov. Persons unable to comments only as a written/paper I. Background download an electronic copy of submission. You should submit two ‘‘Review and Update of Device copies total. One copy will include the FDA is issuing this guidance Establishment Inspection Processes and information you claim to be confidential document to comply with section 702(b) Standards; Guidance for Industry’’ may with a heading or cover note that states of FDARA (Pub. L. 115–52). Section send an email request to ‘‘THIS DOCUMENT CONTAINS 702(b) of FDARA directs FDA to issue [email protected] to receive CONFIDENTIAL INFORMATION.’’ The guidance that specifies how FDA will an electronic copy of the document. Agency will review this copy, including implement the processes and standards, Dated: June 24, 2020. the claimed confidential information, in applicable to inspections of domestic its consideration of comments. The and foreign device establishments, Lowell J. Schiller, second copy, which will have the described in section 704(h)(1)(A) Principal Associate Commissioner for Policy. claimed confidential information through (D) of the FD&C Act (21 U.S.C. [FR Doc. 2020–13972 Filed 6–26–20; 8:45 am] redacted/blacked out, will be available 374(h)(1)(A) through (D)), as added by BILLING CODE 4164–01–P for public viewing and posted on section 702(a) of FDARA. FDARA 702(b) https://www.regulations.gov. Submit also requires the guidance to provide for both copies to the Dockets Management standardized methods of DEPARTMENT OF HEALTH AND Staff. If you do not wish your name and communication when communication is HUMAN SERVICES required under section 704(h)(1) of the contact information to be made publicly Food and Drug Administration available, you can provide this FD&C Act, establish a standard information on the cover sheet and not timeframe for inspections, and identify [Docket No. FDA–2020–N–1046] in the body of your comments and you practices for investigators and device must identify this information as establishments to facilitate the Use of Codeine-Containing Analgesics ‘‘confidential.’’ Any information marked continuity of inspections of such in Children Under 12 Years of Age as ‘‘confidential’’ will not be disclosed establishments. Subsequent to CYP2D6 Genetic except in accordance with 21 CFR 10.20 In the Federal Register of March 29, Testing; Establishment of a Public and other applicable disclosure law. For 2019 (84 FR 11983), FDA announced the Docket; Request for Comments more information about FDA’s posting availability of the draft guidance of the AGENCY: Food and Drug Administration, of comments to public dockets, see 80 same title. FDA received several HHS. FR 56469, September 18, 2015, or access comments on the draft guidance and ACTION: Notice; establishment of a the information at: https:// those comments were considered as the public docket; request for comments. www.govinfo.gov/content/pkg/FR-2015- guidance was finalized. The guidance 09-18/pdf/2015-23389.pdf. announced in this notice finalizes the SUMMARY: The Food and Drug Docket: For access to the docket to draft guidance dated March 29, 2019. Administration (FDA or the Agency) is read background documents or the FDA is issuing this guidance announcing the establishment of a electronic and written/paper comments consistent with FDA’s good guidance docket to solicit public comment on

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specific questions pertaining to the use Staff, FDA will post your comment, as FOR FURTHER INFORMATION CONTACT: of codeine for analgesia in children well as any attachments, except for LCDR Jessica Voqui, Center for Drug under 12 years of age, and the use of information submitted, marked and Evaluation and Research, Food and cytochrome P450 2D6 (CYP2D6) testing identified, as confidential, if submitted Drug Administration, 10903 New in children under 12 years of age prior as detailed in ‘‘Instructions.’’ Hampshire Ave., Bldg. 22, Rm. 3121, to treatment with codeine-containing Instructions: All submissions received 301–796–2280. analgesics. These questions are posed in must include the Docket No. FDA– SUPPLEMENTARY INFORMATION: section II. 2020–N–1046 for ‘‘Use of Codeine- I. Background DATES: Submit either electronic or Containing Analgesics in Children written comments by August 28, 2020. Under 12 Years of Age Subsequent to Codeine-containing prescription ADDRESSES: You may submit comments CYP2D6 Genetic Testing.’’ Received analgesic products approved by FDA are as follows: comments, those filed in a timely currently contraindicated in children 1 Please note that late, untimely filed manner (see ADDRESSES), will be placed under 12 years of age. The Agency is comments will not be considered. in the docket and, except for those considering a request for regulatory Electronic comments must be submitted submitted as ‘‘Confidential action to amend this contraindication to on or before August 28, 2020. The Submissions,’’ publicly viewable at provide for use in children under 12 https://www.regulations.gov electronic https://www.regulations.gov or at the years of age who are shown to be filing system will accept comments Dockets Management Staff between 9 cytochrome P450 isoenzyme 2D6 until 11:59 p.m. Eastern Time at the end a.m. and 4 p.m., Monday through (CYP2D6) normal metabolizers (also of August 28, 2020. Comments received Friday. known as ‘‘extensive metabolizers’’) or by mail/hand delivery/courier (for CYP2D6 intermediate metabolizers • written/paper submissions) will be Confidential Submissions—To based on pharmacogenetic testing that considered timely if they are submit a comment with confidential includes CYP2D6 copy number or gene postmarked or the delivery service information that you do not wish to be duplication detection. As discussed in acceptance receipt is on or before that made publicly available, submit your section I.C., below, concerns have been date. comments only as a written/paper raised in a citizen petition that children submission. You should submit two Electronic Submissions under 12 years of age in acute pain may copies total. One copy will include the not be able to access appropriate opioid Submit electronic comments in the information you claim to be confidential analgesic drugs, and FDA is interested following way: with a heading or cover note that states • in understanding the scope and impact Federal eRulemaking Portal: ‘‘THIS DOCUMENT CONTAINS of any potential access issues. To https://www.regulations.gov. Follow the CONFIDENTIAL INFORMATION.’’ The properly assess the appropriateness and instructions for submitting comments. Agency will review this copy, including potential impact of making this Comments submitted electronically, the claimed confidential information, in amendment to the contraindication, the including attachments, to https:// its consideration of comments. The Agency seeks input from the healthcare www.regulations.gov will be posted to second copy, which will have the community and the public on the the docket unchanged. Because your claimed confidential information following issues: (1) Pain management comment will be made public, you are redacted/blacked out, will be available in children under 12 years of age; (2) solely responsible for ensuring that your for public viewing and posted on availability and clinical utility of comment does not include any https://www.regulations.gov. Submit CYP2D6 genotyping tests; and (3) e- confidential information that you or a both copies to the Dockets Management prescribing availability as a potential third party may not wish to be posted, Staff. If you do not wish your name and mitigation approach for opioid analgesic such as medical information, your or contact information to be made publicly access in urgent situations. anyone else’s Social Security number, or available, you can provide this Analgesic products with codeine as confidential business information, such information on the cover sheet and not an active ingredient are opioids that are as a manufacturing process. Please note in the body of your comments and you generally indicated for the relief of mild that if you include your name, contact must identify this information as to moderate pain where the use of an information, or other information that ‘‘confidential.’’ Any information marked opioid analgesic is appropriate and for identifies you in the body of your as ‘‘confidential’’ will not be disclosed which alternative treatments are comments, that information will be except in accordance with 21 CFR 10.20 inadequate. Codeine-containing posted on https://www.regulations.gov. and other applicable disclosure law. For products indicated for analgesia are • If you want to submit a comment more information about FDA’s posting marketed either as single ingredient with confidential information that you of comments to public dockets, see 80 codeine (a Controlled Substances Act do not wish to be made available to the FR 56469, September 18, 2015, or access (CSA) Schedule II drug) or in public, submit the comment as a the information at: https:// combination with other non-narcotic written/paper submission and in the www.govinfo.gov/content/pkg/FR-2015- active ingredients, such as manner detailed (see ‘‘Written/Paper 09-18/pdf/2015-23389.pdf. acetaminophen (the combination being Submissions’’ and ‘‘Instructions’’). Docket: For access to the docket to a CSA Schedule III drug); most of the Written/Paper Submissions read background documents or the use is with the combination products. Submit written/paper submissions as electronic and written/paper comments follows: received, go to https:// 1 See April 20, 2017, Drug Safety Communication • at https://www.fda.gov/drugs/drug-safety-and- Mail/Hand Delivery/Courier (for www.regulations.gov and insert the availability/fda-drug-safety-communication-fda- written/paper submissions): Dockets docket number, found in brackets in the restricts-use-prescription-codeine-pain-and-cough- Management Staff (HFA–305), Food and heading of this document, into the medicines-and. Codeine remains available through Drug Administration, 5630 Fishers ‘‘Search’’ box and follow the prompts the over-the-counter (OTC) Drug Monograph for Lane, Rm. 1061, Rockville, MD 20852. and/or go to the Dockets Management Cold, Cough, Allergy, Bronchodilator, and • Antiasthmatic Drug Products (21 CFR 341.14, 21 For written/paper comments Staff, 5630 Fishers Lane, Rm. 1061, CFR 341.74, 21 CFR 341.90) in combination with submitted to the Dockets Management Rockville, MD 20852. other medications for cough and cold symptoms.

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There are also codeine-containing of codeine in the liver to high tonsillectomy and/or adenoidectomy), products indicated for the relief of circulating levels of morphine FDA also evaluated the safety of other cough, that contain a combination of (codeine’s active metabolite). As part of opioid-containing potential treatments, codeine with other active ingredients in the review of this issue, in addition to including hydrocodone-containing prescription products for cough and codeine, FDA evaluated the FDA cough and cold products, and tramadol symptoms associated with upper Adverse Event Reporting System products. respiratory allergies or common cold; (FAERS) and the medical literature for The Office of Surveillance and however, the pediatric cough/cold cases of death or overdose in children Epidemiology (OSE) within FDA’s indications were removed from related to the therapeutic use of Center for Drug Evaluation and Research prescription codeine cough/cold immediate-release morphine, (CDER) completed a Pediatric products in January 2018.2 Codeine is oxycodone, or hydrocodone. This search Postmarketing Epidemiological, partially metabolized to morphine, its did not reveal clear cases of Pharmacovigilance, and Drug most potent analgesic metabolite, unexplainable or unconfounded death Utilization Review on November 13, through the CYP2D6 pathway. CYP2D6 or opioid toxicity. 2015. The review identified 64 cases in is a polymorphic enzyme, leading to a In June 2013, following a review of the FAERS database from 1965 to May high degree of variability for metabolism the relevant data, the European 2015 of serious respiratory depression, of codeine because of underlying Medicines Agency (EMA) made the including 24 deaths, in children 18 genetic differences in CYP2D6 activity. determination that ‘‘codeine-containing years of age and below receiving Because of this variability, depending products indicated in the management codeine-containing products. Most of on CYP2D6 activity, patients may be at of pain should only be indicated in the cases (50 out of 64), including fatal risk for therapeutic failure (‘‘poor children above 12 years of age and cases (21 out of 24), involved children metabolizers’’) or at risk for opioid- contraindicated in paediatric patients under 12 years of age. Among the 48 related toxicity (‘‘ultra-rapid below 18 years of age undergoing cases that reported the reason for use, 34 metabolizers’’). tonsillectomy and/or adenoidectomy for reported pain management (17 were obstructive sleep apnoea syndrome as post-adenotonsillectomy), and 14 A. Regulatory History: 2007–2013 well as in women during breast-feeding reported cough and cold management; Given the variability in the and in patients known to be CYP2D6 12 of 21 deaths in children under 12 metabolism of codeine, the safety of ultra-rapid metabolisers’’ (https:// years of age occurred when a codeine- codeine use in children has been a www.ema.europa.eu/en/medicines/ containing product was used unrelated concern, particularly the risk of life- human/referrals/codeine-containing- to pain post-adenotonsillectomy (cough threatening or fatal respiratory medicines). and cold, n=7; general pain, n=2; other depression. Over the past several years, postoperative pain, n=2; sore/strep B. Regulatory History: 2015–2017 FDA has updated the labeling for throat pain, n=1). Ten of 64 cases codeine-containing prescription In April 2015, the EMA completed a mentioned CYP2D6 genotype (7 were products regarding the risk of review of the use of codeine for cough ultra-rapid metabolizers and 3 were respiratory depression. In 2007, and cold indications. The EMA normal metabolizers); the remaining 54 prescription codeine product labeling contraindicated the use of codeine- cases did not report CYP2D6 was updated with information regarding containing products in children under genotyping. Of the three cases that polymorphic metabolism and the risk of 12 years of age for cough and cold and occurred in normal metabolizers, two respiratory depression, specifically in recommended that codeine-containing involved 3-year-old twin brothers who breastfed infants of mothers who used cough and cold products not be used in received inadvertent overdoses of codeine. In August 2012, FDA issued a children and adolescents ages 12 to 18 codeine for treatment of a cold (one Drug Safety Communication (DSC) years of age who have breathing resulted in death) and one involved a 3- about reports of death and respiratory problems (see ‘‘Codeine-containing year-old female who underwent depression in pediatric patients, medicinal products for the treatment of tonsillectomy for obstructive sleep primarily with use of codeine following cough or cold in paediatric patients: apnea. Other risk factors for codeine tonsillectomy and/or adenoidectomy. In Codeine not to be used in children toxicity were noted in several cases February 2013, after completing a below 12 years for cough and cold,’’ such as obesity, obstructive sleep apnea, review of the available safety data for available at https://www.ema.europa.eu/ and overdose. OSE concluded that there codeine in the FDA Adverse Event en/medicines/human/referrals/codeine- is case report evidence of respiratory Reporting System (FAERS) and the containing-medicinal-products- depression following codeine use for medical literature, FDA required a treatment-cough-cold-paediatric- both pain and cough and cold treatment, Boxed Warning and Contraindication patients). particularly in pediatric patients under regarding the use of codeine-containing Subsequent to the release of the EMA 12 years of age. prescription analgesics following recommendations about use of codeine- FDA held a joint meeting of the tonsillectomy and/or adenoidectomy, containing products in children for Pulmonary and Allergy Drugs and the highlighting the risk to those children cough and cold indications, FDA Drug Safety and Risk Management who are ultra-rapid metabolizers of initiated a safety review of available Advisory Committees (PADAC/DSaRM codeine due to CYP2D6 polymorphism. data regarding respiratory depression AC) on December 10, 2015 (80 FR These children may be particularly and death with codeine-containing 65770, October 27, 2015; minutes sensitive to the respiratory depressant product use for cough in children. In available at https://www.fda.gov/media/ effects of codeine because ultra-rapid addition, FDA also re-evaluated 95855/download), to discuss the safety metabolizers metabolize standard doses available safety data regarding codeine of codeine in pediatric patients. The use for analgesia in children. Because of issue of whether to add a 2 See January 11, 2018, Drug Safety the potential for shifting use to other recommendation to the labeling for Communication at https://www.fda.gov/drugs/drug- opioids if the scope of the February prescription codeine drug products to safety-and-availability/fda-drug-safety- communication-fda-requires-labeling-changes- 2013 contraindication for codeine use in genotype children prior to prescribing prescription-opioid-cough-and-cold. But see fn. 1, children was expanded (i.e., beyond codeine was not raised as a specific supra. pain management following topic of discussion for the AC. However,

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FDA did explain why a codeine-containing drug products for (Petitioners) from around the country. recommendation for routine genotyping children under 18, FDA chose to limit The Petitioners requested that, with the prior to receiving codeine was not the contraindication to children under exception of the post- added to product labeling at the time of 12 years of age. The Agency also adenotonsillectomy setting, the the 2013 labeling change. First, normal included in the SLC notification letter a contraindication of codeine-containing metabolizers, in some cases, convert requirement to add warning language analgesics be amended to provide for codeine to morphine at levels similar to regarding use of codeine-containing use of these products in children under ultra-rapid metabolizers. Second, the products in children ages 12 to 18 years 12 years of age who are known to be positive predictive value of the of age who may have risk factors (e.g., CYP2D6 normal metabolizers or genotyping tests is low; thus, the obstructive sleep apnea, obesity, intermediate metabolizers based on number needed to be screened in order respiratory conditions) making them adequate pharmacogenetic testing (i.e., to prevent one adverse event is very more susceptible to life-threatening or capable of measuring copy number or high. Third, genotyping may be fatal respiratory depression with detect gene duplications). The logistically difficult to implement codeine. Petitioners suggest that the current because preoperative lab tests are not These labeling changes were based contraindication may cause children routinely obtained before upon the following considerations: under 12 years of age with recurrent adenotonsillectomy. • Available data suggest that younger acute pain to have decreased access to There was some discussion at the AC children (under 12 years of age) may be opioid analgesics, which may result in meeting about patient access issues. The at highest risk of life-threatening or fatal more emergency department and urgent patient representative, a mother of a respiratory depression. care visits. According to the Petition, • child with sickle cell disease (SCD), In addition to the risk factor of such decreased access could occur expressed concerns focused on her CYP2D6 ultra-rapid metabolizer status, because codeine/acetaminophen daughter being able to get any opioid for some case reports suggested that other combination drug products are CSA use at home, rather than codeine/ risk factors/conditions (e.g., obesity, Schedule III (able to be prescribed by acetaminophen specifically. The overall obstructive sleep apnea, oropharyngeal telephone) whereas other opioid theme of her comments was the swelling (post-tonsillectomy)) may make analgesics that would be suitable to treat difficulty with accessing opioid patients more susceptible to respiratory a patient’s pain are Schedule II and medications for control of SCD-related depression with codeine. • cannot be prescribed by telephone. intermittent painful crises if a patient There was some sentiment from the In FDA’s view, if Petitioners’ has to go to the emergency department AC that prescribing of codeine- proposed labeling were adopted, a for care and see physicians who are not acetaminophen combination drug CYP2D6 genotype/phenotype familiar with the patient or the patient’s products, which are CSA Schedule III determination would be essential for the family. drugs, for pain in children resulted in safe and effective use of codeine drug Another issue raised at the 2015 opioids with lower abuse or diversion products. Thus, under the Agency’s PADAC/DSaRM AC meeting was that potential being in the household authorities governing prescription drug the pediatric pain specialists on the compared to Schedule II opioids being labeling, the approved labeling of committee contended that codeine/ prescribed. codeine-containing analgesics would acetaminophen was not an appropriate • Contraindication of codeine- also need to specify that, with respect to drug for the treatment of painful sickle containing drug products in children use in children under 12 years of age, cell crises because the acetaminophen under 12 years of age would support the products are intended for use only limits the dose of codeine that can be continued availability of codeine- subsequent to the necessary genotype/ administered. containing drug products for use in phenotype determination using an Two-thirds of the AC panel (20 out of children ages 12 to 18 years of age who 29) recommended that FDA appropriate, FDA-authorized rely on codeine for pain management. 3 contraindicate use of codeine- • A contraindication of codeine- companion diagnostic device. containing drug products for analgesia containing drug products in children FDA is aware of several available in children under 18, and the same under 12 years of age is consistent with CYP2D6 genotype tests, each of which number (20 out of 29) recommended decisions made by other regulatory assess different alleles of CYP2D6 and that FDA contraindicate use of codeine- authorities, such as EMA and Health which may not uniformly assess gene containing drug products for cough in Canada (see https:// copy number. FDA is also aware that children under 18. healthycanadians.gc.ca/recall-alert- these tests have been shown to vary in Subsequent to internal discussions rappel-avis/hc-sc/2013/33915a- performance with respect to identifying about the AC’s recommendations, in eng.php). the range of genotype combinations. For April 2017, the Division of Anesthesia, On August 29, 2017, the supplements example, most CYP2D6 tests, the wild Analgesia, and Addiction Products submitted in response to the SLC type (referred to as ‘‘*1’’) is typically a (DAAAP) and the Division of notification letter were approved with default result, i.e., no variant is detected Pulmonary, Allergy, and Rheumatology updated labeling that included new and therefore the allele is assigned as Products (DPARP), both within CDER’s language in the sections outlined above. the wild type (*1). FDA is concerned Office of New Drugs, issued a Safety that, if a test does not have the ability Labeling Change (SLC) notification C. Citizen Petition Submission— to detect rare genotype variants, then letter related to the risk of life- December 2017 patients who have these rare variants threatening respiratory depression in A citizen petition (Petition) dated would be called wild type, and the children associated with the use of December 14, 2017 (Docket no. FDA– wrong genotype result (potentially codeine-containing products and the 2017–P–6918), was submitted to FDA by risk of life-threatening respiratory Kelly Caudle, MD, Director, Clinical 3 For more information about relevant law and depression in breastfed infants whose Pharmacogenetics Implementation policy regarding companion diagnostics and the corresponding therapeutic products, see FDA’s mothers were treated with codeine- Consortium, St. Jude Children’s guidance titled, In Vitro Companion Diagnostic containing products. Although the AC Research Hospital, Memphis, TN, along Devices (available at https://www.fda.gov/media/ panel recommended contraindicating with other clinical pharmacologists 81309/download).

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normal metabolizer) could be given for analgesics are typically prescribed in 2. What is your practice regarding e- those patients. your practice to patients under 12 years prescribing of Schedule II opioids? Are Based on prescription dispensing data of age? there any limitations in your institution/ obtained from a proprietary drug 5. In your view/experience, is the department/clinical practice for e- utilization database available to FDA, contraindication for use of codeine/ prescribing of Schedule II opioids? the Agency understands that the acetaminophen combination drug 3. Would you e-prescribe a Schedule number of patients ages 0 to 11 who products in children under 12 years of II opioid based on a telephone were dispensed codeine-containing age hampering optimal patient care? discussion with a child’s caregiver? analgesic products decreased from an 6. What are the issues you have faced Would you e-prescribe any opioid estimated 735,000 patients in 2013 to regarding urgent access to opioid (including those in Schedule III and 230,000 patients in 2017. Following the analgesics (e.g., after hours, on Schedule IV) based on a telephone addition of the contraindication of weekends, and holidays) for a child discussion with a child’s caregiver? codeine-containing drug products in under 12 years of age with recurrent Describe why or why not. children under 12 years of age to the episodes of acute pain requiring an 4. If you do not have e-prescribing codeine product labeling in August opioid analgesic? available, how does that impact your 2017, FDA has seen the prescription use a. For clinicians: If you have had to ability to prescribe Schedule II opioids of codeine decline further to 84,000 face these issues, how do they impact for children under 12 years of age, patients ages 0 to less than 12 years of prescribing decisions? For example, particularly with recurrent acute pain age in 2018.4 would you consider giving a hard copy episodes? II. Additional Issues for Consideration prescription for a small amount of Dated: June 24, 2020. and Request for Information opioid analgesic to be used in urgent or Lowell J. Schiller, after-hours situations so the patient can Principal Associate Commissioner for Policy. FDA is soliciting information and avoid making a visit for urgent/ [FR Doc. 2020–13974 Filed 6–26–20; 8:45 am] comment from stakeholders regarding emergency care? the issues described in this document. b. For caregivers/patient advocates: BILLING CODE 4164–01–P In addition to any other aspects of these How have you handled these issues? issues that stakeholders may care to comment upon, FDA is interested in Topic 2: CYP2D6 Genotyping Tests (for DEPARTMENT OF HEALTH AND answers to the following questions in Prescribers and Technical Experts) HUMAN SERVICES particular: 1. Would amending the Health Information Technology Topic 1: Pain Management in Children contraindication to provide for CYP2D6 Advisory Committee 2020 Schedule— Under 12 Years of Age (for Prescribers genotyping for children under 12 years Revised; Meeting and Other Stakeholders, as of age prior to prescription of codeine- Appropriate) containing drug products change your AGENCY: Office of the National clinical practice? Coordinator for Health Information 1. What factors do you consider in 2. Have you utilized a CYP2D6 Technology (ONC), HHS. choosing to prescribe an opioid genotyping test when determining ACTION: Notice of meeting. analgesic for children under 12 years of which opioid analgesic to select for a age who require treatment for recurrent child under 12 years of age who has SUMMARY: The Health Information episodes of acute pain (e.g., severity of recurrent acute pain severe enough to Technology Advisory Committee pain, lack of response to other warrant treatment with an opioid (HITAC) was established in accordance analgesics, or the specific disease, such analgesic? Describe why or why not. with section 4003(e) of the 21st Century as children with sickle cell disease- 3. Describe your experience with Cures Act and the Federal Advisory related pain crises)? Committee Act. The HITAC, among 2. Which pediatric populations, other interpreting CYP2D6 genotyping test results and using those results to make other things, identifies priorities for than children with sickle cell disease, standards adoption and makes typically use an opioid analgesic for drug prescribing decisions. 4. For a CYP2D6 genotyping test to recommendations to the National recurrent episodes of acute pain? Coordinator for Health Information 3. What role, if any, do you see for appropriately identify patients who can safely receive a codeine-containing drug Technology (National Coordinator). The codeine/acetaminophen combination HITAC will hold public meetings drug products in the treatment of product, what is the minimum genotyping accuracy and minimum throughout 2020. See list of public children under 12 years of age with meetings below. recurrent episodes of acute pain? acceptable coverage of the currently FOR FURTHER INFORMATION CONTACT: 4. What is your institution/ known genotypes that typically result in department/clinical practice’s a poor metabolizer or ultra-rapid Lauren Richie, Designated Federal recommended approach (or specific metabolizer phenotype? Officer, at [email protected], (202) formulary options) for selecting an 5. Regarding detection of ultra-rapid 205–7674. opioid analgesic for a child under 12 metabolizers, what is the type of test SUPPLEMENTARY INFORMATION: Section years of age? Was your institution/ output that would be needed for copy 4003(e) of the 21st Century Cures Act department/clinical practice’s current number? Is a result of ‘‘duplication (Pub. L. 114–255) establishes the Health approach modified following FDA’s present’’ (i.e., more than one copy) Information Technology Advisory August 2017 codeine labeling revision sufficient, or is specific quantitation of Committee (referred to as the ‘‘HITAC’’). that contraindicated codeine-containing the number of copies needed? The HITAC will be governed by the drug products in children under 12 provisions of the Federal Advisory Topic 3: E-Prescribing Availability (for Committee Act (FACA) (Pub. L. 92– years of age? If there is not a Prescribers) recommended approach, what opioid 463), as amended, (5 U.S.C. App.), 1. Is e-prescribing available in your which sets forth standards for the 4 Source: IQVIA Total Patient TrackerTM, 2013– institution/department/clinical formation and use of federal advisory 2018. Data extracted May 2018 and June 2019. practice? committees.

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Composition •(June 17, 2020 from approximately ONC welcomes the attendance of the 9:30 a.m. to 2:30 p.m./Eastern Time public at its HITAC meetings. Seating is The HITAC is comprised of at least 25 (virtual meeting) limited at the location, and ONC will members, of which: • September 9, 2020 from make every effort to accommodate • No fewer than 2 members are approximately 9:30 a.m. to 2:30 p.m./ persons with physical disabilities or advocates for patients or consumers of Eastern Time (virtual meeting) special needs. If you require special health information technology; • October 21, 2020 from • accommodations due to a disability, 3 members are appointed by the approximately 9:30 a.m. to 2:30 p.m./ please contact Lauren Richie at least HHS Secretary Eastern Time (virtual meeting) seven (7) days in advance of the Æ • 1 of whom shall be appointed to November 10, 2020 from meeting. represent the Department of Health and approximately 9:30 a.m. to 2:30 p.m./ Notice of these meetings are given Human Services and Eastern Time (virtual meeting) under the Federal Advisory Committee Æ 1 of whom shall be a public health All meetings are open to the public. Act (Pub. L. 92–463, 5 U.S.C., App. 2). official; Additional meetings may be scheduled Dated: June 23, 2020. • 2 members are appointed by the as needed. For web conference Cassandra Hadley, majority leader of the Senate; instructions and the most up-to-date • 2 members are appointed by the information, please visit the HITAC Office of Policy, Office of the National minority leader of the Senate; Coordinator for Health Information calendar on the ONC website,https:// Technology. • 2 members are appointed by the www.healthit.gov/topic/federal- [FR Doc. 2020–13978 Filed 6–26–20; 8:45 am] Speaker of the House of Representatives; advisory-committees/hitac-calendar. • 2 members are appointed by the Contact Person for Meetings: Lauren BILLING CODE 4150–45–P minority leader of the House of Richie, [email protected] . A notice in the Federal Register about last Representatives; and DEPARTMENT OF HEALTH AND • minute modifications that impact a Other members are appointed by HUMAN SERVICES the Comptroller General of the United previously announced advisory States. committee meeting cannot always be National Institutes of Health Members will serve for one-, two-, or published quickly enough to provide three-year terms. All members may be timely notice. Please email Lauren National Institute of Allergy and reappointed for a subsequent three-year Richie for the most current information Infectious Diseases; Notice of Closed term. Each member is limited to two about meetings. Meeting three-year terms, not to exceed six years Agenda: As outlined in the 21st Century Cures Act, the HITAC will Pursuant to section 10(d) of the of service. After establishment, members Federal Advisory Committee Act, as shall be appointed for a three-year term. develop and submit recommendations to the National Coordinator on the amended, notice is hereby given of the Members serve without pay, but will be following meeting. provided per-diem and travel costs for topics of interoperability, privacy and security, and patient access. In addition, The meeting will be closed to the committee services. the committee will also address any public in accordance with the Recommendations administrative matters and hear provisions set forth in sections 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., The HITAC recommendations to the periodic reports from ONC. ONC intends to make background material as amended. The contract proposals and National Coordinator are publicly the discussions could disclose available at https://www.healthit.gov/ available to the public no later than 24 hours prior to the meeting start time. If confidential trade secrets or commercial topic/federal-advisory-committees/ ONC is unable to post the background property such as patentable material, recommendations-national-coordinator- material on its website prior to the and personal information concerning health-it. meeting, the material will be made individuals associated with the contract Public Meetings publicly available at the location of the proposals, the disclosure of which advisory committee meeting, and the would constitute a clearly unwarranted The revised schedule of meetings to invasion of personal privacy. be held in 2020 is as follows: background material will be posted on • ONC’s website after the meeting, at Name of Committee: National Institute of January 15, 2020 from http://www.healthit.gov/hitac. Allergy and Infectious Diseases Special approximately 9:30 a.m. to 2:30 p.m./ Procedure: Interested persons may Emphasis Panel; NHP MHC and KIR Allele Eastern Time at the Washington Plaza present data, information, or views, Discovery and Typing Technology Hotel, 10 Thomas Circle NW, orally or in writing, on issues pending Development. Washington, DC 20005 before the committee. Written Date: July 21, 2020. • Time: 11:00 a.m. to 3:00 p.m. February 19, 2020 from submissions may be made to the contact approximately 9:30 a.m. to 2:30 p.m./ Agenda: To review and evaluate contract person prior to the meeting date. An proposals. Eastern Time (virtual meeting) oral public comment period will be • Place: National Institute of Allergy and March 18, 2020 from approximately scheduled at each meeting. Time Infectious Diseases, National Institutes of 9:30 a.m. to 2:30 p.m./Eastern Time allotted for each presentation will be Health, 5601 Fishers Lane, Room 3G41 (virtual meeting) limited to three minutes. If the number Rockville, MD 20892 (Virtual Meeting). • March 26, 2020 from approximately of speakers requesting to comment is Contact Person: Tara Capece, Ph.D., 10:30 a.m. to 1:30 p.m./Eastern Time greater than can be reasonably Scientific Review Officer, Scientific Review Program, Division of Extramural Activities, (virtual meeting) accommodated during the scheduled • National Institute of Allergy and Infectious April 15, 2020 from approximately public comment period, ONC will take Diseases, National Institutes of Health, 5601 9:30 a.m. to 2:30 p.m./Eastern Time written comments after the meeting. Fishers Lane, Room 3G41 Rockville, MD (virtual meeting) Persons attending ONC’s HITAC 20852 301–761–7854 capecet2@ • May 20, 2020 from approximately meetings are advised that the agency is niaid.nih.gov. 9:30 a .m. to 2:30 p.m./Eastern Time not responsible for providing wireless (Catalogue of Federal Domestic Assistance (virtual meeting) access or access to electrical outlets. Program Nos. 93.855, Allergy, Immunology,

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and Transplantation Research; 93.856, DEPARTMENT OF HEALTH AND Dated: June 23, 2020. Microbiology and Infectious Diseases HUMAN SERVICES Melanie J. Pantoja, Research, National Institutes of Health, HHS) Program Analyst, Office of Federal Advisory Dated: June 23, 2020. National Institutes of Health Committee Policy. Tyeshia M. Roberson, [FR Doc. 2020–13834 Filed 6–26–20; 8:45 am] National Cancer Institute; Notice of BILLING CODE 4140–01–P Program Analyst, Office of Federal Advisory Closed Meeting Committee Policy. [FR Doc. 2020–13884 Filed 6–26–20; 8:45 am] Pursuant to section 10(d) of the BILLING CODE 4140–01–P Federal Advisory Committee Act, as DEPARTMENT OF HOMELAND amended, notice is hereby given of the SECURITY following meeting. DEPARTMENT OF HEALTH AND Coast Guard HUMAN SERVICES The meeting will be closed to the public in accordance with the [Docket No. USCG–2020–0278] National Institutes of Health provisions set forth in sections 552b(c) Port Access Route Study: Northern (4) and 552b(c) (6), Title 5 U.S.C., as New York Bight Eunice Kennedy Shriver National amended. The purpose of this meeting Institute of Child Health & Human is to evaluate requests for preclinical AGENCY: Coast Guard, DHS. Development; Notice of Closed development resources for potential ACTION: Notice of study and public Meeting new therapeutics for the treatment of meetings; request for comments. cancer. The outcome of the evaluation Pursuant to section 10(d) of the will provide information to internal NCI SUMMARY: The Coast Guard is Federal Advisory Committee Act, as committees that will decide whether conducting a Port Access Route Study amended, notice is hereby given of the NCI should support requests and make (PARS) to evaluate the adequacy of following meeting. available contract resources for existing vessel routing measures and The meeting will be closed to the development of the potential determine whether additional vessel public in accordance with the therapeutic to improve the treatment of routing measures are necessary for port provisions set forth in sections various forms of cancer. The research approaches to New York and New Jersey 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., proposals and the discussions could and international and domestic transit as amended. The grant applications disclose confidential trade secrets or areas in the First District area of and/or contract proposals and the commercial property such as patentable responsibility. The Northern New York discussions could disclose confidential material, and personal information Bight PARS (NNYBPARS) will consider trade secrets or commercial property concerning individuals associated with whether existing or additional routing such as patentable material, and the proposed research projects, the measures are necessary to improve personal information concerning disclosure of which would constitute a navigation safety due to factors such as individuals associated with the grant clearly unwarranted invasion of planned or potential offshore applications, the disclosure of which personal privacy. development, current port capabilities would constitute a clearly unwarranted Name of Committee: National Cancer and planned improvements, increased invasion of personal privacy. Institute Special Emphasis Panel; JUN2020 vessel traffic, existing and potential Cycle 35 NExT SEP Committee Meeting. anchorage areas, changing vessel traffic Name of Committee: National Institute of patterns, effects of weather, or Child Health and Human Development Initial Date: August 5, 2020. Time: 9:00 a.m. to 3:00 p.m. navigational difficulty. Vessel routing Review Group; Function, Integration, and measures, which include traffic Rehabilitation Sciences Subcommittee. Agenda: To evaluate the NCI Experimental separation schemes, two-way routes, Date: October 19, 2020. Therapeutics Program Portfolio. Time: 9:00 a.m. to 5:00 p.m. Place: National Institutes of Health, 9000 recommended tracks, deep-water routes, Agenda: To review and evaluate grant Rockville Pike, Building 31, Room 3A44, precautionary areas, and areas to be applications. Bethesda, MD 20892 (Teleconference Call). avoided, are implemented to reduce the Place: NIH/NICHD, 6710 B Rockledge Contact Persons: Barbara Mroczkowski, risk of marine casualties. The Drive, Bethesda, MD 20817 (Virtual Meeting). Ph.D., Executive Secretary, Discovery recommendations of the study may Contact Person: Helen Huang, Ph.D., Experimental Therapeutics Program, subsequently be implemented through Scientific Review Officer, Scientific Review National Cancer Institute, NIH, 31 Center rulemakings or in accordance with Branch, Eunice Kennedy Shriver National Drive, Room 3A44, Bethesda, MD 20817, international agreements. (301) 496–4291, [email protected]. Institute of Child Health and Human DATES: Comments and related material Development, NIH, Bethesda, MD 20817, Toby Hecht, Ph.D., Executive Secretary, must be received on or before August Development Experimental Therapeutics 301–435–8380, [email protected]. 28, 2020. Although the Coast Guard Program, National Cancer Institute, NIH, (Catalogue of Federal Domestic Assistance prefers and highly encourages all Program Nos. 93.864, Population Research; 9609 Medical Center Drive, Room 3W110, Rockville, MD 20850, (240) 276–5683, comments and related material be 93.865, Research for Mothers and Children; submitted directly to the electronic 93.929, Center for Medical Rehabilitation [email protected]. docket, two virtual public meetings will Research; 93.209, Contraception and (Catalogue of Federal Domestic Assistance Infertility Loan Repayment Program, National Program Nos. 93.392, Cancer Construction; be held via webinar and teleconference Institutes of Health, HHS) 93.393, Cancer Cause and Prevention to provide an opportunity for oral comments about the NNYBPARS on Dated: June 22, 2020. Research; 93.394, Cancer Detection and Diagnosis Research; 93.395, Cancer Thursday, July 30, 2020, beginning at 9 Ronald J. Livingston, Jr., Treatment Research; 93.396, Cancer Biology a.m. EST, and on Tuesday, August 11, Program Analyst, Office of Federal Advisory Research; 93.397, Cancer Centers Support; 2020, beginning at 6 p.m. EST. All Committee Policy. 93.398, Cancer Research Manpower; 93.399, comments and related material [FR Doc. 2020–13835 Filed 6–26–20; 8:45 am] Cancer Control, National Institutes of Health, submitted must be received by the Coast BILLING CODE 4140–01–P HHS) Guard on or before August 28, 2020.

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Commenters should be aware that the coordinate with federal, state, and engaged in commerce between electronic Federal Docket Management foreign state agencies (where international and domestic U.S ports. System will not accept comments after appropriate) and consider the views of C. Need for a New Port Access Route midnight Eastern Daylight Time on the maritime community representatives, Study: In 2019, the Coast Guard last day of the comment period. environmental groups, and other announced a new study of routes used ADDRESSES: You may submit comments interested stakeholders. The primary by ships to access ports on the Atlantic identified by docket number USCG– purpose of this coordination is, to the Coast of the United States in the Federal 2020–0278 using the Federal extent practicable, to reconcile the need Register (84 FR 9541; March 15, 2019). eRulemaking Portal http:// for safe access routes with other This new study supplements and builds www.regulations.gov. See the ‘‘Public reasonable waterway uses such as upon the ACPARS by conducting a Participation and Request for anchorages, construction, and operation series of PARS to examine ports along Comments’’ portion of the of renewable energy facilities, marine the Atlantic Coast that are economically SUPPLEMENTARY INFORMATION section for sanctuary operations, commercial and significant or support military or critical further instructions on submitting recreational activities, and other uses. national defense operations and related comments. In addition to aiding the Coast Guard international entry and departure transit The virtual public meeting on in establishing new or adjusting areas that are integral to the safe and Thursday, July 30, 2020, beginning at 9 fairways or TSSs, this PARS may efficient and unimpeded flow of a.m. EST, will be held via webinar and recommend establishing or amending commerce to/from major international teleconference. other vessel routing measures. Examples shipping lanes. The NNYBPARS is just The virtual public meeting on of other routing measures include two- one of these several new studies being Tuesday, August 11, 2020, beginning at way routes, recommended tracks, deep- conducted. water routes (for the benefit primarily of 6 p.m. EST, will be held via webinar III. Information Requested and teleconference. ships whose ability to maneuver is Access information for these virtual constrained by their draft), The New York Bight encompasses a public meetings will be posted at precautionary areas (where ships must very large area starting along the coasts https://www.navcen.uscg.gov/ navigate with particular caution), and of New York and New Jersey, from ?pageName=PARS by July 23, 2020. areas to be avoided (for reasons of Montauk Point, NY, to Cape May, NJ, and then offshore to the outer edge of FOR FURTHER INFORMATION CONTACT: If exceptional danger or especially the Continental Shelf. The purpose of you have questions about this notice of sensitive ecological and environmental this notice is to announce the study, call or email Mr. Craig Lapiejko, factors). commencement of this PARS to First Coast Guard District (dpw), U.S. B. Previous Port Access Route Studies within this Study Area: The original examine the First District’s portion of Coast Guard; telephone (617) 223–8351, precautionary area and TSSs within this the New York Bight which includes the email [email protected]. study area were first established in May, port approaches to New York and New SUPPLEMENTARY INFORMATION: 1967, and were approved by the Jersey and the international and I. Table of Abbreviations International Maritime Organization domestic entry and departure transit (IMO). areas in conjunction with the ACPARS Atlantic Coast Port Access Route In 1987 the Coast Guard conducted a implementation of recommendations of Study AIS Automatic Identification System PARS prior to establishing two parallel the ACPARS, and to solicit public COMDTINST Commandant Instruction shipping safety fairways off New York comments. Similar to the ACPARS, this DHS Department of Homeland Security entitled ‘‘Ambrose to Nantucket Safety PARS will focus on and use AIS data EEZ Exclusive Economic Zone Fairway’’ and ‘‘Nantucket to Ambrose and information from stakeholders to IMO International Maritime Organization Safety Fairway’’ and published the final identify and verify customary MTS Marine Transportation System results in the Federal Register (52 FR navigation routes as well as routes NAD83 North American Datum of 1983 33589; September 4, 1987). between port approaches and NNYB Northern New York Bight In 2016, the Coast Guard published a international entry and departure transit PARS Port Access Route Study notice of its Atlantic Coast Port Access PWSA Ports and Waterways Safety Act areas. The Coast Guard encourages TSS Traffic Separation Scheme Route Study (ACPARS) in the Federal participation in the study process by USCG United States Coast Guard Register (81 FR 13307; March 14, 2016) submitting comments in response to this and announced the study report as final notice. Comments should address II. Background and Purpose in the Federal Register (82 FR 16510; impacts to navigation within the study A. Requirements for Port Access April 5, 2017). The ACPARS analyzed area resulting from factors such as: Route Studies: Under Section 70003 of the Atlantic Coast waters seaward of Planned or potential offshore Title 46 of the United States Code, the existing port approaches within the U.S. development, current port capabilities Commandant of the U.S. Coast Guard Exclusive Economic Zone (EEZ). This and planned improvements, increased may designate necessary fairways and multiyear study began in 2011, included vessel traffic, changing vessel traffic traffic separation schemes (TSSs) to public participation, and identified the patterns, effects of weather, potential provide safe access routes for vessels navigation routes customarily followed conflicts or disruptions in uncharted or proceeding to and from U.S. ports. The by ships engaged in commerce between informal anchorage areas, or designation of fairways and TSSs international and domestic U.S. ports. navigational difficulties or concerns in recognizes the paramount right of The study is available at https:// general. navigation over all other uses in the navcen.uscg.gov/ designated areas. ?pageName=PARSReports. Data and IV. Public Participation and Request for Before establishing or adjusting information from stakeholders, Comments fairways or TSSs, the Coast Guard must including Automatic Identification We encourage you to participate in conduct a PARS, i.e., a study of System (AIS) data from vessel traffic, this study by submitting comments and potential traffic density and the need for were used to identify and verify deep related materials. All comments safe access routes for vessels. Through draft and coastwise navigation routes received will be posted without change the study process, the Coast Guard must that are typically followed by ships to https://www.regulations.gov and will

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include any personal information you provide a written summary of the oral comments, will be in our online docket have provided. comments received and will place that at https://www.regulations.gov and can A. Submitting Comments: If you summary in the online public docket. be viewed by following that website’s submit comments to the online public The first virtual public meeting on instructions. Additionally, if you go to docket, please include the docket Thursday, July 30, 2020, beginning at 9 the online docket and sign up for email number for this notice (USCG–2020– a.m. EST, will be held via webinar and alerts, you will be notified when 0278), indicate the specific section of teleconference. comments are posted or a final rule is this document to which each comment Access information for this virtual published. applies, and provide a reason for each public meetings will be posted at https://www.navcen.uscg.gov/ V. Northern New York Bight PARS: suggestion or recommendation. We Timeline, Study Area, and Process accept anonymous comments. ?pageName=PARS by July 23, 2020. The second virtual public meeting on To submit your comment online, go to The First Coast Guard District, Coast Tuesday, August 11, 2020, beginning 6 https://www.regulations.gov, and insert Guard Sector New York, and Coast p.m. EST, will be held via webinar and ‘‘USCG–2020–0278’’ in the ‘‘search Guard Sector Long Island Sound will teleconference. box.’’ Click ‘‘Search’’ and then click Access information for this virtual conduct this PARS. The study will ‘‘Comment Now.’’ We will consider all public meetings will be posted at commence upon publication of this comments and material received during https://www.navcen.uscg.gov/ notice and may take 12 months or more the comment period. ?pageName=PARS by July 23, 2020. to complete. B. Public Meetings: We plan to hold C. Viewing Comments and The study area is described as an area two virtual public meetings to receive Documents: To view the comments and bounded by a line connecting the oral comments on this notice. Again, as documents mentioned in this preamble following geographic positions: stated earlier, the Coast Guard prefers as being available in the online public 40 18′00.0″ N 074 00′00.0″ W and highly encourages all comments docket, go to http:// 38 57′00.0″ N 071 16′00.0″ W and related material be submitted www.regulations.gov, click on the ‘‘read 39 47′24.0″ N 069 40′01.2″ W directly to the online public docket, but comments’’ box, which will then 41 07′12.0″ N 071 34′33.6″ W two virtual public meetings will be held become highlighted in blue. In the 41 04′15.6″ N 071 51′25.2″ W via webinar and teleconference to ‘‘Keyword’’ box insert ‘‘USCG–2020– provide an opportunity for oral 02782’’ and click ‘‘Search.’’ Click the thence along the coast line back to the comments about the NNYBPARS. If you ‘‘Open Docket Folder’’ in the ‘‘Actions’’ origin. All geographic points are based want to provide a written version of column. on North American Datum of 1983 your oral comments made at the virtual D. Privacy Act: We accept anonymous (NAD 83). public meeting, you may submit them comments. All comments received will This area extends approximately 150 directly to Mr. Craig Lapiejko. These be posted without change to https:// nautical miles seaward and covers comments will be added to our online www.regulations.gov and will include approximately 25,000 square nautical public docket. We recommend that you any personal information you have miles including the offshore area of New include your name and a mailing provided. For more about privacy and Jersey and New York used by private, address, an email address, or a submissions in response to this commercial, and public vessels telephone number in the body of your document, see DHS’s Correspondence transiting to and from these ports. An document so that we can contact you if System of Records notice (84 FR 48645, illustration showing the study area is we have questions regarding your September 26, 2018). Documents below with additional illustrations submission. Attendance at the virtual mentioned in this notice as being available in the online public docket public meeting is not required. We will available in the docket, and all public where indicated under ADDRESSES.

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This PARS will identify and analyze Dated: June 23, 2020. guidelines and those recommended by the customary navigation routes T.G. Allan Jr., representatives of the Nation’s fire between the port approaches of New Rear Admiral, U.S. Coast Guard, Commander, service leadership during the annual York and New Jersey and the First Coast Guard District. Criteria Development meeting, which international and domestic transit areas [FR Doc. 2020–13901 Filed 6–26–20; 8:45 am] was held Dec. 12–13, 2018. The and connecting them to the potential BILLING CODE 9110–04–P application period for the FY 2019 FP&S fairways identified in the ACPARS final Grant Program was April 27, 2020, to report. May 29, 2020, and was announced on DEPARTMENT OF HOMELAND the Assistance to Firefighters Grant Analyses will be conducted in SECURITY (AFG) website (www.fema.gov/ accordance with COMDTINST firegrants), www.grants.gov, and the 16003.2B, Marine Planning to Operate Federal Emergency Management U.S. Fire Administration website and Maintain the Marine Transportation Agency (www.usfa.fema.gov). System (MTS) and Implement National DATES: [Docket ID FEMA–2020–0026; Internal Grant applications for the FP&S Policy. Instruction is available at Grant Program were accepted https://media.defense.gov/2019/Jul/10/ Agency Docket No. DHS–19–GPD–044–000– _ _ 98] electronically at https://go.fema.gov 2002155400/-1/-1/0/CI 16003 2B.PDF. from April 27, 2020, at 8:00 a.m. ET to We will publish the results of the Assistance to Firefighters Grant May 29, 2020, at 5:00 p.m. ET. PARS in the Federal Register. It is Program; Fire Prevention and Safety ADDRESSES: Assistance to Firefighters possible that the study may validate the Grants Grants Branch, DHS/FEMA, 400 C Street status quo (no additional fairways or SW, 3N, Washington, DC 20472–3635. AGENCY: Federal Emergency routing measures) and conclude that no Management Agency, Department of FOR FURTHER INFORMATION CONTACT: changes are necessary. It is also possible Homeland Security (DHS). Catherine Patterson, Chief, Assistance to that the study may recommend one or Firefighters Grants Branch, (866) 274– ACTION: more changes to address navigational Notice of guidance. 0960. safety and the efficiency of vessel traffic SUMMARY: This Notice provides SUPPLEMENTARY INFORMATION: The management. The recommendations guidelines that describe the application purpose of the FP&S Grant Program is may lead to future rulemakings or process for Fire Prevention and Safety to enhance the safety of the public and international agreements. (FP&S) grants and the criteria the firefighters by assisting fire prevention This notice is published under the Federal Emergency Management Agency programs and supporting firefighter authority of 5 U.S.C. 552(a). (FEMA) will use to award these grants health and safety research and for Fiscal Year (FY) 2019. It explains the development. The FEMA Grant differences, if any, between these Programs Directorate administers the

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FP&S Grant Program as part of the AFG Applications submitted under the Federal agencies, and individuals are Program. FP&S activity will be reviewed by a not eligible to receive an FP&S Grant FP&S grants are offered to support panel of fire service members using the Award under the FP&S Activity. projects in two activities: following criteria: 2. Firefighter Safety Research and 1. Activities designed to reach high- • Financial Need Development (R&D) Activity: Eligible risk target groups and mitigate the • Vulnerability Statement applicants for this activity include incidence of death, injuries, and • Project Description national, state, local, federally- property damage caused by fire and fire- • Implementation Plan recognized tribal, and nonprofit related hazards (‘‘FP&S Activity’’). • Evaluation Plan organizations, such as academic (e.g., 2. Projects aimed at improving • Cost-Benefit universities), public health, firefighter safety, health, or wellness The applications submitted under the occupational health, and injury through research and development that R&D Activity will be reviewed first by prevention institutions. Both private reduce firefighter fatalities and injuries a panel of fire service members to and public non-profit organizations are (‘‘R&D Activity’’). identify those applications most eligible to apply for funding in this The grant program’s authorizing relevant to the fire service. The activity. statute requires that FEMA publish the following evaluation criteria will be The aforementioned entities are guidelines that describe the application used for this review: encouraged to apply, especially those process and the criteria for grant awards that are recognized for their experience • Purpose in the Federal Register each year. In and expertise in firefighter safety, • Potential Impact total, 675 applications for the FP&S health, and wellness research and • Implementation by the Fire Service Grant Program were submitted development activities. Fire • Barriers electronically, using the application departments are not eligible to apply for • Partners submission form and process available funding in the R&D activity. The applications that are determined at FEMA GO: https://go.fema.gov. Additionally, for-profit organizations, most likely to enable improvement in Although the application period has Federal agencies, and individuals are firefighter safety, health or wellness will closed, specific information about the not eligible to receive a grant award be deemed to be in the ‘‘competitive submission of grant applications can be under the R&D Activity. range’’ and forwarded to the second found in the FY 2019 FP&S Notice of level of application review, which is the Funding Limitations Funding Opportunity (NOFO), which is science panel review process. This available for download at Awards are limited to a maximum panel will be composed of scientists and www.fema.gov/firegrants and at Federal share of $1.5 million dollars technology experts who have expertise www.regulations.gov under Docket ID: regardless of applicant type, in pertaining to the subject matter of the FEMA–2020–0026. accordance with 15 U.S.C. 2229(d)(2). proposal. FP&S Research and Development Appropriations The Science Panel for the R&D Activity applicants that applied under the Early Congress appropriated $350 million will review the application and Career Investigator category are limited for AFG in FY 2019 pursuant to the evaluate it using the following to a maximum Federal share of $75,000 Department of Homeland Security criteria: per project year. • Project Goals, Objectives and Specific Appropriations Act, 2019, Public Law Cost Sharing 116–6. From this amount, $35 million Aims will be made available for FP&S Grant • Literature Review Grant recipients must share in the awards, pursuant to 15 U.S.C. • Project Methods costs of the projects funded under this 2229(h)(5), which states that not less • Project Measurements grant program as required by 15 U.S.C. • than 10 percent of available grant funds Project Analysis 2229(k)(1) and in accordance with 2 • each year are awarded under the FP&S Dissemination and Implementation CFR 200.101(b)(1), but they were not • Grant Program. Funds appropriated for Cost vs. Benefit (additional required to have the cost share at the all FY 2019 AFG awards, pursuant to consideration) time of application nor are they required • Public Law 116–6, will be available for Financial Need (additional to have it at the time of award. However, obligation and award until Sept. 30, consideration) before a grant is awarded, FEMA may • 2020. Mentoring (additional consideration contact potential awardees to determine FEMA anticipates that it will award for Early Career Investigator Projects whether the grant recipient has the approximately 150 FP&S grants from the only) funding in hand or whether the grant recipient has a viable plan to obtain the 675 applications. Eligible Applicants funding necessary to fulfill the cost- Background of the AFG Program Under the FY 2019 FP&S Grant share requirement. FEMA awards grants on a competitive Program, eligible applicants are limited In general, an eligible applicant basis to applicants that best address the to those entities described below within seeking an FP&S grant to carry out an FP&S Grant Program’s priorities and each activity: activity shall agree to make available provide the most compelling 1. Fire Prevention and Safety (FP&S) non-Federal funds to carry out such justification. A panel of reviewers Activity: Eligible applicants for this activity in an amount equal to, and not evaluate each project in accordance activity included fire departments and less than, 5 percent of the grant with the evaluation criteria. The highest national, regional, state, local, tribal and awarded. Cash match and in-kind rated projects are recommended for nonprofit organizations that are matches are both allowable in the FP&S funding. recognized for their experience and Grant Program. Cash (hard) matches expertise in fire prevention and safety include non-Federal cash spent for Award Criteria programs and activities. Both private project-related costs. In-kind (soft) All applications for grants will be and public non-profit organizations are matches include, but are not limited to, prepared and submitted through FEMA eligible to apply for funding in this the valuation of in-kind services; GO (https://go.fema.gov). activity. For-profit organizations, complementary activities; and provision

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of staff, facilities, services, material, or application after the entity registers in • Community Risk Reduction–Under equipment. In-kind is the value of FEMA GO at https://go.fema.gov. the Community Risk Reduction category something received or provided that there are three funding priorities: Application Process does not have a cost associated with it. Æ Priority will be given to programs For example, where an in-kind match Applicants were only permitted to that target a specific high-risk (other than cash payments) is permitted, submit one application, but were population to conduct both door-to-door then the value of donated services could permitted to apply for up to three smoke alarm installations and provide be used to comply with the match projects under each activity (FP&S and home safety inspections, as part of a requirement. Also, third party in-kind R&D). Any applicant that submitted comprehensive home fire safety contributions may count toward more than one application may have all campaign. satisfying match requirements provided applications deemed ineligible. Æ Priority will be given to programs the grant recipient receiving the Under the FP&S Activity, applicants that include sprinkler awareness that contributions expends them as could apply under the following affect the entire community, such as allowable costs in compliance with categories: educating the public about sprinklers, provisions listed above. • Community Risk Reduction promoting sprinklers, and Grant recipients under this program • Wildfire Risk Reduction demonstrating working models of must also agree to a maintenance of • Fire & Arson Investigation sprinklers. Æ effort requirement per 15 U.S.C. • Code Enforcement/Awareness Priority will be given to programs 2229(k)(3) (referred to as a • National/State/Regional Programs and to conduct community-appropriate ‘‘maintenance of expenditure’’ Studies Under the R&D Activity, comprehensive risk assessments and requirement in that statute). Per this risk reduction planning. applicants could apply under the • requirement, a grant recipient shall following categories: Wildfire Risk Reduction – These are agree to maintain during the term of the • Clinical Studies education and awareness programs that grant, the grant recipient’s aggregate • Technology and Product Development protect lives, property, and natural expenditures relating to the activities • Database System Development resources from fire in the Wildland allowable under the FP&S NOFO at not • Dissemination and Implementation Urban Interface (WUI) (not forestry), less than 80 percent of the average Research including Community Wildfire amount of such expenditures in the 2 Protection Plans (CWPP) or programs • Preliminary Studies fiscal years preceding the fiscal year in supporting fire adapted community • Early Career Investigator which the grant amounts are received. initiatives. In cases of demonstrated economic Prior to the start of the FY 2019 FP&S • Code Enforcement/Awareness– hardship and upon the request of the Grant Program application period, These are projects that focus on first grant recipient, the FEMA FEMA provided applicants with time or reinstatement of code adoption Administrator may waive or reduce a technical assistance tools (available at and code enforcement, including WUI certain grant recipient’s cost share or the AFG website: www.fema.gov/ codes for communities with a WUI- maintenance of expenditure firegrants) and other online information wildfire risk. requirements (15 U.S.C. 2229(k)(4)(A)). to help them prepare quality grant • Fire & Arson Investigation–These As required by 15 U.S.C. 2229(k)(4)(B), applications. AFG also staffed a Help are projects that aim to aggressively the Administrator established Desk throughout the application period investigate every fire. guidelines for determining what to assist applicants with navigation • National/State/Regional Programs constitutes economic hardship and through the automated application as and Studies–These are projects that published these guidelines at FEMA’s well as assistance with related focus on residential fire issues and/or website (www.fema.gov/grants). Per 15 questions. The AFG Help Desk can be firefighter safety and wellness. U.S.C. 2229(k)(4)(C), FP&S nonprofit reached year-round through a toll-free Under the R&D Activity, in order to organization grant recipients that are not telephone number (866–274–0960) or identify and address the most important fire departments or emergency medical email ([email protected]). elements of firefighter safety, FEMA services organizations are not eligible to Applicants were advised to access the looked to the fire service for its input receive a waiver of their cost-share for application electronically at https:// and recommendations. In June 2005, the economic hardship requirements. go.fema.gov. The application is also National Fallen Firefighters’ Foundation accessible from the Grants.gov website (NFFF) hosted a working group to System for Award Management (SAM) (http://www.grants.gov). New applicants facilitate the development of an agenda Per 2 CFR 25.200, all grant applicants were required to register and establish a for the Nation’s fire service, and in and recipients are required to register in username and password electronically particular for firefighter safety. In https://SAM.gov, which is available free at https://go.fema.gov for secure access November 2015, the NFFF hosted its of charge. FEMA required active SAM to their application. third working group to update the registration at the time of application in In completing an application under agenda with current priorities. A copy FEMA GO, and will not process any this funding opportunity, applicants of the research agenda is available on awards, consider any payment or were asked to provide relevant the NFFF website at http:// amendment requests, or consider any information on their organization’s www.everyonegoeshome.com/resources/ amendment unless the applicant or characteristics and existing capabilities. research-symposium-reports/. grant recipient has complied with the Those applicants were asked to answer All proposed projects, regardless of requirements to provide a valid Dun & questions about their grant request that whether they have been identified by Bradstreet (DUNS) database number and reflect the funding priorities, described this working group, will be evaluated on an active SAM registration with current below. In addition, applicants were their relevance to firefighter health and information. The banking information, required to complete narratives for each safety, and scientific rigor. employer identification number (EIN), project requested. The electronic application process organization/entity name, address, and The following are the funding permits the applicant to enter and save DUNS number provided in SAM will be priorities for each category under the the application data. The system does automatically transferred to the FP&S Activity: not permit the submission of incomplete

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applications. Except for the narrative • Wood Chipper Programs are eligible Peer Review Panel Process—Research textboxes, the application uses a ‘‘point- when part of a Wildfire Risk Reduction and Development Activity and-click’’ selection process or requires Program. The following costs are R&D Activity applications will go the entry of data (e.g., name and eligible under a Wood Chipper Program: through a two-phase review process. address). Applicants were encouraged to Æ Contract services for fuel reduction or First, all applications will be reviewed read the FP&S NOFO for more details. removal (community wood chipper), by a panel of fire service experts to Criteria Development Process or assess the need for the research results Æ and the likelihood that the results Each year, FEMA convenes a panel of Renting wood chippers, and Æ would be implemented by the fire fire service professionals to develop the Salary & benefits for employees for service in the United States. funding priorities and other dedicated community wood chipper Applications that are deemed likely to implementation criteria for AFG. The duties. • be implemented to enable improvement Criteria Development Panel is composed Occupational Health is included as in firefighter safety, health, or wellness of representatives from nine major fire an R&D Special Emphasis Topic. will be deemed to be in the service organizations that are charged • The following items and activities ‘‘competitive range’’ and will be with making recommendations to FEMA are added to the ineligible expenses list: forwarded to the second level of project regarding the creation of new funding Æ Entertainment: Electronics, events, review, which is the science review priorities, the modification of existing etc. panel process. This panel will be funding priorities, and the development Æ Props (except as required for composed of scientists and technology of criteria for awarding grants. The nine educational programs) experts who have expertise pertaining to major fire service organizations Æ Robotics the subject matter of the proposal. represented on the panel: Æ Demonstration tug boats • Science panel reviewers will Congressional Fire Services Institute Æ Inflatable houses independently score applications in the (CFSI) Æ Dollar amount for giveaways (plastic competitive range and, if necessary, • International Association of Arson fire helmets, stickers, plastic badges, discuss the merits or shortcomings of Investigators (IAAI) the project in order to reconcile any • International Association of Fire etc.) is limited to $2,500 for fire major discrepancies identified by the Chiefs (IAFC) departments, and $5,000 for regional reviewers. A consensus is not required. • International Association of Fire grants Æ Fighters (IAFF) Fire Safety Trailers allowed only as Technical Evaluation Process • International Society of Fire Service part of a regional project The highest ranked projects from both Instructors (ISFSI) Application Review Process and Activities will be deemed in the • National Association of State Fire Considerations fundable range. Applications that are in Marshals (NASFM) • National Fire Protection Association The program’s authorizing statute the fundable range will undergo a (NFPA) requires that each year FEMA publish in Technical Review by the FEMA Program • National Volunteer Fire Council the Federal Register a description of the Office prior to being recommended for (NVFC) grant application process and the award. The FEMA Program Office will • North American Fire Training criteria for grant awards. This assess the request with respect to costs, Directors (NAFTD) information is provided below. quantities, feasibility, eligibility, and The FY 2019 Criteria Development FEMA will review and evaluate all recipient responsibility prior to Panel meeting occurred Dec.12–13, FP&S applications submitted using the recommending any application for 2018. The content of the FY 2019 FP&S funding priorities and evaluation award. Notice of Funding Opportunity reflects criteria described in this document, Once the review process is complete, the implementation of the Criteria which are based on recommendations each project’s score will be determined Development Panel’s recommendations from the AFG Criteria Development and a final ranking of project with respect to the priorities, direction Panel. applications will be created. FEMA will and criteria for awards. All of the award grants based on this final ranking. funding priorities for the FY 2019 FP&S Peer Review Process Award announcements will be made on Grant Program are designed to address Peer Review Panel Process—Fire a rolling basis until all available grant the following: Prevention and Safety Activity funds have been committed. Awards • First responder safety will not be made in any specified order. All FP&S Activity applications will be • Enhancing national capabilities FEMA will notify unsuccessful • Risk evaluated by a peer review process. A applicants as soon as it is feasible. • Interoperability panel of peer reviewers is composed of fire service representatives Evaluation Criteria for Projects—Fire Changes for FY 2019 recommended by the Criteria Prevention and Safety Activity The following changes were made Development Panel. These reviewers Funding decisions will be informed between the FY 2018 and the FY 2019 will assess each application’s merits by an assessment of how well the FP&S Grant Program: with respect to the detail provided in application addressed the criteria and • Micro Grants are no longer the Narrative Statement on the activity, considerations listed below. available. including the evaluation elements listed Applications will be reviewed by the • FY 2019 FP&S Applications are in the Evaluation Criteria identified peer reviewers using weighted submitted in FEMA GO. below. The panel will independently evaluation criteria to score the project. • Fire Departments and Interest score each project within the These scores will impact the ranking of Organizations are scored differently application, discuss the merits and/or a project for funding. under the FP&S Activity. shortcomings of the application, and The relative weight of the evaluation • Wildfire Risk Reduction Programs document the findings. A consensus is criteria in the determination of the grant are an eligible category. not required. award is listed below.

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• Financial Need (Departments-10 Æ Informal risk assessments could percent): Projects should have included percent, Interest Organizations-0 include an in-house review of available a plan for evaluation of effectiveness percent): Applicants must have data (e.g., National Fire Incident and identify measurable goals. provided details on the need for Reporting System) to determine fire Applicants seeking to carry out financial assistance to carry out the loss, burn injuries, or loss of life over a awareness and educational projects, for proposed project(s). Included in the period of time and the factors that are example, should have identified how description might be other unsuccessful the cause and origin for each they intend to determine that there has attempts to acquire financial assistance occurrence, including a lack of adoption been an increase in knowledge about or specific details of the applicant’s and enforcement of certain codes. fire hazards, or measure a change in the operational budget. • Project Description (Departments- safety behaviors of the audience. • Vulnerability Statement 20 percent, Interest Organizations-25 Applicants should have demonstrated (Departments-20 percent, Interest percent): Applicants must have how they will measure risk at the outset Organizations-25 percent): The described in detail not only the project of the project in comparison to how assessment of fire risk is essential in the components but also how the proposed much the risk decreased after the project development of an effective project goal, project addresses the identified is finished. There are various ways to as well as meeting FEMA’s goal to capability gap, due to financial need measure the knowledge gained about reduce risk by conducting a risk and/or the vulnerabilities identified in fire hazards, including the use of assessment as a basis for action. the vulnerability statement. The surveys, pre- and post-tests, or Vulnerability is a ‘‘weak link’’ following information should have been documented observations. Applicants demonstrating high risk behavior, living included: are encouraged to attend training on conditions or any type of high risk Æ Project components. evaluation methods, such as the situation. The Vulnerability Statement Æ Review of any existing programs or National Fire Academy’s should have included a description of models that have been successful. ‘‘Demonstrating Your Fire Prevention the steps taken to determine the Æ Detailed description of how the Program’s Worth.’’ In addition to a vulnerability and identify the target proposed project components fill the detailed evaluation plan as described audience. The methodology for identified capability gap. above, if awarded, grant recipients are determination of vulnerability (i.e., how Æ If working with Fire Service required to report on specific the vulnerability was found) should Partners/Organizations, identify each performance metrics through have been discussed in-depth in the partner/organization and the role(s) they performance reports and at closeout. application’s Narrative Statement. will fill in the successful completion of • Cost-Benefit (Departments-10 Æ Fire Department applicants should the proposed project. percent, Interest Organizations-5 note that 5 percent of the available 20 • Implementation Plan (Departments- percent): Projects will be evaluated and percent for this narrative element will 25 percent, Interest Organizations-30 scored by the Peer Review panelists be provided to those applicants that can percent): Projects should have provided based on how well the applicant demonstrate their commitment and details on the implementation plan, addresses the fire prevention needs of proactive posture to reducing fire risk. discussing the proposed project’s goals the department or organization in an Applicants must have explained their and objectives. The following economic and efficient manner. The code adoption and enforcement (to information should have been included applicant should have shown how it include Wildland Urban Interface and to support the implementation plan: will maximize the level of funding that commercial/residential sprinkler code Æ Goals and objectives. goes directly into the delivery of the adoption and enforcement) and Æ Details regarding the methods and project. The costs associated with the mitigation strategies (including whether specific steps that will be used to project also must be reasonable for the or not the jurisdiction has a FEMA- achieve the goals and objectives. target audience that will be reached, and approved mitigation strategy) to receive Æ Timelines outlining the a description should have been the full 20 percent. Also, note that chronological project steps (this is included of how the anticipated project departments can have demonstrated critical for determining the likeliness of benefit(s) (quantified if possible) their commitment to reducing fire risk the project’s completion within the outweighs the cost(s) of the requested by applying to implement fire period of performance). item(s). The application should have mitigation strategies (code adoption and Æ Where applicable, examples of provided justification for all costs enforcement) via the application. marketing efforts to promote the project, included in the project in order to assist Æ The specific vulnerability that will who will deliver the project (e.g., the Technical Evaluation Panel with be addressed with the proposed project effective partnerships), and the manner their review. can be established through a formal or in which materials or deliverables will D Meeting the needs of people with informal risk assessment. FEMA be distributed. disabilities (additional consideration): encourages the use of local statistics, Æ Requests for props (i.e., tools used Applicants in the Community Risk rather than national statistics, when in educational or awareness Reduction category will receive discussing the vulnerability. demonstrations), including specific additional consideration if, as part of Æ The applicant should have goals, measurable results, and details on their comprehensive smoke alarm summarized the vulnerability the the frequency for which the prop will be installation and education program, project will address in a clear, to-the- utilized as part of the implementation they address the needs of people with point statement that addresses who is at plan. Applicants should include disabilities (e.g., deaf/hard-of-hearing) risk, what the risks are, where the risks information describing the efforts that in their community. are, and how the risks can be prevented, will be used to reach the high risk D Experience and Expertise reduced, or mitigated. audience and/or the number of people (additional consideration): Applicants Æ For the purpose of the FY 2019 reached through the proposed project that demonstrated their experience and FP&S NOFO, formal risk assessments (examples of props include safety ability to conduct fire prevention and consist of the use of software programs trailers, puppets, or robots). safety activities, and to execute the or recognized expert analysis that assess • Evaluation Plan (Departments-15 proposed or similar project(s), will risk trends. percent, Interest Organizations-15 receive additional consideration.

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Evaluation Criteria—Firefighter Safety have been included in the appendix of methods and equipment selected for use Research and Development Activity the application. Generally, participants are appropriate and sufficient to Funding decisions will be informed of a diverse population, including both successfully deliver the proposed by an assessment of how well the career and volunteer firefighters, are project objectives. • Project Analysis (20 percent): The application addresses the criteria and expected to facilitate acceptance of applicant should have indicated the considerations listed below. All results nationally. In cases where this is planned approach for analysis of the applications will be reviewed by a fire not practical, due to the nature of the data obtained from measurements, service expert panel using weighted study or other limitations, these circumstances should have been clearly questionnaires, or computations. The evaluation criteria, and those projects explained. applicant should have specified within deemed to be in the ‘‘competitive range’’ Science Panel Evaluation Criteria: the plan what will be analyzed, the will then be reviewed by a science panel • Project goals, objectives, and statistical methods that will be used, the using weighted evaluation criteria to specific aims (15 percent): Applicants sequence of steps, and interactions as score the project. Science panel should have addressed how the appropriate. It should be clear that the evaluations will impact the ranking of purpose, goals, objectives, and aims of principal investigator and research team the project for funding. the proposal will lead to results that have the expertise to perform the Fire Service Panel Evaluation Criteria: • will improve firefighter safety, health, or planned analysis and defend the results Purpose (25 percent): Applicants wellness. For multi-year projects, in a peer review process. should have clearly identified the greater detail should have been given for • Dissemination and Implementation benefits of the proposed research project the first year, however specific goals (15 percent): Applicants should have to improve firefighter safety, health, or and objectives are required for the indicated dissemination plans for wellness, and identify specific gaps in second and third years (if applicable). scientific audiences (such as plans for knowledge that will be addressed. • Literature Review (10 percent): • submissions to specific peer review Implementation by Fire Service (25 Applicants should have provided a publications) and for firefighter percent): Applicants should have literature review that is relevant to the audiences (such as websites, magazines, discussed how the outcomes/products project’s goals, objectives, and specific and conferences). Also, assuming of this research, if successful, are likely aims. The citations should be placed in positive results, the applicant should to be widely/nationally adopted and the text of the Narrative Statement, with have indicated future steps that would accepted by the fire service as changes references listed at the end of the support dissemination and that enhance firefighter safety, health, or Narrative Statement (and not in the implementation throughout the fire wellness. Appendix) of the application. The service, where applicable. These steps • Potential Impact (15 percent): review should be in sufficient depth to are likely to be beyond the current Applicants should have discussed the make it clear that the proposed project study, so those features of the research potential impact of the research is necessary, adds to an existing body of activity that will facilitate future outcome/product on firefighter safety by knowledge, is different from current and dissemination and implementation quantifying the possible reduction in previous studies, and offers a unique should be discussed. All applicants the number of fatal or non-fatal injuries, contribution. should have specified how the results of or on the projected wellness by • Project Methods (20 percent): the project, if successful, might be significantly improving the overall Applicants should have provided a disseminated and implemented in the health of firefighters. description of how the project will be fire service to improve firefighter safety, • Barriers (15 percent): The applicant carried out, including demonstration of health, or wellness. It is expected that should have identified and discussed the overall scientific and technical rigor successful R&D Activity Projects may potential fire service and other barriers and merit of the project. This includes give rise to future programs including to successfully complete the study on the operations to accomplish the FP&S Activity Projects. schedule, including contingencies and purpose, goals and objectives, and the • Cost vs. Benefit (additional strategies to deal with barriers if they specific aims of the project. Plans to consideration): Cost vs. benefit in this materialize. This may include barriers recruit and retain human subjects, evaluation element refers to the costs of that could inhibit the proposed fire where applicable, should have been the grant for the research and service participation in the study or the described. Where human subjects are development project as it relates to the adoption of successful results by the fire involved in the project, the applicant benefits that are projected for service when the project is completed. should describe plans for submission to firefighters who would have improved • Partners (20 percent): Applicants the Institutional Review Board (for safety, health, or wellness. Applicants should have recognized that further guidance and requirements, see should have demonstrated a high participation of the fire service as a the FY 2019 FP&S NOFO). benefit for the cost incurred and partner in the research, from • Project Measurements (20 percent): effective utilization of Federal funds for development to dissemination, is Applicants should have provided research activities. regarded as an essential part of all evidence of the technical rigor and merit • Financial Need (additional projects. Applicants should have of the project, such as data pertaining to consideration): In the Applicant described the fire service partners and validity, reliability, and sensitivity Information section of the application, contractors that will support the project (where established) of the facilities, applicants should have provided details to accomplish the objectives of the equipment, instruments, standards, and on the need for Federal financial study. The specific roles and procedures that will be used to carry out assistance to carry out the proposed contributions of the partners should the research. The applicant should have project(s). Applicants may have have been described. Partnerships may discussed the data to be collected to included a description of unsuccessful be formed with local and regional fire evaluate the performance methods, attempts to acquire financial assistance. departments, and also with national technologies, and products proposed to Applicants should have provided detail fire-related organizations. Letters of enhance firefighter safety, health, or about the organization’s operating support and letters of commitment to wellness. The applicant should have budget, including a high-level actively participate in the project should demonstrated that the measurement breakdown of the budget; describe the

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department’s inability to address Authority: 15 U.S.C. 2229. Housing Counseling Federal Advisory financial needs without Federal Pete Gaynor, Committee (HCFAC) to fill vacancies on the HCFAC. assistance; and discuss other actions the Administrator, Federal Emergency department has taken to meet their Management Agency. SUMMARY: The Department of Housing staffing needs (e.g., state assistance [FR Doc. 2020–13976 Filed 6–26–20; 8:45 am] programs, other grant programs, etc.). and Urban Development (HUD) BILLING CODE 9111–23–P • Mentoring (additional established the HCFAC on April 14, consideration for Early Career 2015. This notice invites nominations Investigator Projects only): An important DEPARTMENT OF HOMELAND for appointments to fill vacancies on the part of Early Career Investigator projects SECURITY HCFAC. is the integration of mentoring for the DATES: All Nominations must be principal investigator by experienced Faith-Based Security Advisory Council received no later than July 29, 2020. researchers in areas appropriate to the AGENCY: The Department of Homeland ADDRESSES: Nominations must be in research project, including exposure to Security (DHS), Office of Partnership writing and submitted via email to the fire service community as well as and Engagement (OPE). [email protected]. support for ongoing development of ACTION: Notice of new Federal Advisory Individuals who do not have internet knowledge and skills. Mentoring is Committee. access may submit nominations to the regarded as critical to the research skills Office of the Deputy Assistant Secretary development of early career principal SUMMARY: The Secretary of Homeland Security (Secretary) is establishing the for Housing Counseling, Department of investigators. As part of the application Housing and Urban Development, 451 Appendix, the applicant should have Faith-Based Security Advisory Council (FBSAC). The primary purpose of the Seventh Street SW, Room 9224, identified the mentor(s) who have Washington DC 20410. agreed to support the applicant and the FBSAC will be to provide advice and expected benefit of their interactions recommendations to the Secretary on FOR FURTHER INFORMATION CONTACT: with the researcher. A biographical matters relating to houses of worship, Virginia F. Holman, Housing Program sketch and letter of support from the faith-based organization security and Specialist, U.S. Department of Housing mentor(s) were encouraged and should homeland security. The FBSAC will and Urban Development, Office of have been included in the Appendix operate in an advisory capacity only. Housing Counseling, Office of Outreach materials. This notice is provided in accordance and Capacity Building, with the Federal Advisory Committee [email protected], telephone Other Selection Information Act, as amended. The FBSAC will number 540–894–7790. (this is not a terminate two years from the date of its toll-free number). Persons who have Awards will be made using the results establishment, unless extended by the difficulty hearing or speaking may of peer-reviewed applications as the Secretary. access this number via TTY by calling primary basis for decisions, regardless FOR FURTHER INFORMATION CONTACT: the toll-free Federal Relay Service at of activity. However, there are some Traci Silas at [email protected] or at (800) 877–8339 (toll-free number). exceptions to strictly using the peer (202) 603–1142. Individuals with questions may also review results. The applicant’s prior email [email protected] and AFG, SAFER, and FP&S grant SUPPLEMENTARY INFORMATION: In accordance with 41 CFR 102–3.65(b), as in the subject line write ‘‘HCFAC management performance will also be application question.’’ taken into consideration when making requested by the Department, the recommendations for award. All final General Services Administration SUPPLEMENTARY INFORMATION: Committee Management Secretariat has funding determinations will be made by I. Background and Authority the FEMA Administrator, or the approved a period of less than 15 Administrator’s designee. calendar days pursuant to the The HCFAC is statutorily mandated to publication of this notice for the filing provide advice to the Office of Housing Fire departments and other eligible of the FBSAC Charter. applicants that have received funding Counseling (OHC) (42 U.S.C. under the FP&S Grant Program in Zarinah Traci Silas, 3533(g)(4)). The HCFAC provides the previous years are eligible to apply for Senior Director and Alternate Designated OHC valuable advice regarding its funding in the current year. However, Federal Official. mission to provide individuals and FEMA may take into account an [FR Doc. 2020–13882 Filed 6–26–20; 8:45 am] families with knowledge to obtain, applicant’s performance on prior grants BILLING CODE 9112–FN–P sustain, and improve their housing when making funding decisions on through a strong national network of current applications. HUD-approved housing counseling DEPARTMENT OF HOUSING AND agencies and HUD-certified counselors. Once every application in the URBAN DEVELOPMENT The HCFAC, however, does not have competitive range has been through the any role in reviewing or awarding of technical evaluation phase, the [Docket No. FR–6222–N–01] OHC housing counseling grants and applications will be ranked according to procurements. The HCFAC is subject to Appointments to the Housing the average score awarded by the panel. the requirements of the Federal Counseling Federal Advisory Advisory Committee Act (5 U.S.C. The ranking will be summarized in a Committee Technical Report prepared by the AFG Appendix) (FACA), FACA regulations, Program Office. A Grants Management AGENCY: Office of the Assistant and Presidential Memorandum ‘‘Final Specialist will contact the applicant to Secretary for Housing- Federal Housing Guidance on Appointments of Lobbyists discuss and/or negotiate the content of Commissioner, Department of Housing to Federal Boards and Commissions,’’ the application and SAM.gov and Urban Development (HUD). dated June 18, 2010, along with any registration before making final award ACTION: Notice of the Solicitation of relevant guidance published in the decisions. Nominations for Appointment to the Federal Register or otherwise issued by

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the Office of Management and Budget submitted under this Federal Register needed to render advice to the Deputy (OMB).1 Notice shall remain valid for two (2) Assistant Secretary for OHC. The The HCFAC shall consist of not more years after the close of the deadline for meetings may use electronic than 8 individuals appointed by the applications. HUD reserves the right to communication technologies for Secretary. The membership will equally solicit new nominations, at any time, to attendance. represent the mortgage industry, real fill HCFAC vacancies. All meetings will be announced by estate industry, consumers, and HUD- Nominations should be submitted via notice in the Federal Register. approved housing counseling agencies. email to [email protected]. Announcements of the meetings may be Each member shall be appointed in his Individuals who do not have internet made using other methods as well. or her individual capacity for a term of access may submit nominations to the Dated: June 22, 2020. 3 years. Office of the Deputy Assistant Secretary Len Wolfson, Appointees whose terms have expired for Housing Counseling, HUD, 451 7th are eligible to apply to be nominated for Street SW, Washington DC 20410. Acting Assistant Secretary for Housing– the positions announced herein. Those who submitted applications Federal Housing Commissioner. previously, and those who have been [FR Doc. 2020–13952 Filed 6–26–20; 8:45 am] II. Nominations for the Housing BILLING CODE 4210–67–P Counseling Federal Advisory appointed previously, must reapply if Committee they wish to be considered for an appointment. HUD is seeking nominations for All Nominations must be received no DEPARTMENT OF HOUSING AND membership on the HCFAC. Nominees later than July 29, 2020. URBAN DEVELOPMENT shall have experience representative of HCFAC members will be required to [Docket No. FR–6221–N–01] at least one of the 4 categories—the adhere to the conflict of interest rules mortgage industry, real estate industry, applicable to Special Government Availability of HUD’s Fiscal Year 2018 consumers, and HUD-approved housing Employees as defined in 18 U.S.C. Service Contract Inventory counseling agencies. Nominations may Section 202(a). The rules include AGENCY: Office of the Chief Procurement be made by agency officials, members of relevant provisions in Title 18 related to Officer, HUD. Congress, the general public, criminal activity, Standards of Ethical professional organizations, and self- Conduct for Employees of the Executive ACTION: Notice. nominations. Nominees must be U.S. Branch (5 CFR part 2635) and Executive citizens and cannot be U.S. Government SUMMARY: This notice advises of the Order 12674 (as modified by Executive availability to the public of service employees. Order 12731). Therefore, applicants will All appointed nominees will be contracts awarded by HUD in Fiscal be required to submit to pre- Year (FY) 2018. serving on the HCFAC in their appointment screenings relating to FOR FURTHER INFORMATION CONTACT: Dr. individual capacity and not in a conflict of interest and financial Akinsola A. Ajayi, Assistant Chief representative capacity, therefore, no interests that HUD might require. If Procurement Officer, Office of Policy, Federally-registered lobbyists may serve selected, HCFAC members will also be 2 Systems and Risk Management, Office on the HCFAC. Individual capacity, as asked to complete OGE Form 450 of the Chief Procurement Officer, clarified by OMB, refers to individuals (Confidential Financial Disclosure Department of Housing and Urban who are appointed to committees to Report). exercise their own individual best Members of the HCFAC shall serve Development, 451 7th Street SW, judgment on behalf of the government, without pay but shall receive travel Washington, DC 20410; telephone such as when they are designated as expenses including per diem in lieu of number 202–402–6728 (this is not a toll- Special Government Employees as subsistence as authorized by 5 U.S.C. free number) and fax number 202–708– defined in 18 U.S.C. 202. Nominations 5703. Regular attendance is essential to 8912. Persons with hearing or speech to the HCFAC must be submitted using the effective operation of the HCFAC. impairments may access Mr. Lawrence Form HUD–90005 (‘‘Application for This Notice is not intended to be the E. Chambers telephone number via TTY Membership Housing Counseling exclusive method by which HUD will by calling the toll-free Federal Relay Federal Advisory Committee’’) which is solicit nominations and expressions of Service at 800–877–8339. available on the Office of Housing interest to identify qualified candidates. SUPPLEMENTARY INFORMATION: Counseling’s Federal Advisory However, all nominees for membership In accordance with section 743 of Committee web page at: https:// on the HCFAC will be subject to the Division C of the Consolidated www.hudexchange.info/programs/ same application process and evaluation Appropriations Act of 2010 (Pub. L. housing-counseling/federal-advisory- criteria. 111–117, approved December 16, 2009, committee/. Each nominee will be 123 Stat. 3034, at 123 Stat. 3216), HUD required to provide all the information IV. Selection and Meetings. is publishing this notice to advise the requested on HUD–90005. Nominations Member selections and appointments public of service contracts inventories will be made by the Secretary and will that were awarded in FY 2018. The 1 See, https://www.whitehouse.gov/the:press- be based on the Nominee’s inventories are organized by function office/presidential-memorandum-lobbyists-agency- boards-and-Commissions (‘‘Lobbyist on Agency qualifications to contribute to the and are reviewed by HUD to better Boards and Commissions’’); see also 76 FR 61756 accomplishment of the HCFAC’s understand how contracted services are (‘‘Final Guidance on Appointments of Lobbyists to objectives. Membership on the used to support HUD’s primary mission, Federal Boards and Commissions’’); and 79 FR Committee is personal to the appointee to insure HUD maintains an adequate 47482 (‘‘Revised Guidance on Appointment of Lobbyists to Federal Advisory Committees, Boards, and committee members serve at the workforce for operations and to research and Commissions’’). discretion of the Secretary. whether contractors were performing 2 See 79 FR 4782 (‘‘Revised Guidance on The estimated number of in-person inherently governmental functions. Appointment of Lobbyists to Federal Advisory meetings anticipated within a fiscal year The inventory was developed in Committees, Boards, andCommissions’’) (clarifying that federally registered lobbyists may not serve on is two (2) in Washington DC or accordance with guidance issued on advisory committee, board, or Commission in an elsewhere in the United States. November 5, 2010 by the Office of ‘‘individual capacity.’’) Additional meetings may be held as Management and Budget’s Office

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Federal Procurement Policy (OFPP). The inventory was developed in Colette Pollard at Colette.Pollard@ OFPP’s guidance is available at https:// accordance with guidance issued on hud.gov or telephone 202–402–3400. obamawhitehouse.archives.gov/sites/ November 5, 2010 by the Office of This is not a toll-free number. Persons default/files/omb/procurement/memo/ Management and Budget’s Office with hearing or speech impairments service-contract-inventories-guidance- Federal Procurement Policy (OFPP). may access this number through TTY by 11052010.pdf. OFPP’s guidance is available at https:// calling the toll-free Federal Relay HUD has posted its inventory and a obamawhitehouse.archives.gov/sites/ Service at (800) 877–8339. summary of the inventory on the default/files/omb/procurement/memo/ Copies of available documents Department of Housing and Urban service-contract-inventories-guidance- submitted to OMB may be obtained Development’s homepage at the 11052010.pdf. from Ms. Pollard. following link: http://portal.hud.gov/ HUD has posted its inventory and a SUPPLEMENTARY INFORMATION: This hudportal/HUD?src=/program_offices/ summary of the inventory on the notice informs the public that HUD has cpo/sci. Department of Housing and Urban submitted to OMB a request for Dated: June 24, 2020. Development’s homepage at the approval of the information collection Akinsola A. Ajayi, following link: http://portal.hud.gov/ described in Section A. The Federal hudportal/HUD?src=/program_offices/ Register notice that solicited public Assistant Chief Procurement Officer. cpo/sci. comment on the information collection [FR Doc. 2020–13932 Filed 6–26–20; 8:45 am] Dated: June 24, 2020. for a period of 60 days was published BILLING CODE 4210–67–P Akinsola A. Ajayi, on April 10, 2020 at 85 FR 20294 Assistant Chief Procurement Officer. A. Overview of Information Collection DEPARTMENT OF HOUSING AND [FR Doc. 2020–13925 Filed 6–26–20; 8:45 am] Title of Information Collection: URBAN DEVELOPMENT BILLING CODE 4210–67–P Manufactured Home Construction and Safety Standards Act Park Model RV [Docket No. FR–6220–N–01] Exemption Notice. DEPARTMENT OF HOUSING AND OMB Approval Number: 2502–0616. Availability of HUD’s Fiscal Year 2017 URBAN DEVELOPMENT Type of Request: Extension of a Service Contract Inventory [Docket No. FR–7024–N–26] currently approved collection. AGENCY: Office of the Chief Procurement Form Number: None. Officer, HUD. 30-Day Notice of Proposed Information Description of the need for the information and proposed use: ACTION: Notice. Collection: Manufactured Home Construction and Safety Standards Act For recreational vehicles that are SUMMARY: This notice advises of the Park Model RV Exemption Notice; OMB exempt from HUD regulation as availability to the public of service Control No. 2502–0616 manufactured homes, HUD requires contracts awarded by HUD in Fiscal certification with either the American Year (FY) 2017. AGENCY: Office of the Chief of the National Standards Institute’s (ANSI) Information Officer, HUD. standard for Park Model Recreational FOR FURTHER INFORMATION CONTACT: Dr. ACTION: Notice. Vehicles (PMRV), A119.5–15 or the Akinsola A. Ajayi, Assistant Chief National Fire Protection Association’s Procurement Officer, Office of Policy, SUMMARY: HUD is seeking approval from NFPA 1192, Standard on Recreational Systems and Risk Management, Office the Office of Management and Budget Vehicles, 2015 Edition. PMRVs built to of the Chief Procurement Officer, (OMB) for the information collection ANSI A119.5–15 may exceed the RV Department of Housing and Urban described below. In accordance with the exemption’s 400 square foot threshold, Development, 451 7th Street SW, Paperwork Reduction Act, HUD is a manufacturer must post notice in the Washington, DC 20410; telephone requesting comment from all interested home that the structure is only designed number 202–402–6728 (this is not a toll- parties on the proposed collection of for recreational purposes and is not free number) and fax number 202–708– information. The purpose of this notice designed as a primary residence or for 8912. Persons with hearing or speech is to allow for an additional 30 days of permanent occupancy. impairments may access Mr. Lawrence public comment. The Recreation Vehicle Industry E. Chambers telephone number via TTY Association’s (RVIA) current seal does by calling the toll-free Federal Relay DATES: Comments Due Date: July 29, 2020. not satisfy HUD’s standard for the Service at 800–877–8339. manufacturer’s notice. HUD SUPPLEMENTARY INFORMATION: ADDRESSES: Interested persons are requirements provide specifics In accordance with section 743 of invited to submit comments regarding regarding the content and prominence Division C of the Consolidated this proposal. Written comments and of the notice and which requires the Appropriations Act of 2010 (Public Law recommendations for the proposed notice to be prominently displayed in 111–117, approved December 16, 2009, information collection should be sent the unit and delivered to the consumer 123 Stat. 3034, at 123 Stat. 3216), HUD within 30 days of publication of this before the sale transaction is complete, is publishing this notice to advise the notice to www.reginfo.gov/public/do/ regardless of whether the transaction public of service contracts inventories Start Printed Page 15501PRAMain. Find occurs online or in-person. PMRV that were awarded in FY 2017. The this particular information collection by manufacturers will satisfy this inventories are organized by function selecting ‘‘Currently under 30-day requirement with two printed sheets of and are reviewed by HUD to better Review—Open for Public Comments’’ or paper per PMRV: one in the kitchen, understand how contracted services are by using the search function. and one delivered to the consumer used to support HUD’s primary mission, FOR FURTHER INFORMATION CONTACT: before the transaction. to insure HUD maintains an adequate Colette Pollard, Reports Management Respondents (i.e. affected public): workforce for operations and to research Officer, QDAM, Department of Housing Business or other for-profit. whether contractors were performing and Urban Development, 451 7th Street Estimated Number of Respondents: inherently governmental functions. SW, Washington, DC 20410; email 22.

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Estimated Number of Responses: submitted compacts with the State of FOR FURTHER INFORMATION CONTACT: Ms. 4,000 per annum. Oklahoma governing certain forms of Sharlene Round Face, Bureau of Indian Frequency of Response: Approx. 181. Class III gaming. This notice announces Affairs, Division of Real Estate Services, Average Hours per Response: 20 that the Comanche Nation and State of [email protected], (505) seconds. Oklahoma Gaming Compact and the 563–3132. Total Estimated Burden: 22 hours. Otoe-Missouria Tribe and State of SUPPLEMENTARY INFORMATION: B. Solicitation of Public Comment Oklahoma Gaming Compact are taking This notice is soliciting comments effect. I. Summary of the HEARTH Act from members of the public and affected DATES: The compacts take effect June 29, The HEARTH Act makes a voluntary, parties concerning the collection of 2020. alternative land leasing process available to Tribes, by amending the information described in Section A on FOR FURTHER INFORMATION CONTACT: Ms. Indian Long-Term Leasing Act of 1955, the following: Paula L. Hart, Director, Office of Indian 25 U.S.C. 415. The HEARTH Act (1) Whether the proposed collection Gaming, Office of the Deputy Assistant authorizes Tribes to negotiate and enter of information is necessary for the Secretary—Policy and Economic proper performance of the functions of into agricultural and business leases of Development, Washington, DC 20240, Tribal trust lands with a primary term the agency, including whether the [email protected], (202) 219–4066. information will have practical utility; of 25 years, and up to two renewal terms SUPPLEMENTARY INFORMATION: Under (2) The accuracy of the agency’s of 25 years each, without the approval section 11 of the Indian Gaming estimate of the burden of the proposed of the Secretary of the Interior Regulatory Act (IGRA), Public Law 100– collection of information; (Secretary). The HEARTH Act also 497, 25 U.S.C. 2701 et seq., the (3) Ways to enhance the quality, authorizes Tribes to enter into leases for Secretary of the Interior shall publish in utility, and clarity of the information to residential, recreational, religious or the Federal Register notice of approved be collected; and educational purposes for a primary term Tribal-State compacts for the purpose of (4) Ways to minimize the burden of of up to 75 years without the approval engaging in Class III gaming activities the collection of information on those of the Secretary. Participating Tribes on Indian lands. As required by 25 CFR who are to respond; including through develop Tribal leasing regulations, 293.4, all compacts are subject to review the use of appropriate automated including an environmental review and approval by the Secretary. The collection techniques or other forms of process, and then must obtain the Secretary took no action on the information technology, e.g., permitting Secretary’s approval of those regulations Comanche Nation and State of electronic submission of responses. prior to entering into leases. The Oklahoma Gaming Compact and the (5) ways to minimize the burden of HEARTH Act requires the Secretary to Otoe-Missouria Tribe and State of the collection of information on those approve Tribal regulations if the Tribal Oklahoma Gaming Compact within 45 who are to respond, including the use regulations are consistent with the days of their submission. Therefore, the of automated collection techniques or Department of the Interior’s Compacts are considered to have been other forms of information technology. (Department) leasing regulations at 25 approved, but only to the extent they are HUD encourages interested parties to CFR part 162 and provide for an consistent with IGRA. See 25 U.S.C. submit comment in response to these environmental review process that 2710(d)(8)(C). questions. meets requirements set forth in the Tara Sweeney, HEARTH Act. This notice announces C. Authority that the Secretary, through the Assistant Assistant Secretary—Indian Affairs. Section 3507 of the Paperwork Secretary—Indian Affairs, has approved [FR Doc. 2020–13886 Filed 6–26–20; 8:45 am] the Tribal regulations for the Fort Reduction Act of 1995, 44 U.S.C. BILLING CODE 4337–15–P Chapter 35. Belknap Indian Community of the Fort Belknap Reservation of Montana. Dated: June 19, 2020. Anna Guido, DEPARTMENT OF THE INTERIOR II. Federal Preemption of State and Local Taxes Department Reports Management Officer, Bureau of Indian Affairs Office of the Chief Information Officer. The Department’s regulations [FR Doc. 2020–13967 Filed 6–26–20; 8:45 am] [201A2100DD/AAKC001030/A0A501010. governing the surface leasing of trust 999900] BILLING CODE P and restricted Indian lands specify that, subject to applicable Federal law, HEARTH Act Approval of Fort Belknap permanent improvements on leased Indian Community of the Fort Belknap DEPARTMENT OF THE INTERIOR land, leasehold or possessory interests, Reservation of Montana Residential and activities under the lease are not Leasing Act Bureau of Indian Affairs subject to State and local taxation and AGENCY: Bureau of Indian Affairs, may be subject to taxation by the Indian [201A2100DD/AAKC001030/A0A Tribe with jurisdiction. See 25 CFR 501010.999900253G] Interior. ACTION: Notice. 162.017. As explained further in the Indian Gaming; Tribal-State Class III preamble to the final regulations, the SUMMARY: Gaming Compacts Taking Effect in the On June 12, 2020, the Bureau Federal government has a strong interest State of Oklahoma of Indian Affairs (BIA) approved the in promoting economic development, Fort Belknap Indian Community of the self-determination, and Tribal AGENCY: Bureau of Indian Affairs, Fort Belknap Reservation (Tribe) leasing sovereignty. 77 FR 72440, 72447–48 Interior. regulations under the Helping Expedite (December 5, 2012). The principles ACTION: Notice. and Advance Responsible Tribal supporting the Federal preemption of Homeownership Act of 2012 (HEARTH State law in the field of Indian leasing SUMMARY: On April 23, 2020, the Act). With this approval, the Tribe is and the taxation of lease-related Comanche Nation and the Otoe- authorized to enter into residential interests and activities applies with Missouria Tribe of Indians, respectively, leases without further BIA approval. equal force to leases entered into under

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Tribal leasing regulations approved by Indian Community, 572 U.S. 782, 810 DEPARTMENT OF THE INTERIOR the Federal government pursuant to the (2014) (Sotomayor, J., concurring) HEARTH Act. (determining that ‘‘[a] key goal of the Bureau of Indian Affairs Section 5 of the Indian Reorganization Federal Government is to render Tribes [190A2100DD/AAKC001030/A0A51010. Act, 25 U.S.C. 5108, preempts State and more self-sufficient, and better 999900] local taxation of permanent positioned to fund their own sovereign improvements on trust land. functions, rather than relying on Federal Land Acquisitions; San Pasqual Band Confederated Tribes of the Chehalis funding’’). The additional costs of State of Diegueno Mission Indians of Reservation v. Thurston County, 724 and local taxation have a chilling effect California F.3d 1153, 1157 (9th Cir. 2013) (citing on potential lessees, as well as on a tribe Mescalero Apache Tribe v. Jones, 411 AGENCY: Bureau of Indian Affairs, U.S. 145 (1973)). Similarly, section 5108 that, as a result, might refrain from Interior. preempts State taxation of rent exercising its own sovereign right to ACTION: Notice. payments by a lessee for leased trust impose a Tribal tax to support its SUMMARY: lands, because ‘‘tax on the payment of infrastructure needs. See id. at 810–11 The Assistant Secretary— rent is indistinguishable from an (finding that State and local taxes Indian Affairs has made a final impermissible tax on the land.’’ See greatly discourage Tribes from raising determination to acquire 29 acres, more Seminole Tribe of Florida v. Stranburg, tax revenue from the same sources or less into trust for the San Pasqual 799 F.3d 1324, 1331, n.8 (11th Cir. because the imposition of double Band of Diegueno Mission Indians of 2015). In addition, as explained in the taxation would impede Tribal economic California on May 15, 2020. preamble to the revised leasing growth). FOR FURTHER INFORMATION CONTACT: Ms. regulations at 25 CFR part 162, Federal Sharlene M. Round Face, Bureau of Similar to BIA’s surface leasing Indian Affairs, Division of Real Estate courts have applied a balancing test to regulations, Tribal regulations under the determine whether State and local Services, 1849 C Street NW, MS–4642– HEARTH Act pervasively cover all taxation of non-Indians on the MIB, Washington, DC 20240, telephone aspects of leasing. See 25 U.S.C. reservation is preempted. White (202) 208–3615. Mountain Apache Tribe v. Bracker, 448 415(h)(3)(B)(i) (requiring Tribal SUPPLEMENTARY INFORMATION: This U.S. 136, 143 (1980). The Bracker regulations be consistent with BIA notice is published in the exercise of balancing test, which is conducted surface leasing regulations). authority delegated by the Secretary of against a backdrop of ‘‘traditional Furthermore, the Federal government the Interior to the Assistant Secretary— notions of Indian self- government,’’ remains involved in the Tribal land Indian Affairs by part 209 of the requires a particularized examination of leasing process by approving the Tribal Departmental Manual, and is published the relevant State, Federal, and Tribal leasing regulations in the first instance to comply with the requirement of 25 interests. We hereby adopt the Bracker and providing technical assistance, CFR 151.12(c)(2)(ii) that notice of the analysis from the preamble to the upon request by a Tribe, for the decision to acquire land in trust be surface leasing regulations, 77 FR at development of an environmental promptly published in the Federal 72447–48, as supplemented by the review process. The Secretary also Register. analysis below. retains authority to take any necessary On llll, the Assistant The strong Federal and Tribal actions to remedy violations of a lease Secretary—Indian Affairs issued a interests against State and local taxation or of the Tribal regulations, including decision to accept land in trust for the of improvements, leaseholds, and terminating the lease or rescinding San Pasqual Band of Diegueno Mission activities on land leased under the approval of the Tribal regulations and Indians of California under the authority Department’s leasing regulations apply reassuming lease approval of Section 5 of the Indian equally to improvements, leaseholds, responsibilities. Moreover, the Secretary Reorganization Act of 1934 (48 Stat. and activities on land leased pursuant to 984). Tribal leasing regulations approved continues to review, approve, and under the HEARTH Act. Congress’s monitor individual Indian land leases San Pasqual Band of Diegueno Mission overarching intent was to ‘‘allow Tribes and other types of leases not covered Indians of California, County of San to exercise greater control over their under the Tribal regulations according Diego, California own land, support self-determination, to the Part 162 regulations. Legal Description Containing 29 Acres, and eliminate bureaucratic delays that Accordingly, the Federal and Tribal More or Less stand in the way of homeownership and interests weigh heavily in favor of Parcel 1 economic development in Tribal preemption of State and local taxes on communities.’’ 158 Cong. Rec. H. 2682 lease-related activities and interests, The Southeast quarter of the (May 15, 2012). The HEARTH Act was regardless of whether the lease is Northwest quarter of Section 22, intended to afford Tribes ‘‘flexibility to governed by Tribal leasing regulations Township 11 South, Range 1 West, San adapt lease terms to suit [their] business or Part 162. Improvements, activities, Bernardino Base and Meridian, in the and cultural needs’’ and to ‘‘enable and leasehold or possessory interests County of San Diego, State of California, [Tribes] to approve leases quickly and may be subject to taxation by the Fort according to the United States efficiently.’’ H. Rep. 112–427 at 6 Belknap Indian Community of the Fort Government Survey. (2012). Except the Northerly 312.74 feet Belknap Reservation of Montana. Assessment of State and local taxes measured at right angles thereof. would obstruct these express Federal Tara Sweeney, Parcel 2 policies supporting Tribal economic Assistant Secretary—Indian Affairs. development and self-determination, An easement for road and utility and also threaten substantial Tribal [FR Doc. 2020–13885 Filed 6–26–20; 8:45 am] purposes over the Southerly 15 feet of interests in effective Tribal government, BILLING CODE 4337–15–P the Northerly 312.74 feet measured at economic self-sufficiency, and territorial right angles of said Southeast quarter of autonomy. See Michigan v. Bay Mills the Northwest quarter of said Section.

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Assessor’s Parcel Number: 189–181–13 available for selection will change on the ICR at http://www.reginfo.gov/ The above described real property is this real-time map as more lands public/do/PRAMain. identified in San Diego County records become available and as allotments are SUPPLEMENTARY INFORMATION: In as Assessor’s Parcel Number 189–181– applied for over the course of the accordance with the Paperwork 13, containing 29 acres, more or less. program. Reduction Act of 1995 (PRA, 44 U.S.C. (Authority: Public Law 116–9) 3501 et seq.) and 5 CFR 1320.8(d)(1), we Tara Sweeney, provide the general public and other Assistant Secretary—Indian Affairs. Ted A. Murphy, Federal agencies with an opportunity to [FR Doc. 2020–13887 Filed 6–26–20; 8:45 am] Acting State Director, Alaska. comment on new, proposed, revised, BILLING CODE 4337–15–P [FR Doc. 2020–13861 Filed 6–26–20; 8:45 am] and continuing collections of BILLING CODE 4310–JA–P information. This helps us assess the impact of our information collection DEPARTMENT OF THE INTERIOR requirements and minimize the public’s DEPARTMENT OF THE INTERIOR reporting burden. It also helps the Bureau of Land Management public understand our information Bureau of Land Management [20X.LLAK940000 L141000000.HM0000] collection requirements and provide the [LLAK932000 L13100000 PD0000.OMB requested data in the desired format. Notice of Identification of Federal Land Control Number 1004–0196] A Federal Register notice with a 60- in Alaska Available for Allotment day public comment period soliciting Selection Under the Alaska Native Agency Information Collection comments on this collection of Veteran Program of 2019 Activities; Submission to the Office of information was published on April 9, Management and Budget for Review 2020 (85 FR 19954). No comments were AGENCY: Bureau of Land Management, and Approval; Oil and Gas Leasing: received. Interior. National Petroleum Reserve-Alaska As part of our continuing effort to ACTION: Notice of identified lands. reduce paperwork and respondent AGENCY: Bureau of Land Management, burdens, we are again soliciting SUMMARY: In accordance with the John Interior. comments from the public and other D. Dingell, Jr., Conservation, ACTION: Notice of Information Federal agencies on the proposed ICR Management, and Recreation Act of Collection; request for comment. that is described below. We are 2019 (Dingell Act), the Bureau of Land especially interested in public comment Management (BLM) has identified SUMMARY: In accordance with the addressing the following: Federal lands that are available for Paperwork Reduction Act of 1995, we, (1) Whether or not the collection of allotment selection by eligible the Bureau of Land Management (BLM) information is necessary for the proper individuals. By this notice, the BLM is are proposing to renew an information performance of the functions of the announcing the availability of maps of collection. agency, including whether or not the the lands available for selection by DATES: Interested persons are invited to information will have practical utility; eligible individuals. submit comments on or before July 29, (2) The accuracy of our estimate of the ADDRESSES: An interactive map of the 2020. burden for this collection of land available for selection by eligible ADDRESSES: Written comments and information, including the validity of individuals can be accessed at https:// recommendations for the proposed the methodology and assumptions used; arcg.is/1HTrrO. information collection renewal (ICR) (3) Ways to enhance the quality, utility, and clarity of the information to FOR FURTHER INFORMATION CONTACT: should be sent within 30 days of Paul be collected; and Krabacher, Alaska Native Veteran publication of this notice to www.reginfo.gov/public/do/PRAMain . (4) How might the agency minimize Program of 2019 Project Manager by the burden of the collection of telephone at 907–271–1310 or by mail at Find this particular information collection by selecting ‘‘Currently under information on those who are to 222 West 7th Avenue #13, Anchorage, respond, including through the use of Alaska 99513. Persons who use a 30-day Review—Open for Public Comments’’ or by using the search appropriate automated, electronic, telecommunications device for the deaf mechanical, or other technological (TDD) may call the Federal Relay function. Please provide a copy of your comments to Faith Bremner, U.S. collection techniques or other forms of Service (FRS) at 1–800–877–8339 to information technology, e.g., permitting contact Mr. Krabacher during normal Department of the Interior, Bureau of Land Management, 1849 C Street NW, electronic submission of response. business hours. The FRS is available 24 Comments that you submit in Room 2134LM, Washington DC 20240; hours a day, 7 days a week, to leave a response to this notice are a matter of or by email to [email protected]. Please message or question. You will receive a public record. Before including your reference Office of Management and reply during normal business hours. address, phone number, email address, Budget (OMB) Control Number 1004– SUPPLEMENTARY INFORMATION: The or other personal identifying 0196 in the subject line of your Dingell Act (Pub. L. 116–9, Sec. 1119) information in your comment, you comments. requires the BLM to identify Federal should be aware that your entire lands in the State of Alaska that are FOR FURTHER INFORMATION CONTACT: To comment—including your personal vacant, unappropriated, and unreserved, request additional information about identifying information—may be made to make available for allotment selection this ICR, contact Wayne Svejnoha at publicly available at any time. While by eligible individuals under the Dingell telephone: 907–271–4407, or email: you can ask us in your comment to Act. In accordance with the Dingell Act, [email protected]. Individuals who are withhold your personal identifying the BLM is providing an interactive map hearing or speech impaired may call the information from public review, we of the available Federal lands. An Federal Relay Service at 1–800–877– cannot guarantee that we will be able to interactive map of available Federal 8339 for TTY assistance. You may also do so. lands can be found at the web address view the ICR at http://www.reginfo.gov/ Abstract: This control number enables in the ADDRESSES section. Lands public/do/PRAMain. You may also view the BLM to obtain the information it

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needs to meet its responsibilities under ADDRESSES: The meeting will be held at (Authority: 5 U.S.C. Appendix 2) the relevant legal provisions of the the White House, 1600 Pennsylvania Alma Ripps, National Petroleum Reserves Production Avenue NW, Washington, DC 20500. Act. Chief, Office of Policy. Title of Collection: Oil and Gas FOR FURTHER INFORMATION CONTACT: [FR Doc. 2020–13962 Filed 6–26–20; 8:45 am] Leasing: National Petroleum Reserve— Comments may be provided to: John BILLING CODE 4312–52–P Alaska. Stanwich, Executive Secretary, OMB Control Number: 1004–0196. Committee for the Preservation of the Form Number: None. White House, 1849 C Street NW, Room Type of Review: Extension of a #1426, Washington, DC 20240, by INTERNATIONAL TRADE currently approved collection. telephone (202) 219–0322, or by email COMMISSION Respondents/Affected Public: [email protected]. Participants in the oil and gas leasing SUPPLEMENTARY INFORMATION: The [Investigation Nos. 701–TA–451 and 731– program within the National Petroleum Committee has been established in TA–1126 (Second Review)] Reserve-Alaska. accordance with Executive Order No. Total Estimated Number of Annual Lightweight Thermal Paper From 11145, 3 CFR 184 (1964–1965), as Respondents: 21. China; Determination Total Estimated Number of Annual amended. The Committee reports to the Responses: 21. President of the United States and On the basis of the record 1 developed Estimated Completion Time per advises the Director of the NPS with in the subject five-year reviews, the Response: Varies from 15 minutes to 80 respect to the discharge of United States International Trade hours, depending on the activity. responsibilities for the preservation and Commission (‘‘Commission’’) Total Estimated Number of Annual interpretation of the museum aspects of determines, pursuant to the Tariff Act of Burden Hours: 220. the White House pursuant to the Act of 1930 (‘‘the Act’’), that revocation of the Respondent’s Obligation: Required to September 22, 1961 (Pub. L. 87–286, 75 countervailing duty and antidumping obtain or retain a benefit. Stat. 586). duty orders on lightweight thermal Frequency of Collection: On occasion. Purpose of the Meeting: The agenda Total Estimated Annual Nonhour paper from China would be likely to will include policies, goals, and long- Burden Cost: None. lead to continuation or recurrence of range plans. If you plan to attend this An agency may not conduct or material injury to an industry in the sponsor and a person is not required to meeting, you must register by close of United States within a reasonably respond to a collection of information business on Thursday, July 23, 2020. foreseeable time. unless it displays a currently valid OMB Please contact the Executive Secretary at _ _ Background control number. ncr whho [email protected] or The authority for this action is the phone (202) 219–0322 to register. Space The Commission instituted these Paperwork Reduction Act of 1995 (44 is limited and requests will be reviews on December 2, 2019 (84 FR U.S.C. 3501 et seq.). accommodated in the order they are 66012) and determined on March 6, received. Faith Bremner, 2020 that it would conduct expedited Senior Regulatory Analyst. The meeting will be open, but subject reviews (85 FR 29974, May 19, 2020). to security clearance requirements. The [FR Doc. 2020–13894 Filed 6–26–20; 8:45 am] The Commission made these Executive Secretary will contact you BILLING CODE 4310–JA–P determinations pursuant to section directly with the security clearance 751(c) of the Act (19 U.S.C. 1675(c)). It requirements. Inquiries may be made by completed and filed its determinations DEPARTMENT OF THE INTERIOR calling the Executive Secretary between in these reviews on June 23, 2020. The 9:00 a.m. and 4:00 p.m. weekdays at views of the Commission are contained National Park Service (202) 219–0322. in USITC Publication 5070 (June 2020), [NPS–NCR–WHHO–WHHOA1–30405; Written comments may be sent to the entitled Lightweight Thermal Paper PPNCWHHOA1; PPMPSPD1Z.YM0000] Executive Secretary, Committee for the from China: Investigation Nos. 701–TA– Preservation of the White House, 1849 451 and 731–TA–1126 (Second Review). Committee for the Preservation of the C Street NW, Room #1426, Washington, By order of the Commission. White House Notice of Public Meeting DC 20240. All written comments Issued: June 23, 2020. AGENCY: National Park Service, Interior. received will be provided to the Lisa Barton, ACTION: Meeting notice. Committee. Secretary to the Commission. Public Disclosure of Comments: SUMMARY: In accordance with the Before including your address, phone [FR Doc. 2020–13854 Filed 6–26–20; 8:45 am] Federal Advisory Committee Act of number, email address, or other BILLING CODE 7020–02–P 1972, the National Park Service (NPS) is personal identifying information in your hereby giving notice that the Committee written comments, you should be aware for the Preservation of the White House that your entire comment—including (Committee) will meet as indicated your personal identifying information— below. may be made publicly available at any DATES: The meeting will take place on time. While you can ask us in your Monday, July 27, 2020. The meeting comment to withhold your personal will begin at 10:00 a.m. until 11:30 a.m. identifying information from public (Eastern). A teleconference may review, we cannot guarantee that we 1 The record is defined in § 207.2(f) of the substitute an in-person meeting if public will be able to do so. Commission’s Rules of Practice and Procedure (19 health or safety restrictions are in effect. CFR 207.2(f)).

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INTERNATIONAL TRADE information concerning the Commission Secretary, Docket Services Division COMMISSION may also be obtained by accessing its (202–205–1802). The Commission has website (https://www.usitc.gov). Persons waived the requirement in section [Investigation No. 332–573] with mobility impairments who will 201.8(d)(1) of its rules (19 CFR Global Economic Impact of Missing need special assistance in gaining access 201.8(d)(1)) that persons filing written and Low Pesticide Maximum Residue to the Commission should contact the submissions must also file paper copies Levels; Extension of Time To File Office of the Secretary at 202–205–2002. of their written submissions by noon of Written Submissions, and Delay in SUPPLEMENTARY INFORMATION: The the next day; accordingly, no paper Submitting Volume 2 of the Report Commission published notice of copies should be filed, nor should institution of the above referenced copies be filed in any form other than AGENCY: United States International investigation in the Federal Register on electronic. Trade Commission September 27, 2019 (84 FR 51178, Confidential Business Information ACTION: Extension of the Deadline for September 27, 2019). The Commission (CBI): Any submissions that contain CBI Filing Written Submissions in instituted the investigation following must also conform to the requirements Connection with Volume 2 of the Report receipt of a request from the USTR on of section 201.6 of the Commission’s and Extension of the Time for August 30, 2019. The USTR asked that Rules of Practice and Procedure (19 CFR Transmitting Volume 2 of the Report. the Commission provide its report in 201.6). Section 201.6 of the Rules two volumes, with volume 1 provided requires that the cover of the document SUMMARY: and the individual pages be clearly The Commission has by June 30, 2020, and volume 2 by marked as to whether they are the extended the deadline for filing written October 31, 2020. In its notice ‘‘confidential’’ or ‘‘non-confidential’’ comments relating to volume 2 of its announcing the investigation, the version, and that the CBI is clearly report from June 5, 2020, to July 31, Commission noted the respective due identified using brackets. The 2020, and in accordance with a request dates for volumes 1 and 2 of the report, Commission will make all written on behalf of the U.S. Trade and in connection with volume 2, submissions, except for those (or Representative (USTR), the Commission requested that written submissions be portions thereof) containing CBI, will submit volume 2 of its report by filed with the Commission by June 5, available for inspection by interested January 31, 2021 (delivered Monday, 2020. On May 28, 2020, the Commission parties. February 1, 2021) instead of by October received a request on behalf of the U.S. 31, 2020. In his request letter, the USTR stated Trade Representative, requesting that that his office intends to make the DATES: the Commission deliver volume 2 of its June 30, 2020: Transmittal of volume 1 Commission’s report available to the report by January 31, 2021. That request public in its entirety, and he asked that of the report to the USTR (this date is noted the disruption and technical unchanged) the Commission not include any CBI in issues that have arisen with respect to the report that it delivers to USTR. July 31, 2020: New deadline for filing completion of volume 2 of the report written submissions relating to The Commission will not include any due to the COVID–19 pandemic, of the CBI submitted in the course of volume 2 including with respect to the ability to this investigation in the report it sends January 31, 2021: New transmittal date do travel-related research, and asked for volume 2 of the Commission’s to the USTR. However, all information, that the Commission transmit volume 2 including CBI, submitted in this report to the USTR (Delivered of the report by January 31, 2021 investigation may be disclosed to and Monday, February 1, 2021) (delivered Monday, February 1, 2021). used (i) by the Commission, its ADDRESSES: All written submissions The Commission still expects to employees and Offices, and contract should be addressed to the Secretary, transmit volume 1 of the report to USTR personnel (a) for developing or United States International Trade by June 30, 2020, the date indicated in maintaining the records of this or a Commission, 500 E Street SW, the notice published in the Federal related proceeding, or (b) in internal Washington, DC 20436. The public Register on April 17, 2020. investigations, audits, reviews, and record for this investigation may be Written Submissions: The evaluations relating to the programs, viewed on the Commission’s electronic Commission has invited interested personnel, and operations of the docket (EDIS) at https://edis.usitc.gov/. parties to submit written statements Commission, including under 5 U.S.C. FOR FURTHER INFORMATION CONTACT: concerning this investigation. All Appendix 3; or (ii) by U.S. government Project Leader Sabina Neumann written submissions should be employees and contract personnel for (volumes 1 and 2) (202–205–3000 or addressed to the Secretary, and should cybersecurity purposes. The [email protected]) or Deputy be received no later than 5:15 p.m., July Commission will not otherwise disclose Project Leader (volume 2) Brian Daigle 31, 2020 for matters to be covered by any CBI in a manner that would reveal (202–205–3458 or brian.daigle@ volume 2 of the Commission’s report. the operations of the firm supplying the usitc.gov) for information specific to this All written submissions must conform information. investigation. For information on the with the provisions of section 201.8 of Summaries of Written Submissions: legal aspects of this investigation, the Commission’s Rules of Practice and The Commission intends to publish any contact William Gearhart of the Procedure (19 CFR 201.8). Section 201.8 summaries of written submissions filed Commission’s Office of the General of the Rules (as further explained in the by interested persons. Persons wishing Counsel (202–205–3091 or Commission’s Handbook on Filing to have a summary of their submission [email protected]). The media Procedures) requires that interested included in the report should include a should contact Margaret O’Laughlin, parties file documents electronically on summary with their written submission, Office of External Relations (202–205– or before the filing deadline (see the titled ‘‘Public Summary,’’ and should 1819 or [email protected]). following paragraph for further mark the summary as having been Hearing-impaired individuals may information regarding confidential provided for that purpose. The summary obtain information on this matter by business information or ‘‘CBI’’). Persons may not exceed 500 words, should be in contacting the Commission’s TDD with questions regarding electronic MSWord format or a format that can be terminal at 202–205–1810. General filing should contact the Office of the easily converted to MSWord, and

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should not include any CBI. The Dated: June 24, 2020. (II)(aa) imports of articles like or summary will be published as provided Melody Braswell, directly competitive with articles into if it meets these requirements and is Department Clearance Officer for PRA, U.S. which one or more component parts germane to the subject matter of the Department of Justice. produced by such firm are directly investigation. The Commission will [FR Doc. 2020–13979 Filed 6–26–20; 8:45 am] incorporated, have increased; OR identify the name of the organization BILLING CODE 4410–DH–P (II)(bb) imports of articles like or furnishing the summary and will directly competitive with articles which include a link to the Commission’s are produced directly using the services Electronic Document Information DEPARTMENT OF LABOR supplied by such firm, have increased; System (EDIS) where the full written OR (III) imports of articles directly submission can be found. Employment and Training Administration incorporating one or more component By order of the Commission. parts produced outside the United Issued: June 23, 2020. Notice of Determinations Regarding States that are like or directly Lisa Barton, Eligibility to Apply for Trade competitive with imports of articles Secretary to the Commission. Adjustment Assistance incorporating one or more component [FR Doc. 2020–13883 Filed 6–26–20; 8:45 am] parts produced by such firm have In accordance with the Section 223 increased; AND BILLING CODE 7020–02–P (19 U.S.C. 2273) of the Trade Act of (iii) the increase in imports described 1974 (19 U.S.C. 2271, et seq.) (‘‘Act’’), as in clause (ii) contributed importantly to amended, the Department of Labor such workers’ separation or threat of herein presents summaries of separation and to the decline in the DEPARTMENT OF JUSTICE determinations regarding eligibility to sales or production of such firm; OR apply for trade adjustment assistance (B) Shift in Production or Services to FY 2017 and FY 18 Service Contracts under Chapter 2 of the Act (‘‘TAA’’) for a Foreign Country Path OR Acquisition Inventory and Inventory Supplement workers by (TA–W) number issued of Articles or Services from a Foreign during the period of May 1, 2020 Country Path: AGENCY: Justice Management Division, through May 31, 2020. (This Notice (i) (I) there has been a shift by such Department of Justice. primarily follows the language of the workers’ firm to a foreign country in the ACTION: Notice. Trade Act. In some places however, production of articles or the supply of changes such as the inclusion of services like or directly competitive subheadings, a reorganization of SUMMARY: In accordance with Section with articles which are produced or language, or ‘‘and,’’ ‘‘or,’’ or other words 743 of Division C of the FY 2010 services which are supplied by such are added for clarification.) Consolidated Appropriations Act, the firm; OR (II) such workers’ firm has acquired Department of Justice is publishing this Section 222(a)—Workers of a Primary from a foreign country articles or notice to advise the public of the Firm services that are like or directly availability of its FY 2017 and FY 18 In order for an affirmative competitive with articles which are Service Contracts Inventory and determination to be made for workers of produced or services which are Inventory Supplement. The inventory a primary firm and a certification issued supplied by such firm; AND includes service contract actions over regarding eligibility to apply for TAA, (ii) the shift described in clause (i)(I) $25,000 that were awarded in Fiscal the group eligibility requirements under or the acquisition of articles or services Year (FY) 2017 and 2018. The inventory Section 222(a) of the Act (19 U.S.C. described in clause (i)(II) contributed supplement includes information 2272(a)) must be met, as follows: importantly to such workers’ separation collected from contractors on the (1) The first criterion (set forth in or threat of separation. amount invoiced and direct labor hours Section 222(a)(1) of the Act, 19 U.S.C. Section 222(b)—Adversely Affected expended for covered service contracts. 2272(a)(1)) is that a significant number Secondary Workers The Department of Justice analyzes this or proportion of the workers in such data for the purpose of determining workers’ firm (or ‘‘such firm’’) have In order for an affirmative whether its contract labor is being used become totally or partially separated, or determination to be made for adversely in an effective and appropriate manner are threatened to become totally or affected secondary workers of a firm and and if the mix of federal employees and partially separated; AND (2(A) or 2(B) a certification issued regarding contractors in the agency is effectively below) eligibility to apply for TAA, the group (2) The second criterion (set forth in balanced. The inventory and eligibility requirements of Section Section 222(a)(2) of the Act, 19 U.S.C. 222(b) of the Act (19 U.S.C. 2272(b)) supplement do not include contractor 2272(a)(2)) may be satisfied by either (A) must be met, as follows: proprietary or sensitive information. the Increased Imports Path, or (B) the (1) A significant number or proportion The FY 2017 and 2018 Service Contract Shift in Production or Services to a of the workers in the workers’ firm or Inventory and Inventory Supplements Foreign Country Path/Acquisition of an appropriate subdivision of the firm are provided at the following link: Articles or Services from a Foreign have become totally or partially https://www.justice.gov/jmd/service- Country Path, as follows: separated, or are threatened to become contract-inventory. (A) Increased Imports Path: totally or partially separated; AND FOR FURTHER INFORMATION CONTACT: (i) the sales or production, or both, of (2) the workers’ firm is a supplier or Kevin Doss, Office of Acquisition such firm, have decreased absolutely; downstream producer to a firm that Management, Justice Management AND (ii and iii below) employed a group of workers who (ii)(I) imports of articles or services received a certification of eligibility Division, U.S. Department of Justice, like or directly competitive with articles under Section 222(a) of the Act (19 Washington, DC 20530; Phone: 202– produced or services supplied by such U.S.C. 2272(a)), and such supply or 616–3758; Email: [email protected] firm have increased; OR production is related to the article or

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service that was the basis for such (1) The workers’ firm is publicly Federal Register under section 202(f)(3) certification (as defined in subsection identified by name by the International (19 U.S.C. 2252(f)(3)); OR 222(c)(3) and (4) of the Act (19 U.S.C. Trade Commission as a member of a (B) notice of an affirmative 2272(c)(3) and (4)); AND domestic industry in an investigation determination described in (3) either— resulting in— subparagraph (B) or (C)of paragraph (1) (A) the workers’ firm is a supplier and (A) an affirmative determination of is published in the Federal Register; the component parts it supplied to the serious injury or threat thereof under AND firm described in paragraph (2) section 202(b)(1) of the Act (19 U.S.C. (3) the workers have become totally or accounted for at least 20 percent of the 2252(b)(1)); OR partially separated from the workers’ production or sales of the workers’ firm; (B) an affirmative determination of firm within— OR market disruption or threat thereof (B) a loss of business by the workers’ (A) the 1-year period described in under section 421(b)(1)of the Act (19 firm with the firm described in paragraph (2); OR U.S.C. 2436(b)(1)); OR paragraph (2) contributed importantly to (B) notwithstanding section 223(b) of the workers’ separation or threat of (C) an affirmative final determination the Act (19 U.S.C. 2273(b)), the 1-year separation determined under paragraph of material injury or threat thereof under period preceding the 1-year period (1). section 705(b)(1)(A) or 735(b)(1)(A) of described in paragraph (2). the Tariff Act of 1930 (19 U.S.C. Section 222(e)—Firms Identified by the 1671d(b)(1)(A) and 1673d(b)(1)(A)); Affirmative Determinations for Trade International Trade Commission AND Adjustment Assistance In order for an affirmative (2) the petition is filed during the 1- The following certifications have been determination to be made for adversely year period beginning on the date on issued. The date following the company affected workers in firms identified by which— name and location of each the International Trade Commission and (A) a summary of the report submitted determination references the impact a certification issued regarding to the President by the International date for all workers of such eligibility to apply for TAA, the group Trade Commission under section determination. eligibility requirements of Section 202(f)(1) of the Trade Act (19 U.S.C. The following certifications have been 222(e) of the Act (19 U.S.C. 2252(f)(1)) with respect to the issued. The requirements of Section 2272(e))must be met, by following affirmative determination described in 222(a)(2)(A) (Increased Imports Path) of criteria (1), (2), and (3) as follows: paragraph (1)(A) is published in the the Trade Act have been met.

TA–W No. Subject firm Location Impact date

94,615 ...... Marketlink, Inc. dba Allied Global, Allied Global, LLC ...... Johnstown, PA ...... March 13, 2018. 95,045 ...... Pharmaceutics International, Inc., Medix, Augmentation ...... Hunt Valley, MD ...... March 2, 2020. 95,068 ...... Matthew Warren Spring, Plant 5, MW Industries, Inc., Peak Com- Logansport, IN ...... August 12, 2018. munity Services. 95,080 ...... Celestial Softwear Inc., Lunar logic ...... Eugene, OR ...... August 15, 2018. 95,243 ...... Wholesome Harvest Baking, LLC, Bimbo Bakeries Inc., Grupo Richmond, CA ...... October 1, 2018. Bimbo, S.A.B. de C.V. 95,301 ...... Ball Metalpack, LLC, 1st Employment, Aerotek ...... Springdale, AR ...... October 18, 2018. 95,312 ...... US Synthetic Corporation, Apergy Corporation, Elwood Staffing ... Orem, UT ...... October 21, 2018. 95,661 ...... OEMMCCO, Inc., Staffing Solutions ...... Kenosha, WI ...... February 5, 2019.

The following certifications have been Services to a Foreign Country Path or a Foreign Country Path) of the Trade Act issued. The requirements of Section Acquisition of Articles or Services from have been met. 222(a)(2)(B) (Shift in Production or

TA–W No. Subject firm Location Impact date

94,715 ...... Zinus, Customer Service Division, Prologistix, Randstand ...... Tracy, CA ...... April 8, 2018. 94,717 ...... Zinus, Customer Service Division, Sheridan, Remedy ...... Summerville, SC ...... April 8, 2018. 95,300 ...... VML, LLC, Razor Holdings, TEK Systems, ECCO Select, Kansas City, MO ...... October 17, 2018. RiverPoint, KForce, etc. 95,432 ...... State Street Bank & Trust Co., Transfer Agency Division, State North Quincy, MA ...... November 27, 2018. Street Corporation, ZeroChaos. 95,543 ...... Rite Aid Headquarters Corporation, Technology Services Com- Lancaster, CA ...... January 7, 2019. puter Operations, Rite Aid Corporation. 95,586 ...... P&F Systems, a division of Dieomatic Incorporated, Magna Inter- Auburn Hills, MI ...... January 21, 2019. national Inc. 95,667 ...... Daimler Gastonia Components and Logistics LLC, Daimler AG .... Gastonia, NC ...... March 10, 2019. 95,870 ...... Frontier Communications, Network Translations Organization Rochester, NY ...... April 6, 20190. Team, Frontier Communications Corporation. 95,918 ...... Vitro Flat Glass LLC, Meadville, Line 2 Production, Vitro Assets, Cochranton, PA ...... May 8, 2019. M-Ploy Temporaries, Inc.

The following certifications have been are certified eligible to apply for TAA) issued. The requirements of Section of the Trade Act have been met. 222(b) (supplier to a firm whose workers

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TA–W No. Subject firm Location Impact date

94,921 ...... North American Mold Technology LLC, Piedmont Precision Ma- Danville, VA ...... June 20, 2018. chine Co., Inc.

Negative Determinations for Worker criteria for TAA have not been met for total/partial separation or threat of total/ Adjustment Assistance the reasons specified. partial separation), or (e) (firms The investigation revealed that the identified by the International Trade In the following cases, the requirements of Trade Act section 222 Commission), have not been met. investigation revealed that the eligibility (a)(1) and (b)(1) (significant worker

TA–W No. Subject firm Location Impact date

95,568 ...... Optum Technology, Enterprise Enablement Platform Services, IT San Francisco, CA. Services Desk, etc.

The investigation revealed that the acquisition of articles or services from a certified eligible to apply for TAA), and criteria under paragraphs (a)(2)(A)(i) foreign country), (b)(2) (supplier to a (e) (International Trade Commission) of (decline in sales or production, or both), firm whose workers are certified eligible section 222 have not been met. or (a)(2)(B) (shift in production or to apply for TAA or downstream services to a foreign country or producer to a firm whose workers are

TA–W No. Subject firm Location Impact date

94,667 ...... Welspun Tubular, LLC, Welspun Pipes, Welspun Global Trade, Little Rock, AR. Elite Workforce Management, etc. 95,477 ...... Concentrix CVG Corporation ...... Tampa, FL. 95,626 ...... Thomas L. Cardella & Associates, Inc ...... Alamogordo, NM. 95,652 ...... Tripwire, Inc., Belden Inc., Incedo, Inc ...... Portland, OR. 95,684 ...... TCS e-Serve International Limited, Tata Consultancy Services, Cedar Rapids, IA. Aerotek, Kelly Services, TekSystems, etc.

The investigation revealed that the services from a foreign country), (b)(2) for TAA), and (e) (International Trade criteria under paragraphs(a)(2)(A) (supplier to a firm whose workers are Commission) of section 222 have not (increased imports), (a)(2)(B) (shift in certified eligible to apply for TAA or been met. production or services to a foreign downstream producer to a firm whose country or acquisition of articles or workers are certified eligible to apply

TA–W No. Subject firm Location Impact date

94,886 ...... Times Fiber Communications, Amphenol Corporation ...... Chatham, VA. 94,937 ...... Tech Mahindra Americas Inc. for AT&T, Production Validation Plano, TX. Testing Team. 94,963 ...... Cablevision System NYC Corporation, Altice USA, Customer Bethpage, NY. Care Center. 94,963A ...... Cablevision System NYC Corporation, Altice USA, Customer Jericho, NY. Care Center Supervisors. 94,990 ...... Blackjewel L.L.C./Revelation Energy, LLC, Blackjewel Holdings Milton, WV. L.L.C./Revelation Energy Holdings, LLC. 94,990A ...... Blackjewel L.L.C./Revelation Energy, LLC, Clover Loadout, Bledsoe, KY. Blackjewel Holdings L.L.C./Revelation Energy Holdings, LLC. 94,990AA ...... Blackjewel L.L.C./Revelation Energy, LLC, Eagle Butte Mine, Gillette, WY. Blackjewel Holdings L.L.C./Revelation Energy Holdings. 94,990B ...... Blackjewel L.L.C./Revelation Energy, LLC, Clover Lick Mine, Cumberland, KY. Blackjewel Holdings L.L.C./Revelation Energy Holdings. 94,990BB ...... Blackjewel L.L.C./Revelation Energy, LLC, Belle Ayr Mine, Gillette, WY. Blackjewel Holdings L.L.C./Revelation Energy Holdings, LLC. 94,990C ...... Blackjewel L.L.C./Revelation Energy, LLC, Panther Mine, Cumberland, KY. Blackjewel Holdings L.L.C./Revelation Energy Holdings, LLC. 94,990CC ...... Blackjewel L.L.C./Revelation Energy, LLC, Sunny Knott Office, Lackey, KY. Blackjewel Holdings L.L.C./Revelation Energy Holdings. 94,990D ...... Blackjewel L.L.C./Revelation Energy, LLC, F Seam Mine, Cumberland, KY. Blackjewel Holdings L.L.C./Revelation Energy Holdings, LLC. 94,990DD ...... Blackjewel L.L.C./Revelation Energy, LLC, Andover Office, Appalachia, VA. Blackjewel Holdings L.L.C./Revelation Energy Holdings, LLC. 94,990E ...... Blackjewel L.L.C./Revelation Energy, LLC, Cave Branch Prep Cumberland, KY. Plant, Blackjewel Holdings/Revelation Energy Holdings. 94,990EE ...... Blackjewel L.L.C./Revelation Energy, LLC, Honaker Shop, Honaker, VA. Blackjewel Holdings L.L.C./Revelation Energy Holdings, LLC.

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TA–W No. Subject firm Location Impact date

94,990F ...... Blackjewel L.L.C./Revelation Energy, LLC, Clover Fork Mine, Evarts, KY. Blackjewel Holdings L.L.C./Revelation Energy Holdings. 94,990G ...... Blackjewel L.L.C./Revelation Energy, LLC, Huff Creek Mine, Evarts, KY. Blackjewel Holdings L.L.C./Revelation Energy Holdings, LLC. 94,990H ...... Blackjewel L.L.C./Revelation Energy, LLC, Kellioka Mine, Evarts, KY. Blackjewel Holdings L.L.C./Revelation Energy Holdings, LLC. 94,990I ...... Blackjewel L.L.C./Revelation Energy, LLC, Shamrock Prep Plant, Helton, KY. Blackjewel Holdings L.L.C./Revelation Energy Holdings. 94,990J ...... Blackjewel L.L.C./Revelation Energy, LLC, Cumberland River Partridge, KY. Surface Mine, Blackjewel Holdings L.L.C., etc.. 94,990K ...... Blackjewel L.L.C./Revelation Energy, LLC, North Fork No. 6, Partridge, KY. Blackjewel Holdings L.L.C./Revelation Energy Holdings. 94,990L ...... Blackjewel L.L.C./Revelation Energy, LLC, Beechfork Mine, Helton, KY. Blackjewel Holdings L.L.C./Revelation Energy Holdings, LLC. 94,990M ...... Blackjewel L.L.C./Revelation Energy, LLC, Straight Creek Prep Stoney Fork, KY. Plant, Blackjewel Holdings/Revelation Energy Holdings. 94,990N ...... Blackjewel L.L.C./Revelation Energy, LLC, Big Laurel, Blackjewel Appalachia, VA. Holdings L.L.C./Revelation Energy Holdings, LLC. 94,990O ...... Blackjewel L.L.C./Revelation Energy, LLC, Pigeon Creek Proc- Appalachia, VA. essing, Blackjewel Holdings/Revelation Energy Holdings. 94,990P ...... Blackjewel L.L.C./Revelation Energy, LLC, Osaka Mine, Appalachia, VA. Blackjewel Holdings L.L.C./Revelation Energy Holdings, LLC. 94,990Q ...... Blackjewel L.L.C./Revelation Energy, LLC, Flat Rock Prep Plant, Honaker, VA. Blackjewel Holdings/Revelation Energy Holdings. 94,990R ...... Blackjewel L.L.C./Revelation Energy, LLC, Tiller #1 Mine, Jewell Ridge, VA. Blackjewel Holdings L.L.C./Revelation Energy Holdings, LLC. 94,990S ...... Blackjewel L.L.C./Revelation Energy, LLC, Tiller #2 Mine, Jewell Ridge, VA. Blackjewel Holdings L.L.C./Revelation Energy Holdings, LLC. 94,990T ...... Blackjewel L.L.C./Revelation Energy, LLC, 3446 Jewell Valley Jewell Ridge, VA. Road, Blackjewel Holdings/Revelation Energy Holdings. 94,990U ...... Blackjewel L.L.C./Revelation Energy, LLC, Red Ash Mine, Jewell Ridge, VA. Blackjewel Holdings L.L.C./Revelation Energy Holdings, LLC. 94,990V ...... Blackjewel L.L.C./Revelation Energy, LLC, Raven Dock, Raven, VA. Blackjewel Holdings L.L.C./Revelation Energy Holdings, LLC. 94,990W ...... Blackjewel L.L.C./Revelation Energy, LLC, Lone Mountain Proc- St. Charles, VA. essing, Blackjewel Holdings/Revelation Energy Holdings. 94,990X ...... Blackjewel L.L.C./Revelation Energy, LLC, Tunnel Mine, St. Charles, VA. Blackjewel Holdings L.L.C./Revelation Energy Holdings, LLC. 94,990Y ...... Blackjewel L.L.C./Revelation Energy, LLC, Pax Surface Mine, Scarbro, WV Blackjewel Holdings L.L.C./Revelation Energy Holdings. 94,990Z ...... Blackjewel L.L.C./Revelation Energy, LLC, Central Distribution Gillette, WY. Center, Blackjewel Holdings/Revelation Energy Holdings. 95,096 ...... Infor (US), Inc., Information Technology aka Business Innovation Saint Paul, MN. Department, Infor, Inc.. 95,131 ...... Jewell Attachments, LLC, Paladin Brands Group, Inc., Aerotek, Portland, OR. Kelly Services. 95,261 ...... CCU Coal and Construction, LLC, Corporate Office ...... Coshocton, OH. 95,261A ...... CCU Coal and Construction, LLC, Buckingham Mine and Wash Glouster, OH. Plant. 95,261B ...... CCU Coal and Construction, LLC, Bellaire Dock ...... Bellaire, OH. 95,261C ...... CCU Coal and Construction, LLC, Shugert North Mine ...... Bethesda, OH. 95,261D ...... CCU Coal and Construction, LLC, Buttermilk ...... Flushing, OH. 95,261E ...... CCU Coal and Construction, LLC, Egypt Valley Wildlife Mine ...... Flushing, OH. 95,261F ...... CCU Coal and Construction, LLC, Barb Tipple ...... Conesville, OH. 95,261G ...... CCU Coal and Construction, LLC, Cadiz Office ...... Cadiz, OH. 95,261H ...... CCU Coal and Construction, LLC, Sandy Ridge Mine ...... Cadiz, OH. 95,261I ...... CCU Coal and Construction, LLC, Harrison Mine ...... Cadiz, OH. 95,261J ...... CCU Coal and Construction, LLC, Ellis ...... Rayland, OH. 95,261K ...... CCU Coal and Construction, LLC, Zanesville Warehouse ...... Zanesville, OH. 95,261L ...... CCU Coal and Construction, LLC, Cannon ...... Crooksville, OH. 95,261M ...... CCU Coal and Construction, LLC, New Lexington ...... New Lexington, OH. 95,261N ...... CCU Coal and Construction, LLC, Avondale ...... Roseville, OH. 95,261O ...... CCU Coal and Construction, LLC, Pero ...... East Canton, OH. 95,261P ...... CCU Coal and Construction, LLC, Garrett ...... Gnadenhutten, OH. 95,261Q ...... CCU Coal and Construction, LLC, Midvale Mine ...... New Philadelphia, OH. 95,261R ...... CCU Coal and Construction, LLC, Strasburg Wash Plant, Shop, Strasburg, OH. and Slurry Pit. 95,261S ...... CCU Coal and Construction, LLC, Muskie Train ...... Conesville, OH. 95,261T ...... CCU Coal and Construction, LLC, Conesville Wash Plant ...... Conesville, OH. 95,261U ...... CCU Coal and Construction, LLC, Hunt ...... Newcomerstown, OH. 95,261V ...... CCU Coal and Construction, LLC, Harrah ...... Cadiz, OH. 95,279 ...... Cisco System Inc...... Lawrenceville, GA. 95,387 ...... Concentrix CVG Corporation ...... Heathrow, FL.

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TA–W No. Subject firm Location Impact date

95,429 ...... General Logistics Systems US, Inc., Operations Division, Delivery San Ramon, CA. Driver Group, Robert Half International, etc.. 95,530 ...... Halliburton Energy Services, Inc., Halliburton Company ...... El Reno, OK. 95,533 ...... The Semling-Menke Company, Inc., ABS Employment Group, Merrill, WI. QPS Employment Group. 95,602 ...... Legacy Supply Chain Services, Tri-Starr Management Services, Jeffersonville, IN. Surge Staffing, Diverse Staffing. 95,624 ...... PVH Corp. Warehouse, Logistic Services Division, PVH Corp...... Brinkley, AR. 95,648 ...... Hexcel Corporation, Keltia Recruitment/Keltia Design, Kelly Serv- Kent, WA. ices, Moseley Technical, etc.. 95,648A ...... Hexcel Corporation, Express Employment Professionals, TERRA Burlington, WA. Staffing Group. 95,669 ...... CoxCom LLC, Cox Communications New England, Retail Sales, West Warwick, RI. Atrium Staffing Services. 95,849 ...... Con-Vey, LLC, Con-Vey Holding, Inc., Elwood Staffing, Express Roseburg, OR. Employment Professionals. 95,884 ...... Marvell Semiconductor, Inc., Marvell Technology Group, Essex Junction, VT. GlobalFoundries US, ASIC North, CYIENT, etc.

Determinations Terminating on the Department’s website, as The following determinations Investigations of Petitions for Trade required by Section 221 of the Act (19 terminating investigations were issued Adjustment Assistance U.S.C. 2271), the Department initiated because the petitioner has requested After notice of the petitions was investigations of these petitions. that the petition be withdrawn. published in the Federal Register and

TA–W No. Subject firm Location Impact date

95,853 ...... Oracle America, Oracle America Global Business Unit ...... Reston, VA. 95,912 ...... Boilermakers Local 105 ...... Piketon, OH.

The following determinations in cases where the petition regarding the terminating investigations were issued investigation has been deemed invalid.

TA–W No. Subject firm Location Impact date

94,834 ...... EmblemHealth Services Co., LLC Inc., Provider Operations De- New York, NY. partment. 95,783 ...... UnitedHealth Group, Corporate Affairs, Communications, Trans- Minnetonka, MN. lations and Interpretation, etc..

The following determinations behalf the petition was filed is covered terminating investigations were issued under an existing certification. because the worker group on whose

TA–W No. Subject firm Location Impact date

95,003 ...... API Technologies ...... Windber, PA. 95,555 ...... SMX Staffing a/k/a Staff Management, Newel Brands, Winchester, VA. Rubbermaid Commercial Products. 95,690 ...... Phoenix Technical Solutions, Inc. and Phoenix Laser Solutions, Erie, PA. General Electric Company, GE Transportation Parts, Transpor- tation Division.

I hereby certify that the Signed at Washington, DC, this 8th day of DEPARTMENT OF LABOR aforementioned determinations were June 2020. issued during the period of May 1, 2020 Hope D. Kinglock, Employment and Training through May 31, 2020. These Certifying Officer, Office of Trade Adjustment Administration determinations are available on the Assistance. Post-Initial Determinations Regarding Department’s website https:// [FR Doc. 2020–13966 Filed 6–26–20; 8:45 am] Eligiblity To Apply for Trade www.doleta.gov/tradeact/petitioners/ BILLING CODE 4510–FN–P Adjustment Assistance taa_search_form.cfm under the searchable listing determinations or by In accordance with Sections 223 and calling the Office of Trade Adjustment 284 (19 U.S.C. 2273 and 2395) of the Assistance toll free at 888–365–6822. Trade Act of 1974 (19 U.S.C. 2271, et

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seq.) (‘‘Act’’), as amended, the Application for Reconsideration), certification, or modify or affirm a Department of Labor herein presents summaries of Revised Determinations negative determination. Notice of Affirmative Determinations (on remand from the Court of Revised Certifications of Eligibility Regarding Application for International Trade), and summaries of Reconsideration, summaries of Negative Negative Determinations (on remand The following revised certifications of Determinations Regarding Applications from the Court of International Trade) eligibility to apply for TAA have been for Reconsideration, summaries of regarding eligibility to apply for trade issued. The date following the company Revised Certifications of Eligibility, adjustment assistance under Chapter 2 name and location of each summaries of Revised Determinations of the Act (‘‘TAA’’) for workers by (TA– determination references the impact (after Affirmative Determination W) number issued during the period of date for all workers of such Regarding Application for May 1, 2020 through May 31, 2020. Post- determination, and the reason(s) for the Reconsideration), summaries of initial determinations are issued after a determination. Negative Determinations (after petition has been certified or denied. A The following revisions have been Affirmative Determination Regarding post-initial determination may revise a issued.

TA–W No. Subject firm Location Impact date Reason(s)

93,917 ...... General Electric Company ...... Erie, PA ...... 6/24/2018 Worker Group Clarification. 93,917A ...... Association of Corporate Counsel Amer- Erie, PA ...... 6/22/2017 Worker Group Clarification. ica Chicago Chapter, Capgemini, etc.. 94,820 ...... Kitron Technologies Inc...... Windber, PA ...... 5/15/2018 Technical Error. 94,840 ...... Lufkin Industries, LLC ...... Lufkin, TX ...... 5/23/2018 Wages Reported Under Different FEIN Number. 95,041 ...... Newell Brands ...... Winchester, VA ...... 8/1/2018 Worker Group Clarification.

Revised Determinations (after date following the company name and to apply for TAA, have been issued. The Affirmative Determination Regarding location of each determination requirements of Section 222(b) (supplier Application for Reconsideration) references the impact date for all to a firm whose workers are certified The following revised determinations workers of such determination. eligible to apply for TAA) of the Trade on reconsideration, certifying eligibility The following revised determinations Act have been met. to apply for TAA, have been issued. The on reconsideration, certifying eligibility

TA–W No. Subject firm Location Impact date

94,889 ...... Xerox Corporation ...... Wilsonville, OR ...... 6/10/2018 95,149 ...... AIG PC Global Services, Inc...... New York, NY ...... 9/5/2018

I hereby certify that the DEPARTMENT OF LABOR The petitioners or any other persons aforementioned determinations were showing a substantial interest in the issued during the period of May 1, 2020 Employment and Training subject matter of the investigations may through May 31, 2020. These Administration request a public hearing provided such determinations are available on the request is filed in writing with the Department’s website https:// Investigations Regarding Eligibility To Administrator, Office of Trade www.doleta.gov/tradeact/petitioners/ Apply for Worker Adjustment Adjustment Assistance, at the address taa_search_form.cfm under the Assistance shown below, no later than July 9, 2020. searchable listing determinations or by Petitions have been filed with the Interested persons are invited to calling the Office of Trade Adjustment Secretary of Labor under Section 221(a) submit written comments regarding the Assistance toll free at 888–365–6822. of the Trade Act of 1974 (‘‘the Act’’) and subject matter of the investigations to Signed at Washington, DC this 8th day of are identified in the Appendix to this the Administrator, Office of Trade June 2020. notice. Upon receipt of these petitions, Adjustment Assistance, at the address Hope D. Kinglock, the Administrator of the Office of Trade shown below, not later than July 9, Certifying Officer, Office of Trade Adjustment Adjustment Assistance, Employment 2020. Assistance. and Training Administration, has The petitions filed in this case are [FR Doc. 2020–13969 Filed 6–26–20; 8:45 am] instituted investigations pursuant to available for inspection at the Office of BILLING CODE 4510–FN–P Section 221(a) of the Act. the Administrator, Office of Trade The purpose of each of the Adjustment Assistance, Employment investigations is to determine whether and Training Administration, U.S. the workers are eligible to apply for Department of Labor, Room N–5428, adjustment assistance under Title II, 200 Constitution Avenue NW, Chapter 2, of the Act. The investigations Washington, DC 20210. will further relate, as appropriate, to the determination of the date on which total or partial separations began or threatened to begin and the subdivision of the firm involved.

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Signed at Washington, DC, this 8th day of June 2020. Hope D. Kinglock, Certifying Officer, Office of Trade Adjustment Assistance. APPENDIX

43 TAA PETITIONS INSTITUTED BETWEEN 5/1/20 AND 5/31/20

Subject firm Date of in- Date of peti- TA–W (petitioners) Location stitution tion

95906 ...... BFGoodrich (State/One-Stop) ...... Woodburn, IN ...... 05/01/20 04/30/20 95907 ...... Larco, Inc. (Company) ...... Crossett, AR ...... 05/01/20 04/30/20 95908 ...... Zurn Industries (Union) ...... Erie, PA ...... 05/04/20 05/01/20 95909 ...... Harsco Environmental (Union) ...... Koppel, PA ...... 05/05/20 05/04/20 95910 ...... US Steel Lone Star Tubular Ops.(Union) ...... Lone Star, TX ...... 05/05/20 05/04/20 95911 ...... US Steel Wheeling Machine Parts (Union) ...... Hughes Springs, TX ...... 05/05/20 05/04/20 95912 ...... Boilermakers Local 105 (State/One-Stop) ...... Piketon, OH ...... 05/06/20 05/05/20 95913 ...... JCPenney (State/One-Stop) ...... Plano, TX ...... 05/06/20 05/05/20 95914 ...... Boeing Commercial Aircraft (Union) ...... Tukwila, WA ...... 05/07/20 05/05/20 95915 ...... Borbet Alabama Inc. (Company) ...... Auburn, AL ...... 05/07/20 05/06/20 95916 ...... Integrated Global Services, Inc. (State/One-Stop) ...... Richmond, VA ...... 05/07/20 05/06/20 95917 ...... United States Steel Corporation, Minnesota Ore Operations (State/ Keewatin, MN ...... 05/08/20 05/07/20 One-Stop). 95918 ...... Vitro Flat Glass LLC (Company) ...... Cochranton, PA ...... 05/11/20 05/08/20 95919 ...... The Doe Run Company (Company) ...... Herculaneum, MO ...... 05/14/20 05/13/20 95920 ...... Parallon—Richmond Shared Service Center (State/One-Stop) ...... Richmond, VA ...... 05/14/20 05/13/20 95921 ...... U.S. Bank (State/One-Stop) ...... St Paul, MN ...... 05/14/20 05/13/20 95922 ...... Caterpillar Inc. (State/One-Stop) ...... Victoria, TX ...... 05/15/20 05/14/20 95923 ...... Eaton Corporation (Company) ...... Kings Mountain, NC ...... 05/15/20 05/14/20 95924 ...... US Steel Corporation—Granite City Works (State/One-Stop) ...... Granite City, IL ...... 05/15/20 05/14/20 95925 ...... Alcoa lntalco Works (Union) ...... Ferndale, WA ...... 05/18/20 05/11/20 95926 ...... EMPN a XBS Company (Workers) ...... Syracuse, NY ...... 05/19/20 05/18/20 95927 ...... United Conveyor (State/One-Stop) ...... Melrose Park, IL ...... 05/19/20 05/18/20 95928 ...... Electrolux Home Products, Inc. (State/One-Stop) ...... Saint Cloud, MN ...... 05/22/20 05/21/20 95929 ...... GGI Solutions, e2ip Technologies (State/One-Stop) ...... Bigfork, MN ...... 05/22/20 05/21/20 95930 ...... Halliburton Energy Services (Workers) ...... Duncan, OK ...... 05/22/20 05/21/20 95931 ...... Royal Engineered Composites (State/One-Stop) ...... Minden, NE ...... 05/22/20 05/21/20 95932 ...... Triumph Aerospace Structures, Tulsa (Parent Co. is Triumph Group) Tulsa, OK ...... 05/22/20 05/21/20 (State/One-Stop). 95933 ...... Umicore Autocat USA, Inc. (Company) ...... Catoosa, OK ...... 05/22/20 05/21/20 95934 ...... United Conveyor (State/One-Stop) ...... Waukegan, IL ...... 05/22/20 05/21/20 95935 ...... The Boeing Company (Company) ...... Chicago, IL ...... 05/27/20 05/21/20 95936 ...... Center Industries (State/One-Stop) ...... Wichita, KS ...... 05/27/20 05/12/20 95937 ...... Panasonic Solar North America (Company) ...... Buffalo, NY ...... 05/27/20 03/06/20 95938 ...... The Corsi Group Inc. (State/One-Stop) ...... Indianapolis, IN ...... 05/28/20 05/27/20 95939 ...... DXC Technology (Workers) ...... Tysons, VA ...... 05/28/20 05/27/20 95940 ...... FXI, Inc. (State/One-Stop) ...... Auburn, IN ...... 05/28/20 05/27/20 95941 ...... Halliburton Energy Services (Workers) ...... Duncan, OK ...... 05/28/20 05/27/20 95942 ...... Pittsburgh Glass Works, LLC dba Vitro Automotive Glass (Company) .. Evart, MI ...... 05/28/20 05/27/20 95943 ...... Woodcraft Industries (State/One-Stop) ...... Molalla, OR ...... 05/28/20 05/27/20 95944 ...... Crystal Cabinet Works, Inc. (State/One-Stop) ...... Princeton, MN ...... 05/29/20 05/28/20 95945 ...... Freeport-McMoRan Chino Mines Company (State/One-Stop) ...... Vanadium, NM ...... 05/29/20 05/28/20 95946 ...... GenOn Holdings, LLC (Company) ...... Dickerson, MD ...... 05/29/20 05/28/20 95947 ...... Standard Locknut, LLC (State/One-Stop) ...... Westfield, IN ...... 05/29/20 05/28/20 95948 ...... TPX Communications (State/One-Stop) ...... Saint Louis, MO ...... 05/29/20 05/28/20

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[FR Doc.2020–13968 Filed 6–26–20; 8:45 am] see the ‘‘Public Participation’’ heading include: Monitoring worker exposure to BILLING CODE 4510–FN–P in the section of this notice titled ionizing radiation, posting caution signs SUPPLEMENTARY INFORMATION. at radiation areas, reporting worker Docket: To read or download overexposures to OSHA, maintaining DEPARTMENT OF LABOR comments or other material in the exposure records, and providing docket, go to http://www.regulations.gov exposure records to current and former Occupational Safety and Health or the OSHA Docket Office at the above workers. Administration address. All documents in the docket II. Special Issues for Comment [Docket No. OSHA–2010–0030] (including this Federal Register notice) are listed in the http:// OSHA has a particular interest in Ionizing Radiation Standard; Extension www.regulations.gov index; however, comments on the following issues: of the Office of Management and some information (e.g., copyrighted • Whether the proposed information Budget’s (OMB) Approval of material) is not publicly available to collection requirements are necessary Information Collection (Paperwork) read or download through the website. for the proper performance of the Requirements All submissions, including copyrighted agency’s functions, including whether material, are available for inspection the information is useful; AGENCY: Occupational Safety and Health and copying at the OSHA Docket Office. • The accuracy of OSHA’s estimate of Administration (OSHA), Labor. You may also contact Theda Kenney at the burden (time and costs) of the ACTION: Request for public comments. (202) 693–2222 to obtain a copy of the information collection requirements, ICR. including the validity of the SUMMARY: OSHA solicits public FOR FURTHER INFORMATION CONTACT: methodology and assumptions used; comments concerning the proposal to • The quality, utility, and clarity of extend the Office of Management and Seleda Perryman or Theda Kenney, Directorate of Standards and Guidance, the information collected; and Budget’s (OMB) approval of the • Ways to minimize the burden on information collection requirements OSHA, U.S. Department of Labor, telephone (202) 693–2222. employers who must comply—for contained in the Ionizing Radiation example, by using automated or other Standard. SUPPLEMENTARY INFORMATION: technological information collection DATES: Comments must be submitted I. Background and transmission techniques. (postmarked, sent, or received) by The Department of Labor, as part of a III. Proposed Actions August 28, 2020. continuing effort to reduce paperwork OSHA is requesting an adjustment ADDRESSES: and respondent (i.e., employer) burden, increase of 7,064 burden hours from Electronically: You may submit conducts a preclearance process to 52,016 to 59,080 hours. This increase is comments and attachments provide the public with an opportunity the result of an estimated increase of 5% electronically at http:// to comment on proposed and in the number of potentially exposed www.regulations.gov, which is the continuing information collection employees. The total estimated number Federal eRulemaking Portal. Follow the requirements in accordance with the of establishments affected by the instructions online for submitting Paperwork Reduction Act of 1995 (PRA) regulation decreased from 13,849 to comments. (44 U.S.C. 3506(c)(2)(A)). This program 13,135, a total adjustment of 714 less Facsimile: If your comments, ensures that information is in the establishments, based on updated data. including attachments, are not longer desired format, the reporting burden Type of Review: Extension of a than 10 pages you may fax them to the (time and costs) is minimal, the currently approved collection. OSHA Docket Office at (202) 693–1648. collection instruments are clearly Title: Ionizing Radiation Standard (29 Mail, hand delivery, express mail, understood, and OSHA’s estimate of the CFR 1910.1096). messenger, or courier service: When information collection burden is OMB Control Number: 1218–0103. using this method, you must submit a accurate. The Occupational Safety and Affected Public: Business or other for- copy of your comments and attachments Health Act of 1970 (OSH Act) (29 U.S.C. profits. to the OSHA Docket Office, Docket No. 651 et seq.) authorizes information Number of Respondents: 13,135. OSHA–2010–0030, Occupational Safety collection by employers as necessary or Frequency: On Occasion; Quarterly; and Health Administration, U.S. appropriate for enforcement of the OSH Annually; Immediately; Within 24 Department of Labor, Room N–3653, Act, or for developing information hours; Within 30 days. 200 Constitution Avenue NW, regarding the causes and prevention of Average Time Per Response: Varies. Washington, DC 20210. Deliveries occupational injuries, illnesses, and Estimated Number of Responses: (hand, express mail, messenger, and accidents (29 U.S.C. 657). The OSH Act 337,279. courier service) are accepted during the also requires OSHA to obtain such Estimated Total Burden Hours: OSHA Docket Office’s normal business information with a minimum burden 59,080. hours, 10:00 a.m. to 3:00 p.m., ET. upon employers, especially those Estimated Cost (Operation and Instructions: All submissions must operating small businesses, and to Maintenance): $8,892,917. include the agency name and the OSHA reduce to the maximum extent feasible docket number (OSHA–2010–0030) for unnecessary duplication of effort in IV. Public Participation—Submission of the Information Collection Request obtaining said information (29 U.S.C. Comments on This Notice and internet (ICR). All comments, including any 657). Access to Comments and Submissions personal information you provide, such The basic purpose of the information You may submit comments in as social security numbers and dates of collection requirements in the Ionizing response to this document as follows: birth, are placed in the public docket Radiation Standard is to document that (1) Electronically at http:// without change, and may be made employers are providing their workers www.regulations.gov, which is the available online at http:// with protection from ionizing radiation Federal eRulemaking Portal; (2) by www.regulations.gov. For further exposure. The information collection facsimile (fax); or (3) by hard copy. All information on submitting comments, requirements contained in the Standard comments, attachments, and other

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material must identify the agency name NATIONAL ARCHIVES AND RECORDS proposed collection for these and the OSHA docket number (Docket ADMINISTRATION information collections on April 8, 2020 No. OSHA–2010–0030) for the ICR. You (85 FR 19778) and we received no [NARA–2020–051] may supplement electronic submissions comments. We therefore published by uploading document files Agency Information Collection notice of our intent to submit the electronically. If you wish to mail Activities: Submission for OMB collections to OMB and to request additional materials in reference to an Review; Comment Request; Correction public comments (submit to OMB), on electronic or facsimile submission, you June 16, 2020 (85 FR 36425). We are AGENCY: must submit them to the OSHA Docket National Archives and Records submitting the described information Administration (NARA). Office (see the section of this notice collections to OMB for approval. ACTION: Correction notice. titled ADDRESSES). The additional Correction materials must clearly identify SUMMARY: We previously published In FR Doc. 2020–12890, beginning on electronic comments by your name, notice that we were proposing to request page 36425 in the issue of June 16, 2020, date, and the docket number so that the Office of Management and Budget in the third column on page 36425, agency can attach them to your (OMB) approval to renew NARA correct the SUMMARY as discussed in the comments. information collections 3095–0035, SUMMARY in this document. Because of security procedures, the which relates to copier-to-copier use of regular mail may cause a reproduction requests, and 3095–0038 Kimberly Keravuori, significant delay in the receipt of and 3095–0039, which relate to requests Federal Register Liaison. comments. For information about for documents or information from [FR Doc. 2020–13833 Filed 6–26–20; 8:45 am] security procedures concerning the former military personnel and medical BILLING CODE 7515–01–P delivery of materials by hand, express records, military personnel and family delivery, messenger, or courier service, medical records, or personnel and medical records of former Federal please contact the OSHA Docket Office NATIONAL CREDIT UNION civilian employees. However, while the at (202) 693–2350; TTY (877) 889–5627. ADMINISTRATION body of the notice properly identified Comments and submissions are and discussed these information Submission for OMB Review; posted without change at http:// collections, the summary paragraph Comment Request www.regulations.gov. Therefore, OSHA erroneously identified a different set of cautions commenters about submitting information collections, for which we AGENCY: National Credit Union personal information such as social had previously published notice. We are Administration (NCUA). security numbers and dates of birth. publishing this correction notice to ACTION: Notice. Although all submissions are listed in clarify that commenters should the http://www.regulations.gov index, comment only on the information SUMMARY: The National Credit Union some information (e.g., copyrighted collections identified here and in the Administration (NCUA) will be material) is not publicly available to body of the previous notice, not the submitting the following information read or download through this website. NATF forms identified in the previous collection request to the Office of All submissions, including copyrighted summary. Management and Budget (OMB) for material, are available for inspection DATES: OMB must receive written review and clearance in accordance and copying at the OSHA Docket Office. comments on the information with the Paperwork Reduction Act of Information on using the http:// collections discussed in the notice 1995 on or after the date of publication www.regulations.gov website to submit published June 16, 2020 (85 FR 36425), of this notice. comments and access the docket is on or before July 16, 2020, as stated in DATES: Comments should be received on available at the website’s ‘‘User Tips’’ the previous notice. or before July 29, 2020 to be assured of link. Contact the OSHA Docket Office ADDRESSES: Send comments and consideration. for information about materials not recommendations for the proposed ADDRESSES: Written comments and available through the website, and for information collections to recommendations for the proposed assistance in using the internet to locate www.reginfo.gov/public/do/PRAMain. information collection should be sent docket submissions. Find these particular information within 30 days of publication of this collections by selecting ‘‘Currently notice to www.reginfo.gov/public/do/ V. Authority and Signature under 30-day Review—Open for Public PRAMain. Find this particular Loren Sweatt, Principal Deputy Comments’’ or by using the search information collection by selecting Assistant Secretary of Labor for function. ‘‘Currently under 30-day Review—Open Occupational Safety and Health, FOR FURTHER INFORMATION CONTACT: for Public Comments’’ or by using the directed the preparation of this notice. Contact Tamee Fechhelm, Paperwork search function. The authority for this notice is the Reduction Act Officer, by email at FOR FURTHER INFORMATION CONTACT: Paperwork Reduction Act of 1995 (44 [email protected] or by Copies of the submission may be U.S.C. 3506 et seq.) and Secretary of telephone at 301.837.1694 with requests obtained by contacting Dawn Wolfgang Labor’s Order No. 1–2012 (77 FR 3912). for additional information or copies of at (703) 548–2279, emailing the proposed information collection and [email protected], or viewing Signed at Washington, DC, on June 23, supporting statement. the entire information collection request 2020. SUPPLEMENTARY INFORMATION: Pursuant at www.reginfo.gov. Loren Sweatt, to the Paperwork Reduction Act of 1995 SUPPLEMENTARY INFORMATION: Principal Deputy Assistant Secretary of Labor (Pub. L. 104–13), we invite the general OMB Number: 3133–0134. for Occupational Safety and Health. public and other Federal agencies to Title: Account Based Disclosures in [FR Doc. 2020–13965 Filed 6–26–20; 8:45 am] comment on proposed information Connection with 12 CFR part 707 (Truth BILLING CODE 4510–26–P collections. We published a notice of in Savings).

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Abstract: The Truth in Savings Act evidence of compliance for a minimum DATES: Written comments must be (TISA), 12 U.S.C. 4301 et seq., requires of two years after the disclosures are submitted to the office listed in the depository institutions to disclose to required to be made or an action is addressee section below on or before consumers certain information, required to be taken. August 21, 2020. including interest rates, dividends, Type of Review: Extension of a ADDRESSES: Send comments to: Dr. bonuses, and fees associated with their currently approved collection. Connie Bodner, Director of Grants deposit accounts and accompanying Affected Public: Private Sector: Not- Policy and Management, Institute of services. TISA also directed the for-profit institutions. Museum and Library Services, 955 National Credit Union Administration Estimated Total Annual Burden L’Enfant Plaza North SW, Suite 4000, (NCUA) to promulgate a TISA Hours: 373,870. Washington, DC 20024–2135. Dr. regulation governing credit unions. By Gerard Poliquin, Secretary of the Bodner can be reached by telephone at Section 272(b) of TISA, 12 U.S.C. Board, the National Credit Union 202–653–4636, or by email at cbodner@ 4311(b), mandated that the NCUA Administration, on June 23, 2020. imls.gov, or by teletype (TTY/TDD) for regulation be ‘‘substantially similar’’ to Dated: June 24, 2020. persons with hearing difficulty at 202– those of the Consumer Financial 653–4614. Protection Bureau (CFPB), but the Dawn D. Wolfgang, FOR FURTHER INFORMATION CONTACT: For NCUA may take into account the unique NCUA PRA Clearance Officer. a copy of the documents contact: nature of credit unions and the [FR Doc. 2020–13904 Filed 6–26–20; 8:45 am] Anthony Smith, Associate Deputy limitations under which they may pay BILLING CODE 7535–01–P Director, Office of Library Services, dividends. To implement TISA, the NCUA Institute of Museum and Library published its TISA regulation, 12 CFR Services, 955 L’Enfant Plaza North SW, NATIONAL FOUNDATION ON THE Suite 4000, Washington, DC 20024– part 707, which applies to all credit ARTS AND THE HUMANITIES unions whose accounts are either 2135. Mr. Smith can be reached by telephone: 202–653–4716, or by email at insured by, or eligible to be insured by, Institute of Museum and Library [email protected], or by teletype (TTY/ the National Credit Union Share Services Insurance Fund, except for any credit TDD) for persons with hearing difficulty union that has been designated as a Notice of Proposed Information at 202–653–4614. corporate credit union and any non- Collection Requests: 2021–2023 IMLS SUPPLEMENTARY INFORMATION: automated credit union that has $2 Native American Library Services: I. Background million or less in assets (together, Enhancement Grants Program Notice ‘‘credit unions’’). In addition, the of Funding Opportunity The Institute of Museum and Library advertising rules apply to any person Services is the primary source of federal who advertises an account offered by a AGENCY: Institute of Museum and support for the nation’s libraries and credit union. The NCUA’s TISA Library Services, National Foundation museums. We advance, support, and regulation requires credit unions to on the Arts and the Humanities. empower America’s museums, libraries, disclose fees, dividend rates and other ACTION: Notice, request for comments on and related organizations through grant terms concerning accounts to members this collection of information. making, research, and policy or potential members before they open development. Our vision is a nation accounts. SUMMARY: The Institute of Museum and where museums and libraries work The NCUA’s TISA regulation requires Library Services (IMLS), as part of its together to transform the lives of credit unions to provide specific continuing effort to reduce paperwork individuals and communities. To learn disclosures when an account is opened, and respondent burden, conducts a pre- more, visit www.imls.gov. clearance consultation program to when a disclosed term changes or a term II. Current Actions account is close to renewal, on periodic provide the general public and federal statements of account activity, in agencies with an opportunity to Native American Enhancement Grants advertisements, and upon a member’s or comment on proposed and/or support existing library operations and potential member’s request. Credit continuing collections of information in maintain core library services, unions that provide periodic statements accordance with the Paperwork particularly as they relate to the are required to include information Reduction Act. This pre-clearance following goals in the Museum and about fees imposed, the annual consultation program helps to ensure Library Services Act (20 U.S.C. 9141). percentage yield (APY) earned during that requested data can be provided in 1. Expanding services for learning and those statement periods, and other the desired format, reporting burden access to information and educational account terms. The requirements for (time and financial resources) is resources in a variety of formats creating and disseminating account minimized, collection instruments are (including new and emerging disclosures, change in terms notices, clearly understood, and the impact of technology), in all types of libraries, for term share renewal notices, statement collection requirements on respondents individuals of all ages in order to disclosures, and advertising disclosures can be properly assessed. By this notice, support such individuals’ need for are necessary to implement TISA’s IMLS is soliciting comments concerning education, lifelong learning, workforce purpose of providing the public with a plan to offer a grant program targeted development, economic and business information that will permit informed to the needs of Native American development, health information, comparisons of accounts at financial libraries, aligned to the updated IMLS critical thinking skills, digital library institutions. strategic plan for FY2018–2022—IMLS skills, and financial literacy and other The collection of information Native American Library Services: types of literacy skills. pursuant to Part 707 is triggered by Enhancement Grants. A copy of the 2. Establishing or enhancing specific events and disclosures and proposed information collection request electronic and other linkages and must be provided to consumers within can be obtained by contacting the improved coordination among and the time periods established under the individual listed below in the between libraries and entities, as regulation. Credit unions must retain ADDRESSES section of this notice. described in 20 U.S.C. 9134(b)(6), for

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the purpose of improving the quality of entities is available from the Bureau of POSTAL REGULATORY COMMISSION and access to library and information Indian Affairs. services. To be eligible for this program an [Docket Nos. MC2020–183 and CP2020–207] 3. Providing training and professional applicant must be able to document an development, including continuing existing library that meets, at a New Postal Product education, to enhance the skills of the minimum, three basic criteria: (1) current library workforce and Regularly scheduled hours, (2) staff, and AGENCY: Postal Regulatory Commission. leadership, and advance the delivery of (3) materials available for library users. ACTION: Notice. library and information services; and This action is to renew the forms and SUMMARY: The Commission is noticing a enhancing efforts to recruit future instructions for the Notice of Funding recent Postal Service filing for the professionals, including those from Opportunity for the next three years. diverse and underrepresented Commission’s consideration concerning backgrounds, to the field of library and IMLS is particularly interested in a negotiated service agreement. This information services. comments that help the agency to: notice informs the public of the filing, • 4. Developing public and private Evaluate whether the proposed invites public comment, and takes other partnerships with other agencies, tribes, collection of information is necessary administrative steps. and community-based organizations. for the proper performance of the DATES: Comments are due: July 1, 2020. 5. Targeting library services to functions of the agency, including whether the information will have ADDRESSES: Submit comments individuals of diverse geographic, electronically via the Commission’s cultural, and socioeconomic practical utility; • Filing Online system at http:// backgrounds, to individuals with Evaluate the accuracy of the www.prc.gov. Those who cannot submit disabilities, and to individuals with agency’s estimate of the burden of the comments electronically should contact proposed collection of information limited functional literacy or the person identified in the FOR FURTHER including the validity of the information skills. INFORMATION CONTACT section by 6. Targeting library and information methodology and assumptions used; telephone for advice on filing services to persons having difficulty • Enhance the quality, utility, and alternatives. using a library and to underserved clarity of the information to be urban and rural communities, including collected; and FOR FURTHER INFORMATION CONTACT: David A. Trissell, General Counsel, at children (from birth through age 17) • Minimize the burden of the 202–789–6820. from families with incomes below the collection of information on those who poverty line (as defined by the Office of are to respond, including through the SUPPLEMENTARY INFORMATION: Management and Budget and revised use of appropriate automated electronic, Table of Contents annually in accordance with 42 U.S.C. mechanical, or other technological 9902(2)) applicable to a family of the collection techniques, or other forms of I. Introduction size involved. information technology (e.g., permitting II. Docketed Proceeding(s) 7. Developing library services that electronic submissions of responses). I. Introduction provide all users access to information Agency: Institute of Museum and through local, State, regional, national, The Commission gives notice that the Library Services. and international collaborations and Postal Service filed request(s) for the networks. Title: 2021–2023 IMLS Native Commission to consider matters related 8. Carrying out other activities American Basic Library Program Notice to negotiated service agreement(s). The consistent with the purposes of the of Funding Opportunity. request(s) may propose the addition or Library Services and Technology OMB Number: 3137–0110. removal of a negotiated service subchapter of the IMLS statute (20 Frequency: Once per year. agreement from the market dominant or the competitive product list, or the U.S.C. 9121). Affected Public: American Indian modification of an existing product Indian tribes are eligible to apply for tribes recognized by the Secretary of the currently appearing on the market funding under the Native American Interior. dominant or the competitive product Library Services Enhancement Grant Number of Respondents: 51. program. Entities such as libraries, list. schools, tribal colleges, or departments Estimated Average Burden per Section II identifies the docket of education are not eligible applicants, Response: 40 hours. number(s) associated with each Postal although they may be involved in the Estimated Total Annual Burden: Service request, the title of each Postal administration of this program and their 1,360 hours. Service request, the request’s acceptance staff may serve as project directors in Total Annualized capital/startup date, and the authority cited by the partnership with an eligible applicant. costs: N/A. Postal Service for each request. For each For purposes of funding under this Total Annual costs: $30,661.20. request, the Commission appoints an officer of the Commission to represent program, ‘‘Indian tribe’’ means any Public Comments Invited: Comments tribe, band, nation, or other organized the interests of the general public in the submitted in response to this notice will proceeding, pursuant to 39 U.S.C. 505 group or community, including any be summarized and/or included in the Alaska native village, regional (Public Representative). Section II also request for OMB’s clearance of this establishes comment deadline(s) corporation, or village corporation (as information collection. defined in, or established pursuant to, pertaining to each request. the Alaska Native Claims Settlement Act Dated: June 23, 2020. The public portions of the Postal (43 U.S.C. 1601 et seq.)), which is Kim Miller, Service’s request(s) can be accessed via recognized as eligible for the special Senior Grants Management Specialist, the Commission’s website (http:// programs and services provided by the Institute of Museum and Library Services. www.prc.gov). Non-public portions of United States to Indians because of their [FR Doc. 2020–13836 Filed 6–26–20; 8:45 am] the Postal Service’s request(s), if any, status as Indians. A list of eligible BILLING CODE 7036–01–P can be accessed through compliance

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with the requirements of 39 CFR FOR FURTHER INFORMATION CONTACT: POSTAL SERVICE 3011.301.1 Christopher C. Meyerson, (202) 268– The Commission invites comments on 7820. International Product Change— whether the Postal Service’s request(s) International Priority Airmail, SUPPLEMENTARY INFORMATION: The Commercial ePacket, Priority Mail in the captioned docket(s) are consistent ® with the policies of title 39. For United States Postal Service hereby Express International, Priority Mail request(s) that the Postal Service states gives notice that, pursuant to 39 U.S.C. International & First-Class Package concern market dominant product(s), 3642 and 3632(b)(3), on June 11, 2020, International Service Agreement applicable statutory and regulatory it filed with the Postal Regulatory AGENCY: Postal ServiceTM. requirements include 39 U.S.C. 3622, 39 Commission a USPS Request to Add U.S.C. 3642, 39 CFR part 3030, and 39 Priority Mail Express International, ACTION: Notice. CFR part 3040, subpart B. For request(s) Priority Mail International, First-Class Package International Service & SUMMARY: The Postal Service gives that the Postal Service states concern notice of filing a request with the Postal competitive product(s), applicable Commercial ePacket Contract 2 to Competitive Product List. Documents Regulatory Commission to add an statutory and regulatory requirements International Priority Airmail, include 39 U.S.C. 3632, 39 U.S.C. 3633, are available at www.prc.gov, Docket Nos. MC2020–157 and CP2020–173. Commercial ePacket, Priority Mail 39 U.S.C. 3642, 39 CFR part 3035, and Express International, Priority Mail 39 CFR part 3040, subpart B. Comment Joshua J. Hofer, International & First-Class Package deadline(s) for each request appear in Attorney, Federal Compliance. International Service contract to the list section II. [FR Doc. 2020–13848 Filed 6–26–20; 8:45 am] of Negotiated Service Agreements in the II. Docketed Proceeding(s) BILLING CODE 7710–12–P Competitive Product List in the Mail Classification Schedule. 1. Docket No(s).: MC2020–183 and DATES: Date of notice: June 29, 2020. CP2020–207; Filing Title: USPS Request POSTAL SERVICE to Add Priority Mail Contract 630 to FOR FURTHER INFORMATION CONTACT: Competitive Product List and Notice of International Product Change—Priority Christopher C. Meyerson, (202) 268– Filing Materials Under Seal; Filing Mail Express International, Priority Mail 7820. Acceptance Date: June 23, 2020; Filing International, First-Class Package SUPPLEMENTARY INFORMATION: The Authority: 39 U.S.C. 3642, 39 CFR International Service & Commercial United States Postal Service® hereby 3040.130 through 3040.135, and 39 CFR ePacket Agreement gives notice that, pursuant to 39 U.S.C. 3035.105; Public Representative: Curtis 3642 and 3632(b)(3), on June 15, 2020, E. Kidd; Comments Due: July 1, 2020. AGENCY: Postal ServiceTM. it filed with the Postal Regulatory This Notice will be published in the ACTION: Notice. Commission a USPS Request to Add Federal Register. International Priority Airmail, Erica A. Barker, SUMMARY: The Postal Service gives Commercial ePacket, Priority Mail Express International, Priority Mail Secretary. notice of filing a request with the Postal Regulatory Commission to add a Priority International & First-Class Package [FR Doc. 2020–13921 Filed 6–26–20; 8:45 am] International Service Contract 3 to BILLING CODE 7710–FW–P Mail Express International, Priority Mail International, First-Class Package Competitive Product List. Documents International Service & Commercial are available at www.prc.gov, Docket ePacket contract to the list of Negotiated Nos. MC2020–162 and CP2020–185. POSTAL SERVICE Service Agreements in the Competitive Joshua J. Hofer, Product List in the Mail Classification Attorney, Federal Compliance. International Product Change—Priority Schedule. [FR Doc. 2020–13841 Filed 6–26–20; 8:45 am] Mail Express International, Priority Mail International, First-Class Package DATES: Date of notice: June 29, 2020. BILLING CODE 7710–12–P International Service & Commercial FOR FURTHER INFORMATION CONTACT: ePacket Agreement Christopher C. Meyerson, (202) 268– POSTAL SERVICE 7820. AGENCY: TM Postal Service . International Product Change— ACTION: Notice. SUPPLEMENTARY INFORMATION: The International Priority Airmail, ® United States Postal Service hereby Commercial ePacket, Priority Mail SUMMARY: The Postal Service gives gives notice that, pursuant to 39 U.S.C. Express International, Priority Mail notice of filing a request with the Postal 3642 and 3632(b)(3), on June 15, 2020, International & First-Class Package Regulatory Commission to add a Priority it filed with the Postal Regulatory International Service Agreement Mail Express International, Priority Mail Commission a USPS Request to Add International, First-Class Package Priority Mail Express International, AGENCY: Postal ServiceTM. International Service & Commercial Priority Mail International, First-Class ACTION: Notice. ePacket contract to the list of Negotiated Package International Service & Service Agreements in the Competitive Commercial ePacket Contract 5 to SUMMARY: The Postal Service gives Product List in the Mail Classification Competitive Product List. Documents notice of filing a request with the Postal Schedule. are available at www.prc.gov, Docket Regulatory Commission to add an International Priority Airmail, DATES: Date of notice: June 29, 2020. Nos. MC2020–170 and CP2020–193. Commercial ePacket, Priority Mail Joshua J. Hofer, Express International, Priority Mail 1 See Docket No. RM2018–3, Order Adopting Attorney, Federal Compliance. Final Rules Relating to Non-Public Information, International & First-Class Package June 27, 2018, Attachment A at 19–22 (Order No. [FR Doc. 2020–13849 Filed 6–26–20; 8:45 am] International Service contract to the list 4679). BILLING CODE 7710–12–P of Negotiated Service Agreements in the

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Competitive Product List in the Mail are available at www.prc.gov, Docket ACTION: Notice. Classification Schedule. Nos. MC2020–166 and CP2020–189. SUMMARY: The Postal Service gives DATES: Date of notice: June 29, 2020. Joshua J. Hofer, notice of filing a request with the Postal FOR FURTHER INFORMATION CONTACT: Attorney, Federal Compliance. Regulatory Commission to add an Christopher C. Meyerson, (202) 268– [FR Doc. 2020–13842 Filed 6–26–20; 8:45 am] International Priority Airmail, 7820. BILLING CODE 7710–12–P Commercial ePacket, Priority Mail Express International, Priority Mail SUPPLEMENTARY INFORMATION: The ® International & First-Class Package United States Postal Service hereby POSTAL SERVICE International Service contract to the list gives notice that, pursuant to 39 U.S.C. of Negotiated Service Agreements in the 3642 and 3632(b)(3), on June 15, 2020, International Product Change— Competitive Product List in the Mail it filed with the Postal Regulatory International Priority Airmail, Classification Schedule. Commission a USPS Request to Add Commercial ePacket, Priority Mail DATES: Date of notice: June 29, 2020. International Priority Airmail, Express International, Priority Mail Commercial ePacket, Priority Mail International & First-Class Package FOR FURTHER INFORMATION CONTACT: Express International, Priority Mail International Service With Reseller Christopher C. Meyerson, (202) 268– International & First-Class Package Agreement 7820. International Service Contract 9 to SUPPLEMENTARY INFORMATION: TM The Competitive Product List. Documents AGENCY: Postal Service . United States Postal Service® hereby are available at www.prc.gov, Docket ACTION: Notice. gives notice that, pursuant to 39 U.S.C. Nos. MC2020–178 and CP2020–202. 3642 and 3632(b)(3), on June 15, 2020, SUMMARY: The Postal Service gives Joshua J. Hofer, it filed with the Postal Regulatory notice of filing a request with the Postal Commission a USPS Request to Add Attorney, Federal Compliance. Regulatory Commission to add an International Priority Airmail, [FR Doc. 2020–13844 Filed 6–26–20; 8:45 am] International Priority Airmail, Commercial ePacket, Priority Mail BILLING CODE 7710–12–P Commercial ePacket, Priority Mail Express International, Priority Mail Express International, Priority Mail International & First-Class Package International & First-Class Package International Service Contract 7 to POSTAL SERVICE International Service with Reseller Competitive Product List. Documents contract to the list of Negotiated Service International Product Change— are available at www.prc.gov, Docket Agreements in the Competitive Product Nos. MC2020–168 and CP2020–191. International Priority Airmail, List in the Mail Classification Schedule. Commercial ePacket, Priority Mail Joshua J. Hofer, DATES: Date of notice: June 29, 2020. Express International, Priority Mail Attorney, Federal Compliance. International & First-Class Package FOR FURTHER INFORMATION CONTACT: [FR Doc. 2020–13843 Filed 6–26–20; 8:45 am] International Service Agreement Christopher C. Meyerson, (202) 268– 7820. BILLING CODE 7710–12–P AGENCY: Postal ServiceTM. SUPPLEMENTARY INFORMATION: The ACTION: Notice. United States Postal Service® hereby POSTAL SERVICE gives notice that, pursuant to 39 U.S.C. SUMMARY: The Postal Service gives 3642 and 3632(b)(3), on June 15, 2020, International Product Change— notice of filing a request with the Postal it filed with the Postal Regulatory International Priority Airmail, Regulatory Commission to add an Commission a USPS Request to Add Commercial ePacket, Priority Mail International Priority Airmail, International Priority Airmail, Express International, Priority Mail Commercial ePacket, Priority Mail Commercial ePacket, Priority Mail International & First-Class Package Express International, Priority Mail Express International, Priority Mail International Service With Reseller International & First-Class Package International & First-Class Package Agreement International Service contract to the list International Service with Reseller AGENCY: Postal ServiceTM. of Negotiated Service Agreements in the Contract 2 to Competitive Product List. ACTION: Competitive Product List in the Mail Documents are available at Notice. Classification Schedule. www.prc.gov, Docket Nos. MC2020–169 SUMMARY: The Postal Service gives DATES: Date of notice: June 29, 2020. and CP2020–192. notice of filing a request with the Postal FOR FURTHER INFORMATION CONTACT: Joshua J. Hofer, Regulatory Commission to add an Christopher C. Meyerson, (202) 268– Attorney, Federal Compliance. International Priority Airmail, Commercial ePacket, Priority Mail 7820. [FR Doc. 2020–13845 Filed 6–26–20; 8:45 am] Express International, Priority Mail BILLING CODE 7710–12–P SUPPLEMENTARY INFORMATION: The International & First-Class Package ® United States Postal Service hereby International Service with Reseller gives notice that, pursuant to 39 U.S.C. POSTAL SERVICE contract to the list of Negotiated Service 3642 and 3632(b)(3), on June 15, 2020, Agreements in the Competitive Product it filed with the Postal Regulatory International Product Change— List in the Mail Classification Schedule. Commission a USPS Request to Add International Priority Airmail, DATES: Date of notice: June 29, 2020. International Priority Airmail, Commercial ePacket, Priority Mail FOR FURTHER INFORMATION CONTACT: Commercial ePacket, Priority Mail Express International, Priority Mail Express International, Priority Mail Christopher C. Meyerson, (202) 268– International & First-Class Package 7820. International & First-Class Package International Service Agreement International Service Contract 5 to SUPPLEMENTARY INFORMATION: The Competitive Product List. Documents AGENCY: Postal ServiceTM. United States Postal Service® hereby

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gives notice that, pursuant to 39 U.S.C. ACTION: Notice. SUPPLEMENTARY INFORMATION: The 3642 and 3632(b)(3), on June 15, 2020, United States Postal Service® hereby it filed with the Postal Regulatory SUMMARY: The Postal Service gives gives notice that, pursuant to 39 U.S.C. Commission a USPS Request to Add notice of filing a request with the Postal 3642 and 3632(b)(3), on June 12, 2020, International Priority Airmail, Regulatory Commission to add an it filed with the Postal Regulatory Commercial ePacket, Priority Mail International Priority Airmail, Commission a USPS Request to Add Express International, Priority Mail International Surface Air Lift, International Priority Airmail, International & First-Class Package Commercial ePacket, Priority Mail Commercial ePacket, Priority Mail International Service with Reseller Express International, Priority Mail Express International, Priority Mail Contract 4 to Competitive Product List. International & First-Class Package International & First-Class Package Documents are available at International Service with Reseller International Service Contract 1 to www.prc.gov, Docket Nos. MC2020–177 contract to the list of Negotiated Service Competitive Product List. Documents and CP2020–201. Agreements in the Competitive Product are available at www.prc.gov, Docket List in the Mail Classification Schedule. Nos. MC2020–159 and CP2020–177. Joshua J. Hofer, DATES: Date of notice: June 29, 2020. Attorney, Federal Compliance. Joshua J. Hofer, FOR FURTHER INFORMATION CONTACT: [FR Doc. 2020–13846 Filed 6–26–20; 8:45 am] Attorney, Federal Compliance. Christopher C. Meyerson, (202) 268– BILLING CODE 7710–12–P [FR Doc. 2020–13840 Filed 6–26–20; 8:45 am] 7820. BILLING CODE 7710–12–P SUPPLEMENTARY INFORMATION: The POSTAL SERVICE United States Postal Service® hereby gives notice that, pursuant to 39 U.S.C. SECURITIES AND EXCHANGE International Product Change— 3642 and 3632(b)(3), on June 15, 2020, COMMISSION International Priority Airmail it filed with the Postal Regulatory Agreement [Release No. 34–89137; File No. SR– Commission a USPS Request to Add NASDAQ–2020–035] AGENCY: Postal ServiceTM. International Priority Airmail, International Surface Air Lift, Self-Regulatory Organizations; The ACTION: Notice. Commercial ePacket, Priority Mail Nasdaq Stock Market LLC; Notice of Express International, Priority Mail Filing and Immediate Effectiveness of SUMMARY: The Postal Service gives International & First-Class Package notice of filing a request with the Postal Proposed Rule Change To Amend International Service with Reseller Nasdaq General 7 (Consolidated Audit Regulatory Commission to add an Contract 2 to Competitive Product List. Trail Compliance) International Priority Airmail contract Documents are available at to the list of Negotiated Service www.prc.gov, Docket Nos. MC2020–175 June 23, 2020. Agreements in the Competitive Product and CP2020–199. Pursuant to Section 19(b)(1) of the List in the Mail Classification Schedule. Securities Exchange Act of 1934 DATES: Date of notice: June 29, 2020. Joshua J. Hofer, (‘‘Act’’),1 and Rule 19b–4 thereunder,2 FOR FURTHER INFORMATION CONTACT: Attorney, Federal Compliance. notice is hereby given that on June 22, Christopher C. Meyerson, (202) 268– [FR Doc. 2020–13847 Filed 6–26–20; 8:45 am] 2020, The Nasdaq Stock Market LLC 7820. BILLING CODE 7710–12–P (‘‘Nasdaq’’ or ‘‘Exchange’’) filed with the Securities and Exchange Commission SUPPLEMENTARY INFORMATION: The (‘‘SEC’’ or ‘‘Commission’’) the proposed ® United States Postal Service hereby POSTAL SERVICE rule change as described in Items I and gives notice that, pursuant to 39 U.S.C. II below, which Items have been 3642 and 3632(b)(3), on June 15, 2020, International Product Change— prepared by the Exchange. The it filed with the Postal Regulatory International Priority Airmail, Commission is publishing this notice to Commission a USPS Request to Add Commercial ePacket, Priority Mail solicit comments on the proposed rule International Priority Airmail Contract 1 Express International, Priority Mail change from interested persons. to Competitive Product List. Documents International & First-Class Package are available at www.prc.gov, Docket International Service Agreement I. Self-Regulatory Organization’s Statement of the Terms of Substance of Nos. MC2020–164 and CP2020–187. AGENCY: Postal ServiceTM. the Proposed Rule Change Joshua J. Hofer, ACTION: Notice. The Exchange proposes to amend Attorney, Federal Compliance. Nasdaq General, the Exchange’s [FR Doc. 2020–13839 Filed 6–26–20; 8:45 am] SUMMARY: The Postal Service gives compliance rule (‘‘Compliance Rule’’) BILLING CODE 7710–12–P notice of filing a request with the Postal regarding the National Market System Regulatory Commission to add an Plan Governing the Consolidated Audit International Priority Airmail, Trail (the ‘‘CAT NMS Plan’’ or ‘‘Plan’’) 3 POSTAL SERVICE Commercial ePacket, Priority Mail to be consistent with certain exemptions Express International, Priority Mail from the CAT NMS Plan as well as to International Product Change— International & First-Class Package facilitate the retirement of certain International Priority Airmail, International Service contract to the list existing regulatory systems. International Surface Air Lift, of Negotiated Service Agreements in the The text of the proposed rule change Commercial ePacket, Priority Mail Competitive Product List in the Mail is available on the Exchange’s website at Express International, Priority Mail Classification Schedule. International & First-Class Package 1 DATES: Date of notice: June 29, 2020. 15 U.S.C. 78s(b)(1). International Service With Reseller 2 17 CFR 240.19b–4. FOR FURTHER INFORMATION CONTACT: Agreement 3 Unless otherwise specified, capitalized terms Christopher C. Meyerson, (202) 268– used in this rule filing are defined as set forth in AGENCY: Postal ServiceTM. 7820. the Compliance Rule.

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http://nasdaq.cchwallstreet.com, at the with the requirements of the CAT NMS Member to record the following when principal office of the Exchange, and at Plan applicable to Small Industry an order is received or originated: ‘‘if the Commission’s Public Reference Members; the member is relying on the exception Room. • Revise the CAT reporting provided in Rule 5320.02 with respect requirements so Industry Members to the order, the unique identification of II. Self-Regulatory Organization’s would not be required to report to the any appropriate information barriers in Statement of the Purpose of, and Central Repository dates of birth, place at the department within the Statutory Basis for, the Proposed Rule ‘‘individual tax payer identification member where the order was received Change number (‘‘ITIN’’)/social security number or originated.’’ 6 The Compliance Rule In its filing with the Commission, the (‘‘SSN’’)’’ (collectively, referred to as does not require Industry Members to Exchange included statements ‘‘SSNs’’) or account numbers; and report such information barrier concerning the purpose of and basis for • Revise the CAT reporting information. To address this OATS– the proposed rule change and discussed requirements regarding cancelled trades CAT data gap, the Exchange proposes to any comments it received on the and SRO-Assigned Market Participant add new paragraph (a)(1)(A)(vii) to proposed rule change. The text of these Identifiers of clearing brokers, if General 7, Section 3, which would statements may be examined at the applicable, in connection with order require Industry Members to record and places specified in Item IV below. The executions, as such information will be report to the Central Repository, for Exchange has prepared summaries, set available from FINRA’s trade reports original receipt or origination of an forth in sections A, B, and C below, of submitted to the CAT. order, ‘‘the unique identification of any the most significant aspects of such i. CAT–OATS Data Gaps appropriate information barriers in statements. place at the department within the The Participants have worked to Industry Member where the order was A. Self-Regulatory Organization’s identify gaps between data reported to received or originated.’’ Statement of the Purpose of, and existing systems and data to be reported In addition, FINRA Rule 7440(c)(1) Statutory Basis for, the Proposed Rule to the CAT to ‘‘ensure that by the time states that ‘‘[w]hen a Reporting Member Change Industry Members are required to report transmits an order to a department to the CAT, the CAT will include all 1. Purpose within the member, the Reporting data elements necessary to facilitate the Member shall record: . . . (H) if the The purpose of this proposed rule rapid retirement of duplicative member is relying on the exception change is to amend General 7, the systems.’’ 4 As a result of this process, provided in Rule 5320.02 with respect Compliance Rule regarding the CAT the Participants identified several data to the order, the unique identification of NMS Plan, to be consistent with certain elements that must be included in the any appropriate information barriers in exemptions from the CAT NMS Plan as CAT reporting requirements before place at the department within the well as to facilitate the retirement of existing systems can be retired. In member to which the order was certain existing regulatory systems. As particular, the Participants identified transmitted.’’ The Compliance Rule described more fully below, the certain data elements that are required does not require Industry Members to proposed rule change would make the by OATS, but not currently enumerated report such information barrier following changes to the Compliance in the CAT NMS Plan. Accordingly, the information. To address this OATS– Rule: Exchange proposes to amend its CAT data gap, the Exchange proposes to • Add additional data elements to the Compliance Rule to include these OATS revise paragraph (a)(1)(B)(vi) of General consolidated audit trail (‘‘CAT’’) data elements in the CAT. Each of such 7, Section 3 to require, for the routing reporting requirements for Industry OATS data elements are discussed of an order, if routed internally at the Members to facilitate the retirement of below. With the addition of these OATS Industry Member, ‘‘the unique the Financial Industry Regulatory data elements to the CAT, the CAT will identification of any appropriate Authority, Inc.’s (‘‘FINRA’’) Order Audit have the data elements necessary to information barriers in place at the Trail System (‘‘OATS’’); retire OATS. department within the Industry Member • Add additional data elements A. Information Barrier Identification to which the order was transmitted.’’ related to OTC Equity Securities that FINRA Rule 7440(c)(2)(B) and FINRA currently receives from The FINRA OATS rules require OATS 5 7440(c)(4)(B) require an OATS alternative trading systems (‘‘ATSs’’) Reporting Members to record the Reporting Member that receives an that trade OTC Equity Securities for identification of information barriers for order transmitted from another member regulatory oversight purposes to the certain order events, including when an to report the unique identification of CAT reporting requirements for Industry order is received or originated, any appropriate information barriers in transmitted to a department within the Members; place at the department within the • OATS Reporting Member, and when it Implement a phased approach for member to which the order was is modified. The Participants propose to Industry Member reporting to the CAT transmitted. The Compliance Rule not amend the Compliance Rule to (‘‘Phased Reporting’’); require Industry Members to report such • incorporate these requirements into the To the extent that any Industry information barrier information. To CAT. Member’s order handling or execution address this OATS–CAT data gap, the systems utilize time stamps in Specifically, FINRA Rule 7440(b)(20) requires a FINRA OATS Reporting Exchange proposes to add new increments finer than milliseconds, paragraph (a)(1)(C)(vii) to General 7, revise the timestamp granularity 4 Letter from Participants to Brent J. Fields, Section 3, which would require Industry requirement to require such Industry Secretary, SEC, re: File Number 4–698; Notice of Members to record and report to the Member to record and report Industry Filing of the National Market System Plan Central Repository, for the receipt of an Member Data to the Central Repository Governing the Consolidated Audit Trail (September order that has been routed, ‘‘the unique 23, 2016) at 21 (‘‘Participants’ Response to with time stamps in such finer identification of any appropriate increment up to nanoseconds; Comments’’) (available at https://www.sec.gov/ • comments/4-698/4698-32.pdf). Require Introducing Industry 5 An OATS ‘‘Reporting Member’’ is defined in 6 FINRA Rule 5320 prohibits trading ahead of Members (as defined below) to comply FINRA Rule 7410(o). customer orders.

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information barriers in place at the so that they are applicable to all ATSs the Central Repository if the order is department within the Industry Member rather than solely to ATSs that trade modified or cancelled ‘‘the ATS’s which received the order.’’ NMS stocks. unique identifier for the order type of FINRA Rule 7440(d)(1) requires an the order.’’ Furthermore, as with the (i) New Definition OATS Reporting Member that modifies requirements in FINRA Rule 4554(b)(5), or receives a modification to the terms The Exchange proposes to add a proposed paragraph (a)(2)(D) of General of an order to report the unique definition of ‘‘ATS’’ to new paragraph 7, Section 3 would state that: identification of any appropriate (d) of General 7, Section 1 to facilitate An Industry Member that operates an information barriers in place at the the addition to the CAT of the reporting ATS must provide to the Central department within the member to which requirements for ATSs set forth in Repository: (1) A list of all of its order the modification was originated or FINRA Rule 4554. The Exchange types twenty (20) days before such order received. The Compliance Rule does not proposes to define an ‘‘ATS’’ to mean types become effective; and (2) any require Industry Members to report such ‘‘an alternative trading system, as changes to its order types twenty (20) information barrier information. To defined in Rule 300(a)(1) of Regulation days before such changes become address this OATS–CAT data gap, the ATS under the Exchange Act.’’ effective. An identifier shall not be Exchange proposes to add new (ii) ATS Order Type required for market and limit orders that paragraph (a)(1)(D)(vii) to General 7, have no other special handling FINRA Rule 4554(b)(5) requires the Section 3, which would require Industry instructions. Members to record and report to the following information to be recorded Central Repository, if the order is and reported to FINRA by ATSs when (iii) National Best Bid and Offer modified or cancelled, ‘‘the unique reporting receipt of an order to OATS: FINRA Rules 4554(b)(6) and (7) identification of any appropriate A unique identifier for each order require the following information to be information barriers in place at the type offered by the ATS. An ATS must recorded and reported to FINRA by department within the Industry Member provide FINRA with (i) a list of all of its ATSs when reporting receipt of an order which received or originated the order types 20 days before such order to OATS: modification.’’ types become effective and (ii) any changes to its order types 20 days before (6) The NBBO (or relevant reference price) B. Reporting Requirements for ATSs such changes become effective. An in effect at the time of order receipt and the identifier shall not be required for timestamp of when the ATS recorded the Under FINRA Rule 4554, ATSs that effective NBBO (or relevant reference price); receive orders in NMS stocks are market and limit orders that have no and required to report certain order other special handling instructions. (7) Identification of the market data feed information to OATS, which FINRA The Compliance Rule does not require used by the ATS to record the NBBO (or uses to reconstruct ATS order books and Industry Members to report such order other reference price) for purposes of perform order-based surveillance, type information to the Central subparagraph (6). If for any reason, the ATS including layering, spoofing, and mid- Repository. To address this OATS–CAT uses an alternative feed than what was point pricing manipulation data gap, the Exchange proposes to reported on its ATS data submission, the ATS must notify FINRA of the fact that an surveillance.7 The Participants believe incorporate these requirements into four new provisions to the Compliance Rule: alternative source was used, identify the that Industry Members operating alternative source, and specify the date(s), ATSs—whether such ATS trades NMS Paragraphs (a)(1)(A)(xi)(1), time(s) and securities for which the stocks or OTC Equity Securities— (a)(1)(C)(x)(1), (a)(1)(D)(ix)(1) and alternative source was used. (a)(2)(D) of General 7, Section 3. should likewise be required to report Similarly, FINRA Rule 4554(c) this information to the CAT. Because Proposed paragraph (a)(1)(A)(xi)(1) of General 7, Section 3 would require an requires the following information to be ATSs that trade NMS stocks are already recorded and reported to FINRA by recording this information and reporting Industry Member that operates an ATS to record and report to the Central ATSs when reporting the execution of it to OATS, the Participants believe that an order to OATS: reporting the same information to the Repository for the original receipt or CAT should impose little burden on origination of an order ‘‘the ATS’s (1) The NBBO (or relevant reference price) these ATSs. Moreover, including this unique identifier for the order type of in effect at the time of order execution; (2) The timestamp of when the ATS information in the CAT is also necessary the order.’’ Proposed paragraph (a)(1)(C)(x)(1) of General 7, Section 3 recorded the effective NBBO (or relevant for FINRA to be able to retire the OATS reference price); and system. The Participants similarly would require an Industry Member that operates an ATS to record and report to (3) Identification of the market data feed believe that obtaining the same used by the ATS to record the NBBO (or information from ATSs that trade OTC the Central Repository for the receipt of other reference price) for purposes of Equity Securities will be important for an order that has been routed ‘‘the subparagraph (1). If for any reason, the ATS purposes of reconstructing ATS order ATS’s unique identifier for the order uses an alternative feed than what was books and surveillance. Accordingly, type of the order.’’ Proposed paragraph reported on its ATS data submission, the the Exchange proposes to add to the (a)(1)(D)(ix)(1) of General 7, Section 3 ATS must notify FINRA of the fact that an alternative source was used, identify the data reporting requirements in the would require an Industry Member that operates an ATS to record and report to alternative source, and specify the date(s), Compliance Rule the reporting time(s) and securities for which the requirements for ATSs in FINRA Rule alternative source was used. 4554,8 but to expand such requirements Response to Comments, throughout the process of developing the Plan, the Participants worked to The Compliance Rule does not require keep the gap analyses for OATS, electronic blue 7 See FINRA Regulatory Notice 16–28 (August sheets, and the CAT up-to-date, which included Industry Members to report such NBBO 2016). adding data fields related to the tick size pilot and information to the Central Repository. 8 FINRA Rule 4554 was approved by the SEC on ATS order book amendments to the OATS rules. To address this OATS–CAT data gap, May 10, 2016, while the CAT NMS Plan was See Participants’ Response to Comments at 21. the Exchange proposes to incorporate pending with the Commission. See Securities However, due to the timing of the expiration of the Exchange Act Release No. 77798 (May 10, 2016), 81 tick size pilot, the Participants decided not to these requirements into four new FR 30395 (May 16, 2016) (Order Approving SR– include those data elements into the CAT NMS provisions to the Compliance Rule: FINRA–2016–010). As noted in the Participants’ Plan. (a)(1)(A)(xi)(2)–(3), (a)(1)(C)(x)(2)–(3),

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(a)(1)(D)(ix)(2)–(3) and (a)(1)(E)(viii)(1)– routing of the order by the ATS’s through publicly disseminated quotation (2) of General 7, Section 3. matching engine.’’ The Exchange also data); Specifically, proposed paragraph proposes to add proposed paragraph The Compliance Rule does not require (a)(1)(A)(xi)(2)–(3) of General 7, Section (a)(1)(C)(x)(4) to General 7, Section 3, Industry Members to report to the CAT 3 would require an Industry Member which would require an Industry such information about the displaying that operates an ATS to record and Member that operates an ATS to record of subscriber orders. The Exchange report to the Central Repository the and report to the Central Repository proposes to add comparable following information when reporting ‘‘the sequence number assigned to the requirements into proposed paragraphs the original receipt or origination of receipt of the order by the ATS’s (a)(1)(A)(xi)(5) and (a)(1)(C)(x)(5) of order: matching engine.’’ In addition, the General 7, Section 3. Specifically, (2) the National Best Bid and National Best Exchange proposes to add proposed proposed paragraph (a)(1)(A)(xi)(5) Offer (or relevant reference price) at the time paragraph (a)(1)(D)(ix)(4) to General 7, would require an Industry Member that of order receipt or origination, and the date Section 3, which would require an operates an ATS to report to the Central and time at which the ATS recorded such Industry Member that operates an ATS Repository, for the original receipt or National Best Bid and National Best Offer (or to record and report to the Central origination of an order, relevant reference price); Repository ‘‘the sequence number (3) the identification of the market data whether the ATS displays subscriber orders feed used by the ATS to record the National assigned to the modification or outside the ATS (other than to alternative Best Bid and National Best Offer (or relevant cancellation of the order by the ATS’s trading system employees). If an ATS does reference price) for purposes of subparagraph matching engine.’’ Finally, the Exchange display subscriber orders outside the ATS (xi)(2). If for any reason the ATS uses an proposes to add proposed paragraph (other than to alternative trading system alternative market data feed than what was (a)(1)(E)(viii)(3) to General 7, Section 3, employees), indicate whether the order is reported on its ATS data submission, the which would require an Industry displayed to subscribers only or through publicly disseminated quotation data. ATS must provide notice to the Central Member that operates an ATS to record Repository of the fact that an alternative Similarly, proposed paragraph source was used, identify the alternative and report to the Central Repository ‘‘the sequence number assigned to the (a)(1)(C)(x)(5) of General 7, Section 3 source, and specify the date(s), time(s) and would require an Industry Member that securities for which the alternative source execution of the order by the ATS’s was used. matching engine.’’ operates an ATS to record and report to the Central Repository the same Similarly, proposed paragraphs (v) Modification or Cancellation of information when reporting receipt of (a)(1)(C)(x)(2)–(3), (a)(1)(D)(ix)(2)–(3) Orders by ATSs an order that has been routed. and (a)(1)(E)(viii)(1)–(2) of General 7, FINRA Rule 4554(f) states that ‘‘[f]or C. Customer Instruction Flag Section 3 would require an Industry an ATS that displays subscriber orders, Member that operates an ATS to record each time the ATS’s matching engine re- FINRA Rule 7440(b)(14) requires a and report to the Central Repository the prices a displayed order or changes the FINRA OATS Reporting Member to same information when reporting display quantity of a displayed order, record the following when an order is receipt of an order that has been routed, the ATS must report to OATS the time received or originated: ‘‘any request by when reporting if the order is modified of such modification,’’ and ‘‘the a customer that a limit order not be or cancelled, and when an order has applicable new display price or size.’’ displayed, or that a block size limit been executed, respectively. The Exchange proposes adding a order be displayed, pursuant to applicable rules.’’ The Compliance Rule (iv) Sequence Numbers comparable requirement into new does not require Industry Members to FINRA Rule 4554(d) states that ‘‘[f]or paragraph (a)(1)(D)(ix)(5) to General 7, Section 3. Specifically, proposed new report to the CAT such a customer all OATS-reportable event types, all instruction flag. To address this OATS– ATSs must record and report to FINRA paragraph (a)(1)(D)(ix)(5) of General 7, Section 3 would require an Industry CAT data gap, the Exchange proposes to the sequence number assigned to the add paragraph (a)(1)(A)(viii) to General order event by the ATS’s matching Member that operates an ATS to report to the Central Repository, if the order is 7, Section 3, which would require engine.’’ The Compliance Rule does not Industry Members to record and report modified or cancelled, ‘‘each time the require Industry Members to report ATS to the Central Repository, for original ATS’s matching engine re-prices an sequence numbers to the Central receipt or origination of an order, ‘‘any order or changes the quantity of an Repository. To address this OATS–CAT request by a Customer that a limit order order,’’ the ATS must report to the data gap, the Exchange proposes to not be displayed, or that a block size Central Repository ‘‘the time of such incorporate this requirement regarding limit order be displayed, pursuant to modification, and the applicable new ATS sequence numbers into each of the applicable rules.’’ The Exchange also price or size.’’ Proposed paragraph Reportable Events for the CAT. proposes to add paragraph (a)(1)(C)(ix) (a)(1)(D)(ix)(5) of General 7, Section 3 Specifically, the Exchange proposes to to General 7, Section 3, which would would apply to all ATSs, not just ATSs add proposed paragraph (a)(1)(A)(xi)(4) require Industry Members to record and that display orders. to General 7, Section 3, which would report to the Central Repository, for the require an Industry Member that (vi) Display of Subscriber Orders receipt of an order that has been routed, operates an ATS to record and report to FINRA Rule 4554(b)(1) requires the ‘‘any request by a Customer that a limit the Central Repository ‘‘the sequence following information to be recorded order not be displayed, or that a block number assigned to the receipt or and reported to FINRA by ATSs when size limit order be displayed, pursuant origination of the order by the ATS’s reporting receipt of an order to OATS: to applicable rules.’’ matching engine.’’ The Exchange FINRA Rule 7440(d)(1) requires an proposes to add proposed paragraph Whether the ATS displays subscriber OATS Reporting Member that modifies (a)(1)(B)(viii) to General 7, Section 3, orders outside the ATS (other than to or receives a modification of an order to alternative trading system employees). If an which would require an Industry ATS does display subscriber orders outside report the customer instruction flag. The Member that operates an ATS to record the ATS (other than to alternative trading Compliance Rule does not require and report to the Central Repository system employees), indicate whether the Industry Members to report such a ‘‘the sequence number assigned to the order is displayed to subscribers only or customer instruction flag. To address

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this OATS–CAT data gap, the Exchange information regarding the type of B. Unsolicited Bid or Offer Flag proposes to add paragraph (a)(1)(D)(viii) account holder for which the order is to General 7, Section 3, which would submitted. To address this OATS–CAT FINRA also receives from ATSs that require Industry Members to record and data gap, the Exchange proposes to add trade OTC Equity Securities an report to the Central Repository, if the paragraph (a)(1)(A)(x) to General 7, indication whether each bid or offer in order is modified or cancelled, ‘‘any Section 3, which would require Industry OTC Equity Securities on such ATS was request by a Customer that a limit order Members to record and report to the solicited or unsolicited. Therefore, the not be displayed, or that a block size Central Repository upon the original Exchange proposes to add paragraph limit order be displayed, pursuant to receipt or origination of an order ‘‘the (f)(2) to General 7, Section 3 to require applicable rules.’’ type of account holder for which the the reporting to the CAT of an order is submitted.’’ indication as to whether a bid or offer D. Department Type was solicited or unsolicited. FINRA Rules 7440(b)(4) and (5) ii. OTC Equity Securities Specifically, proposed paragraph (f)(2) require an OATS Reporting Member that The Participants have identified of General 7, Section 3 would require receives or originates an order to record several data elements related to OTC each Industry Member that operates an the following information: ‘‘the Equity Securities that FINRA currently ATS that trades OTC Equity Securities identification of any department or the receives from ATSs that trade OTC to provide to the Central Repository ‘‘an identification number of any terminal Equity Securities for regulatory indication of whether each bid and offer where an order is received directly from oversight purposes, but are not currently for OTC Equity Securities was solicited a customer’’ and ‘‘where the order is included in CAT Data. In particular, the or unsolicited.’’ originated by a Reporting Member, the Participants identified three data C. Unpriced Bids and Offers identification of the department of the elements that need to be added to the member that originates the order.’’ The CAT: (1) Bids and offers for OTC Equity FINRA receives from ATSs that trade Compliance Rule does not require Securities; (2) a flag indicating whether OTC Equity Securities certain unpriced Industry Members to report to the CAT a quote in OTC Equity Securities is bids and offers for each OTC Equity information regarding the department or solicited or unsolicited; and (3) Security traded on the ATS. Therefore, terminal where the order is received or unpriced bids and offers in OTC Equity the Exchange proposes to add paragraph originated. To address this OATS–CAT Securities. The Participants believe that (f)(3) to General 7, Section 3, which data gap, the Exchange proposes to add such data will continue to be important would require each Industry Member paragraph (a)(1)(A)(ix) to General 7, for regulators to oversee the OTC Equity that operates an ATS that trades OTC Section 3, which would require Industry Securities market when using the CAT. Equity Securities to provide to the Members to record and report to the Moreover, the Participants do not Central Repository ‘‘the unpriced bids Central Repository upon the original believe that the proposed requirement and offers for each OTC Equity Security receipt or origination of an order ‘‘the traded on such ATS.’’ nature of the department or desk that would burden ATSs because they currently report this information to originated the order, or received the iii. Revised Industry Member Reporting FINRA and thus the reporting order from a Customer.’’ Timeline Similarly, per FINRA Rules requirement would merely shift from 7440(c)(2)(B) and (4)(B), when an OATS FINRA to the CAT. Accordingly, as On February 19, 2020, the Reporting Member receives an order discussed below, the Exchange proposes Participants filed with the Commission that has been transmitted by another to amend its Compliance Rule to a request for exemptive relief from Member, the receiving OATS Reporting include these data elements. certain provisions of the CAT NMS Plan Member is required to record the A. Bids and Offers for OTC Equity to allow for the implementation of information required in 7440(b)(4) and Securities phased reporting to the CAT by Industry (5) described above as applicable. The Members (‘‘Phased Reporting’’).10 Compliance Rule does not require In performing its current regulatory Specifically, in their exemptive request, Industry Members to report to the CAT oversight, FINRA receives a data feed of the Participants requested that the SEC information regarding the department the best bids and offers in OTC Equity exempt each Participant from the that received an order. To address this Securities from ATSs that trade OTC requirement in Section 6.7(a)(v) of the OATS–CAT data gap, the Exchange Equity Securities. These best bid and CAT NMS Plan for each Participant, propose to add paragraph (a)(1)(C)(viii) offer data feeds for OTC Equity through its Compliance Rule, to require to General 7, Section 3, which would Securities are similar to the best bid and its Industry Members other than Small require Industry Members to record and offer SIP Data required to be collected Industry Members (‘‘Large Industry report to the Central Repository upon by the Central Repository with regard to Members’’) to report to the Central 9 the receipt of an order that has been NMS Securities. Accordingly, the Repository Industry Member Data routed ‘‘the nature of the department or Exchange proposes to add paragraph within two years of the Effective Date desk that received the order.’’ (f)(1) to General 7, Section 3 to require (that is, by November 15, 2018). In the reporting of the best bid and offer addition, the Participants requested that E. Account Holder Type data feeds for OTC Equity Securities to the SEC exempt each Participant from FINRA Rule 7440(b)(18) requires an the CAT. Specifically, proposed the requirement in Section 6.7(a)(vi) of OATS Reporting Member that receives paragraph (f)(1) of General 7, Section 3 the CAT NMS Plan for each Participant, or originates an order to record the would require each Industry Member through its Compliance Rule, to require following information: ‘‘the type of that operates an ATS that trades OTC account, i.e., retail, wholesale, Equity Securities to provide to the 10 See Letter to Vanessa Countryman, Secretary, employee, proprietary, or any other type Central Repository ‘‘the best bid and SEC, from Michael Simon, CAT NMS Plan of account designated by FINRA, for best offer for each OTC Equity Security Operating Committee Chair, re: Request for traded on such ATS.’’ Exemption from Provisions of the National Market which the order is submitted.’’ The System Plan Governing the Consolidated Audit Compliance Rule does not require Trail related to Industry Member Reporting Dates Industry Members to report to the CAT 9 Section 6.5(a)(ii) of the CAT NMS Plan. (Feb. 19, 2020).

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its Small Industry Members 11 to report (4) its Large Industry Members and A. Phase 2a to the Central Repository Industry Small Industry Members to commence In the first phase of Phased Reporting, Member Data within three years of the reporting to the Central Repository referred to as Phase 2a, Large Industry Effective Date (that is, by November 15, Phase 2d Industry Member Data by Members and Small Industry OATS 2019). Correspondingly, the Participants December 13, 2021; and Reporters would be required to report to requested that the SEC provide an (5) its Large Industry Members and the Central Repository ‘‘Phase 2a exemption from the requirement in Small Industry Members to commence Industry Member Data’’ by June 22, Section 6.4 of the CAT NMS Plan that reporting to the Central Repository 2020.13 To implement the Phased ‘‘[t]he requirements for Industry Phase 2e Industry Member Data by July Reporting for Phase 2a, the Exchange Members under this Section 6.4 shall 11, 2022. proposes to add paragraph (t)(1) of become effective on the second The full scope of CAT Data required General 7, Section 1 (previously anniversary of the Effective Date in the under the CAT NMS Plan will be paragraph (s)) and amend paragraphs case of Industry Members other than required to be reported when all five (c)(1) and (2) of General 7, Section 12. Small Industry Members, or the third phases of the Phased Reporting have (i) Scope of Reporting in Phase 2a anniversary of the Effective Date in the been implemented, subject to any case of Small Industry Members.’’ On applicable exemptive relief or To implement the Phased Reporting April 20, 2020, the SEC granted the amendments related to the CAT NMS with respect to Phase 2a, the Exchange Participants exemptive relief to Plan. proposes to add a definition of ‘‘Phase implement Phased Reporting, subject to As a further condition to the 2a Industry Member Data’’ as paragraph certain timeline changes and (t)(1) of General 7, Section 1. conditions.12 exemption, each Participant proposes to implement the testing timelines Specifically, the Exchange proposes to As a condition to the exemption, each described in Section F below through its define the term ‘‘Phase 2a Industry Participant would implement Phased Compliance Rule by requiring the Member Data’’ as ‘‘Industry Member Reporting through its Compliance Rule following: Data required to be reported to the by requiring: (1) Industry Member file submission Central Repository commencing in (1) Its Large Industry Members and its Phase 2a.’’ Phase 2a Industry Member Small Industry Members that are and data integrity testing for Phases 2a and 2b begins in December 2019. Data would include Industry Member required to record or report information Data solely related to Eligible Securities to OATS pursuant to applicable SRO (2) Industry Member testing of the that are equities. While the following rules (‘‘Small Industry OATS Reporter Portal, including data integrity summarizes categories of Industry Reporters’’) to commence reporting to error correction tools and data Member Data required for Phase 2a, the the Central Repository Phase 2a submissions, begins in February 2020. Industry Member Technical Industry Member Data by June 22, 2020, (3) The Industry Member test Specifications provide detailed and its Small Industry Non-OATS environment will be open with intra- guidance regarding the reporting for Reporters to commence reporting to the firm linkage validations to Industry Phase 2a.14 Central Repository Phase 2a Industry Members for both Phases 2a and 2b in Phase 2a Industry Member Data Member Data by December 13, 2021; April 2020. would include all events and scenarios (2) its Large Industry Members to (4) The Industry Member test covered by OATS. FINRA Rule 7440 commence reporting to the Central environment will be open to Industry describes the OATS requirements for Repository Phase 2b Industry Member Members with inter-firm linkage recording information, which includes Data by July 20, 2020, and its Small validations for both Phases 2a and 2b in information related to the receipt or Industry Members to commence July 2020. origination of orders, order transmittal, reporting to the Central Repository (5) The Industry Member test and order modifications, cancellations Phase 2b Industry Member Data by environment will be open to Industry and executions. Large Industry Members December 13, 2021; Members with Phase 2c functionality and Small Industry OATS Reporters (3) its Large Industry Members to (full representative order linkages) in would be required to submit data to the commence reporting to the Central January 2021. CAT for these same events and Repository Phase 2c Industry Member (6) The Industry Member test scenarios during Phase 2a. The Data by April 26, 2021, and its Small environment will be open to Industry inclusion of all OATS events and Industry Members to commence Members with Phase 2d functionality scenarios in the CAT is intended to reporting to the Central Repository (manual options orders, complex facilitate the retirement of OATS. Phase 2c Industry Member Data by options orders, and options allocations) Phase 2a Industry Member Data also December 13, 2021; in June 2021. would include Reportable Events for: • (7) Participant exchanges that support Proprietary orders, including 11 See Section 1.1 of the CAT NMS Plan. options market making quoting will market maker orders, for Eligible 12 See Securities Exchange Act Release No. 88702 Securities that are equities; (April 20, 2020), 85 FR 23075 (April 24, 2020). As begin accepting Quote Sent Time on discussed in the SEC’s exemptive order, the quotes from Industry Members no later Commission granted the Participants conditional than April 2020. 13 Small Industry Members that are not required exemptive relief from the CAT NMS Plan so that the to record and report information to FINRA’s OATS Compliance Rules may require Phase 2a reporting (8) The Industry Member test pursuant to applicable SRO rules (‘‘Small Industry to commence on June 22, 2020, rather than the environment (customer and account Non-OATS Reporters’’) would be required to report April 20, 2020 date set forth in the exemptive information) will be open to Industry to the Central Repository ‘‘Phase 2a Industry request, and Phase 2b reporting to commence on Member Data’’ by December 13, 2021, which is July 20, 2020, rather than the May 18, 2020 date set Members in January 2022. approximately seventeen months after Large forth in the exemptive request. As a condition to the As a result, the Exchange proposes to Industry Members and Small Industry OATS exemptive relief, Industry Members who elect to amend its Compliance Rule to be Reporters begin reporting. report to the CAT prior to such dates will be 14 The items required to be reported commencing permitted to report to the CAT as early as April 20, consistent with the exemptive relief to in Phase 2a do not include the items required to be 2020 for Phase 2a reporting and as early as May 18, implement Phased Reporting as reported in Phase 2c or Phase 2d, as discussed 2020 for Phase 2b reporting. described below. below.

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• electronic quotes in listed equity General 7, Section 6. General 7, Section November 15, 2018 date and to Eligible Securities (i.e., NMS stocks) 6(b)(i) states that supplement paragraph (c)(1) of General sent to a national securities exchange or Each Industry Member may record and 7, Section 12 with new paragraph FINRA’s Alternative Display Facility report: Manual Order Events to the Central (c)(1)(A) of General 7, Section 12, which (‘‘ADF’’); Repository in increments up to and including would state, in relevant part, that ‘‘Each • electronic quotes in unlisted one second, provided that each Industry Industry Member (other than a Small Eligible Securities (i.e., OTC Equity Members shall record and report the time Industry Member) shall record and Securities) received by an Industry when a Manual Order Event has been report the Industry Member Data to the Member operating an interdealer captured electronically in an order handling Central Repository, as follows: (A) Phase and execution system of such Industry quotation system (‘‘IDQS’’); and 2a Industry Member Data by June 22, • electronic quotes in unlisted Member (‘‘Electronic Capture Time’’) in milliseconds. 2020.’’ Eligible Securities sent to an IDQS or Pursuant to paragraph (c)(2) of other quotation system not operated by Accordingly, for Phase 2a, Industry General 7, Section 12, Small Industry a Participant or Industry Member. Members would be required to provide Members are required to begin reporting Phase 2a Industry Member Data both the manual and Electronic Capture 15 to the CAT by November 15, 2019. To would include Firm Designated IDs. Time for Manual Order Events. implement the Phased Reporting for Industry Members would be required During Phase 2a, Industry Members Phase 2a for Small Industry Members, to report special handling instructions would be required to report Firm the Exchange proposes to delete the for the original receipt or origination of Designated IDs to the CAT, as required November 15, 2019 date and to an order during Phase 2a. In addition, by paragraphs (a)(1)(A)(i), and (a)(2)(C) supplement paragraph (c)(2) of General of General 7, Section 3. Paragraph during Phase 2a, Industry Members will be required to report, when routing an 7, Section 12 with new paragraphs (a)(1)(A)(i) of General 7, Section 3 (c)(2)(A) and (B) of General 7, Section requires Industry Members to submit order, whether the order was routed as an intermarket sweep order (‘‘ISO’’). 12. Proposed paragraph (c)(2)(A) of the Firm Designated ID for the original General 7, Section 12 would state that receipt or origination of an order. Industry Members would be required to Paragraph (a)(2)(C) of General 7, Section report special handling instructions on Each Industry Member that is a Small 3 requires Industry Members to record routes other than ISOs in Phase 2c, Industry Member shall record and report the rather than Phase 2a. Industry Member Data to the Central and report to the Central Repository, for Repository, as follows: (A) Small Industry original receipt and origination of an In Phase 2a, Industry Members would not be required to report modifications Members that are required to record or report order, the Firm Designated ID if the information to FINRA’s Order Audit Trail order is executed, in whole or in part. of a previously routed order in certain System pursuant to applicable SRO rules In Phase 2a, Industry Members would limited instances. Specifically, if a (‘‘Small Industry OATS Reporter’’) to report be required to report all street side trader or trading software modifies a to the Central Repository Phase 2a Industry representative orders, including both previously routed order, the routing Member Data by June 22, 2020. agency and proprietary orders and mark firm is not required to report the Proposed paragraph (c)(2)(B) of such orders as representative orders, modification of an order route if the General 7, Section 12 would state that except in certain limited exceptions as destination to which the order was ‘‘Small Industry Members that are not described in the Industry Member routed is a CAT Reporter that is required to record or report information Technical Specifications. A required to report the corresponding to FINRA’s Order Audit Trail System order activity. If, however, the order was representative order is an order pursuant to applicable SRO rules modified by a Customer or other non- originated in a firm owned or controlled (‘‘Small Industry Non-OATS Reporter’’) CAT Reporter, and subsequently the account, including principal, agency to report to the Central Repository Phase routing Industry Members sends a average price and omnibus accounts, by 2a Industry Member Data by December modification to the destination to which an Industry Member for the purpose of 13, 2021.’’ working one or more customer or client the order was originally routed, then the orders. routing Industry Member must report B. Phase 2b 16 In Phase 2a, Industry Members would the modification of the order route. In In the second phase of the Phased be required to report the link between addition, in Phase 2a, Industry Members Reporting, referred to as Phase 2b, Large the street side representative order and would not be required to report a Industry Members would be required to the order being represented when: (1) cancellation of an order received from a report to the Central Repository ‘‘Phase The representative order was originated Customer after the order has been 2b Industry Member Data’’ by July 20, specifically to represent a single order executed. 2020. Small Industry Members would be received either from a customer or (ii) Timing of Phase 2a Reporting required to report to the Central another broker-dealer; and (2) there is Pursuant to paragraph (c)(1) of Repository ‘‘Phase 2b Industry Member (a) an existing direct electronic link in General 7, Section 12, Large Industry Data’’ by December 13, 2021, which is the Industry Member’s system between Members are required to begin reporting approximately seventeen months after the order being represented and the to the CAT by November 15, 2018. To Large Industry Members begin reporting representative order and (b) any implement the Phased Reporting for such data to the Central Repository. To resulting executions are immediately Phase 2a for Large Industry Members, implement the Phased Reporting for and automatically applied to the the Exchange proposes to delete the Phase 2b, the Exchange proposes to add represented order in the Industry paragraph (t)(2) to General 7, Section 1 Member’s system. 15 Industry Members would be required to and amend paragraphs (c)(1) and (2) of Phase 2a Industry Member Data also provide an Electronic Capture Time following the General 7, Section 12. would include the manual and manual capture time only for new orders that are Electronic Capture Time for Manual Manual Order Events and, in certain instances, (i) Scope of Phase 2b Reporting Order Events. Specifically, for each routes that are Manual Order Events. The Electronic To implement the Phased Reporting Capture Time would not be required for other Reportable Event in General 7, Section Manual Order Events. with respect to Phase 2b, the Exchange 3, Industry Members would be required 16 This approach is comparable to the approach proposes to add a definition of ‘‘Phase to provide a timestamp pursuant to set forth in OATS Compliance FAQ 35. 2b Industry Member Data’’ as paragraph

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(t)(2) to General 7, Section 1. (ii) Timing of Phase 2b Reporting Data required to be reported to the Specifically, the Exchange proposes to Pursuant to paragraph (c)(1) of Central Repository commencing in define the term ‘‘Phase 2b Industry General 7, Section 12, Large Industry Phase 2c.’’ Phase 2c Industry Member Member Data’’ as ‘‘Industry Member Members are required to begin reporting Data’’ would be Industry Member Data Data required to be reported to the to the CAT by November 15, 2018. To related to Eligible Securities that are equities other than Phase 2a Industry Central Repository commencing in implement the Phased Reporting for Member Data, Phase 2d Industry Phase 2b.’’ Phase 2b Industry Member Phase 2b for Large Industry Members, Member Data or Phase 2e Industry Data is described in detail in the the Exchange proposes to delete the Member Data. Phase 2c Industry Industry Member Technical November 15, 2018 date and to Member Data is described in detail in Specifications for Phase 2b. While the supplement paragraph (c)(1) of General the Industry Member Technical following summarizes the categories of 7, Section 12 with new paragraph Specifications for Phase 2c. While the Industry Member Data required for (c)(1)(B) of General 7, Section 12, which following summarizes the categories of Phase 2b, the Industry Member would state, in relevant part, that ‘‘Each Industry Member Data required for Technical Specifications provide Industry Member (other than a Small Phase 2c, the Industry Member detailed guidance regarding the Industry Member) shall record and reporting for Phase 2b. Technical Specifications provide report the Industry Member Data to the detailed guidance regarding the Phase 2b Industry Member Data Central Repository, as follows: . . . (B) would include Industry Member Data reporting for Phase 2c. Phase 2b Industry Member Data by July Phase 2c Industry Member Data related to Eligible Securities that are 20, 2020.’’ would include Industry Member Data options and related to simple electronic Pursuant to paragraph (c)(2) of that is related to Eligible Securities that option orders, excluding electronic General 7, Section 12, Small Industry are equities and that is related to: (1) paired option orders.17 A simple Members are required to begin reporting Allocation Reports as required to be electronic option order is an order to to the CAT by November 15, 2019. To recorded and reported to the Central buy or sell a single option that is not implement the Phased Reporting for Repository pursuant to Section related to or dependent on any other Phase 2b for Small Industry Members, 6.4(d)(ii)(A)(1) of the CAT NMS Plan; (2) transaction for pricing and timing of the Exchange proposes to delete the quotes in unlisted Eligible Securities execution that is either received or November 15, 2019 date and to sent to an IDQS operated by a CAT routed electronically by an Industry supplement paragraph (c)(2) of General Reporter (reportable by the Industry Member. Electronic receipt of an order 7, Section 12 with new paragraph Member sending the quotes) (except for is defined as the initial receipt of an (c)(2)(C) of General 7, Section 12, which quotes reportable in Phase 2d, as order by an Industry Member in would state, in relevant part, that ‘‘Each discussed below); (3) electronic quotes electronic form in standard format Industry Member that is a Small in listed equity Eligible Securities (i.e., directly into an order handling or Industry Member shall record and NMS stocks) that are not sent to a execution system. Electronic routing of report the Industry Member Data to the national securities exchange or FINRA’s an order is the routing of an order via Central Repository, as follows: . . . (C) Alternative Display Facility; (4) electronic medium in standard format Small Industry Members to report to the reporting changes to client instructions from one Industry Member’s order Central Repository Phase 2b Industry regarding modifications to algorithms; handling or execution system to an Member Data . . . by December 13, (5) marking as a representative order exchange or another Industry Member. 2021.’’ any order originated to work a customer An electronic paired option order is an C. Phase 2c order in price guarantee scenarios, such electronic option order that contains as a guaranteed VWAP; (6) flagging both the buy and sell side that is routed In the third phase of the Phased rejected external routes to indicate a to another Industry Member or exchange Reporting, referred to as Phase 2c, Large route was not accepted by the receiving for crossing and/or price improvement Industry Members would be required to destination; (7) linkage of duplicate as a single transaction on an exchange. report to the Central Repository ‘‘Phase electronic messages related to a Manual Responses to auctions of simple orders 2c Industry Member Data’’ by April 26, Order Event between the electronic and paired simple orders are also 2021. Small Industry Members would be event and the original manual route; (8) reportable in Phase 2b. required to report to the Central special handling instructions on order Furthermore, combined orders in Repository ‘‘Phase 2c Industry Member route reports (other than the ISO, which options would be treated in Phase 2b in Data’’ by December 13, 2021, which is is required to be reported in Phase 2a); the same way as equity representative approximately seven months after Large (9) quote identifier on trade events; (10) orders are treated in Phase 2a. A Industry Members begin reporting such reporting of large trader identifiers 18 combined order would mean, as data to the Central Repository. To (‘‘LTID’’) (if applicable) for accounts permitted by Exchange rules, a single, implement the Phased Reporting for with Reportable Events that are simple order in Listed Options created Phase 2c, the Exchange proposes to add reportable to CAT as of and including by combining individual, simple orders paragraph (t)(3) to General 7, Section 1 Phase 2c; (11) reporting of date account in Listed Options from a customer with and amend paragraphs (c)(1) and (2) of opened or Account Effective Date 19 (as the same exchange origin code before General 7, Section 12. 18 routing to an exchange. During Phase (i) Scope of Phase 2c Reporting See definition of ‘‘Customer Account 2b, the single combined order sent to an Information’’ in Section 1.1 of the CAT NMS Plan. To implement the Phased Reporting See also Rule 13h–1 under the Exchange Act. exchange must be reported and marked 19 See definition of ‘‘Customer Account as a combined order, but the linkage to with respect to Phase 2c, the Exchange Information’’ and ‘‘Account Effective Date’’ in the underlying orders is not required to proposes to add a definition of ‘‘Phase Section 1.1 of the CAT NMS Plan. Note that the be reported until Phase 2d. 2c Industry Member Data’’ as paragraph Exchange also proposes to amend the dates in the (t)(3) to General 7, Section 1. definitions of ‘‘Account Effective Date’’ and ‘‘Customer Account Information’’ to reflect the 17 The items required to be reported in Phase 2b Specifically, the Exchange proposes to Phased Reporting. Specifically, the Exchange do not include the items required to be reported in define the term ‘‘Phase 2c Industry proposes to amend paragraph (m)(2) of General 7, Phase 2d, as discussed below in Section A.4. Member Data’’ as ‘‘Industry Member Section 1 to replace the references to November 15,

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applicable) for accounts and flag market participants and is immediately Central Repository commencing in indicating the Firm Designated ID type actionable for execution or routing) Phase 2d.’’ 21 as account or relationship; (12) order would be reportable in Phase 2c. ‘‘Phase 2d Industry Member Data’’ is effective time for orders that are Industry Member Data that is related to (ii) Timing of Phase 2c Reporting received by an Industry Member and do Eligible Securities that are options other not become effective until a later time; Pursuant to paragraph (c)(1) of than Phase 2b Industry Member Data, (13) the modification or cancellation of General 7, Section 12, Large Industry Industry Member Data that is related to an internal route of an order; and (14) Members are required to begin reporting Eligible Securities that are equities other linkages to the customer order(s) being to the CAT by November 15, 2018. To than Phase 2a Industry Member Data or represented for all representative order implement the Phased Reporting for Phase 2c Industry Member Data, and scenarios, including agency average Phase 2c for Large Industry Members, Industry Member Data other than Phase price trades, net trades, aggregated the Exchange proposes to delete the 2e Industry Member Data. Phase 2d orders, and disconnected Order November 15, 2018 date and to Industry Member Data is described in Management System (‘‘OMS’’)— supplement paragraph (c)(1) of General detail in the Industry Member Technical Execution Management System (‘‘EMS’’) 7, Section 12 with new paragraph Specifications for Phase 2d. While the scenarios, as required in the Industry (c)(1)(C) of General 7, Section 12, which following summarizes the categories of Member Technical Specifications.20 would state, in relevant part, that ‘‘Each Industry Member Data required for Phase 2c Industry Member Data also Industry Member (other than a Small Phase 2d, the Industry Member includes electronic quotes that are Industry Member) shall record and Technical Specifications provide provided by or received in a CAT report the Industry Member Data to the detailed guidance regarding the Reporter’s order/quote handling or Central Repository, as follows: . . . (C) reporting for Phase 2d. execution systems in Eligible Securities Phase 2c Industry Member Data by April Phase 2d Industry Member Data that are equities and are provided by an 26, 2021.’’ includes with respect to the Eligible Industry Member to other market Pursuant to paragraph (c)(2) of Securities that are options: (1) Simple participants off a national securities General 7, Section 12, Small Industry manual orders; (2) electronic and exchange under the following Members are required to begin reporting manual paired orders; (3) all complex orders with linkages to all CAT- conditions: (1) An equity bid or offer is to the CAT by November 15, 2019. To reportable legs; (4) LTIDs (if applicable) displayed publicly or has been implement the Phased Reporting for for accounts with Reportable Events for communicated (a) for listed securities to Phase 2c for Small Industry Members, Phase 2d; (5) date account opened or the Alternative Display Facility (ADF) the Exchange proposes to delete the Account Effective Date (as applicable) operated by FINRA; or (b) for unlisted November 15, 2019 date and to for accounts with an LTID and flag equity securities to an ‘‘inter-dealer supplement paragraph (c)(2) of General indicating the Firm Designated ID type quotation system’’ as defined in FINRA 7, Section 12 with new paragraph as account or relationship for such Rule 6420(c); or (2) an equity bid or (c)(2)(C) of General 7, Section 12, which accounts; 22 (6) Allocation Reports as offer which is accessible electronically would state, in relevant part, that ‘‘Each by customers or other market required to be recorded and reported to Industry Member that is a Small the Central Repository pursuant to participants and is immediately Industry Member shall record and actionable for execution or routing; i.e., Section 6.4(d)(ii)(A)(1) of the CAT NMS report the Industry Member Data to the Plan; (7) the modification or no further manual or electronic action is Central Repository, as follows: . . . (C) required by the responder providing the cancellation of an internal route of an Small Industry Members to report to the order; and (8) linkage between a quote in order to execute or cause a Central Repository . . . Phase 2c trade to be executed). With respect to combined order and the original Industry Member Data . . . by customer orders. OTC Equity Securities, OTC Equity December 13, 2021.’’ Securities quotes sent by an Industry Phase 2d Industry Member Data also Member to an IDQS operated by an D. Phase 2d would include electronic quotes that are provided by or received in a CAT Industry Member CAT Reporter (other In the fourth phase of the Phased than such an IDQS that does not match Reporter’s order/quote handling or Reporting, referred to as Phase 2d, Large execution systems in Eligible Securities and execute orders) are reportable by Industry Members and Small Industry the Industry Member sending them in that are options and are provided by an Members would be required to report to Industry Member to other market Phase 2c. Accordingly, any response to the Central Repository ‘‘Phase 2d a request for quote or other form of Industry Member Data’’ by December 21 The Participants have determined that solicitation response provided in 13, 2021. To implement the Phased reporting information regarding the modification or standard electronic format (e.g., FIX) Reporting for Phase 2d, the Exchange cancellation of a route is necessary to create the full that meets this quote definition (i.e., an proposes to add paragraph (t)(4) to lifecycle of an order. Accordingly, the Participants equity bid or offer which is accessible require the reporting of information related to the General 7, Section 1 and amend modification or cancellation of a route similar to the electronically by customers or other paragraphs (c)(1) and (2) of General 7, data required for the routing of an order and Section 12. modification and cancellation of an order pursuant 2018 and 2019 with references to the to Sections 6.3(d)(ii) and (iv) of the CAT NMS Plan. commencement of Phase 2c and Phase 2d. The (i) Scope of Phase 2d Reporting 22 As noted above, the Exchange also proposes to Exchange also proposes to amend paragraphs amend the dates in the definitions of ‘‘Account (a)(1)(A), (a)(1)(B) and (a)(2)–(5) of General 7, To implement the Phased Reporting Effective Date’’ and ‘‘Customer Account Section 1 regarding the definition of ‘‘Account with respect to Phase 2d, the Exchange Information’’ to reflect the Phased Reporting. Effective Date’’ with similar changes to the dates set proposes to add a definition of ‘‘Phase Specifically, the Exchange proposes to amend forth therein. paragraph (m)(2) of General 7, Section 1 to replace 20 In Phase 2c, for any scenarios that involve 2d Industry Member Data’’ as paragraph the references to November 15, 2018 and 2019 with orders originated in different systems that are not (t)(4) to General 7, Section 1. references to the commencement of Phase 2c and directly linked, such as a customer order originated Specifically, the Exchange proposes to Phase 2d. The Exchange also proposes to amend in an OMS and represented by a principal order define the term ‘‘Phase 2d Industry paragraphs (a)(1)(A), (a)(1)(B) and (a)(2)–(5) of originated in an EMS that is not linked to the OMS, Member Data’’ as ‘‘Industry Member General 7, Section 1 regarding the definition of marking and linkages must be reported as required ‘‘Account Effective Date’’ with similar changes to in the Industry Member Technical Specifications. Data required to be reported to the the dates set forth therein.

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participants off a national securities 7, Section 12 with new paragraph provide detailed guidance regarding the exchange under the following (c)(2)(C) of General 7, Section 12, which reporting for Phase 2e. conditions: A listed option bid or offer would state, in relevant part, that ‘‘Each (ii) Timing of Phase 2e Reporting which is accessible electronically by Industry Member that is a Small customers or other market participants Industry Member shall record and Pursuant to paragraph (c)(1) of and is immediately actionable (i.e., no report the Industry Member Data to the General 7, Section 12, Large Industry further action is required by the Central Repository, as follows: . . . (C) Members are required to begin reporting responder providing the quote in order Small Industry Members to report to the to the CAT by November 15, 2018. To to execute or cause a trade to be Central Repository . . . Phase 2d implement the Phased Reporting for executed). Accordingly, any response to Industry Member Data by December 13, Phase 2e for Large Industry Members, a request for quote or other form of 2021.’’ the Exchange proposes to delete the solicitation response provided in November 15, 2018 date and to E. Phase 2e standard electronic format (e.g., FIX) supplement paragraph (c)(1) of General that meets this definition would be In the fifth phase of Phased Reporting, 7, Section 12 with new paragraph reportable in Phase 2d for options. referred to as Phase 2e, both Large (c)(1)(E) of General 7, Section 12, which Phase 2d Industry Member Data also Industry Members and Small Industry would state, in relevant part, that would include with respect to Eligible Members would be required to report to ‘‘[e]ach Industry Member (other than a Securities that are options or equities (1) the Central Repository ‘‘Phase 2e Small Industry Member) shall record receipt time of cancellation and Industry Member Data’’ by July 11, and report the Industry Member Data to modification instructions through Order 2022. To implement the Phased the Central Repository, as follows: . . . Cancel Request and Order Modification Reporting for Phase 2e, the Exchange (E) Phase 2e Industry Member Data by Request events; (2) modifications of proposes to add paragraph (t)(5) to July 11, 2022.’’ previously routed orders in certain General 7, Section 1 and amend Pursuant to paragraph (c)(2) of instances; and (3) OTC Equity Securities paragraphs (c)(1) and (2) of General 7, General 7, Section 12, Small Industry quotes sent by an Industry Member to Section 12. Members are required to begin reporting an IDQS operated by an Industry (i) Scope of Phase 2e Reporting to the CAT by November 15, 2019. To Member CAT Reporter that does not implement the Phased Reporting for match and execute orders. In addition, To implement the Phased Reporting Phase 2e for Small Industry Members, with respect to Phase 2e, the Exchange subject to any exemptive or other relief, the Exchange proposes to delete the proposes to add a definition of ‘‘Phase Phase 2d Industry Member Data will November 15, 2019 date and to 2e Industry Member Data’’ as paragraph include verbal or manual quotes on an supplement paragraph (c)(2) of General (t)(5) of General 7, Section 1. exchange floor or in the over-the- 7, Section 12 with new paragraph Specifically, the Exchange proposes to counter market, where verbal quotes (c)(2)(D) of General 7, Section 12, which define the term ‘‘Phase 2e Industry and manual quotes are defined as bids would state, in relevant part, that Member Data’’ as ‘‘Industry Member or offers in Eligible Securities provided ‘‘[e]ach Industry Member that is a Small Data required to be reported to the verbally or that are provided or received Industry Member shall record and Central Repository commencing in other than via a CAT Reporter’s order report the Industry Member Data to the handling and execution system (e.g., Phase 2e. The full scope of Industry Member Data required by the CAT NMS Central Repository, as follows: . . . (E) quotations provided via email or instant Small Industry Members to report to the messaging). Plan will be required to be reported to the CAT when Phase 2e has been Central Repository Phase 2e Industry (ii) Timing of Phase 2d Reporting implemented, subject to any applicable Member Data by July 11, 2022.’’ Pursuant to paragraph (c)(1) of exemptive relief or amendments to the F. Industry Member Testing General 7, Section 12, Large Industry CAT NMS Plan.’’ LTIDs and Account Requirements Effective Date are both required to be Members are required to begin reporting General 7, Section 9(a) sets forth reported in Phases 2c and 2d in certain to the CAT by November 15, 2018. To various compliance dates for the testing circumstances, as discussed above. The implement the Phased Reporting for and development for connectivity, terms ‘‘Customer Account Information’’ Phase 2d for Large Industry Members, acceptance and the submission order and ‘‘Customer Identifying Information’’ the Exchange proposes to delete the data. In light of the intent to shift to are defined in General 7, Section 1 of November 15, 2018 date and to Phased Reporting in place of the two the Compliance Rule.23 The Industry supplement paragraph (c)(1) of General specified dates for the commencement Member Technical Specifications 7, Section 12 with new paragraph of reporting for Large and Small (c)(1)(D) of General 7, Section 12, which 23 The term ‘‘Customer Account Information’’ Industry Members, the Exchange would state, in relevant part, that correspondingly proposes to replace the ‘‘[e]ach Industry Member (other than a includes account numbers, and the term ‘‘Customer Identifying Information’’ includes, with respect to Industry Member development testing Small Industry Member) shall record individuals, dates of birth and SSNs. See General milestones in General 7, Section 9(a) and report the Industry Member Data to 7, Section 1. The Participants have received exemptive relief from the requirements for the with the testing milestones set forth in the Central Repository, as follows: . . . the exemptive relief. Specifically, the (D) Phase 2d Industry Member Data by Participants to require their members to provide dates of birth, account numbers and social security Exchange proposes to replace General 7, December 13, 2021.’’ numbers for individuals to the CAT. See Securities Section 9(a) with the following: Pursuant to paragraph (c)(2) of Exchange Act Release No. 88393 (March 17, 2020), General 7, Section 12, Small Industry 85 FR 16152 (March 20, 2020). See also Letter to (1) Industry Member file submission and Vanessa Countryman, Secretary, SEC, from Michael data integrity testing for Phases 2a and 2b Members are required to begin reporting Simon, CAT NMS Plan Operating Committee Chair, to the CAT by November 15, 2019. To shall begin in December 2019. re: Request for Exemptive Relief from Certain (2) Industry Member testing of the Reporter implement the Phased Reporting for Provisions of the CAT NMS Plan related to Social Portal, including data integrity error Phase 2d for Small Industry Members, Security Numbers, Dates of Birth and Account Numbers (Jan. 29, 2020). Given the relief has been correction tools and data submissions, shall the Exchange proposes to delete the granted, Phase 2e Industry Member Data will not begin in February 2020. November 15, 2019 date and to include account numbers, dates of birth and SSNs (3) The Industry Member test environment supplement paragraph (c)(2) of General for individuals. shall open with intra-firm linkage validations

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to Industry Members for both Phases 2a and increments finer than milliseconds, such transactions on a fully disclosed basis to 2b in April 2020. Industry Member shall record and report clearing firms that are not small (4) The Industry Member test environment Industry Member Data to the Central businesses or small organizations.’’ The shall open to Industry Members with inter- Repository with time stamps in such finer Exchange also proposes to add a new firm linkage validations for both Phases 2a increment. and 2b in July 2020. paragraph (3) to General 7, Section 12(c) The Exchange proposes to amend this to state that ‘‘Introducing Industry (5) The Industry Member test environment provision to read as follows to reflect shall open to Industry Members with Phase Members must comply with the 2c functionality (full representative order the exemptive relief: requirements of the CAT NMS Plan linkages) in January 2021. Subject to paragraph (b), to the extent that applicable to Small Industry Members.’’ (6) The Industry Member test environment any Industry Member’s order handling or With these changes, Introducing shall open to Industry Members with Phase execution systems utilize time stamps in Industry Members would be required to 2d functionality (manual options orders, increments finer than milliseconds, such comply with the requirements in the complex options orders, and options Industry Member shall record and report CAT NMS Plan applicable to Small allocations) in June 2021. Industry Member Data to the Central (7) Participant exchanges that support Repository with time stamps in such finer Industry Members, rather than the options market making quoting shall begin increment up to nanoseconds; provided, that requirements in the CAT NMS Plan accepting Quote Sent Time on quotes from Industry Members that capture timestamps in applicable to Large Industry Members. Industry Members no later than April 2020. increments more granular than nanoseconds vi. CCID/PII (8) The Industry Member test environment must truncate the timestamps after the (customer and account information) will be nanosecond level for submission to CAT, On January 29, 2020, the Participants open to Industry Members in January 2022. rather than rounding such timestamps up or filed with the Commission a request for down, until April 8, 2025. exemptive relief from certain iv. Granularity of Timestamps requirements related to reporting SSNs, On February 3, 2020, the Participants v. Introducing Industry Members dates of birth and account numbers to filed with the Commission a request for On February 3, 2020, the Participants the CAT.28 The Commission, exemptive relief from the requirement requested that the Commission exempt Participants and others indicated in Section 6.8(b) of the CAT NMS Plan broker-dealers that do not qualify as security concerns with maintaining for each Participant, through its Small Industry Members solely because such sensitive Customer information in Compliance Rule, to require that, to the they satisfy Rule 0–10(i)(2) under the the CAT. On March 17, 2020, the extent that its Industry Members utilize Exchange Act and, as a result, are Participants received the exemptive timestamps in increments finer than deemed affiliated with an entity that is relief, subject to certain conditions.29 nanoseconds in their order handling or not a small business or small Assuming the Participants comply with execution systems, such Industry organization (‘‘Introducing Industry the conditions set forth in the PII Members utilize such finer increment Member’’) from the requirements in the Exemption Order, Industry Members when reporting CAT Data to the Central CAT NMS Plan applicable to Industry would not be required to report SSNs, Repository.24 On April 8, 2020, the Members other than Small Industry dates of birth and account numbers to Participants received the exemptive Members (‘‘Large Industry Members’’).26 the CAT NMS Plan. relief.25 As a condition to this Instead, such Introducing Industry As described in the request for exemption, the Participants, through Members would comply with the exemptive relief, the Participants their Compliance Rules, will require requirements in the CAT NMS Plan requested exemptive relief to allow for Industry Members that capture applicable to Small Industry Members. an alternative approach to generating a timestamps in increments more granular On April 20, 2020, the SEC granted the CAT Customer ID (‘‘CCID’’) without than nanoseconds to truncate the Participants exemptive relief with requiring Industry Members to report timestamps, after the nanosecond level regard to Introducing Industry SSNs to the CAT (the ‘‘CCID for submission to CAT, not round up or Members.27 Alternative’’). In lieu of retaining such down in such circumstances. The As a result, the Exchange proposes to SSNs in the CAT, the Participants timestamp granularity exemption amend its Compliance Rule to adopt a would use the CCID Alternative, a remains in effect for five years, until definition of ‘‘Introducing Industry strategy developed by the Chief April 8, 2025. After five years, the Member’’ and to revise General 7, Information Security Officer for the CAT exemption would no longer be in effect Section 12 to require Introducing and the Chief Information Security unless the period the exemption is in Industry Members to comply with the Officers from each of the Participants, in effect is extended by the SEC. requirements of the CAT NMS Plan consultation with security experts from Accordingly, the Exchange proposes applicable to Small Industry Members. member firms of Securities Industry and to amend its Compliance Rule to reflect Specifically, the Exchange proposes to the exemptive relief. Specifically, the define ‘‘Introducing Industry Member’’ 28 See Letter to Vanessa Countryman, Secretary, Exchange proposes to amend paragraph in proposed paragraph (v) to General 7, SEC, from Michael Simon, CAT NMS Plan Operating Committee Chair, re: Request for (a)(2) of General 7, Section 6. General 7, Section 1, as ‘‘a broker-dealer that does Exemptive Relief from Certain Provisions of the Section 6(a)(2) states that not qualify as a Small Industry Member CAT NMS Plan related to Social Security Numbers, Subject to paragraph (b), to the extent that solely because such broker-dealer Dates of Birth and Account Numbers (Jan. 29, 2020). 29 any Industry Member’s order handling or satisfies Rule 0–10(i)(2) under the See Securities Exchange Act Release No. 88393 execution systems utilize time stamps in Exchange Act in that it introduces (March 17, 2020), 85 FR 16152 (March 20, 2020) (Order Granting Conditional Exemptive Relief, Pursuant to Section 36 and Rule 608(e) of the 24 See Letter to Vanessa Countryman, Secretary, 26 See Letter to Vanessa Countryman, Secretary, Securities Exchange Act of 1934, from Section SEC, from Michael Simon, CAT NMS Plan SEC, from Michael Simon, CAT NMS Plan 6.4(d)(ii)(C) and Appendix D Sections 4.1.6, 6.2, Operating Committee Chair, re: Request for Operating Committee Chair, re: Request for 8.1.1, 8.2, 9.1, 9.2, 9.4, 10.1, and 10.3 of the Exemption from Certain Provisions of the National Exemption from Certain Provisions of the National National Market System Plan Governing the Market System Plan Governing the Consolidated Market System Plan Governing the Consolidated Consolidated Audit Trail) (‘‘PII Exemption Order’’). Audit Trail related to Granularity of Timestamps Audit Trail related to Small Industry Members (Feb. The PII Exemption Order lists several conditions and Relationship Identifiers (Feb. 3, 2020). 3, 2020). that must be met by the Exchange. If the Exchange 25 See Securities Exchange Act Release No. 88608 27 See Securities Exchange Act Release No. 88703 does not satisfy the conditions, the PII Exemption (April 8, 2020), 85 FR 20743 (April 14, 2020). (April 20, 2020), 85 FR 23115 (April 24, 2020). Order would not apply to the Exchange.

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Financial Markets Association. The Members would be required to report Industry Member based on a Customer CCID Alternative facilitates the ability of the year of birth of an individual to the ITIN/SSN.’’ the Plan Processor to generate a CCID Central Repository, and to report the The Exchange proposes to revise without requiring the Plan Processor to Firm Designated ID to the Central General 7, Section 3(a)(2)(C) to include receive SSNs or store SSNs within the Repository. the Transformed Value for individual CAT. Under the CCID Alternative, the To implement the request for tax payer identification number Plan Processor would generate a unique exemptive relief and to eliminate the (‘‘ITIN’’)/social security number CCID using a two-phase transformation requirement to report SSNs, date of (‘‘SSN’’). Specifically, the Exchange process that avoids having SSNs birth and account numbers to the CAT, proposes to revise General 7, Section reported to or stored in the CAT. In the the Exchange proposes to amend its 3(a)(2)(C) to state: first transformation phase, a CAT Compliance Rule to reflect the [s]ubject to paragraph (3) below, each Reporter would transform the SSN to an exemptive relief. General 7, Section Industry Member shall record and report to interim value (the ‘‘transformed value’’). 3(a)(2)(C) states that the Central Repository the following, as applicable (‘‘Received Industry Member This transformed value, and not the [s]ubject to paragraph (3) below, each SSN, would be submitted to a separate Data’’ and collectively with the information Industry Member shall record and report to referred to in General 7, Section 3(a)(1) system within the CAT (‘‘CCID the Central Repository the following, as ‘‘Industry Member Data’’)) in the manner Subsystem’’). The CCID Subsystem applicable (‘‘Received Industry Member prescribed by the Operating Committee would then perform a second Data’’ and collectively with the information pursuant to the CAT NMS Plan: . . . (C) for transformation to create the globally referred to in General 7, Section 3(a)(1) original receipt or origination of an order, the unique CCID for each Customer that is ‘‘Industry Member Data’’)) in the manner Firm Designated ID for the relevant unknown to, and not shared with, the prescribed by the Operating Committee Customer, Transformed Value for individual pursuant to the CAT NMS Plan: . . . (C) for tax payer identification number (‘‘ITIN’’)/ original CAT Reporter. The CCID would original receipt or origination of an order, the then be sent to the customer and social security number (‘‘SSN’’), and in Firm Designated ID for the relevant accordance with General 7, Section 4, account information system of the CAT, Customer, and in accordance with General 7, Customer Account Information and Customer where it would be linked with the other Section 4, Customer Account Information Identifying Information for the relevant customer and account information. The and Customer Identifying Information for the Customer. relevant Customer. CCID may then be used by the The Exchange also proposes to Participants’ regulatory staff and the Similarly, General 7, Section 4 include the Transformed Value for SEC in queries and analysis of CAT requires the reporting of Customer individual tax payer identification Data. To implement the CCID Account Information and Customer number (‘‘ITIN’’)/social security number Alternative, the Participants requested Identifying Information to the Central (‘‘SSN’’) in the Customer information exemptive relief from the requirement Repository. Currently, General 7, reporting required under General 7, in Section 6.4(d)(ii)(C) of the CAT NMS Section 1(m) defines ‘‘Customer Section 4. Specifically, the Exchange Plan to require, through their Identifying Information’’ to include, proposes to revise General 7, Section Compliance Rules, Industry Members to with respect to individuals, ‘‘date of 4(a) to require each Industry Member to record and report SSNs to the Central birth’’ and ‘‘individual tax payer submit to the Central Repository the Repository for the original receipt of an identification number (‘‘ITIN’’)/social Transformed Value for individual tax order. As set forth in one condition of security number (‘‘SSN’’).’’ Accordingly, payer identification number (‘‘ITIN’’)/ the PII Exemption Order, Industry the Exchange proposes to replace ‘‘date social security number (‘‘SSN’’), for Members would be required to of birth’’ in the definition of ‘‘Customer each of its Customers with an Active transform an SSN to an interim value, Identifying Information’’ in General 7, Account prior to such Industry and report the transformed value to the Section 1(m) (now renumbered General Member’s commencement of reporting CAT. 7, Section 1(n)) with ‘‘year of birth’’ and to the Central Repository and in The Participants also requested to delete ‘‘individual tax payer accordance with the deadlines set forth exemptive relief to allow for an identification number (‘‘ITIN’’)/social in General 7, Section 9. The Exchange alternative approach which would security number (‘‘SSN’’)’’ from General also proposes to revise General 7, exempt the reporting of dates of birth 7, Section 1(m) (now renumbered Section 4(b) to require each Industry and account numbers 30 to the CAT General 7, Section 1(n)). In addition, Member to submit to the Central (‘‘Modified PII Approach’’), and instead currently, General 7, Section 1(l) defines Repository any updates, additions or would require Industry Members to ‘‘Customer Account Information’’ to other changes to the Transformed Value report the year of birth and the Firm include account numbers. The Exchange for individual tax payer identification Designated ID for each trading account proposes to delete ‘‘account number’’ number (‘‘ITIN’’)/social security number associated with the Customers. To from the definition of ‘‘Customer (‘‘SSN’’) for each of its Customers with implement the Modified PII Approach, Account Information’’ in General 7, an Active Account on a daily basis. In the Participants requested exemptive Section 1(l) (now renumbered General 7, addition, the Exchange proposes to relief from the requirement in Section Section 1(m)). revise General 7, Section 4(c) to require, 6.4(d)(ii)(C) of the CAT NMS Plan to The Exchange also proposes to add a on a periodic basis as designated by the require, through their Compliance definition of the term ‘‘Transformed Plan Processor and approved by the Rules, Industry Members to record and Value for individual tax payer Operating Committee, each Industry report to the Central Repository for the identification number (‘‘ITIN’’)/social Member to submit to the Central original receipt of an order dates of birth security number (‘‘SSN’’)’’ to General 7, Repository a complete set of the and account numbers for Customers. As Section 1. Specifically, the Exchange Transformed Value for individual tax conditions to the exemption, Industry proposes to add paragraph (pp) to payer identification number (‘‘ITIN’’)/ General 7, Section 1 to define social security number (‘‘SSN’’) for each 30 With respect to this aspect of the requested ‘‘Transformed Value for individual tax of its Customers with an Active relief, the PII Exemption Order provided relief with regard to the reporting of all account numbers, not payer identification number (‘‘ITIN’’)/ Account. The Exchange also proposes to just account numbers for individuals as requested social security number (‘‘SSN’’)’’ to revise General 7, Section 4(d) to require, by the Participants. mean ‘‘the interim value created by an for each Industry Member for which

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errors in the Transformed Value for (collectively, ‘‘FINRA Facility’’) with the corresponding trade report. For individual tax payer identification pursuant to applicable SRO rules example, the unique trade identifier for number (‘‘ITIN’’)/social security number (‘‘FINRA Facility Data’’). Included in the OTC Reporting Facility and the (‘‘SSN’’) for each of its Customers with this FINRA Facility Data is the clearing Alternative Display Facility would be an Active Account submitted to the number of the clearing broker for a the Compliance ID, for the FINRA/ Central Repository have been identified reported trade as well as the cancelled Nasdaq Trade Reporting Facility, it by the Plan Processor or otherwise, such trade indicator. Under this alternative would be the Branch Sequence Number, Industry Member to submit corrected approach, the clearing number and the and for the FINRA/NYSE Trade data to the Central Repository by 5:00 cancelled trade indicator of the FINRA Reporting Facility, it would the FINRA p.m. Eastern Time on T+3. Facility Data that is reported to the CAT Compliance Number. This unique trade Paragraph (1)(B) of General 7, Section would be linked to the related execution identifier would be used to link the 1(m), the definition of ‘‘Customer reports reported by Industry Members. FINRA Facility Data with the execution Account Information’’ states that ‘‘in To implement this approach in a phased report in the CAT. Specifically, the those circumstances in which an manner, the Participants received Exchange proposes to add new Industry Member has established a exemptive relief from the requirement paragraph (a)(2)(E) to General 7, Section trading relationship with an institution in Sections 6.4(d)(ii)(A)(2) and (B) of the 3, which states that: but has not established an account with CAT NMS Plan to require, through their (E) If an Industry Member is required to that institution, the Industry Member Compliance Rules, that Industry submit and submits a trade report for a trade, will’’ . . . ‘‘provide the relationship Members record and report to the and, if the trade is cancelled, a cancellation, identifier in lieu of the ‘‘account Central Repository: (1) If the order is to one of FINRA’s Trade Reporting Facilities, number.’’ As an account number will no executed, in whole or in part, the SRO- OTC Reporting Facility or Alternative longer be an element in ‘‘Customer Assigned Market Participant Identifier Display Facility pursuant to applicable SRO Account Information,’’ the relationship of the clearing broker, if applicable; and rules, and the Industry Member is required identifier used in lieu of the account (2) if the trade is cancelled, a cancelled to report the corresponding execution and/or number will no longer be required as an trade indicator, subject to certain cancellation to the Central Repository: (1) the Industry Member is required to element of Customer Account conditions. report to the Central Repository trade Information. Therefore, the Exchange As a condition to this exemption, the identifier reported by the Industry Member to proposes to delete the requirement set Participants would continue to require such FINRA facility for the trade when the forth in General 7, Section 1(m)(a)(B) Industry Members to submit a trade Industry Member reports the execution of an regarding relationship identifiers from report for a trade, and, if the trade is order pursuant to General 7, Section General 7, Section 1(m). cancelled, a cancellation, to a FINRA 3(a)(1)(E) or cancellation of an order pursuant With these changes, Industry Facility pursuant to applicable SRO to General 7, Section 3(a)(1)(D) beginning Members would not be required to rules, and to report the corresponding June 22, 2020 for Large Industry Members report to the Central Repository dates of execution to the Central Repository. In and Small Industry OATS Reporters and beginning December 13, 2021 for Small birth, SSNs or account numbers addition, Industry Members would be Industry Non-OATS Reporters, and such pursuant to General 7, Section required to report to the Central trade identifier must be unique beginning 3(a)(2)(C). However, Industry Members Repository the unique trade identifier October 26, 2020 for Large Industry Members would be required to report the reported to a FINRA Facility with the and Small Industry OATS Reporters and Transformed Value for individual tax corresponding trade report. beginning December 13, 2021 for Small payer identification number (‘‘ITIN’’)/ Furthermore, if an Industry Member Industry Non-OATS Reporters. social security number (‘‘SSN’’) and the does not submit a cancellation to a The Exchange also proposes to relieve year of birth to the Central Repository.31 FINRA Facility, or is unable to provide Industry Members of the obligation to a link between the execution reported to vii. FINRA Facility Data Linkage report to the CAT data related to the Central Repository and the related clearing brokers and trade cancellations On June 5, 2020, the Participants filed FINRA Facility trade report, then the pursuant to General 7, Section with the Commission a request for Industry Member would be required to 3(a)(2)(A)(ii) and (B), respectively, as exemptive relief from certain provisions record and report to the Central this data will be reported by FINRA to of the CAT NMS Plan to allow for an Repository a cancelled trade indicator the CAT, except in certain alternative approach to the reporting of and cancelled trade timestamp if the circumstances. Accordingly, the clearing numbers and cancelled trade trade is cancelled. Similarly, if an Exchange proposes new paragraphs 32 indicators. The SEC provided this Industry Member does not submit the (a)(2)(E)(2) and (3) to General 7, Section 33 exemptive relief on June 11, 2020. clearing number of the clearing broker 3, which would state: FINRA is required to report to the to a FINRA Facility for a trade, or is Central Repository data collected by unable to provide a link between the (2) if the order is executed in whole or in execution reported to the Central part, and the Industry Member submits the FINRA’s Trade Reporting Facilities, trade report to one of FINRA’s Trade FINRA’s OTC Reporting Facility or Repository and the related FINRA Reporting Facilities, OTC Reporting Facility FINRA’s Alternative Display Facility Facility trade report, then the Industry or Alternative Display Facility pursuant to Member would be required to record applicable SRO rules, the Industry Member is 31 The Exchange anticipates that the Compliance and report to the Central Repository the not required to submit the SRO-Assigned Rule may be further amended when further details clearing number as well as contra party Market Participant Identifier of the clearing regarding the CCID Alternative are finalized. information. broker pursuant to General 7, Section 32 See Letter to Vanessa Countryman, Secretary, As a result, the Exchange proposes to 3(a)(2)(A)(ii); provided, however, if the SEC, from Michael Simon, CAT NMS Plan amend its Compliance Rule to reflect Industry Member does not report the clearing Operating Committee Chair, re: Request for number of the clearing broker to such FINRA Exemption from Certain Provisions of the National the exemptive relief to implement this Market System Plan Governing the Consolidated facility for a trade, or does not report the alternative approach. Specifically, the unique trade identifier to the Central Audit Trail related to FINRA Facility Data Linkage Exchange proposes to require Industry (June 5, 2020). Repository as required by General 7, Section 33 See Securities Exchange Act Release No. 89051 Members to report to the CAT with an 3(a)(2)(E)(1), then the Industry Member (June 11, 2020) (Federal Register publication execution report the unique trade would be required to record and report to the pending). identifier reported to a FINRA facility Central Repository the clearing number of the

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clearing broker as well as information about objectives of the Plan, as identified by Commission may designate a shorter the contra party to the trade beginning April the SEC, and is therefore consistent with time if such action is consistent with the 26, 2021 for Large Industry Members and the Act. protection of investors and the public Small Industry OATS Reporters and interest. The Exchange has asked the beginning December 13, 2021 for Small B. Self-Regulatory Organization’s Commission to waive the 30-day Industry Non-OATS Reporters; and Statement on Burden on Competition (3) if the trade is cancelled and the operative delay so that the proposal may Industry Member submits the cancellation to The Exchange does not believe that become operative by June 22, 2020. The one of FINRA’s Trade Reporting Facilities, the proposed rule change will result in Commission believes that waiver of the OTC Reporting Facility or Alternative any burden on competition that is not 30-day operative delay is consistent Display Facility pursuant to applicable SRO necessary or appropriate in furtherance with the protection of investors and the rules, the Industry Member is not required to of the purposes of the Act. The public interest because it implements submit the cancelled trade indicator pursuant Exchange notes that the proposed rule exemptive relief from the CAT NMS to General 7, Section 3(a)(2)(B); provided, changes are consistent with certain however, if the Industry Member does not Plan granted by the Commission and report a cancellation for a canceled trade to exemptions from the CAT NMS Plan, facilitates the start of Industry Member such FINRA facility, or does not report the facilitate the retirement of certain reporting on June 22, 2020. In addition, unique trade identifier as required by existing regulatory systems, and are as noted by the Exchange, the proposed 6830(a)(2)(E)(1), then the Industry Member designed to assist the Exchange in rule change is based on a filing recently would be required to record and report to the meeting its regulatory obligations approved by the Commission.42 Central Repository a cancelled trade pursuant to the Plan. The Exchange also Accordingly, the Commission waives indicator as well as a cancelled trade notes that the amendments to the the 30-day operative delay and timestamp beginning June 22, 2020 for Large Compliance Rules will apply equally to Industry Members and Small Industry OATS designates the proposed rule change 43 Reporters and beginning December 13, 2021 all Industry Members that trade NMS operative as of June 22, 2020. for Small Industry Non-OATS Reporters. Securities and OTC Equity Securities. In At any time within 60 days of the addition, all national securities filing of the proposed rule change, the 2. Statutory Basis exchanges and FINRA are proposing Commission summarily may these amendments to their Compliance The Exchange believes that its temporarily suspend such rule change if Rules. Therefore, this is not a proposal is consistent with Section 6(b) it appears to the Commission that such competitive rule filing, and, therefore, it of the Act,34 in general, and furthers the action is necessary or appropriate in the objectives of Section 6(b)(5) of the Act,35 does not impose a burden on public interest, for the protection of in particular, in that it is designed to competition. investors, or otherwise in furtherance of prevent fraudulent and manipulative C. Self-Regulatory Organization’s the purposes of the Act. If the acts and practices, to promote just and Statement on Comments on the Commission takes such action, the equitable principles of trade, and, in Proposed Rule Change Received From Commission shall institute proceedings general, to protect investors and the Members, Participants, or Others to determine whether the proposed rule public interest, and Section 6(b)(8) of should be approved or disapproved. 36 No written comments were either the Act, which requires that the solicited or received. IV. Solicitation of Comments Exchange’s rules not impose any burden Interested persons are invited to on competition that is not necessary or III. Date of Effectiveness of the submit written data, views, and appropriate. Proposed Rule Change and Timing for The Exchange believes that this Commission Action arguments concerning the foregoing, proposal is consistent with the Act including whether the proposed rule Because the foregoing proposed rule change is consistent with the Act. because it is consistent with certain change does not: (i) Significantly affect exemptions from the CAT NMS Plan, Comments may be submitted by any of the protection of investors or the public the following methods: because it facilitates the retirement of interest; (ii) impose any significant certain existing regulatory systems, and burden on competition; and (iii) become Electronic Comments is designed to assist the Exchange and operative for 30 days from the date on • Use the Commission’s internet its Industry Members in meeting which it was filed, or such shorter time comment form (http://www.sec.gov/ regulatory obligations pursuant to the as the Commission may designate, it has rules/sro.shtml); or Plan. In approving the Plan, the SEC become effective pursuant to Section • Send an email to rule-comments@ noted that the Plan ‘‘is necessary and 19(b)(3)(A)(iii) of the Act 38 and sec.gov. Please include File Number SR– appropriate in the public interest, for subparagraph (f)(6) of Rule 19b–4 NASDAQ–2020–035 on the subject line. the protection of investors and the thereunder.39 maintenance of fair and orderly markets, A proposed rule change filed under Paper Comments to remove impediments to, and perfect Rule 19b–4(f)(6) 40 normally does not • Send paper comments in triplicate the mechanism of a national market become operative prior to 30 days after to Secretary, Securities and Exchange system, or is otherwise in furtherance of the date of the filing. However, pursuant Commission, 100 F Street NE, the purposes of the Act.’’ 37 To the to Rule 19b–4(f)(6)(iii),41 the Washington, DC 20549–1090. extent that this proposal implements the All submissions should refer to File Plan, including the exemptive relief, 38 15 U.S.C. 78s(b)(3)(A)(iii). Number SR–NASDAQ–2020–035. This and applies specific requirements to 39 17 CFR 240.19b–4(f)(6). In addition, Rule 19b– file number should be included on the Industry Members, the Exchange 4(f)(6) requires a self-regulatory organization to give subject line if email is used. To help the believes that this proposal furthers the the Commission written notice of its intent to file the proposed rule change, along with a brief Commission process and review your description and text of the proposed rule change, 34 15 U.S.C. 78f(b). at least five business days prior to the date of filing 42 See Securities Exchange Act Release No. 89108 35 15 U.S.C. 78f(b)(5). of the proposed rule change, or such shorter time (June 19, 2020). 36 15 U.S.C. 78f(b)(8). as designated by the Commission. The Exchange 43 For purposes only of waiving the 30-day 37 See Securities Exchange Act Release No. 79318 has satisfied this requirement. operative delay, the Commission has considered the (November 15, 2016), 81 FR 84696, 84697 40 17 CFR 240.19b–4(f)(6). proposed rule’s impact on efficiency, competition, (November 23, 2016). 41 17 CFR 240.19b–4(f)(6)(iii). and capital formation. See 15 U.S.C. 78c(f).

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comments more efficiently, please use Items I, II, and III below, which Items configuration only until the Exchange’s only one method. The Commission will have been prepared by the Exchange. trading floor facility became post all comments on the Commission’s The Commission is publishing this operational. Open outcry trading would internet website (http://www.sec.gov/ notice to solicit comments on the currently not be available in the event rules/sro.shtml). Copies of the proposed rule change from interested the trading floor becomes inoperable.3 submission, all subsequent persons. Rule 5.24(e)(1) currently states in the amendments, all written statements event that the trading floor becomes I. Self-Regulatory Organization’s with respect to the proposed rule inoperable, trading will be conducted Statement of the Terms of Substance of change that are filed with the pursuant to all applicable System Rules, the Proposed Rule Change Commission, and all written except that open outcry Rules would not communications relating to the Cboe Exchange, Inc. (the ‘‘Exchange’’ be in force, including but not limited to proposed rule change between the or ‘‘Cboe Options’’) proposes to amend the Rules (or applicable portions) in Commission and any person, other than Rule 5.24. The text of the proposed rule Chapter 5, Section G,4 and that all non- those that may be withheld from the change is provided in Exhibit 5. trading rules of the Exchange would public in accordance with the The text of the proposed rule change continue to apply. The Exchange provisions of 5 U.S.C. 552, will be is also available on the Exchange’s recently adopted several rule changes available for website viewing and website (http://www.cboe.com/ that would apply during a time in printing in the Commission’s Public AboutCBOE/CBOELegalRegulatory which the trading floor in inoperable, Reference Room, 100 F Street NE, Home.aspx), at the Exchange’s Office of which are effective until June 30, 2020.5 Washington, DC 20549, on official the Secretary, and at the Commission’s The Exchange believes these Rules were business days between the hours of Public Reference Room. necessary to implement to maintain a 10:00 a.m. and 3:00 p.m. Copies of the fair and orderly market while the filing also will be available for II. Self-Regulatory Organization’s Statement of the Purpose of, and trading floor was not operable in order inspection and copying at the principal to create an all-electronic trading office of the Exchange. All comments Statutory Basis for, the Proposed Rule Change environment similar to the otherwise received will be posted without change. unavailable open outcry trading Persons submitting comments are In its filing with the Commission, the environment. cautioned that we do not redact or edit Exchange included statements As of March 16, 2020, the Exchange personal identifying information from concerning the purpose of and basis for suspended open outcry trading to help comment submissions. You should the proposed rule change and discussed prevent the spread of COVID–19 6 and is submit only information that you wish any comments it received on the currently operating in an all-electronic to make available publicly. All proposed rule change. The text of these configuration. The Exchange has submissions should refer to File statements may be examined at the continued to operate in an all-electronic Number SR–NASDAQ–2020–035 and places specified in Item IV below. The configuration but currently plans to should be submitted on or before July Exchange has prepared summaries, set reopen its trading floor on June 15, 20, 2020. forth in sections A, B, and C below, of 2020, at which time the Exchange will For the Commission, by the Division of the most significant aspects of such return to its normal operations as a Trading and Markets, pursuant to delegated statements. hybrid exchange with electronic and authority.44 A. Self-Regulatory Organization’s open outcry trading. However, given the J. Matthew DeLesDernier, Statement of the Purpose of, and the uncertainty related to the ongoing Assistant Secretary. Statutory Basis for, the Proposed Rule pandemic, which includes the [FR Doc. 2020–13879 Filed 6–26–20; 8:45 am] Change possibility of the Exchange having to BILLING CODE 8011–01–P close its trading floor again, and given 1. Purpose the possibility that the Exchange’s The Exchange proposes to amend trading floor may be inoperable for other SECURITIES AND EXCHANGE Rule 5.24 regarding the Exchange’s reasons in the future, the Exchange COMMISSION business continuity and disaster 3 [Release No. 34–89131; File No. SR–CBOE– recovery plans. Rule 5.24 describes Pursuant to Rule 5.26, the Exchange may enter 2020–055] into a back-up trading arrangement with another which Trading Permit Holders (‘‘TPHs’’) exchange, which could allow the Exchange to use are required to connect to the the facilities of a back-up exchange to conduct Self-Regulatory Organizations; Cboe Exchange’s backup systems as well as trading of certain of its products. The Exchange Exchange, Inc.; Notice of Filing of a certain actions the Exchange may take currently has no back-up trading arrangement in place with another exchange. Proposed Rule Change To Amend Rule as part of its business continuity plans 5.24 4 Chapter 5, Section G of the Exchange’s rulebook so that it may maintain fair and orderly sets forth the rules and procedures for manual order June 23, 2020. markets if unusual circumstances handling and open outcry trading on the Exchange. 5 Pursuant to Section 19(b)(1) of the occurred that could impact the See Securities Exchange Act Release Nos. 88386 Exchange’s ability to conduct business. (March 13, 2020), 85 FR 15823 (March 19, 2020) Securities Exchange Act of 1934 (the (SR–CBOE–2020–019); 88447 (March 20, 2020) ‘‘Act’’),1 and Rule 19b–4 thereunder,2 This includes what actions the (SR–CBOE–2020–023); 88490 (March 26, 2020), 85 notice is hereby given that on June 12, Exchange would take if its trading floor FR 18318 (April 1, 2020) (SR–CBOE–2020–026); 2020, Cboe Exchange, Inc. (the became inoperable. Specifically, Rule 88530 (March 31, 2020), 85 FR 19182 (April 6, 5.24(e) states if the Exchange trading 2020) (SR–CBOE–2020–031); and 88886 (May 15, ‘‘Exchange’’ or ‘‘Cboe Options’’) filed 2020), 85 FR 31008 (May 21, 2020) (SR–CBOE– with the Securities and Exchange floor becomes inoperable, the Exchange 2020–047). Commission (the ‘‘Commission’’) the will continue to operate in a screen- 6 On March 11, 2020, the World Health proposed rule change as described in based only environment using a Organization characterized COVID–19 as a floorless configuration of the System pandemic and to slow the spread of the disease, federal and state officials implemented social- 44 17 CFR 200.30–3(a)(12). that is operational while the trading distancing measures, placed significant limitations 1 15 U.S.C. 78s(b)(1). floor facility is inoperable. The on large gatherings, limited travel, and closed non- 2 17 CFR 240.19b–4. Exchange would operate using that essential businesses.

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believes it is appropriate to continue to more option classes 8 if the physical • References in the Rules to ‘‘pit,’’ review and enhance its business trading floor is inoperable or operating ‘‘trading station,’’ and ‘‘trading post’’ continuity plans. While the recent in a modified state (as further discussed (and any other terms with the same amendments to Rule 5.24(e)(1) allowed below). In the program, the Exchange meaning) will be deemed to refer to a all-electronic trading to occur more will create ‘‘virtual trading pits,’’ in ‘‘virtual trading pit.’’ similarly to open outcry trading, an all- each of which the Exchange will • References in the Rules to ‘‘physical electronic trading environment cannot determine which options class(es) will presence’’ (any other terms with the fully replicate open outcry trading.7 be available for trading. This is similar same meaning) in a pit or on the trading Therefore, the Exchange continues to to the Exchange’s authority with respect floor will be deemed to refer ‘‘presence’’ evaluate potential enhancements that it to open outcry trading on the physical in a virtual trading pit or on the virtual believes would permit trading while the trading floor.9 trading floor, respectively. trading floor is inoperable to more The Exchange will use a • The terms ‘‘in-crowd market closely replicate its trading environment communication program that has audio participant’’ and ‘‘ICMP’’ mean a that exists during normal operations. and video capabilities, as well as ‘‘chat’’ Market-Maker, a Designated Primary 10 There are certain features of open functionality. In a virtual trading pit, Market-Maker (‘‘DPM’’) or Lead Market- outcry trading that are difficult to each TPH authorized to access the Maker (‘‘LMM’’) with an allocation in a replicate in an electronic trading virtual trading floor (as described class, or a Floor Broker or PAR Official environment, particularly the human below) that enters the virtual trading pit representing an order in a virtual pit on interaction that permits persons to will be visible to all other TPHs in that the virtual trading floor.12 negotiate pricing and to facilitate virtual trading pit. Additionally, all • References to an ‘‘on-floor DPM’’ or executions of larger orders and high-risk TPHs in that virtual trading pit may ‘‘on-floor LMM’’ will be deemed to refer and complicated strategies. For speak to each other through the to a DPM or LMM, respectively, in a example, from January 2 through March program. This will allow the same virtual pit for its allocated class(es). 13, 2020 (the last day on which the communication capabilities TPHs Access to the virtual trading floor will generally have on the physical trading trading floor was open), complex orders be substantially similar to access to the floor so that they may conduct open for SPX options with more than six legs physical trading floor. Currently, outcry trading on the virtual trading represented approximately 5.3% of the admission to the physical trading floor floor in the same manner as they do on total SPX complex order average daily is limited to Trading Permit Holders, the physical trading floor. volume (‘‘ADV’’) during that timeframe. Exchange employees, clerks employed All Rules related to open outcry by Trading Permit Holders and However, from March 16, 2020 (the first trading, including those in Chapter 5, day on which the trading floor was registered with the Exchange, service Section G, will apply to open outcry personnel, Exchange visitors that closed) through April 30, 2020, complex trading on the virtual floor in the same receive authorized admission to the orders for SPX options with more than manner as they apply to open outcry trading floor pursuant to Exchange six legs represented only approximately trading on the physical trading floor, policy, and any other persons that the 2.2% of the total SPX complex order except as the context otherwise Exchange 13 authorizes admission to the ADV during that similar timeframe. requires 11 and as set forth in proposed trading floor.14 Proposed subparagraph Similarly, the corresponding ADV subparagraph (e)(3). Proposed (3)(B) provides the same persons with percentages for VIX options complex subparagraph (e)(3)(A) lists certain access to the virtual trading floor, except orders were approximately 6.2% (prior terms in the Rules related to open for clerks, service personnel, and to the trading floor closing) and 1.8% outcry trading on the physical trading visitors. Clerks may continue to perform (after the trading floor closing), floor that will be deemed to refer to respectively. This data, taken into corresponding terms related to open the same functions for their associated consideration with feedback from outcry trading on the virtual trading Floor Broker TPH organizations in customers, demonstrates the difficulty floor. Specifically: connection with open outcry trading on market participants have with executing • References in the Rules to the the virtual trading floor as they do for high-risk and complex strategies in an ‘‘floor,’’ ‘‘trading floor,’’ and ‘‘Exchange open outcry trading on the physical all-electronic trading environment that floor’’ (and any other terms with the trading floor, but they will not receive does not allow for human interaction. same meaning) will be deemed to refer access to enter (i.e. log into) the virtual The Exchange believes the proposed to the ‘‘virtual trading floor.’’ trading floor, as they do not need that rule change would further enhance the access to perform those functions. Exchange’s trading environment when 8 Like open outcry trading on the trading floor, Additionally, as there is no physical the trading floor is inoperable by open outcry trading on the virtual trading floor equipment that would need service on permitting market participants that would be available only during Regular Trading the virtual trading floor, and no purpose Hours. for a visitor to observe the virtual generally operate on the trading floor to 9 Pursuant to Rule 5.50(h), the Exchange may continue to interact in a substantially determine for each options class traded on the trading floor, the proposed rule change similar manner as they do on the trading Exchange whether the class should be appointed to excludes service personnel and visitors floor. Specifically, the Exchange a trading crowd and which trading crowd should from accessing the virtual trading be appointed the class, and to determine the floor.15 proposes to adopt Rule 5.24(e)(3) to location on the Exchange’s trading floor of each permit it to make available an audio and trading crowd. 12 10 Currently available programs with this This is substantially similar to the definition of video communication program to serve ICMP in Rule 1.1. as a ‘‘virtual trading floor’’ in one or functionality include Zoom, Webex, Microsoft Teams, and others. 13 Rule 5.80(a) provides the President or a 11 For example, Rule 5.80(d)(4)(1) requires a clerk designee with this authority. However, decisions 7 The Exchange continues to consider other to remain at a booth subject to certain exceptions. regarding admission to the floor are generally made enhancements to the all-electronic trading The concept of a booth is specific to the physical by appropriate Exchange staff, which may include configuration that it believes may permit this trading floor so has no applicability to the virtual the President. The Exchange believes use of the configuration to further replicate the open outcry trading floor. Additionally, as the virtual trading term ‘‘Exchange’’ is, therefore, more appropriate. trading environment. The Exchange would submit floor has no physical trading space, Rule 5.93 14 See Rule 5.80(a). separate rule filings for any such proposed regarding trading crowd space disputes has no 15 While the Exchange does not anticipate enhancements. applicability to the virtual trading floor. granting any other individuals with access to the

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As is the case with the physical using Exchange-provided bandwidth to outcry trading environments than trading floor, the Exchange will provide be shared with all market participants others. access to the virtual trading floor to and do not pose the same security risks), As noted above, the Exchange may TPHs the Exchange has approved to the proposed rule change will not determine to make the virtual trading perform a trading floor function require TPHs to register devices they floor available if the physical trading (including Floor Brokers and Market- use while on the virtual trading floor. floor is operating in a modified state. Makers).16 TPHs are not required to Rule 5.81(a) will otherwise apply in the Proposed subparagraph (e)(3)(E) display badges on the virtual trading same manner to the virtual trading floor provides that if the Exchange floor, as the size of the view on the as it does to the physical trading floor determines to operate the trading floor communication program may not permit (to the extent the context requires). This in a modified state that requires the badges to be visible.17 Currently, on the includes requirements related to audit Exchange to limit the number of physical trading floor, a Market-Maker trail and record retention, prohibition individuals that may access the trading has an appointment to trade open outcry on using any device for the purpose of floor,21 the Exchange may provide a in all classes trading on the Exchange recording activities in the virtual trading virtual trading for an impacted class. (and must be physically present in the pit or maintaining an open line of Effective June 15, 2020, the Exchange trading crowd to trade in open outcry).18 continuous communication whereby a will modify the configuration of certain Similarly, any Market-Maker authorized non-associated person not located in the trading crowds in order to ensure to act on the physical trading floor will trading crowd may continuously compliance with state and local health receive access to each virtual trading pit monitor the activities in the trading and safety guidelines, as well as ensure on the virtual trading floor and may crowd, and the prohibition on using the safety and welfare of any individual determine which virtual trading pits it devices to disseminate quotes or last that accesses the trading floor (i.e., wants to enter to trade. sale reports. operating in a modified state). As set forth in Rule 5.81(a), subject to Proposed subparagraph (3)(D) Specifically, the Exchange anticipates the requirements in that Rule, TPHs provides that the Exchange may having to not only relocate and modify may use any communication device determine to require any Market-Maker the physical area of at least one trading (e.g., any hardware or software related or Floor Broker in a virtual trading pit crowd, but also intends to require floor to a phone, system, or other device, that wants to trade against an order participants to stand in such trading including an instant messaging system, represented for execution to express its crowd in order to comply with state and email system, or similar device) on the bid or offer in a chat available in the local health and safety guidelines, trading floor and in any trading crowd including social distancing (i.e., provide virtual trading pit.20 TPHs on the of the Exchange (which it must register for at least 6 feet between individuals). physical trading floor only verbalize with the Exchange). Pursuant to As a result, with respect one trading their interest to trade against a proposed subparagraph (3)(C), TPHs class (the SPX options pit), there will be represented order, so not requiring bids may use any equipment to access the a smaller number of available trading and offers to be included in a chat virtual trading floor. However, TPHs spaces than are generally available in conforms to current practice on the must use Exchange-provided equipment the normal SPX options pit. Therefore, trading floor. However, given potential to access PAR workstations while certain individuals that normally trade limitations of communication software transacting on the virtual trading floor in the SPX options pit will be unable to (such as limitations on how many for security purposes. PAR will be used do so while the Exchange operates its and work in the same manner for the people may be heard at the same time trading floor in the modified state. virtual trading floor as it is on the in a virtual pit or potential buffering or Additionally, the Exchange understands physical trading floor.19 Prior to using a echoing), the Exchange believes it may certain individuals that normally trade communications device for business be appropriate to require market on the physical trading floor have purposes on the trading floor of the participants to use a chat tool in the indicated they do not plan to initially Exchange, Trading Permit Holders must communication program to indicate return to the trading floor due to their register the communications device by their interest in participating in a trade own health and safety concerns.22 identifying (in a form and manner so that the representing Floor Broker is If the Exchange makes a virtual prescribed by the Exchange) the able to know the market from the trading floor available while the hardware (i.e., headset, cellular trading crowd and fairly allocate the physical trading floor operates in a telephone, tablet, or other similar trade pursuant to the Rules. The modified state, persons authorized but hardware). Because individuals on the Exchange believes the flexibility to unable to access the physical trading virtual trading floor will not be on the impose this requirement in a virtual floor will be provided with access to the Exchange premises (and thus will not be trading pit is appropriate, as these virtual trading floor. For example, given limitations may ultimately not interfere the current expected reconfiguration of virtual trading floor outside of TPHs and Exchange with a Floor Broker’s ability to hear all personnel (such as PAR Officials and Regulatory interest (particularly in virtual trading 21 For example, as the Exchange intends to do Division staff), the Exchange believes the flexibility pits with few participants) and thus the upon reopening the physical trading floor on June to permit Exchange personnel to access the virtual additional requirement may potentially 15, 2020, the Exchange may temporarily relocate or trading floor is appropriate, such as to permit access resize a trading pit for safety and welfare purposes. to make updates to the communication program. slow down executions. Flexibility will See Exchange Notice C2020060300, Schedule 16 See Rule 5.80(e), pursuant to which only those permit the Exchange to balance system Update—Cboe Options Trading Floor Re-Opening TPHs the Exchange has approved to perform a floor limitations with the additional burden June 15, 2020, available at https://cdn.cboe.com/ trading function (including Floor Brokers and of a new workflow step for each class, resources/release_notes/2020/C1-Trading-Floor-Re- Market-Makers) may enter into transactions on the some of which have different open Opening-Second-Reminder-and-Update.pdf. trading floor. 22 There may be other reasons why the Exchange 17 The virtual trading floor program will identify operates its trading floor in a modified state. For the TPH organization of each participant in a virtual 20 The Exchange will announce to all TPHs any example, if there was a fire on the trading floor, the trading pit. determination to require bids and offers to be Exchange may need to relocate and modify the size 18 See Rule 5.50(e). expressed in a chat within the communication of one or more trading crowds, which could 19 See Rule 5.82. The Exchange notes TPHs program pursuant to Rule 1.5 (such as by Exchange similarly require it to limit the number of similarly use Exchange-provided hardware to notice or regulatory circular). The Exchange will individuals that may access the physical trading access PAR on the physical trading floor. provide such notice with sufficient advance notice. floor.

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the SPX options pit, approximately half virtual trading floor as it makes proposed rule change is consistent with of the Floor Brokers and Market-Makers available on the physical trading floor the Section 6(b)(5) 29 requirement that that normally trade in the SPX options pursuant to Rule 5.83.23 Floor Brokers the rules of an exchange not be designed pit will not be able to trade in the will be subject to the responsibilities set to permit unfair discrimination between modified SPX options pit. The proposed forth in Rule 5.91 on the virtual trading customers, issuers, brokers, or dealers. rule change would provide these Floor floor, as they are on the physical trading In particular, the Exchange believes Brokers and Market-Makers with access floor. Additionally, TPHs participating the proposed rule change will remove to the virtual trading floor. on the virtual trading floor will be impediments to and perfect the The virtual trading floor would subject to the same regulatory mechanism of a free and open market essentially supplement the physical requirements on the virtual trading floor and a national market system, and, in trading floor. Specifically, the physical as they are on the physical trading floor, general, to protect investors and the and virtual trading pit for a class will including those set forth in Chapters 8 public interest, as it will permit open together constitute a single trading pit and 9. Orders must be systematized 24 outcry trading to continue in the event for that class, and each will be visible and represented,25 and transactions the Exchange’s trading floor is and audible to the other. This will reported,26 in connection with the inoperable. As discussed above, while permit any orders represented and bids virtual trading floor in the same manner the Exchange has adopted Rules that and offers made on the physical trading as they are when trading on the physical have allowed all-electronic trading to floor to be available for execution trading floor. Therefore, the audit trail occur more similarly to open outcry against orders represented and bids and for open outcry trading on the virtual trading, there are certain features of offers made on the virtual trading floor, trading floor will capture the same open outcry trading that are difficult to and vice versa. In order to integrate the information that it does for open outcry replicate in an electronic trading physical and virtual trading pits for a trading on the physical trading floor. environment. The Exchange has class, the Exchange intends to add The Regulatory Division will be able to observed, and understands from various screens and speakers to the physical utilize preexisting floor surveillances to market participants, that they have had trading floor that would permit ICMPs surveil for the activity occurring on the difficulty executing certain orders, such on the physical trading floor to see and virtual trading floor. As noted above, as larger orders and high-risk and hear individuals on the virtual trading Regulatory Division staff may access the complicated strategies, in an all- floor. Additionally, the Exchange virtual trading floor if it deems electronic trading configuration without intends to add cameras and necessary. the element of human interaction to microphones to the physical trading negotiate pricing for these orders. The floor that would permit ICMPs on the 2. Statutory Basis proposed rule change would provide an virtual trading floor to see and hear The Exchange believes the proposed environment in which this interaction individuals on the physical trading rule change is consistent with the would be available despite the floor. Securities Exchange Act of 1934 (the inoperability of the physical trading The Exchange believes offering a ‘‘Act’’) and the rules and regulations floor. The Exchange believes the virtual trading floor to supplement the thereunder applicable to the Exchange proposed rule change may facilitate physical trading floor for any class and, in particular, the requirements of continued trading of these orders if and impacted by the Exchange’s operation of Section 6(b) of the Act.27 Specifically, when the trading floor is inoperable. As the physical trading floor in a modified the Exchange believes the proposed rule a result, the Exchange believes state will provide access to open outcry change is consistent with the Section providing continuous access to open trading for all individuals that normally 6(b)(5) 28 requirements that the rules of outcry trading when the physical trade on the physical trading floor, an exchange be designed to prevent trading floor is inoperable will remove which could increase liquidity available fraudulent and manipulative acts and impediments to a free and open market in the trading pits within which fewer practices, to promote just and equitable and will ultimately benefit investors, persons may physically participate. principles of trade, to foster cooperation particularly those desiring to execute Because all participants will have access and coordination with persons engaged high-risk and complex trading to the same pool of liquidity while the in regulating, clearing, settling, strategies. trading floor operates in this modified processing information with respect to, The proposed rule change will further state, customer orders represented for and facilitating transactions in remove impediments to a free and open execution within the single pit will have securities, to remove impediments to market and will ultimately benefit access to the best prices available, and perfect the mechanism of a free and investors when the Exchange operates regardless of whether those prices are open market and a national market the physical trading floor in a modified expressed on the physical trading floor system, and, in general, to protect state that requires it to limit the number or virtual trading floor. investors and the public interest. of individuals that may access the While open outcry trading on the Additionally, the Exchange believes the trading floor. In this circumstance, all virtual trading floor will occur with in- individuals that are unable to access the crowd market participants interacting 23 Pursuant to Rule 5.83(b), the Exchange may trading floor (such as for health and with each other remotely through a determine whether to make complex orders types safety purposes) may still participate in computer communication program, all available for open outcry trading. The Exchange open outcry trading. This trading that occurs on the virtual trading will not make a Multi-Class Spread order available ‘‘supplemental’’ version of a virtual on the virtual trading floor unless the Exchange has floor will occur in the same manner as made the virtual trading floor available for both trading floor will provide customer it does on the physical trading floor. classes represented in the order, as such an order orders represented on the trading floor Specifically, open outcry trading on the must be represented at both trading stations (or with access to the same pool of liquidity virtual trading floor will be subject to virtual trading pits in the context of the virtual to which it would have access if the trading floor) to be executed. See Rule 5.85(d). the same priority and allocation rules as 24 See Rule 5.7(f). trading floor was operating in its normal open trading on the physical trading 25 See Rule 5.91(a)(4). state. All orders represented within the floor, as set forth in Rule 5.85. The 26 See Rule 6.1(c). pit for a class, whether represented by Exchange will make the same order 27 15 U.S.C. 78f(b). types and instructions available on the 28 15 U.S.C. 78f(b)(5). 29 Id.

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a Floor Broker on the physical trading on the virtual trading floor will be trading floor will receive access to the floor or virtual trading floor, will be able subject to the same regulatory virtual trading floor. The Exchange does to execute against any bid and offer requirements on the virtual trading floor not believe that the proposed rule expressed within the pit, regardless of as they are on the physical trading floor, change will impose any burden on whether expressed on the physical including those set forth in Chapters 8 intermarket competition that is not trading floor or virtual trading floor. and 9. Orders must be systematized and necessary or appropriate in furtherance Providing individuals authorized to act represented, and transactions reported, of the purposes of the Act, as it relates but unable to be on the physical trading in connection with the virtual trading solely to the location of open outcry floor with remote access to open outcry floor in the same manner as they are trading on the Exchange. The proposed trading within the pit for a class, will when trading on the physical trading rule change will merely permit open therefore provide increased liquidity for floor. Therefore, the audit trail for open outcry trading that generally occurs orders represented for execution in open outcry trading on the virtual trading while market participants are located in outcry, even if the Exchange is operating floor will capture the same information the same physical setting to occur while the physical trading floor in a modified that it does for open outcry trading on market participants are in a remote state. This increase liquidity may the physical trading floor. The setting, connected by a technological increase price discovery and execution Regulatory Division will be able to solution (as electronic trading does). opportunities for customer orders utilize preexisting floor surveillances to The Exchange believes that the represented in open outcry. surveil for the activity occurring on the proposed rule change will relieve any The Exchange also believes the virtual trading floor. As noted above, burden on, or otherwise promote, proposed rule change will promote just Regulatory Division staff may access the competition. The Exchange believes the and equitable principles of trade, as virtual trading floor if it deems proposed rule change will provide open outcry trading on a virtual trading necessary. The Exchange believes it will market participants with continuous floor will occur in accordance with the promote just and equitable principles of access to open outcry trading when the same trading rules and be subject to the trading for all open outcry trading to physical trading floor is inoperable. The same regulatory requirements that apply occur in substantially the same manner, Exchange believes this may facilitate whether it occurs while market to open outcry trading on the physical continued, competitive price participants are in the same physical trading floor, all of which have negotiations and trading of orders that setting or in remote settings being previously been filed with the the Exchange understands are more connected through a technological Commission. The proposed rule change difficult to execute in an all-electronic solution. trading environment without human will merely permit this open outcry In addition, the Exchange believes the interaction. Additionally, the proposed trading to occur in a virtual setting proposed rule change will not be rule change will provide customer rather than a physical setting (which designed to permit unfair orders represented for open outcry may be appropriate for health and safety discrimination between customers, execution with access to the same pool purposes)—in other words, open outcry issuers, brokers, or dealers, as all trading on a virtual trading floor will individuals authorized to act on the of liquidity when the trading floor is occur while market participants operate physical trading floor (both TPH inoperable or operating in a modified remotely as they do when they trade organizations authorized at the time the state to which those orders would have electronically. Specifically, open outcry physical trading floor becomes access when the trading floor is trading on the virtual trading floor will inoperable and any TPH organization operating in its normal state. be subject to the same priority and that becomes authorized after the Maintenance of this level of liquidity at allocation rules as open trading on the physical trading floor becomes all times, even when the trading floor is physical trading floor, as set forth in inoperable) will be provided with access inoperable, may promote competition Rule 5.85. As is the case for open outcry to the virtual trading floor. Additionally, by providing these customer orders with trading on the physical trading floor, the proposed rule change to permit the increased liquidity than may\ otherwise open outcry trading on the virtual Exchange to provide a virtual trading be available, and thus increased trading floor is consistent with Section floor if the Exchange is operating the execution opportunities and price 11(a) of the Act, as Rule 5.85(a)(2)(E) physical trading floor in a modified discovery. (which will apply to open outcry state will provide individuals unable to C. Self-Regulatory Organization’s trading on the virtual trading floor) trade on the physical trading floor as a Statement on Comments on the requires TPHs relying on Section result of the modified state to Proposed Rule Change Received From 11(a)(1)(G) of the Act and Rule 11a1– participate in open outcry trading Members, Participants, or Others 1(T) thereunder (the so called ‘‘G remotely. exemption rule’’) as an exemption must The Exchange neither solicited nor yield priority to any bid (offer) at the B. Self-Regulatory Organization’s received comments on the proposed same price of Priority Customer orders Statement on Burden on Competition rule change. and broker-dealer orders resting in the The Exchange does not believe that III. Date of Effectiveness of the Book, as well as any other bid (offer) the proposed rule change will impose Proposed Rule Change and Timing for that has priority over those broker- any burden on competition that is not Commission Action dealer orders under this Rule. The necessary or appropriate in furtherance Exchange may make the same order of the purposes of the Act. The Within 45 days of the date of types and instructions available on the Exchange does not believe that the publication of this notice in the Federal virtual trading floor as it makes proposed rule change will impose any Register or within such longer period available on the physical trading floor burden on intramarket competition that up to 90 days (i) as the Commission may pursuant to Rule 5.83. Floor Brokers is not necessary or appropriate in designate if it finds such longer period will be subject to the responsibilities set furtherance of the purposes of the Act, to be appropriate and publishes its forth in Rule 5.91 on the virtual trading as all TPH organizations authorized by reasons for so finding or (ii) as to which floor, as they are on the physical trading the Exchange, or that become authorized the Exchange consents, the Commission floor. Additionally, TPHs participating by the Exchange, to transact on the will:

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A. By order approve or disapprove For the Commission, by the Division of II. Self-Regulatory Organization’s such proposed rule change, or Trading and Markets, pursuant to delegated Statement of the Purpose of, and B. institute proceedings to determine authority.30 Statutory Basis for, the Proposed Rule whether the proposed rule change J. Matthew DeLesDernier, Change should be disapproved. Assistant Secretary. In its filing with the Commission, the IV. Solicitation of Comments [FR Doc. 2020–13875 Filed 6–26–20; 8:45 am] Exchange included statements BILLING CODE 8011–01–P Interested persons are invited to concerning the purpose of and basis for submit written data, views, and the proposed rule change and discussed arguments concerning the foregoing, any comments it received on the SECURITIES AND EXCHANGE proposed rule change. The text of these including whether the proposed rule COMMISSION change is consistent with the Act. statements may be examined at the Comments may be submitted by any of [Release No. 34–89125; File No. SR– places specified in Item IV below. The the following methods: CboeBYX–2020–018] Exchange has prepared summaries, set forth in sections A, B, and C below, of Electronic Comments Self-Regulatory Organizations; Cboe the most significant aspects of such • Use the Commission’s internet BYX Exchange, Inc.; Notice of Filing statements. comment form (http://www.sec.gov/ and Immediate Effectiveness of a Proposed Rule Change To Amend the A. Self-Regulatory Organization’s rules/sro.shtml); or Statement of the Purpose of, and • Send an email to rule-comments@ Content of the Cboe One Feed Under Rule 11.22(i) to Identify the Primary Statutory Basis for, the Proposed Rule sec.gov. Please include File Number SR– Change CBOE–2020–055 on the subject line. Listing Market’s Official Opening and Closing Price 1. Purpose Paper Comments The Exchange proposes to amend the • Send paper comments in triplicate June 23, 2020. Pursuant to Section 19(b)(1) of the content of the Cboe One Feed under to: Secretary, Securities and Exchange Rule 11.22(i) to identify the primary Commission, 100 F Street NE, Securities Exchange Act of 1934 (the 1 2 listing market’s official opening and Washington, DC 20549–1090. ‘‘Act’’), and Rule 19b–4 thereunder, notice is hereby given that on June 10, closing price. All submissions should refer to File The Cboe One Feed is a data feed that Number SR–CBOE–2020–055. This file 2020, Cboe BYX Exchange, Inc. (the ‘‘Exchange’’ or ‘‘BYX’’) filed with the disseminates, on a real-time basis, the number should be included on the aggregate best bid and offer (‘‘BBO’’) of subject line if email is used. To help the Securities and Exchange Commission (the ‘‘Commission’’) the proposed rule all displayed orders for securities traded Commission process and review your on BYX and its affiliated exchanges.5 comments more efficiently, please use change as described in Items I and II below, which Items have been prepared Among other things, the Cboe One Feed only one method. The Commission will also includes consolidated volume for post all comments on the Commission’s by the Exchange. The Exchange filed the proposal as a ‘‘non-controversial’’ all listed equity securities regardless of internet website (http://www.sec.gov/ where the transaction was executed and rules/sro.shtml). Copies of the proposed rule change pursuant to Section 19(b)(3)(A)(iii) of the Act 3 and the Cboe One Opening Price and the 6 submission, all subsequent 4 Cboe One Closing Price. amendments, all written statements Rule 19b–4(f)(6) thereunder. The Commission is publishing this notice to Now, in addition to the information with respect to the proposed rule currently provided in the Cboe One change that are filed with the solicit comments on the proposed rule change from interested persons. Feed, the Exchange is proposing to Commission, and all written include the primary listing market’s communications relating to the I. Self-Regulatory Organization’s official opening and closing price for all proposed rule change between the Statement of the Terms of Substance of listed equity securities as obtained Commission and any person, other than the Proposed Rule Change directly from the securities information those that may be withheld from the Cboe BYX Exchange, Inc. (‘‘BYX’’ or public in accordance with the 5 the ‘‘Exchange’’) is filing with the BYX’s affiliated exchanges are the Cboe BZX provisions of 5 U.S.C. 552, will be Exchange, Inc. (‘‘BZX’’), Cboe EDGA Exchange, Inc. Securities and Exchange Commission available for website viewing and (‘‘EDGA’’), and Cboe EDGX Exchange, Inc. (the ‘‘Commission’’) a proposed rule (‘‘EDGX’’, and together with BYX, BZX, and EDGA, printing in the Commission’s Public change to amend the content of the Cboe the ‘‘Cboe Equity Exchanges’’). See Securities Reference Room, 100 F Street NE, One Feed under Rule 11.22(i) to identify Exchange Act Release No. 73918 (December 23, Washington, DC 20549 on official 2014), 79 FR 78920 (December 31, 2014) (File Nos. the primary listing market’s official business days between the hours of SR–EDGX–2014–25; SR–EDGA–2014–25; SR– opening and closing price. The text of BATS–2014–055; SR–BYX–2014–030) (Notice of 10:00 a.m. and 3:00 p.m. Copies of the the proposed rule change is provided in Amendments No. 2 and Order Granting Accelerated filing also will be available for Exhibit 5. Approval to Proposed Rule Changes, as Modified by inspection and copying at the principal Amendments Nos. 1 and 2, to Establish a New The text of the proposed rule change office of the Exchange. All comments Market Data Product called the Cboe (formerly Bats) is also available on the Exchange’s One Feed) (‘‘Cboe One Approval Order’’). received will be posted without change. website (http://markets.cboe.com/us/ 6 For securities listed on Cboe BZX Exchange, Inc. Persons submitting comments are equities/regulation/rule_filings/byx/), at (‘‘BZX’’), the Cboe One Opening Price shall be the cautioned that we do not redact or edit BZX Official Opening Price as defined in BZX Rule the Exchange’s Office of the Secretary, personal identifying information from 11.23(a)(5) and the Cboe One Closing Price shall be and at the Commission’s Public comment submissions. You should the BZX Official Closing Price as defined in BZX Reference Room. Rule 11.23(a)(3). For securities not listed on BZX, submit only information that you wish the Cboe One Opening Price shall be the first last sale eligible trade that occurred on the Exchange or to make available publicly. All 30 17 CFR 200.30–3(a)(12). any of its affiliates after 9:30 a.m. Eastern Time, and submissions should refer to File 1 15 U.S.C. 78s(b)(1). the Cboe One Closing Price shall be the final last Number SR–CBOE–2020–055 and 2 17 CFR 240.19b–4. sale eligible trade to occur on the Exchange or any should be submitted on or before July 3 15 U.S.C. 78s(b)(3)(A)(iii). of its affiliates prior to 4:00 p.m. Eastern Time. See 20, 2020. 4 17 CFR 240.19b–4(f)(6). Exchange Rule 11.22(i).

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processors. Such information would that this authority would expand the include primary listing market’s official supplement the existing consolidated amount of data available to consumers, opening and closing price as part of the volume and Cboe One Opening/Closing and also spur innovation and Cboe One Feed, thereby enabling it to Price information included in the Cboe competition for the provision of market better compete with similar market data One Feed by providing additional data. products currently offered by NYSE that consolidated trade information. The The proposed rule change is designed include such information.12 The official opening and closing price for all to promote just and equitable principles Exchange is not the exclusive listed equity securities would be of trade and remove impediments to and distributor of the primary listing disseminated via the Cboe One Feed perfect the mechanism of a free and market’s official opening and closing after the Consolidated Tape Association open market and a national market price, and a vendor seeking to offer a (‘‘CTA’’) and Unlisted Trading system by identifying the primary similar product that includes this Privileges (‘‘UTP’’) Plan Securities listing market’s official opening and information would be able to do so on Information Processor (‘‘SIP’’) delay closing price. Significant volumes the same terms as the Exchange. period, which is currently 15 minutes. typically occur in the primary listing Specifically, a competing vendor could market auctions, and the prices derived receive the primary listing market’s 2. Statutory Basis from those auctions are used as a official opening and closing price from The Exchange believes the proposed reference price for various other the securities information processors rule change is consistent with the instruments, including options and and include that information as part of Securities Exchange Act of 1934 (the exchange-traded products. Therefore, their market data products to be ‘‘Act’’) and the rules and regulations official opening and closing price disseminated to customers pursuant to thereunder applicable to the Exchange information would provide meaningful the same terms and policies as the and, in particular, the requirements of information to investors. The Exchange Exchange.13 Therefore, the Exchange Section 6(b) of the Act.7 Specifically, also believes this proposal is consistent believes the inclusion of the primary the Exchange believes the proposed rule with Section 6(b)(5) of the Act because listing market’s official opening and change is consistent with the Section it protects investors and the public closing price in the Cboe One Feed 6(b)(5) 8 requirements that the rules of interest and promotes just and equitable would not impose any burden on an exchange be designed to prevent principles of trade by providing competition not necessary or fraudulent and manipulative acts and investors with new options for receiving appropriate in furtherance of the practices, to promote just and equitable such information. The Exchange also purposes of the Act. principles of trade, to foster cooperation notes that the primary listing market’s and coordination with persons engaged official opening and closing price is C. Self-Regulatory Organization’s in regulating, clearing, settling, currently included in a competing Statement on Comments on the processing information with respect to, market data products offered by the Proposed Rule Change Received From and facilitating transactions in New York Stock Exchange (‘‘NYSE’’).11 Members, Participants, or Others securities, to remove impediments to Therefore, the Exchange believes the The Exchange neither solicited nor and perfect the mechanism of a free and proposed rule change removes received comments on the proposed open market and a national market impediments to and perfects the rule change. system, and, in general, to protect mechanism of a free and open market investors and the public interest. The and a national market system, and, in III. Date of Effectiveness of the Exchange also believes that the general, protects investors and the Proposed Rule Change and Timing for proposed rule change is consistent with public interest as it would provide an Commission Action Section 11(A) of the Act 9 in that it additional avenue for investors to Because the foregoing proposed rule supports (1) fair competition among receive this information from a change does not: (i) significantly affect brokers and dealers, among exchange competing product. The proposal would the protection of investors or the public markets, and between exchange markets not permit unfair discrimination interest; (ii) impose any significant and markets other than exchange because the primary listing market’s burden on competition; and (iii) become markets and (2) the availability to official opening and closing price will operative for 30 days from the date on brokers, dealers, and investors of be available to all of the Exchange’s which it was filed, or such shorter time information with respect to quotations customers and market data vendors on as the Commission may designate, it has for and transactions in securities. an equivalent basis. In addition, any become effective pursuant to Section Furthermore, the proposed rule change customer that wishes to receive this 19(b)(3)(A) of the Act 14 and Rule 19b– is consistent with Rule 603 of information via a different source will 4(f)(6) thereunder.15 Regulation NMS,10 which provides that be able to do so. At any time within 60 days of the filing of the proposed rule change, the any national securities exchange that B. Self-Regulatory Organization’s Commission summarily may distributes information with respect to Statement on Burden on Competition quotations for or transactions in an NMS temporarily suspend such rule change if stock do so on terms that are not The Exchange does not believe that it appears to the Commission that such unreasonably discriminatory. In the proposed rule change will impose adopting Regulation NMS, the any burden on competition that is not 12 Id. Commission granted self-regulatory necessary or appropriate in furtherance 13 See CTA Consolidated Volume Display Policy with FAQ, supra note 7. organizations and broker-dealers of the purposes of the Act. Rather, the Exchange believes that the proposed 14 15 U.S.C. 78s(b)(3)(A). increased authority and flexibility to 15 rule change will enhance competition 17 CFR 240.19b–4(f)(6). In addition, Rule 19b– offer new and unique market data 4(f)(6)(iii) requires a self-regulatory organization to products to the public. It was believed because it would enable the Exchange to give the Commission written notice of its intent to file the proposed rule change, along with a brief 11 Specifically, the NYSE BQT (Best Quote and description and text of the proposed rule change, 7 15 U.S.C. 78f(b). Trade) proprietary feed includes the primary listing at least five business days prior to the date of filing 8 15 U.S.C. 78f(b)(5). market’s official opening and closing price. See of the proposed rule change, or such shorter time 9 15 U.S.C. 78k–1. https://www.nyse.com/publicdocs/nyse/data/ as designated by the Commission. The Exchange 10 See 17 CFR 242.603. NYSE_BQT_Client_Specification_v2.3a.pdf. has satisfied this requirement.

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action is necessary or appropriate in the submissions should refer to File equities/regulation/rule_filings/bzx/), at public interest, for the protection of Number SR–CboeBYX–2020–018, and the Exchange’s Office of the Secretary, investors, or otherwise in furtherance of should be submitted on or before July and at the Commission’s Public the purposes of the Act. If the 20, 2020. Reference Room. Commission takes such action, the For the Commission, by the Division of II. Self-Regulatory Organization’s Commission shall institute proceedings Trading and Markets, pursuant to delegated Statement of the Purpose of, and to determine whether the proposed rule 16 authority. Statutory Basis for, the Proposed Rule change should be approved or J. Matthew DeLesDernier, Change disapproved. Assistant Secretary. In its filing with the Commission, the IV. Solicitation of Comments [FR Doc. 2020–13869 Filed 6–26–20; 8:45 am] Exchange included statements Interested persons are invited to BILLING CODE 8011–01–P concerning the purpose of and basis for submit written data, views, and the proposed rule change and discussed arguments concerning the foregoing, SECURITIES AND EXCHANGE any comments it received on the including whether the proposed rule COMMISSION proposed rule change. The text of these change is consistent with the Act. statements may be examined at the Comments may be submitted by any of [Release No. 34–89126; File No. SR– places specified in Item IV below. The the following methods: CboeBZX–2020–050] Exchange has prepared summaries, set forth in sections A, B, and C below, of Electronic Comments Self-Regulatory Organizations; Cboe the most significant aspects of such • BZX Exchange, Inc.; Notice of Filing Use the Commission’s internet statements. comment form (http://www.sec.gov/ and Immediate Effectiveness of a rules/sro.shtml); or Proposed Rule Change To Amend the A. Self-Regulatory Organization’s • Send an email to rule-comments@ Content of the Cboe One Feed Under Statement of the Purpose of, and sec.gov. Please include File Number SR– Rule 11.22(j) to Identify the Primary Statutory Basis for, the Proposed Rule CboeBYX–2020–018 on the subject line. Listing Market’s Official Opening and Change Closing Price Paper Comments 1. Purpose • Send paper comments in triplicate June 23, 2020. The Exchange proposes to amend the to Secretary, Securities and Exchange Pursuant to Section 19(b)(1) of the content of the Cboe One Feed under Commission, 100 F Street NE, Securities Exchange Act of 1934 (the Rule 11.22(j) to identify the primary Washington, DC 20549–1090. ‘‘Act’’),1 and Rule 19b–4 thereunder,2 listing market’s official opening and All submissions should refer to File notice is hereby given that on June 10, closing price. Additionally, the Number SR–CboeBYX–2020–018. This 2020, Cboe BZX Exchange, Inc. (the Exchange proposes to amend Rules file number should be included on the ‘‘Exchange’’ or ‘‘BZX’’) filed with the 11.22(i) and (j) to make an administerial subject line if email is used. To help the Securities and Exchange Commission change so that the Rules reference Cboe Commission process and review your (the ‘‘Commission’’) the proposed rule rather than Bats. comments more efficiently, please use change as described in Items I and II The Cboe One Feed is a data feed that only one method. The Commission will below, which Items have been prepared disseminates, on a real-time basis, the post all comments on the Commission’s by the Exchange. The Exchange filed the aggregate best bid and offer (‘‘BBO’’) of internet website (http://www.sec.gov/ proposal as a ‘‘non-controversial’’ all displayed orders for securities traded rules/sro.shtml). Copies of the proposed rule change pursuant to on BZX and its affiliated exchanges.5 submission, all subsequent Section 19(b)(3)(A)(iii) of the Act 3 and Among other things, the Cboe One Feed amendments, all written statements Rule 19b–4(f)(6) thereunder.4 The also includes consolidated volume for with respect to the proposed rule Commission is publishing this notice to all listed equity securities regardless of change that are filed with the solicit comments on the proposed rule where the transaction was executed and Commission, and all written change from interested persons. the Cboe One Opening Price and the 6 communications relating to the I. Self-Regulatory Organization’s Cboe One Closing Price. proposed rule change between the Statement of the Terms of Substance of Commission and any person, other than 5 BZX’s affiliated exchanges are the Cboe BYX the Proposed Rule Change Exchange, Inc. (‘‘BYX’’), Cboe EDGA Exchange, Inc. those that may be withheld from the Cboe BZX Exchange, Inc. (‘‘BZX’’ or (‘‘EDGA’’), and Cboe EDGX Exchange, Inc. public in accordance with the the ‘‘Exchange’’) is filing with the (‘‘EDGX’’, and together with BZX, BYX, and EDGA, provisions of 5 U.S.C. 552, will be the ‘‘Cboe Equity Exchanges’’). See Securities Securities and Exchange Commission available for website viewing and Exchange Act Release No. 73918 (December 23, (the ‘‘Commission’’) a proposed rule 2014), 79 FR 78920 (December 31, 2014) (File Nos. printing in the Commission’s Public change to amend the content of the Cboe SR–EDGX–2014–25; SR–EDGA–2014–25; SR– Reference Room, 100 F Street NE, One Feed under Rule 11.22(j) to identify BATS–2014–055; SR–BYX–2014–030) (Notice of Washington, DC 20549 on official Amendments No. 2 and Order Granting Accelerated the primary listing market’s official business days between the hours of Approval to Proposed Rule Changes, as Modified by opening and closing price. The text of Amendments Nos. 1 and 2, to Establish a New 10:00 a.m. and 3:00 p.m. Copies of the the proposed rule change is provided in Market Data Product called the Cboe (formerly Bats) filing also will be available for Exhibit 5. One Feed) (‘‘Cboe One Approval Order’’). inspection and copying at the principal 6 For securities listed on Cboe BZX Exchange, Inc. The text of the proposed rule change office of the Exchange. All comments (‘‘BZX’’), the Cboe One Opening Price shall be the is also available on the Exchange’s received will be posted without change. BZX Official Opening Price as defined in BZX Rule website (http://markets.cboe.com/us/ 11.23(a)(5) and the Cboe One Closing Price shall be Persons submitting comments are the BZX Official Closing Price as defined in BZX Rule 11.23(a)(3). For securities not listed on BZX, cautioned that we do not redact or edit 16 17 CFR 200.30–3(a)(12). the Cboe One Opening Price shall be the first last personal identifying information from 1 15 U.S.C. 78s(b)(1). sale eligible trade that occurred on the Exchange or comment submissions. You should 2 17 CFR 240.19b–4. any of its affiliates after 9:30 a.m. Eastern Time, and submit only information that you wish 3 15 U.S.C. 78s(b)(3)(A)(iii). the Cboe One Closing Price shall be the final last to make available publicly. All 4 17 CFR 240.19b–4(f)(6). sale eligible trade to occur on the Exchange or any

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Now, in addition to the information Regulation NMS,10 which provides that information via a different source will currently provided in the Cboe One any national securities exchange that be able to do so. Feed, the Exchange is proposing to distributes information with respect to The proposed administerial include the primary listing market’s quotations for or transactions in an NMS amendments to Exchange Rules 11.22(i) official opening and closing price for all stock do so on terms that are not and (j) are designed remove listed equity securities as obtained unreasonably discriminatory. In impediments to and perfect the directly from the securities information adopting Regulation NMS, the mechanism of a free and open market by processors. Such information would Commission granted self-regulatory accurately referencing Cboe rather than supplement the existing consolidated organizations and broker-dealers Bats. Further, a consistent reference to volume and Cboe One Opening/Closing increased authority and flexibility to Cboe rather than Bats will help avoid Price information included in the Cboe offer new and unique market data potential investor confusion. products to the public. It was believed One Feed by providing additional B. Self-Regulatory Organization’s that this authority would expand the consolidated trade information. The Statement on Burden on Competition official opening and closing price for all amount of data available to consumers, listed equity securities would be and also spur innovation and The Exchange does not believe that disseminated via the Cboe One Feed competition for the provision of market the proposed change to Rule 11.22(j) after the Consolidated Tape Association data. will impose any burden on competition (‘‘CTA’’) and Unlisted Trading The proposed change to Exchange that is not necessary or appropriate in Privileges (‘‘UTP’’) Plan Securities Rule 11.22(j) is designed to promote just furtherance of the purposes of the Act. Information Processor (‘‘SIP’’) delay and equitable principles of trade and Rather, the Exchange believes that the period, which is currently 15 minutes. remove impediments to and perfect the proposed rule change will enhance Additionally, the Exchange proposes mechanism of a free and open market competition because it would enable the to amend Rules 11.22(i) and (j) to and a national market system by Exchange to include primary listing eliminate any reference to Bats and identifying the primary listing market’s market’s official opening and closing replace such references with Cboe. official opening and closing price. price as part of the Cboe One Feed, Significant volumes typically occur in thereby enabling it to better compete 2. Statutory Basis the primary listing market auctions, and with similar market data products The Exchange believes the proposed the prices derived from those auctions currently offered by NYSE that include rule change is consistent with the are used as a reference price for various such information.12 The Exchange is not Securities Exchange Act of 1934 (the other instruments, including options the exclusive distributor of the primary ‘‘Act’’) and the rules and regulations and exchange-traded products. listing market’s official opening and thereunder applicable to the Exchange Therefore, official opening and closing closing price, and a vendor seeking to and, in particular, the requirements of price information would provide offer a similar product that includes this Section 6(b) of the Act.7 Specifically, meaningful information to investors. information would be able to do so on the Exchange believes the proposed rule The Exchange also believes this the same terms as the Exchange. changes are consistent with the Section proposal is consistent with Section Specifically, a competing vendor could 6(b)(5) 8 requirements that the rules of 6(b)(5) of the Act because it protects receive the primary listing market’s an exchange be designed to prevent investors and the public interest and official opening and closing price from fraudulent and manipulative acts and promotes just and equitable principles the securities information processors practices, to promote just and equitable of trade by providing investors with and include that information as part of principles of trade, to foster cooperation new options for receiving such their market data products to be and coordination with persons engaged information. The Exchange also notes disseminated to customers pursuant to in regulating, clearing, settling, that the primary listing market’s official the same terms and policies as the processing information with respect to, opening and closing price is currently Exchange.13 Therefore, the Exchange and facilitating transactions in included in a competing market data believes the inclusion of the primary securities, to remove impediments to products offered by the New York Stock listing market’s official opening and 11 and perfect the mechanism of a free and Exchange (‘‘NYSE’’). Therefore, the closing price in the Cboe One Feed open market and a national market Exchange believes the proposed rule would not impose any burden on system, and, in general, to protect change removes impediments to and competition not necessary or investors and the public interest. The perfects the mechanism of a free and appropriate in furtherance of the Exchange also believes that the open market and a national market purposes of the Act. proposed rule changes are consistent system, and, in general, protects The Exchange does not believe the with Section 11(A) of the Act 9 in that investors and the public interest as it proposed administerial changes to it supports (1) fair competition among would provide an additional avenue for Exchange Rules 11.22(i) and (j) will brokers and dealers, among exchange investors to receive this information have any impact on competition as it is markets, and between exchange markets from a competing product. The proposal merely designed to consistently and and markets other than exchange would not permit unfair discrimination accurately refer to Cboe rather than Bats. markets and (2) the availability to because the primary listing market’s C. Self-Regulatory Organization’s brokers, dealers, and investors of official opening and closing price will Statement on Comments on the information with respect to quotations be available to all of the Exchange’s Proposed Rule Change Received From for and transactions in securities. customers and market data vendors on Members, Participants, or Others Furthermore, the proposed rule changes an equivalent basis. In addition, any are consistent with Rule 603 of customer that wishes to receive this The Exchange neither solicited nor received comments on the proposed 10 See 17 CFR 242.603. of its affiliates prior to 4:00 p.m. Eastern Time. See rule change. 11 Specifically, the NYSE BQT (Best Quote and Exchange Rule 11.22(j). Trade) proprietary feed includes the primary listing 7 15 U.S.C. 78f(b). market’s official opening and closing price. See 12 Id. 8 15 U.S.C. 78f(b)(5). https://www.nyse.com/publicdocs/nyse/data/ 13 See CTA Consolidated Volume Display Policy 9 15 U.S.C. 78k–1. NYSE_BQT_Client_Specification_v2.3a.pdf. with FAQ, supra note 6.

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III. Date of Effectiveness of the internet website (http://www.sec.gov/ (‘‘Exchange’’ or ‘‘EDGA’’) filed with the Proposed Rule Change and Timing for rules/sro.shtml). Copies of the Securities and Exchange Commission Commission Action submission, all subsequent (‘‘Commission’’) the proposed rule Because the foregoing proposed rule amendments, all written statements change as described in Items I and II change does not: (i) Significantly affect with respect to the proposed rule below, which Items have been prepared the protection of investors or the public change that are filed with the by the Exchange. The Commission is interest; (ii) impose any significant Commission, and all written publishing this notice to solicit burden on competition; and (iii) become communications relating to the comments on the proposed rule change operative for 30 days from the date on proposed rule change between the from interested persons. Commission and any person, other than which it was filed, or such shorter time I. Self-Regulatory Organization’s those that may be withheld from the as the Commission may designate, it has Statement of the Terms of Substance of public in accordance with the become effective pursuant to Section the Proposed Rule Change 14 provisions of 5 U.S.C. 552, will be 19(b)(3)(A) of the Act and Rule 19b– Cboe EDGA Exchange, Inc. (the 15 available for website viewing and 4(f)(6) thereunder. ‘‘Exchange’’ or ‘‘Cboe EDGA’’) proposes At any time within 60 days of the printing in the Commission’s Public Reference Room, 100 F Street NE, to amend certain Rules within Rules 4.5 filing of the proposed rule change, the Washington, DC 20549 on official through 4.16, which contain the Commission summarily may business days between the hours of Exchange’s compliance rule temporarily suspend such rule change if 10:00 a.m. and 3:00 p.m. Copies of the (‘‘Compliance Rule’’) regarding the it appears to the Commission that such filing also will be available for National Market System Plan Governing action is necessary or appropriate in the inspection and copying at the principal the Consolidated Audit Trail (the ‘‘CAT public interest, for the protection of office of the Exchange. All comments NMS Plan’’ or ‘‘Plan’’) The text of the investors, or otherwise in furtherance of received will be posted without change. proposed rule change is provided in the purposes of the Act. If the Persons submitting comments are Exhibit 5. Commission takes such action, the cautioned that we do not redact or edit The text of the proposed rule change Commission shall institute proceedings personal identifying information from is also available on the Exchange’s to determine whether the proposed rule comment submissions. You should website (http://markets.cboe.com/us/ _ change should be approved or submit only information that you wish equities/regulation/rule filings/edga/), disapproved. to make available publicly. All at the Exchange’s Office of the IV. Solicitation of Comments submissions should refer to File Secretary, and at the Commission’s Number SR–CboeBZX–2020–050, and Public Reference Room. Interested persons are invited to should be submitted on or before July submit written data, views, and II. Self-Regulatory Organization’s 20, 2020. arguments concerning the foregoing, Statement of the Purpose of, and including whether the proposed rule For the Commission, by the Division of Statutory Basis for, the Proposed Rule change is consistent with the Act. Trading and Markets, pursuant to delegated Change authority.16 Comments may be submitted by any of In its filing with the Commission, the the following methods: J. Matthew DeLesDernier, Exchange included statements Assistant Secretary. Electronic Comments concerning the purpose of and basis for [FR Doc. 2020–13870 Filed 6–26–20; 8:45 am] the proposed rule change and discussed • Use the Commission’s internet BILLING CODE 8011–01–P any comments it received on the comment form (http://www.sec.gov/ proposed rule change. The text of these rules/sro.shtml); or statements may be examined at the • Send an email to rule-comments@ SECURITIES AND EXCHANGE places specified in Item IV below. The sec.gov. Please include File Number SR– COMMISSION Exchange has prepared summaries, set CboeBZX–2020–050 on the subject line. [Release No. 34–89130; File No. SR– forth in sections A, B, and C below, of Paper Comments CboeEDGA–2020–018] the most significant aspects of such statements. • Send paper comments in triplicate Self-Regulatory Organizations; Cboe to Secretary, Securities and Exchange EDGA Exchange, Inc.; Notice of Filing A. Self-Regulatory Organization’s Commission, 100 F Street NE, and Immediate Effectiveness of a Statement of the Purpose of, and Washington, DC 20549–1090. Proposed Rule Change Relating To Statutory Basis for, the Proposed Rule All submissions should refer to File Amend Certain Rules Within Rules 4.5 Change Number SR–CboeBZX–2020–050. This Through 4.16, Which Contain the 1. Purpose Exchange’s Compliance Rule file number should be included on the The purpose of this proposed rule (‘‘Compliance Rule’’) Regarding the subject line if email is used. To help the change is to amend the Consolidated National Market System Plan Commission process and review your Audit Trail (‘‘CAT’’) Compliance Rule Governing the Consolidated Audit Trail comments more efficiently, please use in Rules 4.5 through 4.16 to be (the ‘‘CAT NMS Plan’’ or ‘‘Plan’’) only one method. The Commission will consistent with certain proposed post all comments on the Commission’s June 23, 2020. amendments to and exemptions from the CAT NMS Plan as well as to 14 Pursuant to Section 19(b)(1) of the 15 U.S.C. 78s(b)(3)(A). facilitate the retirement of certain 15 17 CFR 240.19b–4(f)(6). In addition, Rule 19b– Securities Exchange Act of 1934 4(f)(6)(iii) requires a self-regulatory organization to (‘‘Act’’),1 and Rule 19b–4 thereunder,2 existing regulatory systems. As give the Commission written notice of its intent to notice is hereby given that on June 22, described more fully below, the file the proposed rule change, along with a brief 2020, Cboe EDGA Exchange, Inc. proposed rule change would make the description and text of the proposed rule change, following changes to the Compliance at least five business days prior to the date of filing 16 17 CFR 200.30–3(a)(12). Rule: of the proposed rule change, or such shorter time • as designated by the Commission. The Exchange 1 15 U.S.C. 78s(b)(1). Add additional data elements to the has satisfied this requirement. 2 17 CFR 240.19b–4. consolidated audit trail (‘‘CAT’’)

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reporting requirements for Industry particular, the Participants identified information. To address this OATS– Members to facilitate the retirement of certain data elements that are required CAT data gap, the Exchange proposes to the Financial Industry Regulatory by OATS, but not currently enumerated revise paragraph (a)(1)(B)(vi) of Rule 4.7 Authority, Inc.’s (‘‘FINRA’’) Order Audit in the CAT NMS Plan. Accordingly, the to require, for the routing of an order, Trail System (‘‘OATS’’); Exchange proposes to amend its if routed internally at the Industry • Add additional data elements Compliance Rule to include these OATS Member, ‘‘the unique identification of related to OTC Equity Securities that data elements in the CAT. Each of such any appropriate information barriers in FINRA currently receives from OATS data elements are discussed place at the department within the alternative trading systems (‘‘ATSs’’) below. With the addition of these OATS Industry Member to which the order that trade OTC Equity Securities for data elements to the CAT, the CAT will was transmitted.’’ regulatory oversight purposes to the have the data elements necessary to FINRA Rule 7440(c)(2)(B) and CAT reporting requirements for Industry retire OATS. 7440(c)(4)(B) require an OATS Members; Reporting Member that receives an • A. Information Barrier Identification Implement a phased approach for order transmitted from another member Industry Member reporting to the CAT The FINRA OATS rules require OATS to report the unique identification of (‘‘Phased Reporting’’); Reporting Members 4 to record the • any appropriate information barriers in To the extent that any Industry identification of information barriers for place at the department within the Member’s order handling or execution certain order events, including when an member to which the order was systems utilize time stamps in order is received or originated, transmitted. The Compliance Rule not increments finer than milliseconds, transmitted to a department within the require Industry Members to report such revise the timestamp granularity OATS Reporting Member, and when it information barrier information. To requirement to require such Industry is modified. The Participants propose to address this OATS–CAT data gap, the Member to record and report Industry amend the Compliance Rule to Exchange proposes to add new Member Data to the Central Repository incorporate these requirements into the paragraph (a)(1)(C)(vii) to Rule 4.7, with time stamps in such finer CAT. which would require Industry Members increment up to nanoseconds; Specifically, FINRA Rule 7440(b)(20) • to record and report to the Central Require Introducing Industry requires a FINRA OATS Reporting Repository, for the receipt of an order Members (as defined below) to comply Member to record the following when that has been routed, ‘‘the unique with the requirements of the CAT NMS an order is received or originated: ‘‘if identification of any appropriate Plan applicable to Small Industry the member is relying on the exception information barriers in place at the Members; provided in Rule 5320.02 with respect department within the Industry Member • Revise the CAT reporting to the order, the unique identification of which received the order.’’ requirements so Industry Members any appropriate information barriers in FINRA Rule 7440(d)(1) requires an would not be required to report to the place at the department within the OATS Reporting Member that modifies Central Repository dates of birth, member where the order was received or receives a modification to the terms ‘‘individual tax payer identification or originated.’’ 5 The Compliance Rule of an order to report the unique number (‘‘ITIN’’)/social security number does not require Industry Members to identification of any appropriate (‘‘SSN’’)’’ (collectively, referred to as report such information barrier information barriers in place at the ‘‘SSNs’’) or account numbers; and information. To address this OATS– department within the member to which • Revise the CAT reporting CAT data gap, the Exchange proposes to the modification was originated or requirements regarding cancelled trades add new paragraph (a)(1)(A)(vii) to Rule received. The Compliance Rule does not and SRO-Assigned Market Participant 4.7, which would require Industry require Industry Members to report such Identifiers of clearing brokers, if Members to record and report to the information barrier information. To applicable, in connection with order Central Repository, for original receipt address this OATS–CAT data gap, the executions, as such information will be or origination of an order, ‘‘the unique Exchange proposes to add new available from FINRA’s trade reports identification of any appropriate paragraph (a)(1)(D)(vii) to Rule 4.7, submitted to the CAT. information barriers in place at the which would require Industry Members department within the Industry Member i. CAT–OATS Data Gaps to record and report to the Central where the order was received or Repository, if the order is modified or The Participants have worked to originated.’’ cancelled, ‘‘the unique identification of identify gaps between data reported to In addition, FINRA Rule 7440(c)(1) any appropriate information barriers in existing systems and data to be reported states that ‘‘[w]hen a Reporting Member place at the department within the to the CAT to ‘‘ensure that by the time transmits an order to a department Industry Member which received or Industry Members are required to report within the member, the Reporting originated the modification.’’ to the CAT, the CAT will include all Member shall record: . . . (H) if the data elements necessary to facilitate the member is relying on the exception B. Reporting Requirements for ATSs rapid retirement of duplicative provided in Rule 5320.02 with respect 3 Under FINRA Rule 4554, ATSs that systems.’’ As a result of this process, to the order, the unique identification of receive orders in NMS stocks are the Participants identified several data any appropriate information barriers in required to report certain order elements that must be included in the place at the department within the information to OATS, which FINRA CAT reporting requirements before member to which the order was uses to reconstruct ATS order books and existing systems can be retired. In transmitted.’’ The Compliance Rule perform order-based surveillance, does not require Industry Members to 3 including layering, spoofing, and mid- Letter from Participants to Brent J. Fields, report such information barrier Secretary, SEC, re: File Number 4–698; Notice of point pricing manipulation Filing of the National Market System Plan surveillance.6 The Participants believe Governing the Consolidated Audit Trail (September 4 An OATS ‘‘Reporting Member’’ is defined in 23, 2016) at 21 (‘‘Participants’ Response to FINRA Rule 7410(o). Comments’’) (available at https://www.sec.gov/ 5 FINRA Rule 5320 prohibits trading ahead of 6 See FINRA Regulatory Notice 16–28 (August comments/4-698/4698-32.pdf). customer orders. 2016).

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that Industry Members operating The Compliance Rule does not require ATSs when reporting the execution of ATSs—whether such ATS trades NMS Industry Members to report such order an order to OATS: stocks or OTC Equity Securities— type information to the Central (1) The NBBO (or relevant reference price) should likewise be required to report Repository. To address this OATS–CAT in effect at the time of order execution; this information to the CAT. Because data gap, the Exchange proposes to (2) The timestamp of when the ATS ATSs that trade NMS stocks are already incorporate these requirements into four recorded the effective NBBO (or relevant recording this information and reporting new provisions to the Compliance Rule: reference price); and it to OATS, the Participants believe that Paragraphs (a)(1)(A)(xi)(a), (3) Identification of the market data feed reporting the same information to the (a)(1)(C)(x)(a), (a)(1)(D)(ix)(a) and used by the ATS to record the NBBO (or other reference price) for purposes of CAT should impose little burden on (a)(2)(D) of Rule 4.7. subparagraph (1). If for any reason, the ATS these ATSs. Moreover, including this Proposed paragraph (a)(1)(A)(xi)(a) of uses an alternative feed than what was information in the CAT is also necessary Rule 4.7 would require an Industry reported on its ATS data submission, the for FINRA to be able to retire the OATS Member that operates an ATS to record ATS must notify FINRA of the fact that an system. The Participants similarly and report to the Central Repository for alternative source was used, identify the believe that obtaining the same the original receipt or origination of an alternative source, and specify the date(s), information from ATSs that trade OTC time(s) and securities for which the order ‘‘the ATS’s unique identifier for alternative source was used. Equity Securities will be important for the order type of the order.’’ Proposed purposes of reconstructing ATS order paragraph (a)(1)(C)(x)(a) of Rule 4.7 The Compliance Rule does not require books and surveillance. Accordingly, would require an Industry Member that Industry Members to report such NBBO the Exchange proposes to add to the operates an ATS to record and report to information to the Central Repository. data reporting requirements in the the Central Repository for the receipt of To address this OATS–CAT data gap, Compliance Rule the reporting an order that has been routed ‘‘the the Exchange proposes to incorporate requirements for ATSs in FINRA Rule ATS’s unique identifier for the order these requirements into four new 4554,7 but to expand such requirements type of the order.’’ Proposed paragraph provisions to the Compliance Rule: so that they are applicable to all ATSs (a)(1)(D)(ix)(a) of Rule 4.7 would require (a)(1)(A)(xi)(b)–(c), (a)(1)(C)(x)(b)–(c), rather than solely to ATSs that trade an Industry Member that operates an (a)(1)(D)(ix)(b)–(c) and (a)(1)(E)(viii)(a)– NMS stocks. ATS to record and report to the Central (b) of Rule 4.7. Specifically, proposed paragraph (i) New Definition Repository if the order is modified or cancelled ‘‘the ATS’s unique identifier (a)(1)(A)(xi)(b)–(c) of Rule 4.7 would The Exchange proposes to add a for the order type of the order.’’ require an Industry Member that definition of ‘‘ATS’’ to new paragraph Furthermore, as with the requirements operates an ATS to record and report to (d) of Rule 4.5 to facilitate the addition in FINRA Rule 4554(b)(5), proposed the Central Repository the following to the CAT of the reporting paragraph (a)(2)(D) of Rule 4.7 would information when reporting the original requirements for ATSs set forth in state that: receipt or origination of order: FINRA Rule 4554. The Exchange (2) the National Best Bid and National Best An Industry Member that operates an ATS proposes to define an ‘‘ATS’’ to mean Offer (or relevant reference price) at the time must provide to the Central Repository: (1) A of order receipt or origination, and the date ‘‘an alternative trading system, as list of all of its order types twenty (20) days and time at which the ATS recorded such defined in Rule 300(a)(1) of Regulation before such order types become effective; and ATS under the Exchange Act.’’ National Best Bid and National Best Offer (or (2) any changes to its order types twenty (20) relevant reference price); (ii) ATS Order Type days before such changes become effective. (3) the identification of the market data An identifier shall not be required for market feed used by the ATS to record the National FINRA Rule 4554(b)(5) requires the and limit orders that have no other special Best Bid and National Best Offer (or relevant following information to be recorded handling instructions. reference price) for purposes of subparagraph and reported to FINRA by ATSs when (iii) National Best Bid and Offer (xi)(b). If for any reason the ATS uses an reporting receipt of an order to OATS: alternative market data feed than what was A unique identifier for each order type FINRA Rules 4554(b)(6) and (7) reported on its ATS data submission, the offered by the ATS. An ATS must provide require the following information to be ATS must provide notice to the Central FINRA with (i) a list of all of its order types recorded and reported to FINRA by Repository of the fact that an alternative source was used, identify the alternative 20 days before such order types become ATSs when reporting receipt of an order source, and specify the date(s), time(s) and effective and (ii) any changes to its order to OATS: securities for which the alternative source types 20 days before such changes become (6) The NBBO (or relevant reference price) was used. effective. An identifier shall not be required in effect at the time of order receipt and the for market and limit orders that have no other Similarly, proposed paragraphs timestamp of when the ATS recorded the special handling instructions. effective NBBO (or relevant reference price); (a)(1)(C)(x)(b)–(c), (a)(1)(D)(ix)(b)–(c) and and (a)(1)(E)(viii)(a)–(b) of Rule 4.7 7 FINRA Rule 4554 was approved by the SEC on (7) Identification of the market data feed would require an Industry Member that May 10, 2016, while the CAT NMS Plan was used by the ATS to record the NBBO (or operates an ATS to record and report to pending with the Commission. See Securities other reference price) for purposes of the Central Repository the same Exchange Act Release No. 77798 (May 10, 2016), 81 FR 30395 (May 16, 2016) (Order Approving SR– subparagraph (6). If for any reason, the ATS information when reporting receipt of FINRA–2016–010). As noted in the Participants’ uses an alternative feed than what was an order that has been routed, when Response to Comments, throughout the process of reported on its ATS data submission, the reporting if the order is modified or developing the Plan, the Participants worked to ATS must notify FINRA of the fact that an cancelled, and when an order has been keep the gap analyses for OATS, electronic blue alternative source was used, identify the sheets, and the CAT up-to-date, which included alternative source, and specify the date(s), executed, respectively. adding data fields related to the tick size pilot and time(s) and securities for which the (iv) Sequence Numbers ATS order book amendments to the OATS rules. alternative source was used. See Participants’ Response to Comments at 21. FINRA Rule 4554(d) states that ‘‘[f]or However, due to the timing of the expiration of the tick size pilot, the Participants decided not to Similarly, FINRA Rule 4554(c) all OATS-reportable event types, all include those data elements into the CAT NMS requires the following information to be ATSs must record and report to FINRA Plan. recorded and reported to FINRA by the sequence number assigned to the

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order event by the ATS’s matching re-prices an order or changes the origination of an order, ‘‘any request by engine.’’ The Compliance Rule does not quantity of an order,’’ the ATS must a Customer that a limit order not be require Industry Members to report ATS report to the Central Repository ‘‘the displayed, or that a block size limit sequence numbers to the Central time of such modification, and the order be displayed, pursuant to Repository. To address this OATS–CAT applicable new price or size.’’ Proposed applicable rules.’’ The Exchange also data gap, the Exchange proposes to paragraph (a)(1)(D)(ix)(e) of Rule 4.7 proposes to add paragraph (a)(1)(C)(ix) incorporate this requirement regarding would apply to all ATSs, not just ATSs to Rule 4.7, which would require ATS sequence numbers into each of the that display orders. Industry Members to record and report Reportable Events for the CAT. to the Central Repository, for the receipt Specifically, the Exchange proposes to (vi) Display of Subscriber Orders of an order that has been routed, ‘‘any add proposed paragraph (a)(1)(A)(xi)(d) FINRA Rule 4554(b)(1) requires the request by a Customer that a limit order to Rule 4.7, which would require an following information to be recorded not be displayed, or that a block size Industry Member that operates an ATS and reported to FINRA by ATSs when limit order be displayed, pursuant to to record and report to the Central reporting receipt of an order to OATS: applicable rules.’’ Repository ‘‘the sequence number Whether the ATS displays subscriber FINRA Rule 7440(d)(1) requires an assigned to the receipt or origination of orders outside the ATS (other than to OATS Reporting Member that modifies the order by the ATS’s matching alternative trading system employees). If an or receives a modification of an order to engine.’’ The Exchange proposes to add ATS does display subscriber orders outside report the customer instruction flag. The proposed paragraph (a)(1)(B)(viii) to the ATS (other than to alternative trading Compliance Rule does not require Rule 4.7, which would require an system employees), indicate whether the Industry Members to report such a Industry Member that operates an ATS order is displayed to subscribers only or customer instruction flag. To address to record and report to the Central through publicly disseminated quotation this OATS–CAT data gap, the Exchange data); Repository ‘‘the sequence number proposes to add paragraph (a)(1)(D)(viii) assigned to the routing of the order by The Compliance Rule does not require to Rule 4.7 which would require the ATS’s matching engine.’’ The Industry Members to report to the CAT Industry Members to record and report Exchange also proposes to add proposed such information about the displaying to the Central Repository, if the order is paragraph (a)(1)(C)(x)(d) to Rule 4.7, of subscriber orders. The Exchange modified or cancelled, ‘‘any request by which would require an Industry proposes to add comparable a Customer that a limit order not be Member that operates an ATS to record requirements into proposed paragraphs displayed, or that a block size limit and report to the Central Repository (a)(1)(A)(xi)(e) and (a)(1)(C)(x)(e) of Rule order be displayed, pursuant to ‘‘the sequence number assigned to the 4.7. Specifically, proposed paragraph applicable rules.’’ (a)(1)(A)(xi)(e) would require an receipt of the order by the ATS’s D. Department Type matching engine.’’ In addition, the Industry Member that operates an ATS Exchange proposes to add proposed to report to the Central Repository, for FINRA Rules 7440(b)(4) and (5) paragraph (a)(1)(D)(ix)(d) to Rule 4.7, the original receipt or origination of an require an OATS Reporting Member that which would require an Industry order, receives or originates an order to record the following information: ‘‘the Member that operates an ATS to record whether the ATS displays subscriber orders and report to the Central Repository outside the ATS (other than to alternative identification of any department or the ‘‘the sequence number assigned to the trading system employees). If an ATS does identification number of any terminal modification or cancellation of the order display subscriber orders outside the ATS where an order is received directly from by the ATS’s matching engine.’’ Finally, (other than to alternative trading system a customer’’ and ‘‘where the order is the Exchange proposes to add proposed employees), indicate whether the order is originated by a Reporting Member, the paragraph (a)(1)(E)(viii)(c) to Rule 4.7, displayed to subscribers only or through identification of the department of the publicly disseminated quotation data. which would require an Industry member that originates the order.’’ The Member that operates an ATS to record Similarly, proposed paragraph Compliance Rule does not require and report to the Central Repository (a)(1)(C)(x)(e) of Rule 4.7 would require Industry Members to report to the CAT ‘‘the sequence number assigned to the an Industry Member that operates an information regarding the department or execution of the order by the ATS’s ATS to record and report to the Central terminal where the order is received or matching engine.’’ Repository the same information when originated. To address this OATS–CAT reporting receipt of an order that has data gap, the Exchange proposes to add (v) Modification or Cancellation of been routed. paragraph (a)(1)(A)(ix) to Rule 4.7, Orders by ATSs which would require Industry Members FINRA Rule 4554(f) states that ‘‘[f]or C. Customer Instruction Flag to record and report to the Central an ATS that displays subscriber orders, FINRA Rule 7440(b)(14) requires a Repository upon the original receipt or each time the ATS’s matching engine re- FINRA OATS Reporting Member to origination of an order ‘‘the nature of prices a displayed order or changes the record the following when an order is the department or desk that originated display quantity of a displayed order, received or originated: ‘‘any request by the order, or received the order from a the ATS must report to OATS the time a customer that a limit order not be Customer.’’ of such modification,’’ and ‘‘the displayed, or that a block size limit Similarly, per FINRA Rules applicable new display price or size.’’ order be displayed, pursuant to 7440(c)(2)(B) and (4)(B), when an OATS The Exchange proposes adding a applicable rules.’’ The Compliance Rule Reporting Member receives an order comparable requirement into new does not require Industry Members to that has been transmitted by another paragraph (a)(1)(D)(ix)(e) to Rule 4.7. report to the CAT such a customer Member, the receiving OATS Reporting Specifically, proposed new paragraph instruction flag. To address this OATS– Member is required to record the (a)(1)(D)(ix)(e) of Rule 4.7 would require CAT data gap, the Exchange proposes to information required in 7440(b)(4) and an Industry Member that operates an add paragraph (a)(1)(A)(viii) to Rule 4.7, (5) described above as applicable. The ATS to report to the Central Repository, which would require Industry Members Compliance Rule does not require if the order is modified or cancelled, to record and report to the Central Industry Members to report to the CAT ‘‘each time the ATS’s matching engine Repository, for original receipt or information regarding the department

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that received an order. To address this Equity Securities. These best bid and the Participants requested that the SEC OATS–CAT data gap, the Exchange offer data feeds for OTC Equity exempt each Participant from the propose to add paragraph (a)(1)(C)(viii) Securities are similar to the best bid and requirement in Section 6.7(a)(v) of the to Rule 4.7 which would require offer SIP Data required to be collected CAT NMS Plan for each Participant, Industry Members to record and report by the Central Repository with regard to through its Compliance Rule, to require to the Central Repository upon the NMS Securities.8 Accordingly, the its Industry Members other than Small receipt of an order that has been routed Exchange proposes to add paragraph Industry Members (‘‘Large Industry ‘‘the nature of the department or desk (f)(1) to Rule 4.7 to require the reporting Members’’) to report to the Central that received the order.’’ of the best bid and offer data feeds for Repository Industry Member Data within two years of the Effective Date E. Account Holder Type OTC Equity Securities to the CAT. Specifically, proposed paragraph (f)(1) (that is, by November 15, 2018). In FINRA Rule 7440(b)(18) requires an of Rule 4.7 would require each Industry addition, the Participants requested that OATS Reporting Member that receives Member that operates an ATS that the SEC exempt each Participant from or originates an order to record the trades OTC Equity Securities to provide the requirement in Section 6.7(a)(vi) of following information: ‘‘the type of to the Central Repository ‘‘the best bid the CAT NMS Plan for each Participant, account, i.e., retail, wholesale, and best offer for each OTC Equity through its Compliance Rule, to require employee, proprietary, or any other type Security traded on such ATS.’’ its Small Industry Members 10 to report of account designated by FINRA, for to the Central Repository Industry which the order is submitted.’’ The B. Unsolicited Bid or Offer Flag Member Data within three years of the Compliance Rule does not require FINRA also receives from ATSs that Effective Date (that is, by November 15, Industry Members to report to the CAT trade OTC Equity Securities an 2019). Correspondingly, the Participants information regarding the type of indication whether each bid or offer in requested that the SEC provide an account holder for which the order is OTC Equity Securities on such ATS was exemption from the requirement in submitted. To address this OATS–CAT solicited or unsolicited. Therefore, the Section 6.4 of the CAT NMS Plan that data gap, the Exchange proposes to add Exchange proposes to add paragraph ‘‘[t]he requirements for Industry paragraph (a)(1)(A)(x) to Rule 4.7, which (f)(2) to Rule 4.7 to require the reporting Members under this Section 6.4 shall would require Industry Members to to the CAT of an indication as to become effective on the second record and report to the Central whether a bid or offer was solicited or anniversary of the Effective Date in the Repository upon the original receipt or unsolicited. Specifically, proposed case of Industry Members other than origination of an order ‘‘the type of paragraph (f)(2) of Rule 4.7 would Small Industry Members, or the third account holder for which the order is require each Industry Member that anniversary of the Effective Date in the submitted.’’ operates an ATS that trades OTC Equity case of Small Industry Members.’’ On ii. OTC Equity Securities Securities to provide to the Central April 20, 2020, the SEC granted the Repository ‘‘an indication of whether Participants exemptive relief to The Participants have identified each bid and offer for OTC Equity implement Phased Reporting, subject to several data elements related to OTC Securities was solicited or unsolicited.’’ certain timeline changes and Equity Securities that FINRA currently conditions.11 receives from ATSs that trade OTC C. Unpriced Bids and Offers As a condition to the exemption, each Equity Securities for regulatory FINRA receives from ATSs that trade Participant would implement Phased oversight purposes, but are not currently OTC Equity Securities certain unpriced Reporting through its Compliance Rule included in CAT Data. In particular, the bids and offers for each OTC Equity by requiring: Participants identified three data Security traded on the ATS. Therefore, (1) its Large Industry Members and its elements that need to be added to the the Exchange proposes to add paragraph Small Industry Members that are required to CAT: (1) Bids and offers for OTC Equity (f)(3) to Rule 4.7, which would require record or report information to OATS Securities; (2) a flag indicating whether each Industry Member that operates an pursuant to applicable SRO rules (‘‘Small a quote in OTC Equity Securities is ATS that trades OTC Equity Securities Industry OATS Reporters’’) to commence solicited or unsolicited; and (3) to provide to the Central Repository reporting to the Central Repository Phase 2a unpriced bids and offers in OTC Equity Industry Member Data by June 22, 2020, and ‘‘the unpriced bids and offers for each its Small Industry Non-OATS Reporters to Securities. The Participants believe that OTC Equity Security traded on such such data will continue to be important commence reporting to the Central ATS.’’ Repository Phase 2a Industry Member Data for regulators to oversee the OTC Equity by December 13, 2021; Securities market when using the CAT. iii. Revised Industry Member Reporting (2) its Large Industry Members to Moreover, the Participants do not Timeline commence reporting to the Central believe that the proposed requirement On February 19, 2020, the Repository Phase 2b Industry Member Data would burden ATSs because they Participants filed with the Commission currently report this information to a request for exemptive relief from 10 See Section 1.1 of the CAT NMS Plan. FINRA and thus the reporting certain provisions of the CAT NMS Plan 11 See Securities Exchange Act Release No. 88702 (April 20, 2020), 85 FR 23075 (April 24, 2020). As requirement would merely shift from to allow for the implementation of discussed in the SEC’s exemptive order, the FINRA to the CAT. Accordingly, as phased reporting to the CAT by Industry Commission granted the Participants conditional discussed below, the Exchange proposes Members (‘‘Phased Reporting’’).9 exemptive relief from the CAT NMS Plan so that the to amend its Compliance Rule to Specifically, in their exemptive request, Compliance Rules may require Phase 2a reporting to commence on June 22, 2020, rather than the include these data elements. April 20, 2020 date set forth in the exemptive 8 A. Bids and Offers for OTC Equity Section 6.5(a)(ii) of the CAT NMS Plan. request, and Phase 2b reporting to commence on 9 See Letter to Vanessa Countryman, Secretary, July 20, 2020, rather than the May 18, 2020 date set Securities SEC, from Michael Simon, CAT NMS Plan forth in the exemptive request. As a condition to the In performing its current regulatory Operating Committee Chair, re: Request for exemptive relief, Industry Members who elect to Exemption from Provisions of the National Market report to the CAT prior to such dates will be oversight, FINRA receives a data feed of System Plan Governing the Consolidated Audit permitted to report to the CAT as early as April 20, the best bids and offers in OTC Equity Trail related to Industry Member Reporting Dates 2020 for Phase 2a reporting and as early as May 18, Securities from ATSs that trade OTC (Feb. 19, 2020). 2020 for Phase 2b reporting.

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by July 20, 2020, and its Small Industry the Central Repository ‘‘Phase 2a Securities) received by an Industry Members to commence reporting to the Industry Member Data’’ by June 22, Member operating an interdealer Central Repository Phase 2b Industry 2020.12 To implement the Phased quotation system (‘‘IDQS’’); and Member Data by December 13, 2021; Reporting for Phase 2a, the Exchange • electronic quotes in unlisted (3) its Large Industry Members to Eligible Securities sent to an IDQS or commence reporting to the Central proposes to add paragraph (t)(1) of Rule Repository Phase 2c Industry Member Data 4.5 (previously paragraph (s)) and other quotation system not operated by by April 26, 2021, and its Small Industry amend paragraphs (c)(1) and (2) of Rule a Participant or Industry Member. Members to commence reporting to the 4.16. Phase 2a Industry Member Data Central Repository Phase 2c Industry would include Firm Designated IDs. Member Data by December 13, 2021; (i) Scope of Reporting in Phase 2a During Phase 2a, Industry Members (4) its Large Industry Members and Small To implement the Phased Reporting would be required to report Firm Industry Members to commence reporting to with respect to Phase 2a, the Exchange Designated IDs to the CAT, as required the Central Repository Phase 2d Industry proposes to add a definition of ‘‘Phase by paragraphs (a)(1)(A)(i), and (a)(2)(C) Member Data by December 13, 2021; and 2a Industry Member Data’’ as paragraph of Rule 4.7. Paragraph (a)(1)(A)(i) of (5) its Large Industry Members and Small Industry Members to commence reporting to (t)(1) of Rule 4.5. Specifically, the Rule 4.7 requires Industry Members to the Central Repository Phase 2e Industry Exchange proposes to define the term submit the Firm Designated ID for the Member Data by July 11, 2022. ‘‘Phase 2a Industry Member Data’’ as original receipt or origination of an The full scope of CAT Data required under ‘‘Industry Member Data required to be order. Paragraph (a)(2)(C) of Rule 4.7 the CAT NMS Plan will be required to be reported to the Central Repository requires Industry Members to record reported when all five phases of the Phased commencing in Phase 2a.’’ Phase 2a and report to the Central Repository, for Reporting have been implemented, subject to Industry Member Data would include original receipt and origination of an any applicable exemptive relief or Industry Member Data solely related to order, the Firm Designated ID if the amendments related to the CAT NMS Plan. Eligible Securities that are equities. order is executed, in whole or in part. As a further condition to the While the following summarizes In Phase 2a, Industry Members would exemption, each Participant proposes to categories of Industry Member Data be required to report all street side implement the testing timelines required for Phase 2a, the Industry representative orders, including both described in Section F below through its Member Technical Specifications agency and proprietary orders and mark Compliance Rule by requiring the provide detailed guidance regarding the such orders as representative orders, following: reporting for Phase 2a.13 except in certain limited exceptions as (1) Industry Member file submission and Phase 2a Industry Member Data described in the Industry Member data integrity testing for Phases 2a and 2b would include all events and scenarios Technical Specifications. A begins in December 2019. covered by OATS. FINRA Rule 7440 representative order is an order (2) Industry Member testing of the Reporter describes the OATS requirements for originated in a firm owned or controlled Portal, including data integrity error recording information, which includes account, including principal, agency correction tools and data submissions, begins information related to the receipt or average price and omnibus accounts, by in February 2020. origination of orders, order transmittal, an Industry Member for the purpose of (3) The Industry Member test environment and order modifications, cancellations working one or more customer or client will be open with intra-firm linkage validations to Industry Members for both and executions. Large Industry Members orders. Phases 2a and 2b in April 2020. and Small Industry OATS Reporters In Phase 2a, Industry Members would (4) The Industry Member test environment would be required to submit data to the be required to report the link between will be open to Industry Members with inter- CAT for these same events and the street side representative order and firm linkage validations for both Phases 2a scenarios during Phase 2a. The the order being represented when: (1) and 2b in July 2020. inclusion of all OATS events and The representative order was originated (5) The Industry Member test environment scenarios in the CAT is intended to specifically to represent a single order will be open to Industry Members with Phase facilitate the retirement of OATS. received either from a customer or 2c functionality (full representative order Phase 2a Industry Member Data also another broker-dealer; and (2) there is linkages) in January 2021. would include Reportable Events for: (a) an existing direct electronic link in (6) The Industry Member test environment • will be open to Industry Members with Phase Proprietary orders, including the Industry Member’s system between 2d functionality (manual options orders, market maker orders, for Eligible the order being represented and the complex options orders, and options Securities that are equities; representative order and (b) any allocations) in June 2021. • electronic quotes in listed equity resulting executions are immediately (7) Participant exchanges that support Eligible Securities (i.e., NMS stocks) and automatically applied to the options market making quoting will begin sent to a national securities exchange or represented order in the Industry accepting Quote Sent Time on quotes from FINRA’s Alternative Display Facility Member’s system. Industry Members no later than April 2020. (‘‘ADF’’); Phase 2a Industry Member Data also (8) The Industry Member test environment • electronic quotes in unlisted would include the manual and (customer and account information) will be Eligible Securities (i.e., OTC Equity Electronic Capture Time for Manual open to Industry Members in January 2022. Order Events. Specifically, for each As a result, the Exchange proposes to 12 Small Industry Members that are not required Reportable Event in Rule 4.7, Industry amend its Compliance Rule to be to record and report information to FINRA’s OATS Members would be required to provide consistent with the exemptive relief to pursuant to applicable SRO rules (‘‘Small Industry Non-OATS Reporters’’) would be required to report a timestamp pursuant to Rule 4.10. Rule implement Phased Reporting as to the Central Repository ‘‘Phase 2a Industry 4.10(b)(i) states that described below. Member Data’’ by December 13, 2021, which is Each Industry Member may record and approximately seventeen months after Large A. Phase 2a Industry Members and Small Industry OATS report: Manual Order Events to the Central Repository in increments up to and including In the first phase of Phased Reporting, Reporters begin reporting. 13 The items required to be reported commencing one second, provided that each Industry referred to as Phase 2a, Large Industry in Phase 2a do not include the items required to be Members shall record and report the time Members and Small Industry OATS reported in Phase 2c or Phase 2d, as discussed when a Manual Order Event has been Reporters would be required to report to below. captured electronically in an order handling

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and execution system of such Industry 2a Industry Member Data by June 22, Technical Specifications provide Member (‘‘Electronic Capture Time’’) in 2020.’’ detailed guidance regarding the milliseconds. Pursuant to paragraph (c)(2) of Rule reporting for Phase 2b. Accordingly, for Phase 2a, Industry 4.16, Small Industry Members are Phase 2b Industry Member Data Members would be required to provide required to begin reporting to the CAT would include Industry Member Data both the manual and Electronic Capture by November 15, 2019. To implement related to Eligible Securities that are Time for Manual Order Events.14 the Phased Reporting for Phase 2a for options and related to simple electronic Industry Members would be required Small Industry Members, the Exchange option orders, excluding electronic to report special handling instructions proposes to delete the November 15, paired option orders.16 A simple for the original receipt or origination of 2019 date and to supplement paragraph electronic option order is an order to an order during Phase 2a. In addition, (c)(2) of Rule 4.16 with new paragraphs buy or sell a single option that is not during Phase 2a, Industry Members will (c)(2)(A) and (B) of Rule 4.16. Proposed related to or dependent on any other be required to report, when routing an paragraph (c)(2)(A) of Rule 4.16 would transaction for pricing and timing of order, whether the order was routed as state that execution that is either received or an intermarket sweep order (‘‘ISO’’). Each Industry Member that is a Small routed electronically by an Industry Industry Members would be required to Industry Member shall record and report the Member. Electronic receipt of an order report special handling instructions on Industry Member Data to the Central is defined as the initial receipt of an routes other than ISOs in Phase 2c, Repository, as follows: (A) Small Industry order by an Industry Member in rather than Phase 2a. Members that are required to record or report electronic form in standard format In Phase 2a, Industry Members would information to FINRA’s Order Audit Trail directly into an order handling or not be required to report modifications System pursuant to applicable SRO rules execution system. Electronic routing of of a previously routed order in certain (‘‘Small Industry OATS Reporter’’) to report to the Central Repository Phase 2a Industry an order is the routing of an order via limited instances. Specifically, if a Member Data by June 22, 2020. electronic medium in standard format trader or trading software modifies a from one Industry Member’s order previously routed order, the routing Proposed paragraph (c)(2)(B) of Rule handling or execution system to an firm is not required to report the 4.16 would state that ‘‘Small Industry exchange or another Industry Member. modification of an order route if the Members that are not required to record An electronic paired option order is an destination to which the order was or report information to FINRA’s Order electronic option order that contains routed is a CAT Reporter that is Audit Trail System pursuant to both the buy and sell side that is routed required to report the corresponding applicable SRO rules (‘‘Small Industry to another Industry Member or exchange order activity. If, however, the order was Non-OATS Reporter’’) to report to the for crossing and/or price improvement modified by a Customer or other non- Central Repository Phase 2a Industry as a single transaction on an exchange. CAT Reporter, and subsequently the Member Data by December 13, 2021.’’ Responses to auctions of simple orders routing Industry Members sends a B. Phase 2b and paired simple orders are also modification to the destination to which reportable in Phase 2b. In the second phase of the Phased the order was originally routed, then the Furthermore, combined orders in Reporting, referred to as Phase 2b, Large routing Industry Member must report options would be treated in Phase 2b in Industry Members would be required to the modification of the order route.15 In the same way as equity representative report to the Central Repository ‘‘Phase addition, in Phase 2a, Industry Members orders are treated in Phase 2a. A 2b Industry Member Data’’ by July 20, would not be required to report a combined order would mean, as 2020. Small Industry Members would be cancellation of an order received from a permitted by Exchange rules, a single, required to report to the Central Customer after the order has been simple order in Listed Options created Repository ‘‘Phase 2b Industry Member executed. by combining individual, simple orders Data’’ by December 13, 2021, which is in Listed Options from a customer with approximately seventeen months after (ii) Timing of Phase 2a Reporting the same exchange origin code before Large Industry Members begin reporting Pursuant to paragraph (c)(1) of Rule routing to an exchange. During Phase such data to the Central Repository. To 4.16, Large Industry Members are 2b, the single combined order sent to an implement the Phased Reporting for required to begin reporting to the CAT exchange must be reported and marked Phase 2b, the Exchange proposes to add by November 15, 2018. To implement as a combined order, but the linkage to paragraph (t)(2) to Rule 4.5 and amend the Phased Reporting for Phase 2a for the underlying orders is not required to paragraphs (c)(1) and (2) of Rule 4.16. Large Industry Members, the Exchange be reported until Phase 2d. proposes to delete the November 15, (i) Scope of Phase 2b Reporting (ii) Timing of Phase 2b Reporting 2018 date and to supplement paragraph To implement the Phased Reporting (c)(1) of Rule 4.16 with new paragraph Pursuant to paragraph (c)(1) of Rule with respect to Phase 2b, the Exchange 4.16, Large Industry Members are (c)(1)(A) of Rule 4.16, which would proposes to add a definition of ‘‘Phase state, in relevant part, that ‘‘Each required to begin reporting to the CAT 2b Industry Member Data’’ as paragraph by November 15, 2018. To implement Industry Member (other than a Small (t)(2) to Rule 4.5. Specifically, the Industry Member) shall record and the Phased Reporting for Phase 2b for Exchange proposes to define the term Large Industry Members, the Exchange report the Industry Member Data to the ‘‘Phase 2b Industry Member Data’’ as Central Repository, as follows: (A) Phase proposes to delete the November 15, ‘‘Industry Member Data required to be 2018 date and to supplement paragraph reported to the Central Repository 14 Industry Members would be required to (c)(1) of Rule 4.16 with new paragraph provide an Electronic Capture Time following the commencing in Phase 2b.’’ Phase 2b (c)(1)(B) of Rule 4.16, which would manual capture time only for new orders that are Industry Member Data is described in state, in relevant part, that ‘‘Each Manual Order Events and, in certain instances, detail in the Industry Member Technical Industry Member (other than a Small routes that are Manual Order Events. The Electronic Specifications for Phase 2b. While the Capture Time would not be required for other Manual Order Events. following summarizes the categories of 16 The items required to be reported in Phase 2b 15 This approach is comparable to the approach Industry Member Data required for do not include the items required to be reported in set forth in OATS Compliance FAQ 35. Phase 2b, the Industry Member Phase 2d, as discussed below in Section A.4.

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Industry Member) shall record and Phase 2c Industry Member Data Management System (‘‘OMS’’)— report the Industry Member Data to the would include Industry Member Data Execution Management System (‘‘EMS’’) Central Repository, as follows: . . . (B) that is related to Eligible Securities that scenarios, as required in the Industry Phase 2b Industry Member Data by July are equities and that is related to: (1) Member Technical Specifications.19 20, 2020.’’ Allocation Reports as required to be Phase 2c Industry Member Data also Pursuant to paragraph (c)(2) of Rule recorded and reported to the Central includes electronic quotes that are 4.16, Small Industry Members are Repository pursuant to Section provided by or received in a CAT required to begin reporting to the CAT 6.4(d)(ii)(A)(1) of the CAT NMS Plan; (2) Reporter’s order/quote handling or by November 15, 2019. To implement quotes in unlisted Eligible Securities execution systems in Eligible Securities the Phased Reporting for Phase 2b for sent to an IDQS operated by a CAT that are equities and are provided by an Small Industry Members, the Exchange Reporter (reportable by the Industry Industry Member to other market proposes to delete the November 15, Member sending the quotes) (except for participants off a national securities 2019 date and to supplement paragraph quotes reportable in Phase 2d, as exchange under the following (c)(2) of Rule 4.16 with new paragraph discussed below); (3) electronic quotes conditions: (1) An equity bid or offer is (c)(2)(C) of Rule 4.16, which would in listed equity Eligible Securities (i.e., displayed publicly or has been state, in relevant part, that ‘‘Each NMS stocks) that are not sent to a communicated (a) for listed securities to Industry Member that is a Small national securities exchange or FINRA’s the Alternative Display Facility (ADF) Industry Member shall record and Alternative Display Facility; (4) operated by FINRA; or (b) for unlisted report the Industry Member Data to the reporting changes to client instructions equity securities to an ‘‘inter-dealer Central Repository, as follows: . . . (C) regarding modifications to algorithms; quotation system’’ as defined in FINRA Small Industry Members to report to the (5) marking as a representative order Rule 6420(c); or (2) an equity bid or Central Repository Phase 2b Industry any order originated to work a customer offer which is accessible electronically Member Data . . . by December 13, order in price guarantee scenarios, such by customers or other market 2021.’’ as a guaranteed VWAP; (6) flagging participants and is immediately actionable for execution or routing; i.e., C. Phase 2c rejected external routes to indicate a route was not accepted by the receiving no further manual or electronic action is In the third phase of the Phased destination; (7) linkage of duplicate required by the responder providing the Reporting, referred to as Phase 2c, Large electronic messages related to a Manual quote in order to execute or cause a Industry Members would be required to Order Event between the electronic trade to be executed). With respect to report to the Central Repository ‘‘Phase event and the original manual route; (8) OTC Equity Securities, OTC Equity 2c Industry Member Data’’ by April 26, special handling instructions on order Securities quotes sent by an Industry 2021. Small Industry Members would be route reports (other than the ISO, which Member to an IDQS operated by an required to report to the Central is required to be reported in Phase 2a); Industry Member CAT Reporter (other Repository ‘‘Phase 2c Industry Member (9) quote identifier on trade events; (10) than such an IDQS that does not match Data’’ by December 13, 2021, which is reporting of large trader identifiers 17 and execute orders) are reportable by approximately seven months after Large (‘‘LTID’’) (if applicable) for accounts the Industry Member sending them in Industry Members begin reporting such with Reportable Events that are Phase 2c. Accordingly, any response to data to the Central Repository. To reportable to CAT as of and including a request for quote or other form of implement the Phased Reporting for Phase 2c; (11) reporting of date account solicitation response provided in Phase 2c, the Exchange proposes to add opened or Account Effective Date 18 (as standard electronic format (e.g., FIX) paragraph (t)(3) to Rule 4.5 and amend applicable) for accounts and flag that meets this quote definition (i.e., an paragraphs (c)(1) and (2) of Rule 4.16. indicating the Firm Designated ID type equity bid or offer which is accessible (i) Scope of Phase 2c Reporting as account or relationship; (12) order electronically by customers or other effective time for orders that are market participants and is immediately To implement the Phased Reporting received by an Industry Member and do actionable for execution or routing) with respect to Phase 2c, the Exchange not become effective until a later time; would be reportable in Phase 2c. proposes to add a definition of ‘‘Phase (13) the modification or cancellation of 2c Industry Member Data’’ as paragraph an internal route of an order; and (14) (ii) Timing of Phase 2c Reporting (t)(3) to Rule 4.5. Specifically, the linkages to the customer order(s) being Pursuant to paragraph (c)(1) of Rule Exchange proposes to define the term represented for all representative order 4.16, Large Industry Members are ‘‘Phase 2c Industry Member Data’’ as scenarios, including agency average required to begin reporting to the CAT ‘‘Industry Member Data required to be price trades, net trades, aggregated by November 15, 2018. To implement reported to the Central Repository orders, and disconnected Order the Phased Reporting for Phase 2c for commencing in Phase 2c.’’ Phase 2c Large Industry Members, the Exchange Industry Member Data’’ would be 17 See definition of ‘‘Customer Account proposes to delete the November 15, Industry Member Data related to Eligible Information’’ in Section 1.1 of the CAT NMS Plan. 2018 date and to supplement paragraph Securities that are equities other than See also Rule 13h–1 under the Exchange Act. (c)(1) of Rule 4.16 with new paragraph Phase 2a Industry Member Data, Phase 18 See definition of ‘‘Customer Account Information’’ and ‘‘Account Effective Date’’ in (c)(1)(C) of Rule 4.16, which would 2d Industry Member Data or Phase 2e Section 1.1 of the CAT NMS Plan. Note that the state, in relevant part, that ‘‘Each Industry Member Data. Phase 2c Exchange also proposes to amend the dates in the Industry Member (other than a Small Industry Member Data is described in definitions of ‘‘Account Effective Date’’ and Industry Member) shall record and detail in the Industry Member Technical ‘‘Customer Account Information’’ to reflect the Phased Reporting. Specifically, the Exchange report the Industry Member Data to the Specifications for Phase 2c. While the proposes to amend paragraph (m)(2) of Rule 4.5 to following summarizes the categories of replace the references to November 15, 2018 and 19 In Phase 2c, for any scenarios that involve Industry Member Data required for 2019 with references to the commencement of orders originated in different systems that are not Phase 2c, the Industry Member Phase 2c and Phase 2d. The Exchange also proposes directly linked, such as a customer order originated to amend paragraphs (a)(1)(A), (a)(1)(B) and (a)(2)– in an OMS and represented by a principal order Technical Specifications provide (5) of Rule 6810 regarding the definition of originated in an EMS that is not linked to the OMS, detailed guidance regarding the ‘‘Account Effective Date’’ with similar changes to marking and linkages must be reported as required reporting for Phase 2c. the dates set forth therein. in the Industry Member Technical Specifications.

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Central Repository, as follows: . . . (C) Industry Member Data required for instances; and (3) OTC Equity Securities Phase 2c Industry Member Data by April Phase 2d, the Industry Member quotes sent by an Industry Member to 26, 2021.’’ Technical Specifications provide an IDQS operated by an Industry Pursuant to paragraph (c)(2) of Rule detailed guidance regarding the Member CAT Reporter that does not 4.16, Small Industry Members are reporting for Phase 2d. match and execute orders. In addition, required to begin reporting to the CAT Phase 2d Industry Member Data subject to any exemptive or other relief, by November 15, 2019. To implement includes with respect to the Eligible Phase 2d Industry Member Data will the Phased Reporting for Phase 2c for Securities that are options: (1) Simple include verbal or manual quotes on an Small Industry Members, the Exchange manual orders; (2) electronic and exchange floor or in the over-the- proposes to delete the November 15, manual paired orders; (3) all complex counter market, where verbal quotes 2019 date and to supplement paragraph orders with linkages to all CAT- and manual quotes are defined as bids (c)(2) of Rule 4.16 with new paragraph reportable legs; (4) LTIDs (if applicable) or offers in Eligible Securities provided (c)(2)(C) of Rule 4.16, which would for accounts with Reportable Events for verbally or that are provided or received state, in relevant part, that ‘‘Each Phase 2d; (5) date account opened or other than via a CAT Reporter’s order Industry Member that is a Small Account Effective Date (as applicable) handling and execution system (e.g., Industry Member shall record and for accounts with an LTID and flag quotations provided via email or instant report the Industry Member Data to the indicating the Firm Designated ID type messaging). Central Repository, as follows: . . . (C) as account or relationship for such Small Industry Members to report to the accounts; 21 (6) Allocation Reports as (ii) Timing of Phase 2d Reporting Central Repository . . . Phase 2c required to be recorded and reported to Pursuant to paragraph (c)(1) of Rule Industry Member Data . . . by the Central Repository pursuant to 4.16, Large Industry Members are December 13, 2021.’’ Section 6.4(d)(ii)(A)(1) of the CAT NMS required to begin reporting to the CAT D. Phase 2d Plan; (7) the modification or by November 15, 2018. To implement cancellation of an internal route of an the Phased Reporting for Phase 2d for In the fourth phase of the Phased order; and (8) linkage between a Large Industry Members, the Exchange Reporting, referred to as Phase 2d, Large combined order and the original proposes to delete the November 15, Industry Members and Small Industry customer orders. 2018 date and to supplement paragraph Members would be required to report to Phase 2d Industry Member Data also the Central Repository ‘‘Phase 2d (c)(1) of Rule 4.16 with new paragraph would include electronic quotes that are (c)(1)(D) of Rule 4.16, which would Industry Member Data’’ by December provided by or received in a CAT 13, 2021. To implement the Phased state, in relevant part, that ‘‘[e]ach Reporter’s order/quote handling or Industry Member (other than a Small Reporting for Phase 2d, the Exchange execution systems in Eligible Securities proposes to add paragraph (t)(4) to Rule Industry Member) shall record and that are options and are provided by an report the Industry Member Data to the 4.5 and amend paragraphs (c)(1) and (2) Industry Member to other market of Rule 4.16. Central Repository, as follows: . . . (D) participants off a national securities Phase 2d Industry Member Data by (i) Scope of Phase 2d Reporting exchange under the following December 13, 2021.’’ conditions: A listed option bid or offer To implement the Phased Reporting Pursuant to paragraph (c)(2) of Rule which is accessible electronically by with respect to Phase 2d, the Exchange 4.16, Small Industry Members are customers or other market participants proposes to add a definition of ‘‘Phase required to begin reporting to the CAT and is immediately actionable (i.e., no 2d Industry Member Data’’ as paragraph by November 15, 2019. To implement further action is required by the (t)(4) to Rule 6.5. Specifically, the the Phased Reporting for Phase 2d for Exchange proposes to define the term responder providing the quote in order Small Industry Members, the Exchange ‘‘Phase 2d Industry Member Data’’ as to execute or cause a trade to be proposes to delete the November 15, ‘‘Industry Member Data required to be executed). Accordingly, any response to 2019 date and to supplement paragraph reported to the Central Repository a request for quote or other form of (c)(2) of Rule 4.16 with new paragraph commencing in Phase 2d.’’ 20 solicitation response provided in (c)(2)(C) of Rule 4.16, which would ‘‘Phase 2d Industry Member Data’’ is standard electronic format (e.g., FIX) state, in relevant part, that ‘‘Each Industry Member Data that is related to that meets this definition would be Industry Member that is a Small Eligible Securities that are options other reportable in Phase 2d for options. Industry Member shall record and Phase 2d Industry Member Data also than Phase 2b Industry Member Data, report the Industry Member Data to the would include with respect to Eligible Industry Member Data that is related to Central Repository, as follows: . . . (C) Securities that are options or equities (1) Eligible Securities that are equities other Small Industry Members to report to the receipt time of cancellation and than Phase 2a Industry Member Data or Central Repository . . . Phase 2d modification instructions through Order Phase 2c Industry Member Data, and Industry Member Data by December 13, Cancel Request and Order Modification Industry Member Data other than Phase 2021.’’ 2e Industry Member Data. Phase 2d Request events; (2) modifications of Industry Member Data is described in previously routed orders in certain E. Phase 2e detail in the Industry Member Technical In the fifth phase of Phased Reporting, Specifications for Phase 2d. While the 21 As noted above, the Exchange also proposes to amend the dates in the definitions of ‘‘Account referred to as Phase 2e, both Large following summarizes the categories of Effective Date’’ and ‘‘Customer Account Industry Members and Small Industry Information’’ to reflect the Phased Reporting. Members would be required to report to 20 The Participants have determined that Specifically, the Exchange proposes to amend the Central Repository ‘‘Phase 2e reporting information regarding the modification or paragraph (m)(2) of Rule 6.5 to replace the cancellation of a route is necessary to create the full references to November 15, 2018 and 2019 with Industry Member Data’’ by July 11, lifecycle of an order. Accordingly, the Participants references to the commencement of Phase 2c and 2022. To implement the Phased require the reporting of information related to the Phase 2d. The Exchange also proposes to amend Reporting for Phase 2e, the Exchange modification or cancellation of a route similar to the paragraphs (a)(1)(A), (a)(1)(B) and (a)(2)–(5) of Rule proposes to add paragraph (t)(5) to Rule data required for the routing of an order and 6810 regarding the definition of ‘‘Account Effective modification and cancellation of an order pursuant Date’’ with similar changes to the dates set forth 4.5 and amend paragraphs (c)(1) and (2) to Sections 6.3(d)(ii) and (iv) of the CAT NMS Plan. therein. of Rule 4.16.

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(i) Scope of Phase 2e Reporting the Phased Reporting for Phase 2e for Compliance Rule, to require that, to the To implement the Phased Reporting Small Industry Members, the Exchange extent that its Industry Members utilize with respect to Phase 2e, the Exchange proposes to delete the November 15, timestamps in increments finer than proposes to add a definition of ‘‘Phase 2019 date and to supplement paragraph nanoseconds in their order handling or 2e Industry Member Data’’ as paragraph (c)(2) of Rule 4.16 with new paragraph execution systems, such Industry (t)(5) of Rule 4.16. Specifically, the (c)(2)(D) of Rule 4.16, which would Members utilize such finer increment Exchange proposes to define the term state, in relevant part, that ‘‘[e]ach when reporting CAT Data to the Central 23 ‘‘Phase 2e Industry Member Data’’ as Industry Member that is a Small Repository. On April 8, 2020, the Industry Member shall record and Participants received the exemptive ‘‘Industry Member Data required to be 24 reported to the Central Repository report the Industry Member Data to the relief. As a condition to this commencing in Phase 2e. The full scope Central Repository, as follows: . . . (E) exemption, the Participants, through of Industry Member Data required by Small Industry Members to report to the their Compliance Rules, will require the CAT NMS Plan will be required to Central Repository Phase 2e Industry Industry Members that capture be reported to the CAT when Phase 2e Member Data by July 11, 2022.’’ timestamps in increments more granular than nanoseconds to truncate the has been implemented, subject to any F. Industry Member Testing timestamps, after the nanosecond level applicable exemptive relief or Requirements for submission to CAT, not round up or amendments to the CAT NMS Plan.’’ Rule 4.13(a) sets forth various down in such circumstances. The LTIDs and Account Effective Date are compliance dates for the testing and timestamp granularity exemption both required to be reported in Phases development for connectivity, remains in effect for five years, until 2c and 2d in certain circumstances, as acceptance and the submission order April 8, 2025. After five years, the discussed above. The terms ‘‘Customer data. In light of the intent to shift to exemption would no longer be in effect Account Information’’ and ‘‘Customer Phased Reporting in place of the two unless the period the exemption is in Identifying Information’’ are defined in specified dates for the commencement effect is extended by the SEC. Rule 4.5 of the Compliance Rule.22 The of reporting for Large and Small Accordingly, the Exchange proposes Industry Member Technical Industry Members, the Exchange to amend its Compliance Rule to reflect Specifications provide detailed correspondingly proposes to replace the the exemptive relief. Specifically, the guidance regarding the reporting for Industry Member development testing Exchange proposes to amend paragraph Phase 2e. milestones in Rule 6880(a) with the (a)(2) of Rule 4.10. Rule 4.10(a)(2) states (ii) Timing of Phase 2e Reporting testing milestones set forth in the that Pursuant to paragraph (c)(1) of Rule exemptive relief. Specifically, the Subject to paragraph (b), to the extent that 4.16, Large Industry Members are Exchange proposes to replace Rule any Industry Member’s order handling or required to begin reporting to the CAT 6880(a) with the following: execution systems utilize time stamps in increments finer than milliseconds, such by November 15, 2018. To implement (1) Industry Member file submission and Industry Member shall record and report the Phased Reporting for Phase 2e for data integrity testing for Phases 2a and 2b Industry Member Data to the Central Large Industry Members, the Exchange shall begin in December 2019. Repository with time stamps in such finer proposes to delete the November 15, (2) Industry Member testing of the Reporter increment. Portal, including data integrity error 2018 date and to supplement paragraph correction tools and data submissions, shall The Exchange proposes to amend this (c)(1) of Rule 4.16 with new paragraph begin in February 2020. provision to read as follows to reflect (c)(1)(E) of Rule 4.16, which would (3) The Industry Member test environment the exemptive relief: Subject to state, in relevant part, that ‘‘[e]ach shall open with intra-firm linkage validations paragraph (b), to the extent that any Industry Member (other than a Small to Industry Members for both Phases 2a and Industry Member’s order handling or Industry Member) shall record and 2b in April 2020. execution systems utilize time stamps in report the Industry Member Data to the (4) The Industry Member test environment increments finer than milliseconds, shall open to Industry Members with inter- Central Repository, as follows: . . . (E) such Industry Member shall record and Phase 2e Industry Member Data by July firm linkage validations for both Phases 2a and 2b in July 2020. report Industry Member Data to the 11, 2022.’’ (5) The Industry Member test environment Central Repository with time stamps in Pursuant to paragraph (c)(2) of Rule shall open to Industry Members with Phase such finer increment up to 4.16, Small Industry Members are 2c functionality (full representative order nanoseconds; provided, that Industry required to begin reporting to the CAT linkages) in January 2021. Members that capture timestamps in by November 15, 2019. To implement (6) The Industry Member test environment increments more granular than shall open to Industry Members with Phase nanoseconds must truncate the 22 The term ‘‘Customer Account Information’’ 2d functionality (manual options orders, timestamps after the nanosecond level includes account numbers, and the term ‘‘Customer complex options orders, and options for submission to CAT, rather than Identifying Information’’ includes, with respect to allocations) in June 2021. individuals, dates of birth and SSNs. See Rule 4.5. (7) Participant exchanges that support rounding such timestamps up or down, The Participants have received exemptive relief options market making quoting shall begin until April 8, 2025. from the requirements for the Participants to require accepting Quote Sent Time on quotes from their members to provide dates of birth, account v. Introducing Industry Members numbers and social security numbers for Industry Members no later than April 2020. individuals to the CAT. See Securities Exchange (8) The Industry Member test environment On February 3, 2020, the Participants Act Release No. 88393 (March 17, 2020), 85 FR (customer and account information) will be requested that the Commission exempt 16152 (March 20, 2020). See also Letter to Vanessa open to Industry Members in January 2022. Countryman, Secretary, SEC, from Michael Simon, 23 See Letter to Vanessa Countryman, Secretary, CAT NMS Plan Operating Committee Chair, re: iv. Granularity of Timestamps SEC, from Michael Simon, CAT NMS Plan Request for Exemptive Relief from Certain Operating Committee Chair, re: Request for Provisions of the CAT NMS Plan related to Social On February 3, 2020, the Participants Exemption from Certain Provisions of the National Security Numbers, Dates of Birth and Account filed with the Commission a request for Market System Plan Governing the Consolidated Numbers (Jan. 29, 2020). Given the relief has been Audit Trail related to Granularity of Timestamps granted, Phase 2e Industry Member Data will not exemptive relief from the requirement and Relationship Identifiers (Feb. 3, 2020). include account numbers, dates of birth and SSNs in Section 6.8(b) of the CAT NMS Plan 24 See Securities Exchange Act Release No. 88608 for individuals. for each Participant, through its (April 8, 2020), 85 FR 20743 (April 14, 2020).

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broker-dealers that do not qualify as Participants and others indicated Participants’ regulatory staff and the Small Industry Members solely because security concerns with maintaining SEC in queries and analysis of CAT they satisfy Rule 0–10(i)(2) under the such sensitive Customer information in Data. To implement the CCID Exchange Act and, as a result, are the CAT. On March 17, 2020, the Alternative, the Participants requested deemed affiliated with an entity that is Participants received the exemptive exemptive relief from the requirement not a small business or small relief, subject to certain conditions.28 in Section 6.4(d)(ii)(C) of the CAT NMS organization (‘‘Introducing Industry Assuming the Participants comply with Plan to require, through their Member’’) from the requirements in the the conditions set forth in the PII Compliance Rules, Industry Members to CAT NMS Plan applicable to Industry Exemption Order, Industry Members record and report SSNs to the Central Members other than Small Industry would not be required to report SSNs, Repository for the original receipt of an Members (‘‘Large Industry Members’’).25 dates of birth and account numbers to order. As set forth in one condition of Instead, such Introducing Industry the CAT NMS Plan. the PII Exemption Order, Industry Members would comply with the As described in the request for Members would be required to requirements in the CAT NMS Plan exemptive relief, the Participants transform an SSN to an interim value, applicable to Small Industry Members. requested exemptive relief to allow for and report the transformed value to the On April 20, 2020, the SEC granted the an alternative approach to generating a CAT. Participants exemptive relief with CAT Customer ID (‘‘CCID’’) without The Participants also requested regard to Introducing Industry requiring Industry Members to report exemptive relief to allow for an Members.26 SSNs to the CAT (the ‘‘CCID alternative approach which would As a result, the Exchange proposes to Alternative’’). In lieu of retaining such exempt the reporting of dates of birth amend its Compliance Rule to adopt a SSNs in the CAT, the Participants and account numbers 29 to the CAT definition of ‘‘Introducing Industry would use the CCID Alternative, a (‘‘Modified PII Approach’’), and instead Member’’ and to revise Rule 4.16 to strategy developed by the Chief would require Industry Members to require Introducing Industry Members Information Security Officer for the CAT report the year of birth and the Firm to comply with the requirements of the and the Chief Information Security Designated ID for each trading account CAT NMS Plan applicable to Small Officers from each of the Participants, in associated with the Customers. To Industry Members. Specifically, the consultation with security experts from implement the Modified PII Approach, Exchange proposes to define member firms of Securities Industry and the Participants requested exemptive ‘‘Introducing Industry Member’’ in Financial Markets Association. The relief from the requirement in Section proposed paragraph (v) to Rule 4.5, as CCID Alternative facilitates the ability of 6.4(d)(ii)(C) of the CAT NMS Plan to ‘‘a broker-dealer that does not qualify as the Plan Processor to generate a CCID require, through their Compliance a Small Industry Member solely because without requiring the Plan Processor to Rules, Industry Members to record and such broker-dealer satisfies Rule 0– receive SSNs or store SSNs within the report to the Central Repository for the 10(i)(2) under the Exchange Act in that CAT. Under the CCID Alternative, the original receipt of an order dates of birth it introduces transactions on a fully Plan Processor would generate a unique and account numbers for Customers. As disclosed basis to clearing firms that are CCID using a two-phase transformation conditions to the exemption, Industry not small businesses or small process that avoids having SSNs Members would be required to report organizations.’’ The Exchange also reported to or stored in the CAT. In the the year of birth of an individual to the proposes to add a new paragraph (3) to first transformation phase, a CAT Central Repository, and to report the Rule 4.16(c) to state that ‘‘Introducing Reporter would transform the SSN to an Firm Designated ID to the Central Industry Members must comply with interim value (the ‘‘transformed value’’). Repository. the requirements of the CAT NMS Plan This transformed value, and not the To implement the request for applicable to Small Industry Members.’’ SSN, would be submitted to a separate exemptive relief and to eliminate the With these changes, Introducing system within the CAT (‘‘CCID requirement to report SSNs, date of Industry Members would be required to Subsystem’’). The CCID Subsystem birth and account numbers to the CAT, comply with the requirements in the would then perform a second the Exchange proposes to amend its CAT NMS Plan applicable to Small transformation to create the globally Compliance Rule to reflect the Industry Members, rather than the unique CCID for each Customer that is exemptive relief. Rule 4.7(a)(2)(C) states requirements in the CAT NMS Plan unknown to, and not shared with, the that applicable to Large Industry Members. original CAT Reporter. The CCID would then be sent to the customer and [s]ubject to paragraph (3) below, each vi. CCID/PII account information system of the CAT, Industry Member shall record and report to On January 29, 2020, the Participants where it would be linked with the other the Central Repository the following, as filed with the Commission a request for customer and account information. The applicable (‘‘Received Industry Member exemptive relief from certain Data’’ and collectively with the information CCID may then be used by the referred to in Rule 6830(a)(1) ‘‘Industry requirements related to reporting SSNs, Member Data’’)) in the manner prescribed by dates of birth and account numbers to Exemptive Relief from Certain Provisions of the the Operating Committee pursuant to the the CAT.27 The Commission, CAT NMS Plan related to Social Security Numbers, CAT NMS Plan: . . . (C) for original receipt Dates of Birth and Account Numbers (Jan. 29, 2020). 28 See Securities Exchange Act Release No. 88393 or origination of an order, the Firm 25 See Letter to Vanessa Countryman, Secretary, (March 17, 2020), 85 FR 16152 (March 20, 2020) Designated ID for the relevant Customer, and SEC, from Michael Simon, CAT NMS Plan (Order Granting Conditional Exemptive Relief, in accordance with Rule 6840, Customer Operating Committee Chair, re: Request for Pursuant to Section 36 and Rule 608(e) of the Account Information and Customer Exemption from Certain Provisions of the National Securities Exchange Act of 1934, from Section Identifying Information for the relevant Market System Plan Governing the Consolidated 6.4(d)(ii)(C) and Appendix D Sections 4.1.6, 6.2, Customer. Audit Trail related to Small Industry Members (Feb. 8.1.1, 8.2, 9.1, 9.2, 9.4, 10.1, and 10.3 of the 3, 2020). National Market System Plan Governing the 26 See Securities Exchange Act Release No. 88703 Consolidated Audit Trail) (‘‘PII Exemption Order’’). 29 With respect to this aspect of the requested (April 20, 2020), 85 FR 23115 (April 24, 2020). The PII Exemption Order lists several conditions relief, the PII Exemption Order provided relief with 27 See Letter to Vanessa Countryman, Secretary, that must be met by the Exchange. If the Exchange regard to the reporting of all account numbers, not SEC, from Michael Simon, CAT NMS Plan does not satisfy the conditions, the PII Exemption just account numbers for individuals as requested Operating Committee Chair, re: Request for Order would not apply to the Exchange. by the Participants.

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Similarly, Rule 4.8 requires the revise Rule 4.8(a) to require each Industry Members would be required to reporting of Customer Account Industry Member to submit to the report the Transformed Value for Information and Customer Identifying Central Repository the Transformed individual tax payer identification Information to the Central Repository. Value for individual tax payer number (‘‘ITIN’’)/social security number Currently, Rule 4.5(m) defines identification number (‘‘ITIN’’)/social (‘‘SSN’’) and the year of birth to the ‘‘Customer Identifying Information’’ to security number (‘‘SSN’’), for each of its Central Repository.30 include, with respect to individuals, Customers with an Active Account prior vii. FINRA Facility Data Linkage ‘‘date of birth’’ and ‘‘individual tax to such Industry Member’s payer identification number (‘‘ITIN’’)/ commencement of reporting to the On June 5, 2020, the Participants filed social security number (‘‘SSN’’).’’ Central Repository and in accordance with the Commission a request for Accordingly, the Exchange proposes to with the deadlines set forth in Rule exemptive relief from certain provisions replace ‘‘date of birth’’ in the definition 6880. The Exchange also proposes to of the CAT NMS Plan to allow for an of ‘‘Customer Identifying Information’’ revise Rule 4.8(b) to require each alternative approach to the reporting of in Rule 4.5(m) (now renumbered Rule Industry Member to submit to the clearing numbers and cancelled trade 4.5(n)) with ‘‘year of birth’’ and to delete Central Repository any updates, indicators.31 The SEC provided this ‘‘individual tax payer identification additions or other changes to the exemptive relief on June 11, 2020.32 number (‘‘ITIN’’)/social security number Transformed Value for individual tax FINRA is required to report to the (‘‘SSN’’)’’ from Rule 6810(m) (now payer identification number (‘‘ITIN’’)/ Central Repository data collected by renumbered Rule 6810(n)). In addition, social security number (‘‘SSN’’) for each FINRA’s Trade Reporting Facilities, currently, Rule 4.5(l) defines ‘‘Customer of its Customers with an Active Account FINRA’s OTC Reporting Facility or Account Information’’ to include on a daily basis. In addition, the FINRA’s Alternative Display Facility account numbers. The Exchange Exchange proposes to revise Rule 4.8(c) (collectively, ‘‘FINRA Facility’’) proposes to delete ‘‘account number’’ to require, on a periodic basis as pursuant to applicable SRO rules from the definition of ‘‘Customer designated by the Plan Processor and (‘‘FINRA Facility Data’’). Included in Account Information’’ in Rule 4.5(l) approved by the Operating Committee, this FINRA Facility Data is the clearing (now renumbered Rule 6810(m)). each Industry Member to submit to the number of the clearing broker for a The Exchange also proposes to add a Central Repository a complete set of the reported trade as well as the cancelled definition of the term ‘‘Transformed Transformed Value for individual tax trade indicator. Under this alternative Value for individual tax payer payer identification number (‘‘ITIN’’)/ approach, the clearing number and the identification number (‘‘ITIN’’)/social social security number (‘‘SSN’’) for each cancelled trade indicator of the FINRA security number (‘‘SSN’’)’’ to Rule 4.5. of its Customers with an Active Facility Data that is reported to the CAT Specifically, the Exchange proposes to Account. The Exchange also proposes to would be linked to the related execution add paragraph (pp) to Rule 4.5 to define revise Rule 4.8(d) to require, for each reports reported by Industry Members. ‘‘Transformed Value for individual tax Industry Member for which errors in the To implement this approach in a phased payer identification number (‘‘ITIN’’)/ Transformed Value for individual tax manner, the Participants received social security number (‘‘SSN’’)’’ to payer identification number (‘‘ITIN’’)/ exemptive relief from the requirement mean ‘‘the interim value created by an social security number (‘‘SSN’’) for each in Sections 6.4(d)(ii)(A)(2) and (B) of the Industry Member based on a Customer of its Customers with an Active Account CAT NMS Plan to require, through their ITIN/SSN.’’ submitted to the Central Repository Compliance Rules, that Industry The Exchange proposes to revise Rule have been identified by the Plan Members record and report to the 4.7(a)(2)(C) to include the Transformed Processor or otherwise, such Industry Central Repository: (1) If the order is Value for individual tax payer Member to submit corrected data to the executed, in whole or in part, the SRO- identification number (‘‘ITIN’’)/social Central Repository by 5:00 p.m. Eastern Assigned Market Participant Identifier security number (‘‘SSN’’). Specifically, Time on T+3. of the clearing broker, if applicable; and the Exchange proposes to revise Rule Paragraph (1)(B) of Rule 4.5(m), the (2) if the trade is cancelled, a cancelled 6830(a)(2)(C) to state: definition of ‘‘Customer Account trade indicator, subject to certain [s]ubject to paragraph (3) below, each Information’’ states that ‘‘in those conditions. Industry Member shall record and report to circumstances in which an Industry As a condition to this exemption, the the Central Repository the following, as Member has established a trading Participants would continue to require applicable (‘‘Received Industry Member relationship with an institution but has Industry Members to submit a trade Data’’ and collectively with the information not established an account with that report for a trade, and, if the trade is referred to in Rule 6830(a)(1) ‘‘Industry institution, the Industry Member will’’ . cancelled, a cancellation, to a FINRA Member Data’’)) in the manner prescribed by . . ‘‘provide the relationship identifier in Facility pursuant to applicable SRO the Operating Committee pursuant to the lieu of the ‘‘account number.’’ As an CAT NMS Plan: . . . (C) for original receipt rules, and to report the corresponding or origination of an order, the Firm account number will no longer be an execution to the Central Repository. In Designated ID for the relevant Customer, element in ‘‘Customer Account addition, Industry Members would be Transformed Value for individual tax payer Information,’’ the relationship identifier required to report to the Central identification number (‘‘ITIN’’)/social used in lieu of the account number will security number (‘‘SSN’’), and in accordance no longer be required as an element of 30 The Exchange anticipates that the Compliance with Rule 6840, Customer Account Customer Account Information. Rule may be further amended when further details Information and Customer Identifying Therefore, the Exchange proposes to regarding the CCID Alternative are finalized. Information for the relevant Customer. 31 See Letter to Vanessa Countryman, Secretary, delete the requirement set forth in Rule SEC, from Michael Simon, CAT NMS Plan The Exchange also proposes to 6810(m)(a)(B) regarding relationship Operating Committee Chair, re: Request for include the Transformed Value for identifiers from Rule 4.5(m). Exemption from Certain Provisions of the National individual tax payer identification With these changes, Industry Market System Plan Governing the Consolidated number (‘‘ITIN’’)/social security number Members would not be required to Audit Trail related to FINRA Facility Data Linkage (June 5, 2020). (‘‘SSN’’) in the Customer information report to the Central Repository dates of 32 See Securities Exchange Act Release No. 89051 reporting required under Rule 4.8. birth, SSNs or account numbers (June 11, 2020) (Federal Register publication Specifically, the Exchange proposes to pursuant to Rule 4.7(a)(2)(C). However, pending).

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Repository the unique trade identifier beginning October 26, 2020 for Large principles of trade, to foster cooperation reported to a FINRA Facility with the Industry Members and Small Industry OATS and coordination with persons engaged corresponding trade report. Reporters and beginning December 13, 2021 in regulating, clearing, settling, Furthermore, if an Industry Member for Small Industry Non-OATS Reporters. processing information with respect to, does not submit a cancellation to a The Exchange also proposes to relieve and facilitating transactions in FINRA Facility, or is unable to provide Industry Members of the obligation to securities, to remove impediments to a link between the execution reported to report to the CAT data related to and perfect the mechanism of a free and the Central Repository and the related clearing brokers and trade cancellations open market and a national market FINRA Facility trade report, then the pursuant to Rules 4.7(a)(2)(A)(ii) and system, and, in general, to protect Industry Member would be required to (B), respectively, as this data will be investors and the public interest. record and report to the Central reported by FINRA to the CAT, except Additionally, the Exchange believes the Repository a cancelled trade indicator in certain circumstances. Accordingly, proposed rule change is consistent with and cancelled trade timestamp if the the Exchange proposes new paragraphs the Section 6(b)(5) requirement that the trade is cancelled. Similarly, if an (a)(2)(E)(ii) and (iii) to Rule 4.7, which rules of an exchange not be designed to Industry Member does not submit the would state: permit unfair discrimination between clearing number of the clearing broker (ii) if the order is executed in whole or in customers, issuers, brokers, or dealers. to a FINRA Facility for a trade, or is part, and the Industry Member submits the The Exchange believes that this unable to provide a link between the trade report to one of FINRA’s Trade proposal is consistent with the Act execution reported to the Central Reporting Facilities, OTC Reporting Facility because it is consistent with certain Repository and the related FINRA or Alternative Display Facility pursuant to exemptions from the CAT NMS Plan, Facility trade report, then the Industry applicable SRO rules, the Industry Member is because it facilitates the retirement of not required to submit the SRO-Assigned certain existing regulatory systems, and Member would be required to record Market Participant Identifier of the clearing and report to the Central Repository the broker pursuant to Rule 4.7(a)(2)(A)(ii); is designed to assist the Exchange and clearing number as well as contra party provided, however, if the Industry Member its Industry Members in meeting information. does not report the clearing number of the regulatory obligations pursuant to the As a result, the Exchange proposes to clearing broker to such FINRA facility for a Plan. In approving the Plan, the SEC amend its Compliance Rule to reflect trade, or does not report the unique trade noted that the Plan ‘‘is necessary and the exemptive relief to implement this identifier to the Central Repository as appropriate in the public interest, for alternative approach. Specifically, the required by Rule 4.7(a)(2)(E)(i), then the the protection of investors and the Industry Member would be required to Exchange proposes to require Industry record and report to the Central Repository maintenance of fair and orderly markets, Members to report to the CAT with an the clearing number of the clearing broker as to remove impediments to, and perfect execution report the unique trade well as information about the contra party to the mechanism of a national market identifier reported to a FINRA facility the trade beginning April 26, 2021 for Large system, or is otherwise in furtherance of with the corresponding trade report. For Industry Members and Small Industry OATS the purposes of the Act.’’ 33 To the example, the unique trade identifier for Reporters and beginning December 13, 2021 extent that this proposal implements the the OTC Reporting Facility and the for Small Industry Non-OATS Reporters; and Plan, including the exemptive relief, Alternative Display Facility would be (iii) if the trade is cancelled and the and applies specific requirements to Industry Member submits the cancellation to the Compliance ID, for the FINRA/ one of FINRA’s Trade Reporting Facilities, Industry Members, the Exchange Nasdaq Trade Reporting Facility, it OTC Reporting Facility or Alternative believes that this proposal furthers the would be the Branch Sequence Number, Display Facility pursuant to applicable SRO objectives of the Plan, as identified by and for the FINRA/NYSE Trade rules, the Industry Member is not required to the SEC, and is therefore consistent with Reporting Facility, it would the FINRA submit the cancelled trade indicator pursuant the Act. Compliance Number. This unique trade to Rule 4.7(a)(2)(B); provided, however, if the Industry Member does not report a B. Self-Regulatory Organization’s identifier would be used to link the Statement on Burden on Competition FINRA Facility Data with the execution cancellation for a canceled trade to such FINRA facility, or does not report the unique report in the CAT. Specifically, the The Exchange does not believe that trade identifier as required by 4.7(a)(2)(E)(i), the proposed rule change will result in Exchange proposes to add new then the Industry Member would be required paragraph (a)(2)(E) to Rule 4.7, which to record and report to the Central Repository any burden on competition that is not states that: a cancelled trade indicator as well as a necessary or appropriate in furtherance cancelled trade timestamp beginning June 22, of the purposes of the Act. The (E) If an Industry Member is required to Exchange notes that the proposed rule submit and submits a trade report for a trade, 2020 for Large Industry Members and Small Industry OATS Reporters and beginning and, if the trade is cancelled, a cancellation, changes are consistent with certain December 13, 2021 for Small Industry Non- to one of FINRA’s Trade Reporting Facilities, exemptions from the CAT NMS Plan, OATS Reporters. OTC Reporting Facility or Alternative facilitate the retirement of certain Display Facility pursuant to applicable SRO 2. Statutory Basis existing regulatory systems, and are rules, and the Industry Member is required designed to assist the Exchange in to report the corresponding execution and/or The Exchange believes the proposed meeting its regulatory obligations cancellation to the Central Repository: rule change is consistent with the pursuant to the Plan. The Exchange also (1) The Industry Member is required to Securities Exchange Act of 1934 (the notes that the amendments to the report to the Central Repository trade ‘‘Act’’) and the rules and regulations Compliance Rules will apply equally to identifier reported by the Industry Member to thereunder applicable to the Exchange all Industry Members that trade NMS such FINRA facility for the trade when the and, in particular, the requirements of Industry Member reports the execution of an Securities and OTC Equity Securities. In Section 6(b) of the Act. Specifically, the addition, all national securities order pursuant to Rule 4.7(a)(1)(E) or Exchange believes the proposed rule cancellation of an order pursuant to Rule exchanges and FINRA are proposing change is consistent with the Section 4.7(a)(1)(D) beginning June 22, 2020 for Large these amendments to their Compliance Industry Members and Small Industry OATS 6(b)(5) requirements that the rules of an Reporters and beginning December 13, 2021 exchange be designed to prevent 33 See Securities Exchange Act Release No. 79318 for Small Industry Non-OATS Reporters, and fraudulent and manipulative acts and (November 15, 2016), 81 FR 84696, 84697 such trade identifier must be unique practices, to promote just and equitable (November 23, 2016).

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Rules. Therefore, this is not a At any time within 60 days of the office of the Exchange. All comments competitive rule filing, and, therefore, it filing of the proposed rule change, the received will be posted without change. does not impose a burden on Commission summarily may Persons submitting comments are competition. temporarily suspend such rule change if cautioned that we do not redact or edit it appears to the Commission that such personal identifying information from C. Self-Regulatory Organization’s comment submissions. You should Statement on Comments on the action is: (i) Necessary or appropriate in submit only information that you wish Proposed Rule Change Received from the public interest; (ii) for the protection to make available publicly. All Members, Participants, or Others of investors; or (iii) otherwise in furtherance of the purposes of the Act. submissions should refer to File The Exchange neither solicited nor If the Commission takes such action, the Number SR-CboeEDGA–2020–018 and received comments on the proposed Commission shall institute proceedings should be submitted on or before July rule change. to determine whether the proposed rule 20, 2020. III. Date of Effectiveness of the should be approved or disapproved. For the Commission, by the Division of Proposed Rule Change and Timing for IV. Solicitation of Comments Trading and Markets, pursuant to delegated Commission Action authority.40 Interested persons are invited to J. Matthew DeLesDernier, Because the foregoing proposed rule submit written data, views, and change does not: (i) Significantly affect Assistant Secretary. arguments concerning the foregoing, [FR Doc. 2020–13874 Filed 6–26–20; 8:45 am] the protection of investors or the public including whether the proposed rule BILLING CODE 8011–01–P interest; (ii) impose any significant change is consistent with the Act. burden on competition; and (iii) become Comments may be submitted by any of operative for 30 days from the date on the following methods: which it was filed, or such shorter time SECURITIES AND EXCHANGE as the Commission may designate, it has Electronic Comments COMMISSION become effective pursuant to Section • Use the Commission’s internet [Release No. 34–89132; File No. SR– 19(b)(3)(A)(iii) of the Act 34 and comment form (http://www.sec.gov/ CboeEDGX–2020–030] subparagraph (f)(6) of Rule 19b–4 rules/sro.shtml); or thereunder.35 • Send an email to rule-comments@ Self-Regulatory Organizations; Cboe A proposed rule change filed under sec.gov. Please include File Number SR– EDGX Exchange, Inc.; Notice of Filing Rule 19b-4(f)(6) 36 normally does not CboeEDGA–2020–018 on the subject and Immediate Effectiveness of a become operative prior to 30 days after line. Proposed Rule Change Relating To the date of the filing. However, pursuant Amend Certain Rules Within Rules 4.5 to Rule 19b–4(f)(6)(iii),37 the Paper Comments Through 4.16, Which Contain the Commission may designate a shorter • Send paper comments in triplicate Exchange’s Compliance Rule time if such action is consistent with the to Secretary, Securities and Exchange (‘‘Compliance Rule’’) Regarding the protection of investors and the public Commission, 100 F Street NE, National Market System Plan interest. The Exchange has asked the Washington, DC 20549–1090. Governing the Consolidated Audit Trail Commission to waive the 30-day All submissions should refer to File (the ‘‘CAT NMS Plan’’ or ‘‘Plan’’) operative delay so that the proposal may Number SR-CboeEDGA–2020–018. This June 23, 2020. become operative by June 22, 2020. The file number should be included on the Pursuant to Section 19(b)(1) of the Commission believes that waiver of the subject line if email is used. To help the Securities Exchange Act of 1934 30-day operative delay is consistent Commission process and review your (‘‘Act’’),1 and Rule 19b–4 thereunder,2 with the protection of investors and the comments more efficiently, please use notice is hereby given that on June 22, public interest because it implements only one method. The Commission will 2020, Cboe EDGX Exchange, Inc. (the exemptive relief from the CAT NMS post all comments on the Commission’s ‘‘Exchange’’ or ‘‘EDGX’’) filed with the Plan granted by the Commission and internet website (http://www.sec.gov/ Securities and Exchange Commission facilitates the start of Industry Member rules/sro.shtml). Copies of the (‘‘Commission’’) the proposed rule reporting on June 22, 2020. In addition, submission, all subsequent change as described in Items I and II as noted by the Exchange, the proposed amendments, all written statements below, which Items have been prepared rule change is based on a filing recently with respect to the proposed rule 38 by the Exchange. The Commission is approved by the Commission. change that are filed with the Accordingly, the Commission waives publishing this notice to solicit Commission, and all written comments on the proposed rule change the 30-day operative delay and communications relating to the designates the proposed rule change from interested persons. 39 proposed rule change between the operative as of June 22, 2020. Commission and any person, other than I. Self-Regulatory Organization’s those that may be withheld from the Statement of the Terms of Substance of 34 15 U.S.C. 78s(b)(3)(A)(iii). public in accordance with the the Proposed Rule Change 35 17 CFR 240.19b–4(f)(6). In addition, Rule 19b– 4(f)(6)(iii) requires a self-regulatory organization to provisions of 5 U.S.C. 552, will be Cboe EDGX Exchange, Inc. (the give the Commission written notice of its intent to available for website viewing and ‘‘Exchange’’ or ‘‘Cboe EDGX’’) proposes file the proposed rule change, along with a brief printing in the Commission’s Public to amend certain Rules within Rules 4.5 description and the text of the proposed rule change, at least five business days prior to the date Reference Room, 100 F Street NE, through 4.16, which contain the of filing of the proposed rule change, or such Washington, DC 20549, on official Exchange’s compliance rule shorter time as designated by the Commission. The business days between the hours of (‘‘Compliance Rule’’) regarding the Exchange has satisfied this requirement. 10:00 a.m. and 3:00 p.m. Copies of the National Market System Plan Governing 36 17 CFR 240.19b–4(f)(6). filing also will be available for the Consolidated Audit Trail (the ‘‘CAT 37 17 CFR 240.19b–4(f)(6)(iii). 38 See Securities Exchange Act Release No. 89108 inspection and copying at the principal (June 19, 2020). 40 17 CFR 200.30–3(a)(12). 39 For purposes only of waiving the 30-day proposed rule’s impact on efficiency, competition, 1 15 U.S.C. 78s(b)(1). operative delay, the Commission has considered the and capital formation. See 15 U.S.C. 78c(f). 2 17 CFR 240.19b–4.

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NMS Plan’’ or ‘‘Plan’’) The text of the revise the timestamp granularity order is received or originated, proposed rule change is provided in requirement to require such Industry transmitted to a department within the Exhibit 5. Member to record and report Industry OATS Reporting Member, and when it The text of the proposed rule change Member Data to the Central Repository is modified. The Participants propose to is also available on the Exchange’s with time stamps in such finer amend the Compliance Rule to website (http://markets.cboe.com/us/ increment up to nanoseconds; incorporate these requirements into the options/regulation/rule_filings/edgx/), • Require Introducing Industry CAT. at the Exchange’s Office of the Members (as defined below) to comply Specifically, FINRA Rule 7440(b)(20) Secretary, and at the Commission’s with the requirements of the CAT NMS requires a FINRA OATS Reporting Public Reference Room. Plan applicable to Small Industry Member to record the following when Members; an order is received or originated: ‘‘if II. Self-Regulatory Organization’s • Revise the CAT reporting the member is relying on the exception Statement of the Purpose of, and requirements so Industry Members provided in Rule 5320.02 with respect Statutory Basis for, the Proposed Rule would not be required to report to the to the order, the unique identification of Change Central Repository dates of birth, any appropriate information barriers in In its filing with the Commission, the ‘‘individual tax payer identification place at the department within the Exchange included statements number (‘‘ITIN’’)/social security number member where the order was received concerning the purpose of and basis for (‘‘SSN’’)’’ (collectively, referred to as or originated.’’ 5 The Compliance Rule the proposed rule change and discussed ‘‘SSNs’’) or account numbers; and does not require Industry Members to any comments it received on the • Revise the CAT reporting report such information barrier proposed rule change. The text of these requirements regarding cancelled trades information. To address this OATS– statements may be examined at the and SRO-Assigned Market Participant CAT data gap, the Exchange proposes to places specified in Item IV below. The Identifiers of clearing brokers, if add new paragraph (a)(1)(A)(7) to Rule Exchange has prepared summaries, set applicable, in connection with order 4.7, which would require Industry forth in sections A, B, and C below, of executions, as such information will be Members to record and report to the the most significant aspects of such available from FINRA’s trade reports Central Repository, for original receipt statements. submitted to the CAT. or origination of an order, ‘‘the unique identification of any appropriate A. Self-Regulatory Organization’s i. CAT–OATS Data Gaps information barriers in place at the Statement of the Purpose of, and The Participants have worked to department within the Industry Member Statutory Basis for, the Proposed Rule identify gaps between data reported to where the order was received or Change existing systems and data to be reported originated.’’ 1. Purpose to the CAT to ‘‘ensure that by the time In addition, FINRA Rule 7440(c)(1) Industry Members are required to report states that ‘‘[w]hen a Reporting Member The purpose of this proposed rule transmits an order to a department change is to amend the Consolidated to the CAT, the CAT will include all data elements necessary to facilitate the within the member, the Reporting Audit Trail (‘‘CAT’’) Compliance Rule Member shall record: . . . (H) if the in Rules 4.5 through 4.16 to be rapid retirement of duplicative systems.’’ 3 As a result of this process, member is relying on the exception consistent with certain proposed provided in Rule 5320.02 with respect amendments to and exemptions from the Participants identified several data elements that must be included in the to the order, the unique identification of the CAT NMS Plan as well as to any appropriate information barriers in facilitate the retirement of certain CAT reporting requirements before existing systems can be retired. In place at the department within the existing regulatory systems. As member to which the order was described more fully below, the particular, the Participants identified certain data elements that are required transmitted.’’ The Compliance Rule proposed rule change would make the does not require Industry Members to following changes to the Compliance by OATS, but not currently enumerated in the CAT NMS Plan. Accordingly, the report such information barrier Rule: information. To address this OATS– • Exchange proposes to amend its Add additional data elements to the CAT data gap, the Exchange proposes to consolidated audit trail (‘‘CAT’’) Compliance Rule to include these OATS data elements in the CAT. Each of such revise paragraph (a)(1)(B)(6) of Rule 4.7 reporting requirements for Industry to require, for the routing of an order, Members to facilitate the retirement of OATS data elements are discussed below. With the addition of these OATS if routed internally at the Industry the Financial Industry Regulatory Member, ‘‘the unique identification of Authority, Inc.’s (‘‘FINRA’’) Order Audit data elements to the CAT, the CAT will have the data elements necessary to any appropriate information barriers in Trail System (‘‘OATS’’); place at the department within the • retire OATS. Add additional data elements Industry Member to which the order related to OTC Equity Securities that A. Information Barrier Identification was transmitted.’’ FINRA currently receives from FINRA Rule 7440(c)(2)(B) and alternative trading systems (‘‘ATSs’’) The FINRA OATS rules require OATS Reporting Members 4 to record the 7440(c)(4)(B) require an OATS that trade OTC Equity Securities for Reporting Member that receives an regulatory oversight purposes to the identification of information barriers for certain order events, including when an order transmitted from another member CAT reporting requirements for Industry to report the unique identification of Members; 3 any appropriate information barriers in • Letter from Participants to Brent J. Fields, Implement a phased approach for Secretary, SEC, re: File Number 4–698; Notice of place at the department within the Industry Member reporting to the CAT Filing of the National Market System Plan member to which the order was (‘‘Phased Reporting’’); Governing the Consolidated Audit Trail (September transmitted. The Compliance Rule not • To the extent that any Industry 23, 2016) at 21 (‘‘Participants’ Response to Comments’’) (available at https://www.sec.gov/ require Industry Members to report such Member’s order handling or execution comments/4-698/4698-32.pdf). systems utilize time stamps in 4 An OATS ‘‘Reporting Member’’ is defined in 5 FINRA Rule 5320 prohibits trading ahead of increments finer than milliseconds, FINRA Rule 7410(o). customer orders.

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information barrier information. To Compliance Rule the reporting an order that has been routed ‘‘the address this OATS–CAT data gap, the requirements for ATSs in FINRA Rule ATS’s unique identifier for the order Exchange proposes to add new 4554,7 but to expand such requirements type of the order.’’ Proposed paragraph paragraph (a)(1)(C)(7) to Rule 4.7, which so that they are applicable to all ATSs (a)(1)(D)(9)(a) of Rule 4.7 would require would require Industry Members to rather than solely to ATSs that trade an Industry Member that operates an record and report to the Central NMS stocks. ATS to record and report to the Central Repository, for the receipt of an order Repository if the order is modified or (i) New Definition that has been routed, ‘‘the unique cancelled ‘‘the ATS’s unique identifier identification of any appropriate The Exchange proposes to add a for the order type of the order.’’ information barriers in place at the definition of ‘‘ATS’’ to new paragraph Furthermore, as with the requirements department within the Industry Member (d) of Rule 4.5 to facilitate the addition in FINRA Rule 4554(b)(5), proposed which received the order.’’ to the CAT of the reporting paragraph (a)(2)(D) of Rule 4.7 would FINRA Rule 7440(d)(1) requires an requirements for ATSs set forth in state that: OATS Reporting Member that modifies FINRA Rule 4554. The Exchange An Industry Member that operates an ATS or receives a modification to the terms proposes to define an ‘‘ATS’’ to mean must provide to the Central Repository: (1) a of an order to report the unique ‘‘an alternative trading system, as list of all of its order types twenty (20) days identification of any appropriate defined in Rule 300(a)(1) of Regulation before such order types become effective; and information barriers in place at the ATS under the Exchange Act.’’ (2) any changes to its order types twenty (20) department within the member to which days before such changes become effective. the modification was originated or (ii) ATS Order Type An identifier shall not be required for market received. The Compliance Rule does not FINRA Rule 4554(b)(5) requires the and limit orders that have no other special require Industry Members to report such following information to be recorded handling instructions. information barrier information. To and reported to FINRA by ATSs when (iii) National Best Bid and Offer address this OATS–CAT data gap, the reporting receipt of an order to OATS: FINRA Rules 4554(b)(6) and (7) Exchange proposes to add new A unique identifier for each order type require the following information to be paragraph (a)(1)(D)(7) to Rule 4.7, which offered by the ATS. An ATS must provide would require Industry Members to recorded and reported to FINRA by FINRA with (i) a list of all of its order types ATSs when reporting receipt of an order record and report to the Central 20 days before such order types become Repository, if the order is modified or effective and (ii) any changes to its order to OATS: cancelled, ‘‘the unique identification of types 20 days before such changes become (6) The NBBO (or relevant reference price) any appropriate information barriers in effective. An identifier shall not be required in effect at the time of order receipt and the place at the department within the for market and limit orders that have no other timestamp of when the ATS recorded the special handling instructions. Industry Member which received or effective NBBO (or relevant reference price); The Compliance Rule does not require and originated the modification.’’ (7) Identification of the market data feed Industry Members to report such order B. Reporting Requirements for ATSs used by the ATS to record the NBBO (or type information to the Central other reference price) for purposes of Under FINRA Rule 4554, ATSs that Repository. To address this OATS–CAT subparagraph (6). If for any reason, the ATS receive orders in NMS stocks are data gap, the Exchange proposes to uses an alternative feed than what was required to report certain order incorporate these requirements into four reported on its ATS data submission, the information to OATS, which FINRA new provisions to the Compliance Rule: ATS must notify FINRA of the fact that an uses to reconstruct ATS order books and Paragraphs (a)(1)(A)(11)(a), alternative source was used, identify the perform order-based surveillance, (a)(1)(C)(10)(a), (a)(1)(D)(9)(a) and alternative source, and specify the date(s), time(s) and securities for which the including layering, spoofing, and mid- (a)(2)(D) of Rule 4.7. alternative source was used. point pricing manipulation Proposed paragraph (a)(1)(A)(11)(a) of surveillance.6 The Participants believe Rule 4.7 would require an Industry Similarly, FINRA Rule 4554(c) that Industry Members operating Member that operates an ATS to record requires the following information to be ATSs—whether such ATS trades NMS and report to the Central Repository for recorded and reported to FINRA by stocks or OTC Equity Securities— the original receipt or origination of an ATSs when reporting the execution of should likewise be required to report order ‘‘the ATS’s unique identifier for an order to OATS: this information to the CAT. Because the order type of the order.’’ Proposed (1) The NBBO (or relevant reference price) ATSs that trade NMS stocks are already paragraph (a)(1)(C)(10)(a) of Rule 4.7 in effect at the time of order execution; recording this information and reporting would require an Industry Member that (2) The timestamp of when the ATS it to OATS, the Participants believe that operates an ATS to record and report to recorded the effective NBBO (or relevant reporting the same information to the the Central Repository for the receipt of reference price); and (3) Identification of the market data feed CAT should impose little burden on used by the ATS to record the NBBO (or 7 these ATSs. Moreover, including this FINRA Rule 4554 was approved by the SEC on other reference price) for purposes of information in the CAT is also necessary May 10, 2016, while the CAT NMS Plan was subparagraph (1). If for any reason, the ATS pending with the Commission. See Securities for FINRA to be able to retire the OATS Exchange Act Release No. 77798 (May 10, 2016), 81 uses an alternative feed than what was system. The Participants similarly FR 30395 (May 16, 2016) (Order Approving SR– reported on its ATS data submission, the believe that obtaining the same FINRA–2016–010). As noted in the Participants’ ATS must notify FINRA of the fact that an information from ATSs that trade OTC Response to Comments, throughout the process of alternative source was used, identify the developing the Plan, the Participants worked to alternative source, and specify the date(s), Equity Securities will be important for keep the gap analyses for OATS, electronic blue purposes of reconstructing ATS order time(s) and securities for which the sheets, and the CAT up-to-date, which included alternative source was used. books and surveillance. Accordingly, adding data fields related to the tick size pilot and the Exchange proposes to add to the ATS order book amendments to the OATS rules. The Compliance Rule does not require See Participants’ Response to Comments at 21. Industry Members to report such NBBO data reporting requirements in the However, due to the timing of the expiration of the tick size pilot, the Participants decided not to information to the Central Repository. 6 See FINRA Regulatory Notice 16–28 (August include those data elements into the CAT NMS To address this OATS–CAT data gap, 2016). Plan. the Exchange proposes to incorporate

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these requirements into four new ‘‘the sequence number assigned to the The Compliance Rule does not require provisions to the Compliance Rule: routing of the order by the ATS’s Industry Members to report to the CAT (a)(1)(A)(11)(b)–(c), (a)(1)(C)(10)(b)–(c), matching engine.’’ The Exchange also such information about the displaying (a)(1)(D)(9)(b)–(c) and (a)(1)(E)(8)(a)–(b) proposes to add proposed paragraph of subscriber orders. The Exchange of Rule 4.7. (a)(1)(C)(10)(d) to Rule 4.7, which would proposes to add comparable Specifically, proposed paragraph require an Industry Member that requirements into proposed paragraphs (a)(1)(A)(11)(b)–(c) of Rule 4.7 would operates an ATS to record and report to (a)(1)(A)(11)(e) and (a)(1)(C)(10)(e) of require an Industry Member that the Central Repository ‘‘the sequence Rule 4.7. Specifically, proposed operates an ATS to record and report to number assigned to the receipt of the paragraph (a)(1)(A)(11)(e) would require the Central Repository the following order by the ATS’s matching engine.’’ In an Industry Member that operates an information when reporting the original addition, the Exchange proposes to add ATS to report to the Central Repository, receipt or origination of order: proposed paragraph (a)(1)(D)(9)(d) to for the original receipt or origination of (2) the National Best Bid and National Best Rule 4.7, which would require an an order, Offer (or relevant reference price) at the time Industry Member that operates an ATS whether the ATS displays subscriber orders of order receipt or origination, and the date to record and report to the Central outside the ATS (other than to alternative and time at which the ATS recorded such Repository ‘‘the sequence number trading system employees). If an ATS does National Best Bid and National Best Offer (or assigned to the modification or display subscriber orders outside the ATS relevant reference price); cancellation of the order by the ATS’s (other than to alternative trading system (3) the identification of the market data matching engine.’’ Finally, the Exchange employees), indicate whether the order is feed used by the ATS to record the National displayed to subscribers only or through Best Bid and National Best Offer (or relevant proposes to add proposed paragraph publicly disseminated quotation data. reference price) for purposes of subparagraph (a)(1)(E)(8)(c) to Rule 4.7, which would (11)(b). If for any reason the ATS uses an require an Industry Member that Similarly, proposed paragraph alternative market data feed than what was operates an ATS to record and report to (a)(1)(C)(10)(e) of Rule 4.7 would require reported on its ATS data submission, the the Central Repository ‘‘the sequence an Industry Member that operates an ATS must provide notice to the Central number assigned to the execution of the ATS to record and report to the Central Repository of the fact that an alternative order by the ATS’s matching engine.’’ Repository the same information when source was used, identify the alternative reporting receipt of an order that has source, and specify the date(s), time(s) and (v) Modification or Cancellation of been routed. securities for which the alternative source Orders by ATSs was used. C. Customer Instruction Flag FINRA Rule 4554(f) states that ‘‘[f]or Similarly, proposed paragraphs FINRA Rule 7440(b)(14) requires a an ATS that displays subscriber orders, (a)(1)(C)(10)(b)–(c), (a)(1)(D)(9)(b)–(c) FINRA OATS Reporting Member to each time the ATS’s matching engine re- and (a)(1)(E)(8)(a)–(b) of Rule 4.7 would record the following when an order is prices a displayed order or changes the require an Industry Member that received or originated: ‘‘any request by display quantity of a displayed order, operates an ATS to record and report to a customer that a limit order not be the ATS must report to OATS the time the Central Repository the same displayed, or that a block size limit of such modification,’’ and ‘‘the information when reporting receipt of order be displayed, pursuant to applicable new display price or size.’’ an order that has been routed, when applicable rules.’’ The Compliance Rule The Exchange proposes adding a reporting if the order is modified or does not require Industry Members to comparable requirement into new cancelled, and when an order has been report to the CAT such a customer paragraph (a)(1)(D)(9)(e) to Rule 4.7. executed, respectively. instruction flag. To address this OATS– Specifically, proposed new paragraph CAT data gap, the Exchange proposes to (iv) Sequence Numbers (a)(1)(D)(9)(e) of Rule 4.7 would require add paragraph (a)(1)(A)(8) to Rule 4.7, FINRA Rule 4554(d) states that ‘‘[f]or an Industry Member that operates an which would require Industry Members all OATS-reportable event types, all ATS to report to the Central Repository, to record and report to the Central ATSs must record and report to FINRA if the order is modified or cancelled, Repository, for original receipt or the sequence number assigned to the ‘‘each time the ATS’s matching engine origination of an order, ‘‘any request by order event by the ATS’s matching re-prices an order or changes the a Customer that a limit order not be engine.’’ The Compliance Rule does not quantity of an order,’’ the ATS must displayed, or that a block size limit require Industry Members to report ATS report to the Central Repository ‘‘the order be displayed, pursuant to sequence numbers to the Central time of such modification, and the applicable rules.’’ The Exchange also Repository. To address this OATS–CAT applicable new price or size.’’ Proposed proposes to add paragraph (a)(1)(C)(9) to data gap, the Exchange proposes to paragraph (a)(1)(D)(9)(e) of Rule 4.7 Rule 4.7, which would require Industry incorporate this requirement regarding would apply to all ATSs, not just ATSs Members to record and report to the ATS sequence numbers into each of the that display orders. Central Repository, for the receipt of an Reportable Events for the CAT. (vi) Display of Subscriber Orders order that has been routed, ‘‘any request Specifically, the Exchange proposes to FINRA Rule 4554(b)(1) requires the by a Customer that a limit order not be add proposed paragraph (a)(1)(A)(11)(d) following information to be recorded displayed, or that a block size limit to Rule 4.7, which would require an and reported to FINRA by ATSs when order be displayed, pursuant to Industry Member that operates an ATS reporting receipt of an order to OATS: applicable rules.’’ to record and report to the Central FINRA Rule 7440(d)(1) requires an Repository ‘‘the sequence number Whether the ATS displays subscriber OATS Reporting Member that modifies assigned to the receipt or origination of orders outside the ATS (other than to or receives a modification of an order to the order by the ATS’s matching alternative trading system employees). If an report the customer instruction flag. The ATS does display subscriber orders outside engine.’’ The Exchange proposes to add the ATS (other than to alternative trading Compliance Rule does not require proposed paragraph (a)(1)(B)(8) to Rule system employees), indicate whether the Industry Members to report such a 4.7, which would require an Industry order is displayed to subscribers only or customer instruction flag. To address Member that operates an ATS to record through publicly disseminated quotation this OATS–CAT data gap, the Exchange and report to the Central Repository data); proposes to add paragraph (a)(1)(D)(8) to

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Rule 4.7 which would require Industry submitted. To address this OATS–CAT indication whether each bid or offer in Members to record and report to the data gap, the Exchange proposes to add OTC Equity Securities on such ATS was Central Repository, if the order is paragraph (a)(1)(A)(10) to Rule 4.7, solicited or unsolicited. Therefore, the modified or cancelled, ‘‘any request by which would require Industry Members Exchange proposes to add paragraph a Customer that a limit order not be to record and report to the Central (f)(2) to Rule 4.7 to require the reporting displayed, or that a block size limit Repository upon the original receipt or to the CAT of an indication as to order be displayed, pursuant to origination of an order ‘‘the type of whether a bid or offer was solicited or applicable rules.’’ account holder for which the order is unsolicited. Specifically, proposed submitted.’’ paragraph (f)(2) of Rule 4.7 would D. Department Type ii. OTC Equity Securities require each Industry Member that FINRA Rules 7440(b)(4) and (5) operates an ATS that trades OTC Equity require an OATS Reporting Member that The Participants have identified Securities to provide to the Central receives or originates an order to record several data elements related to OTC Repository ‘‘an indication of whether the following information: ‘‘the Equity Securities that FINRA currently each bid and offer for OTC Equity identification of any department or the receives from ATSs that trade OTC Securities was solicited or unsolicited.’’ identification number of any terminal Equity Securities for regulatory where an order is received directly from oversight purposes, but are not currently C. Unpriced Bids and Offers a customer’’ and ‘‘where the order is included in CAT Data. In particular, the FINRA receives from ATSs that trade originated by a Reporting Member, the Participants identified three data OTC Equity Securities certain unpriced identification of the department of the elements that need to be added to the bids and offers for each OTC Equity member that originates the order.’’ The CAT: (1) Bids and offers for OTC Equity Security traded on the ATS. Therefore, Compliance Rule does not require Securities; (2) a flag indicating whether the Exchange proposes to add paragraph Industry Members to report to the CAT a quote in OTC Equity Securities is (f)(3) to Rule 4.7, which would require information regarding the department or solicited or unsolicited; and (3) each Industry Member that operates an terminal where the order is received or unpriced bids and offers in OTC Equity ATS that trades OTC Equity Securities originated. To address this OATS–CAT Securities. The Participants believe that to provide to the Central Repository data gap, the Exchange proposes to add such data will continue to be important ‘‘the unpriced bids and offers for each paragraph (a)(1)(A)(9) to Rule 4.7, which for regulators to oversee the OTC Equity OTC Equity Security traded on such would require Industry Members to Securities market when using the CAT. ATS.’’ record and report to the Central Moreover, the Participants do not Repository upon the original receipt or believe that the proposed requirement iii. Revised Industry Member Reporting origination of an order ‘‘the nature of would burden ATSs because they Timeline the department or desk that originated currently report this information to On February 19, 2020, the the order, or received the order from a FINRA and thus the reporting Participants filed with the Commission Customer.’’ requirement would merely shift from a request for exemptive relief from Similarly, per FINRA Rules FINRA to the CAT. Accordingly, as certain provisions of the CAT NMS Plan 7440(c)(2)(B) and (4)(B), when an OATS discussed below, the Exchange proposes to allow for the implementation of Reporting Member receives an order to amend its Compliance Rule to phased reporting to the CAT by Industry that has been transmitted by another include these data elements. Members (‘‘Phased Reporting’’).9 Member, the receiving OATS Reporting Specifically, in their exemptive request, Member is required to record the A. Bids and Offers for OTC Equity the Participants requested that the SEC information required in 7440(b)(4) and Securities exempt each Participant from the (5) described above as applicable. The In performing its current regulatory requirement in Section 6.7(a)(v) of the Compliance Rule does not require oversight, FINRA receives a data feed of CAT NMS Plan for each Participant, Industry Members to report to the CAT the best bids and offers in OTC Equity through its Compliance Rule, to require information regarding the department Securities from ATSs that trade OTC its Industry Members other than Small that received an order. To address this Equity Securities. These best bid and Industry Members (‘‘Large Industry OATS–CAT data gap, the Exchange offer data feeds for OTC Equity Members’’) to report to the Central propose to add paragraph (a)(1)(C)(8) to Securities are similar to the best bid and Repository Industry Member Data Rule 4.7 which would require Industry offer SIP Data required to be collected within two years of the Effective Date Members to record and report to the by the Central Repository with regard to (that is, by November 15, 2018). In Central Repository upon the receipt of NMS Securities.8 Accordingly, the addition, the Participants requested that an order that has been routed ‘‘the Exchange proposes to add paragraph the SEC exempt each Participant from nature of the department or desk that (f)(1) to Rule 4.7 to require the reporting the requirement in Section 6.7(a)(vi) of received the order.’’ of the best bid and offer data feeds for the CAT NMS Plan for each Participant, E. Account Holder Type OTC Equity Securities to the CAT. through its Compliance Rule, to require Specifically, proposed paragraph (f)(1) its Small Industry Members 10 to report FINRA Rule 7440(b)(18) requires an of Rule 4.7 would require each Industry to the Central Repository Industry OATS Reporting Member that receives Member that operates an ATS that Member Data within three years of the or originates an order to record the trades OTC Equity Securities to provide Effective Date (that is, by November 15, following information: ‘‘the type of to the Central Repository ‘‘the best bid 2019). Correspondingly, the Participants account, i.e., retail, wholesale, and best offer for each OTC Equity employee, proprietary, or any other type Security traded on such ATS.’’ 9 See Letter to Vanessa Countryman, Secretary, of account designated by FINRA, for SEC, from Michael Simon, CAT NMS Plan which the order is submitted.’’ The B. Unsolicited Bid or Offer Flag Operating Committee Chair, re: Request for Compliance Rule does not require FINRA also receives from ATSs that Exemption from Provisions of the National Market System Plan Governing the Consolidated Audit Industry Members to report to the CAT trade OTC Equity Securities an Trail related to Industry Member Reporting Dates information regarding the type of (Feb. 19, 2020). account holder for which the order is 8 Section 6.5(a)(ii) of the CAT NMS Plan. 10 See Section 1.1 of the CAT NMS Plan.

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requested that the SEC provide an been implemented, subject to any (i) Scope of Reporting in Phase 2a exemption from the requirement in applicable exemptive relief or To implement the Phased Reporting Section 6.4 of the CAT NMS Plan that amendments related to the CAT NMS with respect to Phase 2a, the Exchange ‘‘[t]he requirements for Industry Plan. proposes to add a definition of ‘‘Phase Members under this Section 6.4 shall As a further condition to the 2a Industry Member Data’’ as paragraph become effective on the second exemption, each Participant proposes to (t)(1) of Rule 4.5. Specifically, the anniversary of the Effective Date in the implement the testing timelines Exchange proposes to define the term case of Industry Members other than described in Section F below through its ‘‘Phase 2a Industry Member Data’’ as Small Industry Members, or the third Compliance Rule by requiring the ‘‘Industry Member Data required to be anniversary of the Effective Date in the following: reported to the Central Repository case of Small Industry Members.’’ On commencing in Phase 2a.’’ Phase 2a April 20, 2020, the SEC granted the (1) Industry Member file submission and data integrity testing for Phases 2a and 2b Industry Member Data would include Participants exemptive relief to Industry Member Data solely related to implement Phased Reporting, subject to begins in December 2019. (2) Industry Member testing of the Reporter Eligible Securities that are equities. certain timeline changes and While the following summarizes 11 Portal, including data integrity error conditions. correction tools and data submissions, begins categories of Industry Member Data As a condition to the exemption, each in February 2020. required for Phase 2a, the Industry Participant would implement Phased (3) The Industry Member test environment Member Technical Specifications Reporting through its Compliance Rule will be open with intra-firm linkage provide detailed guidance regarding the by requiring: validations to Industry Members for both reporting for Phase 2a.13 (1) its Large Industry Members and its Phases 2a and 2b in April 2020. Phase 2a Industry Member Data Small Industry Members that are required to (4) The Industry Member test environment would include all events and scenarios record or report information to OATS will be open to Industry Members with inter- covered by OATS. FINRA Rule 7440 pursuant to applicable SRO rules (‘‘Small firm linkage validations for both Phases 2a describes the OATS requirements for Industry OATS Reporters’’) to commence and 2b in July 2020. recording information, which includes reporting to the Central Repository Phase 2a (5) The Industry Member test environment information related to the receipt or Industry Member Data by June 22, 2020, and will be open to Industry Members with Phase its Small Industry Non-OATS Reporters to 2c functionality (full representative order origination of orders, order transmittal, commence reporting to the Central linkages) in January 2021. and order modifications, cancellations Repository Phase 2a Industry Member Data (6) The Industry Member test environment and executions. Large Industry Members by December 13, 2021; will be open to Industry Members with Phase and Small Industry OATS Reporters (2) its Large Industry Members to 2d functionality (manual options orders, would be required to submit data to the commence reporting to the Central complex options orders, and options CAT for these same events and Repository Phase 2b Industry Member Data allocations) in June 2021. scenarios during Phase 2a. The by July 20, 2020, and its Small Industry (7) Participant exchanges that support Members to commence reporting to the inclusion of all OATS events and options market making quoting will begin Central Repository Phase 2b Industry scenarios in the CAT is intended to accepting Quote Sent Time on quotes from Member Data by December 13, 2021; facilitate the retirement of OATS. (3) its Large Industry Members to Industry Members no later than April 2020. Phase 2a Industry Member Data also commence reporting to the Central (8) The Industry Member test environment would include Reportable Events for: Repository Phase 2c Industry Member Data (customer and account information) will be • Proprietary orders, including by April 26, 2021, and its Small Industry open to Industry Members in January 2022. market maker orders, for Eligible Members to commence reporting to the As a result, the Exchange proposes to Securities that are equities; Central Repository Phase 2c Industry • electronic quotes in listed equity Member Data by December 13, 2021; amend its Compliance Rule to be consistent with the exemptive relief to Eligible Securities (i.e., NMS stocks) (4) its Large Industry Members and Small sent to a national securities exchange or Industry Members to commence reporting to implement Phased Reporting as the Central Repository Phase 2d Industry described below. FINRA’s Alternative Display Facility (‘‘ADF’’); Member Data by December 13, 2021; and • (5) its Large Industry Members and Small A. Phase 2a electronic quotes in unlisted Industry Members to commence reporting to Eligible Securities (i.e., OTC Equity the Central Repository Phase 2e Industry In the first phase of Phased Reporting, Securities) received by an Industry Member Data by July 11, 2022. referred to as Phase 2a, Large Industry Member operating an interdealer Members and Small Industry OATS quotation system (‘‘IDQS’’); and The full scope of CAT Data required Reporters would be required to report to • under the CAT NMS Plan will be electronic quotes in unlisted the Central Repository ‘‘Phase 2a Eligible Securities sent to an IDQS or required to be reported when all five Industry Member Data’’ by June 22, phases of the Phased Reporting have other quotation system not operated by 2020.12 To implement the Phased a Participant or Industry Member. Reporting for Phase 2a, the Exchange 11 See Securities Exchange Act Release No. 88702 Phase 2a Industry Member Data (April 20, 2020), 85 FR 23075 (April 24, 2020). As proposes to add paragraph (t)(1) of Rule would include Firm Designated IDs. discussed in the SEC’s exemptive order, the 4.5 (previously paragraph (s)) and During Phase 2a, Industry Members Commission granted the Participants conditional amend paragraphs (c)(1) and (2) of Rule would be required to report Firm exemptive relief from the CAT NMS Plan so that the 4.16. Compliance Rules may require Phase 2a reporting Designated IDs to the CAT, as required to commence on June 22, 2020, rather than the by paragraphs (a)(1)(A)(1), and (a)(2)(C) April 20, 2020 date set forth in the exemptive 12 Small Industry Members that are not required of Rule 4.7. Paragraph (a)(1)(A)(1) of request, and Phase 2b reporting to commence on to record and report information to FINRA’s OATS Rule 4.7 requires Industry Members to July 20, 2020, rather than the May 18, 2020 date set pursuant to applicable SRO rules (‘‘Small Industry forth in the exemptive request. As a condition to the Non-OATS Reporters’’) would be required to report submit the Firm Designated ID for the exemptive relief, Industry Members who elect to to the Central Repository ‘‘Phase 2a Industry report to the CAT prior to such dates will be Member Data’’ by December 13, 2021, which is 13 The items required to be reported commencing permitted to report to the CAT as early as April 20, approximately seventeen months after Large in Phase 2a do not include the items required to be 2020 for Phase 2a reporting and as early as May 18, Industry Members and Small Industry OATS reported in Phase 2c or Phase 2d, as discussed 2020 for Phase 2b reporting. Reporters begin reporting. below.

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original receipt or origination of an for the original receipt or origination of Each Industry Member that is a Small order. Paragraph (a)(2)(C) of Rule 4.7 an order during Phase 2a. In addition, Industry Member shall record and report the requires Industry Members to record during Phase 2a, Industry Members will Industry Member Data to the Central Repository, as follows: (A) Small Industry and report to the Central Repository, for be required to report, when routing an Members that are required to record or report original receipt and origination of an order, whether the order was routed as information to FINRA’s Order Audit Trail order, the Firm Designated ID if the an intermarket sweep order (‘‘ISO’’). System pursuant to applicable SRO rules order is executed, in whole or in part. Industry Members would be required to (‘‘Small Industry OATS Reporter’’) to report In Phase 2a, Industry Members would report special handling instructions on to the Central Repository Phase 2a Industry be required to report all street side routes other than ISOs in Phase 2c, Member Data by June 22, 2020. representative orders, including both rather than Phase 2a. Proposed paragraph (c)(2)(B) of Rule agency and proprietary orders and mark In Phase 2a, Industry Members would 4.16 would state that ‘‘Small Industry such orders as representative orders, not be required to report modifications Members that are not required to record except in certain limited exceptions as of a previously routed order in certain or report information to FINRA’s Order described in the Industry Member limited instances. Specifically, if a Audit Trail System pursuant to Technical Specifications. A trader or trading software modifies a applicable SRO rules (‘‘Small Industry representative order is an order previously routed order, the routing Non-OATS Reporter’’) to report to the originated in a firm owned or controlled firm is not required to report the Central Repository Phase 2a Industry account, including principal, agency modification of an order route if the Member Data by December 13, 2021.’’ average price and omnibus accounts, by destination to which the order was B. Phase 2b an Industry Member for the purpose of routed is a CAT Reporter that is working one or more customer or client required to report the corresponding In the second phase of the Phased orders. order activity. If, however, the order was Reporting, referred to as Phase 2b, Large In Phase 2a, Industry Members would modified by a Customer or other non- Industry Members would be required to be required to report the link between CAT Reporter, and subsequently the report to the Central Repository ‘‘Phase the street side representative order and routing Industry Members sends a 2b Industry Member Data’’ by July 20, the order being represented when: (1) modification to the destination to which 2020. Small Industry Members would be The representative order was originated the order was originally routed, then the required to report to the Central specifically to represent a single order routing Industry Member must report Repository ‘‘Phase 2b Industry Member received either from a customer or the modification of the order route.15 In Data’’ by December 13, 2021, which is another broker-dealer; and (2) there is addition, in Phase 2a, Industry Members approximately seventeen months after (a) an existing direct electronic link in would not be required to report a Large Industry Members begin reporting the Industry Member’s system between cancellation of an order received from a such data to the Central Repository. To the order being represented and the Customer after the order has been implement the Phased Reporting for representative order and (b) any executed. Phase 2b, the Exchange proposes to add resulting executions are immediately paragraph (t)(2) to Rule 4.5 and amend and automatically applied to the (ii) Timing of Phase 2a Reporting paragraphs (c)(1) and (2) of Rule 4.16. represented order in the Industry Pursuant to paragraph (c)(1) of Rule (i) Scope of Phase 2b Reporting Member’s system. 4.16, Large Industry Members are Phase 2a Industry Member Data also required to begin reporting to the CAT To implement the Phased Reporting would include the manual and by November 15, 2018. To implement with respect to Phase 2b, the Exchange Electronic Capture Time for Manual the Phased Reporting for Phase 2a for proposes to add a definition of ‘‘Phase Order Events. Specifically, for each Large Industry Members, the Exchange 2b Industry Member Data’’ as paragraph Reportable Event in Rule 4.7, Industry proposes to delete the November 15, (t)(2) to Rule 4.5. Specifically, the Members would be required to provide 2018 date and to supplement paragraph Exchange proposes to define the term a timestamp pursuant to Rule 4.10. Rule (c)(1) of Rule 4.16 with new paragraph ‘‘Phase 2b Industry Member Data’’ as 4.10(b)(1) states that (c)(1)(A) of Rule 4.16, which would ‘‘Industry Member Data required to be Each Industry Member may record and state, in relevant part, that ‘‘Each reported to the Central Repository report: Manual Order Events to the Central Industry Member (other than a Small commencing in Phase 2b.’’ Phase 2b Repository in increments up to and including Industry Member) shall record and Industry Member Data is described in one second, provided that each Industry report the Industry Member Data to the detail in the Industry Member Technical Members shall record and report the time Central Repository, as follows: (A) Phase Specifications for Phase 2b. While the when a Manual Order Event has been following summarizes the categories of captured electronically in an order handling 2a Industry Member Data by June 22, 2020.’’ Industry Member Data required for and execution system of such Industry Phase 2b, the Industry Member Member (‘‘Electronic Capture Time’’) in Pursuant to paragraph (c)(2) of Rule Technical Specifications provide milliseconds. 4.16, Small Industry Members are detailed guidance regarding the Accordingly, for Phase 2a, Industry required to begin reporting to the CAT reporting for Phase 2b. Members would be required to provide by November 15, 2019. To implement Phase 2b Industry Member Data both the manual and Electronic Capture the Phased Reporting for Phase 2a for would include Industry Member Data Time for Manual Order Events.14 Small Industry Members, the Exchange related to Eligible Securities that are Industry Members would be required proposes to delete the November 15, options and related to simple electronic to report special handling instructions 2019 date and to supplement paragraph option orders, excluding electronic (c)(2) of Rule 4.16 with new paragraphs paired option orders.16 A simple 14 Industry Members would be required to (c)(2)(A) and (B) of Rule 4.16. Proposed electronic option order is an order to provide an Electronic Capture Time following the paragraph (c)(2)(A) of Rule 4.16 would buy or sell a single option that is not manual capture time only for new orders that are state that Manual Order Events and, in certain instances, routes that are Manual Order Events. The Electronic 16 The items required to be reported in Phase 2b Capture Time would not be required for other 15 This approach is comparable to the approach do not include the items required to be reported in Manual Order Events. set forth in OATS Compliance FAQ 35. Phase 2d, as discussed below in Section A.4.

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related to or dependent on any other state, in relevant part, that ‘‘Each NMS stocks) that are not sent to a transaction for pricing and timing of Industry Member that is a Small national securities exchange or FINRA’s execution that is either received or Industry Member shall record and Alternative Display Facility; (4) routed electronically by an Industry report the Industry Member Data to the reporting changes to client instructions Member. Electronic receipt of an order Central Repository, as follows: . . . (C) regarding modifications to algorithms; is defined as the initial receipt of an Small Industry Members to report to the (5) marking as a representative order order by an Industry Member in Central Repository Phase 2b Industry any order originated to work a customer electronic form in standard format Member Data . . . by December 13, order in price guarantee scenarios, such directly into an order handling or 2021.’’ as a guaranteed VWAP; (6) flagging execution system. Electronic routing of rejected external routes to indicate a C. Phase 2c an order is the routing of an order via route was not accepted by the receiving electronic medium in standard format In the third phase of the Phased destination; (7) linkage of duplicate from one Industry Member’s order Reporting, referred to as Phase 2c, Large electronic messages related to a Manual handling or execution system to an Industry Members would be required to Order Event between the electronic exchange or another Industry Member. report to the Central Repository ‘‘Phase event and the original manual route; (8) An electronic paired option order is an 2c Industry Member Data’’ by April 26, special handling instructions on order electronic option order that contains 2021. Small Industry Members would be route reports (other than the ISO, which both the buy and sell side that is routed required to report to the Central is required to be reported in Phase 2a); to another Industry Member or exchange Repository ‘‘Phase 2c Industry Member (9) quote identifier on trade events; (10) for crossing and/or price improvement Data’’ by December 13, 2021, which is reporting of large trader identifiers 17 as a single transaction on an exchange. approximately seven months after Large (‘‘LTID’’) (if applicable) for accounts Responses to auctions of simple orders Industry Members begin reporting such with Reportable Events that are and paired simple orders are also data to the Central Repository. To reportable to CAT as of and including reportable in Phase 2b. implement the Phased Reporting for Phase 2c; (11) reporting of date account Furthermore, combined orders in Phase 2c, the Exchange proposes to add opened or Account Effective Date 18 (as options would be treated in Phase 2b in paragraph (t)(3) to Rule 4.5 and amend applicable) for accounts and flag the same way as equity representative paragraphs (c)(1) and (2) of Rule 4.16. indicating the Firm Designated ID type orders are treated in Phase 2a. A (i) Scope of Phase 2c Reporting as account or relationship; (12) order combined order would mean, as effective time for orders that are permitted by Exchange rules, a single, To implement the Phased Reporting with respect to Phase 2c, the Exchange received by an Industry Member and do simple order in Listed Options created not become effective until a later time; by combining individual, simple orders proposes to add a definition of ‘‘Phase 2c Industry Member Data’’ as paragraph (13) the modification or cancellation of in Listed Options from a customer with an internal route of an order; and (14) the same exchange origin code before (t)(3) to Rule 4.5. Specifically, the Exchange proposes to define the term linkages to the customer order(s) being routing to an exchange. During Phase represented for all representative order 2b, the single combined order sent to an ‘‘Phase 2c Industry Member Data’’ as ‘‘Industry Member Data required to be scenarios, including agency average exchange must be reported and marked price trades, net trades, aggregated as a combined order, but the linkage to reported to the Central Repository commencing in Phase 2c.’’ Phase 2c orders, and disconnected Order the underlying orders is not required to Management System (‘‘OMS’’)— be reported until Phase 2d. Industry Member Data’’ would be Industry Member Data related to Eligible Execution Management System (‘‘EMS’’) (ii) Timing of Phase 2b Reporting Securities that are equities other than scenarios, as required in the Industry 19 Pursuant to paragraph (c)(1) of Rule Phase 2a Industry Member Data, Phase Member Technical Specifications. Phase 2c Industry Member Data also 4.16, Large Industry Members are 2d Industry Member Data or Phase 2e includes electronic quotes that are required to begin reporting to the CAT Industry Member Data. Phase 2c provided by or received in a CAT by November 15, 2018. To implement Industry Member Data is described in Reporter’s order/quote handling or the Phased Reporting for Phase 2b for detail in the Industry Member Technical Large Industry Members, the Exchange Specifications for Phase 2c. While the execution systems in Eligible Securities proposes to delete the November 15, following summarizes the categories of 17 See definition of ‘‘Customer Account 2018 date and to supplement paragraph Industry Member Data required for Information’’ in Section 1.1 of the CAT NMS Plan. (c)(1) of Rule 4.16 with new paragraph Phase 2c, the Industry Member See also Rule 13h 1 under the Exchange Act. (c)(1)(B) of Rule 4.16, which would Technical Specifications provide 18 See definition of ‘‘Customer Account state, in relevant part, that ‘‘Each detailed guidance regarding the Information’’ and ‘‘Account Effective Date’’ in Industry Member (other than a Small reporting for Phase 2c. Section 1.1 of the CAT NMS Plan. Note that the Exchange also proposes to amend the dates in the Industry Member) shall record and Phase 2c Industry Member Data definitions of ‘‘Account Effective Date’’ and report the Industry Member Data to the would include Industry Member Data ‘‘Customer Account Information’’ to reflect the Central Repository, as follows: . . . (B) that is related to Eligible Securities that Phased Reporting. Specifically, the Exchange Phase 2b Industry Member Data by July are equities and that is related to: (1) proposes to amend paragraph (m)(2) of Rule 4.5 to replace the references to November 15, 2018 and 20, 2020.’’ Allocation Reports as required to be 2019 with references to the commencement of Pursuant to paragraph (c)(2) of Rule recorded and reported to the Central Phase 2c and Phase 2d. The Exchange also proposes 4.16, Small Industry Members are Repository pursuant to Section to amend paragraphs (a)(1)(A), (a)(1)(B) and (a)(2)– required to begin reporting to the CAT 6.4(d)(ii)(A)(1) of the CAT NMS Plan; (2) (5) of Rule 6810 regarding the definition of ‘‘Account Effective Date’’ with similar changes to by November 15, 2019. To implement quotes in unlisted Eligible Securities the dates set forth therein. the Phased Reporting for Phase 2b for sent to an IDQS operated by a CAT 19 In Phase 2c, for any scenarios that involve Small Industry Members, the Exchange Reporter (reportable by the Industry orders originated in different systems that are not proposes to delete the November 15, Member sending the quotes) (except for directly linked, such as a customer order originated in an OMS and represented by a principal order 2019 date and to supplement paragraph quotes reportable in Phase 2d, as originated in an EMS that is not linked to the OMS, (c)(2) of Rule 4.16 with new paragraph discussed below); (3) electronic quotes marking and linkages must be reported as required (c)(2)(C) of Rule 4.16, which would in listed equity Eligible Securities (i.e., in the Industry Member Technical Specifications.

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that are equities and are provided by an report the Industry Member Data to the indicating the Firm Designated ID type Industry Member to other market Central Repository, as follows: . . . (C) as account or relationship for such participants off a national securities Small Industry Members to report to the accounts; 21 (6) Allocation Reports as exchange under the following Central Repository . . . Phase 2c required to be recorded and reported to conditions: (1) An equity bid or offer is Industry Member Data . . . by the Central Repository pursuant to displayed publicly or has been December 13, 2021.’’ Section 6.4(d)(ii)(A)(1) of the CAT NMS communicated (a) for listed securities to D. Phase 2d Plan; (7) the modification or the Alternative Display Facility (ADF) cancellation of an internal route of an operated by FINRA; or (b) for unlisted In the fourth phase of the Phased order; and (8) linkage between a equity securities to an ‘‘inter-dealer Reporting, referred to as Phase 2d, Large combined order and the original quotation system’’ as defined in FINRA Industry Members and Small Industry customer orders. Members would be required to report to Rule 6420(c); or (2) an equity bid or Phase 2d Industry Member Data also the Central Repository ‘‘Phase 2d offer which is accessible electronically would include electronic quotes that are by customers or other market Industry Member Data’’ by December 13, 2021. To implement the Phased provided by or received in a CAT participants and is immediately Reporter’s order/quote handling or actionable for execution or routing; i.e., Reporting for Phase 2d, the Exchange proposes to add paragraph (t)(4) to Rule execution systems in Eligible Securities no further manual or electronic action is that are options and are provided by an required by the responder providing the 4.5 and amend paragraphs (c)(1) and (2) of Rule 4.16. Industry Member to other market quote in order to execute or cause a participants off a national securities trade to be executed). With respect to (i) Scope of Phase 2d Reporting exchange under the following OTC Equity Securities, OTC Equity conditions: a listed option bid or offer Securities quotes sent by an Industry To implement the Phased Reporting which is accessible electronically by Member to an IDQS operated by an with respect to Phase 2d, the Exchange customers or other market participants Industry Member CAT Reporter (other proposes to add a definition of ‘‘Phase and is immediately actionable (i.e., no than such an IDQS that does not match 2d Industry Member Data’’ as paragraph further action is required by the and execute orders) are reportable by (t)(4) to Rule 6.5. Specifically, the responder providing the quote in order the Industry Member sending them in Exchange proposes to define the term to execute or cause a trade to be Phase 2c. Accordingly, any response to ‘‘Phase 2d Industry Member Data’’ as executed). Accordingly, any response to a request for quote or other form of ‘‘Industry Member Data required to be a request for quote or other form of solicitation response provided in reported to the Central Repository 20 solicitation response provided in standard electronic format (e.g., FIX) commencing in Phase 2d.’’ that meets this quote definition (i.e., an ‘‘Phase 2d Industry Member Data’’ is standard electronic format (e.g., FIX) equity bid or offer which is accessible Industry Member Data that is related to that meets this definition would be electronically by customers or other Eligible Securities that are options other reportable in Phase 2d for options. market participants and is immediately than Phase 2b Industry Member Data, Phase 2d Industry Member Data also actionable for execution or routing) Industry Member Data that is related to would include with respect to Eligible would be reportable in Phase 2c. Eligible Securities that are equities other Securities that are options or equities (1) than Phase 2a Industry Member Data or receipt time of cancellation and (ii) Timing of Phase 2c Reporting Phase 2c Industry Member Data, and modification instructions through Order Pursuant to paragraph (c)(1) of Rule Industry Member Data other than Phase Cancel Request and Order Modification 4.16, Large Industry Members are 2e Industry Member Data. Phase 2d Request events; (2) modifications of required to begin reporting to the CAT Industry Member Data is described in previously routed orders in certain by November 15, 2018. To implement detail in the Industry Member Technical instances; and (3) OTC Equity Securities the Phased Reporting for Phase 2c for Specifications for Phase 2d. While the quotes sent by an Industry Member to Large Industry Members, the Exchange following summarizes the categories of an IDQS operated by an Industry proposes to delete the November 15, Industry Member Data required for Member CAT Reporter that does not 2018 date and to supplement paragraph Phase 2d, the Industry Member match and execute orders. In addition, (c)(1) of Rule 4.16 with new paragraph Technical Specifications provide subject to any exemptive or other relief, (c)(1)(C) of Rule 4.16, which would detailed guidance regarding the Phase 2d Industry Member Data will state, in relevant part, that ‘‘Each reporting for Phase 2d. include verbal or manual quotes on an Phase 2d Industry Member Data Industry Member (other than a Small exchange floor or in the over-the- includes with respect to the Eligible Industry Member) shall record and counter market, where verbal quotes Securities that are options: (1) Simple report the Industry Member Data to the and manual quotes are defined as bids manual orders; (2) electronic and Central Repository, as follows: . . . (C) or offers in Eligible Securities provided manual paired orders; (3) all complex Phase 2c Industry Member Data by April verbally or that are provided or received orders with linkages to all CAT- 26, 2021.’’ other than via a CAT Reporter’s order reportable legs; (4) LTIDs (if applicable) Pursuant to paragraph (c)(2) of Rule handling and execution system (e.g., 4.16, Small Industry Members are for accounts with Reportable Events for required to begin reporting to the CAT Phase 2d; (5) date account opened or Account Effective Date (as applicable) 21 As noted above, the Exchange also proposes to by November 15, 2019. To implement amend the dates in the definitions of ‘‘Account the Phased Reporting for Phase 2c for for accounts with an LTID and flag Effective Date’’ and ‘‘Customer Account Small Industry Members, the Exchange Information’’ to reflect the Phased Reporting. proposes to delete the November 15, 20 The Participants have determined that Specifically, the Exchange proposes to amend reporting information regarding the modification or paragraph (m)(2) of Rule 6.5 to replace the 2019 date and to supplement paragraph cancellation of a route is necessary to create the full references to November 15, 2018 and 2019 with (c)(2) of Rule 4.16 with new paragraph lifecycle of an order. Accordingly, the Participants references to the commencement of Phase 2c and (c)(2)(C) of Rule 4.16, which would require the reporting of information related to the Phase 2d. The Exchange also proposes to amend state, in relevant part, that ‘‘Each modification or cancellation of a route similar to the paragraphs (a)(1)(A), (a)(1)(B) and (a)(2)–(5) of Rule data required for the routing of an order and 6810 regarding the definition of ‘‘Account Effective Industry Member that is a Small modification and cancellation of an order pursuant Date’’ with similar changes to the dates set forth Industry Member shall record and to Sections 6.3(d)(ii) and (iv) of the CAT NMS Plan. therein.

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quotations provided via email or instant applicable exemptive relief or F. Industry Member Testing messaging). amendments to the CAT NMS Plan.’’ Requirements LTIDs and Account Effective Date are (ii) Timing of Phase 2d Reporting Rule 4.13(a) sets forth various both required to be reported in Phases compliance dates for the testing and Pursuant to paragraph (c)(1) of Rule 2c and 2d in certain circumstances, as development for connectivity, 4.16, Large Industry Members are discussed above. The terms ‘‘Customer acceptance and the submission order required to begin reporting to the CAT Account Information’’ and ‘‘Customer by November 15, 2018. To implement data. In light of the intent to shift to Identifying Information’’ are defined in Phased Reporting in place of the two the Phased Reporting for Phase 2d for Rule 4.5 of the Compliance Rule.22 The Large Industry Members, the Exchange specified dates for the commencement Industry Member Technical of reporting for Large and Small proposes to delete the November 15, Specifications provide detailed 2018 date and to supplement paragraph Industry Members, the Exchange guidance regarding the reporting for correspondingly proposes to replace the (c)(1) of Rule 4.16 with new paragraph Phase 2e. (c)(1)(D) of Rule 4.16, which would Industry Member development testing state, in relevant part, that ‘‘[e]ach (ii) Timing of Phase 2e Reporting milestones in Rule 6880(a) with the Industry Member (other than a Small testing milestones set forth in the Industry Member) shall record and Pursuant to paragraph (c)(1) of Rule exemptive relief. Specifically, the report the Industry Member Data to the 4.16, Large Industry Members are Exchange proposes to replace Rule Central Repository, as follows: . . . (D) required to begin reporting to the CAT 6880(a) with the following: Phase 2d Industry Member Data by by November 15, 2018. To implement (1) Industry Member file submission and December 13, 2021.’’ the Phased Reporting for Phase 2e for data integrity testing for Phases 2a and 2b Pursuant to paragraph (c)(2) of Rule Large Industry Members, the Exchange shall begin in December 2019. 4.16, Small Industry Members are proposes to delete the November 15, (2) Industry Member testing of the Reporter 2018 date and to supplement paragraph Portal, including data integrity error required to begin reporting to the CAT correction tools and data submissions, shall by November 15, 2019. To implement (c)(1) of Rule 4.16 with new paragraph begin in February 2020. the Phased Reporting for Phase 2d for (c)(1)(E) of Rule 4.16, which would (3) The Industry Member test environment Small Industry Members, the Exchange state, in relevant part, that ‘‘[e]ach shall open with intra-firm linkage validations proposes to delete the November 15, Industry Member (other than a Small to Industry Members for both Phases 2a and 2019 date and to supplement paragraph Industry Member) shall record and 2b in April 2020. (c)(2) of Rule 4.16 with new paragraph report the Industry Member Data to the (4) The Industry Member test environment (c)(2)(C) of Rule 4.16, which would Central Repository, as follows: . . . (E) shall open to Industry Members with inter- Phase 2e Industry Member Data by July firm linkage validations for both Phases 2a state, in relevant part, that ‘‘Each and 2b in July 2020. Industry Member that is a Small 11, 2022.’’ (5) The Industry Member test environment Industry Member shall record and Pursuant to paragraph (c)(2) of Rule shall open to Industry Members with Phase report the Industry Member Data to the 4.16, Small Industry Members are 2c functionality (full representative order Central Repository, as follows: . . . (C) required to begin reporting to the CAT linkages) in January 2021. Small Industry Members to report to the by November 15, 2019. To implement (6) The Industry Member test environment shall open to Industry Members with Phase Central Repository . . . Phase 2d the Phased Reporting for Phase 2e for Industry Member Data by December 13, 2d functionality (manual options orders, Small Industry Members, the Exchange complex options orders, and options 2021.’’ proposes to delete the November 15, allocations) in June 2021. E. Phase 2e 2019 date and to supplement paragraph (7) Participant exchanges that support (c)(2) of Rule 4.16 with new paragraph options market making quoting shall begin In the fifth phase of Phased Reporting, (c)(2)(D) of Rule 4.16, which would accepting Quote Sent Time on quotes from referred to as Phase 2e, both Large state, in relevant part, that ‘‘[e]ach Industry Members no later than April 2020. Industry Members and Small Industry Industry Member that is a Small (8) The Industry Member test environment Members would be required to report to (customer and account information) will be Industry Member shall record and the Central Repository ‘‘Phase 2e open to Industry Members in January 2022. report the Industry Member Data to the Industry Member Data’’ by July 11, Central Repository, as follows: . . . (E) 2022. To implement the Phased iv. Granularity of Timestamps Small Industry Members to report to the Reporting for Phase 2e, the Exchange Central Repository Phase 2e Industry On February 3, 2020, the Participants proposes to add paragraph (t)(5) to Rule Member Data by July 11, 2022.’’ filed with the Commission a request for 4.5 and amend paragraphs (c)(1) and (2) exemptive relief from the requirement of Rule 4.16. in Section 6.8(b) of the CAT NMS Plan 22 The term ‘‘Customer Account Information’’ for each Participant, through its (i) Scope of Phase 2e Reporting includes account numbers, and the term ‘‘Customer Identifying Information’’ includes, with respect to Compliance Rule, to require that, to the To implement the Phased Reporting individuals, dates of birth and SSNs. See Rule 4.5. extent that its Industry Members utilize with respect to Phase 2e, the Exchange The Participants have received exemptive relief timestamps in increments finer than proposes to add a definition of ‘‘Phase from the requirements for the Participants to require their members to provide dates of birth, account nanoseconds in their order handling or 2e Industry Member Data’’ as paragraph numbers and social security numbers for execution systems, such Industry (t)(5) of Rule 4.16. Specifically, the individuals to the CAT. See Securities Exchange Members utilize such finer increment Exchange proposes to define the term Act Release No. 88393 (March 17, 2020), 85 FR when reporting CAT Data to the Central ‘‘Phase 2e Industry Member Data’’ as 16152 (March 20, 2020). See also Letter to Vanessa 23 Countryman, Secretary, SEC, from Michael Simon, Repository. On April 8, 2020, the ‘‘Industry Member Data required to be CAT NMS Plan Operating Committee Chair, re: reported to the Central Repository Request for Exemptive Relief from Certain 23 See Letter to Vanessa Countryman, Secretary, commencing in Phase 2e. The full scope Provisions of the CAT NMS Plan related to Social SEC, from Michael Simon, CAT NMS Plan of Industry Member Data required by Security Numbers, Dates of Birth and Account Operating Committee Chair, re: Request for Numbers (Jan. 29, 2020). Given the relief has been Exemption from Certain Provisions of the National the CAT NMS Plan will be required to granted, Phase 2e Industry Member Data will not Market System Plan Governing the Consolidated be reported to the CAT when Phase 2e include account numbers, dates of birth and SSNs Audit Trail related to Granularity of Timestamps has been implemented, subject to any for individuals. and Relationship Identifiers (Feb. 3, 2020).

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Participants received the exemptive Instead, such Introducing Industry Assuming the Participants comply with relief.24 As a condition to this Members would comply with the the conditions set forth in the PII exemption, the Participants, through requirements in the CAT NMS Plan Exemption Order, Industry Members their Compliance Rules, will require applicable to Small Industry Members. would not be required to report SSNs, Industry Members that capture On April 20, 2020, the SEC granted the dates of birth and account numbers to timestamps in increments more granular Participants exemptive relief with the CAT NMS Plan. than nanoseconds to truncate the regard to Introducing Industry As described in the request for timestamps, after the nanosecond level Members.26 exemptive relief, the Participants for submission to CAT, not round up or As a result, the Exchange proposes to requested exemptive relief to allow for down in such circumstances. The amend its Compliance Rule to adopt a an alternative approach to generating a timestamp granularity exemption definition of ‘‘Introducing Industry CAT Customer ID (‘‘CCID’’) without remains in effect for five years, until Member’’ and to revise Rule 4.16 to requiring Industry Members to report April 8, 2025. After five years, the require Introducing Industry Members SSNs to the CAT (the ‘‘CCID exemption would no longer be in effect to comply with the requirements of the Alternative’’). In lieu of retaining such unless the period the exemption is in CAT NMS Plan applicable to Small SSNs in the CAT, the Participants effect is extended by the SEC. Industry Members. Specifically, the would use the CCID Alternative, a Accordingly, the Exchange proposes Exchange proposes to define strategy developed by the Chief to amend its Compliance Rule to reflect ‘‘Introducing Industry Member’’ in Information Security Officer for the CAT the exemptive relief. Specifically, the proposed paragraph (v) to Rule 4.5, as and the Chief Information Security Exchange proposes to amend paragraph ‘‘a broker-dealer that does not qualify as Officers from each of the Participants, in (a)(2) of Rule 4.10. Rule 4.10(a)(2) states a Small Industry Member solely because consultation with security experts from that such broker-dealer satisfies Rule 0– member firms of Securities Industry and 10(i)(2) under the Exchange Act in that Subject to paragraph (b), to the extent that Financial Markets Association. The it introduces transactions on a fully CCID Alternative facilitates the ability of any Industry Member’s order handling or disclosed basis to clearing firms that are execution systems utilize time stamps in the Plan Processor to generate a CCID increments finer than milliseconds, such not small businesses or small without requiring the Plan Processor to Industry Member shall record and report organizations.’’ The Exchange also receive SSNs or store SSNs within the Industry Member Data to the Central proposes to add a new paragraph (3) to CAT. Under the CCID Alternative, the Repository with time stamps in such finer Rule 4.16(c) to state that ‘‘Introducing Plan Processor would generate a unique increment. Industry Members must comply with CCID using a two-phase transformation The Exchange proposes to amend this the requirements of the CAT NMS Plan process that avoids having SSNs applicable to Small Industry Members.’’ provision to read as follows to reflect reported to or stored in the CAT. In the With these changes, Introducing the exemptive relief: first transformation phase, a CAT Industry Members would be required to Reporter would transform the SSN to an Subject to paragraph (b), to the extent that comply with the requirements in the any Industry Member’s order handling or interim value (the ‘‘transformed value’’). CAT NMS Plan applicable to Small This transformed value, and not the execution systems utilize time stamps in Industry Members, rather than the increments finer than milliseconds, such SSN, would be submitted to a separate Industry Member shall record and report requirements in the CAT NMS Plan system within the CAT (‘‘CCID Industry Member Data to the Central applicable to Large Industry Members. Subsystem’’). The CCID Subsystem Repository with time stamps in such finer vi. CCID/PII would then perform a second increment up to nanoseconds; provided, that On January 29, 2020, the Participants transformation to create the globally Industry Members that capture timestamps in unique CCID for each Customer that is increments more granular than nanoseconds filed with the Commission a request for must truncate the timestamps after the exemptive relief from certain unknown to, and not shared with, the nanosecond level for submission to CAT, requirements related to reporting SSNs, original CAT Reporter. The CCID would rather than rounding such timestamps up or dates of birth and account numbers to then be sent to the customer and down, until April 8, 2025. the CAT.27 The Commission, account information system of the CAT, Participants and others indicated where it would be linked with the other v. Introducing Industry Members security concerns with maintaining customer and account information. The On February 3, 2020, the Participants such sensitive Customer information in CCID may then be used by the requested that the Commission exempt the CAT. On March 17, 2020, the Participants’ regulatory staff and the broker-dealers that do not qualify as Participants received the exemptive SEC in queries and analysis of CAT Small Industry Members solely because relief, subject to certain conditions.28 Data. To implement the CCID they satisfy Rule 0–10(i)(2) under the Alternative, the Participants requested Exchange Act and, as a result, are Audit Trail related to Small Industry Members (Feb. exemptive relief from the requirement deemed affiliated with an entity that is 3, 2020). in Section 6.4(d)(ii)(C) of the CAT NMS 26 not a small business or small See Securities Exchange Act Release No. 88703 Plan to require, through their (April 20, 2020), 85 FR 23115 (April 24, 2020). Compliance Rules, Industry Members to organization (‘‘Introducing Industry 27 See Letter to Vanessa Countryman, Secretary, record and report SSNs to the Central Member’’) from the requirements in the SEC, from Michael Simon, CAT NMS Plan CAT NMS Plan applicable to Industry Operating Committee Chair, re: Request for Repository for the original receipt of an Members other than Small Industry Exemptive Relief from Certain Provisions of the order. As set forth in one condition of CAT NMS Plan related to Social Security Numbers, Members (‘‘Large Industry Members’’).25 the PII Exemption Order, Industry Dates of Birth and Account Numbers (Jan. 29, 2020). Members would be required to 28 See Securities Exchange Act Release No. 88393 24 See Securities Exchange Act Release No. 88608 (March 17, 2020), 85 FR 16152 (March 20, 2020) transform an SSN to an interim value, (April 8, 2020), 85 FR 20743 (April 14, 2020). (Order Granting Conditional Exemptive Relief, 25 See Letter to Vanessa Countryman, Secretary, Pursuant to Section 36 and Rule 608(e) of the Consolidated Audit Trail) (‘‘PII Exemption Order’’). SEC, from Michael Simon, CAT NMS Plan Securities Exchange Act of 1934, from Section The PII Exemption Order lists several conditions Operating Committee Chair, re: Request for 6.4(d)(ii)(C) and Appendix D Sections 4.1.6, 6.2, that must be met by the Exchange. If the Exchange Exemption from Certain Provisions of the National 8.1.1, 8.2, 9.1, 9.2, 9.4, 10.1, and 10.3 of the does not satisfy the conditions, the PII Exemption Market System Plan Governing the Consolidated National Market System Plan Governing the Order would not apply to the Exchange.

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and report the transformed value to the 4.5(n)) with ‘‘year of birth’’ and to delete Central Repository any updates, CAT. ‘‘individual tax payer identification additions or other changes to the The Participants also requested number (‘‘ITIN’’)/social security number Transformed Value for individual tax exemptive relief to allow for an (‘‘SSN’’)’’ from Rule 6810(m) (now payer identification number (‘‘ITIN’’)/ alternative approach which would renumbered Rule 6810(n)). In addition, social security number (‘‘SSN’’) for each exempt the reporting of dates of birth currently, Rule 4.5(l) defines ‘‘Customer of its Customers with an Active Account and account numbers 29 to the CAT Account Information’’ to include on a daily basis. In addition, the (‘‘Modified PII Approach’’), and instead account numbers. The Exchange Exchange proposes to revise Rule 4.8(c) would require Industry Members to proposes to delete ‘‘account number’’ to require, on a periodic basis as report the year of birth and the Firm from the definition of ‘‘Customer designated by the Plan Processor and Designated ID for each trading account Account Information’’ in Rule 4.5(l) approved by the Operating Committee, associated with the Customers. To (now renumbered Rule 6810(m)). each Industry Member to submit to the implement the Modified PII Approach, The Exchange also proposes to add a Central Repository a complete set of the the Participants requested exemptive definition of the term ‘‘Transformed Transformed Value for individual tax relief from the requirement in Section Value for individual tax payer payer identification number (‘‘ITIN’’)/ 6.4(d)(ii)(C) of the CAT NMS Plan to identification number (‘‘ITIN’’)/social social security number (‘‘SSN’’) for each require, through their Compliance security number (‘‘SSN’’)’’ to Rule 4.5. of its Customers with an Active Rules, Industry Members to record and Specifically, the Exchange proposes to Account. The Exchange also proposes to report to the Central Repository for the add paragraph (pp) to Rule 4.5 to define revise Rule 4.8(d) to require, for each original receipt of an order dates of birth ‘‘Transformed Value for individual tax Industry Member for which errors in the and account numbers for Customers. As payer identification number (‘‘ITIN’’)/ Transformed Value for individual tax conditions to the exemption, Industry social security number (‘‘SSN’’)’’ to payer identification number (‘‘ITIN’’)/ Members would be required to report mean ‘‘the interim value created by an social security number (‘‘SSN’’) for each the year of birth of an individual to the Industry Member based on a Customer of its Customers with an Active Account Central Repository, and to report the ITIN/SSN.’’ submitted to the Central Repository Firm Designated ID to the Central The Exchange proposes to revise Rule have been identified by the Plan Repository. 4.7(a)(2)(C) to include the Transformed Processor or otherwise, such Industry To implement the request for Value for individual tax payer Member to submit corrected data to the exemptive relief and to eliminate the identification number (‘‘ITIN’’)/social Central Repository by 5:00 p.m. Eastern requirement to report SSNs, date of security number (‘‘SSN’’). Specifically, Time on T+3. birth and account numbers to the CAT, the Exchange proposes to revise Rule Paragraph (1)(B) of Rule 4.5(m), the the Exchange proposes to amend its 6830(a)(2)(C) to state: definition of ‘‘Customer Account Compliance Rule to reflect the [s]ubject to paragraph (3) below, each Information’’ states that ‘‘in those exemptive relief. Rule 4.7(a)(2)(C) states Industry Member shall record and report to circumstances in which an Industry that the Central Repository the following, as Member has established a trading applicable (‘‘Received Industry Member relationship with an institution but has [s]ubject to paragraph (3) below, each Data’’ and collectively with the information Industry Member shall record and report to referred to in Rule 6830(a)(1) ‘‘Industry not established an account with that the Central Repository the following, as Member Data’’)) in the manner prescribed by institution, the Industry Member will’’ applicable (‘‘Received Industry Member the Operating Committee pursuant to the . . . ‘‘provide the relationship identifier Data’’ and collectively with the information CAT NMS Plan: . . . (C) for original receipt in lieu of the ‘‘account number.’’ As an referred to in Rule 6830(a)(1) ‘‘Industry or origination of an order, the Firm account number will no longer be an Member Data’’)) in the manner prescribed by Designated ID for the relevant Customer, element in ‘‘Customer Account the Operating Committee pursuant to the Transformed Value for individual tax payer Information,’’ the relationship identifier CAT NMS Plan: . . . (C) for original receipt identification number (‘‘ITIN’’)/social or origination of an order, the Firm security number (‘‘SSN’’), and in accordance used in lieu of the account number will Designated ID for the relevant Customer, and with Rule 6840, Customer Account no longer be required as an element of in accordance with Rule 6840, Customer Information and Customer Identifying Customer Account Information. Account Information and Customer Information for the relevant Customer. Therefore, the Exchange proposes to Identifying Information for the relevant The Exchange also proposes to delete the requirement set forth in Rule Customer. include the Transformed Value for 6810(m)(a)(B) regarding relationship Similarly, Rule 4.8 requires the individual tax payer identification identifiers from Rule 4.5(m). reporting of Customer Account number (‘‘ITIN’’)/social security number With these changes, Industry Information and Customer Identifying (‘‘SSN’’) in the Customer information Members would not be required to Information to the Central Repository. reporting required under Rule 4.8. report to the Central Repository dates of Currently, Rule 4.5(m) defines Specifically, the Exchange proposes to birth, SSNs or account numbers ‘‘Customer Identifying Information’’ to revise Rule 4.8(a) to require each pursuant to Rule 4.7(a)(2)(C). However, include, with respect to individuals, Industry Member to submit to the Industry Members would be required to ‘‘date of birth’’ and ‘‘individual tax Central Repository the Transformed report the Transformed Value for payer identification number (‘‘ITIN’’)/ Value for individual tax payer individual tax payer identification social security number (‘‘SSN’’).’’ identification number (‘‘ITIN’’)/social number (‘‘ITIN’’)/social security number Accordingly, the Exchange proposes to security number (‘‘SSN’’), for each of its (‘‘SSN’’) and the year of birth to the 30 replace ‘‘date of birth’’ in the definition Customers with an Active Account prior Central Repository. of ‘‘Customer Identifying Information’’ to such Industry Member’s vii. FINRA Facility Data Linkage in Rule 4.5(m) (now renumbered Rule commencement of reporting to the On June 5, 2020, the Participants filed Central Repository and in accordance with the Commission a request for 29 With respect to this aspect of the requested with the deadlines set forth in Rule relief, the PII Exemption Order provided relief with regard to the reporting of all account numbers, not 6880. The Exchange also proposes to 30 The Exchange anticipates that the Compliance just account numbers for individuals as requested revise Rule 4.8(b) to require each Rule may be further amended when further details by the Participants. Industry Member to submit to the regarding the CCID Alternative are finalized.

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exemptive relief from certain provisions and cancelled trade timestamp if the the Exchange proposes new paragraphs of the CAT NMS Plan to allow for an trade is cancelled. Similarly, if an (a)(2)(E)(2) and (3) to Rule 4.7, which alternative approach to the reporting of Industry Member does not submit the would state: clearing numbers and cancelled trade clearing number of the clearing broker (2) If the order is executed in whole or in indicators.31 The SEC provided this to a FINRA Facility for a trade, or is part, and the Industry Member submits the exemptive relief on June 11, 2020.32 unable to provide a link between the trade report to one of FINRA’s Trade FINRA is required to report to the execution reported to the Central Reporting Facilities, OTC Reporting Facility Central Repository data collected by Repository and the related FINRA or Alternative Display Facility pursuant to FINRA’s Trade Reporting Facilities, Facility trade report, then the Industry applicable SRO rules, the Industry Member is FINRA’s OTC Reporting Facility or Member would be required to record not required to submit the SRO-Assigned Market Participant Identifier of the clearing FINRA’s Alternative Display Facility and report to the Central Repository the broker pursuant to Rule 4.7(a)(2)(A)(2); (collectively, ‘‘FINRA Facility’’) clearing number as well as contra party provided, however, if the Industry Member pursuant to applicable SRO rules information. does not report the clearing number of the (‘‘FINRA Facility Data’’). Included in As a result, the Exchange proposes to clearing broker to such FINRA facility for a this FINRA Facility Data is the clearing amend its Compliance Rule to reflect trade, or does not report the unique trade number of the clearing broker for a the exemptive relief to implement this identifier to the Central Repository as reported trade as well as the cancelled alternative approach. Specifically, the required by Rule 4.7(a)(2)(E)(1), then the Industry Member would be required to trade indicator. Under this alternative Exchange proposes to require Industry record and report to the Central Repository approach, the clearing number and the Members to report to the CAT with an the clearing number of the clearing broker as cancelled trade indicator of the FINRA execution report the unique trade well as information about the contra party to Facility Data that is reported to the CAT identifier reported to a FINRA facility the trade beginning April 26, 2021 for Large would be linked to the related execution with the corresponding trade report. For Industry Members and Small Industry OATS reports reported by Industry Members. example, the unique trade identifier for Reporters and beginning December 13, 2021 To implement this approach in a phased the OTC Reporting Facility and the for Small Industry Non-OATS Reporters; and Alternative Display Facility would be (3) if the trade is cancelled and the manner, the Participants received Industry Member submits the cancellation to exemptive relief from the requirement the Compliance ID, for the FINRA/ one of FINRA’s Trade Reporting Facilities, in Sections 6.4(d)(ii)(A)(2) and (B) of the Nasdaq Trade Reporting Facility, it OTC Reporting Facility or Alternative CAT NMS Plan to require, through their would be the Branch Sequence Number, Display Facility pursuant to applicable SRO Compliance Rules, that Industry and for the FINRA/NYSE Trade rules, the Industry Member is not required to Members record and report to the Reporting Facility, it would the FINRA submit the cancelled trade indicator pursuant Central Repository: (1) If the order is Compliance Number. This unique trade to Rule 4.7(a)(2)(B); provided, however, if the executed, in whole or in part, the SRO- identifier would be used to link the Industry Member does not report a FINRA Facility Data with the execution cancellation for a canceled trade to such Assigned Market Participant Identifier FINRA facility, or does not report the unique of the clearing broker, if applicable; and report in the CAT. Specifically, the trade identifier as required by 4.7(a)(2)(E)(1), (2) if the trade is cancelled, a cancelled Exchange proposes to add new then the Industry Member would be required trade indicator, subject to certain paragraph (a)(2)(E) to Rule 4.7, which to record and report to the Central Repository conditions. states that: a cancelled trade indicator as well as a cancelled trade timestamp beginning June 22, As a condition to this exemption, the (E) If an Industry Member is required to 2020 for Large Industry Members and Small Participants would continue to require submit and submits a trade report for a trade, Industry OATS Reporters and beginning Industry Members to submit a trade and, if the trade is cancelled, a cancellation, December 13, 2021 for Small Industry Non- to one of FINRA’s Trade Reporting Facilities, report for a trade, and, if the trade is OATS Reporters. cancelled, a cancellation, to a FINRA OTC Reporting Facility or Alternative Facility pursuant to applicable SRO Display Facility pursuant to applicable SRO 2. Statutory Basis rules, and the Industry Member is required rules, and to report the corresponding The Exchange believes the proposed execution to the Central Repository. In to report the corresponding execution and/or cancellation to the Central Repository: rule change is consistent with the addition, Industry Members would be (1) The Industry Member is required to Securities Exchange Act of 1934 (the required to report to the Central report to the Central Repository trade ‘‘Act’’) and the rules and regulations Repository the unique trade identifier identifier reported by the Industry Member to thereunder applicable to the Exchange reported to a FINRA Facility with the such FINRA facility for the trade when the and, in particular, the requirements of corresponding trade report. Industry Member reports the execution of an Section 6(b) of the Act. Specifically, the Furthermore, if an Industry Member order pursuant to Rule 4.7(a)(1)(E) or Exchange believes the proposed rule does not submit a cancellation to a cancellation of an order pursuant to Rule change is consistent with the Section 4.7(a)(1)(D) beginning June 22, 2020 for Large FINRA Facility, or is unable to provide 6(b)(5) requirements that the rules of an a link between the execution reported to Industry Members and Small Industry OATS Reporters and beginning December 13, 2021 exchange be designed to prevent the Central Repository and the related for Small Industry Non-OATS Reporters, and fraudulent and manipulative acts and FINRA Facility trade report, then the such trade identifier must be unique practices, to promote just and equitable Industry Member would be required to beginning October 26, 2020 for Large principles of trade, to foster cooperation record and report to the Central Industry Members and Small Industry OATS and coordination with persons engaged Repository a cancelled trade indicator Reporters and beginning December 13, 2021 in regulating, clearing, settling, for Small Industry Non-OATS Reporters. processing information with respect to, 31 See Letter to Vanessa Countryman, Secretary, The Exchange also proposes to relieve and facilitating transactions in SEC, from Michael Simon, CAT NMS Plan Operating Committee Chair, re: Request for Industry Members of the obligation to securities, to remove impediments to Exemption from Certain Provisions of the National report to the CAT data related to and perfect the mechanism of a free and Market System Plan Governing the Consolidated clearing brokers and trade cancellations open market and a national market Audit Trail related to FINRA Facility Data Linkage pursuant to Rules 4.7(a)(2)(A)(2) and system, and, in general, to protect (June 5, 2020). 32 See Securities Exchange Act Release No. 89051 (B), respectively, as this data will be investors and the public interest. (June 11, 2020) (Federal Register publication reported by FINRA to the CAT, except Additionally, the Exchange believes the pending). in certain circumstances. Accordingly, proposed rule change is consistent with

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the Section 6(b)(5) requirement that the III. Date of Effectiveness of the Commission shall institute proceedings rules of an exchange not be designed to Proposed Rule Change and Timing for to determine whether the proposed rule permit unfair discrimination between Commission Action should be approved or disapproved. customers, issuers, brokers, or dealers. Because the foregoing proposed rule IV. Solicitation of Comments The Exchange believes that this change does not: (i) Significantly affect proposal is consistent with the Act the protection of investors or the public Interested persons are invited to because it is consistent with certain interest; (ii) impose any significant submit written data, views, and exemptions from the CAT NMS Plan, burden on competition; and (iii) become arguments concerning the foregoing, because it facilitates the retirement of operative for 30 days from the date on including whether the proposed rule certain existing regulatory systems, and which it was filed, or such shorter time change is consistent with the Act. is designed to assist the Exchange and as the Commission may designate, it has Comments may be submitted by any of its Industry Members in meeting become effective pursuant to Section the following methods: regulatory obligations pursuant to the 19(b)(3)(A)(iii) of the Act 34 and Electronic Comments Plan. In approving the Plan, the SEC subparagraph (f)(6) of Rule 19b–4 • Use the Commission’s internet noted that the Plan ‘‘is necessary and thereunder.35 appropriate in the public interest, for A proposed rule change filed under comment form (http://www.sec.gov/ the protection of investors and the 36 rules/sro.shtml); or Rule 19b–4(f)(6) normally does not • maintenance of fair and orderly markets, become operative prior to 30 days after Send an email to rule-comments@ to remove impediments to, and perfect the date of the filing. However, pursuant sec.gov. Please include File Number SR– the mechanism of a national market to Rule 19b–4(f)(6)(iii),37 the CboeEDGX–2020–030 on the subject system, or is otherwise in furtherance of Commission may designate a shorter line. 33 the purposes of the Act.’’ To the time if such action is consistent with the Paper Comments extent that this proposal implements the protection of investors and the public • Send paper comments in triplicate Plan, including the exemptive relief, interest. The Exchange has asked the to Secretary, Securities and Exchange and applies specific requirements to Commission to waive the 30-day Commission, 100 F Street NE, Industry Members, the Exchange operative delay so that the proposal may Washington, DC 20549–1090. believes that this proposal furthers the become operative by June 22, 2020. The objectives of the Plan, as identified by Commission believes that waiver of the All submissions should refer to File the SEC, and is therefore consistent with 30-day operative delay is consistent Number SR–CboeEDGX–2020–030. This the Act. with the protection of investors and the file number should be included on the subject line if email is used. To help the B. Self-Regulatory Organization’s public interest because it implements Commission process and review your Statement on Burden on Competition exemptive relief from the CAT NMS Plan granted by the Commission and comments more efficiently, please use The Exchange does not believe that facilitates the start of Industry Member only one method. The Commission will the proposed rule change will result in reporting on June 22, 2020. In addition, post all comments on the Commission’s any burden on competition that is not as noted by the Exchange, the proposed internet website (http://www.sec.gov/ necessary or appropriate in furtherance rule change is based on a filing recently rules/sro.shtml). Copies of the of the purposes of the Act. The approved by the Commission.38 submission, all subsequent Exchange notes that the proposed rule Accordingly, the Commission waives amendments, all written statements changes are consistent with certain the 30-day operative delay and with respect to the proposed rule exemptions from the CAT NMS Plan, designates the proposed rule change change that are filed with the facilitate the retirement of certain operative as of June 22, 2020.39 Commission, and all written existing regulatory systems, and are At any time within 60 days of the communications relating to the designed to assist the Exchange in filing of the proposed rule change, the proposed rule change between the meeting its regulatory obligations Commission summarily may Commission and any person, other than pursuant to the Plan. The Exchange also temporarily suspend such rule change if those that may be withheld from the notes that the amendments to the it appears to the Commission that such public in accordance with the Compliance Rules will apply equally to action is: (i) Necessary or appropriate in provisions of 5 U.S.C. 552, will be all Industry Members that trade NMS the public interest; (ii) for the protection available for website viewing and Securities and OTC Equity Securities. In of investors; or (iii) otherwise in printing in the Commission’s Public addition, all national securities furtherance of the purposes of the Act. Reference Room, 100 F Street NE, exchanges and FINRA are proposing If the Commission takes such action, the Washington, DC 20549, on official these amendments to their Compliance business days between the hours of Rules. Therefore, this is not a 34 15 U.S.C. 78s(b)(3)(A)(iii). 10:00 a.m. and 3:00 p.m. Copies of the competitive rule filing, and, therefore, it 35 17 CFR 240.19b–4(f)(6). In addition, Rule 19b– filing also will be available for does not impose a burden on 4(f)(6)(iii) requires a self-regulatory organization to inspection and copying at the principal competition. give the Commission written notice of its intent to file the proposed rule change, along with a brief office of the Exchange. All comments C. Self-Regulatory Organization’s description and the text of the proposed rule received will be posted without change. Statement on Comments on the change, at least five business days prior to the date Persons submitting comments are of filing of the proposed rule change, or such cautioned that we do not redact or edit Proposed Rule Change Received From shorter time as designated by the Commission. The Members, Participants, or Others Exchange has satisfied this requirement. personal identifying information from comment submissions. You should The Exchange neither solicited nor 36 17 CFR 240.19b–4(f)(6). 37 submit only information that you wish received comments on the proposed 17 CFR 240.19b–4(f)(6)(iii). 38 See Securities Exchange Act Release No. 89108 to make available publicly. All rule change. (June 19, 2020). submissions should refer to File 39 For purposes only of waiving the 30-day Number SR–CboeEDGX–2020–030 and 33 See Securities Exchange Act Release No. 79318 operative delay, the Commission has considered the (November 15, 2016), 81 FR 84696, 84697 proposed rule’s impact on efficiency, competition, should be submitted on or before July (November 23, 2016). and capital formation. See 15 U.S.C. 78c(f). 20, 2020.

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For the Commission, by the Division of II. Self-Regulatory Organization’s • Revise the CAT reporting Trading and Markets, pursuant to delegated Statement of the Purpose of, and requirements so Industry Members authority.40 Statutory Basis for, the Proposed Rule would not be required to report to the J. Matthew DeLesDernier, Change Central Repository dates of birth, Assistant Secretary. In its filing with the Commission, the ‘‘individual tax payer identification [FR Doc. 2020–13876 Filed 6–26–20; 8:45 am] Exchange included statements number (‘‘ITIN’’)/social security number BILLING CODE 8011–01–P concerning the purpose of and basis for (‘‘SSN’’)’’ (collectively, referred to as ‘‘SSNs’’) or account numbers; and the proposed rule change and discussed • any comments it received on the Revise the CAT reporting SECURITIES AND EXCHANGE proposed rule change. The text of these requirements regarding cancelled trades COMMISSION statements may be examined at the and SRO-Assigned Market Participant places specified in Item IV below. The Identifiers of clearing brokers, if [Release No. 34–89138; File No. SR– Exchange has prepared summaries, set applicable, in connection with order CboeBYX–2020–019] forth in sections A, B, and C below, of executions, as such information will be the most significant aspects of such available from FINRA’s trade reports Self-Regulatory Organizations; Cboe statements. submitted to the CAT. BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a A. Self-Regulatory Organization’s i. CAT–OATS Data Gaps Proposed Rule Change Relating to Statement of the Purpose of, and The Participants have worked to Amend Certain Rules Within Rules 4.5 Statutory Basis for, the Proposed Rule identify gaps between data reported to Through 4.16, Which Contain the Change existing systems and data to be reported Exchange’s Compliance Rule 1. Purpose to the CAT to ‘‘ensure that by the time (‘‘Compliance Rule’’) Regarding the Industry Members are required to report National Market System Plan The purpose of this proposed rule to the CAT, the CAT will include all Governing the Consolidated Audit Trail change is to amend the Consolidated data elements necessary to facilitate the (the ‘‘CAT NMS Plan’’ or ‘‘Plan’’) Audit Trail (‘‘CAT’’) Compliance Rule rapid retirement of duplicative in Rules 4.5 through 4.16 to be systems.’’ 3 As a result of this process, June 23, 2020. consistent with certain proposed the Participants identified several data Pursuant to Section 19(b)(1) of the amendments to and exemptions from elements that must be included in the Securities Exchange Act of 1934 the CAT NMS Plan as well as to CAT reporting requirements before (‘‘Act’’),1 and Rule 19b–4 thereunder,2 facilitate the retirement of certain existing systems can be retired. In notice is hereby given that on June 22, existing regulatory systems. As particular, the Participants identified 2020, Cboe BYX Exchange, Inc. described more fully below, the certain data elements that are required (‘‘Exchange’’ or ‘‘BYX’’) filed with the proposed rule change would make the by OATS, but not currently enumerated Securities and Exchange Commission following changes to the Compliance in the CAT NMS Plan. Accordingly, the Rule: (‘‘Commission’’) the proposed rule • Exchange proposes to amend its change as described in Items I and II Add additional data elements to the Compliance Rule to include these OATS below, which Items have been prepared consolidated audit trail (‘‘CAT’’) data elements in the CAT. Each of such by the Exchange. The Commission is reporting requirements for Industry OATS data elements are discussed publishing this notice to solicit Members to facilitate the retirement of below. With the addition of these OATS comments on the proposed rule change the Financial Industry Regulatory data elements to the CAT, the CAT will from interested persons. Authority, Inc.’s (‘‘FINRA’’) Order Audit have the data elements necessary to Trail System (‘‘OATS’’); retire OATS. I. Self-Regulatory Organization’s • Add additional data elements Statement of the Terms of Substance of related to OTC Equity Securities that A. Information Barrier Identification the Proposed Rule Change FINRA currently receives from The FINRA OATS rules require OATS alternative trading systems (‘‘ATSs’’) Cboe BYX Exchange, Inc. (the Reporting Members 4 to record the that trade OTC Equity Securities for identification of information barriers for ‘‘Exchange’’ or ‘‘Cboe BYX’’) proposes to regulatory oversight purposes to the amend certain Rules within Rules 4.5 certain order events, including when an CAT reporting requirements for Industry order is received or originated, through 4.16, which contain the Members; Exchange’s compliance rule • transmitted to a department within the Implement a phased approach for OATS Reporting Member, and when it (‘‘Compliance Rule’’) regarding the Industry Member reporting to the CAT National Market System Plan Governing is modified. The Participants propose to (‘‘Phased Reporting’’); amend the Compliance Rule to the Consolidated Audit Trail (the ‘‘CAT • To the extent that any Industry incorporate these requirements into the NMS Plan’’ or ‘‘Plan’’). The text of the Member’s order handling or execution CAT. proposed rule change is provided in systems utilize time stamps in Specifically, FINRA Rule 7440(b)(20) Exhibit 5. increments finer than milliseconds, requires a FINRA OATS Reporting The text of the proposed rule change revise the timestamp granularity Member to record the following when is also available on the Exchange’s requirement to require such Industry an order is received or originated: ‘‘if website (http://markets.cboe.com/us/ Member to record and report Industry _ Member Data to the Central Repository equities/regulation/rule filings/byx/), at 3 Letter from Participants to Brent J. Fields, the Exchange’s Office of the Secretary, with time stamps in such finer Secretary, SEC, re: File Number 4–698; Notice of and at the Commission’s Public increment up to nanoseconds; Filing of the National Market System Plan Reference Room. • Require Introducing Industry Governing the Consolidated Audit Trail (September Members (as defined below) to comply 23, 2016) at 21 (‘‘Participants’ Response to Comments’’) (available at https://www.sec.gov/ 40 17 CFR 200.30–3(a)(12). with the requirements of the CAT NMS comments/4-698/4698-32.pdf). 1 15 U.S.C. 78s(b)(1). Plan applicable to Small Industry 4 An OATS ‘‘Reporting Member’’ is defined in 2 17 CFR 240.19b–4. Members; FINRA Rule 7410(o).

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the member is relying on the exception department within the Industry Member so that they are applicable to all ATSs provided in Rule 5320.02 with respect which received the order.’’ rather than solely to ATSs that trade to the order, the unique identification of FINRA Rule 7440(d)(1) requires an NMS stocks. any appropriate information barriers in OATS Reporting Member that modifies (i) New Definition place at the department within the or receives a modification to the terms member where the order was received of an order to report the unique The Exchange proposes to add a or originated.’’ 5 The Compliance Rule identification of any appropriate definition of ‘‘ATS’’ to new paragraph does not require Industry Members to information barriers in place at the (d) of Rule 4.5 to facilitate the addition report such information barrier department within the member to which to the CAT of the reporting information. To address this OATS– the modification was originated or requirements for ATSs set forth in CAT data gap, the Exchange proposes to received. The Compliance Rule does not FINRA Rule 4554. The Exchange add new paragraph (a)(1)(A)(7) to Rule require Industry Members to report such proposes to define an ‘‘ATS’’ to mean 4.7, which would require Industry information barrier information. To ‘‘an alternative trading system, as Members to record and report to the address this OATS–CAT data gap, the defined in Rule 300(a)(1) of Regulation Central Repository, for original receipt Exchange proposes to add new ATS under the Exchange Act.’’ paragraph (a)(1)(D)(7) to Rule 4.7, which or origination of an order, ‘‘the unique (ii) ATS Order Type identification of any appropriate would require Industry Members to information barriers in place at the record and report to the Central FINRA Rule 4554(b)(5) requires the department within the Industry Member Repository, if the order is modified or following information to be recorded where the order was received or cancelled, ‘‘the unique identification of and reported to FINRA by ATSs when originated.’’ any appropriate information barriers in reporting receipt of an order to OATS: In addition, FINRA Rule 7440(c)(1) place at the department within the A unique identifier for each order type states that ‘‘[w]hen a Reporting Member Industry Member which received or offered by the ATS. An ATS must provide originated the modification.’’ transmits an order to a department FINRA with (i) a list of all of its order types within the member, the Reporting B. Reporting Requirements for ATSs 20 days before such order types become Member shall record: . . . (H) if the effective and (ii) any changes to its order Under FINRA Rule 4554, ATSs that types 20 days before such changes become member is relying on the exception receive orders in NMS stocks are effective. An identifier shall not be required provided in Rule 5320.02 with respect required to report certain order for market and limit orders that have no other to the order, the unique identification of information to OATS, which FINRA special handling instructions. any appropriate information barriers in uses to reconstruct ATS order books and place at the department within the The Compliance Rule does not require perform order-based surveillance, Industry Members to report such order member to which the order was including layering, spoofing, and mid- transmitted.’’ The Compliance Rule type information to the Central point pricing manipulation Repository. To address this OATS–CAT does not require Industry Members to surveillance.6 The Participants believe report such information barrier data gap, the Exchange proposes to that Industry Members operating incorporate these requirements into four information. To address this OATS– ATSs—whether such ATS trades NMS CAT data gap, the Exchange proposes to new provisions to the Compliance Rule: stocks or OTC Equity Securities— paragraphs (a)(1)(A)(11)(a), revise paragraph (a)(1)(B)(6) of Rule 4.7 should likewise be required to report to require, for the routing of an order, (a)(1)(C)(10)(a), (a)(1)(D)(9)(a) and this information to the CAT. Because (a)(2)(D) of Rule 4.7. if routed internally at the Industry ATSs that trade NMS stocks are already Member, ‘‘the unique identification of Proposed paragraph (a)(1)(A)(11)(a) of recording this information and reporting Rule 4.7 would require an Industry any appropriate information barriers in it to OATS, the Participants believe that place at the department within the Member that operates an ATS to record reporting the same information to the and report to the Central Repository for Industry Member to which the order CAT should impose little burden on was transmitted.’’ the original receipt or origination of an these ATSs. Moreover, including this order ‘‘the ATS’s unique identifier for FINRA Rule 7440(c)(2)(B) and information in the CAT is also necessary the order type of the order.’’ Proposed 7440(c)(4)(B) require an OATS for FINRA to be able to retire the OATS paragraph (a)(1)(C)(10)(a) of Rule 4.7 Reporting Member that receives an system. The Participants similarly would require an Industry Member that order transmitted from another member believe that obtaining the same operates an ATS to record and report to to report the unique identification of information from ATSs that trade OTC the Central Repository for the receipt of any appropriate information barriers in Equity Securities will be important for an order that has been routed ‘‘the purposes of reconstructing ATS order place at the department within the ATS’s unique identifier for the order books and surveillance. Accordingly, member to which the order was type of the order.’’ Proposed paragraph the Exchange proposes to add to the transmitted. The Compliance Rule not (a)(1)(D)(9)(a) of Rule 4.7 would require data reporting requirements in the require Industry Members to report such an Industry Member that operates an Compliance Rule the reporting information barrier information. To ATS to record and report to the Central requirements for ATSs in FINRA Rule address this OATS–CAT data gap, the Repository if the order is modified or 4554,7 but to expand such requirements Exchange proposes to add new cancelled ‘‘the ATS’s unique identifier paragraph (a)(1)(C)(7) to Rule 4.7, which for the order type of the order.’’ 6 See FINRA Regulatory Notice 16–28 (August would require Industry Members to Furthermore, as with the requirements record and report to the Central 2016). 7 FINRA Rule 4554 was approved by the SEC on Repository, for the receipt of an order May 10, 2016, while the CAT NMS Plan was sheets, and the CAT up-to-date, which included that has been routed, ‘‘the unique pending with the Commission. See Securities adding data fields related to the tick size pilot and identification of any appropriate Exchange Act Release No. 77798 (May 10, 2016), 81 ATS order book amendments to the OATS rules. information barriers in place at the FR 30395 (May 16, 2016) (Order Approving SR– See Participants’ Response to Comments at 21. FINRA–2016–010). As noted in the Participants’ However, due to the timing of the expiration of the Response to Comments, throughout the process of tick size pilot, the Participants decided not to 5 FINRA Rule 5320 prohibits trading ahead of developing the Plan, the Participants worked to include those data elements into the CAT NMS customer orders. keep the gap analyses for OATS, electronic blue Plan.

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in FINRA Rule 4554(b)(5), proposed operates an ATS to record and report to number assigned to the receipt of the paragraph (a)(2)(D) of Rule 4.7 would the Central Repository the following order by the ATS’s matching engine.’’ In state that: information when reporting the original addition, the Exchange proposes to add An Industry Member that operates an ATS receipt or origination of order: proposed paragraph (a)(1)(D)(9)(d) to must provide to the Central Repository: (1) a (2) the National Best Bid and National Best Rule 4.7, which would require an list of all of its order types twenty (20) days Offer (or relevant reference price) at the time Industry Member that operates an ATS before such order types become effective; and of order receipt or origination, and the date to record and report to the Central (2) any changes to its order types twenty (20) and time at which the ATS recorded such Repository ‘‘the sequence number days before such changes become effective. National Best Bid and National Best Offer (or assigned to the modification or An identifier shall not be required for market relevant reference price); cancellation of the order by the ATS’s and limit orders that have no other special (3) the identification of the market data matching engine.’’ Finally, the Exchange handling instructions. feed used by the ATS to record the National Best Bid and National Best Offer (or relevant proposes to add proposed paragraph (iii) National Best Bid and Offer reference price) for purposes of subparagraph (a)(1)(E)(8)(c) to Rule 4.7, which would (11)(b). If for any reason the ATS uses an require an Industry Member that FINRA Rules 4554(b)(6) and (7) alternative market data feed than what was operates an ATS to record and report to require the following information to be reported on its ATS data submission, the the Central Repository ‘‘the sequence recorded and reported to FINRA by ATS must provide notice to the Central number assigned to the execution of the ATSs when reporting receipt of an order Repository of the fact that an alternative order by the ATS’s matching engine.’’ to OATS: source was used, identify the alternative (6) The NBBO (or relevant reference source, and specify the date(s), time(s) and (v) Modification or Cancellation of price) in effect at the time of order securities for which the alternative source Orders by ATSs was used. receipt and the timestamp of when the FINRA Rule 4554(f) states that ‘‘[f]or ATS recorded the effective NBBO (or Similarly, proposed paragraphs an ATS that displays subscriber orders, relevant reference price); and (a)(1)(C)(10)(b)–(c), (a)(1)(D)(9)(b)–(c) each time the ATS’s matching engine re- (7) Identification of the market data and (a)(1)(E)(8)(a)–(b) of Rule 4.7 would prices a displayed order or changes the feed used by the ATS to record the require an Industry Member that display quantity of a displayed order, NBBO (or other reference price) for operates an ATS to record and report to the ATS must report to OATS the time purposes of subparagraph (6). If for any the Central Repository the same of such modification,’’ and ‘‘the reason, the ATS uses an alternative feed information when reporting receipt of applicable new display price or size.’’ than what was reported on its ATS data an order that has been routed, when The Exchange proposes adding a submission, the ATS must notify FINRA reporting if the order is modified or comparable requirement into new of the fact that an alternative source was cancelled, and when an order has been paragraph (a)(1)(D)(9)(e) to Rule 4.7. used, identify the alternative source, executed, respectively. Specifically, proposed new paragraph and specify the date(s), time(s) and (iv) Sequence Numbers (a)(1)(D)(9)(e) of Rule 4.7 would require securities for which the alternative an Industry Member that operates an source was used. FINRA Rule 4554(d) states that ‘‘[f]or all OATS-reportable event types, all ATS to report to the Central Repository, Similarly, FINRA Rule 4554(c) if the order is modified or cancelled, requires the following information to be ATSs must record and report to FINRA the sequence number assigned to the ‘‘each time the ATS’s matching engine recorded and reported to FINRA by re-prices an order or changes the ATSs when reporting the execution of order event by the ATS’s matching engine.’’ The Compliance Rule does not quantity of an order,’’ the ATS must an order to OATS: report to the Central Repository ‘‘the (1) The NBBO (or relevant reference price) require Industry Members to report ATS sequence numbers to the Central time of such modification, and the in effect at the time of order execution; applicable new price or size.’’ Proposed (2) The timestamp of when the ATS Repository. To address this OATS–CAT data gap, the Exchange proposes to paragraph (a)(1)(D)(9)(e) of Rule 4.7 recorded the effective NBBO (or relevant would apply to all ATSs, not just ATSs reference price); and incorporate this requirement regarding (3) Identification of the market data feed ATS sequence numbers into each of the that display orders. used by the ATS to record the NBBO (or Reportable Events for the CAT. (vi) Display of Subscriber Orders other reference price) for purposes of Specifically, the Exchange proposes to subparagraph (1). If for any reason, the ATS FINRA Rule 4554(b)(1) requires the uses an alternative feed than what was add proposed paragraph (a)(1)(A)(11)(d) following information to be recorded reported on its ATS data submission, the to Rule 4.7, which would require an and reported to FINRA by ATSs when ATS must notify FINRA of the fact that an Industry Member that operates an ATS reporting receipt of an order to OATS: alternative source was used, identify the to record and report to the Central alternative source, and specify the date(s), Repository ‘‘the sequence number Whether the ATS displays subscriber orders outside the ATS (other than to time(s) and securities for which the assigned to the receipt or origination of alternative source was used. alternative trading system employees). If an the order by the ATS’s matching ATS does display subscriber orders outside The Compliance Rule does not require engine.’’ The Exchange proposes to add the ATS (other than to alternative trading Industry Members to report such NBBO proposed paragraph (a)(1)(B)(8) to Rule system employees), indicate whether the information to the Central Repository. 4.7, which would require an Industry order is displayed to subscribers only or To address this OATS–CAT data gap, Member that operates an ATS to record through publicly disseminated quotation the Exchange proposes to incorporate and report to the Central Repository data); these requirements into four new ‘‘the sequence number assigned to the The Compliance Rule does not require provisions to the Compliance Rule: routing of the order by the ATS’s Industry Members to report to the CAT (a)(1)(A)(11)(b)–(c), (a)(1)(C)(10)(b)–(c), matching engine.’’ The Exchange also such information about the displaying (a)(1)(D)(9)(b)–(c) and (a)(1)(E)(8)(a)–(b) proposes to add proposed paragraph of subscriber orders. The Exchange of Rule 4.7. (a)(1)(C)(10)(d) to Rule 4.7, which would proposes to add comparable Specifically, proposed paragraph require an Industry Member that requirements into proposed paragraphs (a)(1)(A)(11)(b)–(c) of Rule 4.7 would operates an ATS to record and report to (a)(1)(A)(11)(e) and (a)(1)(C)(10)(e) of require an Industry Member that the Central Repository ‘‘the sequence Rule 4.7. Specifically, proposed

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paragraph (a)(1)(A)(11)(e) would require order be displayed, pursuant to origination of an order ‘‘the type of an Industry Member that operates an applicable rules.’’ account holder for which the order is ATS to report to the Central Repository, submitted.’’ D. Department Type for the original receipt or origination of ii. OTC Equity Securities an order, FINRA Rules 7440(b)(4) and (5) require an OATS Reporting Member that The Participants have identified whether the ATS displays subscriber receives or originates an order to record several data elements related to OTC orders outside the ATS (other than to alternative trading system employees). If an the following information: ‘‘the Equity Securities that FINRA currently ATS does display subscriber orders outside identification of any department or the receives from ATSs that trade OTC the ATS (other than to alternative trading identification number of any terminal Equity Securities for regulatory system employees), indicate whether the where an order is received directly from oversight purposes, but are not currently order is displayed to subscribers only or a customer’’ and ‘‘where the order is included in CAT Data. In particular, the through publicly disseminated quotation originated by a Reporting Member, the Participants identified three data data. identification of the department of the elements that need to be added to the Similarly, proposed paragraph member that originates the order.’’ The CAT: (1) Bids and offers for OTC Equity (a)(1)(C)(10)(e) of Rule 4.7 would require Compliance Rule does not require Securities; (2) a flag indicating whether an Industry Member that operates an Industry Members to report to the CAT a quote in OTC Equity Securities is ATS to record and report to the Central information regarding the department or solicited or unsolicited; and (3) Repository the same information when terminal where the order is received or unpriced bids and offers in OTC Equity reporting receipt of an order that has originated. To address this OATS–CAT Securities. The Participants believe that been routed. data gap, the Exchange proposes to add such data will continue to be important paragraph (a)(1)(A)(9) to Rule 4.7, which for regulators to oversee the OTC Equity C. Customer Instruction Flag would require Industry Members to Securities market when using the CAT. record and report to the Central FINRA Rule 7440(b)(14) requires a Moreover, the Participants do not Repository upon the original receipt or FINRA OATS Reporting Member to believe that the proposed requirement origination of an order ‘‘the nature of record the following when an order is would burden ATSs because they the department or desk that originated received or originated: ‘‘any request by currently report this information to the order, or received the order from a a customer that a limit order not be FINRA and thus the reporting Customer.’’ requirement would merely shift from displayed, or that a block size limit Similarly, per FINRA Rules order be displayed, pursuant to FINRA to the CAT. Accordingly, as 7440(c)(2)(B) and (4)(B), when an OATS discussed below, the Exchange proposes applicable rules.’’ The Compliance Rule Reporting Member receives an order does not require Industry Members to to amend its Compliance Rule to that has been transmitted by another include these data elements. report to the CAT such a customer Member, the receiving OATS Reporting instruction flag. To address this OATS– Member is required to record the A. Bids and Offers for OTC Equity CAT data gap, the Exchange proposes to information required in 7440(b)(4) and Securities add paragraph (a)(1)(A)(8) to Rule 4.7, (5) described above as applicable. The In performing its current regulatory which would require Industry Members Compliance Rule does not require oversight, FINRA receives a data feed of to record and report to the Central Industry Members to report to the CAT the best bids and offers in OTC Equity Repository, for original receipt or information regarding the department Securities from ATSs that trade OTC origination of an order, ‘‘any request by that received an order. To address this Equity Securities. These best bid and a Customer that a limit order not be OATS–CAT data gap, the Exchange offer data feeds for OTC Equity displayed, or that a block size limit propose to add paragraph (a)(1)(C)(8) to Securities are similar to the best bid and order be displayed, pursuant to Rule 4.7 which would require Industry offer SIP Data required to be collected applicable rules.’’ The Exchange also Members to record and report to the by the Central Repository with regard to proposes to add paragraph (a)(1)(C)(9) to Central Repository upon the receipt of NMS Securities.8 Accordingly, the Rule 4.7, which would require Industry an order that has been routed ‘‘the Exchange proposes to add paragraph Members to record and report to the nature of the department or desk that (f)(1) to Rule 4.7 to require the reporting Central Repository, for the receipt of an received the order.’’ of the best bid and offer data feeds for order that has been routed, ‘‘any request E. Account Holder Type OTC Equity Securities to the CAT. by a Customer that a limit order not be Specifically, proposed paragraph (f)(1) displayed, or that a block size limit FINRA Rule 7440(b)(18) requires an of Rule 4.7 would require each Industry order be displayed, pursuant to OATS Reporting Member that receives Member that operates an ATS that applicable rules.’’ or originates an order to record the trades OTC Equity Securities to provide FINRA Rule 7440(d)(1) requires an following information: ‘‘the type of to the Central Repository ‘‘the best bid OATS Reporting Member that modifies account, i.e., retail, wholesale, and best offer for each OTC Equity or receives a modification of an order to employee, proprietary, or any other type Security traded on such ATS.’’ report the customer instruction flag. The of account designated by FINRA, for Compliance Rule does not require which the order is submitted.’’ The B. Unsolicited Bid or Offer Flag Industry Members to report such a Compliance Rule does not require FINRA also receives from ATSs that customer instruction flag. To address Industry Members to report to the CAT trade OTC Equity Securities an this OATS–CAT data gap, the Exchange information regarding the type of indication whether each bid or offer in proposes to add paragraph (a)(1)(D)(8) to account holder for which the order is OTC Equity Securities on such ATS was Rule 4.7 which would require Industry submitted. To address this OATS–CAT solicited or unsolicited. Therefore, the Members to record and report to the data gap, the Exchange proposes to add Exchange proposes to add paragraph Central Repository, if the order is paragraph (a)(1)(A)(10) to Rule 4.7, (f)(2) to Rule 4.7 to require the reporting modified or cancelled, ‘‘any request by which would require Industry Members to the CAT of an indication as to a Customer that a limit order not be to record and report to the Central displayed, or that a block size limit Repository upon the original receipt or 8 Section 6.5(a)(ii) of the CAT NMS Plan.

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whether a bid or offer was solicited or anniversary of the Effective Date in the phases of the Phased Reporting have unsolicited. Specifically, proposed case of Industry Members other than been implemented, subject to any paragraph (f)(2) of Rule 4.7 would Small Industry Members, or the third applicable exemptive relief or require each Industry Member that anniversary of the Effective Date in the amendments related to the CAT NMS operates an ATS that trades OTC Equity case of Small Industry Members.’’ On Plan. Securities to provide to the Central April 20, 2020, the SEC granted the As a further condition to the Repository ‘‘an indication of whether Participants exemptive relief to exemption, each Participant proposes to each bid and offer for OTC Equity implement Phased Reporting, subject to implement the testing timelines Securities was solicited or unsolicited.’’ certain timeline changes and described in Section F below through its conditions.11 Compliance Rule by requiring the C. Unpriced Bids and Offers As a condition to the exemption, each following: FINRA receives from ATSs that trade Participant would implement Phased (1) Industry Member file submission OTC Equity Securities certain unpriced Reporting through its Compliance Rule and data integrity testing for Phases 2a bids and offers for each OTC Equity by requiring: and 2b begins in December 2019. Security traded on the ATS. Therefore, (1) Its Large Industry Members and its (2) Industry Member testing of the the Exchange proposes to add paragraph Small Industry Members that are Reporter Portal, including data integrity (f)(3) to Rule 4.7, which would require required to record or report information error correction tools and data each Industry Member that operates an to OATS pursuant to applicable SRO submissions, begins in February 2020. ATS that trades OTC Equity Securities rules (‘‘Small Industry OATS (3) The Industry Member test to provide to the Central Repository Reporters’’) to commence reporting to environment will be open with intra- ‘‘the unpriced bids and offers for each the Central Repository Phase 2a firm linkage validations to Industry OTC Equity Security traded on such Industry Member Data by June 22, 2020, Members for both Phases 2a and 2b in ATS. and its Small Industry Non-OATS April 2020. Reporters to commence reporting to the (4) The Industry Member test iii. Revised Industry Member Reporting Central Repository Phase 2a Industry Timeline environment will be open to Industry Member Data by December 13, 2021; Members with inter-firm linkage On February 19, 2020, the (2) its Large Industry Members to validations for both Phases 2a and 2b in Participants filed with the Commission commence reporting to the Central July 2020. a request for exemptive relief from Repository Phase 2b Industry Member (5) The Industry Member test certain provisions of the CAT NMS Plan Data by July 20, 2020, and its Small environment will be open to Industry to allow for the implementation of Industry Members to commence Members with Phase 2c functionality phased reporting to the CAT by Industry reporting to the Central Repository (full representative order linkages) in Members (‘‘Phased Reporting’’).9 Phase 2b Industry Member Data by January 2021. Specifically, in their exemptive request, December 13, 2021; (6) The Industry Member test the Participants requested that the SEC (3) its Large Industry Members to environment will be open to Industry exempt each Participant from the commence reporting to the Central Members with Phase 2d functionality requirement in Section 6.7(a)(v) of the Repository Phase 2c Industry Member (manual options orders, complex CAT NMS Plan for each Participant, Data by April 26, 2021, and its Small options orders, and options allocations) through its Compliance Rule, to require Industry Members to commence in June 2021. its Industry Members other than Small reporting to the Central Repository (7) Participant exchanges that support Industry Members (‘‘Large Industry Phase 2c Industry Member Data by options market making quoting will Members’’) to report to the Central December 13, 2021; begin accepting Quote Sent Time on Repository Industry Member Data (4) its Large Industry Members and quotes from Industry Members no later within two years of the Effective Date Small Industry Members to commence than April 2020. (that is, by November 15, 2018). In reporting to the Central Repository (8) The Industry Member test addition, the Participants requested that Phase 2d Industry Member Data by environment (customer and account the SEC exempt each Participant from December 13, 2021; and information) will be open to Industry the requirement in Section 6.7(a)(vi) of (5) its Large Industry Members and Members in January 2022. the CAT NMS Plan for each Participant, Small Industry Members to commence As a result, the Exchange proposes to through its Compliance Rule, to require reporting to the Central Repository amend its Compliance Rule to be its Small Industry Members 10 to report Phase 2e Industry Member Data by July consistent with the exemptive relief to to the Central Repository Industry 11, 2022. implement Phased Reporting as Member Data within three years of the The full scope of CAT Data required described below. Effective Date (that is, by November 15, under the CAT NMS Plan will be 2019). Correspondingly, the Participants required to be reported when all five A. Phase 2a requested that the SEC provide an In the first phase of Phased Reporting, exemption from the requirement in 11 See Securities Exchange Act Release No. 88702 referred to as Phase 2a, Large Industry (April 20, 2020), 85 FR 23075 (April 24, 2020). As Section 6.4 of the CAT NMS Plan that discussed in the SEC’s exemptive order, the Members and Small Industry OATS ‘‘[t]he requirements for Industry Commission granted the Participants conditional Reporters would be required to report to Members under this Section 6.4 shall exemptive relief from the CAT NMS Plan so that the the Central Repository ‘‘Phase 2a become effective on the second Compliance Rules may require Phase 2a reporting Industry Member Data’’ by June 22, to commence on June 22, 2020, rather than the 12 April 20, 2020 date set forth in the exemptive 2020. To implement the Phased 9 See Letter to Vanessa Countryman, Secretary, request, and Phase 2b reporting to commence on SEC, from Michael Simon, CAT NMS Plan July 20, 2020, rather than the May 18, 2020 date set 12 Small Industry Members that are not required Operating Committee Chair, re: Request for forth in the exemptive request. As a condition to the to record and report information to FINRA’s OATS Exemption from Provisions of the National Market exemptive relief, Industry Members who elect to pursuant to applicable SRO rules (‘‘Small Industry System Plan Governing the Consolidated Audit report to the CAT prior to such dates will be Non-OATS Reporters’’) would be required to report Trail related to Industry Member Reporting Dates permitted to report to the CAT as early as April 20, to the Central Repository ‘‘Phase 2a Industry (Feb. 19, 2020). 2020 for Phase 2a reporting and as early as May 18, Member Data’’ by December 13, 2021, which is 10 See Section 1.1 of the CAT NMS Plan. 2020 for Phase 2b reporting. Continued

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Reporting for Phase 2a, the Exchange Phase 2a Industry Member Data both the manual and Electronic Capture proposes to add paragraph (t)(1) of Rule would include Firm Designated IDs. Time for Manual Order Events.14 4.5 (previously paragraph (s)) and During Phase 2a, Industry Members Industry Members would be required amend paragraphs (c)(1) and (2) of Rule would be required to report Firm to report special handling instructions 4.16. Designated IDs to the CAT, as required for the original receipt or origination of by paragraphs (a)(1)(A)(1), and (a)(2)(C) an order during Phase 2a. In addition, (i) Scope of Reporting in Phase 2a of Rule 4.7. Paragraph (a)(1)(A)(1) of during Phase 2a, Industry Members will To implement the Phased Reporting Rule 4.7 requires Industry Members to be required to report, when routing an with respect to Phase 2a, the Exchange submit the Firm Designated ID for the order, whether the order was routed as proposes to add a definition of ‘‘Phase original receipt or origination of an an intermarket sweep order (‘‘ISO’’). 2a Industry Member Data’’ as paragraph order. Paragraph (a)(2)(C) of Rule 4.7 Industry Members would be required to (t)(1) of Rule 4.5. Specifically, the requires Industry Members to record report special handling instructions on Exchange proposes to define the term and report to the Central Repository, for routes other than ISOs in Phase 2c, ‘‘Phase 2a Industry Member Data’’ as original receipt and origination of an rather than Phase 2a. ‘‘Industry Member Data required to be order, the Firm Designated ID if the In Phase 2a, Industry Members would reported to the Central Repository order is executed, in whole or in part. not be required to report modifications commencing in Phase 2a.’’ Phase 2a In Phase 2a, Industry Members would of a previously routed order in certain Industry Member Data would include be required to report all street side limited instances. Specifically, if a Industry Member Data solely related to representative orders, including both trader or trading software modifies a Eligible Securities that are equities. agency and proprietary orders and mark previously routed order, the routing While the following summarizes such orders as representative orders, firm is not required to report the categories of Industry Member Data except in certain limited exceptions as modification of an order route if the required for Phase 2a, the Industry described in the Industry Member destination to which the order was Member Technical Specifications Technical Specifications. A routed is a CAT Reporter that is provide detailed guidance regarding the representative order is an order required to report the corresponding 13 reporting for Phase 2a. originated in a firm owned or controlled order activity. If, however, the order was Phase 2a Industry Member Data account, including principal, agency modified by a Customer or other non- would include all events and scenarios average price and omnibus accounts, by CAT Reporter, and subsequently the covered by OATS. FINRA Rule 7440 an Industry Member for the purpose of routing Industry Members sends a describes the OATS requirements for working one or more customer or client modification to the destination to which recording information, which includes orders. the order was originally routed, then the information related to the receipt or routing Industry Member must report origination of orders, order transmittal, In Phase 2a, Industry Members would the modification of the order route.15 In and order modifications, cancellations be required to report the link between addition, in Phase 2a, Industry Members and executions. Large Industry Members the street side representative order and would not be required to report a and Small Industry OATS Reporters the order being represented when: (1) cancellation of an order received from a would be required to submit data to the The representative order was originated Customer after the order has been CAT for these same events and specifically to represent a single order executed. received either from a customer or scenarios during Phase 2a. The (ii) Timing of Phase 2a Reporting inclusion of all OATS events and another broker-dealer; and (2) there is scenarios in the CAT is intended to (a) an existing direct electronic link in Pursuant to paragraph (c)(1) of Rule facilitate the retirement of OATS. the Industry Member’s system between 4.16, Large Industry Members are Phase 2a Industry Member Data also the order being represented and the required to begin reporting to the CAT would include Reportable Events for: representative order and (b) any by November 15, 2018. To implement resulting executions are immediately • Proprietary orders, including the Phased Reporting for Phase 2a for and automatically applied to the market maker orders, for Eligible Large Industry Members, the Exchange represented order in the Industry Securities that are equities; proposes to delete the November 15, Member’s system. • electronic quotes in listed equity 2018 date and to supplement paragraph Eligible Securities (i.e., NMS stocks) Phase 2a Industry Member Data also (c)(1) of Rule 4.16 with new paragraph sent to a national securities exchange or would include the manual and (c)(1)(A) of Rule 4.16, which would FINRA’s Alternative Display Facility Electronic Capture Time for Manual state, in relevant part, that ‘‘Each (‘‘ADF’’); Order Events. Specifically, for each Industry Member (other than a Small • electronic quotes in unlisted Reportable Event in Rule 4.7, Industry Industry Member) shall record and Eligible Securities (i.e., OTC Equity Members would be required to provide report the Industry Member Data to the Securities) received by an Industry a timestamp pursuant to Rule 4.10. Rule Central Repository, as follows: (A) Phase Member operating an interdealer 4.10(b)(1) states that 2a Industry Member Data by June 22, quotation system (‘‘IDQS’’); and Each Industry Member may record and 2020.’’ Pursuant to paragraph (c)(2) of Rule • electronic quotes in unlisted report: Manual Order Events to the Central 4.16, Small Industry Members are Eligible Securities sent to an IDQS or Repository in increments up to and including required to begin reporting to the CAT other quotation system not operated by one second, provided that each Industry a Participant or Industry Member. Members shall record and report the time when a Manual Order Event has been 14 Industry Members would be required to captured electronically in an order handling provide an Electronic Capture Time following the approximately seventeen months after Large and execution system of such Industry manual capture time only for new orders that are Industry Members and Small Industry OATS Member (‘‘Electronic Capture Time’’) in Manual Order Events and, in certain instances, Reporters begin reporting. milliseconds. routes that are Manual Order Events. The Electronic 13 The items required to be reported commencing Capture Time would not be required for other in Phase 2a do not include the items required to be Manual Order Events. reported in Phase 2c or Phase 2d, as discussed Accordingly, for Phase 2a, Industry 15 This approach is comparable to the approach below. Members would be required to provide set forth in OATS Compliance FAQ 35.

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by November 15, 2019. To implement related to Eligible Securities that are Pursuant to paragraph (c)(2) of Rule the Phased Reporting for Phase 2a for options and related to simple electronic 4.16, Small Industry Members are Small Industry Members, the Exchange option orders, excluding electronic required to begin reporting to the CAT proposes to delete the November 15, paired option orders.16 A simple by November 15, 2019. To implement 2019 date and to supplement paragraph electronic option order is an order to the Phased Reporting for Phase 2b for (c)(2) of Rule 4.16 with new paragraphs buy or sell a single option that is not Small Industry Members, the Exchange (c)(2)(A) and (B) of Rule 4.16. Proposed related to or dependent on any other proposes to delete the November 15, paragraph (c)(2)(A) of Rule 4.16 would transaction for pricing and timing of 2019 date and to supplement paragraph state that execution that is either received or (c)(2) of Rule 4.16 with new paragraph Each Industry Member that is a Small routed electronically by an Industry (c)(2)(C) of Rule 4.16, which would Industry Member shall record and report the Member. Electronic receipt of an order state, in relevant part, that ‘‘Each Industry Member Data to the Central is defined as the initial receipt of an Industry Member that is a Small Repository, as follows: (A) Small Industry order by an Industry Member in Industry Member shall record and Members that are required to record or report electronic form in standard format report the Industry Member Data to the information to FINRA’s Order Audit Trail directly into an order handling or Central Repository, as follows: . . . (C) System pursuant to applicable SRO rules execution system. Electronic routing of Small Industry Members to report to the (‘‘Small Industry OATS Reporter’’) to report an order is the routing of an order via Central Repository Phase 2b Industry to the Central Repository Phase 2a Industry Member Data . . . by December 13, Member Data by June 22, 2020. electronic medium in standard format from one Industry Member’s order 2021.’’ Proposed paragraph (c)(2)(B) of Rule handling or execution system to an C. Phase 2c 4.16 would state that ‘‘Small Industry exchange or another Industry Member. Members that are not required to record An electronic paired option order is an In the third phase of the Phased or report information to FINRA’s Order electronic option order that contains Reporting, referred to as Phase 2c, Large Audit Trail System pursuant to both the buy and sell side that is routed Industry Members would be required to applicable SRO rules (‘‘Small Industry to another Industry Member or exchange report to the Central Repository ‘‘Phase Non-OATS Reporter’’) to report to the for crossing and/or price improvement 2c Industry Member Data’’ by April 26, Central Repository Phase 2a Industry as a single transaction on an exchange. 2021. Small Industry Members would be Member Data by December 13, 2021.’’ Responses to auctions of simple orders required to report to the Central Repository ‘‘Phase 2c Industry Member B. Phase 2b and paired simple orders are also reportable in Phase 2b. Data’’ by December 13, 2021, which is In the second phase of the Phased Furthermore, combined orders in approximately seven months after Large Reporting, referred to as Phase 2b, Large options would be treated in Phase 2b in Industry Members begin reporting such Industry Members would be required to the same way as equity representative data to the Central Repository. To report to the Central Repository ‘‘Phase orders are treated in Phase 2a. A implement the Phased Reporting for 2b Industry Member Data’’ by July 20, combined order would mean, as Phase 2c, the Exchange proposes to add 2020. Small Industry Members would be permitted by Exchange rules, a single, paragraph (t)(3) to Rule 4.5 and amend required to report to the Central simple order in Listed Options created paragraphs (c)(1) and (2) of Rule 4.16. Repository ‘‘Phase 2b Industry Member by combining individual, simple orders (i) Scope of Phase 2c Reporting Data’’ by December 13, 2021, which is in Listed Options from a customer with approximately seventeen months after To implement the Phased Reporting the same exchange origin code before with respect to Phase 2c, the Exchange Large Industry Members begin reporting routing to an exchange. During Phase such data to the Central Repository. To proposes to add a definition of ‘‘Phase 2b, the single combined order sent to an 2c Industry Member Data’’ as paragraph implement the Phased Reporting for exchange must be reported and marked Phase 2b, the Exchange proposes to add (t)(3) to Rule 4.5. Specifically, the as a combined order, but the linkage to Exchange proposes to define the term paragraph (t)(2) to Rule 4.5 and amend the underlying orders is not required to paragraphs (c)(1) and (2) of Rule 4.16. ‘‘Phase 2c Industry Member Data’’ as be reported until Phase 2d. ‘‘Industry Member Data required to be (i) Scope of Phase 2b Reporting (ii) Timing of Phase 2b Reporting reported to the Central Repository To implement the Phased Reporting Pursuant to paragraph (c)(1) of Rule commencing in Phase 2c.’’ Phase 2c with respect to Phase 2b, the Exchange 4.16, Large Industry Members are Industry Member Data’’ would be proposes to add a definition of ‘‘Phase required to begin reporting to the CAT Industry Member Data related to Eligible 2b Industry Member Data’’ as paragraph by November 15, 2018. To implement Securities that are equities other than (t)(2) to Rule 4.5. Specifically, the the Phased Reporting for Phase 2b for Phase 2a Industry Member Data, Phase Exchange proposes to define the term Large Industry Members, the Exchange 2d Industry Member Data or Phase 2e ‘‘Phase 2b Industry Member Data’’ as proposes to delete the November 15, Industry Member Data. Phase 2c ‘‘Industry Member Data required to be 2018 date and to supplement paragraph Industry Member Data is described in reported to the Central Repository (c)(1) of Rule 4.16 with new paragraph detail in the Industry Member Technical commencing in Phase 2b.’’ Phase 2b (c)(1)(B) of Rule 4.16, which would Specifications for Phase 2c. While the Industry Member Data is described in state, in relevant part, that ‘‘Each following summarizes the categories of detail in the Industry Member Technical Industry Member (other than a Small Industry Member Data required for Specifications for Phase 2b. While the Industry Member) shall record and Phase 2c, the Industry Member following summarizes the categories of report the Industry Member Data to the Technical Specifications provide Industry Member Data required for Central Repository, as follows: . . . (B) detailed guidance regarding the Phase 2b, the Industry Member Phase 2b Industry Member Data by July reporting for Phase 2c. Phase 2c Industry Member Data Technical Specifications provide 20, 2020.’’ detailed guidance regarding the would include Industry Member Data reporting for Phase 2b. 16 The items required to be reported in Phase 2b that is related to Eligible Securities that Phase 2b Industry Member Data do not include the items required to be reported in are equities and that is related to: (1) would include Industry Member Data Phase 2d, as discussed below in Section A.4. Allocation Reports as required to be

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recorded and reported to the Central scenarios, as required in the Industry Phase 2c Industry Member Data by April Repository pursuant to Section Member Technical Specifications.19 26, 2021.’’ 6.4(d)(ii)(A)(1) of the CAT NMS Plan; (2) Phase 2c Industry Member Data also Pursuant to paragraph (c)(2) of Rule quotes in unlisted Eligible Securities includes electronic quotes that are 4.16, Small Industry Members are sent to an IDQS operated by a CAT provided by or received in a CAT required to begin reporting to the CAT Reporter (reportable by the Industry Reporter’s order/quote handling or by November 15, 2019. To implement Member sending the quotes) (except for execution systems in Eligible Securities the Phased Reporting for Phase 2c for quotes reportable in Phase 2d, as that are equities and are provided by an Small Industry Members, the Exchange proposes to delete the November 15, discussed below); (3) electronic quotes Industry Member to other market 2019 date and to supplement paragraph in listed equity Eligible Securities (i.e., participants off a national securities (c)(2) of Rule 4.16 with new paragraph NMS stocks) that are not sent to a exchange under the following conditions: (1) An equity bid or offer is (c)(2)(C) of Rule 4.16, which would national securities exchange or FINRA’s state, in relevant part, that ‘‘Each Alternative Display Facility; (4) displayed publicly or has been communicated (a) for listed securities to Industry Member that is a Small reporting changes to client instructions Industry Member shall record and regarding modifications to algorithms; the Alternative Display Facility (ADF) operated by FINRA; or (b) for unlisted report the Industry Member Data to the (5) marking as a representative order Central Repository, as follows: . . . (C) any order originated to work a customer equity securities to an ‘‘inter-dealer quotation system’’ as defined in FINRA Small Industry Members to report to the order in price guarantee scenarios, such Central Repository . . . Phase 2c Rule 6420(c); or (2) an equity bid or as a guaranteed VWAP; (6) flagging Industry Member Data . . . by offer which is accessible electronically December 13, 2021.’’ rejected external routes to indicate a by customers or other market route was not accepted by the receiving participants and is immediately D. Phase 2d destination; (7) linkage of duplicate actionable for execution or routing; i.e., In the fourth phase of the Phased electronic messages related to a Manual no further manual or electronic action is Order Event between the electronic Reporting, referred to as Phase 2d, Large required by the responder providing the Industry Members and Small Industry event and the original manual route; (8) quote in order to execute or cause a Members would be required to report to special handling instructions on order trade to be executed). With respect to the Central Repository ‘‘Phase 2d route reports (other than the ISO, which OTC Equity Securities, OTC Equity Industry Member Data’’ by December is required to be reported in Phase 2a); Securities quotes sent by an Industry 13, 2021. To implement the Phased (9) quote identifier on trade events; (10) Member to an IDQS operated by an Reporting for Phase 2d, the Exchange reporting of large trader identifiers 17 Industry Member CAT Reporter (other proposes to add paragraph (t)(4) to Rule (‘‘LTID’’) (if applicable) for accounts than such an IDQS that does not match 4.5 and amend paragraphs (c)(1) and (2) with Reportable Events that are and execute orders) are reportable by of Rule 4.16. reportable to CAT as of and including the Industry Member sending them in Phase 2c; (11) reporting of date account Phase 2c. Accordingly, any response to (i) Scope of Phase 2d Reporting opened or Account Effective Date 18 (as a request for quote or other form of To implement the Phased Reporting applicable) for accounts and flag solicitation response provided in with respect to Phase 2d, the Exchange indicating the Firm Designated ID type standard electronic format (e.g., FIX) proposes to add a definition of ‘‘Phase as account or relationship; (12) order that meets this quote definition (i.e., an 2d Industry Member Data’’ as paragraph effective time for orders that are equity bid or offer which is accessible (t)(4) to Rule 6.5. Specifically, the received by an Industry Member and do electronically by customers or other Exchange proposes to define the term not become effective until a later time; market participants and is immediately ‘‘Phase 2d Industry Member Data’’ as ‘‘Industry Member Data required to be (13) the modification or cancellation of actionable for execution or routing) would be reportable in Phase 2c. reported to the Central Repository an internal route of an order; and (14) commencing in Phase 2d.’’ 20 linkages to the customer order(s) being (ii) Timing of Phase 2c Reporting ‘‘Phase 2d Industry Member Data’’ is represented for all representative order Pursuant to paragraph (c)(1) of Rule Industry Member Data that is related to scenarios, including agency average 4.16, Large Industry Members are Eligible Securities that are options other price trades, net trades, aggregated required to begin reporting to the CAT than Phase 2b Industry Member Data, orders, and disconnected Order by November 15, 2018. To implement Industry Member Data that is related to Management System (‘‘OMS’’)— the Phased Reporting for Phase 2c for Eligible Securities that are equities other Execution Management System (‘‘EMS’’) Large Industry Members, the Exchange than Phase 2a Industry Member Data or proposes to delete the November 15, Phase 2c Industry Member Data, and 17 See definition of ‘‘Customer Account 2018 date and to supplement paragraph Industry Member Data other than Phase Information’’ in Section 1.1 of the CAT NMS Plan. (c)(1) of Rule 4.16 with new paragraph 2e Industry Member Data. Phase 2d See also Rule 13h–1 under the Exchange Act. (c)(1)(C) of Rule 4.16, which would Industry Member Data is described in 18 See definition of ‘‘Customer Account detail in the Industry Member Technical Information’’ and ‘‘Account Effective Date’’ in state, in relevant part, that ‘‘Each Section 1.1 of the CAT NMS Plan. Note that the Industry Member (other than a Small Specifications for Phase 2d. While the Exchange also proposes to amend the dates in the Industry Member) shall record and following summarizes the categories of definitions of ‘‘Account Effective Date’’ and report the Industry Member Data to the Industry Member Data required for ‘‘Customer Account Information’’ to reflect the Central Repository, as follows: . . . (C) Phased Reporting. Specifically, the Exchange 20 The Participants have determined that proposes to amend paragraph (m)(2) of Rule 4.5 to reporting information regarding the modification or replace the references to November 15, 2018 and 19 In Phase 2c, for any scenarios that involve cancellation of a route is necessary to create the full 2019 with references to the commencement of orders originated in different systems that are not lifecycle of an order. Accordingly, the Participants Phase 2c and Phase 2d. The Exchange also proposes directly linked, such as a customer order originated require the reporting of information related to the to amend paragraphs (a)(1)(A), (a)(1)(B) and (a)(2)– in an OMS and represented by a principal order modification or cancellation of a route similar to the (5) of Rule 6810 regarding the definition of originated in an EMS that is not linked to the OMS, data required for the routing of an order and ‘‘Account Effective Date’’ with similar changes to marking and linkages must be reported as required modification and cancellation of an order pursuant the dates set forth therein. in the Industry Member Technical Specifications. to Sections 6.3(d)(ii) and (iv) of the CAT NMS Plan.

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Phase 2d, the Industry Member quotes sent by an Industry Member to (i) Scope of Phase 2e Reporting Technical Specifications provide an IDQS operated by an Industry To implement the Phased Reporting detailed guidance regarding the Member CAT Reporter that does not with respect to Phase 2e, the Exchange reporting for Phase 2d. match and execute orders. In addition, proposes to add a definition of ‘‘Phase Phase 2d Industry Member Data subject to any exemptive or other relief, 2e Industry Member Data’’ as paragraph includes with respect to the Eligible Phase 2d Industry Member Data will (t)(5) of Rule 4.16. Specifically, the Securities that are options: (1) Simple include verbal or manual quotes on an Exchange proposes to define the term manual orders; (2) electronic and exchange floor or in the over-the- ‘‘Phase 2e Industry Member Data’’ as manual paired orders; (3) all complex counter market, where verbal quotes ‘‘Industry Member Data required to be orders with linkages to all CAT- and manual quotes are defined as bids reported to the Central Repository reportable legs; (4) LTIDs (if applicable) or offers in Eligible Securities provided commencing in Phase 2e. The full scope for accounts with Reportable Events for verbally or that are provided or received of Industry Member Data required by Phase 2d; (5) date account opened or other than via a CAT Reporter’s order the CAT NMS Plan will be required to Account Effective Date (as applicable) handling and execution system (e.g., be reported to the CAT when Phase 2e for accounts with an LTID and flag quotations provided via email or instant has been implemented, subject to any indicating the Firm Designated ID type messaging). applicable exemptive relief or as account or relationship for such amendments to the CAT NMS Plan.’’ accounts; 21 (6) Allocation Reports as (ii) Timing of Phase 2d Reporting LTIDs and Account Effective Date are required to be recorded and reported to both required to be reported in Phases the Central Repository pursuant to Pursuant to paragraph (c)(1) of Rule 2c and 2d in certain circumstances, as Section 6.4(d)(ii)(A)(1) of the CAT NMS 4.16, Large Industry Members are discussed above. The terms ‘‘Customer Plan; (7) the modification or required to begin reporting to the CAT Account Information’’ and ‘‘Customer cancellation of an internal route of an by November 15, 2018. To implement Identifying Information’’ are defined in order; and (8) linkage between a the Phased Reporting for Phase 2d for Rule 4.5 of the Compliance Rule.22 The combined order and the original Large Industry Members, the Exchange Industry Member Technical customer orders. proposes to delete the November 15, Phase 2d Industry Member Data also 2018 date and to supplement paragraph Specifications provide detailed would include electronic quotes that are (c)(1) of Rule 4.16 with new paragraph guidance regarding the reporting for provided by or received in a CAT (c)(1)(D) of Rule 4.16, which would Phase 2e. Reporter’s order/quote handling or state, in relevant part, that ‘‘[e]ach (ii) Timing of Phase 2e Reporting execution systems in Eligible Securities Industry Member (other than a Small Industry Member) shall record and Pursuant to paragraph (c)(1) of Rule that are options and are provided by an 4.16, Large Industry Members are Industry Member to other market report the Industry Member Data to the Central Repository, as follows: . . . (D) required to begin reporting to the CAT participants off a national securities by November 15, 2018. To implement exchange under the following Phase 2d Industry Member Data by December 13, 2021.’’ the Phased Reporting for Phase 2e for conditions: A listed option bid or offer Large Industry Members, the Exchange which is accessible electronically by Pursuant to paragraph (c)(2) of Rule proposes to delete the November 15, customers or other market participants 4.16, Small Industry Members are 2018 date and to supplement paragraph and is immediately actionable (i.e., no required to begin reporting to the CAT (c)(1) of Rule 4.16 with new paragraph further action is required by the by November 15, 2019. To implement (c)(1)(E) of Rule 4.16, which would responder providing the quote in order the Phased Reporting for Phase 2d for state, in relevant part, that ‘‘[e]ach to execute or cause a trade to be Small Industry Members, the Exchange Industry Member (other than a Small executed). Accordingly, any response to proposes to delete the November 15, Industry Member) shall record and a request for quote or other form of 2019 date and to supplement paragraph report the Industry Member Data to the solicitation response provided in (c)(2) of Rule 4.16 with new paragraph Central Repository, as follows: . . . (E) standard electronic format (e.g., FIX) (c)(2)(C) of Rule 4.16, which would Phase 2e Industry Member Data by July that meets this definition would be state, in relevant part, that ‘‘Each 11, 2022.’’ reportable in Phase 2d for options. Industry Member that is a Small Pursuant to paragraph (c)(2) of Rule Phase 2d Industry Member Data also Industry Member shall record and 4.16, Small Industry Members are would include with respect to Eligible report the Industry Member Data to the required to begin reporting to the CAT Securities that are options or equities (1) Central Repository, as follows: . . . (C) by November 15, 2019. To implement receipt time of cancellation and Small Industry Members to report to the modification instructions through Order Central Repository . . . Phase 2d 22 The term ‘‘Customer Account Information’’ Cancel Request and Order Modification Industry Member Data by December 13, includes account numbers, and the term ‘‘Customer Request events; (2) modifications of 2021.’’ Identifying Information’’ includes, with respect to previously routed orders in certain individuals, dates of birth and SSNs. See Rule 4.5. E. Phase 2e The Participants have received exemptive relief instances; and (3) OTC Equity Securities from the requirements for the Participants to require In the fifth phase of Phased Reporting, their members to provide dates of birth, account 21 As noted above, the Exchange also proposes to numbers and social security numbers for amend the dates in the definitions of ‘‘Account referred to as Phase 2e, both Large individuals to the CAT. See Securities Exchange Effective Date’’ and ‘‘Customer Account Industry Members and Small Industry Act Release No. 88393 (March 17, 2020), 85 FR Information’’ to reflect the Phased Reporting. Members would be required to report to 16152 (March 20, 2020). See also Letter to Vanessa Specifically, the Exchange proposes to amend the Central Repository ‘‘Phase 2e Countryman, Secretary, SEC, from Michael Simon, paragraph (m)(2) of Rule 6.5 to replace the CAT NMS Plan Operating Committee Chair, re: references to November 15, 2018 and 2019 with Industry Member Data’’ by July 11, Request for Exemptive Relief from Certain references to the commencement of Phase 2c and 2022. To implement the Phased Provisions of the CAT NMS Plan related to Social Phase 2d. The Exchange also proposes to amend Reporting for Phase 2e, the Exchange Security Numbers, Dates of Birth and Account paragraphs (a)(1)(A), (a)(1)(B) and (a)(2)–(5) of Rule proposes to add paragraph (t)(5) to Rule Numbers (Jan. 29, 2020). Given the relief has been 6810 regarding the definition of ‘‘Account Effective granted, Phase 2e Industry Member Data will not Date’’ with similar changes to the dates set forth 4.5 and amend paragraphs (c)(1) and (2) include account numbers, dates of birth and SSNs therein. of Rule 4.16. for individuals.

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the Phased Reporting for Phase 2e for extent that its Industry Members utilize they satisfy Rule 0–10(i)(2) under the Small Industry Members, the Exchange timestamps in increments finer than Exchange Act and, as a result, are proposes to delete the November 15, nanoseconds in their order handling or deemed affiliated with an entity that is 2019 date and to supplement paragraph execution systems, such Industry not a small business or small (c)(2) of Rule 4.16 with new paragraph Members utilize such finer increment organization (‘‘Introducing Industry (c)(2)(D) of Rule 4.16, which would when reporting CAT Data to the Central Member’’) from the requirements in the state, in relevant part, that ‘‘[e]ach Repository.23 On April 8, 2020, the CAT NMS Plan applicable to Industry Industry Member that is a Small Participants received the exemptive Members other than Small Industry Industry Member shall record and relief.24 As a condition to this Members (‘‘Large Industry Members’’).25 report the Industry Member Data to the exemption, the Participants, through Instead, such Introducing Industry Central Repository, as follows: . . . (E) their Compliance Rules, will require Members would comply with the Small Industry Members to report to the Industry Members that capture requirements in the CAT NMS Plan Central Repository Phase 2e Industry timestamps in increments more granular applicable to Small Industry Members. Member Data by July 11, 2022.’’ than nanoseconds to truncate the On April 20, 2020, the SEC granted the Participants exemptive relief with F. Industry Member Testing timestamps, after the nanosecond level regard to Introducing Industry Requirements for submission to CAT, not round up or down in such circumstances. The Members.26 Rule 4.13(a) sets forth various timestamp granularity exemption As a result, the Exchange proposes to compliance dates for the testing and remains in effect for five years, until amend its Compliance Rule to adopt a development for connectivity, April 8, 2025. After five years, the definition of ‘‘Introducing Industry acceptance and the submission order exemption would no longer be in effect Member’’ and to revise Rule 4.16 to data. In light of the intent to shift to unless the period the exemption is in require Introducing Industry Members Phased Reporting in place of the two effect is extended by the SEC. to comply with the requirements of the specified dates for the commencement Accordingly, the Exchange proposes CAT NMS Plan applicable to Small of reporting for Large and Small to amend its Compliance Rule to reflect Industry Members. Specifically, the Industry Members, the Exchange the exemptive relief. Specifically, the Exchange proposes to define correspondingly proposes to replace the Exchange proposes to amend paragraph ‘‘Introducing Industry Member’’ in Industry Member development testing (a)(2) of Rule 4.10. Rule 4.10(a)(2) states proposed paragraph (v) to Rule 4.5, as milestones in Rule 6880(a) with the that ‘‘a broker-dealer that does not qualify as testing milestones set forth in the Subject to paragraph (b), to the extent a Small Industry Member solely because exemptive relief. Specifically, the that any Industry Member’s order such broker-dealer satisfies Rule 0– Exchange proposes to replace Rule handling or execution systems utilize 10(i)(2) under the Exchange Act in that 6880(a) with the following: time stamps in increments finer than it introduces transactions on a fully disclosed basis to clearing firms that are (1) Industry Member file submission and milliseconds, such Industry Member data integrity testing for Phases 2a and 2b shall record and report Industry not small businesses or small organizations.’’ The Exchange also shall begin in December 2019. Member Data to the Central Repository proposes to add a new paragraph (3) to (2) Industry Member testing of the Reporter with time stamps in such finer Portal, including data integrity error Rule 4.16(c) to state that ‘‘Introducing increment. correction tools and data submissions, shall Industry Members must comply with begin in February 2020. The Exchange proposes to amend this provision to read as follows to reflect the requirements of the CAT NMS Plan (3) The Industry Member test environment applicable to Small Industry Members.’’ shall open with intra-firm linkage validations the exemptive relief: to Industry Members for both Phases 2a and With these changes, Introducing Subject to paragraph (b), to the extent that Industry Members would be required to 2b in April 2020. any Industry Member’s order handling or (4) The Industry Member test environment comply with the requirements in the execution systems utilize time stamps in CAT NMS Plan applicable to Small shall open to Industry Members with inter- increments finer than milliseconds, such firm linkage validations for both Phases 2a Industry Member shall record and report Industry Members, rather than the and 2b in July 2020. Industry Member Data to the Central requirements in the CAT NMS Plan (5) The Industry Member test environment Repository with time stamps in such finer applicable to Large Industry Members. shall open to Industry Members with Phase increment up to nanoseconds; provided, that 2c functionality (full representative order vi. CCID/PII Industry Members that capture timestamps in linkages) in January 2021. On January 29, 2020, the Participants (6) The Industry Member test environment increments more granular than nanoseconds shall open to Industry Members with Phase must truncate the timestamps after the filed with the Commission a request for 2d functionality (manual options orders, nanosecond level for submission to CAT, exemptive relief from certain complex options orders, and options rather than rounding such timestamps up or requirements related to reporting SSNs, allocations) in June 2021. down, until April 8, 2025. dates of birth and account numbers to (7) Participant exchanges that support v. Introducing Industry Members the CAT.27 The Commission, options market making quoting shall begin accepting Quote Sent Time on quotes from On February 3, 2020, the Participants 25 See Letter to Vanessa Countryman, Secretary, Industry Members no later than April 2020. requested that the Commission exempt SEC, from Michael Simon, CAT NMS Plan (8) The Industry Member test environment broker-dealers that do not qualify as Operating Committee Chair, re: Request for (customer and account information) will be Small Industry Members solely because Exemption from Certain Provisions of the National open to Industry Members in January 2022. Market System Plan Governing the Consolidated Audit Trail related to Small Industry Members (Feb. iv. Granularity of Timestamps 23 See Letter to Vanessa Countryman, Secretary, 3, 2020). SEC, from Michael Simon, CAT NMS Plan 26 See Securities Exchange Act Release No. 88703 On February 3, 2020, the Participants Operating Committee Chair, re: Request for (April 20, 2020), 85 FR 23115 (April 24, 2020). filed with the Commission a request for Exemption from Certain Provisions of the National 27 See Letter to Vanessa Countryman, Secretary, exemptive relief from the requirement Market System Plan Governing the Consolidated SEC, from Michael Simon, CAT NMS Plan Audit Trail related to Granularity of Timestamps in Section 6.8(b) of the CAT NMS Plan Operating Committee Chair, re: Request for and Relationship Identifiers (Feb. 3, 2020). Exemptive Relief from Certain Provisions of the for each Participant, through its 24 See Securities Exchange Act Release No. 88608 CAT NMS Plan related to Social Security Numbers, Compliance Rule, to require that, to the (April 8, 2020), 85 FR 20743 (April 14, 2020). Dates of Birth and Account Numbers (Jan. 29, 2020).

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Participants and others indicated Data. To implement the CCID Information and Customer Identifying security concerns with maintaining Alternative, the Participants requested Information to the Central Repository. such sensitive Customer information in exemptive relief from the requirement Currently, Rule 4.5(m) defines the CAT. On March 17, 2020, the in Section 6.4(d)(ii)(C) of the CAT NMS ‘‘Customer Identifying Information’’ to Participants received the exemptive Plan to require, through their include, with respect to individuals, relief, subject to certain conditions.28 Compliance Rules, Industry Members to ‘‘date of birth’’ and ‘‘individual tax Assuming the Participants comply with record and report SSNs to the Central payer identification number (‘‘ITIN’’)/ the conditions set forth in the PII Repository for the original receipt of an social security number (‘‘SSN’’).’’ Exemption Order, Industry Members order. As set forth in one condition of Accordingly, the Exchange proposes to would not be required to report SSNs, the PII Exemption Order, Industry replace ‘‘date of birth’’ in the definition dates of birth and account numbers to Members would be required to of ‘‘Customer Identifying Information’’ the CAT NMS Plan. transform an SSN to an interim value, in Rule 4.5(m) (now renumbered Rule As described in the request for and report the transformed value to the 4.5(n)) with ‘‘year of birth’’ and to delete exemptive relief, the Participants CAT. ‘‘individual tax payer identification requested exemptive relief to allow for The Participants also requested number (‘‘ITIN’’)/social security number an alternative approach to generating a exemptive relief to allow for an (‘‘SSN’’)’’ from Rule 6810(m) (now CAT Customer ID (‘‘CCID’’) without alternative approach which would renumbered Rule 6810(n)). In addition, requiring Industry Members to report exempt the reporting of dates of birth currently, Rule 4.5(l) defines ‘‘Customer SSNs to the CAT (the ‘‘CCID and account numbers 29 to the CAT Account Information’’ to include Alternative’’). In lieu of retaining such (‘‘Modified PII Approach’’), and instead account numbers. The Exchange SSNs in the CAT, the Participants would require Industry Members to proposes to delete ‘‘account number’’ would use the CCID Alternative, a report the year of birth and the Firm from the definition of ‘‘Customer strategy developed by the Chief Designated ID for each trading account Account Information’’ in Rule 4.5(l) Information Security Officer for the CAT associated with the Customers. To (now renumbered Rule 6810(m)). and the Chief Information Security implement the Modified PII Approach, The Exchange also proposes to add a Officers from each of the Participants, in the Participants requested exemptive definition of the term ‘‘Transformed consultation with security experts from relief from the requirement in Section Value for individual tax payer member firms of Securities Industry and 6.4(d)(ii)(C) of the CAT NMS Plan to identification number (‘‘ITIN’’)/social Financial Markets Association. The require, through their Compliance security number (‘‘SSN’’)’’ to Rule 4.5. CCID Alternative facilitates the ability of Rules, Industry Members to record and Specifically, the Exchange proposes to the Plan Processor to generate a CCID report to the Central Repository for the add paragraph (pp) to Rule 4.5 to define without requiring the Plan Processor to original receipt of an order dates of birth ‘‘Transformed Value for individual tax receive SSNs or store SSNs within the and account numbers for Customers. As payer identification number (‘‘ITIN’’)/ CAT. Under the CCID Alternative, the conditions to the exemption, Industry social security number (‘‘SSN’’)’’ to Plan Processor would generate a unique Members would be required to report mean ‘‘the interim value created by an CCID using a two-phase transformation the year of birth of an individual to the Industry Member based on a Customer process that avoids having SSNs Central Repository, and to report the ITIN/SSN.’’ reported to or stored in the CAT. In the Firm Designated ID to the Central The Exchange proposes to revise Rule first transformation phase, a CAT Repository. 4.7(a)(2)(C) to include the Transformed Reporter would transform the SSN to an To implement the request for Value for individual tax payer interim value (the ‘‘transformed value’’). exemptive relief and to eliminate the identification number (‘‘ITIN’’)/social This transformed value, and not the requirement to report SSNs, date of security number (‘‘SSN’’). Specifically, SSN, would be submitted to a separate birth and account numbers to the CAT, the Exchange proposes to revise Rule system within the CAT (‘‘CCID the Exchange proposes to amend its 6830(a)(2)(C) to state: Subsystem’’). The CCID Subsystem Compliance Rule to reflect the [s]ubject to paragraph (3) below, each would then perform a second exemptive relief. Rule 4.7(a)(2)(C) states Industry Member shall record and report to transformation to create the globally that the Central Repository the following, as unique CCID for each Customer that is applicable (‘‘Received Industry Member [s]ubject to paragraph (3) below, each Data’’ and collectively with the information unknown to, and not shared with, the Industry Member shall record and report to original CAT Reporter. The CCID would referred to in Rule 6830(a)(1) ‘‘Industry the Central Repository the following, as Member Data’’)) in the manner prescribed by then be sent to the customer and applicable (‘‘Received Industry Member the Operating Committee pursuant to the account information system of the CAT, Data’’ and collectively with the information CAT NMS Plan: . . . (C) for original receipt where it would be linked with the other referred to in Rule 6830(a)(1) ‘‘Industry or origination of an order, the Firm customer and account information. The Member Data’’)) in the manner prescribed by Designated ID for the relevant Customer, CCID may then be used by the the Operating Committee pursuant to the Transformed Value for individual tax payer Participants’ regulatory staff and the CAT NMS Plan: . . . (C) for original receipt identification number (‘‘ITIN’’)/social SEC in queries and analysis of CAT or origination of an order, the Firm security number (‘‘SSN’’), and in accordance Designated ID for the relevant Customer, and with Rule 6840, Customer Account in accordance with Rule 6840, Customer Information and Customer Identifying 28 See Securities Exchange Act Release No. 88393 Account Information and Customer Information for the relevant Customer. (March 17, 2020), 85 FR 16152 (March 20, 2020) Identifying Information for the relevant (Order Granting Conditional Exemptive Relief, The Exchange also proposes to Pursuant to Section 36 and Rule 608(e) of the Customer. include the Transformed Value for Securities Exchange Act of 1934, from Section Similarly, Rule 4.8 requires the 6.4(d)(ii)(C) and Appendix D Sections 4.1.6, 6.2, individual tax payer identification 8.1.1, 8.2, 9.1, 9.2, 9.4, 10.1, and 10.3 of the reporting of Customer Account number (‘‘ITIN’’)/social security number National Market System Plan Governing the (‘‘SSN’’) in the Customer information Consolidated Audit Trail) (‘‘PII Exemption Order’’). 29 With respect to this aspect of the requested reporting required under Rule 4.8. The PII Exemption Order lists several conditions relief, the PII Exemption Order provided relief with that must be met by the Exchange. If the Exchange regard to the reporting of all account numbers, not Specifically, the Exchange proposes to does not satisfy the conditions, the PII Exemption just account numbers for individuals as requested revise Rule 4.8(a) to require each Order would not apply to the Exchange. by the Participants. Industry Member to submit to the

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Central Repository the Transformed individual tax payer identification corresponding trade report. Value for individual tax payer number (‘‘ITIN’’)/social security number Furthermore, if an Industry Member identification number (‘‘ITIN’’)/social (‘‘SSN’’) and the year of birth to the does not submit a cancellation to a security number (‘‘SSN’’), for each of its Central Repository.30 FINRA Facility, or is unable to provide Customers with an Active Account prior a link between the execution reported to vii. FINRA Facility Data Linkage to such Industry Member’s the Central Repository and the related commencement of reporting to the On June 5, 2020, the Participants filed FINRA Facility trade report, then the Central Repository and in accordance with the Commission a request for Industry Member would be required to with the deadlines set forth in Rule exemptive relief from certain provisions record and report to the Central 6880. The Exchange also proposes to of the CAT NMS Plan to allow for an Repository a cancelled trade indicator revise Rule 4.8(b) to require each alternative approach to the reporting of and cancelled trade timestamp if the Industry Member to submit to the clearing numbers and cancelled trade trade is cancelled. Similarly, if an Central Repository any updates, indicators.31 The SEC provided this Industry Member does not submit the additions or other changes to the exemptive relief on June 11, 2020.32 clearing number of the clearing broker Transformed Value for individual tax FINRA is required to report to the to a FINRA Facility for a trade, or is payer identification number (‘‘ITIN’’)/ Central Repository data collected by unable to provide a link between the social security number (‘‘SSN’’) for each FINRA’s Trade Reporting Facilities, execution reported to the Central of its Customers with an Active Account FINRA’s OTC Reporting Facility or Repository and the related FINRA on a daily basis. In addition, the FINRA’s Alternative Display Facility Facility trade report, then the Industry Exchange proposes to revise Rule 4.8(c) (collectively, ‘‘FINRA Facility’’) Member would be required to record to require, on a periodic basis as pursuant to applicable SRO rules and report to the Central Repository the designated by the Plan Processor and (‘‘FINRA Facility Data’’). Included in clearing number as well as contra party approved by the Operating Committee, this FINRA Facility Data is the clearing information. each Industry Member to submit to the number of the clearing broker for a As a result, the Exchange proposes to Central Repository a complete set of the reported trade as well as the cancelled amend its Compliance Rule to reflect Transformed Value for individual tax trade indicator. Under this alternative the exemptive relief to implement this payer identification number (‘‘ITIN’’)/ approach, the clearing number and the alternative approach. Specifically, the social security number (‘‘SSN’’) for each cancelled trade indicator of the FINRA Exchange proposes to require Industry of its Customers with an Active Facility Data that is reported to the CAT Members to report to the CAT with an Account. The Exchange also proposes to would be linked to the related execution execution report the unique trade revise Rule 4.8(d) to require, for each reports reported by Industry Members. identifier reported to a FINRA facility Industry Member for which errors in the To implement this approach in a phased with the corresponding trade report. For Transformed Value for individual tax manner, the Participants received example, the unique trade identifier for payer identification number (‘‘ITIN’’)/ exemptive relief from the requirement the OTC Reporting Facility and the social security number (‘‘SSN’’) for each in Sections 6.4(d)(ii)(A)(2) and (B) of the Alternative Display Facility would be of its Customers with an Active Account CAT NMS Plan to require, through their the Compliance ID, for the FINRA/ submitted to the Central Repository Compliance Rules, that Industry Nasdaq Trade Reporting Facility, it have been identified by the Plan Members record and report to the would be the Branch Sequence Number, Processor or otherwise, such Industry Central Repository: (1) If the order is and for the FINRA/NYSE Trade Member to submit corrected data to the executed, in whole or in part, the SRO- Reporting Facility, it would the FINRA Central Repository by 5:00 p.m. Eastern Assigned Market Participant Identifier Compliance Number. This unique trade Time on T+3. of the clearing broker, if applicable; and identifier would be used to link the Paragraph (1)(B) of Rule 4.5(m), the (2) if the trade is cancelled, a cancelled FINRA Facility Data with the execution definition of ‘‘Customer Account trade indicator, subject to certain report in the CAT. Specifically, the Information’’ states that ‘‘in those conditions. Exchange proposes to add new circumstances in which an Industry As a condition to this exemption, the paragraph (a)(2)(E) to Rule 4.7, which Member has established a trading Participants would continue to require states that: relationship with an institution but has Industry Members to submit a trade (E) If an Industry Member is required not established an account with that report for a trade, and, if the trade is to submit and submits a trade report for institution, the Industry Member will’’ cancelled, a cancellation, to a FINRA a trade, and, if the trade is cancelled, a . . . ‘‘provide the relationship identifier Facility pursuant to applicable SRO cancellation, to one of FINRA’s Trade in lieu of the ‘‘account number.’’ As an rules, and to report the corresponding Reporting Facilities, OTC Reporting account number will no longer be an execution to the Central Repository. In Facility or Alternative Display Facility element in ‘‘Customer Account addition, Industry Members would be pursuant to applicable SRO rules, and Information,’’ the relationship identifier required to report to the Central the Industry Member is required to used in lieu of the account number will Repository the unique trade identifier report the corresponding execution and/ no longer be required as an element of reported to a FINRA Facility with the or cancellation to the Central Customer Account Information. Repository: Therefore, the Exchange proposes to 30 The Exchange anticipates that the Compliance (1) the Industry Member is required to delete the requirement set forth in Rule Rule may be further amended when further details report to the Central Repository trade 6810(m)(a)(B) regarding relationship regarding the CCID Alternative are finalized. identifier reported by the Industry Member to 31 identifiers from Rule 4.5(m). See Letter to Vanessa Countryman, Secretary, such FINRA facility for the trade when the SEC, from Michael Simon, CAT NMS Plan Industry Member reports the execution of an With these changes, Industry Operating Committee Chair, re: Request for Members would not be required to Exemption from Certain Provisions of the National order pursuant to Rule 4.7(a)(1)(E) or report to the Central Repository dates of Market System Plan Governing the Consolidated cancellation of an order pursuant to Rule 4.7(a)(1)(D) beginning June 22, 2020 for Large birth, SSNs or account numbers Audit Trail related to FINRA Facility Data Linkage (June 5, 2020). Industry Members and Small Industry OATS pursuant to Rule 4.7(a)(2)(C). However, 32 See Securities Exchange Act Release No. 89051 Reporters and beginning December 13, 2021 Industry Members would be required to (June 11, 2020) (Federal Register publication for Small Industry Non-OATS Reporters, and report the Transformed Value for pending). such trade identifier must be unique

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beginning October 26, 2020 for Large principles of trade, to foster cooperation Rules. Therefore, this is not a Industry Members and Small Industry OATS and coordination with persons engaged competitive rule filing, and, therefore, it Reporters and beginning December 13, 2021 in regulating, clearing, settling, does not impose a burden on for Small Industry Non-OATS Reporters. processing information with respect to, competition. The Exchange also proposes to relieve and facilitating transactions in Industry Members of the obligation to securities, to remove impediments to C. Self-Regulatory Organization’s report to the CAT data related to and perfect the mechanism of a free and Statement on Comments on the clearing brokers and trade cancellations open market and a national market Proposed Rule Change Received From pursuant to Rules 4.7(a)(2)(A)(2) and system, and, in general, to protect Members, Participants, or Others (B), respectively, as this data will be investors and the public interest. reported by FINRA to the CAT, except Additionally, the Exchange believes the The Exchange neither solicited nor in certain circumstances. Accordingly, proposed rule change is consistent with received comments on the proposed the Exchange proposes new paragraphs the Section 6(b)(5) requirement that the rule change. (a)(2)(E)(2) and (3) to Rule 4.7, which rules of an exchange not be designed to III. Date of Effectiveness of the would state: permit unfair discrimination between Proposed Rule Change and Timing for (2) if the order is executed in whole or in customers, issuers, brokers, or dealers. Commission Action part, and the Industry Member submits the The Exchange believes that this trade report to one of FINRA’s Trade proposal is consistent with the Act Because the foregoing proposed rule Reporting Facilities, OTC Reporting Facility because it is consistent with certain change does not: (i) Significantly affect or Alternative Display Facility pursuant to exemptions from the CAT NMS Plan, the protection of investors or the public applicable SRO rules, the Industry Member is because it facilitates the retirement of interest; (ii) impose any significant not required to submit the SRO-Assigned certain existing regulatory systems, and Market Participant Identifier of the clearing burden on competition; and (iii) become broker pursuant to Rule 4.7(a)(2)(A)(2); is designed to assist the Exchange and operative for 30 days from the date on provided, however, if the Industry Member its Industry Members in meeting which it was filed, or such shorter time does not report the clearing number of the regulatory obligations pursuant to the as the Commission may designate, it has clearing broker to such FINRA facility for a Plan. In approving the Plan, the SEC become effective pursuant to Section trade, or does not report the unique trade noted that the Plan ‘‘is necessary and 34 identifier to the Central Repository as 19(b)(3)(A)(iii) of the Act and appropriate in the public interest, for subparagraph (f)(6) of Rule 19b–4 required by Rule 4.7(a)(2)(E)(1), then the the protection of investors and the Industry Member would be required to thereunder.35 record and report to the Central Repository maintenance of fair and orderly markets, to remove impediments to, and perfect A proposed rule change filed under the clearing number of the clearing broker as 36 well as information about the contra party to the mechanism of a national market Rule 19b–4(f)(6) normally does not the trade beginning April 26, 2021 for Large system, or is otherwise in furtherance of become operative prior to 30 days after Industry Members and Small Industry OATS the purposes of the Act.’’ 33 To the the date of the filing. However, pursuant Reporters and beginning December 13, 2021 extent that this proposal implements the to Rule 19b–4(f)(6)(iii),37 the for Small Industry Non-OATS Reporters; and Plan, including the exemptive relief, Commission may designate a shorter (3) if the trade is cancelled and the and applies specific requirements to time if such action is consistent with the Industry Member submits the cancellation to protection of investors and the public one of FINRA’s Trade Reporting Facilities, Industry Members, the Exchange OTC Reporting Facility or Alternative believes that this proposal furthers the interest. The Exchange has asked the Display Facility pursuant to applicable SRO objectives of the Plan, as identified by Commission to waive the 30-day rules, the Industry Member is not required to the SEC, and is therefore consistent with operative delay so that the proposal may submit the cancelled trade indicator pursuant the Act. become operative by June 22, 2020. The to Rule 4.7(a)(2)(B); provided, however, if the B. Self-Regulatory Organization’s Commission believes that waiver of the Industry Member does not report a 30-day operative delay is consistent cancellation for a canceled trade to such Statement on Burden on Competition FINRA facility, or does not report the unique with the protection of investors and the The Exchange does not believe that public interest because it implements trade identifier as required by 4.7(a)(2)(E)(1), the proposed rule change will result in then the Industry Member would be required exemptive relief from the CAT NMS any burden on competition that is not to record and report to the Central Repository Plan granted by the Commission and necessary or appropriate in furtherance a cancelled trade indicator as well as a facilitates the start of Industry Member of the purposes of the Act. The cancelled trade timestamp beginning June 22, reporting on June 22, 2020. In addition, Exchange notes that the proposed rule 2020 for Large Industry Members and Small as noted by the Exchange, the proposed Industry OATS Reporters and beginning changes are consistent with certain December 13, 2021 for Small Industry Non- rule change is based on a filing recently exemptions from the CAT NMS Plan, 38 OATS Reporters. facilitate the retirement of certain approved by the Commission. Accordingly, the Commission waives 2. Statutory Basis existing regulatory systems, and are designed to assist the Exchange in the 30-day operative delay and The Exchange believes the proposed meeting its regulatory obligations rule change is consistent with the pursuant to the Plan. The Exchange also 34 15 U.S.C. 78s(b)(3)(A)(iii). Securities Exchange Act of 1934 (the notes that the amendments to the 35 17 CFR 240.19b–4(f)(6). In addition, Rule 19b– 4(f)(6)(iii) requires a self-regulatory organization to ‘‘Act’’) and the rules and regulations Compliance Rules will apply equally to thereunder applicable to the Exchange give the Commission written notice of its intent to all Industry Members that trade NMS file the proposed rule change, along with a brief and, in particular, the requirements of Securities and OTC Equity Securities. In description and the text of the proposed rule Section 6(b) of the Act. Specifically, the addition, all national securities change, at least five business days prior to the date of filing of the proposed rule change, or such Exchange believes the proposed rule exchanges and FINRA are proposing change is consistent with the Section shorter time as designated by the Commission. The these amendments to their Compliance Exchange has satisfied this requirement. 6(b)(5) requirements that the rules of an 36 17 CFR 240.19b–4(f)(6). exchange be designed to prevent 33 See Securities Exchange Act Release No. 79318 37 17 CFR 240.19b–4(f)(6)(iii). fraudulent and manipulative acts and (November 15, 2016), 81 FR 84696, 84697 38 See Securities Exchange Act Release No. 89108 practices, to promote just and equitable (November 23, 2016). (June 19, 2020).

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designates the proposed rule change 10:00 a.m. and 3:00 p.m. Copies of the Amendment No. 2, from interested operative as of June 22, 2020.39 filing also will be available for persons. At any time within 60 days of the inspection and copying at the principal I. Self-Regulatory Organization’s filing of the proposed rule change, the office of the Exchange. All comments Statement of the Terms of Substance of received will be posted without change. Commission summarily may the Proposed Rule Change temporarily suspend such rule change if Persons submitting comments are it appears to the Commission that such cautioned that we do not redact or edit The Exchange proposes to list and action is: (i) Necessary or appropriate in personal identifying information from trade shares of the following under the public interest; (ii) for the protection comment submissions. You should proposed NYSE Arca Rule 8.601–E: of investors; or (iii) otherwise in submit only information that you wish Natixis Vaughan Nelson Select ETF and furtherance of the purposes of the Act. to make available publicly. All Natixis Vaughan Nelson MidCap ETF. If the Commission takes such action, the submissions should refer to File This Amendment No. 2 to SR– Commission shall institute proceedings Number SR–CboeBYX–2020–019 and NYSEArca–2020–51 replaces SR– to determine whether the proposed rule should be submitted on or before July NYSEArca-2020–51 as originally filed should be approved or disapproved. 20, 2020 . and Amendment 1 thereto and supersedes such filings in their entirety. IV. Solicitation of Comments For the Commission, by the Division of The proposed change is available on the Trading and Markets, pursuant to delegated Exchange’s website at www.nyse.com, at Interested persons are invited to authority.40 submit written data, views, and the principal office of the Exchange, and J. Matthew DeLesDernier, at the Commission’s Public Reference arguments concerning the foregoing, Assistant Secretary. including whether the proposed rule Room. change is consistent with the Act. [FR Doc. 2020–13880 Filed 6–26–20; 8:45 am] BILLING CODE 8011–01–P II. Self-Regulatory Organization’s Comments may be submitted by any of Statement of the Purpose of, and the following methods: Statutory Basis for, the Proposed Rule Electronic Comments SECURITIES AND EXCHANGE Change COMMISSION • Use the Commission’s internet In its filing with the Commission, the comment form (http://www.sec.gov/ self-regulatory organization included [Release No. 34–89127; File No. SR– statements concerning the purpose of, rules/sro.shtml); or NYSEArca–2020–51] • Send an email to rule-comments@ and basis for, the proposed rule change sec.gov. Please include File Number SR– Self-Regulatory Organizations; NYSE and discussed any comments it received CboeBYX–2020–019 on the subject line. Arca, Inc.; Notice of Filing of Proposed on the proposed rule change. The text Rule Change, as Modified by of those statements may be examined at Paper Comments Amendment No. 2, Relating to the the places specified in Item IV below. • Send paper comments in triplicate Listing and Trading of the Shares of The Exchange has prepared summaries, to Secretary, Securities and Exchange Natixis Vaughan Nelson Select ETF set forth in sections A, B, and C below, Commission, 100 F Street NE, and Natixis Vaughan Nelson MidCap of the most significant parts of such Washington, DC 20549–1090. ETF Under Proposed NYSE Arca Rule statements. All submissions should refer to File 8.601–E A. Self-Regulatory Organization’s Number SR–CboeBYX–2020–019. This June 23, 2020. Statement of the Purpose of, and the file number should be included on the Statutory Basis for, the Proposed Rule Pursuant to Section 19(b)(1) 1 of the subject line if email is used. To help the Change Securities Exchange Act of 1934 Commission process and review your (‘‘Act’’) 2 and Rule 19b–4 thereunder,3 1. Purpose comments more efficiently, please use notice is hereby given that on June 12, only one method. The Commission will The Exchange has proposed to add 2020, NYSE Arca, Inc. (‘‘NYSE Arca’’ or post all comments on the Commission’s new NYSE Arca Rule 8.601–E for the the ‘‘Exchange’’) filed with the internet website (http://www.sec.gov/ purpose of permitting the listing and Securities and Exchange Commission rules/sro.shtml). Copies of the trading, or trading pursuant to unlisted (‘‘Commission’’) the proposed rule submission, all subsequent trading privileges (‘‘UTP’’), of Active change as described in Items I, II, and amendments, all written statements Proxy Portfolio Shares, which are III below, which Items have been with respect to the proposed rule securities issued by an actively managed prepared by the Exchange. On June 17, change that are filed with the open-end investment management 2020, the Exchange filed Amendment 4 Commission, and all written company. Proposed Commentary .01 to No. 1 to the proposed rule change, communications relating to the which superseded and replaced the 4 proposed rule change between the See Amendment 6 to SR–NYSEArca-2019–95, proposed rule change in its entirety. On filed on June 19, 2020. See also, Securities Commission and any person, other than June 19, 2020, the Exchange filed Exchange Act Release No. 87866 (December 30, those that may be withheld from the Amendment No. 2 to the proposed rule 2019), 85 FR 357 (January 3, 2020) (SR–NYSEArca– public in accordance with the 2019–95). Proposed Rule 8.601–E(c)(1) provides change, which superseded and replaced provisions of 5 U.S.C. 552, will be that ‘‘[t]he term ‘‘Active Proxy Portfolio Share’’ the proposed rule change, as modified means a security that (a) is issued by a investment available for website viewing and by Amendment No. 1, in its entirety. company registered under the Investment Company printing in the Commission’s Public The Commission is publishing this Act of 1940 (‘‘Investment Company’’) organized as Reference Room, 100 F Street NE, an open-end management investment company that notice to solicit comments on the Washington, DC 20549, on official invests in a portfolio of securities selected by the proposed rule change, as modified by Investment Company’s investment adviser business days between the hours of consistent with the Investment Company’s investment objectives and policies; (b) is issued in 40 39 For purposes only of waiving the 30-day 17 CFR 200.30–3(a)(12). a specified minimum number of shares, or operative delay, the Commission has considered the 1 15 U.S.C. 78s(b)(1). multiples thereof, in return for a deposit by the proposed rule’s impact on efficiency, competition, 2 15 U.S.C. 78a. purchaser of the Proxy Portfolio and/or cash with and capital formation. See 15 U.S.C. 78c(f). 3 17 CFR 240.19b–4. a value equal to the next determined net asset value

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Rule 8.601–E would require the once daily,6 the portfolio for an issue of throughout the financial services Exchange to file separate proposals Active Proxy Portfolio Shares will be industry, to make efficient markets in under Section 19(b) of the Act before publicly disclosed within at least 60 exchange-traded products.9 For Active listing and trading any series of Active days following the end of every fiscal Proxy Portfolio Shares, market makers Proxy Portfolio Shares on the Exchange. quarter in accordance with normal may use the knowledge of a fund’s Therefore, the Exchange is submitting disclosure requirements otherwise means of achieving its investment this proposal in order to list and trade applicable to open-end management objective, as described in the applicable shares (‘‘Shares’’) of Active Proxy investment companies registered under fund registration statement, as well as a Portfolio Shares of the Natixis Vaughan the 1940 Act.7 The composition of the fund’s disclosed Proxy Portfolio, to Nelson Select ETF and Natixis Vaughan portfolio of an issue of Active Proxy construct a hedging proxy for a fund to Nelson MidCap ETF (each a ‘‘Fund’’ Portfolio Shares would not be available manage a market maker’s quoting risk in and, collectively, the ‘‘Funds’’) under at commencement of Exchange listing connection with trading fund shares. proposed Rule 8.601–E. and trading. Second, in connection with Market makers can then conduct the creation and redemption of Active statistical arbitrage between their Key Features of Active Proxy Portfolio Proxy Portfolio Shares, such creation or hedging proxy (for example, the Russell Shares redemption may be exchanged for a 1000 Index) and shares of a fund, Proxy Portfolio with a value equal to the buying and selling one against the other While funds issuing Active Proxy next-determined NAV. A series of over the course of the trading day. This Portfolio Shares will be actively- Active Proxy Portfolio Shares will ability should permit market makers to managed and, to that extent, will be disclose the Proxy Portfolio on a daily make efficient markets in an issue of similar to Managed Fund Shares, Active basis, which, as described above, is Active Proxy Portfolio Shares without Proxy Portfolio Shares differ from designed to track closely the daily precise knowledge of a fund’s Managed Fund Shares in the following performance of the Actual Portfolio of a underlying portfolio. This is similar to important respects. First, in contrast to series of Active Proxy Portfolio Shares, certain other existing exchange-traded Managed Fund Shares, which are instead of the actual holdings of the products (for example, ETFs that invest actively-managed funds listed and Investment Company, as provided by a in foreign securities that do not trade traded under NYSE Arca Rule 8.600–E 5 series of Managed Fund Shares. during U.S. trading hours), in which and for which a ‘‘Disclosed Portfolio’’ is The Exchange, after consulting with spreads may be generally wider in the required to be disseminated at least various Lead Market Makers (‘‘LMMs’’) 8 early days of trading and then narrow as that trade exchange-traded funds market makers gain more confidence in (‘‘NAV’’); (c) when aggregated in the same specified (‘‘ETFs’’) on the Exchange, believes that their real-time hedges. minimum number of Active Proxy Portfolio Shares, or multiples thereof, may be redeemed at a holder’s market makers will be able to make Description of the Funds and the Trust request in return for the Proxy Portfolio and/or cash efficient and liquid markets priced near to the holder by the issuer with a value equal to the ETF’s intraday value, and market Each Fund will be a series of Natixis the next determined NAV; and (d) the portfolio makers employ market making ETF Trust II (‘‘Trust’’), which will be holdings for which are disclosed within at least 60 techniques such as ‘‘statistical registered with the Commission as an days following the end of every fiscal quarter.’’ open-end management investment Proposed Rule 8.601–E(c)(2) provides that ‘‘[t]he arbitrage,’’ including correlation 10 term ‘‘Actual Portfolio’’ means the identities and hedging, beta hedging, and dispersion company. quantities of the securities and other assets held by trading, which is currently used the Investment Company that shall form the basis 9 Statistical arbitrage enables a trader to construct for the Investment Company’s calculation of NAV an accurate proxy for another instrument, allowing at the end of the business day.’’ Proposed Rule 6 NYSE Arca Rule 8.600–E(c)(2) defines the term it to hedge the other instrument or buy or sell the 8.601–E(c)(3) provides that ‘‘[tbhe term ‘‘Proxy ‘‘Disclosed Portfolio’’ as the identities and instrument when it is cheap or expensive in Portfolio’’ means a specified portfolio of securities, quantities of the securities and other assets held by relation to the proxy. Statistical analysis permits other financial instruments and/or cash designed to the Investment Company that will form the basis for traders to discover correlations based purely on track closely the daily performance of the Actual the Investment Company’s calculation of net asset trading data without regard to other fundamental Portfolio of a series of Active Proxy Portfolio Shares value at the end of the business day. NYSE Arca drivers. These correlations are a function of as provided in the exemptive relief pursuant to the Rule 8.600–E(d)(2)(B)(i) requires that the Disclosed differentials, over time, between one instrument or Investment Company Act of 1940 applicable to such Portfolio will be disseminated at least once daily group of instruments and one or more other series.’’ and will be made available to all market instruments. Once the nature of these price 5 The Commission has previously approved participants at the same time. deviations have been quantified, a universe of listing and trading on the Exchange of a number of 7 A mutual fund is required to file with the securities is searched in an effort to, in the case of issues of Managed Fund Shares under NYSE Arca Commission its complete portfolio schedules for the a hedging strategy, minimize the differential. Once Rule 8.600–E. See, e.g., Securities Exchange Act second and fourth fiscal quarters on Form N–CSR a suitable hedging proxy has been identified, a Release Nos. 57801 (May 8, 2008), 73 FR 27878 under the 1940 Act. Information reported on Form trader can minimize portfolio risk by executing the (May 14, 2008) (SR–NYSEArca–2008–31) (order N–PORT for the third month of a fund’s fiscal hedging basket. The trader then can monitor the approving Exchange listing and trading of twelve quarter will be made publicly available 60 days performance of this hedge throughout the trade actively-managed funds of the WisdomTree Trust); after the end of a fund’s fiscal quarter. Form N– period making corrections where warranted. In the 60460 (August 7, 2009), 74 FR 41468 (August 17, PORT requires reporting of a fund’s complete case of correlation hedging, the analysis seeks to 2009) (SR–NYSEArca–2009–55) (order approving portfolio holdings on a position-by-position basis find a proxy that matches the pricing behavior of listing of Dent Tactical ETF); 63076 (October 12, on a quarterly basis within 60 days after fiscal a fund. In the case of beta hedging, the analysis 2010), 75 FR 63874 (October 18, 2010) (SR– quarter end. Investors can obtain a series of Active seeks to determine the relationship between the NYSEArca–2010–79) (order approving Exchange Proxy Portfolio Shares’ Statement of Additional price movement over time of a fund and that of listing and trading of Cambria Global Tactical ETF); Information (‘‘SAI’’), its Shareholder Reports, its another stock. Dispersion trading is a hedged 63802 (January 31, 2011), 76 FR 6503 (February 4, Form N–CSR, filed twice a year, and its Form N– strategy designed to take advantage of relative value 2011) (SR–NYSEArca–2010–118) (order approving CEN, filed annually. A series of Active Proxy differences in implied volatilities between an index Exchange listing and trading of the SiM Dynamic Portfolio Shares’ SAI and Shareholder Reports will and the component stocks of that index. Such Allocation Diversified Income ETF and SiM be available free upon request from the Investment trading strategies will allow market participants to Dynamic Allocation Growth Income ETF). The Company, and those documents and the Form N– engage in arbitrage between series of Active Proxy Commission also has approved a proposed rule PORT, Form N–CSR, and Form N–CEN may be Portfolio Shares and other instruments, both change relating to generic listing standards for viewed on-screen or downloaded from the through the creation and redemption process and Managed Fund Shares. Securities Exchange Act Commission’s website at www.sec.gov. strictly through arbitrage without such processes. Release No. 78397 (July 22, 2016), 81 FR 49320 8 The term ‘‘Lead Market Maker’’ is defined in 10 The Trust is registered under the 1940 Act. On (July 27, 2016) (SR–NYSEArca–2015–110) Rule 1.1(w) to mean a registered Market Maker that April 24, 2020, the Trust filed a registration (amending NYSE Arca Equities Rule 8.600 to adopt is the exclusive Designated Market Maker in listings statement on Form N–1A under the Securities Act generic listing standards for Managed Fund Shares). for which the Exchange is the primary market. Continued

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Natixis Advisors, L.P. (‘‘Adviser’’) also similar to Commentary .06 to Rule maintain a ‘‘fire wall’’ with respect to its will be the investment adviser to the 8.600–E related to Managed Fund broker-dealer affiliate regarding access Funds. Vaughan Nelson Investment Shares, except that proposed to information concerning the Management, L.P. will be the subadviser Commentary .04 relates to establishment composition of and/or changes to the (‘‘Sub-Adviser’’) for the Funds. ALPS and maintenance of a ‘‘fire wall’’ applicable Fund’s Actual Portfolio and/ Distributors, Inc. will act as the between the investment adviser and or Proxy Portfolio. distributor and principal underwriter personnel of the broker-dealer or broker- In the event (a) the Adviser or Sub- (‘‘Distributor’’) for the Funds. dealer affiliate, as applicable, applicable Adviser becomes registered as a broker- Proposed Commentary.04 provides to an Investment Company’s Actual dealer or becomes newly affiliated with that, if the investment adviser to the Portfolio and/or Proxy Portfolio or a broker-dealer, or (b) any new adviser Investment Company issuing Active changes thereto, and not just to the or sub-adviser is a registered broker- Proxy Portfolio Shares is registered as a underlying portfolio, as is the case with dealer, or becomes affiliated with a broker-dealer or is affiliated with a Managed Fund Shares. broker-dealer, it will implement and broker-dealer, such investment adviser In addition, proposed Commentary.05 maintain a fire wall with respect to its will erect and maintain a ‘‘fire wall’’ provides that any person or entity, relevant personnel or its broker-dealer between the investment adviser and including a custodian, Reporting affiliate regarding access to information personnel of the broker-dealer or broker- Authority, distributor, or administrator, concerning the composition and/or dealer affiliate, as applicable, with who has access to non-public changes to a Fund’s Actual Portfolio respect to access to information information regarding the Investment and/or Proxy Portfolio, and will be concerning the composition and/or Company’s Actual Portfolio or the Proxy subject to procedures designed to changes to such Investment Company’s Portfolio or changes thereto, must be prevent the use and dissemination of Actual Portfolio and/or Proxy Portfolio. subject to procedures reasonably material non-public information Any person related to the investment designed to prevent the use and regarding a Fund’s Actual Portfolio and/ adviser or Investment Company who dissemination of material non-public or Proxy Portfolio or changes thereto. makes decisions pertaining to the information regarding the applicable Any person related to the Adviser, Sub- Investment Company’s Actual Portfolio Investment Company Actual Portfolio or Adviser or a Fund who makes decisions and/or Proxy Portfolio or has access to the Proxy Portfolio or changes thereto. pertaining to a Fund’s Actual Portfolio non-public information regarding the Moreover, if any such person or entity or the Proxy Portfolio or has access to Investment Company’s Actual Portfolio is registered as a broker-dealer or non-public information regarding a and/or Proxy Portfolio or changes affiliated with a broker-dealer, such Fund’s Actual Portfolio and/or the thereto must be subject to procedures person or entity will erect and maintain Proxy Portfolio or changes thereto are reasonably designed to prevent the use a ‘‘fire wall’’ between the person or subject to procedures reasonably and dissemination of material non- entity and the broker-dealer with designed to prevent the use and public information regarding the Actual respect to access to information dissemination of material non-public Portfolio and/or Proxy Portfolio or concerning the composition and/or information regarding a Fund’s Actual changes thereto. Proposed Commentary changes to such Investment Company Portfolio and/or the Proxy Portfolio or .04 is similar to Commentary .03(a)(i) Actual Portfolio or Proxy Portfolio. changes thereto. and (iii) to NYSE Arca Rule 5.2–E(j)(3); The Adviser is not registered as a In addition, any person or entity, however, proposed Commentary .04, in broker-dealer but is affiliated with a including any service provider for a connection with the establishment of a broker-dealer. The Adviser has Fund, who has access to non-public ‘‘fire wall’’ between the investment implemented and will maintain a ‘‘fire information regarding a Fund’s Actual adviser and the broker-dealer, reflects wall’’ with respect to such broker-dealer Portfolio or the Proxy Portfolio or the applicable open-end fund’s affiliate regarding access to information changes thereto, will be subject to portfolio, not an underlying benchmark concerning the composition of and/or procedures reasonably designed to index, as is the case with index-based changes to a Fund’s Actual Portfolio prevent the use and dissemination of funds.11 Proposed Commentary .04 is and/or Proxy Portfolio. The Sub-Adviser material non-public information is not registered as a broker-dealer but regarding a Fund’s Actual Portfolio and/ of 1933 (the ‘‘1933 Act’’) (15 U.S.C. 77a), and under is affiliated with a broker-dealer. The or the Proxy Portfolio or changes the 1940 Act relating to the Funds (File Nos. 333– thereto. Moreover, if any such person or 235466 and 811–23500) (the ‘‘Registration Sub-Adviser has implemented and will Statement’’). The Trust and NYSE Group, Inc. filed entity is registered as a broker-dealer or a Seventh Amended and Restated Application for advisers to adopt a code of ethics that reflects the affiliated with a broker-dealer, such an Order under Section 6(c) of the 1940 Act for fiduciary nature of the relationship to clients as person or entity has erected and will exemptions from various provisions of the 1940 Act well as compliance with other applicable securities maintain a ‘‘fire wall’’ between the and rules thereunder (File No. 812–14870), dated laws. Accordingly, procedures designed to prevent October 21, 2019 (‘‘Application’’). On November 14, the communication and misuse of non-public person or entity and the broker-dealer 2019, the Commission issued a notice regarding the information by an investment adviser must be with respect to access to information Application. Investment Company Release No. consistent with Rule 204A–1 under the Advisers concerning the composition and/or 33684 (File No. 812–14870). On December 10, 2019, Act. In addition, Rule 206(4)–7 under the Advisers changes to a Fund’s Actual Portfolio the Commission issued an order (‘‘Exemptive Act makes it unlawful for an investment adviser to Order’’) under the 1940 Act granting the provide investment advice to clients unless such and/or Proxy Portfolio. exemptions requested in the Application investment adviser has (i) adopted and The Funds (Investment Company Act Release No. 33711 implemented written policies and procedures (December 10, 2019)). The description of the reasonably designed to prevent violations, by the According to the Application, the operation of the Trust and the Funds herein is investment adviser and its supervised persons, of Adviser believes a Fund would allow based, in part, on the Registration Statement and the Advisers Act and the Commission rules adopted the Application. thereunder; (ii) implemented, at a minimum, an for efficient trading of Shares through an 11 An investment adviser to an open-end fund is annual review regarding the adequacy of the effective Fund portfolio transparency required to be registered under the Investment policies and procedures established pursuant to substitute and publication of related Advisers Act of 1940 (the ‘‘Advisers Act’’). As a subparagraph (i) above and the effectiveness of their information metrics, while still result, the Adviser and Sub-Adviser and their implementation; and (iii) designated an individual related personnel will be subject to the provisions (who is a supervised person) responsible for shielding the identity of the full Fund of Rule 204A–1 under the Advisers Act relating to administering the policies and procedures adopted portfolio contents to protect a Fund’s codes of ethics. This Rule requires investment under subparagraph (i) above. performance-seeking strategies. Even

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though a Fund would not publish its Exchange has in place a comprehensive The ‘‘Creation Basket’’ (as defined full portfolio contents daily, the Adviser surveillance sharing agreement. below) for a Fund’s Shares will be based believes that the NYSE Proxy Portfolio According to the Registration on a Fund’s Proxy Portfolio, which is Methodology would allow market Statement, the Fund’s investment designed to approximate the value and participants to assess the intraday value objective is to seek long-term capital performance of the Actual Portfolio. All and associated risk of a Fund’s Actual appreciation. The Fund, under normal Creation Basket instruments will be Portfolio. As a result, the Adviser market conditions,15 will invest valued in the same manner as they are believes that investors would be able to primarily in equity securities, including valued for purposes of calculating a purchase and sell Shares in the exchange-traded common stocks, Fund’s NAV, and such valuation will be secondary market at prices that are close exchange-traded preferred stocks and made in the same manner regardless of to their NAV. exchange-traded real estate investment the identity of the purchaser or In this regard, the Funds will utilize trusts (‘‘REITs’’). a proxy portfolio methodology— the redeemer. Further, the total ‘‘NYSE Proxy Portfolio Methodology’’— Natixis Vaughan Nelson MidCap ETF consideration paid for the purchase or that would allow market participants to redemption of a Creation Unit of Shares The Fund’s holdings will conform to will be based on the NAV of a Fund, as assess the intraday value and associated the permissible investments as set forth risk of a Fund’s Actual Portfolio and calculated in accordance with the in the Application and Exemptive Order policies and procedures set forth in the thereby facilitate the purchase and sale and the holdings will be consistent with Registration Statement. of Shares by investors in the secondary all requirements in the Application and market at prices that do not vary Exemptive Order.16 Any foreign According to the Application, Shares 12 materially from their NAV. The NYSE common stocks held by the Fund will will be purchased and redeemed in Proxy Portfolio Methodology would be traded on an exchange that is a Creation Units and generally on an in- utilize creation of a Proxy Portfolio for member of the ISG or with which the kind basis. Accordingly, except where 13 hedging and arbitrage purposes. Exchange has in place a comprehensive the purchase or redemption will include Natixis Vaughan Nelson Select ETF surveillance sharing agreement. cash under the circumstances specified The Fund’s holdings will conform to According to the Registration below, purchasers will be required to the permissible investments as set forth Statement, the Fund’s investment purchase Creation Units by making an in the Application and Exemptive Order objective is to seek long-term capital in-kind deposit of specified instruments and the holdings will be consistent with appreciation. The Fund, under normal (‘‘Deposit Instruments’’), and all requirements in the Application and market conditions, will invest primarily shareholders redeeming their Shares Exemptive Order.14 Any foreign in companies that, at the time of will receive an in-kind transfer of common stocks held by the Fund will purchase, have market capitalizations specified instruments (‘‘Redemption either within the capitalization range of Instruments’’). The names and be traded on an exchange that is a ® member of the Intermarket Surveillance the Russell Midcap Value Index, an quantities of the instruments that Group (‘‘ISG’’) or with which the unmanaged index that measures the constitute the Deposit Instruments and performance of companies with lower the Redemption Instruments for a Fund 12 The NYSE Proxy Portfolio Methodology is price-to-book ratios and lower (collectively, the ‘‘Creation Basket’’) will owned by the NYSE Group, Inc. and licensed for forecasted growth values within the be the same as a Fund’s Proxy Portfolio, use by the Funds. NYSE Group, Inc. is not affiliated broader Russell Midcap Index, or of $15 except to the extent purchases and with the Funds, Adviser or Distributor. Not all billion or less. Equity securities may series of Active Proxy Portfolio Shares will utilize redemptions are made entirely or in part the NYSE Proxy Portfolio Methodology. take the form of exchange-traded stock on a cash basis. 13 With respect to the Funds, the Funds will have in corporations and exchange-traded in place policies and procedures regarding the REITs or other exchange-traded trusts If there is a difference between the construction and composition of their respective and similar securities representing NAV attributable to a Creation Unit and Proxy Portfolio. Such policies and procedures will direct or indirect ownership interests in the aggregate market value of the be covered by a Fund’s compliance program and Creation Basket exchanged for the other requirements under Rule 38a–1 under the business organizations. 1940 Act. Creation Unit, the party conveying 14 Pursuant to the Application and Exemptive Creations and Redemptions of Shares instruments with the lower value will Order, the permissible investments for each of the also pay to the other an amount in cash Funds include only the following instruments: According to the Registration ETFs traded on a U.S. exchange; exchange-traded Statement, the Trust will offer, issue equal to that difference (the ‘‘Cash notes (‘‘ETNs’’) traded on a U.S. exchange; U.S. and sell Shares of the Funds to investors Amount’’). exchange-traded common stocks; common stocks only in specified minimum size While a Fund normally will issue and listed on a foreign exchange that trade on such exchange contemporaneously with the Shares ‘‘Creation Units’’ through the Distributor redeem Shares in kind, a Fund may (‘‘foreign common stocks’’) in the Exchange’s Core on a continuous basis at the NAV per require purchases and redemptions to Trading Session (normally 9:30 a.m. and 4:00 p.m. Share next determined after an order in be made entirely or in part on a cash Eastern time (‘‘E.T.’’)); U.S. exchange-traded proper form is received. The NAV of a preferred stocks; U.S. exchange-traded American basis. In such an instance, a Fund will Depositary Receipts (‘‘ADRs’’); U.S. exchange- Fund is expected to be determined as of announce, before the open of trading in traded real estate investment trusts; U.S. exchange- 4:00 p.m. E.T. on each Business Day. the Core Trading Session (normally, traded commodity pools; U.S. exchange-traded The Trust will sell and redeem Creation 9:30 a.m. to 4:00 p.m. E.T.) on a given metals trusts; U.S. exchange-traded currency trusts; Units of a Fund only on a Business Day. Business Day, that all purchases, all and U.S. exchange-traded futures that trade Creation Units of a Fund may be contemporaneously with a Fund’s Shares. In redemptions, or all purchases and addition, a Fund may hold cash and cash purchased and/or redeemed entirely for redemptions on that day will be made equivalents (short-term U.S. Treasury securities, cash, as permissible under the wholly or partly in cash. A Fund may government money market funds, and repurchase procedures described below. agreements). A Fund will not hold short positions also determine, upon receiving a or invest in derivatives other than U.S. exchange- purchase or redemption order from an 15 traded futures, will not borrow for investment The term ‘‘normal market conditions’’ is Authorized Participant, to have the purposes, and will not purchase any securities that defined in proposed Rule 8.601–E(c)(6). are illiquid investments at the time of purchase. 16 See note 14, supra. purchase or redemption, as applicable,

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be made entirely or in part in cash.17 calculated as of the close of trading on information will be publicly available at Each Business Day, before the open of the prior Business Day will be publicly no charge. trading on the Exchange, a Fund will available on the Funds’ website before The Proxy Portfolio holdings for each cause to be published through the the commencement of trading in Shares Fund (including the identity and National Securities Clearing Corporation each Business Day. quantity of investments in the Proxy (‘‘NSCC’’) the names and quantities of • The ‘‘Proxy Overlap’’ will be Portfolio) will be publicly available on the instruments comprising the Creation publicly available on the Funds’ website the Funds’ website before the Basket, as well as the estimated Cash before the commencement of trading in commencement of trading in Shares on Amount (if any), for that day. The Shares on each Business Day. The Proxy each Business Day. published Creation Basket will apply Overlap is the percentage weight Typical mutual fund-style annual, until a new Creation Basket is overlap between the Proxy Portfolio’s semi-annual and quarterly disclosures announced on the following Business holdings compared to the Actual contained in a Fund’s Commission Day, and there will be no intra-day Portfolio’s holdings that formed the filings will be provided on the Funds’ changes to the Creation Basket except to basis for a Fund’s calculation of NAV at website on a current basis.20 Thus, each correct errors in the published Creation the end of the prior Business Day. The Fund will publish the portfolio contents Basket. Proxy Overlap will be calculated by of its Actual Portfolio on a periodic All orders to purchase Creation Units taking the lesser weight of each asset basis, and no less than 60 days after the must be placed with the Distributor by held in common between the Actual end of every fiscal quarter. or through an Authorized Participant, Portfolio and the Proxy Portfolio and which is either: (1) A ‘‘participating Investors can also obtain a Fund’s adding the totals. party’’ (i.e., a broker or other SAI, Shareholder Reports, Form N–CSR, participant), in the Continuous Net Availability of Information N–PORT and Form N–CEN. The Settlement (‘‘CNS’’) System of the prospectus, SAI and Shareholder NSCC, a clearing agency registered with The Funds’ website Reports are available free upon request the Commission and affiliated with the (www.im.natixis.com), which will be from the Trust, and those documents Depository Trust Company (‘‘DTC’’), or publicly available prior to the public and the Form N–CSR, N–PORT, and (2) a DTC Participant, which in any case offering of Shares, will include a form Form N–CEN may be viewed on-screen has executed a participant agreement of the prospectus for a Fund that may or downloaded from the Commission’s with the Distributor and the transfer be downloaded. The Funds’ website website. The Exchange also notes that agent. will include on a daily basis, per Share pursuant to its Exemptive Order, a Fund for a Fund, the prior Business Day’s must comply with Regulation Fair Timing and Transmission of Purchase NAV and the ‘‘Closing Price’’ or ‘‘Bid/ Disclosure, which prohibits selective Orders Ask Price,’’ 18 and a calculation of the disclosure of any material non-public All orders to purchase (or redeem) premium/discount of the Closing Price information. Creation Units, whether using the NSCC or Bid/Ask Price against such NAV. The Information regarding market price Process or the DTC Process, must be Adviser has represented that the Funds’ and trading volume of the Shares will be received by the Distributor no later than website will also provide: (1) Any other continually available on a real-time the NAV calculation time (‘‘NAV information regarding premiums/ basis throughout the day on brokers’ Calculation Time’’), generally 4:00 p.m. discounts as may be required for other computer screens and other electronic E.T. on the date the order is placed ETFs under Rule 6c-11 under the 1940 services. Information regarding the (‘‘Transmittal Date’’) in order for the Act, as amended, and (2) any previous day’s closing price and trading purchaser (or redeemer) to receive the information regarding the bid/ask volume information for the Shares will NAV determined on the Transmittal spread for a Fund as may be required for be published daily in the financial Date. other ETFs under Rule 6c–11 under the section of newspapers. Quotation and 1940 Act, as amended. The Funds’ last sale information for the Shares, Daily Disclosures website also will disclose the ETFs, ETNs, U.S. exchange-traded With respect to the Funds, the information required under proposed common stocks, preferred stocks and following information will comprise the Rule 8.601–E(c)(3).19 The website and ADRs will be available via the ‘‘Proxy Portfolio Disclosures’’ and, Consolidated Tape Association (‘‘CTA’’) pursuant to the Application and 18 The records relating to Bid/Ask Prices will be high-speed line or from the exchange on Exemptive Order, will be publicly retained by the Funds or their service providers. which such securities trade. Price available on the Funds’ website before The ‘‘Bid/Ask Price’’ is the midpoint of the highest bid and lowest offer based upon the National Best information for futures, foreign stocks the commencement of trading in Shares Bid and Offer as of the time of calculation of a and cash equivalents is available on each Business Day: Fund’s NAV. The ‘‘National Best Bid and Offer’’ is through major market data vendors. • The Proxy Portfolio holdings the current national best bid and national best offer Intraday pricing information for all (including the identity and quantity of as disseminated by the Consolidated Quotation System or UTP Plan Securities Information constituents of the Proxy Portfolio for investments in the Proxy Portfolio) will Processor. The ‘‘Closing Price’’ of Shares is the each Fund that are exchange-traded, be publicly available on the Funds’ official closing price of the Shares on the Exchange. which includes all eligible instruments website before the commencement of 19 See note 4, supra. Proposed Rule 8.601–E (c)(3) except cash and cash equivalents, will trading in Shares on each Business Day. provides that the website for each series of Active be available on the exchanges on which • The historical ‘‘Tracking Error’’ Proxy Portfolio Shares shall disclose the information regarding the Proxy Portfolio as they are traded and through between a Fund’s last published NAV provided in the exemptive relief pursuant to the subscription services. Intraday pricing per share and the value, on a per Share Investment Company Act of 1940 applicable to such information for cash equivalents will be basis, of a Fund’s Proxy Portfolio series, including the following, to the extent applicable: available through subscription services and/or pricing services. 17 The Adviser represents that, to the extent the (i) Ticker symbol; Trust effects the creation or redemption of Shares (ii) CUSIP or other identifier; in cash on any given day, such transactions will be (iii) Description of holding; (v) Percentage weighting of the holding in the effected in the same manner for all Authorized (iv) Quantity of each security or other asset held; portfolio. Participants placing trades with a Fund on that day. and 20 See note 7, supra.

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Investment Restrictions the Exchange shall halt trading in such Exchange represents that these The Shares of the Funds will conform series until such time as the NAV, Proxy procedures are adequate to properly to the initial and continued listing Portfolio or Actual Portfolio is available monitor Exchange trading of the Shares criteria under proposed Rule 8.601–E. to all market participants at the same in all trading sessions and to deter and Each Fund’s holdings will be limited to time. detect violations of Exchange rules and federal securities laws applicable to and consistent with permissible Trading Rules holdings as described in the Application trading on the Exchange. The Exchange deems the Shares to be The surveillances referred to above and all requirements in the Application 21 equity securities, thus rendering trading generally focus on detecting securities and Exemptive Order. in the Shares subject to the Exchange’s Each Fund’s investments, including trading outside their normal patterns, existing rules governing the trading of which could be indicative of derivatives, will be consistent with its equity securities. Shares will trade on investment objective and will not be manipulative or other violative activity. the NYSE Arca Marketplace in all When such situations are detected, used to enhance leverage (although trading sessions in accordance with surveillance analysis follows and certain derivatives and other NYSE Arca Rule 7.34–E(a). As provided investigations are opened, where investments may result in leverage). in NYSE Arca Rule 7.6–E, the minimum appropriate, to review the behavior of That is, a Fund’s investments will not price variation (‘‘MPV’’) for quoting and all relevant parties for all relevant be used to seek performance that is the entry of orders in equity securities trading violations. multiple or inverse multiple (e.g., 2X or traded on the NYSE Arca Marketplace is The Exchange or FINRA, on behalf of -3X) of a Fund’s primary broad-based $0.01, with the exception of securities the Exchange, or both, will securities benchmark index (as defined that are priced less than $1.00 for which 22 communicate as needed regarding in Form N–1A). the MPV for order entry is $0.0001. trading in the Shares and underlying Trading Halts The Shares will conform to the initial exchange-traded instruments with other and continued listing criteria under With respect to trading halts, the markets and other entities that are proposed NYSE Arca Rule 8.601–E. The members of the ISG, and the Exchange Exchange may consider all relevant Exchange has appropriate rules to factors in exercising its discretion to or FINRA, on behalf of the Exchange, or facilitate trading in the Shares during all both, may obtain trading information halt or suspend trading in the Shares of trading sessions. a Fund.23 Trading in Shares of a Fund regarding trading such securities and A minimum of 100,000 Shares for underlying exchange-traded instruments will be halted if the circuit breaker each Fund will be outstanding at the parameters in NYSE Arca Rule 7.12–E from such markets and other entities. In commencement of trading on the addition, the Exchange may obtain have been reached. Trading also may be Exchange. In addition, pursuant to halted because of market conditions or information regarding trading in such proposed Rule 8.601–E(d)(1)(B), the securities and underlying exchange- for reasons that, in the view of the Exchange, prior to commencement of Exchange, make trading in the Shares traded instruments from markets and trading in the Shares, will obtain a other entities that are members of ISG or inadvisable. Trading in the Shares will representation from the Adviser that the be subject to NYSE Arca Rule 8.601– with which the Exchange has in place NAV per Share of each Fund will be a comprehensive surveillance sharing E(d)(2)(D), which sets forth calculated daily and that the NAV, 25 circumstances under which Shares of a agreement. Proxy Portfolio and the Actual Portfolio The Adviser will make available daily Fund will be halted. for each Fund will be made available to to FINRA and the Exchange the Actual Specifically, proposed Rule 8.601– all market participants at the same time. E(d)(2)(D) provides that the Exchange Portfolio of a Fund, upon request, in With respect to Active Proxy Portfolio order to facilitate the performance of the may consider all relevant factors in Shares, all of the Exchange member exercising its discretion to halt trading surveillances referred to above. obligations relating to product In addition, the Exchange also has a in a series of Active Proxy Portfolio description and prospectus delivery general policy prohibiting the Shares. Trading may be halted because requirements will continue to apply in distribution of material, non-public of market conditions or for reasons that, accordance with Exchange rules and information by its employees. in the view of the Exchange, make federal securities laws, and the Proposed Commentary .03 to NYSE trading in the series of Active Proxy Exchange and the Financial Industry Arca Rule 8.601–E provides that the Portfolio Shares inadvisable. These may Regulatory Authority, Inc. (‘‘FINRA’’) Exchange will implement and maintain include: (a) The extent to which trading will continue to monitor Exchange written surveillance procedures for is not occurring in the securities and/or members for compliance with such Active Proxy Portfolio Shares. As part of the financial instruments composing the requirements. these surveillance procedures, the Proxy Portfolio and/or Actual Portfolio; Surveillance Investment Company’s investment or (b) whether other unusual conditions adviser will upon request by the or circumstances detrimental to the The Exchange represents that trading Exchange or FINRA, on behalf of the maintenance of a fair and orderly in the Shares will be subject to the Exchange, make available to the market are present. If the Exchange existing trading surveillances, Exchange or FINRA the daily Actual becomes aware that the NAV, Proxy administered by the Exchange, as well Portfolio holdings of each series of Portfolio or Actual Portfolio with as cross-market surveillances Active Proxy Portfolio Shares. The respect to a series of Active Proxy administered by FINRA on behalf of the Exchange believes that the ability to Portfolio Shares is not disseminated to Exchange, which are designed to detect access the information on an as needed all market participants at the same time, violations of Exchange rules and 24 basis will provide it with sufficient applicable federal securities laws. The information to perform the necessary 21 See note 14, supra. regulatory functions associated with 22 A Fund’s broad-based securities benchmark 24 FINRA conducts cross-market surveillances on index will be identified in a future amendment to behalf of the Exchange pursuant to a regulatory listing and trading series of Active its Registration Statement following a Fund’s first services agreement. The Exchange is responsible for full calendar year of performance. FINRA’s performance under this regulatory services 25 For a list of the current members of ISG, see 23 See NYSE Arca Rule 7.12–E. agreement. www.isgportal.org.

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Proxy Portfolio Shares on the Exchange, Section 6(b) of the Act,26 in general, and a comprehensive surveillance sharing including the ability to monitor furthers the objectives of Section 6(b)(5) agreement. compliance with the initial and of the Act,27 in particular, in that it is The Exchange, after consulting with continued listing requirements as well designed to prevent fraudulent and various LMMs that trade ETFs on the as the ability to surveil for manipulation manipulative acts and practices, to Exchange, believes that market makers of Active Proxy Portfolio Shares. promote just and equitable principles of will be able to make efficient and liquid markets priced near the ETF’s intraday The Exchange will utilize its existing trade, to remove impediments to and value, and market makers employ procedures to monitor issuer perfect the mechanism of a free and open market and a national market market making techniques such as compliance with the requirements of system, and, in general, to protect ‘‘statistical arbitrage,’’ including proposed Rule 8.601–E. For example, investors and the public interest. correlation hedging, beta hedging, and the Exchange will continue to use With respect to the proposed listing dispersion trading, which is currently intraday alerts that will notify Exchange and trading of Shares of the Funds, the used throughout the financial services personnel of trading activity throughout Exchange believes that the proposed industry, to make efficient markets in the day that may indicate that unusual rule change is designed to prevent exchange-traded products.30 For Active conditions or circumstances are present fraudulent and manipulative acts and Proxy Portfolio Shares, market makers that could be detrimental to the practices in that the Shares will be may use the knowledge of a fund’s maintenance of a fair and orderly listed and traded on the Exchange means of achieving its investment market. The Exchange will require from pursuant to the initial and continued objective, as described in the applicable the issuer of Active Proxy Portfolio listing criteria in proposed NYSE Arca fund registration statement, as well as a Shares, upon initial listing and Rule 8.601–E.28 fund’s disclosed Proxy Portfolio, to periodically thereafter, a representation Each Fund’s holdings will conform to construct a hedging proxy for a fund to that it is in compliance with Rule the permissible investments as set forth manage a market maker’s quoting risk in 8.601–E. The Exchange notes that in the Application and the Exemptive connection with trading fund shares. proposed Commentary .01 to Rule Order and the holdings will be Market makers can then conduct 8.601–E would require an issuer of consistent with all requirements in the statistical arbitrage between their Active Proxy Portfolio Shares to notify Application and Exemptive Order.29 hedging proxy and shares of a fund, the Exchange of any failure to comply Each Fund’s investments, including buying and selling one against the other with the continued listing requirements derivatives, will be consistent with its over the course of the trading day. This of Rule 8.601–E. In addition, the investment objective and will not be ability should permit market makers to Exchange will require issuers to used to enhance leverage (although make efficient markets in an issue of represent that they will notify the certain derivatives and other Active Proxy Portfolio Shares without Exchange of any failure to comply with investments may result in leverage). precise knowledge of a fund’s the terms of applicable exemptive and That is, a Fund’s investments will not underlying portfolio. This is similar to no-action relief. As part of its be used to seek performance that is the certain other existing exchange-traded surveillance procedures, the Exchange multiple or inverse multiple (e.g., 2X or products (for example, ETFs that invest will rely on the foregoing procedures to -3X) of a Fund’s primary broad-based in foreign securities that do not trade become aware of any non-compliance securities benchmark index (as defined during U.S. trading hours), in which with the requirements of Rule 8.601–E. in Form N–1A). spreads may be generally wider in the With respect to the Funds, all The Exchange or FINRA, on behalf of early days of trading and then narrow as statements and representations made in the Exchange, or both, will market makers gain more confidence in this filing regarding (a) the description communicate as needed regarding their real-time hedges. of the portfolio or reference asset, (b) trading in the Shares and underlying The Funds will utilize the NYSE limitations on portfolio holdings or exchange-traded instruments with other Proxy Portfolio Methodology that would reference assets, or (c) the applicability markets and other entities that are allow market participants to assess the of Exchange listing rules specified in members of the ISG, and the Exchange intraday value and associated risk of a this rule filing shall constitute or FINRA, on behalf of the Exchange, or Fund’s Actual Portfolio and thereby continued listing requirements for both, may obtain trading information facilitate the purchase and sale of regarding trading in the Shares and listing the Shares on the Exchange. The Shares by investors in the secondary underlying exchange-traded instruments Exchange will obtain a representation market at prices that do not vary from such markets and other entities. In from the Adviser, prior to materially from their NAV. addition, the Exchange may obtain commencement of trading in the Shares The daily dissemination of the information regarding trading in the of a Fund, that it will advise the identity and quantity of Proxy Portfolio Shares and underlying exchange-traded Exchange of any failure by a Fund to component investments, together with instruments from markets and other comply with the continued listing the right of Authorized Participants to entities that are members of ISG or with requirements, and, pursuant to its create and redeem each day at the NAV, which the Exchange has in place a obligations under Section 19(g)(1) of the will be sufficient for market participants comprehensive surveillance sharing Act, the Exchange will monitor for to value and trade Shares in a manner agreement. Any foreign common stocks compliance with the continued listing that will not lead to significant held by a Fund will be traded on an requirements. If a Fund is not in deviations between the Shares’ Bid/Ask exchange that is a member of the ISG or compliance with the applicable listing Price and NAV. with which the Exchange has in place requirements, the Exchange will With respect to Active Proxy Portfolio Shares generally, the pricing efficiency commence delisting procedures under 26 15 U.S.C. 78f(b). NYSE Arca Rule 5.5–E(m). with respect to trading a series of Active 27 15 U.S.C. 78f(b)(5). Proxy Portfolio Shares will generally 28 2. Statutory Basis The Exchange represents that, for initial and rest on the ability of market participants continued listing, the Funds will be in compliance with Rule 10A–3 under the Act, as provided by to arbitrage between the shares and a The Exchange believes that the NYSE Arca Rule 5.3–E. proposed rule change is consistent with 29 See note 14, supra. 30 See note 9, supra.

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fund’s portfolio, in addition to the amount of information will be publicly As noted above, the Exchange has in ability of market participants to assess a available regarding the Funds and the place surveillance procedures relating to fund’s underlying value accurately Shares, thereby promoting market trading in the Shares and may obtain enough throughout the trading day in transparency. Quotation and last sale information via ISG from other order to hedge positions in shares information for the Shares, ETFs, ETNs, exchanges that are members of ISG or effectively. Professional traders can buy U.S. exchange-traded common stocks, with which the Exchange has entered shares that they perceive to be trading preferred stocks and ADRs will be into a comprehensive surveillance at a price less than that which will be available via the CTA high-speed line or sharing agreement. In addition, as noted available at a subsequent time and sell from the exchange on which such above, investors will have ready access shares they perceive to be trading at a securities trade. Price information for to information regarding quotation and price higher than that which will be futures, foreign stocks and cash last sale information for the Shares. available at a subsequent time. It is equivalents is available through major expected that, as part of their normal market data vendors. The website for B. Self-Regulatory Organization’s day-to-day trading activity, market the Funds will include a form of the Statement on Burden on Competition makers assigned to shares by the prospectus for each Fund that may be The Exchange does not believe that Exchange, off-exchange market makers, downloaded, and additional data the proposed rule change will impose firms that specialize in electronic relating to NAV and other applicable any burden on competition that is not trading, hedge funds and other quantitative information, updated on a necessary or appropriate in furtherance professionals specializing in short-term, daily basis. Trading in Shares of the of the purposes of the Act. The non-fundamental trading strategies will Funds will be halted if the circuit Exchange believes the proposed rule assume the risk of being ‘‘long’’ or breaker parameters in NYSE Arca Rule change would permit listing and trading ‘‘short’’ shares through such trading and 7.12–E have been reached or because of of another type of actively-managed ETF will hedge such risk wholly or partly by market conditions or for reasons that, in that has characteristics different from simultaneously taking positions in the view of the Exchange, make trading existing actively-managed and index correlated assets 31 or by netting the in the Shares inadvisable. Trading in the ETFs and would introduce additional exposure against other, offsetting Shares will be subject to NYSE Arca competition among various ETF trading positions—much as such firms Rule 8.601–E (d)(2)(D), which sets forth products to the benefit of investors. do with existing ETFs and other circumstances under which Shares of equities. Disclosure of a fund’s the Fund will be halted. In addition, as C. Self-Regulatory Organization’s investment objective and principal noted above, investors will have ready Statement on Comments on the investment strategies in its prospectus access to the Proxy Portfolio and Proposed Rule Change Received From and SAI should permit professional quotation and last sale information for Members, Participants, or Others investors to engage easily in this type of the Shares. The Proxy Portfolio holdings No written comments were solicited hedging activity. for each Fund (including the identity or received with respect to the proposed The proposed rule change is designed and quantity of investments in the rule change. to promote just and equitable principles Proxy Portfolio) will be publicly of trade and to protect investors and the available on the Funds’ website before III. Date of Effectiveness of the public interest in that the Exchange will the commencement of trading in Shares Proposed Rule Change and Timing for obtain a representation from the Adviser on each Business Day. The Shares will Commission Action that the NAV per Share of each Fund conform to the initial and continued Within 45 days of the date of will be calculated daily and that the listing criteria under proposed Rule publication of this notice in the Federal NAV, Proxy Portfolio and the Actual 32 8.601–E. Register or up to 90 days (i) as the Portfolio for each Fund will be made The proposed rule change is designed Commission may designate if it finds available to all market participants at to perfect the mechanism of a free and such longer period to be appropriate the same time. Investors can obtain a open market and, in general, to protect and publishes its reasons for so finding Fund’s SAI, shareholder reports, and its investors and the public interest in that or (ii) as to which the self-regulatory Form N–CSR, Form N–PORT and Form it will facilitate the listing and trading organization consents, the Commission N–CEN. A Fund’s SAI and shareholder of an additional type of actively- will: reports will be available free upon managed exchange-traded product that request from the a Fund, and those will enhance competition among market (A) By order approve or disapprove documents and the Form N–CSR, Form participants, to the benefit of investors the proposed rule change, or N–PORT and Form N–CEN may be and the marketplace. The Exchange will (B) institute proceedings to determine viewed on-screen or downloaded from obtain a representation from the whether the proposed rule change the Commission’s website. In addition, Adviser, prior to commencement of should be disapproved. with respect to each Fund, a large trading in the Shares of a Fund, that it IV. Solicitation of Comments will advise the Exchange of any failure 31 Price correlation trading is used throughout the by a Fund to comply with the continued Interested persons are invited to financial industry. It is used to discover both listing requirements, and, pursuant to submit written data, views, and trading opportunities to be exploited, such as arguments concerning the foregoing, currency pairs and statistical arbitrage, as well as its obligations under Section 19(g)(1) of for risk mitigation such as dispersion trading and the Act, the Exchange will monitor for including whether the proposed rule beta hedging. These correlations are a function of compliance with the continued listing change, as modified by Amendment No. differentials, over time, between one or multiple requirements. If a Fund is not in 2, is consistent with the Act. Comments securities pricing. Once the nature of these price may be submitted by any of the deviations have been quantified, a universe of compliance with the applicable listing securities is searched in an effort to, in the case of requirements, the Exchange will following methods: a hedging strategy, minimize the differential. Once commence delisting procedures under Electronic Comments a suitable hedging basket has been identified, a NYSE Arca Rule 5.5–E(m). trader can minimize portfolio risk by executing the • Use the Commission’s internet hedging basket. The trader then can monitor the performance of this hedge throughout the trade 32 See Amendment 6 to SR–NYSEArca–2019–95, comment form (http://www.sec.gov/ period, making corrections where warranted. referenced in note 4, supra. rules/sro.shtml); or

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• Send an email to rule-comments@ SECURITIES AND EXCHANGE continued listing and trading of the sec.gov. Please include File Number SR– COMMISSION WisdomTree Mortgage Plus Bond Fund (the ‘‘Fund’’), a series of the NYSEArca–2020–51 on the subject line. [Release No. 34–89129; File No. SR– NYSEArca–2020–57] WisdomTree Trust (the ‘‘Trust’’), listed Paper Comments under NYSE Arca Rule 8.600–E 4 • Send paper comments in triplicate Self-Regulatory Organizations; NYSE (‘‘Managed Fund Shares’’), that does not otherwise meet the standards set to Secretary, Securities and Exchange Arca, Inc.; Notice of Filing and forth in Rule 8.600–E, Commentary Commission, 100 F Street NE, Immediate Effectiveness of a Proposed .01(b)(4), as described below. The shares Washington, DC 20549–1090. Rule Change To Permit the Continued Listing and Trading of the WisdomTree (‘‘Shares’’) of the Fund commenced All submissions should refer to File Mortgage Plus Bond Fund trading on the Exchange on November Number SR–NYSEArca–2020–51. This 14, 2019 pursuant to the generic listing file number should be included on the June 23, 2020. standards under Commentary .01 to 1 subject line if email is used. To help the Pursuant to Section 19(b)(1) of the NYSE Arca Rule 8.600–E (ticker symbol Securities Exchange Act of 1934 (the Commission process and review your MTGP). ‘‘Act’’) 2 and Rule 19b–4 thereunder,3 comments more efficiently, please use The Shares are offered by the Trust, notice is hereby given that, on June 11, which is registered with the only one method. The Commission will 2020, NYSE Arca, Inc. (‘‘NYSE Arca’’ or Commission as an open-end post all comments on the Commission’s the ‘‘Exchange’’) filed with the management investment company internet website (http://www.sec.gov/ Securities and Exchange Commission consisting of multiple investment rules/sro.shtml). Copies of the (the ‘‘Commission’’) the proposed rule series.5 Each Fund is a series of the submission, all subsequent change as described in Items I and II Trust. WisdomTree Asset Management, amendments, all written statements below, which Items have been prepared Inc. (the ‘‘Adviser’’) is the investment with respect to the proposed rule by the self-regulatory organization. The adviser to the Fund. Voya Investment change that are filed with the Commission is publishing this notice to Management Co., LLC (the Commission, and all written solicit comments on the proposed rule ‘‘Subadviser’’) is the subadviser to the communications relating to the change from interested persons. Fund. Foreside Fund Services, LLC proposed rule change between the I. Self-Regulatory Organization’s serves as the distributor (‘‘Distributor’’) Commission and any person, other than Statement of the Terms of Substance of of the Shares for the Fund. Commentary .06 to Rule 8.600–E those that may be withheld from the the Proposed Rule Change public in accordance with the provides that, if the investment adviser provisions of 5 U.S.C. 552, will be The Exchange proposes to permit the to the investment company issuing continued listing and trading of the available for website viewing and Managed Fund Shares is affiliated with WisdomTree Mortgage Plus Bond Fund printing in the Commission’s Public a broker-dealer, such investment adviser listed under NYSE Arca Rule 8.600–E. Reference Room, 100 F Street NE, shall erect a ‘‘fire wall’’ between the The proposed rule change is available investment adviser and the broker- Washington, DC 20549 on official on the Exchange’s website at dealer with respect to access to business days between the hours of www.nyse.com, at the principal office of information concerning the composition 10:00 a.m. and 3:00 p.m. Copies of such the Exchange, and at the Commission’s and/or changes to such investment filing also will be available for Public Reference Room. company portfolio.6 In addition, inspection and copying at the principal II. Self-Regulatory Organization’s office of the Exchange. All comments 4 A Managed Fund Share is a security that received will be posted without change. Statement of the Purpose of, and represents an interest in an investment company Persons submitting comments are Statutory Basis for, the Proposed Rule registered under the Investment Company Act of Change 1940 (15 U.S.C. 80a–1) (‘‘1940 Act’’) organized as cautioned that we do not redact or edit an open-end investment company or similar entity personal identifying information from In its filing with the Commission, the that invests in a portfolio of securities selected by comment submissions. You should self-regulatory organization included its investment adviser consistent with its statements concerning the purpose of, investment objectives and policies. In contrast, an submit only information that you wish open-end investment company that issues to make available publicly. All and basis for, the proposed rule change Investment Company Units, listed and traded on submissions should refer to File and discussed any comments it received the Exchange under NYSE Arca Rule 5.2–E(j)(3), seeks to provide investment results that correspond Number SR–NYSEArca–2020–51, and on the proposed rule change. The text of those statements may be examined at generally to the price and yield performance of a should be submitted on or before July specific foreign or domestic stock index, fixed the places specified in Item IV below. 20, 2020. income securities index or combination thereof. The Exchange has prepared summaries, 5 The Trust is registered under the 1940 Act. On For the Commission, by the Division of set forth in sections A, B, and C below, December 19, 2019 (effective January 1, 2020), the Trading and Markets, pursuant to delegated of the most significant parts of such Trust filed with the Securities and Exchange 33 Commission (‘‘SEC’’ or Commission’’) a registration authority. statements. statement update on Form N–1A under the J. Matthew DeLesDernier, Securities Act of 1933 (15 U.S.C. 77a), and under A. Self-Regulatory Organization’s the 1940 Act relating to the Fund (File Nos. 333– Assistant Secretary. Statement of the Purpose of, and the 132380 and 811–21864) (‘‘Registration Statement’’). [FR Doc. 2020–13871 Filed 6–26–20; 8:45 am] Statutory Basis for, the Proposed Rule The description of the operation of the Trust and of the Fund and Shares herein is based, in part, on BILLING CODE 8011–01–P Change the Registration Statement. There are no 1. Purpose permissible holdings for the Fund that are not described in this proposal. The Commission has Pursuant to NYSE Arca Rule 8.600–E, issued an order granting certain exemptive relief to the Exchange proposes to permit the the Trust under the Investment Company Act of 1940 (15 U.S.C. 80a–1) (‘‘1940 Act’’). See Investment Company Act Release No. 28471 (Oct. 1 15 U.S.C. 78s(b)(1). 27, 2008) (File No. 812–13458). 2 15 U.S.C. 78a. 6 An investment adviser to an open-end fund is 33 17 CFR 200.30–3(a)(12). 3 17 CFR 240.19b–4. required to be registered under the Investment

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Commentary .06 further requires that material non-public information related fixed income securities issued or personnel who make decisions on the regarding such portfolio. guaranteed by the U.S. government or investment company’s portfolio As discussed below, the Fund’s its agencies or instrumentalities.9 Under composition must be subject to investments currently comply with the normal market conditions,10 the Fund procedures designed to prevent the use generic requirements set forth in invests at least 80% of its net assets and dissemination of material Commentary .01 to Rule 8.600–E for (plus any borrowings for investment nonpublic information regarding the Managed Fund Shares (‘‘Generic Listing purposes) in mortgage-related debt and applicable investment company Standards’’), except as described herein. other securitized debt. Specifically, the portfolio. The Exchange submits this proposal in Fund may invest in the following The Adviser is not a registered broker- order to allow the Fund to hold fixed mortgage-related fixed income dealer and is not affiliated with a income securities in a manner that instruments issued or guaranteed by the broker-dealer. In addition, Adviser would not satisfy the criteria in U.S. government or its agencies or personnel who make decisions Commentary .01(b)(4).7 Specifically, the instrumentalities (‘‘Mortgage-Related regarding the Fund’s portfolio are Fund seeks to allow up to 20% of the Fixed Income Instruments’’): subject to procedures designed to Fund’s portfolio to be composed of the • Government National Mortgage prevent the use and dissemination of following securitized credit securities Association (‘‘GNMA’’), the Federal material nonpublic information that will not satisfy the criteria in National Mortgage Association regarding the Fund’s portfolio. The Commentary .01(b)(4): Non-agency or (‘‘FNMA’’), and Federal Home Loan Subadviser is affiliated with multiple privately issued residential and Mortgage Corporation (‘‘FHLMC’’) broker-dealers and has implemented commercial mortgage-backed securities mortgage-related fixed income and will maintain a ‘‘fire wall’’ with (‘‘MBS’’), asset-backed securities securities; respect to such broker-dealers and their (‘‘ABS’’), collateralized debt (including • residential mortgage-backed personnel regarding access to loan) obligations and credit risk transfer securities; information concerning the composition securities (i.e., debt issued by • commercial mortgage-backed and/or changes to the Fund’s portfolio. government agencies, but which is not securities; In addition, Subadviser personnel who backed by the government agencies such • collateralized mortgage obligations; make decisions regarding a Fund’s that credit risk is transferred to the • real estate mortgage investment portfolio are subject to procedures private sector) (collectively, ‘‘Private conduits (‘‘REMICs’’); and designed to prevent the use and ABS/MBS’’). The Exchange notes that • exchange-traded funds (‘‘ETFs’’) 11 dissemination of material nonpublic this proposed rule change is similar to and mutual funds that invest primarily information regarding the Fund’s previous rule changes involving in mortgage-backed securities. portfolio. In the event that (a) the Managed Fund Shares seeking similar The Fund may purchase mortgage- Adviser becomes registered as a broker- relief.8 backed securities through standardized dealer or newly affiliated with a broker- Principal Investments of the Fund contracts for future delivery in which dealer, or (b) any new adviser or the exact mortgage pools to be delivered subadviser is a registered broker-dealer The investment objective of the Fund are not specified until a few days prior seeks to provide income and capital or becomes affiliated with a broker- to settlement, referred to as a ‘‘to-be- appreciation. The Fund seeks to achieve dealer, it will implement and maintain announced transaction’’ or ‘‘TBA its investment objective by investing a fire wall with respect to its relevant Transaction.’’ primarily in a portfolio of mortgage- personnel or such broker-dealer affiliate, The Fund’s investments in Mortgage- as applicable, regarding access to Related Fixed Income Instruments and information concerning the composition 7 Commentary .01(b)(4) provides that component securities that in the aggregate account for at least Private ABS/MBS may be represented and/or changes to the portfolio, and will 90% of the fixed income weight of the portfolio by futures contracts. be subject to procedures designed to must be either: (a) From issuers that are required to file reports pursuant to Sections 13 and 15(d) of prevent the use and dissemination of 9 Agency MBS includes residential mortgage- the Act; (b) from issuers that have a worldwide backed securities, commercial mortgage-backed market value of its outstanding common equity held securities, and structured products such as Advisers Act of 1940 (the ‘‘Advisers Act’’). As a by non-affiliates of $700 million or more; (c) from collateralized mortgage obligations and real estate result, the Adviser and Subadviser and their related issuers that have outstanding securities that are personnel are subject to the provisions of Rule notes, bonds debentures, or evidence of mortgage investment conduits (‘‘REMICs’’). For 204A–1 under the Advisers Act relating to codes of indebtedness having a total remaining principal avoidance of doubt, the Fund will comply with ethics. This Rule requires investment advisers to amount of at least $1 billion; (d) exempted Commentary.01(b)(5) to NYSE Arca Rule8.600–E, adopt a code of ethics that reflects the fiduciary securities as defined in Section 3(a)(12) of the Act; which provides that non-agency, non-government- nature of the relationship to clients as well as or (e) from issuers that are a government of a foreign sponsored entity (‘‘GSE’’) and privately-issued compliance with other applicable securities laws. country or a political subdivision of a foreign mortgage-related and other asset-backed securities Accordingly, procedures designed to prevent the country. components of a portfolio shall not account, in the aggregate, for more than 20% of the weight of the communication and misuse of non-public 8 See Securities Exchange Act Release No. 87963 portfolio. For purposes of this filing, all non-agency, information by an investment adviser must be (January 14, 2020), 85 FR 3458 (January 21, 2020) non-GSE and privately-issued mortgage-related and consistent with Rule 204A–1 under the Advisers (SR–NYSEArca–2019–51) (Notice of Filing of Act. In addition, Rule 206(4)–7 under the Advisers Amendment No. 2 and Order Granting Accelerated other asset-backed securities components of the Act makes it unlawful for an investment adviser to Approval of a Proposed Rule Change, as Modified Fund’s portfolio, including, without limitation, provide investment advice to clients unless such by Amendment No. 2, Regarding Investments of the Private ABS/MBS, shall not account, in the investment adviser has (i) adopted and Janus Henderson Mortgage-Backed Securities ETF) aggregate, for more than 20% of the weight of the implemented written policies and procedures (approving expanding permitted investments Fund’s portfolio. reasonably designed to prevent violation, by the beyond what is permitted under the generic listing 10 The term ‘‘normal market conditions’’ is investment adviser and its supervised persons, of requirements, including excluding Private ABS/ defined in NYSE Arca Rule 8.600–E(c)(5). the Advisers Act and the Commission rules adopted MBS from the 90% calculation in Commentary 11 For purposes of this filing, ETFs are Investment thereunder; (ii) implemented, at a minimum, an .01(b)(4)) (‘‘Release No. 87963’’). See also Securities Company Units (as described in NYSE Arca Rule annual review regarding the adequacy of the Exchange Act Release No. 87576 (November 20, 5.2–E(j)(3)); Exchange-Traded Fund Shares (as policies and procedures established pursuant to 2019), 84 FR 65206 (November 26, 2019) (SR– described in NYSE Arca Rule 5.2–E(j)(8)); Portfolio subparagraph (i) above and the effectiveness of their NYSEArca–2019–14) (approving certain changes to Depositary Receipts (as described in NYSE Arca implementation; and (iii) designated an individual the listing rule for shares of the PGIM Ultra Short Rule 8.100–E); and Managed Fund Shares (as (who is a supervised person) responsible for Bond ETF expanding permitted investments beyond described in NYSE Arca Rule 8.600–E). All ETFs administering the policies and procedures adopted what is permitted under the generic listing will be listed and traded in the U.S. on a national under subparagraph (i) above. requirements). securities exchange.

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The Fund may hold cash and cash .01(b)(4) to Rule 8.600–E is not designed Availability of Information 12 equivalents. for structured finance vehicles such as The Fund’s website (https:// Private ABS/MBS. Application of Generic Listing www.WisdomTree.com) will include the Requirements The Exchange notes that the Fund’s prospectus that may be The Exchange is submitting this Commission has previously approved downloaded. The Fund’s website will proposed rule change because the the listing of Managed Fund Shares with include ticker, CUSIP and exchange portfolio for the Fund will not meet all similar investment objectives and information, along with additional of the ‘‘generic’’ listing requirements of strategies without imposing quantitative information updated on a Commentary .01 to NYSE Arca Rule requirements that a certain percentage daily basis, including, for the Fund: (1) 8.600–E applicable to the listing of of such funds’ securities meet one of the The prior Business Day’s net asset value Managed Fund Shares. The Fund’s criteria set forth in Commentary (‘‘NAV’’) per share and the market portfolio would meet all such .01(b)(4).14 closing price or mid-point of the bid/ask requirements except for those set forth The proposed exceptions from the spread at the time of calculation of such 16 in Commentary .01(b)(4) applicable to requirements of Commentary .01 to Rule NAV per share (the ‘‘Bid/Ask Price’’), Private ABS/MBS as defined above.13 8.600–E described above are consistent and a calculation of the premium or The Fund will not comply with the with the Fund’s investment objective, discount of the market closing price or requirements in Commentary .01(b)(4) and will further assist the Adviser to Bid/Ask Price against such NAV per to Rule 8.600–E that component achieve such investment objective. share; and (2) a table showing the securities that in the aggregate account Deviations from the generic number of days of such premium or for at least 90% of the fixed income requirements are necessary for the Fund discount for the most recently completed calendar year, and the most weight of the portfolio meet one of the to achieve its investment objective in a recently completed calendar quarters criteria specified in Commentary manner that is cost-effective and that since that year (or the life of Fund, if .01(b)(4), because certain Private ABS/ maximizes investors’ returns. Further, shorter). On each business day, before MBS by their nature cannot satisfy the the proposed alternative requirements commencement of trading in Shares in criteria in Commentary .01(b)(4). Private are narrowly tailored to allow the Fund the Core Trading Session on the ABS/MBS are generally issued by to achieve its investment objective in Exchange, the Fund will disclose on its special purpose vehicles in amounts manner that is consistent with the website the Disclosed Portfolio as smaller than the minimum dollar principles of Section 6(b)(5) of the Act. defined in NYSE Arca Rule 8.600– threshold set forth in Commentary As a result, it is in the public interest E(c)(2) that forms the basis for the .01(b)(4), so the criteria in Commentary to approve the continued listing and .01(b)(4) to Rule 8.600–E regarding an Fund’s calculation of NAV at the end of trading of Shares of the Fund on the issuer’s market capitalization and the the business day. Exchange pursuant to the requirements remaining principal amount of an On a daily basis, the Fund will set forth herein. In addition, the Fund’s issuer’s securities are typically disclose the information required under investments in Private ABS/MBS are unavailable with respect to Private ABS/ NYSE Arca Rule 8.600–E(c)(2) to the MBS, even though such Private ABS/ subject to the Fund’s liquidity risk extent applicable. The website management program as approved by information will be publicly available at MBS may own significant assets. 15 Instead, the Exchange proposes that the the Fund’s board of trustees. The no charge. Fund’s investments in Mortgage-Related liquidity procedures generally include Investors can also obtain the Trust’s Fixed Income Instruments other than public disclosure by the Fund of its Statement of Additional Information Private ABS/MBS will be required to liquidity and redemption practices. The (‘‘SAI’’), the Fund’s Shareholder comply with the requirements of Fund’s holdings in Private ABS/MBS Reports, and the Fund’s Forms N–CSR Commentary .01(b)(4). are, and will continue to be, and Forms N–CEN. The Fund’s SAI and The Exchange believes that excluding encompassed within the Fund’s Shareholder Reports will be available Private ABS/MBS from the 90% liquidity risk management program. The free upon request from the Trust, and calculation in Commentary .01(b)(4) is Exchange notes that all Mortgage- those documents and the Form N–CSR, consistent with the Act because the Related Fixed Income Instruments other Form N–PX, Form N–PORT and Form Fund’s portfolio will minimize the risk than Private ABS/MBS will meet the N–CEN may be viewed on-screen or to the overall Fund associated with any requirements of Commentary .01(b)(4) to downloaded from the Commission’s particular holding of the Fund as a Rule 8.600–E. website at www.sec.gov. result of the diversification provided by Except for the change noted above, Quotation and last-sale information the investments and the Adviser’s the Fund will continue to comply with regarding the Shares will be selection process, which closely all other listing requirements on an disseminated through the facilities of monitors investments to ensure initial and continued listing basis under the Consolidated Tape Association maintenance of credit and liquidity Commentary .01 to Rule 8.600–E for (‘‘CTA’’). Information regarding market standards. Further, the Exchange Managed Fund Shares. price and trading volume of the Shares believes that this alternative limitation will be continually available on a real- is appropriate because Commentary 14 See Release No. 87963, 85 FR at 3458. time basis throughout the day on 15 Rule 22e–4(b) under the 1940 Act requires, brokers’ computer screens and other 12 The Fund’s investments in futures will comply among other things, that a fund ‘‘adopt and electronic services. Information with the requirements of Commentary .01(d) to implement a written liquidity risk management regarding the previous day’s closing NYSE Arca Rule 8.600–E, and cash equivalents will program that is reasonably designed to assess and comply with Commentary .01(c) to NYSE Arca Rule manage its liquidity risk.’’ The rule is ‘‘designed to price and trading volume information 8.600–E. promote effective liquidity risk management 13 Because the Fund is not in compliance with throughout the open-end investment company 16 The Bid/Ask Price of the Fund’s Shares will be Rule 8.600–E, Commentary .01(b)(4), the Exchange industry, thereby reducing the risk that funds will determined using the mid-point of the highest bid has commenced delisting proceedings pursuant to be unable to meet their redemption obligations and and the lowest offer on the Exchange as of the time Rule 5.5–E(m), including issuing a deficiency mitigating dilution of the interests of fund of calculation of the Fund’s NAV. The records notification, for which the Fund has been granted shareholders.’’ See Release Nos. 33–10233; IC– relating to Bid/Ask Prices will be retained by the a cure period to come into compliance. 32315; File No. S7–16–15 (October 13, 2016). Fund and its service providers.

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for the Shares will be published daily in such securities and financial amounts smaller than the minimum the financial section of newspapers. instruments from markets and other dollar threshold set forth in Price information regarding Mortgage- entities that are members of ISG or with Commentary .01(b)(4), so the criteria in Related Fixed Income Instruments, which the Exchange has in place a Commentary .01(b)(4) to Rule 8.600–E Private ABS/MBS, cash equivalents and comprehensive surveillance sharing regarding an issuer’s market futures generally may be obtained from agreement. FINRA, on behalf of the capitalization and the remaining brokers and dealers who make markets Exchange, is able to access, as needed, principal amount of an issuer’s in such securities or through nationally trade information for certain Mortgage- securities are typically unavailable with recognized pricing services through Related Fixed Income Instruments and respect to Private ABS/MBS, even subscription agreements. Price cash equivalents held by the Fund though such Private ABS/MBS may own information regarding exchange-traded reported to FINRA’s Trade Reporting significant assets. Instead, the Exchange futures is also available from the and Compliance Engine (‘‘TRACE’’). proposes that the Fund’s investments in applicable exchange on which the In addition, the Exchange also has a Mortgage-Related Fixed Income future is listed and traded. general policy prohibiting the Instruments other than Private ABS/ distribution of material, non-public Surveillance MBS will be required to comply with information by its employees. the requirements of Commentary The Exchange believes that its All statements and representations .01(b)(4). surveillance procedures are adequate to made in this filing regarding (a) the The Exchange believes that excluding properly monitor the trading of the description of the portfolio or reference Private ABS/MBS from the 90% Shares on the Exchange during all assets, (b) limitations on portfolio calculation in Commentary .01(b)(4) is trading sessions and to deter and detect holdings or reference assets, (c) consistent with the Act because the violations of Exchange rules and the dissemination and availability of Fund’s portfolio will minimize the risk applicable federal securities laws. The reference assets and portfolio indicative to the overall Fund associated with any Exchange represents that trading in the values, or (d) the applicability of particular holding of the Fund as a Shares will be subject to the existing Exchange listing rules specified in this result of the diversification provided by trading surveillances, administered by rule filing shall constitute continued the investments and the Adviser’s Financial Industry Regulatory Authority listing requirements for listing the selection process, which closely (‘‘FINRA’’) on behalf of the Exchange, or Shares of the Fund on the Exchange. monitors investments to ensure by regulatory staff of the Exchange, The issuer must notify the Exchange maintenance of credit and liquidity which are designed to detect violations of any failure by the Fund to comply standards. The proposed exceptions of Exchange rules and applicable federal with the continued listing requirements, from the requirements of Commentary securities laws. The Exchange and, pursuant to its obligations under .01 to Rule 8.600–E described above are represents that these procedures are Section 19(g)(1) of the Act, the Exchange consistent with the Fund’s investment adequate to properly monitor Exchange will monitor for compliance with the objective, and will further assist the trading of the Shares in all trading continued listing requirements. If the Adviser to achieve such investment sessions and to deter and detect Fund is not in compliance with the objective. Deviations from the generic violations of Exchange rules and federal applicable listing requirements, the requirements are necessary for the Fund securities laws applicable to trading on Exchange will commence delisting to achieve its investment objective in a the Exchange.17 procedures under NYSE Arca Rule 5.5– manner that is cost-effective and that The surveillances referred to above E(m). maximizes investors’ returns. Further, generally focus on detecting securities the proposed alternative requirements 2. Statutory Basis trading outside their normal patterns, are narrowly tailored to allow the Fund which could be indicative of The basis under the Act for this to achieve its investment objective in a manipulative or other violative activity. proposed rule change is the requirement manner that is consistent with the When such situations are detected, under Section 6(b)(5) 18 that an principles of Section 6(b)(5) of the Act. surveillance analysis follows and exchange have rules that are designed to As a result, it is in the public interest investigations are opened, where prevent fraudulent and manipulative to approve the continued listing and appropriate, to review the behavior of acts and practices, to promote just and trading of Shares of the Fund on the all relevant parties for all relevant equitable principles of trade, to remove Exchange pursuant to the requirements trading violations. impediments to, and perfect the set forth herein. In addition, as noted, The Exchange or FINRA, on behalf of mechanism of a free and open market the Fund’s investments in Private ABS/ the Exchange, or both, will and, in general, to protect investors and MBS are subject to the Fund’s liquidity communicate as needed regarding the public interest. risk management program as approved trading in the Shares and certain The Exchange believes that the by the Fund’s board of trustees.19 The Mortgage-Related Fixed Income proposed noncompliance for Private liquidity procedures generally include Instruments and futures with other ABS/MBS with the requirements in public disclosure by the Fund of its markets and other entities that are Commentary .01(b)(4) to Rule 8.600–E liquidity and redemption practices. The members of the ISG, and the Exchange that component securities that in the Fund’s holdings in Private ABS/MBS or FINRA, on behalf of the Exchange, or aggregate account for at least 90% of the both, may obtain trading information fixed income weight of the portfolio 19 Rule 22e–4(b) under the 1940 Act requires, regarding trading in such securities and meet one of the criteria specified in among other things, that a fund ‘‘adopt and financial instruments from such markets Commentary .01(b)(4) is appropriate implement a written liquidity risk management and other entities. The Exchange may program that is reasonably designed to assess and because certain Private ABS/MBS by manage its liquidity risk.’’ The rule is ‘‘designed to obtain information regarding trading in their nature cannot satisfy the criteria in promote effective liquidity risk management Commentary .01(b)(4). As described throughout the open-end investment company 17 FINRA conducts cross-market surveillances on above, Private ABS/MBS are generally industry, thereby reducing the risk that funds will behalf of the Exchange pursuant to a regulatory be unable to meet their redemption obligations and services agreement. The Exchange is responsible for issued by special purpose vehicles in mitigating dilution of the interests of fund FINRA’s performance under this regulatory services shareholders.’’ See Release Nos. 33–10233; IC– agreement. 18 15 U.S.C. 78f(b)(5). 32315; File No. S7–16–15 (October 13, 2016).

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are, and will continue to be, shares of another actively managed ETF requirements of Commentary .01(b)(4) to encompassed within the Fund’s that principally holds fixed income Rule 8.600–E. Because the Fund is liquidity risk management program. The securities, and that will enhance currently not in compliance with Rule Exchange notes that all Mortgage- competition among market participants, 8.600–E, Commentary .01(b)(4), the Related Fixed Income Instruments other to the benefit of investors and the Exchange has commenced delisting than Private ABS/MBS will meet the marketplace. proceedings pursuant to Rule 5.5–E(m), requirements of Commentary .01(b)(4) to including issuing a deficiency C. Self-Regulatory Organization’s Rule 8.600–E. notification, for which the Fund has Statement on Comments on the The Exchange notes that the been granted a cure period to come into Proposed Rule Change Received From Commission has previously approved compliance. The Exchange represents Members, Participants, or Others the listing of Managed Fund Shares with that, in connection with this proposed similar investment objectives and No written comments were solicited rule change, all statements and strategies without imposing or received with respect to the proposed representations made in this filing requirements that a certain percentage rule change. regarding the description of the of such funds’ securities meet one of the III. Date of Effectiveness of the portfolio or reference assets, limitations criteria set forth in Commentary on portfolio holdings or reference assets, 20 Proposed Rule Change and Timing for .01(b)(4). Commission Action dissemination and availability of The Exchange believes that its reference assets and portfolio indicative surveillance procedures are adequate to Because the foregoing proposed rule values, and the applicability of properly monitor the trading of the change does not: (i) Significantly affect Exchange listing rules specified in this Funds on the Exchange during all the protection of investors or the public filing shall constitute continued listing trading sessions and to deter and detect interest; (ii) impose any significant requirements for the Funds, and that the violations of Exchange rules and the burden on competition; and (iii) become Trust, on behalf of the Funds, has applicable federal securities laws. operative for 30 days from the date on represented to the Exchange that it will Trading of the Funds through the which it was filed, or such shorter time advise the Exchange of any failure by Exchange will be subject to the as the Commission may designate, it has the Fund or the Shares to comply with Exchange’s surveillance procedures for become effective pursuant to Section the continued listing requirements, and, 21 derivative products, including Managed 19(b)(3)(A) of the Act and Rule 19b– pursuant to its obligations under 22 Fund Shares. All statements and 4(f)(6) thereunder. Section 19(g)(1) of the Act, the Exchange representations made in this filing A proposed rule change filed will surveil for compliance with the regarding the description of the pursuant to Rule 19b–4(f)(6) under the 23 continued listing requirements. If the portfolio or reference assets, limitations Act normally does not become Fund or the Shares are not in on portfolio holdings or reference assets, operative for 30 days after the date of its 24 compliance with the applicable listing dissemination and availability of filing. However, Rule 19b–4(f)(6)(iii) requirements, the Exchange will reference assets and portfolio indicative permits the Commission to designate a commence delisting procedures under values, and the applicability of shorter time if such action is consistent Exchange Rule 5.5–E(m). For these Exchange listing rules specified in this with the protection of investors and the reasons, the Commission believes that filing shall constitute continued listing public interest. The Exchange has asked waiver of the 30-day operative delay is requirements for the Funds. The Trust, the Commission to waive the 30-day consistent with the protection of on behalf of the Funds, has represented operative delay. The Exchange states investors and the public interest. to the Exchange that it will advise the that waiver of the 30-day operative Therefore, the Commission hereby Exchange of any failure by a Fund or the delay would facilitate the Adviser and waives the operative delay and Shares to comply with the continued the Subadviser’s ability to continue to designates the proposal as operative listing requirements, and, pursuant to implement the Fund’s investment upon filing.25 its obligations under Section 19(g)(1) of objective in a manner that is cost- At any time within 60 days of the the Act, the Exchange will surveil for effective, maximizes investors’ returns, filing of the proposed rule change, the compliance with the continued listing and is consistent with the principles of Commission summarily may requirements. If a Fund or the Shares Section 6(b)(5) of the Act. According to temporarily suspend such rule change if are not in compliance with the the Exchange, except for the change it appears to the Commission that such applicable listing requirements, the noted above, the Fund will continue to action is necessary or appropriate in the Exchange will commence delisting comply with all other listing public interest, for the protection of procedures under Exchange Rule 5.5– requirements on an initial and investors, or otherwise in furtherance of E(m). continued listing basis under the purposes of the Act. If the For the above reasons, the Exchange Commentary .01 to Rule 8.600–E for Commission takes such action, the believes that the proposed rule change Managed Fund Shares. Specifically, the Commission shall institute proceedings is consistent with the requirements of Exchange represents that all Mortgage- to determine whether the proposed rule Section 6(b)(5) of the Act. Related Fixed Income Instruments other change should be approved or than Private ABS/MBS will meet the disapproved. B. Self-Regulatory Organization’s Statement on Burden on Competition 21 15 U.S.C. 78s(b)(3)(A). IV. Solicitation of Comments The Exchange does not believe that 22 17 CFR 240.19b–4(f)(6). In addition, Rule 19b– Interested persons are invited to 4(f)(6)(iii) requires a self-regulatory organization to submit written data, views, and the proposed rule change will impose give the Commission written notice of its intent to any burden on competition that is not file the proposed rule change, along with a brief arguments concerning the foregoing, necessary or appropriate in furtherance description and text of the proposed rule change, including whether the proposed rule of the purpose of the Act. The Exchange at least five business days prior to the date of filing believes that the proposed rule change of the proposed rule change, or such shorter time 25 For purposes only of waiving the 30-day as designated by the Commission. The Exchange operative delay, the Commission also has will facilitate listing and trading of has satisfied this requirement. considered the proposed rule’s impact on 23 17 CFR 240.19b–4(f)(6). efficiency, competition, and capital formation. See 20 See Release No. 87963, 85 FR at 3458. 24 17 CFR 240.19b–4(f)(6)(iii). 15 U.S.C. 78c(f).

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change is consistent with the Act. SECURITIES AND EXCHANGE A. Self-Regulatory Organization’s Comments may be submitted by any of COMMISSION Statement of the Purpose of, and the following methods: Statutory Basis for, the Proposed Rule [Release No. 34–89136; File No. SR–MIAX– Change Electronic Comments 2020–17] 1. Purpose • Use the Commission’s internet comment form (http://www.sec.gov/ Self-Regulatory Organizations; Miami The Exchange proposes to add its rules/sro.shtml); or International Securities Exchange, CAT industry member compliance rules LLC; Notice of Filing and Order • Send an email to rule-comments@ (the ‘‘CAT Compliance Rules’’) to the Granting Accelerated Approval of a sec.gov. Please include File Number SR– list of minor rule violations in Rule Proposed Rule Change To Add the NYSEArca–2020–57 on the subject line. 1014. This proposal is based upon the Consolidated Audit Trail Industry Financial Industry Regulatory Paper Comments Member Compliance Rules to Authority, Inc. (‘‘FINRA’’) filing to • Exchange Rule 1014, Imposition of amend FINRA Rule 9217 in order to add Send paper comments in triplicate Fines for Minor Rule Violations to Secretary, Securities and Exchange FINRA’s corresponding CAT Commission, 100 F Street NE, June 23, 2020 Compliance Rules to FINRA’s list of Washington, DC 20549–1090. Pursuant to Section 19(b)(1) of the rules that are eligible for minor rule 3 Securities Exchange Act of 1934 violation plan treatment. This proposal All submissions should refer to File is also based upon the New York Stock Number SR–NYSEArca–2020–57. This (‘‘Act’’) 1 and Rule 19b–4 thereunder,2 notice is hereby given that, on June 18, Exchange, Inc. (‘‘NYSE’’) filing to file number should be included on the amend NYSE Rule 9217 in order to add subject line if email is used. To help the 2020, Miami International Securities Exchange, LLC (‘‘MIAX Options’’ or the NYSE’s corresponding CAT Compliance Commission process and review your Rules to NYSE’s list of rules that are comments more efficiently, please use ‘‘Exchange’’) filed with the Securities and Exchange Commission (the eligible for minor rule violation plan only one method. The Commission will treatment.4 post all comments on the Commission’s ‘‘Commission’’) the proposed rule internet website (http://www.sec.gov/ change as described in Items I and II Proposed Rule Change rules/sro.shtml). Copies of the below, which Items have been prepared The Exchange recently adopted the submission, all subsequent by the self-regulatory organization. The CAT Compliance Rules under Chapter amendments, all written statements Commission is publishing this notice to XVII in order to implement the National with respect to the proposed rule solicit comments on the proposed rule Market System Plan Governing the change that are filed with the change from interested persons and Consolidated Audit Trail (the ‘‘CAT Commission, and all written approving the proposal on an NMS Plan’’ or ‘‘Plan’’).5 The CAT NMS communications relating to the accelerated basis. Plan was filed by the Plan Participants proposed rule change between the I. Self-Regulatory Organization’s to comply with Rule 613 of Regulation Commission and any person, other than Statement of the Terms of Substance of NMS under the Exchange Act,6 and those that may be withheld from the the Proposed Rule Change each Plan Participant accordingly has public in accordance with the adopted the same compliance rules in provisions of 5 U.S.C. 552, will be The Exchange is filing a proposal to the Exchange’s Chapter XVII. The available for website viewing and add the Consolidated Audit Trail common compliance rules adopted by printing in the Commission’s Public (‘‘CAT’’) industry member compliance each Plan Participant are designed to Reference Room, 100 F Street NE, rules to the list of minor rule violations require industry members to comply Washington, DC 20549 on official in Rule 1014. with the provisions of the CAT NMS business days between the hours of The text of the proposed rule change Plan, which broadly calls for industry 10:00 a.m. and 3:00 p.m. Copies of the is available on the Exchange’s website at members to record and report timely filing also will be available for http://www.miaxoptions.com/rule- and accurately customer, order, and inspection and copying at the principal filings/ at MIAX Options’ principal trade information relating to activity in office of the Exchange. All comments office, and at the Commission’s Public NMS Securities and OTC Equity received will be posted without change. Reference Room. Securities. Persons submitting comments are II. Self-Regulatory Organization’s Rule 1014 sets forth the list of rules cautioned that we do not redact or edit Statement of the Purpose of, and personal identifying information from under which a member may be subject Statutory Basis for, the Proposed Rule to a fine. Rule 1014 permits the comment submissions. You should Change submit only information that you wish Exchange to impose a fine of up to to make available publicly. All In its filing with the Commission, the $5,000 on any member or a person submissions should refer to File Exchange included statements associated with or employed by a Number SR–NYSEArca–2020–57, and concerning the purpose of and basis for member for a minor violation of an should be submitted on or before July the proposed rule change and discussed eligible rule. The Exchange proposes to 20, 2020. any comments it received on the amend Rule 1014 to add the CAT proposed rule change. The text of these Compliance Rules under Chapter XVII For the Commission, by the Division of statements may be examined at the to the list of rules eligible for Trading and Markets, pursuant to delegated places specified in Item IV below. The authority.26 Exchange has prepared summaries, set 3 See Securities Exchange Act Release Nos. 88870 J. Matthew DeLesDernier, forth in sections A, B, and C below, of (May 14, 2020), 85 FR 30768 (May 20, 2020) (SR– Assistant Secretary. the most significant aspects of such FINRA–2020–013). 4 [FR Doc. 2020–13873 Filed 6–26–20; 8:45 am] statements. See SR–NYSE–2020–51. 5 See Securities Exchange Act Release No. 80256 BILLING CODE 8011–01–P (March 152017), 82 FR 14526 (March 21, 2017) (SR– 1 15 U.S.C. 78s(b)(1). MIAX–2017–03). 26 17 CFR 200.30–3(a)(12). 2 17 CFR 240.19b–4. 6 17 CFR 242.613.

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disposition pursuant to a minor fine manner that FINRA has for its similar equitable principles of trade, to foster under Rule 1014.7 existing audit trail-related rules.9 cooperation and coordination with The Exchange is coordinating with Accordingly, in order to promote persons engaged in facilitating FINRA and other Plan Participants to regulatory consistency, the Exchange transactions in securities, to remove promote harmonized and consistent plans to do the same. Specifically, impediments to, and perfect the enforcement of all the Plan Participants’ application of a minor rule fine with mechanism of, a free and open market CAT Compliance Rules. The respect to CAT Compliance Rules will and a national market system and, in Commission recently approved a Rule be guided by the same factors that general, to protect investors and the 17d–2 Plan under which the regulation FINRA referenced in its filing. However, public interest. of CAT Compliance Rules will be more formal disciplinary proceedings Minor rule fines provide a meaningful allocated among Plan Participants to may be warranted instead of minor rule sanction for minor or technical reduce regulatory duplication for dispositions in certain circumstances violations of rules when the conduct at industry members that are members of such as where violations prevent issue does not warrant stronger, more than one Participant (‘‘common regulatory users of the CAT from immediately reportable disciplinary members’’).8 Under the Rule 17d–2 performing their regulatory functions. sanctions. The inclusion of a rule in the Plan, the regulation of CAT Compliance Where minor rule dispositions are Exchange’s MRVP does not minimize Rules with respect to common members appropriate, the following factors help the importance of compliance with the that are members of FINRA is allocated guide the determination of fine rule, nor does it preclude the Exchange to FINRA. Similarly, under the Rule amounts: from choosing to pursue violations of 17d–2 Plan, responsibility for common • Total number of reports that are not eligible rules through a Letter of members of multiple other Plan submitted or submitted late; Consent if the nature of the violations or Participants and not a member of FINRA • The timeframe over which the prior disciplinary history warrants more will be allocated among those other Plan violations occur; significant sanctions. Rather, the Participants, including to the Exchange. • Whether violations are batched; Exchange believes that the proposed For those non-common members who • Whether the violations are the rule change will strengthen the are allocated to the Exchange pursuant result of the actions of one individual or Exchange’s ability to carry out its to the Rule 17d–2 Plan, the Exchange the result of faulty systems or oversight and enforcement and FINRA entered into a Regulatory procedures; responsibilities in cases where full Services Agreement (‘‘RSA’’) pursuant • Whether the firm has taken disciplinary proceedings are to which FINRA will conduct remedial measures to correct the unwarranted in view of the minor surveillance, investigation, examination, violations; nature of the particular violation. and enforcement activity in connection • Prior minor rule violations within Rather, the option to impose a minor with the CAT Compliance Rules on the the past 24 months; rule sanction gives the Exchange Exchange’s behalf. We expect that the • Collateral effects that the failure has additional flexibility to administer its other exchanges would be entering into on customers; and enforcement program in the most a similar RSA. • Collateral effects that the failure has effective and efficient manner while still In order to achieve consistency with on the Exchange’s ability to perform its fully meeting the Exchange’s remedial FINRA and the other Plan Participants, regulatory function.10 objectives in addressing violative the Exchange proposes to adopt fines up Upon effectiveness of this rule conduct. Specifically, the proposed rule to $2,500 in connection with minor rule change, the Exchange will publish a change is designed to prevent fines for violations of the CAT regulatory bulletin notifying its member fraudulent and manipulative acts and Compliance Rules under Chapter XVII organizations of the rule change and the practices because it will provide the under Rule 1014 and the Exchange’s specific factors that will be considered Exchange the ability to issue a minor MRVP. in connection with assessing minor rule rule fine for violations of the CAT FINRA, in connection with its fines described above. Compliance Rules under Chapter XVII proposed amendment to FINRA Rule For the foregoing reasons, the where a more formal disciplinary action 9217 to make FINRA’s CAT Compliance Exchange believes that the proposed may not be warranted or appropriate Rules MRVP eligible, has represented rule change will result in a coordinated, consistent with the approach of other that it will apply the minor fines for harmonized approach to CAT Plan Participants for the same conduct. CAT Compliance Rules in the same compliance rule enforcement across In connection with the fine level Plan Participants that will be consistent specified in the proposed rule change, 7 FINRA’s maximum fine for minor rule with the approach FINRA has taken adding language that minor rule fines violations under FINRA Rule 9216(b) is $2,500. The with the CAT rules. for violations of the CAT Compliance Exchange will apply an identical maximum fine Rules under Chapter XVII shall not amount for eligible violations of Chapter XVII to 2. Statutory Basis achieve consistency with FINRA and also to amend exceed $2,500 would further the goal of its minor rule violation plan (‘‘MRVP’’) to include The proposed rule change is transparency and add clarity to the such fines. Like FINRA, the Exchange would be consistent with Section 6(b) of the Exchange’s rules. Adopting the same able to pursue a fine greater than $2,500 for Act,11 in general, and furthers the cap as FINRA for minor rule fines in violations of Chapter XVII in a regular disciplinary 12 proceeding or Letter of Consent under Rule 1003 as objectives of Section 6(b)(5), in connection with the CAT Compliance appropriate. Any fine imposed in excess of $2,500 particular, because it is designed to Rules would also promote regulatory or not otherwise covered by Rule 19d–1(c)(2) of the prevent fraudulent and manipulative consistency across self-regulatory Act would be subject to prompt notice to the acts and practices, to promote just and Commission pursuant to Rule 19d–1 under the Act. organizations. As noted below, in assessing the appropriateness of The Exchange further believes that the a minor rule fine with respect to CAT Compliance 9 See SR–FINRA–2020–013; see also FINRA proposed amendments to Rule 1014 are Rules, the Exchange will be guided by the same Notice to Members 04–19 (March 2004) (providing consistent with Section 6(b)(6) of the specific factors used to inform dispositions for factors that FINRA utilizes. See text accompanying Act,13 which provides that members and notes 9–10, infra. violations of OATS reporting rules). 8 See Securities Exchange Act Release No. 88366 10 See id. persons associated with members shall (March 12, 2020), 85 FR 15238 (March 17, 2020) 11 15 U.S.C. 78f(b). (File No. 4–618). 12 15 U.S.C. 78f(b)(5). 13 15 U.S.C. 78f(b)(6).

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be appropriately disciplined for Paper Comments system, and, in general, to protect violation of the provisions of the rules • Send paper comments in triplicate investors and the public interest. The of the exchange, by expulsion, to Secretary, Securities and Exchange Commission also believes that the suspension, limitation of activities, Commission, 100 F Street NE, proposal is consistent with Sections functions, and operations, fine, censure, Washington, DC 20549–1090. 6(b)(1) and 6(b)(6) of the Act 17 which being suspended or barred from being All submissions should refer to File require that the rules of an exchange associated with a member, or any other Number SR–MIAX–2020–17. This file enforce compliance with, and provide fitting sanction. As noted, the proposed number should be included on the appropriate discipline for, violations of rule change would provide the subject line if email is used. To help the Commission and Exchange rules. Exchange ability to sanction minor or Commission process and review your Finally, the Commission finds that the technical violations of Chapter XVII comments more efficiently, please use proposal is consistent with the public pursuant to the Exchange’s rules. only one method. The Commission will interest, the protection of investors, or Finally, the Exchange also believes post all comments on the Commission’s otherwise in furtherance of the purposes that the proposed changes are designed internet website (http://www.sec.gov/ of the Act, as required by Rule 19d- 18 to provide a fair procedure for the rules/sro.shtml). Copies of the 1(c)(2) under the Act, which governs disciplining of members and persons submission, all subsequent minor rule violation plans. associated with members, consistent amendments, all written statements As stated above, the Exchange with Sections 6(b)(7) and 6(d) of the with respect to the proposed rule proposes to add the CAT Compliance Act.14 Rule 1014 does not preclude a change that are filed with the Rules to the list of minor rule violations member or a person associated with or Commission, and all written in Rule 1014 to be consistent with the employed by a member from contesting communications relating to the approach FINRA has taken for minor an alleged violation and receiving a proposed rule change between the violations of its corresponding CAT hearing on the matter with the same Commission and any person, other than Compliance Rules.19 The Commission procedural rights through a litigated those that may be withheld from the has already approved FINRA’s treatment disciplinary proceeding. public in accordance with the of CAT Compliance Rules violations when it approved the addition of CAT B. Self-Regulatory Organization’s provisions of 5 U.S.C. 552, will be Compliance Rules to FINRA’s MRVP.20 Statement on Burden on Competition available for website viewing and printing in the Commission’s Public As noted in that order, and similarly The Exchange does not believe that Reference Room, 100 F Street NE, herein, the Commission believes that the proposed rule change will impose Washington, DC 20549 on official Exchange’s treatment of CAT any burden on competition that is not business days between the hours of Compliance Rules violations as part of necessary or appropriate in furtherance 10:00 a.m. and 3:00 p.m. Copies of the its MRVP provides a reasonable means of the purposes of the Act. The filing also will be available for of addressing violations that do not rise proposed rule change is not intended to inspection and copying at the principal to the level of requiring formal address competitive issues but rather is office of the Exchange. All comments disciplinary proceedings, while concerned solely with making the CAT received will be posted without change. providing greater flexibility in handling Compliance Rules under Chapter XVII Persons submitting comments are certain violations. However, the eligible for a minor rule fine disposition, cautioned that we do not redact or edit Commission expects that, as with thereby strengthening the Exchange’s personal identifying information from FINRA, the Exchange will continue to ability to carry out its oversight and comment submissions. You should conduct surveillance with due diligence enforcement functions and deter submit only information that you wish and make determinations based on its potential violative conduct. to make available publicly. All findings, on a case-by-case basis, regarding whether a sanction under the C. Self-Regulatory Organization’s submissions should refer to File rule is appropriate, or whether a Statement on Comments on the Number SR–MIAX–2020–17 and should violation requires formal disciplinary Proposed Rule Change Received From be submitted on or before July 20, 2020. action. Accordingly, the Commission Members, Participants, or Others IV. Commission’s Findings and Order believes the proposal raises no novel or Written comments were neither Granting Accelerated Approval of significant issues. Proposed Rule Change solicited nor received. For the same reasons discussed above, The Commission finds that the the Commission finds good cause, III. Solicitation of Comments proposed rule change is consistent with pursuant to Section 19(b)(2) of the Interested persons are invited to the requirements of the Act and the Act,21 for approving the proposed rule submit written data, views, and rules and regulations thereunder arguments concerning the foregoing, applicable to a national securities 17 15 U.S.C. 78f(b)(1) and 78f(b)(6). including whether the proposed rule exchange.15 In particular, the 18 17 CFR 240.19d–1(c)(2). change is consistent with the Act. Commission finds that the proposed 19 As discussed above, the Exchange has entered Comments may be submitted by any of rule change is consistent with Section into a Rule 17d–2 Plan and an RSA with FINRA 6(b)(5) of the Act,16 which requires that with respect to the CAT Compliance Rules. The the following methods: Commission notes that, unless relieved by the the rules of an exchange be designed to Electronic Comments Commission of its responsibility, as may be the case promote just and equitable principles of under the Rule 17d–2 Plan, the Exchange continues • Use the Commission’s internet trade, to remove impediments and to to bear the responsibility for self-regulatory conduct perfect the mechanism of a free and and liability for self-regulatory failures, not the self- comment form (http://www.sec.gov/ regulatory organization retained to perform rules/sro.shtml); or open market and a national market regulatory functions on the Exchange’s behalf • Send an email to rule-comments@ pursuant to an RSA. See Securities Exchange sec.gov. Please include File Number SR– 15 In approving this proposed rule change, the Release No. 61419 (January 26, 2010), 75 FR 5157 Commission has considered the proposed rule’s (February 1, 2010) (SR–BATS–2009–031), note 93 MIAX–2020–17 on the subject line. impact on efficiency, competition, and capital and accompanying text. formation. See 15 U.S.C. 78c(f). 20 See supra note 3. 14 15 U.S.C. 78f(b)(7) and 78f(d). 16 15 U.S.C. 78f(b)(5). 21 15 U.S.C. 78s(b)(2).

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change prior to the thirtieth day after I. Self-Regulatory Organization’s common compliance rules adopted by the date of publication of the notice of Statement of the Terms of Substance of each Plan Participant are designed to the filing thereof in the Federal the Proposed Rule Change require industry members to comply Register. The proposal merely adds the The Exchange proposes to add the with the provisions of the CAT NMS CAT Compliance Rules to the Consolidated Audit Trail (‘‘CAT’’) Plan, which broadly calls for industry Exchange’s MRVP and harmonizes its industry member compliance rules to members to record and report timely application with FINRA’s application of the list of minor rule violations in Rule and accurately customer, order, and CAT Compliance Rules under its own 9217. The proposed rule change is trade information relating to activity in MRVP. Accordingly, the Commission available on the Exchange’s website at NMS Securities and OTC Equity believes that a full notice-and-comment www.nyse.com, at the principal office of Securities. Rule 9217 sets forth the list of rules period is not necessary before approving the Exchange, and at the Commission’s under which a member organization or the proposal. Public Reference Room. covered person may be subject to a fine V. Conclusion II. Self-Regulatory Organization’s under Rule 9216(b). Rule 9217 permits Statement of the Purpose of, and the Exchange to impose a fine of up to It is therefore ordered, pursuant to Statutory Basis for, the Proposed Rule $5,000 on any member or covered 22 Section 19(b)(2) of the Act and Rule Change person for a minor violation of an 23 19d–1(c)(2) thereunder, that the eligible rule. The Exchange proposes to proposed rule change (SR–MIAX–2020– In its filing with the Commission, the self-regulatory organization included amend Rule 9217 to add the CAT 17) be, and hereby is, approved on an Compliance Rules in the Rule 6800 accelerated basis. statements concerning the purpose of, and basis for, the proposed rule change Series to the list of rules in Rule 9217 For the Commission, by the Division of eligible for disposition pursuant to a and discussed any comments it received 7 Trading and Markets, pursuant to delegated on the proposed rule change. The text minor fine under Rule 9216(b). 24 The Exchange is coordinating with authority. of those statements may be examined at FINRA and other Plan Participants to J. Matthew DeLesDernier, the places specified in Item IV below. promote harmonized and consistent The Exchange has prepared summaries, Assistant Secretary. enforcement of all the Plan Participants’ set forth in sections A, B, and C below, [FR Doc. 2020–13878 Filed 6–26–20; 8:45 am] CAT Compliance Rules. The of the most significant parts of such BILLING CODE 8011–01–P Commission recently approved a Rule statements. 17d–2 Plan under which the regulation A. Self-Regulatory Organization’s of CAT Compliance Rules will be SECURITIES AND EXCHANGE Statement of the Purpose of, and the allocated among Plan Participants to COMMISSION Statutory Basis for, the Proposed Rule reduce regulatory duplication for Change industry members that are members of [Release No. 34–89123; File No. SR–NYSE– more than one Participant (‘‘common 1. Purpose 2020–51) members’’).8 Under the Rule 17d–2 The Exchange proposes to add Plan, the regulation of CAT Compliance Self-Regulatory Organizations; New NYSE’s CAT industry member Rules with respect to common members York Stock Exchange LLC; Notice of compliance rules (the ‘‘CAT Compliance that are members of FINRA is allocated Filing and Order Granting Accelerated Rules’’) to the list of minor rule to FINRA. Similarly, under the Rule Approval of a Proposed Rule Change violations in Rule 9217. This proposal is 17d–2 Plan, responsibility for common To Add the Consolidated Audit Trail based upon the Financial Industry members of multiple other Plan Industry Member Compliance Rules to Regulatory Authority, Inc. (‘‘FINRA’’) Participants and not a member of FINRA the List of Minor Rule Violations filing to amend FINRA Rule 9217 in will be allocated among those other Plan order to add FINRA’s corresponding Participants, including to the Exchange. June 23, 2020. CAT Compliance Rules to FINRA’s list For those non-common members who Pursuant to Section 19(b)(1) 1 of the of rules that are eligible for minor rule are allocated to NYSE pursuant to the Securities Exchange Act of 1934 violation plan treatment.4 Rule 17d–2 Plan, the Exchange and 2 3 (‘‘Act’’) and Rule 19b–4 thereunder, Proposed Rule Change FINRA entered into a Regulatory notice is hereby given that, on June 12, 2020, New York Stock Exchange LLC The Exchange recently adopted the 7 FINRA’s maximum fine for minor rule (‘‘NYSE’’ or the ‘‘Exchange’’) filed with CAT Compliance Rules in the Rule 6800 violations under FINRA Rule 9216(b) is $2,500. The Exchange will apply an identical maximum fine the Securities and Exchange Series in order to implement the National Market System Plan Governing amount for eligible violations of the Rule 6800 Commission (the ‘‘Commission’’) the Series to achieve consistency with FINRA and also proposed rule change as described in the Consolidated Audit Trail (the ‘‘CAT to amend its minor rule violation plan (‘‘MRVP’’) 5 Items I and II below, which Items have NMS Plan’’ or ‘‘Plan’’). The CAT NMS to include such fines. Like FINRA, the Exchange would be able to pursue a fine greater than $2,500 been prepared by the self-regulatory Plan was filed by the Plan Participants to comply with Rule 613 of Regulation for violations of the Rule 6800 Series in a regular organization. The Commission is disciplinary proceeding or an acceptance, waiver, 6 publishing this notice to solicit NMS under the Exchange Act, and and consent (‘‘AWC’’) under the Rule 9000 Series comments on the proposed rule change each Plan Participant accordingly has as appropriate. Any fine imposed in excess of $2,500 or not otherwise covered by Rule 19d–1(c)(2) from interested persons and approving adopted the same compliance rules in the Exchange’s Rule 6800 Series. The of the Act would be subject to prompt notice to the the proposal on an accelerated basis. Commission pursuant to Rule 19d–1 under the Act. As noted below, in assessing the appropriateness of 4 See Securities Exchange Act Release No. 88870 a minor rule fine with respect to CAT Compliance 22 15 U.S.C. 78s(b)(2). (May 14, 2020), 85 FR 30768 (May 20, 2020) (SR– Rules, the Exchange will be guided by the same 23 17 CFR 240.19d–1(c)(2). FINRA–2020–013). factors that FINRA utilizes. See text accompanying 24 17 CFR 200.30–3(a)(12). 5 See Securities Exchange Act Release No. 79907 notes 9–10, infra. 1 15 U.S.C. 78s(b)(1). (January 31, 2017), 82 FR 9413 (February 6, 2017) 8 See Securities Exchange Act Release No. 88366 2 15 U.S.C. 78a. (SR–NYSE–2017–01). (March 12, 2020), 85 FR 15238 (March 17, 2020) 3 17 CFR 240.19b–4. 6 17 CFR 242.613. (File No. 4–618).

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Services Agreement (‘‘RSA’’) pursuant Upon effectiveness of this rule Exchange the ability to issue a minor to which FINRA will conduct change, the Exchange will publish a rule fine for violations of the CAT surveillance, investigation, examination, regulatory bulletin notifying its member Compliance Rules in the Rule 6800 and enforcement activity in connection organizations of the rule change and the Series where a more formal disciplinary with the CAT Compliance Rules on the specific factors that will be considered action may not be warranted or Exchange’s behalf (with the exception of in connection with assessing minor rule appropriate consistent with the such matters once a complaint is filed, fines described above. approach of other Plan Participants for which in such instance is no longer For the foregoing reasons, the the same conduct. administered through the MRVP). We Exchange believes that the proposed In connection with the fine level expect that the other exchanges would rule change will result in a coordinated, specified in the proposed rule change, be entering into a similar RSA. harmonized approach to CAT adding language that minor rule fines In order to achieve consistency with compliance rule enforcement across for violations of the CAT Compliance FINRA and the other Plan Participants, Plan Participants that will be consistent Rules in the Rule 6800 Series shall not the Exchange proposes to adopt fines up with the approach FINRA has taken exceed $2,500 would further the goal of to $2,500 in connection with minor rule with the CAT rules. transparency and add clarity to the fines for violations of the CAT 2. Statutory Basis Exchange’s rules. Adopting the same Compliance Rules in the Rule 6800 cap as FINRA for minor rule fines in The proposed rule change is Series under Rule 9217 and the connection with the CAT Compliance consistent with Section 6(b) of the Exchange’s MRVP. Rules would also promote regulatory Act,11 in general, and furthers the FINRA, in connection with its consistency across self-regulatory objectives of Section 6(b)(5),12 in proposed amendment to FINRA Rule organizations. 9217 to make FINRA’s CAT Compliance particular, because it is designed to prevent fraudulent and manipulative The Exchange further believes that the Rules MRVP eligible, has represented acts and practices, to promote just and proposed amendments to Rule 9217 are that it will apply the minor fines for equitable principles of trade, to foster consistent with Section 6(b)(6) of the CAT Compliance Rules in the same 13 cooperation and coordination with Act, which provides that members and manner that FINRA has for its similar persons engaged in facilitating persons associated with members shall existing audit trail-related rules.9 transactions in securities, to remove be appropriately disciplined for Accordingly, in order to promote impediments to, and perfect the violation of the provisions of the rules regulatory consistency, the Exchange mechanism of, a free and open market of the exchange, by expulsion, plans to do the same. Specifically, and a national market system and, in suspension, limitation of activities, application of a minor rule fine with general, to protect investors and the functions, and operations, fine, censure, respect to CAT Compliance Rules will public interest. being suspended or barred from being be guided by the same factors that Minor rule fines provide a meaningful associated with a member, or any other FINRA referenced in its filing. However, sanction for minor or technical fitting sanction. As noted, the proposed more formal disciplinary proceedings violations of rules when the conduct at rule change would provide the may be warranted instead of minor rule issue does not warrant stronger, Exchange ability to sanction minor or dispositions in certain circumstances immediately reportable disciplinary technical violations of the Rule 6800 such as where violations prevent sanctions. The inclusion of a rule in the Series pursuant to the Exchange’s rules. regulatory users of the CAT from Exchange’s MRVP does not minimize Finally, the Exchange also believes performing their regulatory functions. the importance of compliance with the that the proposed changes are designed Where minor rule dispositions are rule, nor does it preclude the Exchange to provide a fair procedure for the appropriate, the following factors help from choosing to pursue violations of disciplining of members and persons guide the determination of fine eligible rules through an AWC if the associated with members, consistent amounts: with Sections 6(b)(7) and 6(d) of the • nature of the violations or prior Total number of reports that are not disciplinary history warrants more Act.14 Rule 9217 does not preclude a submitted or submitted late; member organization or covered person • significant sanctions. Rather, the The timeframe over which the Exchange believes that the proposed from contesting an alleged violation and violations occur; receiving a hearing on the matter with • rule change will strengthen the Whether violations are batched; the same procedural rights through a • Exchange’s ability to carry out its Whether the violations are the oversight and enforcement litigated disciplinary proceeding. result of the actions of one individual or responsibilities in cases where full B. Self-Regulatory Organization’s the result of faulty systems or disciplinary proceedings are procedures; Statement on Burden on Competition • unwarranted in view of the minor Whether the firm has taken nature of the particular violation. The Exchange does not believe that remedial measures to correct the Rather, the option to impose a minor the proposed rule change will impose violations; any burden on competition that is not • rule sanction gives the Exchange Prior minor rule violations within additional flexibility to administer its necessary or appropriate in furtherance the past 24 months; of the purposes of the Act. The • enforcement program in the most Collateral effects that the failure has effective and efficient manner while still proposed rule change is not intended to on customers; and address competitive issues but rather is • fully meeting the Exchange’s remedial Collateral effects that the failure has objectives in addressing violative concerned solely with making the CAT on the Exchange’s ability to perform its conduct. Specifically, the proposed rule Compliance Rules in the Rule 6800 10 regulatory function. change is designed to prevent Series eligible for a minor rule fine fraudulent and manipulative acts and disposition, thereby strengthening the 9 See SR–FINRA–2020–013; see also FINRA Exchange’s ability to carry out its Notice to Members 04–19 (March 2004) (providing practices because it will provide the specific factors used to inform dispositions for violations of OATS reporting rules). 11 15 U.S.C. 78f(b). 13 15 U.S.C. 78f(b)(6). 10 See id. 12 15 U.S.C. 78f(b)(5). 14 15 U.S.C. 78f(b)(7) and 78f(d).

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oversight and enforcement functions to make available publicly. All herein, the Commission believes that and deter potential violative conduct. submissions should refer to File Exchange’s treatment of CAT Number SR–NYSE–2020–51 and should C. Self-Regulatory Organization’s Compliance Rules violations as part of be submitted on or before July 20, 2020. Statement on Comments on the its MRVP provides a reasonable means Proposed Rule Change Received From IV. Commission’s Findings and Order of addressing violations that do not rise Members, Participants, or Others Granting Accelerated Approval of to the level of requiring formal disciplinary proceedings, while No written comments were solicited Proposed Rule Change providing greater flexibility in handling or received with respect to the proposed The Commission finds that the rule change. proposed rule change is consistent with certain violations. However, the the requirements of the Act and the Commission expects that, as with III. Solicitation of Comments rules and regulations thereunder FINRA, the Exchange will continue to Interested persons are invited to applicable to a national securities conduct surveillance with due diligence submit written data, views, and exchange.15 In particular, the and make determinations based on its arguments concerning the foregoing, Commission finds that the proposed findings, on a case-by-case basis, including whether the proposed rule rule change is consistent with Section regarding whether a sanction under the change is consistent with the Act. 6(b)(5) of the Act,16 which requires that rule is appropriate, or whether a Comments may be submitted by any of the rules of an exchange be designed to violation requires formal disciplinary the following methods: promote just and equitable principles of action. Accordingly, the Commission Electronic Comments trade, to remove impediments and to believes the proposal raises no novel or perfect the mechanism of a free and • significant issues. Use the Commission’s internet open market and a national market For the same reasons discussed above, comment form (http://www.sec.gov/ system, and, in general, to protect the Commission finds good cause, rules/sro.shtml); or investors and the public interest. The • Send an email to rule-comments@ Commission also believes that the pursuant to Section 19(b)(2) of the 21 sec.gov. Please include File Number SR– proposal is consistent with Sections Act, for approving the proposed rule NYSE–2020–51 on the subject line. 6(b)(1) and 6(b)(6) of the Act 17 which change prior to the thirtieth day after the date of publication of the notice of Paper Comments require that the rules of an exchange enforce compliance with, and provide the filing thereof in the Federal • Send paper comments in triplicate appropriate discipline for, violations of Register. The proposal merely adds the to Secretary, Securities and Exchange Commission and Exchange rules. CAT Compliance Rules to the Commission, 100 F Street NE, Finally, the Commission finds that the Exchange’s MRVP and harmonizes its Washington, DC 20549–1090. proposal is consistent with the public application with FINRA’s application of All submissions should refer to File interest, the protection of investors, or CAT Compliance Rules under its own Number SR–NYSE–2020–51. This file otherwise in furtherance of the purposes MRVP. Accordingly, the Commission number should be included on the of the Act, as required by Rule 19d– believes that a full notice-and-comment subject line if email is used. To help the 1(c)(2) under the Act,18 which governs period is not necessary before approving Commission process and review your minor rule violation plans. the proposal. comments more efficiently, please use As stated above, the Exchange only one method. The Commission will proposes to add the CAT Compliance V. Conclusion post all comments on the Commission’s Rules to the list of minor rule violations internet website (http://www.sec.gov/ in Rule 9217 to be consistent with the It is therefore ordered, pursuant to 22 rules/sro.shtml). Copies of the approach FINRA has taken for minor Section 19(b)(2) of the Act and Rule submission, all subsequent violations of its corresponding CAT 19d–1(c)(2) thereunder,23 that the amendments, all written statements Compliance Rules.19 The Commission proposed rule change (SR–NYSE–2020– with respect to the proposed rule has already approved FINRA’s treatment 51) be, and hereby is, approved on an change that are filed with the of CAT Compliance Rules violations accelerated basis. Commission, and all written when it approved the addition of CAT For the Commission, by the Division of 20 communications relating to the Compliance Rules to FINRA’s MRVP. Trading and Markets, pursuant to delegated proposed rule change between the As noted in that order, and similarly authority.24 Commission and any person, other than J. Matthew DeLesDernier, those that may be withheld from the 15 In approving this proposed rule change, the public in accordance with the Commission has considered the proposed rule’s Assistant Secretary. impact on efficiency, competition, and capital [FR Doc. 2020–13868 Filed 6–26–20; 8:45 am] provisions of 5 U.S.C. 552, will be formation. See 15 U.S.C. 78c(f). available for website viewing and 16 15 U.S.C. 78f(b)(5). BILLING CODE 8011–01–P printing in the Commission’s Public 17 15 U.S.C. 78f(b)(1) and 78f(b)(6). Reference Room, 100 F Street NE, 18 17 CFR 240.19d–1(c)(2). Washington, DC 20549 on official 19 As discussed above, the Exchange has entered business days between the hours of into a Rule 17d–2 Plan and an RSA with FINRA with respect to the CAT Compliance Rules. The 10:00 a.m. and 3:00 p.m. Copies of the Commission notes that, unless relieved by the filing also will be available for Commission of its responsibility, as may be the case inspection and copying at the principal under the Rule 17d–2 Plan, the Exchange continues to bear the responsibility for self-regulatory conduct office of the Exchange. All comments and liability for self-regulatory failures, not the self- received will be posted without change. regulatory organization retained to perform Persons submitting comments are regulatory functions on the Exchange’s behalf cautioned that we do not redact or edit pursuant to an RSA. See Securities Exchange 21 15 U.S.C. 78s(b)(2). Release No. 61419 (January 26, 2010), 75 FR 5157 22 personal identifying information from (February 1, 2010) (SR–BATS–2009–031), note 93 15 U.S.C. 78s(b)(2). comment submissions. You should and accompanying text. 23 17 CFR 240.19d–1(c)(2). submit only information that you wish 20 See supra note 4. 24 17 CFR 200.30–3(a)(12).

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SECURITIES AND EXCHANGE places specified in Item IV below. The pattern or practice of late reporting COMMISSION Exchange has prepared summaries, set without exceptional circumstances may forth in sections A, B, and C below, of be considered conduct inconsistent with [Release No. 34–89128; File No. SR–CBOE– the most significant aspects of such just and equitable principles of trade 2020–053] statements. and subject to fines or discipline under Exchange Rules.8 Therefore, in the event Self-Regulatory Organizations; Cboe A. Self-Regulatory Organization’s an Exchange system experiences a Exchange, Inc.; Notice of Filing and Statement of the Purpose of, and malfunction or disruption so that a Immediate Effectiveness of a Proposed Statutory Basis for, the Proposed Rule participant is unable to electronically Rule Change To Amend Rule 6.1 in Change Order To Provide for a Consistent submit the requisite transaction Documentation of Open Outcry 1. Purpose information and report open outcry Execution Information in the Event of The Exchange proposes to amend transaction information within the 90 an Exchange System Malfunction or Rule 6.1 in order to provide for a second window (i.e. an ‘‘outage’’), a late Disruption consistent documentation of open reporting designation is considered outcry execution information in the acceptable and the participant is able to June 23, 2020. event of an Exchange system electronically submit the trade Pursuant to Section 19(b)(1) of the malfunction or disruption. information and simultaneously report Securities Exchange Act of 1934 (the Specifically, Rule 6.1(a) requires that the transaction upon resolution of the ‘‘Act’’),1 and Rule 19b–4 thereunder,2 a Trading Permit Holder (‘‘TPH’’) in malfunction or disruption and notice is hereby given that on June 10, each transaction to be designated by the resumption of the impacted Exchange 2020, Cboe Exchange, Inc. (the Exchange must report or ensure the system. Although pursuant to Rule ‘‘Exchange’’ or ‘‘Cboe Options’’) filed transaction is reported to the Exchange 6.1(c), a participant is able to record the with the Securities and Exchange within 90 seconds of the execution in a transaction information on a card or Commission (the ‘‘Commission’’) the form and manner prescribed by the ticket, and may currently do so in the proposed rule change as described in Exchange so that the trade information case of an outage (and following the Items I, and II below, which Items have may be reported to time and sales outage is then able to electronically been prepared by the Exchange. The reports.5 Pursuant to Rule 6.1(c)(1), the enter the trade information and submit Exchange filed the proposal as a ‘‘non- seller (or buyer if designated by the the transaction report), the Exchange controversial’’ proposed rule change Exchange) must submit the transaction Rules do not currently provide for a pursuant to Section 19(b)(3)(A)(iii) of report through an electronic data specific manner and form in which a the Act 3 and Rule 19b–4(f)(6) transmission link approved by the participant should report transaction thereunder.4 The Commission is Exchange in order to fulfill the Rule information, including the transaction publishing this notice to solicit 6.1(a) reporting requirement. time, in the event that an outage comments on the proposed rule change Additionally, Rule 6.1(c) provides that impedes a participant’s ability to submit from interested persons. participants (both the buyer and the an electronic transaction record within seller) must immediately record on a the required time period.9 As such, the I. Self-Regulatory Organization’s card or ticket or enter in an electronic Exchange now proposes to amend Rule Statement of the Terms of Substance of data storage medium acceptable to the 6.1(a) to provide additional clarity and the Proposed Rule Change Exchange certain requisite transaction consistency regarding the The Exchange proposes to amend information. Such transaction documentation and submission of Rule 6.1 in order to provide for a information includes, among other transaction reports for open outcry consistent documentation of open things, the time of the transaction executions that occur during an outage. outcry execution information in the obtained from a source designated by Specifically, the proposed change 10 event of an Exchange system the Exchange,6 and must be included in adopts subparagraph (a)(2) to Rule malfunction or disruption. the transaction report. Currently, TPHs 6.1, which provides that in the event of The text of the proposed rule change submit transaction reports through an Exchange system malfunction or is also available on the Exchange’s Public Automated Routing System disruption such that a participant is website (http://www.cboe.com/About (‘‘PAR’’) 7 workstations. In practice, unable to electronically report trade CBOE/CBOELegalRegulatory generally, when an order is executed in information pursuant to subparagraph Home.aspx), at the Exchange’s Office of open outcry, a participant nearly (c) of Rule 6.1 for orders executed in the Secretary, and at the Commission’s contemporaneously with the execution open outcry (an ‘‘outage’’), a participant Public Reference Room. enters the requisite trade information into a PAR workstation, including the 8 See also Rule 6.1(j)(2), which provides that in II. Self-Regulatory Organization’s the event a Clearing Trading Permit Holder attempts transaction time and presses a ‘‘trade’’ Statement of the Purpose of, and to send trade information by electronic button, which both reports the trade to transmission but is unable to get through to the Statutory Basis for, the Proposed Rule the Exchange and constitutes the entry Exchange computer system, the Clearing Trading Change Permit Holder may contact the Exchange’s Trade of requisite trade information in an Desk Department to inquire if the Exchange’s In its filing with the Commission, the electronic data storage medium system is ready to receive such Clearing Trading Exchange included statements pursuant to Rule 6.1(c). Permit Holder’s transmission. concerning the purpose of and basis for Rule 6.1(a) currently allows for 9 In connection with past outages, participants the proposed rule change and discussed designated late reporting, however, a have reported this information to the Exchange, but have done so in different manners. The proposed any comments it received on the rule change will require participants to report this proposed rule change. The text of these 5 The Exchange notes that for trades executed information to the Exchange in the same manner as statements may be examined at the electronically through the System, trade designated by the Exchange. information is immediately submitted to the 10 The proposed change also separates the late Exchange so that it may be reported to the tape. 1 reporting provisions in current Rule 6.1(a) into 15 U.S.C. 78s(b)(1). 6 The Exchange notes that there are universal subparagraph (a)(1) (and titles the proposed 2 17 CFR 240.19b–4. clocks on the trading floor which brokers may use subparagraph ‘‘Late Reports’’) for formatting 3 15 U.S.C. 78s(b)(3)(A)(iii). when recording outage reports. consistency and ease of reading and following Rule 4 17 CFR 240.19b–4(f)(6). 7 See Rule 5.82. 6.1(a) generally.

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will record execution information, 2. Statutory Basis procedure regarding retroactive including the transaction time, for The Exchange believes the proposed submission of certain trade information orders executed in open outcry in a rule change is consistent with the in the event of a system malfunction or manner and form determined by the Securities Exchange Act of 1934 (the disruption would present any new or Exchange. Upon the resolution of the ‘‘Act’’) and the rules and regulations novel issues or reporting policies for outage, a participant must resume thereunder applicable to the Exchange participants, as similar procedures are electronic submission of transaction and, in particular, the requirements of already in place under the Exchange reports within the 90 second time frame Section 6(b) of the Act.14 Specifically, Rules in the event a system malfunction and must use best efforts to input the Exchange believes the proposed rule or disruption results in participants’ electronically into the Exchange’s change is consistent with the Section inability to systematize their orders system the execution information 6(b)(5) 15 requirements that the rules of upon receipt. required by subparagraph (c) of Rule 6.1 an exchange be designed to prevent B. Self-Regulatory Organization’s for the order(s) executed in open outcry fraudulent and manipulative acts and Statement on Burden on Competition practices, to promote just and equitable during the outage not later than the The Exchange does not believe that principles of trade, to foster cooperation close of business on the day that the the proposed rule change will impose and coordination with persons engaged malfunction or disruption ceases. any burden on competition that is not in regulating, clearing, settling, By providing that the Exchange necessary or appropriate in furtherance processing information with respect to, determines the manner and form that of the purposes of the Act. The and facilitating transactions in participants must report transaction Exchange does not believe that the securities, to remove impediments to information for executions that occur proposed rule change will impose any and perfect the mechanism of a free and during an outage,11 the proposed rule burden on intramarket competition that open market and a national market change will provide for consistency is not necessary or appropriate in system, and, in general, to protect furtherance of the purposes of the Act among all participants with respect to investors and the public interest. because it would apply equally to all their electronic submission of Additionally, the Exchange believes the participants. In addition, the Exchange transaction reports to the Exchange after proposed rule change is consistent with does not believe that the proposed rule the system malfunction or disruption is the Section 6(b)(5) 16 requirement that change will impose any burden on resolved. The proposed rule will also the rules of an exchange not be designed intermarket competition that is not provide additional clarity in the Rules to permit unfair discrimination between necessary or appropriate in furtherance regarding the procedure participants customers, issuers, brokers, or dealers. must use to submit transaction In particular, by requiring participants of the purposes of the Act because the information to the Exchange following to report open outcry transaction proposed rule change is not competitive the resolution of an outage. A uniform information for orders executed during in nature nor does it relate to trading on approach will also provide for more an outage in a specific manner and form the Exchange. Rather, it relates solely to consistency of information in the determined by the Exchange, the the manner and form of reporting Exchange’s audit trail. Exchange believes that the proposed transaction information to the Exchange in outage scenarios. The Exchange also notes that a similar rule change will remove impediments to process is currently in place pursuant to and perfect the mechanism of a free and C. Self-Regulatory Organization’s the Exchange Rules in the event of a open market and national market system Statement on Comments on the malfunction or disruption of the and help to ensure the maintenance of Proposed Rule Change Received From Exchange’s systems such that a Trading a fair and orderly market, thereby Members, Participants, or Others Permit Holder is unable to systematize protecting investors, as it provides for The Exchange neither solicited nor an order, wherein each order consistency and additional clarity received comments on the proposed transmitted to the Exchange during a regarding the documentation and form rule change. malfunction or disruption of the of submission of transaction information III. Date of Effectiveness of the Exchange’s systems must be recorded for open outcry executions that occur Proposed Rule Change and Timing for legibly in a written form that has been during an outage, and the form of the Commission Action approved by the Exchange,12 and the reports of that information to the Trading Permit Holder receiving such Exchange following resolution of the Because the foregoing proposed rule outage. The Exchange further believes order must record the time of its receipt change does not: (i) Significantly affect the proposed rule change may prevent on the floor and legibly record the terms the protection of investors or the public fraudulent and manipulative acts and of the order, in written form.13 Such interest; (ii) impose any significant otherwise promote just and equitable rules also permit the retroactive entry of burden on competition; and (iii) become principles of trade. Particularly, the order receipt information following the operative for 30 days from the date on proposed rule change will require a which it was filed, or such shorter time cessation of the malfunction or uniform approach to the documentation disruption. as the Commission may designate, it has and reporting procedures of transaction become effective pursuant to Section information for orders executed during 19(b)(3)(A) of the Act 17 and Rule 19b– 11 Pursuant to Rule 1.5, the Exchange will an outage, which will provide for 18 announce its determination of the manner and form 4(f)(6) thereunder. via: (1) Specifications, Notices, or Regulatory consistency in the Exchange’s audit Circulars with appropriate advanced notice, which trail. 17 15 U.S.C. 78s(b)(3)(A). are posted on the Exchange’s website, or as The Exchange does not believe that 18 17 CFR 240.19b–4(f)(6). In addition, Rule 19b– otherwise provided in the Rules; (2) electronic documentation of certain trade 4(f)(6)(iii) requires a self-regulatory organization to message; or (3) other communication method as information in a manner and form give the Commission written notice of its intent to provided in the Rules. determined by the Exchange and the file the proposed rule change, along with a brief 12 The Exchange notes that a legible record is a description and text of the proposed rule change, manner in which it intends to determine that a at least five business days prior to the date of filing participant will be required to record execution 14 15 U.S.C. 78f(b). of the proposed rule change, or such shorter time information upon an outage, as proposed. 15 15 U.S.C. 78f(b)(5). as designated by the Commission. The Exchange 13 See Rule 5.7(f)(2)(C)(i). 16 Id. has satisfied this requirement.

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A proposed rule change filed At any time within 60 days of the cautioned that we do not redact or edit pursuant to Rule 19b–4(f)(6) under the filing of the proposed rule change, the personal identifying information from Act 19 normally does not become Commission summarily may comment submissions. You should operative for 30 days after the date of its temporarily suspend such rule change if submit only information that you wish filing. However, Rule 19b–4(f)(6)(iii) 20 it appears to the Commission that such to make available publicly. All permits the Commission to designate a action is necessary or appropriate in the submissions should refer to File shorter time if such action is consistent public interest, for the protection of Number SR–CBOE–2020–053 and with the protection of investors and the investors, or otherwise in furtherance of should be submitted on or before July public interest. The Exchange has asked the purposes of the Act. If the 20, 2020. the Commission to waive the 30-day Commission takes such action, the For the Commission, by the Division of operative delay. The Exchange believes Commission shall institute proceedings Trading and Markets, pursuant to delegated that waiver of the operative delay is to determine whether the proposed rule authority.23 consistent with the protection of change should be approved or J. Matthew DeLesDernier, investors and the public interest disapproved. Assistant Secretary. because it is substantially similar to the IV. Solicitation of Comments [FR Doc. 2020–13872 Filed 6–26–20; 8:45 am] process that is currently in place BILLING CODE 8011–01–P pursuant to the Exchange Rule 5.7 21 in Interested persons are invited to the event of a malfunction or disruption submit written data, views and of the Exchange’s systems such that a arguments concerning the foregoing, SECURITIES AND EXCHANGE Trading Permit Holder is unable to including whether the proposed rule COMMISSION systematize an order. The Exchange change is consistent with the Act. notes that wherein each order Comments may be submitted by any of [Release No. 34–89134; File No. SR– transmitted to the Exchange during a the following methods: CboeBZX–2020–052] malfunction or disruption of the Electronic Comments Self-Regulatory Organizations; Cboe Exchange’s systems must be recorded • BZX Exchange, Inc.; Notice of Filing legibly in a written form that has been Use the Commission’s internet comment form (http://www.sec.gov/ and Immediate Effectiveness of a approved by the Exchange, and the Proposed Rule Change Relating To Trading Permit Holder receiving such rules/sro.shtml); or • Send an email to rule-comments@ Amend Certain Rules Within Rules 4.5 order must record the time of its receipt Through 4.16, Which Contain the on the floor and legibly record the terms sec.gov. Please include File Number SR– CBOE–2020–053 on the subject line. Exchange’s Compliance Rule of the order, in written form. The (‘‘Compliance Rule’’) Regarding the Exchange states that the proposed rule Paper Comments National Market System Plan change merely requires participants • Send paper comments in triplicate Governing the Consolidated Audit Trail currently report transaction information to Secretary, Securities and Exchange (the ‘‘CAT NMS Plan’’ or ‘‘Plan’’) to the Exchange with respect to orders Commission, 100 F Street NE, executed during an outage, and to Washington, DC 20549–1090. June 23, 2020. continue to do so in a uniform manner. Pursuant to Section 19(b)(1) of the All submissions should refer to File For this reason, the Commission Securities Exchange Act of 1934 Number SR–CBOE–2020–053. This file believes that waiver of the 30-day (‘‘Act’’),1 and Rule 19b–4 thereunder,2 number should be included on the operative delay is consistent with the notice is hereby given that on June 22, subject line if email is used. To help the protection of investors and the public 2020, Cboe BZX Exchange, Inc. Commission process and review your interest because the proposed rule (‘‘Exchange’’ or ‘‘BZX’’) filed with the comments more efficiently, please use change does not modify the information Securities and Exchange Commission only one method. The Commission will that participants must report, nor does (‘‘Commission’’) the proposed rule post all comments on the Commission’s it change how open outcry trading will change as described in Items I and II internet website (http://www.sec.gov/ occur. The Commission believes the below, which Items have been prepared rules/sro.shtml). Copies of the proposed rule change will provide by the Exchange. The Commission is submission, all subsequent consistency and clarity in the Cboe publishing this notice to solicit amendments, all written statements Rules regarding how to report comments on the proposed rule change with respect to the proposed rule transaction information to the Exchange from interested persons. in the event of an outage, which will change that are filed with the benefit investors. Waiver of the Commission, and all written I. Self-Regulatory Organization’s operative delay will also permit the communications relating to the Statement of the Terms of Substance of Exchange to implement the proposed proposed rule change between the the Proposed Rule Change rule change in connection with the Commission and any person, other than Cboe BZX Exchange, Inc. (the current proposed reopening of its those that may be withheld from the ‘‘Exchange’’ or ‘‘Cboe BZX’’) proposes to trading floor on June 15, 2020. public in accordance with the amend certain Rules within Rules 4.5 Therefore, the Commission hereby provisions of 5 U.S.C. 552, will be through 4.16, which contain the waives the operative delay and available for website viewing and Exchange’s compliance rule designates the proposal as operative printing in the Commission’s Public (‘‘Compliance Rule’’) regarding the upon filing.22 Reference Room, 100 F Street NE, National Market System Plan Governing Washington, DC 20549, on official the Consolidated Audit Trail (the ‘‘CAT 19 17 CFR 240.19b–4(f)(6). business days between the hours of NMS Plan’’ or ‘‘Plan’’) The text of the 20 17 CFR 240.19b–4(f)(6)(iii). 10:00 a.m. and 3:00 p.m. Copies of the proposed rule change is provided in 21 See supra note 13. filing also will be available for Exhibit 5. 22 For purposes only of waiving the 30-day inspection and copying at the principal operative delay, the Commission also has considered the proposed rule’s impact on office of the Exchange. All comments 23 17 CFR 200.30–3(a)(12). efficiency, competition, and capital formation. See received will be posted without change. 1 15 U.S.C. 78s(b)(1). 15 U.S.C. 78c(f). Persons submitting comments are 2 17 CFR 240.19b–4.

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The text of the proposed rule change Member Data to the Central Repository is modified. The Participants propose to is also available on the Exchange’s with time stamps in such finer amend the Compliance Rule to website (http://markets.cboe.com/us/ increment up to nanoseconds; incorporate these requirements into the equities/regulation/rule_filings/bzx/), at • Require Introducing Industry CAT. the Exchange’s Office of the Secretary, Members (as defined below) to comply Specifically, FINRA Rule 7440(b)(20) and at the Commission’s Public with the requirements of the CAT NMS requires a FINRA OATS Reporting Reference Room. Plan applicable to Small Industry Member to record the following when Members; an order is received or originated: ‘‘if II. Self-Regulatory Organization’s • Revise the CAT reporting the member is relying on the exception Statement of the Purpose of, and requirements so Industry Members provided in Rule 5320.02 with respect Statutory Basis for, the Proposed Rule would not be required to report to the to the order, the unique identification of Change Central Repository dates of birth, any appropriate information barriers in In its filing with the Commission, the ‘‘individual tax payer identification place at the department within the Exchange included statements number (‘‘ITIN’’)/social security number member where the order was received concerning the purpose of and basis for (‘‘SSN’’)’’ (collectively, referred to as or originated.’’ 5 The Compliance Rule the proposed rule change and discussed ‘‘SSNs’’) or account numbers; and does not require Industry Members to any comments it received on the • Revise the CAT reporting report such information barrier proposed rule change. The text of these requirements regarding cancelled trades information. To address this OATS– statements may be examined at the and SRO-Assigned Market Participant CAT data gap, the Exchange proposes to places specified in Item IV below. The Identifiers of clearing brokers, if add new paragraph (a)(1)(A)(vii) to Rule Exchange has prepared summaries, set applicable, in connection with order 4.7, which would require Industry forth in sections A, B, and C below, of executions, as such information will be Members to record and report to the the most significant aspects of such available from FINRA’s trade reports Central Repository, for original receipt statements. submitted to the CAT. or origination of an order, ‘‘the unique identification of any appropriate A. Self-Regulatory Organization’s i. CAT–OATS Data Gaps information barriers in place at the Statement of the Purpose of, and The Participants have worked to department within the Industry Member Statutory Basis for, the Proposed Rule identify gaps between data reported to where the order was received or Change existing systems and data to be reported originated.’’ 1. Purpose to the CAT to ‘‘ensure that by the time In addition, FINRA Rule 7440(c)(1) Industry Members are required to report states that ‘‘[w]hen a Reporting Member The purpose of this proposed rule transmits an order to a department change is to amend the Consolidated to the CAT, the CAT will include all data elements necessary to facilitate the within the member, the Reporting Audit Trail (‘‘CAT’’) Compliance Rule Member shall record: . . . (H) if the in Rules 4.5 through 4.16 to be rapid retirement of duplicative systems.’’ 3 As a result of this process, member is relying on the exception consistent with certain proposed provided in Rule 5320.02 with respect amendments to and exemptions from the Participants identified several data elements that must be included in the to the order, the unique identification of the CAT NMS Plan as well as to any appropriate information barriers in facilitate the retirement of certain CAT reporting requirements before existing systems can be retired. In place at the department within the existing regulatory systems. As member to which the order was described more fully below, the particular, the Participants identified certain data elements that are required transmitted.’’ The Compliance Rule proposed rule change would make the does not require Industry Members to following changes to the Compliance by OATS, but not currently enumerated in the CAT NMS Plan. Accordingly, the report such information barrier Rule: information. To address this OATS– • Exchange proposes to amend its Add additional data elements to the CAT data gap, the Exchange proposes to consolidated audit trail (‘‘CAT’’) Compliance Rule to include these OATS data elements in the CAT. Each of such revise paragraph (a)(1)(B)(vi) of Rule 4.7 reporting requirements for Industry to require, for the routing of an order, Members to facilitate the retirement of OATS data elements are discussed below. With the addition of these OATS if routed internally at the Industry the Financial Industry Regulatory Member, ‘‘the unique identification of Authority, Inc.’s (‘‘FINRA’’) Order Audit data elements to the CAT, the CAT will have the data elements necessary to any appropriate information barriers in Trail System (‘‘OATS’’); place at the department within the • retire OATS. Add additional data elements Industry Member to which the order related to OTC Equity Securities that A. Information Barrier Identification was transmitted.’’ FINRA currently receives from The FINRA OATS rules require OATS FINRA Rule 7440(c)(2)(B) and alternative trading systems (‘‘ATSs’’) 4 7440(c)(4)(B) require an OATS that trade OTC Equity Securities for Reporting Members to record the identification of information barriers for Reporting Member that receives an regulatory oversight purposes to the order transmitted from another member CAT reporting requirements for Industry certain order events, including when an order is received or originated, to report the unique identification of Members; any appropriate information barriers in • Implement a phased approach for transmitted to a department within the OATS Reporting Member, and when it place at the department within the Industry Member reporting to the CAT member to which the order was (‘‘Phased Reporting’’); 3 transmitted. The Compliance Rule not • Letter from Participants to Brent J. Fields, To the extent that any Industry Secretary, SEC, re: File Number 4–698; Notice of require Industry Members to report such Member’s order handling or execution Filing of the National Market System Plan information barrier information. To systems utilize time stamps in Governing the Consolidated Audit Trail (September address this OATS–CAT data gap, the increments finer than milliseconds, 23, 2016) at 21 (‘‘Participants’ Response to Comments’’) (available at https://www.sec.gov/ Exchange proposes to add new revise the timestamp granularity comments/4-698/4698-32.pdf). requirement to require such Industry 4 An OATS ‘‘Reporting Member’’ is defined in 5 FINRA Rule 5320 prohibits trading ahead of Member to record and report Industry FINRA Rule 7410(o). customer orders.

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paragraph (a)(1)(C)(vii) to Rule 4.7, 4554,7 but to expand such requirements ATS’s unique identifier for the order which would require Industry Members so that they are applicable to all ATSs type of the order.’’ Proposed paragraph to record and report to the Central rather than solely to ATSs that trade (a)(1)(D)(ix)(a) of Rule 4.7 would require Repository, for the receipt of an order NMS stocks. an Industry Member that operates an that has been routed, ‘‘the unique ATS to record and report to the Central (i) New Definition identification of any appropriate Repository if the order is modified or information barriers in place at the The Exchange proposes to add a cancelled ‘‘the ATS’s unique identifier department within the Industry Member definition of ‘‘ATS’’ to new paragraph for the order type of the order.’’ which received the order.’’ (d) of Rule 4.5 to facilitate the addition Furthermore, as with the requirements FINRA Rule 7440(d)(1) requires an to the CAT of the reporting in FINRA Rule 4554(b)(5), proposed OATS Reporting Member that modifies requirements for ATSs set forth in paragraph (a)(2)(D) of Rule 4.7 would or receives a modification to the terms FINRA Rule 4554. The Exchange state that: of an order to report the unique proposes to define an ‘‘ATS’’ to mean An Industry Member that operates an identification of any appropriate ‘‘an alternative trading system, as ATS must provide to the Central information barriers in place at the defined in Rule 300(a)(1) of Regulation Repository: (1) A list of all of its order department within the member to which ATS under the Exchange Act.’’ types twenty (20) days before such order the modification was originated or (ii) ATS Order Type types become effective; and (2) any received. The Compliance Rule does not changes to its order types twenty (20) FINRA Rule 4554(b)(5) requires the require Industry Members to report such days before such changes become following information to be recorded information barrier information. To effective. An identifier shall not be and reported to FINRA by ATSs when address this OATS–CAT data gap, the required for market and limit orders that reporting receipt of an order to OATS: Exchange proposes to add new have no other special handling A unique identifier for each order instructions. paragraph (a)(1)(D)(vii) to Rule 4.7, type offered by the ATS. An ATS must which would require Industry Members provide FINRA with (i) a list of all of its (iii) National Best Bid and Offer to record and report to the Central order types 20 days before such order FINRA Rules 4554(b)(6) and (7) Repository, if the order is modified or types become effective and (ii) any cancelled, ‘‘the unique identification of require the following information to be changes to its order types 20 days before recorded and reported to FINRA by any appropriate information barriers in such changes become effective. An place at the department within the ATSs when reporting receipt of an order identifier shall not be required for to OATS: Industry Member which received or market and limit orders that have no originated the modification.’’ (6) The NBBO (or relevant reference other special handling instructions. price) in effect at the time of order The Compliance Rule does not require B. Reporting Requirements for ATSs receipt and the timestamp of when the Industry Members to report such order ATS recorded the effective NBBO (or Under FINRA Rule 4554, ATSs that type information to the Central relevant reference price); and receive orders in NMS stocks are Repository. To address this OATS–CAT (7) Identification of the market data required to report certain order data gap, the Exchange proposes to feed used by the ATS to record the information to OATS, which FINRA incorporate these requirements into four NBBO (or other reference price) for uses to reconstruct ATS order books and new provisions to the Compliance Rule: purposes of subparagraph (6). If for any perform order-based surveillance, Paragraphs (a)(1)(A)(xi)(a), reason, the ATS uses an alternative feed including layering, spoofing, and mid- (a)(1)(C)(x)(a), (a)(1)(D)(ix)(a) and than what was reported on its ATS data point pricing manipulation (a)(2)(D) of Rule 4.7. surveillance.6 The Participants believe Proposed paragraph (a)(1)(A)(xi)(a) of submission, the ATS must notify FINRA that Industry Members operating Rule 4.7 would require an Industry of the fact that an alternative source was ATSs—whether such ATS trades NMS Member that operates an ATS to record used, identify the alternative source, stocks or OTC Equity Securities— and report to the Central Repository for and specify the date(s), time(s) and should likewise be required to report the original receipt or origination of an securities for which the alternative this information to the CAT. Because order ‘‘the ATS’s unique identifier for source was used. ATSs that trade NMS stocks are already the order type of the order.’’ Proposed Similarly, FINRA Rule 4554(c) recording this information and reporting paragraph (a)(1)(C)(x)(a) of Rule 4.7 requires the following information to be it to OATS, the Participants believe that would require an Industry Member that recorded and reported to FINRA by reporting the same information to the operates an ATS to record and report to ATSs when reporting the execution of CAT should impose little burden on the Central Repository for the receipt of an order to OATS: these ATSs. Moreover, including this an order that has been routed ‘‘the (1) The NBBO (or relevant reference information in the CAT is also necessary price) in effect at the time of order for FINRA to be able to retire the OATS 7 FINRA Rule 4554 was approved by the SEC on execution; system. The Participants similarly May 10, 2016, while the CAT NMS Plan was (2) The timestamp of when the ATS believe that obtaining the same pending with the Commission. See Securities recorded the effective NBBO (or relevant Exchange Act Release No. 77798 (May 10, 2016), 81 reference price); and information from ATSs that trade OTC FR 30395 (May 16, 2016) (Order Approving SR– Equity Securities will be important for FINRA–2016–010). As noted in the Participants’ (3) Identification of the market data purposes of reconstructing ATS order Response to Comments, throughout the process of feed used by the ATS to record the books and surveillance. Accordingly, developing the Plan, the Participants worked to NBBO (or other reference price) for keep the gap analyses for OATS, electronic blue the Exchange proposes to add to the sheets, and the CAT up-to-date, which included purposes of subparagraph (1). If for any data reporting requirements in the adding data fields related to the tick size pilot and reason, the ATS uses an alternative feed Compliance Rule the reporting ATS order book amendments to the OATS rules. than what was reported on its ATS data requirements for ATSs in FINRA Rule See Participants’ Response to Comments at 21. submission, the ATS must notify FINRA However, due to the timing of the expiration of the tick size pilot, the Participants decided not to of the fact that an alternative source was 6 See FINRA Regulatory Notice 16–28 (August include those data elements into the CAT NMS used, identify the alternative source, 2016). Plan. and specify the date(s), time(s) and

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securities for which the alternative Industry Member that operates an ATS and reported to FINRA by ATSs when source was used. to record and report to the Central reporting receipt of an order to OATS: The Compliance Rule does not require Repository ‘‘the sequence number Whether the ATS displays subscriber Industry Members to report such NBBO assigned to the receipt or origination of orders outside the ATS (other than to information to the Central Repository. the order by the ATS’s matching alternative trading system employees). If To address this OATS–CAT data gap, engine.’’ The Exchange proposes to add an ATS does display subscriber orders the Exchange proposes to incorporate proposed paragraph (a)(1)(B)(viii) to outside the ATS (other than to these requirements into four new Rule 4.7, which would require an alternative trading system employees), provisions to the Compliance Rule: Industry Member that operates an ATS indicate whether the order is displayed (a)(1)(A)(xi)(b)–(c), (a)(1)(C)(x)(b)–(c), to record and report to the Central to subscribers only or through publicly (a)(1)(D)(ix)(b)–(c) and (a)(1)(E)(viii)(a)– Repository ‘‘the sequence number disseminated quotation data); (b) of Rule 4.7. assigned to the routing of the order by The Compliance Rule does not require Specifically, proposed paragraph the ATS’s matching engine.’’ The Industry Members to report to the CAT (a)(1)(A)(xi)(b)–(c) of Rule 4.7 would Exchange also proposes to add proposed such information about the displaying require an Industry Member that paragraph (a)(1)(C)(x)(d) to Rule 4.7, of subscriber orders. The Exchange operates an ATS to record and report to which would require an Industry proposes to add comparable the Central Repository the following Member that operates an ATS to record requirements into proposed paragraphs information when reporting the original and report to the Central Repository (a)(1)(A)(xi)(e) and (a)(1)(C)(x)(e) of Rule receipt or origination of order: ‘‘the sequence number assigned to the 4.7. Specifically, proposed paragraph (2) The National Best Bid and receipt of the order by the ATS’s (a)(1)(A)(xi)(e) would require an National Best Offer (or relevant matching engine.’’ In addition, the Industry Member that operates an ATS reference price) at the time of order Exchange proposes to add proposed to report to the Central Repository, for receipt or origination, and the date and paragraph (a)(1)(D)(ix)(d) to Rule 4.7, the original receipt or origination of an time at which the ATS recorded such which would require an Industry order, whether the ATS displays National Best Bid and National Best Member that operates an ATS to record subscriber orders outside the ATS (other Offer (or relevant reference price); and report to the Central Repository than to alternative trading system (3) the identification of the market ‘‘the sequence number assigned to the employees). If an ATS does display data feed used by the ATS to record the modification or cancellation of the order subscriber orders outside the ATS (other National Best Bid and National Best by the ATS’s matching engine.’’ Finally, than to alternative trading system Offer (or relevant reference price) for the Exchange proposes to add proposed employees), indicate whether the order purposes of subparagraph (xi)(b). If for paragraph (a)(1)(E)(viii)(c) to Rule 4.7, is displayed to subscribers only or any reason the ATS uses an alternative which would require an Industry through publicly disseminated market data feed than what was Member that operates an ATS to record quotation data. reported on its ATS data submission, and report to the Central Repository Similarly, proposed paragraph the ATS must provide notice to the ‘‘the sequence number assigned to the (a)(1)(C)(x)(e) of Rule 4.7 would require Central Repository of the fact that an execution of the order by the ATS’s an Industry Member that operates an alternative source was used, identify the matching engine.’’ ATS to record and report to the Central alternative source, and specify the Repository the same information when date(s), time(s) and securities for which (v) Modification or Cancellation of reporting receipt of an order that has the alternative source was used. Orders by ATSs been routed. Similarly, proposed paragraphs FINRA Rule 4554(f) states that ‘‘[f]or C. Customer Instruction Flag (a)(1)(C)(x)(b)–(c), (a)(1)(D)(ix)(b)–(c) an ATS that displays subscriber orders, and (a)(1)(E)(viii)(a)–(b) of Rule 4.7 each time the ATS’s matching engine re- FINRA Rule 7440(b)(14) requires a would require an Industry Member that prices a displayed order or changes the FINRA OATS Reporting Member to operates an ATS to record and report to display quantity of a displayed order, record the following when an order is the Central Repository the same the ATS must report to OATS the time received or originated: ‘‘any request by information when reporting receipt of of such modification,’’ and ‘‘the a customer that a limit order not be an order that has been routed, when applicable new display price or size.’’ displayed, or that a block size limit reporting if the order is modified or The Exchange proposes adding a order be displayed, pursuant to cancelled, and when an order has been comparable requirement into new applicable rules.’’ The Compliance Rule executed, respectively. paragraph (a)(1)(D)(ix)(e) to Rule 4.7. does not require Industry Members to Specifically, proposed new paragraph report to the CAT such a customer (iv) Sequence Numbers (a)(1)(D)(ix)(e) of Rule 4.7 would require instruction flag. To address this OATS– FINRA Rule 4554(d) states that ‘‘[f]or an Industry Member that operates an CAT data gap, the Exchange proposes to all OATS-reportable event types, all ATS to report to the Central Repository, add paragraph (a)(1)(A)(viii) to Rule 4.7, ATSs must record and report to FINRA if the order is modified or cancelled, which would require Industry Members the sequence number assigned to the ‘‘each time the ATS’s matching engine to record and report to the Central order event by the ATS’s matching re-prices an order or changes the Repository, for original receipt or engine.’’ The Compliance Rule does not quantity of an order,’’ the ATS must origination of an order, ‘‘any request by require Industry Members to report ATS report to the Central Repository ‘‘the a Customer that a limit order not be sequence numbers to the Central time of such modification, and the displayed, or that a block size limit Repository. To address this OATS–CAT applicable new price or size.’’ Proposed order be displayed, pursuant to data gap, the Exchange proposes to paragraph (a)(1)(D)(ix)(e) of Rule 4.7 applicable rules.’’ The Exchange also incorporate this requirement regarding would apply to all ATSs, not just ATSs proposes to add paragraph (a)(1)(C)(ix) ATS sequence numbers into each of the that display orders. to Rule 4.7, which would require Reportable Events for the CAT. Industry Members to record and report Specifically, the Exchange proposes to (vi) Display of Subscriber Orders to the Central Repository, for the receipt add proposed paragraph (a)(1)(A)(xi)(d) FINRA Rule 4554(b)(1) requires the of an order that has been routed, ‘‘any to Rule 4.7, which would require an following information to be recorded request by a Customer that a limit order

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not be displayed, or that a block size E. Account Holder Type of the best bid and offer data feeds for limit order be displayed, pursuant to FINRA Rule 7440(b)(18) requires an OTC Equity Securities to the CAT. applicable rules.’’ OATS Reporting Member that receives Specifically, proposed paragraph (f)(1) FINRA Rule 7440(d)(1) requires an or originates an order to record the of Rule 4.7 would require each Industry OATS Reporting Member that modifies following information: ‘‘the type of Member that operates an ATS that or receives a modification of an order to account, i.e., retail, wholesale, trades OTC Equity Securities to provide report the customer instruction flag. The employee, proprietary, or any other type to the Central Repository ‘‘the best bid Compliance Rule does not require of account designated by FINRA, for and best offer for each OTC Equity Industry Members to report such a which the order is submitted.’’ The Security traded on such ATS.’’ customer instruction flag. To address Compliance Rule does not require B. Unsolicited Bid or Offer Flag Industry Members to report to the CAT this OATS–CAT data gap, the Exchange FINRA also receives from ATSs that proposes to add paragraph (a)(1)(D)(viii) information regarding the type of account holder for which the order is trade OTC Equity Securities an to Rule 4.7 which would require indication whether each bid or offer in Industry Members to record and report submitted. To address this OATS–CAT data gap, the Exchange proposes to add OTC Equity Securities on such ATS was to the Central Repository, if the order is solicited or unsolicited. Therefore, the modified or cancelled, ‘‘any request by paragraph (a)(1)(A)(x) to Rule 4.7, which would require Industry Members to Exchange proposes to add paragraph a Customer that a limit order not be (f)(2) to Rule 4.7 to require the reporting displayed, or that a block size limit record and report to the Central Repository upon the original receipt or to the CAT of an indication as to order be displayed, pursuant to whether a bid or offer was solicited or applicable rules.’’ origination of an order ‘‘the type of account holder for which the order is unsolicited. Specifically, proposed D. Department Type submitted.’’ paragraph (f)(2) of Rule 4.7 would require each Industry Member that FINRA Rules 7440(b)(4) and (5) ii. OTC Equity Securities operates an ATS that trades OTC Equity require an OATS Reporting Member that The Participants have identified Securities to provide to the Central receives or originates an order to record several data elements related to OTC Repository ‘‘an indication of whether the following information: ‘‘the Equity Securities that FINRA currently each bid and offer for OTC Equity identification of any department or the receives from ATSs that trade OTC Securities was solicited or unsolicited.’’ identification number of any terminal Equity Securities for regulatory C. Unpriced Bids and Offers where an order is received directly from oversight purposes, but are not currently a customer’’ and ‘‘where the order is included in CAT Data. In particular, the FINRA receives from ATSs that trade originated by a Reporting Member, the Participants identified three data OTC Equity Securities certain unpriced identification of the department of the elements that need to be added to the bids and offers for each OTC Equity member that originates the order.’’ The CAT: (1) Bids and offers for OTC Equity Security traded on the ATS. Therefore, Compliance Rule does not require Securities; (2) a flag indicating whether the Exchange proposes to add paragraph Industry Members to report to the CAT a quote in OTC Equity Securities is (f)(3) to Rule 4.7, which would require information regarding the department or solicited or unsolicited; and (3) each Industry Member that operates an terminal where the order is received or unpriced bids and offers in OTC Equity ATS that trades OTC Equity Securities originated. To address this OATS–CAT Securities. The Participants believe that to provide to the Central Repository data gap, the Exchange proposes to add such data will continue to be important ‘‘the unpriced bids and offers for each paragraph (a)(1)(A)(ix) to Rule 4.7, for regulators to oversee the OTC Equity OTC Equity Security traded on such which would require Industry Members Securities market when using the CAT. ATS.’’ to record and report to the Central Moreover, the Participants do not iii. Revised Industry Member Repository upon the original receipt or believe that the proposed requirement Reporting Timeline origination of an order ‘‘the nature of would burden ATSs because they On February 19, 2020, the the department or desk that originated currently report this information to Participants filed with the Commission the order, or received the order from a FINRA and thus the reporting a request for exemptive relief from Customer.’’ requirement would merely shift from certain provisions of the CAT NMS Plan FINRA to the CAT. Accordingly, as to allow for the implementation of Similarly, per FINRA Rules discussed below, the Exchange proposes phased reporting to the CAT by Industry 7440(c)(2)(B) and (4)(B), when an OATS 9 to amend its Compliance Rule to Members (‘‘Phased Reporting’’). Reporting Member receives an order include these data elements. Specifically, in their exemptive request, that has been transmitted by another the Participants requested that the SEC Member, the receiving OATS Reporting A. Bids and Offers for OTC Equity exempt each Participant from the Member is required to record the Securities requirement in Section 6.7(a)(v) of the information required in 7440(b)(4) and In performing its current regulatory CAT NMS Plan for each Participant, (5) described above as applicable. The oversight, FINRA receives a data feed of through its Compliance Rule, to require Compliance Rule does not require the best bids and offers in OTC Equity its Industry Members other than Small Industry Members to report to the CAT Securities from ATSs that trade OTC Industry Members (‘‘Large Industry information regarding the department Equity Securities. These best bid and Members’’) to report to the Central that received an order. To address this offer data feeds for OTC Equity Repository Industry Member Data OATS–CAT data gap, the Exchange Securities are similar to the best bid and within two years of the Effective Date propose to add paragraph (a)(1)(C)(viii) offer SIP Data required to be collected to Rule 4.7 which would require by the Central Repository with regard to 9 See Letter to Vanessa Countryman, Secretary, Industry Members to record and report NMS Securities.8 Accordingly, the SEC, from Michael Simon, CAT NMS Plan to the Central Repository upon the Exchange proposes to add paragraph Operating Committee Chair, re: Request for Exemption from Provisions of the National Market receipt of an order that has been routed (f)(1) to Rule 4.7 to require the reporting System Plan Governing the Consolidated Audit ‘‘the nature of the department or desk Trail related to Industry Member Reporting Dates that received the order.’’ 8 Section 6.5(a)(ii) of the CAT NMS Plan. (Feb. 19, 2020).

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(that is, by November 15, 2018). In Data by April 26, 2021, and its Small implement Phased Reporting as addition, the Participants requested that Industry Members to commence described below. the SEC exempt each Participant from reporting to the Central Repository A. Phase 2a the requirement in Section 6.7(a)(vi) of Phase 2c Industry Member Data by the CAT NMS Plan for each Participant, December 13, 2021; In the first phase of Phased Reporting, through its Compliance Rule, to require (4) its Large Industry Members and referred to as Phase 2a, Large Industry its Small Industry Members 10 to report Small Industry Members to commence Members and Small Industry OATS to the Central Repository Industry reporting to the Central Repository Reporters would be required to report to Member Data within three years of the Phase 2d Industry Member Data by the Central Repository ‘‘Phase 2a Effective Date (that is, by November 15, December 13, 2021; and Industry Member Data’’ by June 22, 2019). Correspondingly, the Participants (5) its Large Industry Members and 2020.12 To implement the Phased requested that the SEC provide an Small Industry Members to commence Reporting for Phase 2a, the Exchange exemption from the requirement in reporting to the Central Repository proposes to add paragraph (t)(1) of Rule Section 6.4 of the CAT NMS Plan that Phase 2e Industry Member Data by July 4.5 (previously paragraph (s)) and ‘‘[t]he requirements for Industry 11, 2022. amend paragraphs (c)(1) and (2) of Rule Members under this Section 6.4 shall The full scope of CAT Data required 4.16. become effective on the second under the CAT NMS Plan will be (i) Scope of Reporting in Phase 2a anniversary of the Effective Date in the required to be reported when all five case of Industry Members other than phases of the Phased Reporting have To implement the Phased Reporting Small Industry Members, or the third been implemented, subject to any with respect to Phase 2a, the Exchange anniversary of the Effective Date in the applicable exemptive relief or proposes to add a definition of ‘‘Phase case of Small Industry Members.’’ On amendments related to the CAT NMS 2a Industry Member Data’’ as paragraph April 20, 2020, the SEC granted the Plan. (t)(1) of Rule 4.5. Specifically, the Participants exemptive relief to As a further condition to the Exchange proposes to define the term implement Phased Reporting, subject to exemption, each Participant proposes to ‘‘Phase 2a Industry Member Data’’ as certain timeline changes and implement the testing timelines ‘‘Industry Member Data required to be conditions.11 described in Section F below through its reported to the Central Repository As a condition to the exemption, each Compliance Rule by requiring the commencing in Phase 2a.’’ Phase 2a Participant would implement Phased following: Industry Member Data would include Reporting through its Compliance Rule (1) Industry Member file submission Industry Member Data solely related to by requiring: and data integrity testing for Phases 2a Eligible Securities that are equities. (1) Its Large Industry Members and its and 2b begins in December 2019. While the following summarizes Small Industry Members that are (2) Industry Member testing of the categories of Industry Member Data required to record or report information Reporter Portal, including data integrity required for Phase 2a, the Industry to OATS pursuant to applicable SRO error correction tools and data Member Technical Specifications rules (‘‘Small Industry OATS submissions, begins in February 2020. provide detailed guidance regarding the Reporters’’) to commence reporting to (3) The Industry Member test reporting for Phase 2a.13 the Central Repository Phase 2a environment will be open with intra- Phase 2a Industry Member Data Industry Member Data by June 22, 2020, firm linkage validations to Industry would include all events and scenarios and its Small Industry Non-OATS Members for both Phases 2a and 2b in covered by OATS. FINRA Rule 7440 Reporters to commence reporting to the April 2020. describes the OATS requirements for Central Repository Phase 2a Industry (4) The Industry Member test recording information, which includes Member Data by December 13, 2021; environment will be open to Industry information related to the receipt or (2) its Large Industry Members to Members with inter-firm linkage origination of orders, order transmittal, commence reporting to the Central validations for both Phases 2a and 2b in and order modifications, cancellations Repository Phase 2b Industry Member July 2020. and executions. Large Industry Members Data by July 20, 2020, and its Small (5) The Industry Member test and Small Industry OATS Reporters Industry Members to commence environment will be open to Industry would be required to submit data to the reporting to the Central Repository Members with Phase 2c functionality CAT for these same events and Phase 2b Industry Member Data by (full representative order linkages) in scenarios during Phase 2a. The December 13, 2021; January 2021. inclusion of all OATS events and (3) its Large Industry Members to (6) The Industry Member test scenarios in the CAT is intended to commence reporting to the Central environment will be open to Industry facilitate the retirement of OATS. Repository Phase 2c Industry Member Members with Phase 2d functionality Phase 2a Industry Member Data also (manual options orders, complex would include Reportable Events for: • Proprietary orders, including 10 See Section 1.1 of the CAT NMS Plan. options orders, and options allocations) market maker orders, for Eligible 11 See Securities Exchange Act Release No. 88702 in June 2021. (April 20, 2020), 85 FR 23075 (April 24, 2020). As (7) Participant exchanges that support Securities that are equities; discussed in the SEC’s exemptive order, the options market making quoting will Commission granted the Participants conditional 12 Small Industry Members that are not required exemptive relief from the CAT NMS Plan so that the begin accepting Quote Sent Time on to record and report information to FINRA’s OATS Compliance Rules may require Phase 2a reporting quotes from Industry Members no later pursuant to applicable SRO rules (‘‘Small Industry to commence on June 22, 2020, rather than the than April 2020. Non-OATS Reporters’’) would be required to report April 20, 2020 date set forth in the exemptive to the Central Repository ‘‘Phase 2a Industry request, and Phase 2b reporting to commence on (8) The Industry Member test Member Data’’ by December 13, 2021, which is July 20, 2020, rather than the May 18, 2020 date set environment (customer and account approximately seventeen months after Large forth in the exemptive request. As a condition to the information) will be open to Industry Industry Members and Small Industry OATS exemptive relief, Industry Members who elect to Members in January 2022. Reporters begin reporting. report to the CAT prior to such dates will be As a result, the Exchange proposes to 13 The items required to be reported commencing permitted to report to the CAT as early as April 20, in Phase 2a do not include the items required to be 2020 for Phase 2a reporting and as early as May 18, amend its Compliance Rule to be reported in Phase 2c or Phase 2d, as discussed 2020 for Phase 2b reporting. consistent with the exemptive relief to below.

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• electronic quotes in listed equity Each Industry Member may record 2018 date and to supplement paragraph Eligible Securities (i.e., NMS stocks) and report: Manual Order Events to the (c)(1) of Rule 4.16 with new paragraph sent to a national securities exchange or Central Repository in increments up to (c)(1)(A) of Rule 4.16, which would FINRA’s Alternative Display Facility and including one second, provided that state, in relevant part, that ‘‘Each (‘‘ADF’’); each Industry Members shall record and Industry Member (other than a Small • electronic quotes in unlisted report the time when a Manual Order Industry Member) shall record and Eligible Securities (i.e., OTC Equity Event has been captured electronically report the Industry Member Data to the Securities) received by an Industry in an order handling and execution Central Repository, as follows: (A) Phase Member operating an interdealer system of such Industry Member 2a Industry Member Data by June 22, quotation system (‘‘IDQS’’)’’; and (‘‘Electronic Capture Time’’) in 2020.’’ • electronic quotes in unlisted milliseconds. Pursuant to paragraph (c)(2) of Rule Eligible Securities sent to an IDQS or Accordingly, for Phase 2a, Industry 4.16, Small Industry Members are other quotation system not operated by Members would be required to provide required to begin reporting to the CAT a Participant or Industry Member. both the manual and Electronic Capture by November 15, 2019. To implement Phase 2a Industry Member Data Time for Manual Order Events.14 the Phased Reporting for Phase 2a for would include Firm Designated IDs. Industry Members would be required Small Industry Members, the Exchange During Phase 2a, Industry Members to report special handling instructions proposes to delete the November 15, would be required to report Firm for the original receipt or origination of 2019 date and to supplement paragraph Designated IDs to the CAT, as required an order during Phase 2a. In addition, (c)(2) of Rule 4.16 with new paragraphs by paragraphs (a)(1)(A)(i), and (a)(2)(C) during Phase 2a, Industry Members will (c)(2)(A) and (B) of Rule 4.16. Proposed of Rule 4.7. Paragraph (a)(1)(A)(i) of be required to report, when routing an paragraph (c)(2)(A) of Rule 4.16 would Rule 4.7 requires Industry Members to order, whether the order was routed as state that submit the Firm Designated ID for the an intermarket sweep order (‘‘ISO’’). Each Industry Member that is a Small original receipt or origination of an Industry Members would be required to Industry Member shall record and order. Paragraph (a)(2)(C) of Rule 4.7 report special handling instructions on report the Industry Member Data to the requires Industry Members to record routes other than ISOs in Phase 2c, Central Repository, as follows: (A) Small and report to the Central Repository, for rather than Phase 2a. Industry Members that are required to original receipt and origination of an In Phase 2a, Industry Members would record or report information to FINRA’s order, the Firm Designated ID if the not be required to report modifications Order Audit Trail System pursuant to order is executed, in whole or in part. of a previously routed order in certain applicable SRO rules (‘‘Small Industry In Phase 2a, Industry Members would limited instances. Specifically, if a OATS Reporter’’) to report to the Central be required to report all street side trader or trading software modifies a Repository Phase 2a Industry Member representative orders, including both previously routed order, the routing Data by June 22, 2020. agency and proprietary orders and mark firm is not required to report the Proposed paragraph (c)(2)(B) of Rule such orders as representative orders, modification of an order route if the 4.16 would state that ‘‘Small Industry except in certain limited exceptions as destination to which the order was Members that are not required to record described in the Industry Member routed is a CAT Reporter that is or report information to FINRA’s Order Technical Specifications. A required to report the corresponding Audit Trail System pursuant to representative order is an order order activity. If, however, the order was applicable SRO rules (‘‘Small Industry originated in a firm owned or controlled modified by a Customer or other non- Non-OATS Reporter’’) to report to the account, including principal, agency CAT Reporter, and subsequently the Central Repository Phase 2a Industry average price and omnibus accounts, by routing Industry Members sends a Member Data by December 13, 2021.’’ an Industry Member for the purpose of modification to the destination to which working one or more customer or client B. Phase 2b the order was originally routed, then the orders. In the second phase of the Phased routing Industry Member must report In Phase 2a, Industry Members would Reporting, referred to as Phase 2b, Large the modification of the order route.15 In be required to report the link between Industry Members would be required to addition, in Phase 2a, Industry Members the street side representative order and report to the Central Repository ‘‘Phase would not be required to report a the order being represented when: (1) 2b Industry Member Data’’ by July 20, cancellation of an order received from a The representative order was originated 2020. Small Industry Members would be Customer after the order has been specifically to represent a single order required to report to the Central executed. received either from a customer or Repository ‘‘Phase 2b Industry Member another broker-dealer; and (2) there is (ii) Timing of Phase 2a Reporting Data’’ by December 13, 2021, which is (a) an existing direct electronic link in Pursuant to paragraph (c)(1) of Rule approximately seventeen months after the Industry Member’s system between 4.16, Large Industry Members are Large Industry Members begin reporting the order being represented and the required to begin reporting to the CAT such data to the Central Repository. To representative order and (b) any by November 15, 2018. To implement implement the Phased Reporting for resulting executions are immediately the Phased Reporting for Phase 2a for Phase 2b, the Exchange proposes to add and automatically applied to the Large Industry Members, the Exchange paragraph (t)(2) to Rule 4.5 and amend represented order in the Industry proposes to delete the November 15, paragraphs (c)(1) and (2) of Rule 4.16. Member’s system. Phase 2a Industry Member Data also (i) Scope of Phase 2b Reporting 14 Industry Members would be required to would include the manual and provide an Electronic Capture Time following the To implement the Phased Reporting Electronic Capture Time for Manual manual capture time only for new orders that are with respect to Phase 2b, the Exchange Order Events. Specifically, for each Manual Order Events and, in certain instances, proposes to add a definition of ‘‘Phase Reportable Event in Rule 4.7, Industry routes that are Manual Order Events. The Electronic 2b Industry Member Data’’ as paragraph Capture Time would not be required for other Members would be required to provide Manual Order Events. (t)(2) to Rule 4.5. Specifically, the a timestamp pursuant to Rule 4.10. Rule 15 This approach is comparable to the approach Exchange proposes to define the term 4.10(b)(i) states that set forth in OATS Compliance FAQ 35. ‘‘Phase 2b Industry Member Data’’ as

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‘‘Industry Member Data required to be by November 15, 2018. To implement Industry Member Data is described in reported to the Central Repository the Phased Reporting for Phase 2b for detail in the Industry Member Technical commencing in Phase 2b.’’ Phase 2b Large Industry Members, the Exchange Specifications for Phase 2c. While the Industry Member Data is described in proposes to delete the November 15, following summarizes the categories of detail in the Industry Member Technical 2018 date and to supplement paragraph Industry Member Data required for Specifications for Phase 2b. While the (c)(1) of Rule 4.16 with new paragraph Phase 2c, the Industry Member following summarizes the categories of (c)(1)(B) of Rule 4.16, which would Technical Specifications provide Industry Member Data required for state, in relevant part, that ‘‘Each detailed guidance regarding the Phase 2b, the Industry Member Industry Member (other than a Small reporting for Phase 2c. Technical Specifications provide Industry Member) shall record and Phase 2c Industry Member Data detailed guidance regarding the report the Industry Member Data to the would include Industry Member Data reporting for Phase 2b. Central Repository, as follows: . . . (B) that is related to Eligible Securities that Phase 2b Industry Member Data Phase 2b Industry Member Data by July are equities and that is related to: (1) would include Industry Member Data 20, 2020.’’ Allocation Reports as required to be related to Eligible Securities that are Pursuant to paragraph (c)(2) of Rule recorded and reported to the Central options and related to simple electronic 4.16, Small Industry Members are Repository pursuant to Section option orders, excluding electronic required to begin reporting to the CAT 6.4(d)(ii)(A)(1) of the CAT NMS Plan; (2) paired option orders.16 A simple by November 15, 2019. To implement quotes in unlisted Eligible Securities electronic option order is an order to the Phased Reporting for Phase 2b for sent to an IDQS operated by a CAT buy or sell a single option that is not Small Industry Members, the Exchange Reporter (reportable by the Industry related to or dependent on any other proposes to delete the November 15, Member sending the quotes) (except for transaction for pricing and timing of 2019 date and to supplement paragraph quotes reportable in Phase 2d, as execution that is either received or (c)(2) of Rule 4.16 with new paragraph discussed below); (3) electronic quotes routed electronically by an Industry (c)(2)(C) of Rule 4.16, which would in listed equity Eligible Securities (i.e., Member. Electronic receipt of an order state, in relevant part, that ‘‘Each NMS stocks) that are not sent to a is defined as the initial receipt of an Industry Member that is a Small national securities exchange or FINRA’s order by an Industry Member in Industry Member shall record and Alternative Display Facility; (4) electronic form in standard format report the Industry Member Data to the reporting changes to client instructions directly into an order handling or Central Repository, as follows:... (C) regarding modifications to algorithms; execution system. Electronic routing of Small Industry Members to report to the (5) marking as a representative order an order is the routing of an order via Central Repository Phase 2b Industry any order originated to work a customer electronic medium in standard format Member Data . . . by December 13, order in price guarantee scenarios, such from one Industry Member’s order 2021.’’ as a guaranteed VWAP; (6) flagging rejected external routes to indicate a handling or execution system to an C. Phase 2c exchange or another Industry Member. route was not accepted by the receiving In the third phase of the Phased An electronic paired option order is an destination; (7) linkage of duplicate Reporting, referred to as Phase 2c, Large electronic option order that contains electronic messages related to a Manual Industry Members would be required to both the buy and sell side that is routed Order Event between the electronic report to the Central Repository ‘‘Phase to another Industry Member or exchange event and the original manual route; (8) 2c Industry Member Data’’ by April 26, for crossing and/or price improvement special handling instructions on order 2021. Small Industry Members would be as a single transaction on an exchange. route reports (other than the ISO, which required to report to the Central Responses to auctions of simple orders is required to be reported in Phase 2a); Repository ‘‘Phase 2c Industry Member and paired simple orders are also (9) quote identifier on trade events; (10) Data’’ by December 13, 2021, which is 17 reportable in Phase 2b. reporting of large trader identifiers Furthermore, combined orders in approximately seven months after Large (‘‘LTID’’) (if applicable) for accounts options would be treated in Phase 2b in Industry Members begin reporting such with Reportable Events that are the same way as equity representative data to the Central Repository. To reportable to CAT as of and including orders are treated in Phase 2a. A implement the Phased Reporting for Phase 2c; (11) reporting of date account combined order would mean, as Phase 2c, the Exchange proposes to add opened or Account Effective Date 18 (as permitted by Exchange rules, a single, paragraph (t)(3) to Rule 4.5 and amend applicable) for accounts and flag simple order in Listed Options created paragraphs (c)(1) and (2) of Rule 4.16. indicating the Firm Designated ID type by combining individual, simple orders (i) Scope of Phase 2c Reporting as account or relationship; (12) order effective time for orders that are in Listed Options from a customer with To implement the Phased Reporting the same exchange origin code before with respect to Phase 2c, the Exchange routing to an exchange. During Phase 17 See definition of ‘‘Customer Account proposes to add a definition of ‘‘Phase Information’’ in Section 1.1 of the CAT NMS Plan. 2b, the single combined order sent to an 2c Industry Member Data’’ as paragraph See also Rule 13h–1 under the Exchange Act. exchange must be reported and marked (t)(3) to Rule 4.5. Specifically, the 18 See definition of ‘‘Customer Account as a combined order, but the linkage to Exchange proposes to define the term Information’’ and ‘‘Account Effective Date’’ in the underlying orders is not required to Section 1.1 of the CAT NMS Plan. Note that the ‘‘Phase 2c Industry Member Data’’ as Exchange also proposes to amend the dates in the be reported until Phase 2d. ‘‘Industry Member Data required to be definitions of ‘‘Account Effective Date’’ and (ii) Timing of Phase 2b Reporting reported to the Central Repository ‘‘Customer Account Information’’ to reflect the commencing in Phase 2c.’’ Phase 2c Phased Reporting. Specifically, the Exchange Pursuant to paragraph (c)(1) of Rule proposes to amend paragraph (m)(2) of Rule 4.5 to Industry Member Data’’ would be 4.16, Large Industry Members are replace the references to November 15, 2018 and Industry Member Data related to Eligible 2019 with references to the commencement of required to begin reporting to the CAT Securities that are equities other than Phase 2c and Phase 2d. The Exchange also proposes to amend paragraphs (a)(1)(A), (a)(1)(B) and (a)(2)– 16 The items required to be reported in Phase 2b Phase 2a Industry Member Data, Phase (5) of Rule 6810 regarding the definition of do not include the items required to be reported in 2d Industry Member Data or Phase 2e ‘‘Account Effective Date’’ with similar changes to Phase 2d, as discussed below in Section A.4. Industry Member Data. Phase 2c the dates set forth therein.

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received by an Industry Member and do Large Industry Members, the Exchange Eligible Securities that are equities other not become effective until a later time; proposes to delete the November 15, than Phase 2a Industry Member Data or (13) the modification or cancellation of 2018 date and to supplement paragraph Phase 2c Industry Member Data, and an internal route of an order; and (14) (c)(1) of Rule 4.16 with new paragraph Industry Member Data other than Phase linkages to the customer order(s) being (c)(1)(C) of Rule 4.16, which would 2e Industry Member Data. Phase 2d represented for all representative order state, in relevant part, that ‘‘Each Industry Member Data is described in scenarios, including agency average Industry Member (other than a Small detail in the Industry Member Technical price trades, net trades, aggregated Industry Member) shall record and Specifications for Phase 2d. While the orders, and disconnected Order report the Industry Member Data to the following summarizes the categories of Management System (‘‘OMS’’)— Central Repository, as follows: . . . (C) Industry Member Data required for Execution Management System (‘‘EMS’’) Phase 2c Industry Member Data by April Phase 2d, the Industry Member scenarios, as required in the Industry 26, 2021.’’ Technical Specifications provide Member Technical Specifications.19 Pursuant to paragraph (c)(2) of Rule detailed guidance regarding the Phase 2c Industry Member Data also 4.16, Small Industry Members are reporting for Phase 2d. includes electronic quotes that are required to begin reporting to the CAT Phase 2d Industry Member Data provided by or received in a CAT by November 15, 2019. To implement includes with respect to the Eligible Reporter’s order/quote handling or the Phased Reporting for Phase 2c for Securities that are options: (1) Simple execution systems in Eligible Securities Small Industry Members, the Exchange manual orders; (2) electronic and that are equities and are provided by an proposes to delete the November 15, manual paired orders; (3) all complex Industry Member to other market 2019 date and to supplement paragraph orders with linkages to all CAT- participants off a national securities (c)(2) of Rule 4.16 with new paragraph reportable legs; (4) LTIDs (if applicable) exchange under the following (c)(2)(C) of Rule 4.16, which would for accounts with Reportable Events for conditions: (1) An equity bid or offer is state, in relevant part, that ‘‘Each Phase 2d; (5) date account opened or displayed publicly or has been Industry Member that is a Small communicated (a) for listed securities to Industry Member shall record and Account Effective Date (as applicable) the Alternative Display Facility (ADF) report the Industry Member Data to the for accounts with an LTID and flag operated by FINRA; or (b) for unlisted Central Repository, as follows: . . . (C) indicating the Firm Designated ID type as account or relationship for such equity securities to an ‘‘inter-dealer Small Industry Members to report to the 21 quotation system’’ as defined in FINRA Central Repository . . . Phase 2c accounts; (6) Allocation Reports as Rule 6420(c); or (2) an equity bid or Industry Member Data . . . by required to be recorded and reported to offer which is accessible electronically December 13, 2021.’’ the Central Repository pursuant to by customers or other market Section 6.4(d)(ii)(A)(1) of the CAT NMS D. Phase 2d participants and is immediately Plan; (7) the modification or actionable for execution or routing; i.e., In the fourth phase of the Phased cancellation of an internal route of an no further manual or electronic action is Reporting, referred to as Phase 2d, Large order; and (8) linkage between a required by the responder providing the Industry Members and Small Industry combined order and the original quote in order to execute or cause a Members would be required to report to customer orders. trade to be executed). With respect to the Central Repository ‘‘Phase 2d Phase 2d Industry Member Data also OTC Equity Securities, OTC Equity Industry Member Data’’ by December would include electronic quotes that are Securities quotes sent by an Industry 13, 2021. To implement the Phased provided by or received in a CAT Member to an IDQS operated by an Reporting for Phase 2d, the Exchange Reporter’s order/quote handling or Industry Member CAT Reporter (other proposes to add paragraph (t)(4) to Rule execution systems in Eligible Securities than such an IDQS that does not match 4.5 and amend paragraphs (c)(1) and (2) that are options and are provided by an and execute orders) are reportable by of Rule 4.16. Industry Member to other market the Industry Member sending them in (i) Scope of Phase 2d Reporting participants off a national securities Phase 2c. Accordingly, any response to exchange under the following To implement the Phased Reporting a request for quote or other form of conditions: A listed option bid or offer with respect to Phase 2d, the Exchange solicitation response provided in which is accessible electronically by proposes to add a definition of ‘‘Phase standard electronic format (e.g., FIX) customers or other market participants 2d Industry Member Data’’ as paragraph and is immediately actionable (i.e., no that meets this quote definition (i.e., an (t)(4) to Rule 6.5. Specifically, the equity bid or offer which is accessible further action is required by the Exchange proposes to define the term responder providing the quote in order electronically by customers or other ‘‘Phase 2d Industry Member Data’’ as market participants and is immediately to execute or cause a trade to be ‘‘Industry Member Data required to be executed). Accordingly, any response to actionable for execution or routing) reported to the Central Repository a request for quote or other form of would be reportable in Phase 2c. commencing in Phase 2d.’’ 20 solicitation response provided in ‘‘Phase 2d Industry Member Data’’ is (ii) Timing of Phase 2c Reporting standard electronic format (e.g., FIX) Industry Member Data that is related to Pursuant to paragraph (c)(1) of Rule Eligible Securities that are options other 4.16, Large Industry Members are 21 than Phase 2b Industry Member Data, As noted above, the Exchange also proposes to required to begin reporting to the CAT amend the dates in the definitions of ‘‘Account Industry Member Data that is related to by November 15, 2018. To implement Effective Date’’ and ‘‘Customer Account the Phased Reporting for Phase 2c for Information’’ to reflect the Phased Reporting. 20 The Participants have determined that Specifically, the Exchange proposes to amend reporting information regarding the modification or paragraph (m)(2) of Rule 6.5 to replace the 19 In Phase 2c, for any scenarios that involve cancellation of a route is necessary to create the full references to November 15, 2018 and 2019 with orders originated in different systems that are not lifecycle of an order. Accordingly, the Participants references to the commencement of Phase 2c and directly linked, such as a customer order originated require the reporting of information related to the Phase 2d. The Exchange also proposes to amend in an OMS and represented by a principal order modification or cancellation of a route similar to the paragraphs (a)(1)(A), (a)(1)(B) and (a)(2)–(5) of Rule originated in an EMS that is not linked to the OMS, data required for the routing of an order and 6810 regarding the definition of ‘‘Account Effective marking and linkages must be reported as required modification and cancellation of an order pursuant Date’’ with similar changes to the dates set forth in the Industry Member Technical Specifications. to Sections 6.3(d)(ii) and (iv) of the CAT NMS Plan. therein.

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that meets this definition would be Industry Members and Small Industry Industry Member) shall record and reportable in Phase 2d for options. Members would be required to report to report the Industry Member Data to the Phase 2d Industry Member Data also the Central Repository ‘‘Phase 2e Central Repository, as follows: . . . (E) would include with respect to Eligible Industry Member Data’’ by July 11, Phase 2e Industry Member Data by July Securities that are options or equities (1) 2022. To implement the Phased 11, 2022.’’ receipt time of cancellation and Reporting for Phase 2e, the Exchange Pursuant to paragraph (c)(2) of Rule modification instructions through Order proposes to add paragraph (t)(5) to Rule 4.16, Small Industry Members are Cancel Request and Order Modification 4.5 and amend paragraphs (c)(1) and (2) required to begin reporting to the CAT Request events; (2) modifications of of Rule 4.16. by November 15, 2019. To implement previously routed orders in certain (i) Scope of Phase 2e Reporting the Phased Reporting for Phase 2e for instances; and (3) OTC Equity Securities Small Industry Members, the Exchange quotes sent by an Industry Member to To implement the Phased Reporting proposes to delete the November 15, an IDQS operated by an Industry with respect to Phase 2e, the Exchange 2019 date and to supplement paragraph Member CAT Reporter that does not proposes to add a definition of ‘‘Phase (c)(2) of Rule 4.16 with new paragraph match and execute orders. In addition, 2e Industry Member Data’’ as paragraph (c)(2)(D) of Rule 4.16, which would subject to any exemptive or other relief, (t)(5) of Rule 4.16. Specifically, the state, in relevant part, that ‘‘[e]ach Phase 2d Industry Member Data will Exchange proposes to define the term Industry Member that is a Small include verbal or manual quotes on an ‘‘Phase 2e Industry Member Data’’ as Industry Member shall record and exchange floor or in the over-the- ‘‘Industry Member Data required to be report the Industry Member Data to the counter market, where verbal quotes reported to the Central Repository Central Repository, as follows: . . . (E) and manual quotes are defined as bids commencing in Phase 2e. The full scope Small Industry Members to report to the or offers in Eligible Securities provided of Industry Member Data required by Central Repository Phase 2e Industry verbally or that are provided or received the CAT NMS Plan will be required to Member Data by July 11, 2022.’’ other than via a CAT Reporter’s order be reported to the CAT when Phase 2e handling and execution system (e.g., has been implemented, subject to any F. Industry Member Testing quotations provided via email or instant applicable exemptive relief or Requirements messaging). amendments to the CAT NMS Plan.’’ Rule 4.13(a) sets forth various LTIDs and Account Effective Date are (ii) Timing of Phase 2d Reporting compliance dates for the testing and both required to be reported in Phases development for connectivity, Pursuant to paragraph (c)(1) of Rule 2c and 2d in certain circumstances, as acceptance and the submission order 4.16, Large Industry Members are discussed above. The terms ‘‘Customer data. In light of the intent to shift to required to begin reporting to the CAT Account Information’’ and ‘‘Customer Phased Reporting in place of the two by November 15, 2018. To implement Identifying Information’’ are defined in specified dates for the commencement the Phased Reporting for Phase 2d for Rule 4.5 of the Compliance Rule.22 The of reporting for Large and Small Large Industry Members, the Exchange Industry Member Technical Industry Members, the Exchange proposes to delete the November 15, Specifications provide detailed correspondingly proposes to replace the 2018 date and to supplement paragraph guidance regarding the reporting for Industry Member development testing (c)(1) of Rule 4.16 with new paragraph Phase 2e. milestones in Rule 6880(a) with the (c)(1)(D) of Rule 4.16, which would (ii) Timing of Phase 2e Reporting testing milestones set forth in the state, in relevant part, that ‘‘[e]ach exemptive relief. Specifically, the Industry Member (other than a Small Pursuant to paragraph (c)(1) of Rule Exchange proposes to replace Rule Industry Member) shall record and 4.16, Large Industry Members are 6880(a) with the following: report the Industry Member Data to the required to begin reporting to the CAT (1) Industry Member file submission Central Repository, as follows: . . . (D) by November 15, 2018. To implement and data integrity testing for Phases 2a Phase 2d Industry Member Data by the Phased Reporting for Phase 2e for and 2b shall begin in December 2019. December 13, 2021.’’ Large Industry Members, the Exchange Pursuant to paragraph (c)(2) of Rule proposes to delete the November 15, (2) Industry Member testing of the 4.16, Small Industry Members are 2018 date and to supplement paragraph Reporter Portal, including data integrity required to begin reporting to the CAT (c)(1) of Rule 4.16 with new paragraph error correction tools and data by November 15, 2019. To implement (c)(1)(E) of Rule 4.16, which would submissions, shall begin in February the Phased Reporting for Phase 2d for state, in relevant part, that ‘‘[e]ach 2020. Small Industry Members, the Exchange Industry Member (other than a Small (3) The Industry Member test proposes to delete the November 15, environment shall open with intra-firm 2019 date and to supplement paragraph 22 The term ‘‘Customer Account Information’’ linkage validations to Industry Members includes account numbers, and the term ‘‘Customer for both Phases 2a and 2b in April 2020. (c)(2) of Rule 4.16 with new paragraph Identifying Information’’ includes, with respect to (c)(2)(C) of Rule 4.16, which would individuals, dates of birth and SSNs. See Rule 4.5. (4) The Industry Member test state, in relevant part, that ‘‘Each The Participants have received exemptive relief environment shall open to Industry Industry Member that is a Small from the requirements for the Participants to require Members with inter-firm linkage their members to provide dates of birth, account validations for both Phases 2a and 2b in Industry Member shall record and numbers and social security numbers for report the Industry Member Data to the individuals to the CAT. See Securities Exchange July 2020. Central Repository, as follows: . . . (C) Act Release No. 88393 (March 17, 2020), 85 FR (5) The Industry Member test Small Industry Members to report to the 16152 (March 20, 2020). See also Letter to Vanessa environment shall open to Industry Countryman, Secretary, SEC, from Michael Simon, Members with Phase 2c functionality Central Repository . . . Phase 2d CAT NMS Plan Operating Committee Chair, re: Industry Member Data by December 13, Request for Exemptive Relief from Certain (full representative order linkages) in 2021.’’ Provisions of the CAT NMS Plan related to Social January 2021. Security Numbers, Dates of Birth and Account (6) The Industry Member test E. Phase 2e Numbers (Jan. 29, 2020). Given the relief has been granted, Phase 2e Industry Member Data will not environment shall open to Industry In the fifth phase of Phased Reporting, include account numbers, dates of birth and SSNs Members with Phase 2d functionality referred to as Phase 2e, both Large for individuals. (manual options orders, complex

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options orders, and options allocations) Subject to paragraph (b), to the extent Industry Members must comply with in June 2021. that any Industry Member’s order the requirements of the CAT NMS Plan (7) Participant exchanges that support handling or execution systems utilize applicable to Small Industry Members.’’ options market making quoting shall time stamps in increments finer than With these changes, Introducing begin accepting Quote Sent Time on milliseconds, such Industry Member Industry Members would be required to quotes from Industry Members no later shall record and report Industry comply with the requirements in the than April 2020. Member Data to the Central Repository CAT NMS Plan applicable to Small (8) The Industry Member test with time stamps in such finer Industry Members, rather than the environment (customer and account increment up to nanoseconds; provided, requirements in the CAT NMS Plan information) will be open to Industry that Industry Members that capture applicable to Large Industry Members. Members in January 2022. timestamps in increments more granular vi. CCID/PII iv. Granularity of Timestamps than nanoseconds must truncate the timestamps after the nanosecond level On January 29, 2020, the Participants On February 3, 2020, the Participants for submission to CAT, rather than filed with the Commission a request for filed with the Commission a request for rounding such timestamps up or down, exemptive relief from certain exemptive relief from the requirement until April 8, 2025. requirements related to reporting SSNs, in Section 6.8(b) of the CAT NMS Plan dates of birth and account numbers to for each Participant, through its v. Introducing Industry Members the CAT.27 The Commission, Compliance Rule, to require that, to the On February 3, 2020, the Participants Participants and others indicated extent that its Industry Members utilize requested that the Commission exempt security concerns with maintaining timestamps in increments finer than broker-dealers that do not qualify as such sensitive Customer information in nanoseconds in their order handling or Small Industry Members solely because the CAT. On March 17, 2020, the execution systems, such Industry they satisfy Rule 0–10(i)(2) under the Participants received the exemptive Members utilize such finer increment Exchange Act and, as a result, are relief, subject to certain conditions.28 when reporting CAT Data to the Central deemed affiliated with an entity that is Assuming the Participants comply with Repository.23 On April 8, 2020, the not a small business or small the conditions set forth in the PII Participants received the exemptive organization (‘‘Introducing Industry Exemption Order, Industry Members relief.24 As a condition to this Member’’) from the requirements in the would not be required to report SSNs, exemption, the Participants, through CAT NMS Plan applicable to Industry dates of birth and account numbers to their Compliance Rules, will require Members other than Small Industry the CAT NMS Plan. Industry Members that capture Members (‘‘Large Industry Members’’).25 As described in the request for timestamps in increments more granular Instead, such Introducing Industry exemptive relief, the Participants than nanoseconds to truncate the Members would comply with the requested exemptive relief to allow for timestamps, after the nanosecond level requirements in the CAT NMS Plan an alternative approach to generating a for submission to CAT, not round up or applicable to Small Industry Members. CAT Customer ID (‘‘CCID’’) without down in such circumstances. The On April 20, 2020, the SEC granted the requiring Industry Members to report timestamp granularity exemption Participants exemptive relief with SSNs to the CAT (the ‘‘CCID remains in effect for five years, until regard to Introducing Industry Alternative’’). In lieu of retaining such April 8, 2025. After five years, the Members.26 SSNs in the CAT, the Participants exemption would no longer be in effect As a result, the Exchange proposes to would use the CCID Alternative, a unless the period the exemption is in amend its Compliance Rule to adopt a strategy developed by the Chief effect is extended by the SEC. definition of ‘‘Introducing Industry Information Security Officer for the CAT Accordingly, the Exchange proposes Member’’ and to revise Rule 4.16 to and the Chief Information Security to amend its Compliance Rule to reflect require Introducing Industry Members Officers from each of the Participants, in the exemptive relief. Specifically, the to comply with the requirements of the consultation with security experts from Exchange proposes to amend paragraph CAT NMS Plan applicable to Small member firms of Securities Industry and (a)(2) of Rule 4.10. Rule 4.10(a)(2) states Industry Members. Specifically, the Financial Markets Association. The that Exchange proposes to define CCID Alternative facilitates the ability of Subject to paragraph (b), to the extent ‘‘Introducing Industry Member’’ in the Plan Processor to generate a CCID that any Industry Member’s order proposed paragraph (v) to Rule 4.5, as without requiring the Plan Processor to handling or execution systems utilize ‘‘a broker-dealer that does not qualify as receive SSNs or store SSNs within the time stamps in increments finer than a Small Industry Member solely because CAT. Under the CCID Alternative, the milliseconds, such Industry Member such broker-dealer satisfies Rule 0– shall record and report Industry 10(i)(2) under the Exchange Act in that 27 See Letter to Vanessa Countryman, Secretary, Member Data to the Central Repository it introduces transactions on a fully SEC, from Michael Simon, CAT NMS Plan Operating Committee Chair, re: Request for with time stamps in such finer disclosed basis to clearing firms that are Exemptive Relief from Certain Provisions of the increment. not small businesses or small CAT NMS Plan related to Social Security Numbers, The Exchange proposes to amend this organizations.’’ The Exchange also Dates of Birth and Account Numbers (Jan. 29, 2020). provision to read as follows to reflect proposes to add a new paragraph (3) to 28 See Securities Exchange Act Release No. 88393 the exemptive relief: Rule 4.16(c) to state that ‘‘Introducing (March 17, 2020), 85 FR 16152 (March 20, 2020) (Order Granting Conditional Exemptive Relief, Pursuant to Section 36 and Rule 608(e) of the 23 See Letter to Vanessa Countryman, Secretary, 25 See Letter to Vanessa Countryman, Secretary, Securities Exchange Act of 1934, from Section SEC, from Michael Simon, CAT NMS Plan SEC, from Michael Simon, CAT NMS Plan 6.4(d)(ii)(C) and Appendix D Sections 4.1.6, 6.2, Operating Committee Chair, re: Request for Operating Committee Chair, re: Request for 8.1.1, 8.2, 9.1, 9.2, 9.4, 10.1, and 10.3 of the Exemption from Certain Provisions of the National Exemption from Certain Provisions of the National National Market System Plan Governing the Market System Plan Governing the Consolidated Market System Plan Governing the Consolidated Consolidated Audit Trail) (‘‘PII Exemption Order’’). Audit Trail related to Granularity of Timestamps Audit Trail related to Small Industry Members (Feb. The PII Exemption Order lists several conditions and Relationship Identifiers (Feb. 3, 2020). 3, 2020). that must be met by the Exchange. If the Exchange 24 See Securities Exchange Act Release No. 88608 26 See Securities Exchange Act Release No. 88703 does not satisfy the conditions, the PII Exemption (April 8, 2020), 85 FR 20743 (April 14, 2020). (April 20, 2020), 85 FR 23115 (April 24, 2020). Order would not apply to the Exchange.

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Plan Processor would generate a unique requirement to report SSNs, date of [s]ubject to paragraph (3) below, each CCID using a two-phase transformation birth and account numbers to the CAT, Industry Member shall record and process that avoids having SSNs the Exchange proposes to amend its report to the Central Repository the reported to or stored in the CAT. In the Compliance Rule to reflect the following, as applicable (‘‘Received first transformation phase, a CAT exemptive relief. Rule 4.7(a)(2)(C) states Industry Member Data’’ and collectively Reporter would transform the SSN to an that with the information referred to in Rule interim value (the ‘‘transformed value’’). [s]ubject to paragraph (3) below, each 6830(a)(1) ‘‘Industry Member Data’’)) in This transformed value, and not the Industry Member shall record and the manner prescribed by the Operating SSN, would be submitted to a separate report to the Central Repository the Committee pursuant to the CAT NMS system within the CAT (‘‘CCID following, as applicable (‘‘Received Plan: . . . (C) for original receipt or Subsystem’’). The CCID Subsystem Industry Member Data’’ and collectively origination of an order, the Firm would then perform a second with the information referred to in Rule Designated ID for the relevant Customer, transformation to create the globally 6830(a)(1) ‘‘Industry Member Data’’)) in Transformed Value for individual tax unique CCID for each Customer that is the manner prescribed by the Operating payer identification number (‘‘ITIN’’)/ unknown to, and not shared with, the Committee pursuant to the CAT NMS social security number (‘‘SSN’’), and in original CAT Reporter. The CCID would Plan: . . . (C) for original receipt or accordance with Rule 6840, Customer then be sent to the customer and origination of an order, the Firm Account Information and Customer account information system of the CAT, Designated ID for the relevant Customer, Identifying Information for the relevant where it would be linked with the other and in accordance with Rule 6840, Customer. customer and account information. The Customer Account Information and The Exchange also proposes to CCID may then be used by the Customer Identifying Information for include the Transformed Value for Participants’ regulatory staff and the the relevant Customer. individual tax payer identification SEC in queries and analysis of CAT Similarly, Rule 4.8 requires the number (‘‘ITIN’’)/social security number Data. To implement the CCID reporting of Customer Account (‘‘SSN’’) in the Customer information Alternative, the Participants requested Information and Customer Identifying reporting required under Rule 4.8. exemptive relief from the requirement Specifically, the Exchange proposes to in Section 6.4(d)(ii)(C) of the CAT NMS Information to the Central Repository. revise Rule 4.8(a) to require each Plan to require, through their Currently, Rule 4.5(m) defines Industry Member to submit to the Compliance Rules, Industry Members to ‘‘Customer Identifying Information’’ to Central Repository the Transformed record and report SSNs to the Central include, with respect to individuals, Value for individual tax payer Repository for the original receipt of an ‘‘date of birth’’ and ‘‘individual tax identification number (‘‘ITIN’’)/social order. As set forth in one condition of payer identification number (‘‘ITIN’’)/ security number (‘‘SSN’’), for each of its the PII Exemption Order, Industry social security number (‘‘SSN’’).’’ Customers with an Active Account prior Members would be required to Accordingly, the Exchange proposes to to such Industry Member’s transform an SSN to an interim value, replace ‘‘date of birth’’ in the definition commencement of reporting to the and report the transformed value to the of ‘‘Customer Identifying Information’’ CAT. in Rule 4.5(m) (now renumbered Rule Central Repository and in accordance The Participants also requested 4.5(n)) with ‘‘year of birth’’ and to delete with the deadlines set forth in Rule exemptive relief to allow for an ‘‘individual tax payer identification 6880. The Exchange also proposes to alternative approach which would number (‘‘ITIN’’)/social security number revise Rule 4.8(b) to require each exempt the reporting of dates of birth (‘‘SSN’’)’’ from Rule 6810(m) (now Industry Member to submit to the and account numbers 29 to the CAT renumbered Rule 6810(n)). In addition, Central Repository any updates, (‘‘Modified PII Approach’’), and instead currently, Rule 4.5(l) defines ‘‘Customer additions or other changes to the would require Industry Members to Account Information’’ to include Transformed Value for individual tax report the year of birth and the Firm account numbers. The Exchange payer identification number (‘‘ITIN’’)/ Designated ID for each trading account proposes to delete ‘‘account number’’ social security number (‘‘SSN’’) for each associated with the Customers. To from the definition of ‘‘Customer of its Customers with an Active Account implement the Modified PII Approach, Account Information’’ in Rule 4.5(l) on a daily basis. In addition, the the Participants requested exemptive (now renumbered Rule 6810(m)). Exchange proposes to revise Rule 4.8(c) relief from the requirement in Section The Exchange also proposes to add a to require, on a periodic basis as 6.4(d)(ii)(C) of the CAT NMS Plan to definition of the term ‘‘Transformed designated by the Plan Processor and require, through their Compliance Value for individual tax payer approved by the Operating Committee, Rules, Industry Members to record and identification number (‘‘ITIN’’)/social each Industry Member to submit to the report to the Central Repository for the security number (‘‘SSN’’)’’ to Rule 4.5. Central Repository a complete set of the original receipt of an order dates of birth Specifically, the Exchange proposes to Transformed Value for individual tax and account numbers for Customers. As add paragraph (pp) to Rule 4.5 to define payer identification number (‘‘ITIN’’)/ conditions to the exemption, Industry ‘‘Transformed Value for individual tax social security number (‘‘SSN’’) for each Members would be required to report payer identification number (‘‘ITIN’’)/ of its Customers with an Active the year of birth of an individual to the social security number (‘‘SSN’’)’’ to Account. The Exchange also proposes to Central Repository, and to report the mean ‘‘the interim value created by an revise Rule 4.8(d) to require, for each Firm Designated ID to the Central Industry Member based on a Customer Industry Member for which errors in the Repository. ITIN/SSN.’’ Transformed Value for individual tax To implement the request for The Exchange proposes to revise Rule payer identification number (‘‘ITIN’’)/ exemptive relief and to eliminate the 4.7(a)(2)(C) to include the Transformed social security number (‘‘SSN’’) for each Value for individual tax payer of its Customers with an Active Account 29 With respect to this aspect of the requested identification number (‘‘ITIN’’)/social submitted to the Central Repository relief, the PII Exemption Order provided relief with security number (‘‘SSN’’). Specifically, have been identified by the Plan regard to the reporting of all account numbers, not just account numbers for individuals as requested the Exchange proposes to revise Rule Processor or otherwise, such Industry by the Participants. 6830(a)(2)(C) to state: Member to submit corrected data to the

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Central Repository by 5:00 p.m. Eastern Facility Data that is reported to the CAT Compliance Number. This unique trade Time on T+3. would be linked to the related execution identifier would be used to link the Paragraph (1)(B) of Rule 4.5(m), the reports reported by Industry Members. FINRA Facility Data with the execution definition of ‘‘Customer Account To implement this approach in a phased report in the CAT. Specifically, the Information’’ states that ‘‘in those manner, the Participants received Exchange proposes to add new circumstances in which an Industry exemptive relief from the requirement paragraph (a)(2)(E) to Rule 4.7, which Member has established a trading in Sections 6.4(d)(ii)(A)(2) and (B) of the states that: relationship with an institution but has CAT NMS Plan to require, through their (E) If an Industry Member is required not established an account with that Compliance Rules, that Industry to submit and submits a trade report for institution, the Industry Member will’’ Members record and report to the a trade, and, if the trade is cancelled, a . . . ‘‘provide the relationship identifier Central Repository: (1) If the order is cancellation, to one of FINRA’s Trade in lieu of the ‘‘account number.’’ As an executed, in whole or in part, the SRO- Reporting Facilities, OTC Reporting account number will no longer be an Assigned Market Participant Identifier Facility or Alternative Display Facility element in ‘‘Customer Account of the clearing broker, if applicable; and pursuant to applicable SRO rules, and Information,’’ the relationship identifier (2) if the trade is cancelled, a cancelled the Industry Member is required to used in lieu of the account number will trade indicator, subject to certain report the corresponding execution and/ no longer be required as an element of conditions. or cancellation to the Central Customer Account Information. As a condition to this exemption, the Repository: Therefore, the Exchange proposes to Participants would continue to require (1) The Industry Member is required delete the requirement set forth in Rule Industry Members to submit a trade to report to the Central Repository trade 6810(m)(a)(B) regarding relationship report for a trade, and, if the trade is identifier reported by the Industry identifiers from Rule 4.5(m). cancelled, a cancellation, to a FINRA Member to such FINRA facility for the With these changes, Industry Facility pursuant to applicable SRO trade when the Industry Member reports Members would not be required to rules, and to report the corresponding the execution of an order pursuant to report to the Central Repository dates of execution to the Central Repository. In Rule 4.7(a)(1)(E) or cancellation of an birth, SSNs or account numbers addition, Industry Members would be order pursuant to Rule 4.7(a)(1)(D) pursuant to Rule 4.7(a)(2)(C). However, required to report to the Central beginning June 22, 2020 for Large Industry Members would be required to Repository the unique trade identifier Industry Members and Small Industry report the Transformed Value for reported to a FINRA Facility with the OATS Reporters and beginning individual tax payer identification corresponding trade report. December 13, 2021 for Small Industry number (‘‘ITIN’’)/social security number Furthermore, if an Industry Member Non-OATS Reporters, and such trade (‘‘SSN’’) and the year of birth to the does not submit a cancellation to a identifier must be unique beginning Central Repository.30 FINRA Facility, or is unable to provide October 26, 2020 for Large Industry a link between the execution reported to Members and Small Industry OATS vii. FINRA Facility Data Linkage the Central Repository and the related Reporters and beginning December 13, On June 5, 2020, the Participants filed FINRA Facility trade report, then the 2021 for Small Industry Non-OATS with the Commission a request for Industry Member would be required to Reporters. exemptive relief from certain provisions record and report to the Central The Exchange also proposes to relieve of the CAT NMS Plan to allow for an Repository a cancelled trade indicator Industry Members of the obligation to alternative approach to the reporting of and cancelled trade timestamp if the report to the CAT data related to clearing numbers and cancelled trade trade is cancelled. Similarly, if an clearing brokers and trade cancellations indicators.31 The SEC provided this Industry Member does not submit the pursuant to Rules 4.7(a)(2)(A)(ii) and exemptive relief on June 11, 2020.32 clearing number of the clearing broker (B), respectively, as this data will be FINRA is required to report to the to a FINRA Facility for a trade, or is reported by FINRA to the CAT, except Central Repository data collected by unable to provide a link between the in certain circumstances. Accordingly, FINRA’s Trade Reporting Facilities, execution reported to the Central the Exchange proposes new paragraphs FINRA’s OTC Reporting Facility or Repository and the related FINRA (a)(2)(E)(ii) and (iii) to Rule 4.7, which FINRA’s Alternative Display Facility Facility trade report, then the Industry would state: (collectively, ‘‘FINRA Facility’’) Member would be required to record (ii) If the order is executed in whole pursuant to applicable SRO rules and report to the Central Repository the or in part, and the Industry Member (‘‘FINRA Facility Data’’). Included in clearing number as well as contra party submits the trade report to one of this FINRA Facility Data is the clearing information. FINRA’s Trade Reporting Facilities, number of the clearing broker for a As a result, the Exchange proposes to OTC Reporting Facility or Alternative reported trade as well as the cancelled amend its Compliance Rule to reflect Display Facility pursuant to applicable trade indicator. Under this alternative the exemptive relief to implement this SRO rules, the Industry Member is not approach, the clearing number and the alternative approach. Specifically, the required to submit the SRO-Assigned cancelled trade indicator of the FINRA Exchange proposes to require Industry Market Participant Identifier of the Members to report to the CAT with an clearing broker pursuant to Rule 30 The Exchange anticipates that the Compliance execution report the unique trade 4.7(a)(2)(A)(ii); provided, however, if Rule may be further amended when further details identifier reported to a FINRA facility the Industry Member does not report the regarding the CCID Alternative are finalized. with the corresponding trade report. For clearing number of the clearing broker 31 See Letter to Vanessa Countryman, Secretary, example, the unique trade identifier for to such FINRA facility for a trade, or SEC, from Michael Simon, CAT NMS Plan Operating Committee Chair, re: Request for the OTC Reporting Facility and the does not report the unique trade Exemption from Certain Provisions of the National Alternative Display Facility would be identifier to the Central Repository as Market System Plan Governing the Consolidated the Compliance ID, for the FINRA/ required by Rule 4.7(a)(2)(E)(i), then the Audit Trail related to FINRA Facility Data Linkage Nasdaq Trade Reporting Facility, it Industry Member would be required to (June 5, 2020). 32 See Securities Exchange Act Release No. 89051 would be the Branch Sequence Number, record and report to the Central (June 11, 2020) (Federal Register publication and for the FINRA/NYSE Trade Repository the clearing number of the pending). Reporting Facility, it would the FINRA clearing broker as well as information

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about the contra party to the trade Plan. In approving the Plan, the SEC 19(b)(3)(A)(iii) of the Act 34 and beginning April 26, 2021 for Large noted that the Plan ‘‘is necessary and subparagraph (f)(6) of Rule 19b–4 Industry Members and Small Industry appropriate in the public interest, for thereunder.35 OATS Reporters and beginning the protection of investors and the A proposed rule change filed under December 13, 2021 for Small Industry maintenance of fair and orderly markets, Rule 19b–4(f)(6) 36 normally does not Non-OATS Reporters; and to remove impediments to, and perfect become operative prior to 30 days after (iii) if the trade is cancelled and the the mechanism of a national market the date of the filing. However, pursuant Industry Member submits the system, or is otherwise in furtherance of to Rule 19b–4(f)(6)(iii),37 the cancellation to one of FINRA’s Trade the purposes of the Act.’’ 33 To the Commission may designate a shorter Reporting Facilities, OTC Reporting extent that this proposal implements the time if such action is consistent with the Facility or Alternative Display Facility Plan, including the exemptive relief, protection of investors and the public pursuant to applicable SRO rules, the and applies specific requirements to interest. The Exchange has asked the Industry Member is not required to Industry Members, the Exchange Commission to waive the 30-day submit the cancelled trade indicator believes that this proposal furthers the operative delay so that the proposal may pursuant to Rule 4.7(a)(2)(B); provided, objectives of the Plan, as identified by become operative by June 22, 2020. The however, if the Industry Member does the SEC, and is therefore consistent with Commission believes that waiver of the not report a cancellation for a canceled the Act. 30-day operative delay is consistent trade to such FINRA facility, or does not with the protection of investors and the B. Self-Regulatory Organization’s report the unique trade identifier as public interest because it implements Statement on Burden on Competition required by 4.7(a)(2)(E)(i), then the exemptive relief from the CAT NMS Industry Member would be required to The Exchange does not believe that Plan granted by the Commission and record and report to the Central the proposed rule change will result in facilitates the start of Industry Member Repository a cancelled trade indicator as any burden on competition that is not reporting on June 22, 2020. In addition, well as a cancelled trade timestamp necessary or appropriate in furtherance as noted by the Exchange, the proposed beginning June 22, 2020 for Large of the purposes of the Act. The rule change is based on a filing recently Industry Members and Small Industry Exchange notes that the proposed rule approved by the Commission.38 OATS Reporters and beginning changes are consistent with certain Accordingly, the Commission waives December 13, 2021 for Small Industry exemptions from the CAT NMS Plan, the 30-day operative delay and Non-OATS Reporters. facilitate the retirement of certain designates the proposed rule change 2. Statutory Basis existing regulatory systems, and are operative as of June 22, 2020.39 designed to assist the Exchange in At any time within 60 days of the The Exchange believes the proposed meeting its regulatory obligations rule change is consistent with the filing of the proposed rule change, the pursuant to the Plan. The Exchange also Securities Exchange Act of 1934 (the Commission summarily may notes that the amendments to the ‘‘Act’’) and the rules and regulations temporarily suspend such rule change if Compliance Rules will apply equally to thereunder applicable to the Exchange it appears to the Commission that such all Industry Members that trade NMS and, in particular, the requirements of action is: (i) Necessary or appropriate in Securities and OTC Equity Securities. In Section 6(b) of the Act. Specifically, the the public interest; (ii) for the protection addition, all national securities Exchange believes the proposed rule of investors; or (iii) otherwise in exchanges and FINRA are proposing change is consistent with the Section furtherance of the purposes of the Act. these amendments to their Compliance 6(b)(5) requirements that the rules of an If the Commission takes such action, the Rules. Therefore, this is not a exchange be designed to prevent Commission shall institute proceedings fraudulent and manipulative acts and competitive rule filing, and, therefore, it to determine whether the proposed rule practices, to promote just and equitable does not impose a burden on should be approved or disapproved. competition. principles of trade, to foster cooperation IV. Solicitation of Comments and coordination with persons engaged C. Self-Regulatory Organization’s in regulating, clearing, settling, Statement on Comments on the Interested persons are invited to processing information with respect to, Proposed Rule Change Received From submit written data, views, and and facilitating transactions in Members, Participants, or Others arguments concerning the foregoing, securities, to remove impediments to including whether the proposed rule The Exchange neither solicited nor and perfect the mechanism of a free and change is consistent with the Act. received comments on the proposed open market and a national market Comments may be submitted by any of rule change. system, and, in general, to protect the following methods: investors and the public interest. III. Date of Effectiveness of the Additionally, the Exchange believes the Proposed Rule Change and Timing for 34 15 U.S.C. 78s(b)(3)(A)(iii). proposed rule change is consistent with Commission Action 35 17 CFR 240.19b–4(f)(6). In addition, Rule 19b– 4(f)(6)(iii) requires a self-regulatory organization to the Section 6(b)(5) requirement that the Because the foregoing proposed rule give the Commission written notice of its intent to rules of an exchange not be designed to change does not: (i) Significantly affect file the proposed rule change, along with a brief permit unfair discrimination between description and the text of the proposed rule the protection of investors or the public change, at least five business days prior to the date customers, issuers, brokers, or dealers. interest; (ii) impose any significant The Exchange believes that this of filing of the proposed rule change, or such burden on competition; and (iii) become shorter time as designated by the Commission. The proposal is consistent with the Act operative for 30 days from the date on Exchange has satisfied this requirement. because it is consistent with certain 36 which it was filed, or such shorter time 17 CFR 240.19b–4(f)(6). exemptions from the CAT NMS Plan, 37 17 CFR 240.19b–4(f)(6)(iii). as the Commission may designate, it has because it facilitates the retirement of 38 See Securities Exchange Act Release No. 89108 become effective pursuant to Section certain existing regulatory systems, and (June 19, 2020). 39 For purposes only of waiving the 30-day is designed to assist the Exchange and 33 See Securities Exchange Act Release No. 79318 operative delay, the Commission has considered the its Industry Members in meeting (November 15, 2016), 81 FR 84696, 84697 proposed rule’s impact on efficiency, competition, regulatory obligations pursuant to the (November 23, 2016). and capital formation. See 15 U.S.C. 78c(f).

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Electronic Comments SECURITIES AND EXCHANGE SUSQUEHANNA RIVER BASIN COMMISSION COMMISSION • Use the Commission’s internet comment form (http://www.sec.gov/ Sunshine Act Meetings Projects Approved for Minor rules/sro.shtml); or Modifications • TIME AND DATE: Send an email to rule-comments@ 2:00 p.m. on Wednesday, AGENCY: Susquehanna River Basin sec.gov. Please include File Number SR– July 1, 2020. Commission. CboeBZX–2020–052 on the subject line. PLACE: The meeting will be held via ACTION: Notice. Paper Comments remote means and/or at the Commission’s headquarters, 100 F SUMMARY: This notice lists the minor • Send paper comments in triplicate Street NE, Washington, DC 20549. modifications approved for a previously to Secretary, Securities and Exchange approved project by the Susquehanna Commission, 100 F Street NE, STATUS: This meeting will be closed to River Basin Commission during the Washington, DC 20549–1090. the public. period set forth in DATES. DATES: May 1–31, 2020. All submissions should refer to File MATTERS TO BE CONSIDERED: Number SR–CboeBZX–2020–052. This Commissioners, Counsel to the ADDRESSES: Susquehanna River Basin file number should be included on the Commissioners, the Secretary to the Commission, 4423 North Front Street, subject line if email is used. To help the Commission, and recording secretaries Harrisburg, PA 17110–1788. Commission process and review your will attend the closed meeting. Certain FOR FURTHER INFORMATION CONTACT: comments more efficiently, please use staff members who have an interest in Jason E. Oyler, General Counsel, only one method. The Commission will the matters also may be present. telephone: (717) 238–0423, ext. 1312; post all comments on the Commission’s In the event that the time, date, or fax: (717) 238–2436; email: joyler@ internet website (http://www.sec.gov/ location of this meeting changes, an srbc.net. Regular mail inquiries may be sent to the above address. rules/sro.shtml). Copies of the announcement of the change, along with submission, all subsequent the new time, date, and/or place of the SUPPLEMENTARY INFORMATION: This amendments, all written statements meeting will be posted on the notice lists previously approved with respect to the proposed rule Commission’s website at https:// projects, receiving approval of minor change that are filed with the www.sec.gov. modifications, described below, Commission, and all written pursuant to 18 CFR 806.18 or to The General Counsel of the Commission Resolution Nos. 2013–11 communications relating to the Commission, or his designee, has and 2015–06 for the time period proposed rule change between the certified that, in his opinion, one or specified above: Commission and any person, other than more of the exemptions set forth in 5 those that may be withheld from the U.S.C. 552b(c)(3), (5), (6), (7), (8), 9(B) Minor Modifications Issued Under 18 CFR 806.18 public in accordance with the and (10) and 17 CFR 200.402(a)(3), provisions of 5 U.S.C. 552, will be (a)(5), (a)(6), (a)(7), (a)(8), (a)(9)(ii) and 1. Pennsylvania General Energy available for website viewing and (a)(10), permit consideration of the Company, L.L.C., Docket No. 20200312, printing in the Commission’s Public scheduled matters at the closed meeting. Plunketts Creek township, Lycoming Reference Room, 100 F Street NE, County, Pa.; approval to change intake The subject matter of the closed Washington, DC 20549, on official design from a submerged intake to an meeting will consist of the following business days between the hours of intake within a buried concrete vault; topic: 10:00 a.m. and 3:00 p.m. Copies of the Approval Date: May 6, 2020. filing also will be available for Institution and settlement of 2. Dillsburg Area Authority, Docket inspection and copying at the principal injunctive actions; No. 20190904, Carroll Township, York office of the Exchange. All comments Institution and settlement of County, Pa.; approval to revise received will be posted without change. administrative proceedings; monitoring condition contained within Special Condition 20 allowing for an Persons submitting comments are Resolution of litigation claims; and cautioned that we do not redact or edit alternate monitoring location; Approval personal identifying information from Other matters relating to enforcement Date: May 14, 2020. comment submissions. You should proceedings. Authority: Pub. L. 91–575, 84 Stat. 1509 submit only information that you wish At times, changes in Commission et seq., 18 CFR parts 806, 807, and 808 to make available publicly. All priorities require alterations in the Dated: June 22, 2020. submissions should refer to File scheduling of meeting agenda items that Jason E. Oyler, Number SR–CboeBZX–2020–052 and may consist of adjudicatory, General Counsel and Secretary to the should be submitted on or before July examination, litigation, or regulatory Commission. 20, 2020. matters. [FR Doc. 2020–13954 Filed 6–26–20; 8:45 am] For the Commission, by the Division of CONTACT PERSON FOR MORE INFORMATION: BILLING CODE 7040–01–P Trading and Markets, pursuant to delegated For further information; please contact authority.40 Vanessa A. Countryman from the Office SUSQUEHANNA RIVER BASIN J. Matthew DeLesDernier, of the Secretary at (202) 551–5400. COMMISSION Assistant Secretary. Dated: June 24, 2020. [FR Doc. 2020–13877 Filed 6–26–20; 8:45 am] Vanessa A. Countryman, Projects Approved for Consumptive BILLING CODE 8011–01–P Secretary. Uses of Water [FR Doc. 2020–14017 Filed 6–25–20; 11:15 am] AGENCY: Susquehanna River Basin 40 17 CFR 200.30–3(a)(12). BILLING CODE 8011–01–P Commission.

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ACTION: Notice. Lycoming County, Pa.; Consumptive Albany Township, Bradford County, Use of Up to 8.0000 mgd; Approval Pa.; Consumptive Use of Up to 7.5000 SUMMARY: This notice lists the projects Date: May 11, 2020. mgd; Approval Date: May 17, 2020 approved by rule by the Susquehanna 9. SWEPI LP; Pad ID: Cascarino 443; 22. Repsol Oil & Gas USA, LLC; Pad River Basin Commission during the ABR–20100222.R2; Shippen Township, ID: ZIEGLER (03 001) E; ABR– period set forth in DATES. Tioga County, Pa.; Consumptive Use of 20100424.R2; Columbia Township, DATES: May 1–31, 2020 Up to 3.0000 mgd; Approval Date: May Bradford County, Pa.; Consumptive Use ADDRESSES: Susquehanna River Basin 11, 2020. of Up to 6.0000 mgd; Approval Date: Commission, 4423 North Front Street, 10. Chesapeake Appalachia, L.L.C.; May 17, 2020. Harrisburg, PA 17110–1788. Pad ID: Alton; ABR–20100411.R2; 23. SWEPI LP; Pad ID: Halteman 611; FOR FURTHER INFORMATION CONTACT: Ulster Township, Bradford County, Pa.; ABR–20100406.R2; Delmar Township, Jason E. Oyler, General Counsel and Consumptive Use of Up to 7.5000 mgd; Tioga County, Pa.; Consumptive Use of Secretary to the Commission, telephone: Approval Date: May 13, 2020. Up to 4.0000 mgd; Approval Date: May (717) 238–0423, ext. 1312; fax: (717) 11. Repsol Oil & Gas USA, LLC; Pad 17, 2020. 238–2436; email: [email protected]. ID: DCNR 587 (02 014); ABR– 24. SWEPI LP; Pad ID: Lange 447; Regular mail inquiries May be sent to 20100309.R2; Ward Township, Tioga ABR–20100428.R2; Delmar Township, the above address. County, Pa.; Consumptive Use of Up to Tioga County, Pa.; Consumptive Use of 6.0000 mgd; Approval Date: May 13, Up to 1.0000 mgd; Approval Date: May SUPPLEMENTARY INFORMATION: This 2020. 17, 2020. notice lists the projects, described 12. ARD Operating, LLC; Pad ID: 25. Cabot Oil & Gas Corporation; Pad below, receiving approval for the Texas Blockhouse F&G B; ABR– ID: ChambersO P1; ABR–201504004.R1; consumptive use of water pursuant to 20100207.R2; Pine Township, Lycoming Harford Township, Susquehanna the Commission’s approval by rule County, Pa.; Consumptive Use of Up to County, Pa.; Consumptive Use of Up to process set forth in 18 CFR 806.22 3.0000 mgd; Approval Date: May 13, 5.0000 mgd; Approval Date: May 17, (f)(13) and 18 CFR 806.22 (f) for the time 2020. 2020. period specified above: 13. ARD Operating, LLC; Pad ID: COP 26. Chesapeake Appalachia, L.L.C.; Water Source Approval—Issued Tr 231 C; ABR–20100304.R2; Boggs & Pad ID: Blanche Poulsen; ABR– Under 18 CFR 806.22(f): Snowshoe Townships, Centre County, 202005002; Rush Township, 1. Tilden Marcellus, LLC; Pad ID: Pa.; Consumptive Use of Up to 3.0000 Susquehanna County, Pa.; Consumptive State 822 Pad; ABR–202005003; Gaines mgd; Approval Date: May 13, 2020. Use of Up to 7.5000 mgd; Approval Township, Tioga County, Pa.; 14. SWEPI LP; Pad ID: Parthemer 284; Date: May 18, 2020. Consumptive Use of Up to 4.9900 mgd; ABR–20100311.R2; Charleston 27. Chesapeake Appalachia, L.L.C.; Approval Date: May 3, 2020. Township, Tioga County, Pa.; Pad ID: Amburke; ABR–20100438.R2; 2. Tilden Marcellus, LLC; Pad ID: Consumptive Use of Up to 4.0000 mgd; Auburn Township, Susquehanna State 815 Pad; ABR–202005004; Elk & Approval Date: May 13, 2020. County, Pa.; Consumptive Use of Up to Gaines Townships, Tioga County, Pa.; 15. SWEPI LP; Pad ID: Cummings 823; 7.5000 mgd; Approval Date: May 20, Consumptive Use of Up to 4.9900 mgd; ABR–20100350.R2; Chatham Township, 2020. Approval Date: May 3, 2020. Tioga County, Pa.; Consumptive Use of 28. Chief Oil & Gas, LLC; Pad ID: 3. Chief Oil & Gas, LLC.; Pad ID: Up to 4.0000 mgd; Approval Date: May Oliver Drilling Pad #1; ABR– Cahill Realty Business Unit Pad; ABR– 13, 2020. 20100425.R2; Springville Township, 202005005; Overton Township, 16. SWEPI LP; Pad ID: Waskiewicz Susquehanna County, Pa.; Consumptive Bradford County, Pa.; Consumptive Use 445; ABR–20100330.R2; Delmar Use of Up to 2.0000 mgd; Approval of Up to 2.5000 mgd; Approval Date: Township, Tioga County, Pa.; Date: May 20, 2020. May 3, 2020. Consumptive Use of Up to 1.0000 mgd; 29. XTO Energy, Inc.; Pad ID: 4. Repsol Oil & Gas USA, LLC; Pad ID: Approval Date: May 13, 2020. MARQUARDT UNIT 8517H; ABR– DCNR (02 006); ABR–20100355.R2; 17. Seneca Resources Company, LLC; 20100417.R2; Penn Township, Ward Township, Tioga County, Pa.; Pad ID: CRV Pad C09D; ABR– Lycoming County, Pa.; Consumptive Consumptive Use of Up to 6.0000 mgd; 201504001.R1; Shippen Township, Use of Up to 4.0000 mgd; Approval Approval Date: May 3, 2020. Cameron County, Pa.; Consumptive Use Date: May 20, 2020. 5. SWN Production Company, LLC.; of Up to 4.0000 mgd; Approval Date: 30. Cabot Oil & Gas Corporation; Pad Pad ID: LU–10 ELLY MAY—PAD; ABR– May 13, 2020. ID: KelleyP P1; ABR–20100310.R2; 202005001; Cogan House Township, 18. EOG Resources, Inc.; Pad ID: Dimock Township, Susquehanna Lycoming County, Pa.; Consumptive HARKNESS 2H; ABR–20091220.R2; County, Pa.; Consumptive Use of Up to Use of Up to 4.9990 mgd; Approval Springfield Township, Bradford County, 5.0000 mgd; Approval Date: May 20, Date: May 8, 2020. Pa.; Consumptive Use of Up to 1.9990 2020. 6. Chief Oil & Gas, LLC.; Pad ID: mgd; Approval Date: May 17, 2020. 31. Cabot Oil & Gas Corporation; Pad Kingsley Drilling Pad #1; ABR– 19. Chesapeake Appalachia, L.L.C.; ID: BlaisureJo P1; ABR–20100325.R2; 20100336.R2; Monroe Township, Pad ID: Everbreeze; ABR–20100408.R2; Jessup Township, Susquehanna County, Bradford County, Pa.; Consumptive Use Troy Township, Bradford County, Pa.; Pa.; Consumptive Use of Up to 3.5750 of Up to 2.0000 mgd; Approval Date: Consumptive Use of Up to 7.5000 mgd; mgd; Approval Date: May 20, 2020. May 8, 2020. Approval Date: May 17, 2020. 32. Cabot Oil & Gas Corporation; Pad 7. SWN Production Company, LLC.; 20. Chesapeake Appalachia, L.L.C.; ID: BlaisureJe P1; ABR–20100431.R2; Pad ID: Reeve; ABR–20100403.R2; Pad ID: Henry; ABR–20100421.R2; Dimock Township, Susquehanna Herrick Township, Bradford County, Auburn Township, Susquehanna County, Pa.; Consumptive Use of Up to Pa.; Consumptive Use of Up to 4.9990 County, Pa.; Consumptive Use of Up to 5.000 mgd; Approval Date: May 20, mgd; Approval Date: May 8, 2020. 7.5000 mgd; Approval Date: May 17, 2020. 8. EXCO Resources (PA), LLC; Pad ID: 2020. 33. Chesapeake Appalachia, L.L.C.; Kensinger 3H Drilling Pad #1; ABR– 21. Chesapeake Appalachia, L.L.C.; Pad ID: Angie; ABR–20100441.R2; 20100205.R2; Penn Township, Pad ID: Koromlan; ABR–20100423.R2; Auburn Township, Susquehanna

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County, Pa.; Consumptive Use of Up to OFFICE OF THE UNITED STATES and suppliers of such products. In 7.5000 mgd; Approval Date: May 21, TRADE REPRESENTATIVE accordance with Section 301(b)(1) of the 2020. Trade Agreements Act, Mexico is so Determination Regarding Waiver of designated for purposes of Section 34. Chesapeake Appalachia, L.L.C.; Discriminatory Purchasing Pad ID: Holtan; ABR–20100446.R2; 301(a) of the Trade Agreements Act. Requirements With Respects to Goods 2. With respect to eligible products of Auburn Township, Susquehanna and Services Covered by Chapter Mexico (i.e., goods and services covered County, Pa.; Consumptive Use of Up to Thirteen of the USMCA by the Schedule of the United States in 7.5000 mgd; Approval Date: May 21, Annex 13–A of the USMCA) and 2020. AGENCY: Office of the United States Trade Representative. suppliers of such products, the 35. Chesapeake Appalachia, L.L.C.; application of any law, regulation, ACTION: Notice. Pad ID: Nickolyn; ABR–20100436.R2; procedure, or practice regarding Auburn Township, Susquehanna DATES: Applicable as of July 1, 2020. government procurement that would, if applied to such products and suppliers, County, Pa.; Consumptive Use of Up to FOR FURTHER INFORMATION CONTACT: Kate 7.5000 mgd; Approval Date: May 21, Psillos, International Procurement result in treatment less favorable than 2020. Negotiator, Kathryn.W.Psillos@ accorded: a. To United States products and 36. Chesapeake Appalachia, L.L.C.; ustr.eop.gov or 202–395–9581, or J. suppliers of such products; or Pad ID: Way; ABR–20100448.R2; Daniel Stirk, Senior Associate General b. To eligible products of another Wyalusing Township, Bradford County, Counsel, [email protected] or 202–395–3150. foreign country or instrumentality Pa.; Consumptive Use of Up to 7.5000 which is a party to the Agreement on SUPPLEMENTARY INFORMATION: mgd; Approval Date: May 21, 2020. On June Government Procurement referred to in 37. Repsol Oil & Gas USA, LLC; Pad 12, 2017 (82 FR 23699), the President section 101(d)(17) of the Uruguay ID: CALABRO T1; ABR–201505006.R1; announced his intention to commence Round Agreements Act (19 U.S.C. negotiations with Canada and Mexico to Orange Town, Schuyler County, NY; 3511(d)(17)) and suppliers of such modernize the North American Free Consumptive Use of Up to 0.0800 mgd; products, shall be waived. Trade Agreement (NAFTA). On Approval Date: May 27, 2020. With respect to Mexico, this waiver November 30, 2018, the Governments of shall be applied by all entities listed in 38. Repsol Oil & Gas USA, LLC; Pad the United States, Mexico, and Canada the Schedule of the United States in ID: WEBSTER T1; ABR–201505008.R1; (the Parties) signed the protocol Annex 13–A of USMCA. Orange Town, Schuyler County, NY; replacing NAFTA with the United 3. The designation in paragraph 1 and Consumptive Use of Up to 0.0800 mgd; States-Mexico-Canada Agreement the waiver in paragraph 2 are subject to Approval Date: May 27, 2020. (USMCA). On December 10, 2019, the modification or withdrawal by the U.S. 39. Repsol Oil & Gas USA, LLC; Pad Parties signed the protocol of Trade Representative. ID: DRUMM G2; ABR–201505009.R1; amendment to the USMCA. On January Daniel Watson, Bradford Town, Steuben County, NY; 29, 2020, the President signed into law the United States-Mexico-Canada Consumptive Use of Up to 0.0800 mgd; Acting Assistant U.S. Trade Representative Agreement Implementation Act (Pub. L. for Western Hemisphere, Office of the United Approval Date: May 27, 2020. 116–113), through which Congress States Trade Representative. 40. Chesapeake Appalachia, L.L.C.; approved the USMCA. On July 1, 2020, [FR Doc. 2020–13864 Filed 6–26–20; 8:45 am] Pad ID: Pauliny; ABR–20100508.R2; the USMCA will enter in force. BILLING CODE 3290–F00–P Terry Township, Bradford County, Pa.; Chapter 13 of the USMCA sets forth Consumptive Use of Up to 7.5000 mgd; certain obligations between the United Approval Date: May 29, 2020. States and Mexico with respect to DEPARTMENT OF TRANSPORTATION 41. Chesapeake Appalachia, L.L.C.; government procurement of goods and services, as specified in Annex 13–A of National Highway Traffic Safety Pad ID: Ballibay; ABR–20100409.R2; the USMCA. Chapter 13 of the USMCA Administration Herrick Township, Bradford County, applies only between Mexico and the Pa.; Consumptive Use of Up to 7.5000 [Docket No. NHTSA–2019–0124; Notice 1] United States and does not cover mgd; Approval Date: May 29, 2020. Canada. North America Subaru, Inc., Receipt of 42. XTO Energy, Inc.; Pad ID: PA Section 1–201 of Executive Order Petition for Decision of Tract C; ABR–202005006; Chapman 12260 of December 31, 1980 (46 FR Inconsequential Noncompliance Township, Clinton County, Pa.; 1653) delegates the functions of the Consumptive Use of Up to 4.0000 mgd; President under Sections 301 and 302 of AGENCY: National Highway Traffic Approval Date: May 29, 2020. the Trade Agreements Act of 1979 Safety Administration (NHTSA), (Trade Agreements Act) (19 U.S.C. Department of Transportation (DOT). Authority: Pub. L. 91–575, 84 Stat. 1509 2511–2512) to the U.S. Trade et seq., 18 CFR parts 806, 807, and 808 ACTION: Receipt of petition. Representative. Dated June 24, 2020. In conformity with Sections 301 and SUMMARY: North America Subaru, Inc., Jason E. Oyler, 302 of the Trade Agreements Act and (NASI) on behalf of Subaru Corporation General Counsel and Secretary to the Executive Order 12260, and in order to and Subaru of America, Inc. (Subaru) Commission. carry out U.S. obligations under Chapter has determined that certain model year (MY) 2016—2020 Subaru Impreza motor [FR Doc. 2020–13953 Filed 6–26–20; 8:45 am] 13 of the USMCA, the U.S. Trade Representative has determined that: vehicles do not fully comply with BILLING CODE 7040–01–P 1. Mexico is a country that has Federal Motor Vehicle Safety Standard become a party to the USMCA and will (FMVSS) No. 108, Lamps, Reflective provide appropriate reciprocal Devices, and Associated Equipment. competitive government procurement Subaru filed a noncompliance report opportunities to United States products dated October 10, 2019. Subaru also

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petitioned NHTSA on October 23, 2019, All comments, background Each reflex reflector must be designed to for a decision that the subject documentation, and supporting conform to the photometry requirements noncompliance is inconsequential as it materials submitted to the docket may of Table XVI-a, when tested according to relates to motor vehicle safety. This be viewed by anyone at the address and the procedure of S14.2.3, for the reflex document announces receipt of times given above. The documents may reflector as specified by FMVSS No. Subaru’s petition. also be viewed on the internet at https:// 108. Each replaceable bulb headlamp DATES: The closing date for comments www.regulations.gov by following the must be designed to conform to the on the petition is July 29, 2020. online instructions for accessing the photometry requirements of Table XVIII for upper beam and Table XIX for lower ADDRESSES: Interested persons are dockets. The docket ID number for this invited to submit written data, views, petition is shown in the heading of this beam as specified in Table II-d for the and arguments on this petition. notice. specific headlamp unit and aiming method, when tested according to the Comments must refer to the docket DOT’s complete Privacy Act procedure of S14.2.5 using any number and notice number cited in the Statement is available for review in a replaceable light source designated for title of this notice and may be submitted Federal Register notice published on use in the system under test. by any of the following methods: April 11, 2000, (65 FR 19477–78). • SUPPLEMENTARY INFORMATION: V. Summary of NASI’s Petition: Mail: Send comments by mail The following views and arguments I. Overview: Subaru has determined addressed to the U.S. Department of presented in this section, V. Summary that certain MY 2016—2019 Subaru Transportation, Docket Operations, M– of NASI’s Petition, are the views and Impreza motor vehicles do not fully 30, West Building Ground Floor, Room arguments provided by Subaru. They comply with S7.4.13.1 of FMVSS No. W12–140, 1200 New Jersey Avenue SE, have not been evaluated by the Agency Washington, DC 20590. 108, Lamps, Reflective Devices, and • and do not reflect the views of the Hand Delivery: Deliver comments Associated Equipment (49 CFR Agency. by hand to the U.S. Department of 571.108). Subaru filed a noncompliance NASI described the subject Transportation, Docket Operations, M– report dated October 10, 2019, pursuant noncompliance and stated its belief that 30, West Building Ground Floor, Room to 49 CFR part 573, Defect and the noncompliance is inconsequential W12–140, 1200 New Jersey Avenue SE, Noncompliance Responsibility and as it relates to motor vehicle safety. Washington, DC 20590. The Docket Reports. Subaru also petitioned NHTSA NASI submitted the following views Section is open on weekdays from 10 on October 23, 2019, for an exemption and arguments in support of its petition: a.m. to 5 p.m. except for Federal from the notification and remedy 1. NASI submits that the Holidays. requirements of 49 U.S.C. Chapter 301 nonconformance relating to side reflex • Electronically: Submit comments on the basis that this noncompliance is reflector photometry is inconsequential electronically by logging onto the inconsequential as it relates to motor as it relates to motor vehicle safety for Federal Docket Management System vehicle safety, pursuant to 49 U.S.C. the following reasons: (FDMS) website at https:// 30118(d) and 30120(h) and 49 CFR part a. Real world testing conducted by www.regulations.gov/. Follow the online 556, Exemption for Inconsequential Subaru showed that noncompliant and instructions for submitting comments. Defect or Noncompliance. compliant reflex reflectors are equally • Comments may also be faxed to This notice of receipt, of Subaru’s detectable in real world conditions. An (202) 493–2251. petition, is published under 49 U.S.C. overview of cognitive performance Comments must be written in the 30118 and 30120 and does not represent testing of the compliant and English language, and be no greater than any agency decision or other exercises noncompliant reflex reflectors is 15 pages in length, although there is no of judgment concerning the merits of the attached to this petition. The test set-up limit to the length of necessary petition. simulated a condition typical of a attachments to the comments. If II. Vehicles Involved: Approximately vehicle approaching an unlit, comments are submitted in hard copy 63,697 MY 2016—2020 Subaru Impreza perpendicular vehicle stalled in the form, please ensure that two copies are 4 door and approximately 124,703 driving lane. This test condition provided. If you wish to receive Subaru Impreza Stationwagon, totaling simulates a real world condition where confirmation that comments you have 188,400 motor vehicles manufactured side reflex reflectors would support submitted by mail were received, please between September 23, 2016, and improved visibility of that vehicle. The enclose a stamped, self-addressed August 7, 2019, are potentially test results show that, with respect to postcard with the comments. Note that involved. light reflectance and their ability to be all comments received will be posted III. Noncompliance: NASI explains detected, there is no noticeable without change to https:// that the noncompliance is that the difference observable between the fully www.regulations.gov, including any subject vehicles are equipped with compliant reflex reflector and the reflex personal information provided. headlamp assemblies that do not meet reflector that marginally under-complies All comments and supporting the requirements of paragraphs S8.1.11 at select test points. materials received before the close of and S10.15.6 of FMVSS No. 108. b. At a majority of the test points business on the closing date indicated Specifically, the left front and right front where the tested reflex reflectors were above will be filed in the docket and halogen headlamp assemblies, found to have measured intensities will be considered. All comments and containing the side reflex reflector and below the required minimum values, supporting materials received after the low beam reflector, may not fully meet the measured values were generally closing date will also be filed and will requirements set forth in FMVSS No. only slightly less than the required be considered to the fullest extent 108. When tested, four of four headlamp minimum. For two of the four lamp possible. assemblies (samples LH1, LH2, LH3 and assemblies tested, there was one point When the petition is granted or LH4) failed to comply at certain test (point HV) where measured values denied, notice of the decision will also points. slightly exceeded the 25% threshold be published in the Federal Register IV. Rule Requirements: S8.1.11 and cited by NHTSA and others in the past pursuant to the authority indicated at S10.15.6 of FMVSS No. 108 include the as being the threshold at which the the end of this notice. requirements relevant to this petition. difference between two lamp intensities

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of less than 25% cannot be detected nonconforming at select test points by would be applicable for the range of reliably by most drivers (see DOT varying degrees. See 56 FR 59971 intensities relevant to low-beam report, Driver Perception of Just (November 26, 1991) for Subaru and 57 headlamps. Based on the testing Noticeable Differences of Automotive FR 45867 (October 5, 1992) for General conducted by UMTRI using low-beam Signal Lamp Intensities, DOT HS 808 Motors. headlamps, UMTRI concluded that 209, September 1994). The two f. NASI is not aware of any field or applying the 25% limit for measured values were below the customer complaints related to the inconsequential noncompliance to a required minimums by 26.9% (sample performance of the side reflex reflectors photometric test point that specifies a LH1) and 27.7% (sample LH4). We note contained the subject headlamp maximum for glare protection would be that, on average (for the four samples assemblies, nor have we been made appropriate. Given the UMTRI tested by Calcoast), the HV test point aware of any accidents or injuries that conclusion, we believe that the small was only 24.8% below the required have occurred relating to the exceedances in max intensities for these minimum. We also note, as mentioned performance of these lamp assemblies. two test points are inconsequential to above, that the cognitive performance 2. NASI submits that the safety. testing conducted by Subaru found nonconforming condition relating to iv. For sample LH1, test point 4.0D there to be no noticeable differences in low beam photometry is 20.0R was the third point which was detectability for the compliant and inconsequential as it relates to motor noncompliant per the measurements noncompliant reflex reflectors in vehicle safety for the following reasons: taken. This test point measures light question. a. In compliance testing conducted by intensity down and to the right (4 c. For a dynamic situation, light CALCOAST–ITL on behalf of NHTSA degrees below the horizontal and 20 reflecting at a particular test point will (see NHTSA Report No. 108–CAN–19– degrees to the right of center). The be observed for only a short period of 002), two of four headlamps assemblies minimum intensity value ensures time. Compared to a light source that is tested (samples LH1 and LH4) failed to adequate light down and far right (e.g., constantly illuminated, the intensity comply with certain low beam sidewalk to the right of the vehicle). originating from a reflex reflector is photometry requirements in S10.15.6. Sample LH1’s measured light intensity more fleeting to an observer. Reflex i. Sample LH1: was 13% less than the required value. reflector intensity varies significantly • Headlamp assembly sample LH1 photometry was measured at twenty- Of the four samples tested by depending on the angle of the driver’s Calcoast, only one sample was eyes to the reflector’s central axis. four test points. At two of the twenty- four test points, sample LH1 exceeded noncompliant at this test point. This Larger angles mean less light will be degree of nonconformity was minimal seen from the reflex reflector. Smaller the maximum allowable luminous (13% below the required value). When angles mean more light will be seen intensity values by small amounts the other three samples were tested, the from the reflex reflector. As a result, a (11.4% and 4.7%). At one of the twenty- measured intensities at this test point nonconformity at a given test point for four test points, sample LH1 was below over-complied by margins of 47.2%, a reflex reflector will generally have a the minimum acceptable luminous 27.8% and 2.8%. minimal impact on detectability. Thus, intensity value by 13.0%. minor nonconformances at any one test • At 21 of 24 test points, sample LH1 For sample LH1, a point within the point should be inconsequential with complied with the specified luminous Zone 10U–90U/90L–90R at 10.00U–7.3R respect to safety risk. intensity values listed in Table XIX-a exceeded the maximum permissible d. It has been recognized by NHTSA (LB2V). intensity threshold by 8.7%. The in the past that it is inherently difficult ii. Sample LH4: maximum allowable intensity of 125 to manufacture all lamps to comply • Headlamp assembly sample LH4 candelas in this zone was established to with all test points and that random photometry was measured at 24 test reduce the amount of glare to the driver failures do occur. FMVSS 108 requires points. At two of the twenty-four test of the car with the subject headlamp in lighting equipment be designed to points, the sample LH4 exceeded the driving conditions involving poor conform to relevant requirements as maximum allowable luminous intensity weather (rain, fog, snow, etc.). The opposed to simply comply with relevant values by small amounts (16.8% and consequence of one of four samples requirements. According to NHTSA (see 19.4%). At 22 of 24 test points, sample having a measurement of 8.7% above 62 FR 63416), occasional random LH4 complied with the specified the maximum allowable value is noncompliances are to be expected in luminous intensity values listed in inconsequential given the exceedance is this very complicated design and Table XIX–a (LB2V). far less than the 25% just noticeable manufacturing process and it is for this iii. For both sample LH1 and LH4, test difference. reason that the ‘‘designed to comply’’ points at which the max. allowable As discussed previously in this provision is contained in the lighting luminous intensity values were petition, it has been recognized by standard. See commentary from the Oct. exceeded at test points 1.0 degree and NHTSA in the past that it is inherently 12, 2018 (83 FR 51766) NPRM in which 0.5 degree up from the horizontal, difficult to manufacture all lamps to NHTSA proposed to amend FMVSS 108 respectively. These test points, which comply with all test points and that to permit the certification of adaptive were taken in the range of 1.5 degrees random failures do occur. FMVSS 108 driving beam headlighting systems. In to 9.9 degrees left of center, are in place requires lighting equipment be designed that notice, the Agency noted that, to ensure that glare is minimized to to conform to relevant requirements as historically, there has never been an oncoming drivers. In the UMTRI report opposed to simply comply with relevant absolute requirement that every motor entitled ‘‘Just Noticeable Differences for requirements. Occasional random non- vehicle lighting device meets every Low-Beam Headlamp Intensities’’ compliances are to be expected (see 62 single photometric test point to comply (UMTRl–97–4), testing was conducted FR 63416). This is why there has never with FMVSS No. 108. to evaluate ‘‘just noticeable differences’’ been an absolute requirement that every e. NHTSA has previously granted or JNDs for glare intensities of oncoming motor vehicle lighting device meets Subaru and General Motors petitions for low-beam headlamps. Specifically, every single photometric test point to inconsequentiality involving side reflex UMTRI looked at whether the 25% rule comply with FMVSS 108 (see 83 FR reflectors which were determined to be established by NHTSA for signal lamps 51766).

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Based on the data before us, we placed on OFAC’s list of Specially (individual) [IRAN] (Linked To: NATIONAL believe that the light intensity measured Designated Nationals and Blocked IRANIAN TANKER COMPANY). at test point 4.0D 20.0R for one of four Persons (SDN List) based on OFAC’s Identified pursuant to section 1(c) of E.O. samples tested is inconsequential to determination that one or more 13599 for having acted or purported to act for or on behalf of, directly or indirectly, the safety. applicable legal criteria were satisfied. NATIONAL IRANIAN TANKER COMPANY, 3. NASI is not aware of any field or All property and interests in property a person whose property and interests in customer complaints related to the low- subject to U.S. jurisdiction of these property are blocked pursuant to this order. beam performance of the subject persons are blocked, and U.S. persons 4. VAZIRI, Reza; DOB 05 Mar 1967; headlamp assemblies, nor have we been are generally prohibited from engaging nationality Iran; Additional Sanctions made aware of any accidents or injuries in transactions with them. Information—Subject to Secondary that have occurred relating to the DATES: See SUPPLEMENTARY INFORMATION Sanctions; Gender Male; Passport T45534988 performance of these lamp assemblies. section for applicable date(s). (Iran) expires 08 May 2023 (individual) 4. For the foregoing reasons, NASI [IRAN] (Linked To: NATIONAL IRANIAN FOR FURTHER INFORMATION CONTACT: TANKER COMPANY). submits that the subject non-compliance OFAC: Associate Director for Global Identified pursuant to section 1(c) of E.O. does not present an unreasonable risk, Targeting, tel.: 202–622–2420; Assistant 13599 for having acted or purported to act for is inconsequential as it relates to motor Director for Sanctions Compliance & or on behalf of, directly or indirectly, the vehicle safety and requests an Evaluation, tel.: 202–622–2490; NATIONAL IRANIAN TANKER COMPANY, exemption from the notification and Assistant Director for Licensing, tel.: a person whose property and interests in remedy requirements of the Motor 202–622–2480. property are blocked pursuant to this order. 5. YAHYA ZADEH, Hamidreza (a.k.a. Vehicle Safety Act pursuant to 49 U.S.C. SUPPLEMENTARY INFORMATION: 30118(d) and associated regulations at YAHYAZADEH, Hamid Reza; a.k.a. 49 CFR part 556. Electronic Availability YAHYAZADEH, Hamidreza), Bandar Abbas, Iran; DOB 12 Oct 1961; nationality Iran; NHTSA notes that the statutory The SDN List and additional Additional Sanctions Information—Subject provisions (49 U.S.C. 30118(d) and information concerning OFAC sanctions to Secondary Sanctions; Gender Male; 30120(h)) that permit manufacturers to programs are available on OFAC’s National ID No. 4431472851 (Iran) file petitions for a determination of website (www.treas.gov/ofac). (individual) [IRAN] (Linked To: NATIONAL inconsequentiality allow NHTSA to IRANIAN TANKER COMPANY). exempt manufacturers only from the Notice of OFAC Actions Identified pursuant to section 1(c) of E.O. duties found in sections 30118 and On June 24, 2020, OFAC determined 13599 for having acted or purported to act for 30120, respectively, to notify owners, that the property and interests in or on behalf of, directly or indirectly, the purchasers, and dealers of a defect or NATIONAL IRANIAN TANKER COMPANY, property subject to U.S. jurisdiction of a person whose property and interests in noncompliance and to remedy the the following persons are blocked under property are blocked pursuant to this order. defect or noncompliance. Therefore, any the relevant sanctions authorities listed decision on this petition only applies to below. Dated: June 24, 2020. the subject vehicles that NASI no longer Andrea M. Gacki, Individuals controlled at the time it determined that Director, Office of Foreign Assets Control, the noncompliance existed. However, 1. DANAEI KENARSARI, Ali; DOB 19 May U.S. Department of the Treasury. any decision on this petition does not 1977; POB Shemiran, Iran; nationality Iran; [FR Doc. 2020–13906 Filed 6–26–20; 8:45 am] Additional Sanctions Information—Subject relieve vehicle distributors and dealers to Secondary Sanctions; Gender Male; BILLING CODE 4810–AL–P of the prohibitions on the sale, offer for Passport K41818536 (Iran) expires 10 Jul sale, or introduction or delivery for 2022 (individual) [IRAN] (Linked To: introduction into interstate commerce of ISLAMIC REPUBLIC OF IRAN SHIPPING DEPARTMENT OF THE TREASURY the noncompliant vehicles under their LINES). control after Subaru notified them that Identified pursuant to section 1(c) of Agency Information Collection the subject noncompliance existed. Executive Order 13599 of February 5, 2012, Activities; Submission for OMB 77 FR 6659, 3 CFR, 2013 Comp., p. 215 (E.O. Review; Comment Request; Multiple (Authority: 49 U.S.C. 30118, 30120: 13599), for having acted or purported to act Internal Revenue Service Information delegations of authority at 49 CFR 1.95 and for or on behalf of, directly or indirectly, the Collection Requests 501.8) ISLAMIC REPUBLIC OF IRAN SHIPPING AGENCY: Departmental Offices, U.S. Otto G. Matheke III, LINES, a person whose property and interests in property are blocked pursuant to this Department of the Treasury. Director, Office of Vehicle Safety Compliance. order. ACTION: Notice. [FR Doc. 2020–13927 Filed 6–26–20; 8:45 am] 2. GOHARDEHI, Mohsen; DOB 14 Sep BILLING CODE 4910–59–P 1985; POB Sary, Iran; nationality Iran; SUMMARY: The Department of the Additional Sanctions Information—Subject Treasury will submit the following to Secondary Sanctions; Gender Male; information collection requests to the DEPARTMENT OF THE TREASURY Passport E52807849 (Iran) expires 05 Mar Office of Management and Budget 2025 (individual) [IRAN] (Linked To: (OMB) for review and clearance in Office of Foreign Assets Control ISLAMIC REPUBLIC OF IRAN SHIPPING LINES). accordance with the Paperwork Reduction Act of 1995, on or after the Notice of OFAC Sanctions Actions Identified pursuant to section 1(c) of E.O. 13599 for having acted or purported to act for date of publication of this notice. The AGENCY: Office of Foreign Assets or on behalf of, directly or indirectly, the public is invited to submit comments on Control, Treasury. ISLAMIC REPUBLIC OF IRAN SHIPPING these requests. LINES, a person whose property and interests DATES: ACTION: Notice. Comments should be received on in property are blocked pursuant to this or before July 29, 2020 to be assured of order. consideration. SUMMARY: The U.S. Department of the 3. RAHNAVARD, Alireza; DOB 21 Mar Treasury’s Office of Foreign Assets 1980; POB Shiraz, Iran; nationality Iran; ADDRESSES: Written comments and Control (OFAC) is publishing the names Additional Sanctions Information—Subject recommendations for the proposed of one or more persons that have been to Secondary Sanctions; Gender Male information collection should be sent

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within 30 days of publication of this Form: None. Estimated Time per Response: 14 notice to www.reginfo.gov/public/do/ Affected Public: Businesses and other minutes, 2 hours. PRAMain. Find this particular for-profit organizations. Estimated Total Annual Burden information collection by selecting Estimated Number of Respondents: Hours: 116,767 hours. ‘‘Currently under 30-day Review—Open 50. 5. Title: Failure to File Gain for Public Comments’’ or by using the Frequency of Response: On occasion. Recognition Agreements or Satisfy search function. Estimated Total Number of Annual Other Reporting Obligations. FOR FURTHER INFORMATION CONTACT: Responses: 50. OMB Control Number: 1545–1487. Copies of the submissions may be Estimated Time per Response: 30 Type of Review: Extension without obtained from Molly Stasko by emailing hours. change of a currently approved [email protected], calling (202) 622– Estimated Total Annual Burden collection. 8922, or viewing the entire information Hours: 1,500 hours. Description: Sections 367(e)(1) and collection request at www.reginfo.gov. 3. Title: Tax Information 367(e)(2) provide for gain recognition on Authorization. certain transfers to foreign persons SUPPLEMENTARY INFORMATION: OMB Control Number: 1545–1165. under sections 355 and 332. Section Internal Revenue Service (IRS) Type of Review: Extension without 6038B(a) requires U.S. persons change of a currently approved 1. Title: Form 4422—Application For transferring property to foreign persons collection. in exchanges described in sections 332 Certificate Discharging Property Subject Description: Form 8821 is used to To Estate Tax Lien and Form 15056— and 355 to furnish information appoint someone to receive or inspect regarding such transfers. Escrow Agreement. certain tax information. Data is used OMB Control Number: 1545–0328. Form: None. identify appointees and to ensure that Affected Public: Business or other for- Type of Review: Revision of a confidential information is not divulged profit organizations. currently approved collection. to unauthorized persons. Form 8821–A Estimated Number of Respondents: Description: Form 4422 is completed is an authorization signed by a taxpayer 414. by either an executor, administrator, or for the IRS to disclose returns and Frequency of Response: On occasion. other interested party for requesting return information to local law Estimated Total Number of Annual release of any/all property of an estate enforcement in the event of a possible Responses: 414. from the Estate Tax Lien. Form 15056 is identity theft. Estimated Time per Response: 3 to 20 a contractual agreement between three Form: Form 8821 and Form 8821–A. hours. parties (the IRS, Taxpayer and Escrow Affected Public: Individuals or Estimated Total Annual Burden Agent) to hold funds from property sales Households, Business or other for-profit Hours: 2,471 hours. subject to the federal estate tax lien. The organizations, not-for-profit institutions. 6. Title: Tip Reporting Alternative only information it requires is a Estimated Number of Respondents: Commitment (TRAC) Agreement for Use quarterly statement reflecting the 673,172. in the Cosmetology and Barber Industry. balance in the escrow account as proof Frequency of Response: On occasion. OMB Control Number: 1545–1529. that the funds are being held in Estimated Total Number of Annual Type of Review: Extension without accordance with the agreement. Responses: 706,667. change of a currently approved Affected Public: Business or other for- Estimated Time per Response: 1.05 collection. profit organizations, Not for Profit hours and 9 minutes. Description: Information is required institutions, State and Local Estimated Total Annual Burden by the Internal Revenue Service in its governments, and Individuals or Hours: 706,667 hours. compliance efforts to assist employers Households. 4. Title: Capitalization of Interest. and their employees in understanding Estimated Number of Respondents: OMB Control Number: 1545–1265. and complying with section 6053(a), 2,500. Type of Review: Extension without which requires employees to report all Frequency of Response: On occasion. change of a currently approved their tips monthly to their employers. Estimated Total Number of Annual collection. Form: None. Responses: 2,500. Description: Certain foreign students Affected Public: Business or other for- Estimated Time per Response: 30 and other nonresident visitors are profit organizations. minutes. exempt from FICA tax for services Estimated Number of Respondents: Estimated Total Annual Burden performed as specified in the 4,600. Hours: 1,250. Immigration and Naturalization Act. Frequency of Response: On occasion. 2. Title: Requirements for Investments Applicants for refund of this FICA tax Estimated Total Number of Annual to Qualify under Section 936(d)(4) as withheld by their employer must Responses: 4,600. Investments in Qualified Caribbean complete Form 8316 to verify that they Estimated Time per Response: 9 Basin Countries. are entitled to a refund of the FICA, that hours. OMB Control Number: 1545–1138. the employer has not paid back any part Estimated Total Annual Burden Type of Review: Extension without of the tax withheld and that the Hours: 43,073 hours. change of a currently approved taxpayer has attempted to secure a 7. Title: Student Loan Interest collection. refund from his/her employer. Statement (Form 1098–E). Description: The collection of Form: Form 8821. OMB Control Number: 1545–1576. information is required by the Internal Affected Public: Individuals or Type of Review: Extension without Revenue Service to verify that an Households, and Business or other for- change of a currently approved investment qualifies under IRC section profit organizations. collection. 936(d)(4). The respondents will be Estimated Number of Respondents: Description: Section 6050S(b)(2) of possession corporations, certain 500,050. the Internal Revenue Code requires financial institutions located in Puerto Frequency of Response: On occasion. persons (financial institutions, Rico, and borrowers of funds covered by Estimated Total Number of Annual governmental units, etc.) to report $600 this regulation. Responses: 500,050. or more of interest paid on student loans

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to the IRS and the students. Form 1098– Estimated Number of Respondents: Form 8963, Report of Health Insurance E is used for this purpose. 22,500. Provider Information. Form: None. Frequency of Response: On occasion. Affected Public: Business or other for- Affected Public: Business or other for- Estimated Total Number of Annual profit organizations, not-for-profit profit organizations, not-for-profit Responses: 22,500. institutions. institutions and State, Local or Tribal Estimated Time per Response: 15 Estimated Number of Respondents: governments. minutes. 2,550. Estimated Number of Respondents: Estimated Total Annual Burden Frequency of Response: On occasion. 22,148,234. Hours: 5,625 hours. Estimated Total Number of Annual Frequency of Response: On occasion. 10. Title: Election to Treat a Qualified Responses: 2,550. Estimated Total Number of Annual Revocable Trust as Part of an Estate. Estimated Time per Response: 1 hour Responses: 22,148,234. OMB Control Number: 1545–1881. 37 minutes. Estimated Time per Response: 7 Type of Review: Extension without Estimated Total Annual Burden minutes. change of a currently approved Hours: 4,131 hours. Estimated Total Annual Burden collection. 13. Title: Collection of Qualitative Hours: 2,657,789 hours. Description: Form 8855 is used to Feedback on Agency Service Delivery. 8. Title: Revenue Procedure 2004– make a section 645 election that allows OMB Control Number: 1545–2256. 19—Probable or Prospective Reserves a qualified revocable trust to be treated Type of Review: Extension without Safe Harbor. and taxed (for income tax purposes) as change of a currently approved OMB Control Number: 1545–1861. part of its related estate during the collection. Type of Review: Extension without election period. Description: This collection of change of a currently approved Form: Form 8855. information is necessary to enable the collection. Affected Public: Business or other for- Agency to garner customer and Description: Revenue Procedure profit organizations. stakeholder feedback in an efficient, 2004–19 requires a taxpayer to file an Estimated Number of Respondents: timely manner, in accordance with our election statement with the Service if 5,000. commitment to improving service the taxpayer wants to use the safe Frequency of Response: On occasion. delivery. The information collected harbor to estimate the taxpayers’ oil and Estimated Total Number of Annual from our customers and stakeholders gas properties’ probable or prospective Responses: 5,000. will help ensure that users have an reserves for purposes of computing cost Estimated Time per Response: 5 hours effective, efficient, and satisfying depletion under § 611 of the Internal 38 minutes. experience with the Agency’s programs. Revenue Code. Estimated Total Annual Burden Affected Public: Individuals and Form: None. Hours: 28,200 hours. households, and Business or other for- Affected Public: Business or other for- 11. Title: Intake/Interview & Quality profit organizations. profit organizations. Review Sheets. Estimated Number of Respondents: Estimated Number of Respondents: OMB Control Number: 1545–1964. 24,636. 100. Type of Review: Revision of a Frequency of Response: On occasion. Frequency of Response: On occasion. currently approved collection. Estimated Total Number of Annual Estimated Total Number of Annual Description: 13614–C, 13614–C (SP), Responses: 24,636. Responses: 100. 13614(AR), 13614(CN–S), 13614(CN–T), Estimated Time per Response: 15 Estimated Time per Response: 30 13614(HT), 13614(KR), 13614(PL), minutes to 1.05 hours. minutes. 13614(PT), 13614(TL), and, 13614(VN) Estimated Total Annual Burden Estimated Total Annual Burden contain a standardized list of required Hours: 10,000 hours. Hours: 50 hours. intake questions to guide volunteers in Authority: 44 U.S.C. 3501 et seq. 9. Title: Information Regarding asking taxpayers basic questions about Dated: June 24, 2020. Request for Refund of Social Security themselves. The intake sheet is an Spencer W. Clark, Tax Erroneously Withheld on Wages effective tool ensuring that critical Received by a Nonresident Alien on an taxpayer information is obtained and Treasury PRA Clearance Officer. F, J, or M Type Visa. applied during the interview process. [FR Doc. 2020–13963 Filed 6–26–20; 8:45 am] OMB Control Number: 1545–1862. Affected Public: Business or other for- BILLING CODE 4830–01–P Type of Review: Extension without profit organizations, not-for-profit change of a currently approved organizations, and Federal government. collection. Estimated Number of Respondents: DEPARTMENT OF THE TREASURY Description: Certain foreign students 3,750,000. Agency Information Collection and other nonresident visitors are Frequency of Response: On occasion. Activities; Submission for OMB exempt from FICA tax for services Estimated Total Number of Annual Review; Comment Request; Multiple performed as specified in the Responses: 3,750,000. Alcohol and Tobacco Tax and Trade Immigration and Naturalization Act. Estimated Time per Response: 10 Bureau Information Collection Applicants for refund of this FICA tax minutes. Requests withheld by their employer must Estimated Total Annual Burden complete Form 8316 to verify that they Hours: 625,136 hours. AGENCY: Departmental Offices, U.S. are entitled to a refund of the FICA, that 12. Title: Form 8453–R—Electronic Department of the Treasury. the employer has not paid back any part Filing Declaration for Form 8963. ACTION: Notice. of the tax withheld and that the OMB Control Number: 1545–2253. taxpayer has attempted to secure a Type of Review: Extension without SUMMARY: The Department of the refund from his/her employer. change of a currently approved Treasury will submit the following Form: None. collection. information collection requests to the Affected Public: Individuals or Description: The purpose of the form Office of Management and Budget Households. is to authenticate the electronic filing of (OMB) for review and clearance in

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accordance with the Paperwork Affected Public: Business or other for- is based on a percentage of the price at Reduction Act of 1995, on or after the profit; State, local, and tribal which such cigars are sold by the date of publication of this notice. The governments. manufacturer or importer. In addition, public is invited to submit comments on Estimated Number of Respondents: the IRC at 26 U.S.C. 5741, requires every these requests. 3,700. manufacturer and importer of tobacco DATES: Comments should be received on Frequency of Response: Monthly. products to keep records in such or before July 29, 2020 to be assured of Estimated Total Number of Annual manner as the Secretary shall by consideration. Responses: 44,400. regulation prescribe. Under those IRC Estimated Time per Response: 2 ADDRESSES: Written comments and authorities, the TTB regulations at 27 recommendations for the proposed hours. CFR 40.187 and 41.181 require that Estimated Total Annual Burden information collection should be sent manufacturers and importers of large Hours: 88,800. within 30 days of publication of this cigars maintain certain records 2. Title: Usual and Customary notice to www.reginfo.gov/public/do/ regarding the price for which those Business Records Maintained by PRAMain. Find this particular cigars are sold. The required records are Brewers. necessary to protect the revenue as they information collection by selecting OMB Control Number: 1513–0058. ‘‘Currently under 30-day Review—Open allow TTB to verify that the appropriate Type of Review: Extension without amount of Federal excise tax is paid on for Public Comments’’ or by using the change of a currently approved search function. large cigars. collection. Form: None. FOR FURTHER INFORMATION CONTACT: Description: The Internal Revenue Affected Public: Business or other for- Copies of the submissions may be Code (IRC) at 26 U.S.C. 5415 requires profits. obtained from Molly Stasko by emailing brewers to keep records in such form Estimated Number of Respondents: [email protected], calling (202) 622– and containing such information as the 300. 8922, or viewing the entire information Secretary of the Treasury may by Frequency of Response: Once. collection request at www.reginfo.gov. regulation prescribe as necessary to Estimated Total Number of Annual SUPPLEMENTARY INFORMATION: protect the revenue. Under those IRC Responses: 300. Alcohol and Tobacco Tax and Trade authorities, the TTB regulations in 27 Estimated Time per Response: 2 hours Bureau (TTB) CFR part 25 require brewers to keep 20 minutes. usual and customary business records Estimated Total Annual Burden 1. Title: Distilled Spirits Plants — that allow TTB to verify various brewer Hours: 699 hours. Records and Monthly Reports of activities, including, for example, the Authority: 44 U.S.C. 3501 et seq. Processing Operations. quantities of raw materials received at a OMB Control Number: 1513–0041. brewery, the quantity of beer and cereal Dated: June 24, 2020. Type of Review: Extension without beverages produced at and removed Spencer W. Clark, change of a currently approved from a brewery taxpaid or without Treasury PRA Clearance Officer. collection. payment of tax, and the quantity of beer [FR Doc. 2020–13955 Filed 6–26–20; 8:45 am] Description: In general, the Internal previously removed subject to tax that is BILLING CODE 4810–31–P Revenue Code of 1986, as amended returned to the brewery. (IRC), at 26 U.S.C. 5001, imposes a Form: TTB REC 5130/1. Federal excise tax on distilled spirits Affected Public: Business or other for- DEPARTMENT OF THE TREASURY produced or imported into the United profits. States, and imposes related Estimated Number of Respondents: Agency Information Collection recordkeeping and reporting 12,000. Activities; Submission for OMB requirements. The IRC at 26 U.S.C. 5207 Frequency of Response: Annually. Review; Comment Request; Multiple requires that distilled spirits plant (DSP) Estimated Total Number of Annual Fiscal Service Information Collection proprietors keep records and submit Responses: 12,000. Requests reports regarding their production, Estimated Time per Response: None. storage, denaturation, and processing (Under the OMB regulations 5 CFR AGENCY: Departmental Offices, U.S. operations in such form and manner as 1320.3(b)(2), regulatory requirements to Department of the Treasury. the Secretary of the Treasury (Secretary) maintain usual and customary records ACTION: Notice. by regulation prescribes. Under that IRC kept during the normal course of SUMMARY: The Department of the authority, the TTB regulations in 27 business place no burden on Treasury will submit the following CFR part 19 require DSP proprietors to respondents as defined in the information collection requests to the keep records regarding their processing Paperwork Reduction Act.). Office of Management and Budget operations, as well as any wholesale Estimated Total Annual Burden (OMB) for review and clearance in liquor dealer or taxpaid storeroom Hours: None. accordance with the Paperwork operations they conduct. The part 19 3. Title: Tobacco Products Importer or Reduction Act of 1995, on or after the regulations also require DSP proprietors Manufacturer—Records of Large Cigar date of publication of this notice. The to submit monthly reports of those Wholesale Prices. processing operations (based on the OMB Control Number: 1513–0071. public is invited to submit comments on required records) using form TTB F Type of Review: Extension without these requests. 5110.28. TTB uses the collected change of a currently approved DATES: Comments should be received on information to ensure proper tax collection. or before July 29, 2020 to be assured of collection. TTB also aggregates the Description: In general, the Internal consideration. collected information to produce Revenue Code (IRC) at 26 U.S.C. 5701 ADDRESSES: Written comments and generalized distilled spirits statistical imposes Federal excise taxes on tobacco recommendations for the proposed reports for release to the public. products and cigarette papers and tubes, information collection should be sent Form: TTB F 5110.28, TTB REC 5110/ and, as described at 26 U.S.C. within 30 days of publication of this 03. 5701(a)(2), the excise tax on large cigars notice to www.reginfo.gov/public/do/

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PRAMain. Find this particular Dated: June 24, 2020. Affected Public: Business or other for- information collection by selecting Spencer W. Clark, profit institutions, State and Local ‘‘Currently under 30-day Review—Open Treasury PRA Clearance Officer. Governments. for Public Comments’’ or by using the [FR Doc. 2020–13956 Filed 6–26–20; 8:45 am] Estimated Number of Respondents: 130,250. search function. BILLING CODE 4810–AS–P FOR FURTHER INFORMATION CONTACT: Frequency of Response: Once. Estimated Total Number of Annual Copies of the submissions may be Responses: 130,250. obtained from Molly Stasko by emailing DEPARTMENT OF THE TREASURY Estimated Time per Response: 15 [email protected], calling (202) 622– Agency Information Collection minutes. 8922, or viewing the entire information Estimated Total Annual Burden collection request at www.reginfo.gov. Activities; Submission for OMB Review; Comment Request; Notice to Hours: 23,355 hours. SUPPLEMENTARY INFORMATION: Account Holder for Garnishment of (Authority: 44 U.S.C. 3501 et seq.) Bureau of the Fiscal Service (BFS) Accounts Containing Federal Benefit Dated: June 24, 2020. 1. Title: Annual Financial Statements Payments Spencer W. Clark, of Surety Companies—Schedule F. AGENCY: Departmental Offices, U.S. Treasury PRA Clearance Officer. OMB Control Number: 1530–0008. Department of the Treasury. [FR Doc. 2020–13959 Filed 6–26–20; 8:45 am] Type of Review: Extension without BILLING CODE 4810–25–P change of a currently approved ACTION: Notice. collection. SUMMARY: The Department of the Description: The Schedule F provides Treasury will submit the following DEPARTMENT OF VETERANS information used to determine the information collection requests to the AFFAIRS amount of unauthorized reinsurance of Office of Management and Budget Treasury approved Admitted [OMB Control No. 2900–0850] (OMB) for review and clearance in Reinsurers. This computation is accordance with the Paperwork Agency Information Collection Activity necessary to ensure the solvency of Reduction Act of 1995, on or after the Under OMB Review: Requirements for companies recognized by the Treasury date of publication of this notice. The Recognition as a VA Accredited to write Federal surety bonds, and their public is invited to submit comments on Organization ability to carry out contractual these requests. requirements. AGENCY: Office of General Counsel, Form: FS Form 6314. DATES: Comments should be received on Department of Veterans Affairs. Affected Public: Business or other for- or before July 29, 2020 to be assured of ACTION: Notice. profits. consideration. Estimated Number of Respondents: ADDRESSES: Written comments and SUMMARY: In compliance with the 337. recommendations for the proposed Paperwork Reduction Act (PRA) of Frequency of Response: Annually. information collection should be sent 1995, this notice announces that the Estimated Total Number of Annual within 30 days of publication of this Office of General Counsel (OGC), Responses: 337. notice to www.reginfo.gov/public/do/ Department of Veterans Affairs, will Estimated Time per Response: 20 PRAMain. Find this particular submit the collection of information hours 30 minutes. information collection by selecting abstracted below to the Office of Estimated Total Annual Burden ‘‘Currently under 30-day Review—Open Management and Budget (OMB) for Hours: 6,909 hours. for Public Comments’’ or by using the review and comment. The PRA 2. Title: Authorization Agreement for search function. submission describes the nature of the information collection and its expected Preauthorized Payment. FOR FURTHER INFORMATION CONTACT: cost and burden and it includes the OMB Control Number: 1530–0015. Copies of the submissions may be Type of Review: Extension without actual data collection instrument. obtained from Spencer W. Clark by change of a currently approved DATES emailing [email protected], calling : Written comments and collection. (202) 927–5331, or viewing the entire recommendations for the proposed Description: Preauthorized payment is information collection request at information collection should be sent used by remitters (individuals and www.reginfo.gov. within 30 days of publication of this corporations) to authorize electronic notice to www.reginfo.gov/public/do/ funds transfers from the bank accounts SUPPLEMENTARY INFORMATION: PRAMain. Find this particular maintained at financial institutions for Title: Notice to Account Holder for information collection by selecting government agencies to collect monies. Garnishment of Accounts Containing ‘‘Currently under 30-day Review—Open Form: SF Form 5510. Federal Benefit Payments. for Public Comments’’ or by using the Affected Public: Business or other for- OMB Control Number: 1505–0230. search function. Refer to ‘‘OMB Control profit; Individuals or Households; Type of Review: Extension without No. 2900–0850. Federal Government. change of currently approved collection. FOR FURTHER INFORMATION CONTACT: Estimated Number of Respondents: Description: Certain federal benefits Danny S. Green, Enterprise Records 100,000. are exempt from garnishment orders. In Service (005R1B), Department of Frequency of Response: On occasion. order to give force and effect to federal Veterans Affairs, 810 Vermont Avenue Estimated Total Number of Annual anti-garnishment statutes, financial NW, Washington, DC 20420, (202) 421– Responses: 100,000. institutions, and child support 1354 or email [email protected]. Estimated Time per Response: 15 enforcement agencies must maintain Please refer to ‘‘OMB Control No. 2900– minutes. records of actions taken in handling 0850’’ in any correspondence. Estimated Total Annual Burden garnishments and provide notices to SUPPLEMENTARY INFORMATION: Hours: 25,000 hours. financial account holders. Authority: 38 U.S.C. 5902; 38 CFR Authority: 44 U.S.C. 3501 et seq. Form: None. 14.628.

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Title: Requirements for Recognition as (Organizations may provide services to Notice with a 60-day comment period a VA Accredited Organization. veterans without VA recognition if the soliciting comments on this collection OMB Control Number: 2900–0850. services do not include the preparation, of information was published at: Vol. Type of Review: Extension of a presentation, and prosecution of claims 85, No. 71, Monday, April 13, 2020, currently approved collection. for VA benefits.) The information pages 20572 and 20573. Abstract: In order for an organization submitted by the organizations in Affected Public: Individuals, not-for- to provide representation to claimants conjunction with a request for profit institutions, and state, local, or before VA regarding claims for VA recognition is used by VA in reviewing tribal governments. benefits, the organization must be accreditation applications to determine Estimated Annual Burden: 50 hours. recognized by VA for that purpose. whether organizations meet the Estimated Average Burden per Section 5902(a) of title 38, United States requirements for VA recognition under Respondent: 5 hours. Code, authorizes VA to recognize section 14.628. VA relies on this Frequency of Response: One time. organizations for the limited purpose of information to ensure that it is granting Estimated Number of Respondents: ensuring competent representation of recognition only to organizations that 10. veterans in claims for benefits By direction of the Secretary: administered by VA. VA implemented can provide long-term, competent this authority in 38 CFR 14.628. An representation to VA claimants. Danny S. Green, organization must apply for VA An agency may not conduct or VA Clearance Officer, Office of Quality, recognition, supplying information as sponsor, and a person is not required to Performance and Risk, Department of specified in section 14.628 to respond to a collection of information Veterans Affairs. demonstrate that it satisfies the legal unless it displays a currently valid OMB [FR Doc. 2020–13931 Filed 6–26–20; 8:45 am] requirements for recognition. control number. The Federal Register BILLING CODE 8320–01–P

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Reader Aids Federal Register Vol. 85, No. 125 Monday, June 29, 2020

CUSTOMER SERVICE AND INFORMATION CFR PARTS AFFECTED DURING JUNE

Federal Register/Code of Federal Regulations At the end of each month the Office of the Federal Register General Information, indexes and other finding 202–741–6000 publishes separately a List of CFR Sections Affected (LSA), which aids lists parts and sections affected by documents published since Laws 741–6000 the revision date of each title. Presidential Documents 2 CFR 9...... 35799 Executive orders and proclamations 741–6000 400...... 36670 910...... 32977 The United States Government Manual 741–6000 407...... 38749 3 CFR 457...... 38276, 38749 Other Services 761...... 36670 Electronic and on-line services (voice) 741–6020 Proclamations: 765...... 36670 Privacy Act Compilation 741–6050 9496 (amended by 766...... 36670 Proc. 10049) ...... 35793 772...... 36670 10014 (Amended by ELECTRONIC RESEARCH 792...... 36670 Proc. 10052) ...... 38263 932...... 38760 World Wide Web 10043...... 34353 985...... 35545 10044...... 34941 1403...... 36670 Full text of the daily Federal Register, CFR and other publications 10045...... 34943 is located at: www.govinfo.gov. 1951...... 36670 10046...... 34945 1956...... 36670 Federal Register information and research tools, including Public 10047...... 34947 Inspection List and electronic text are located at: Proposed Rules: 10048...... 34949 205...... 34651 www.federalregister.gov. 10049...... 35793 301...... 34537 E-mail 10050...... 36467 966...... 35222 10051...... 38029 FEDREGTOC (Daily Federal Register Table of Contents Electronic 10052...... 38263 8 CFR Mailing List) is an open e-mail service that provides subscribers Executive Orders: with a digital form of the Federal Register Table of Contents. The 208...... 37502, 38532 13925...... 34079 digital form of the Federal Register Table of Contents includes 270...... 36469 13926...... 34951 HTML and PDF links to the full text of each document. 274a...... 36469, 38532 13927...... 35165 280...... 36469 To join or leave, go to https://public.govdelivery.com/accounts/ 13928...... 36139 USGPOOFR/subscriber/new, enter your email address, then Proposed Rules: 13929...... 37325 208...... 36264 follow the instructions to join, leave, or manage your 13930...... 38741 235...... 36264 subscription. Administrative Orders: 1003...... 36264 PENS (Public Law Electronic Notification Service) is an e-mail Memorandums: 1208...... 36264 service that notifies subscribers of recently enacted laws. Memorandum of April 1235...... 36264 To subscribe, go to http://listserv.gsa.gov/archives/publaws-l.html 14, 2020 ...... 35797 and select Join or leave the list (or change settings); then follow Memorandum of June 9 CFR the instructions. 2, 2020 ...... 34955 Proposed Rules: FEDREGTOC and PENS are mailing lists only. We cannot Memorandum of June 7...... 35812 respond to specific inquiries. 4, 2020 ...... 35171 310...... 33031 Reference questions. Send questions and comments about the Notices: 352...... 33034 Federal Register system to: [email protected] Notice of June 11, 10 CFR The Federal Register staff cannot interpret specific documents or 2020 ...... 36137 regulations. Notice of June 17, 9...... 33527 2020 ...... 37329 34...... 36307 FEDERAL REGISTER PAGES AND DATE, JUNE Notice of June 24, 35...... 33527 2020 ...... 38271 36...... 36307 32977–33526...... 1 Presidential 39...... 36307 33527–34084...... 2 Determinations: 50...... 34087 34085–34352...... 3 No. 2020–06 of June 72...... 36307 34353–34492...... 4 5, 2020 ...... 36995 170...... 37250 34493–34956...... 5 No. 2020–07 of June 171...... 37250 34957–35164...... 8 24, 2020 ...... 38747 Proposed Rules: 35165–35372...... 9 9...... 33581 5 CFR 35373–35544...... 10 35...... 33581 35545–35796...... 11 532...... 38273 72...... 33582 35797–36138...... 12 2634...... 36715 170...... 34370 36139–36306...... 15 2635...... 36715 429...... 35700 36307–36466...... 16 2641...... 38274 430 ...... 35382, 35700, 36512, 36467–36714...... 17 38106 6 CFR 36715–36994...... 18 431 ...... 33036, 34111, 34541, 36995–37330...... 19 27...... 36469 35382, 35383, 35394, 36517, 37331–37546...... 22 Proposed Rules: 38106 37547–37730...... 23 27...... 37393 37731–38030...... 24 12 CFR 38031–38272...... 25 7 CFR 3...... 32980 38273–38740...... 26 1...... 34085 6...... 32980 38741–39046...... 29 3...... 36670 7...... 33530, 35373

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8...... 37731 17 CFR 28 CFR 21...... 37753 25...... 34734 1...... 37734 16...... 37748 71...... 34522 30...... 32991 39...... 35805 85...... 37004 39 CFR 160...... 33530 229...... 33290 540...... 37335 195...... 34734 230...... 33290 3030...... 35807 208...... 32980, 32991 232...... 33290 29 CFR Proposed Rules: 217...... 32980 239...... 33290 551...... 35404 324...... 32980 541...... 34609 240...... 33020, 33290 778...... 34610 3050...... 37403 327...... 38282 243...... 33290 364...... 32991 1614...... 35558 249...... 33290 4022...... 36153 40 CFR 741...... 32991 270...... 33290 Ch. X...... 37331 4044...... 36153 9...... 35191 274...... 33290 1005...... 34870 Proposed Rules: 52 ...... 33021, 33023, 33571, 1026...... 38299 Proposed Rules: 1614...... 33049 34106, 34108, 34357, 34524, 1281...... 38031 1...... 36000 35198, 35377, 35809, 36154, 3...... 35820 30 CFR 36161, 36342, 36343, 36504, Proposed Rules: 4...... 36000 745...... 34545 550...... 34912 36748, 37565, 38079, 38081, 41...... 36000 Ch. X...... 37394 38325, 38327 190...... 36000 1026...... 36938 31 CFR 62...... 37568 63...... 34326 18 CFR 569...... 34510 13 CFR 70...... 33023 Ch. 1 ...... 36321 120 ...... 33004, 33010, 35550, 32 CFR 81 ...... 35377, 37756, 38327 174...... 34646 36308, 36717, 36997, 38301, 19 CFR 104...... 34518 180 ...... 34359, 36752, 36755, 38304 199...... 34101 Ch. 1...... 37744, 37745 37013, 37760 121...... 35550 321...... 37751 4...... 36469 228...... 35564 14 CFR Proposed Rules: Proposed Rules: 261...... 38330 507...... 35846 21...... 38763 24...... 34549, 34836 271...... 33026, 38330 111...... 34549, 34836 29...... 34493 33 CFR 282...... 34361, 37347 39 ...... 34088, 34090, 34597, 360...... 37397 300...... 37571, 37763 27...... 36469 34599, 35175, 35177, 35553, 21 CFR 372...... 37354 35555, 36143, 36145, 36312, 100 ...... 33543, 33547, 34633, 721...... 35191 36318, 37000, 37333, 37547, 112...... 34508 34634, 37337, 37339, 38068, 1068...... 38332 37549, 37551, 38052, 38055, 573...... 33538 38791 Proposed Rules: 38312 1308...... 34607, 36148 117...... 33550 52 ...... 33049, 33052, 34379, 61...... 38763 Proposed Rules: 165 ...... 33553, 33561, 33566, 34381, 34559, 34671, 34673, 63...... 38763 1308...... 36819 33568, 33570, 34104, 34519, 34675, 34677, 34681, 34686, 34520, 34639, 34641, 35806, 65...... 38763 22 CFR 35607, 35852, 36359, 36823, 71 ...... 33536, 34602, 34604, 36328, 36492, 37011, 38068, 37405, 37411, 38816, 38820, 36320, 37003, 37551, 37556, 41...... 38320 38791 38825, 38830, 38831 37558, 37559, 37560, 38314, 42...... 38321 165.151...... 37564 80...... 34688 38316, 38317, 38319, 38783, 42.34...... 36323 207...... 34643 81...... 34381 38785 120...... 35376 326...... 34643 82...... 35874 91...... 38763 122...... 35376 Proposed Rules: 83...... 35612, 37057 97 ...... 35800, 35803, 38787, 123...... 35376 100...... 33592, 35404 174...... 37806 124...... 35376 38788 165...... 34668, 37397 180...... 33059, 37806 129...... 35376 107...... 38763 166...... 37034 282...... 34395, 37413 139...... 38320 125...... 38763 300 ...... 36368, 37615, 37617, 531...... 36150 34 CFR 141...... 38763 37619, 37808 Proposed Rules: 24 CFR 263...... 38077 721...... 36175 25...... 36351 361...... 33021 745...... 37810 39 ...... 33043, 33046, 33583, 232...... 38323 600...... 38325 34118, 34121, 34136, 34139, 25 CFR 668...... 36494 41 CFR 34141, 34371, 34375, 34655, Ch. III ...... 36329 63...... 37562 51–8...... 37778 34656, 34658, 34661, 34664, Proposed Rules: 35227, 35602, 35604, 35812, 293...... 37747 Proposed Rules: Ch. II ...... 38801 102–35...... 35236 35814, 35816, 36352, 36519, 26 CFR Ch. III ...... 34554 102–36...... 35236 36816, 37031, 37591, 38338 102–37...... 35236 71 ...... 33587, 33589, 33590, 1...... 35557, 38060 36 CFR Proposed Rules: 102–38...... 35236 34144, 34146, 34148, 34666, 13...... 35181 35229, 35231, 35818, 36172, 1 ...... 34050, 35233, 35398, 102–39...... 35236 Proposed Rules: 36174, 36355, 37033, 37593, 35606, 35746, 35835, 37599 102–40...... 35236 53...... 35746 251...... 34378 37595, 37596, 37598, 38340, 42 CFR 38342, 38343, 38799 27 CFR 37 CFR 417...... 33796 15 CFR 9...... 34095 1...... 36335 422...... 33796 4a...... 35374 18...... 33539 201...... 37341 423...... 33796 744 ...... 34495, 34503, 36719 19...... 33539 202...... 37341 438...... 37160 748...... 36483 24...... 33539 360...... 37752 440...... 37160 772...... 36719 25...... 33539 Proposed Rules: 460...... 37160 774...... 34306, 36483 26...... 33539 2...... 37040 Proposed Rules: 27...... 33539 7...... 37040 136...... 36182 16 CFR 28...... 33539 201...... 34150, 37399 136a...... 37414 436...... 38790 30...... 33539 202...... 38806 433...... 37286 1253...... 33015 70...... 33539 438...... 37286 Proposed Rules: Proposed Rules: 38 CFR 447...... 37286 317...... 34548 9...... 38345 9...... 35562 456...... 37286

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43 CFR 46 CFR 48 CFR 49 CFR Proposed Rules: 530...... 38086 201...... 34527 29...... 33494 5000...... 34689 206...... 34528 350...... 37785 5400...... 34689 208...... 34530 355...... 37785 47 CFR 5410...... 34689 210...... 34530 385...... 33396 5420...... 34689 0...... 34525 212...... 34530 388...... 37785 5430...... 34689 1 ...... 33578, 36758, 37364, 215...... 34530, 34532 395...... 33396 5440...... 34689 38332, 38630, 38793 218...... 34527 1503...... 36469 5450...... 34689 2...... 33578, 38630 219...... 34528 Proposed Rules: 5460...... 34689 11...... 35567 225...... 34533 191...... 35240 5470...... 34689 15...... 38630 234...... 34530 192...... 35240 5500...... 34689 18...... 38630 249...... 34535 572...... 33617 27...... 38089, 38630 252...... 34535, 34536 504...... 38336 44 CFR 43...... 38793 50 CFR 51...... 35208 522...... 38336 552...... 38336 17...... 35574, 37576 64...... 36507, 37019 52...... 38334 67...... 34648 570...... 38336 216...... 35379 54 ...... 33578, 34525, 36758, 804...... 36348 300 ...... 35379, 37023, 37376 37022, 38334 805...... 36348 622 ...... 36164, 36165, 36166 45 CFR 73...... 35567, 36786 849...... 36348 635...... 37390, 38091 86...... 37160 74...... 35567 852...... 36348 648 ...... 33027, 33579, 35209, 76...... 36798 92...... 37160 Proposed Rules: 36802, 38794 147...... 37160 90...... 38090 2...... 34561 660 ...... 35210, 35594, 36803, 155...... 37160 95...... 38630 9...... 34561 37027 156...... 37160 Proposed Rules: 15...... 34561 679 ...... 35381, 36509, 38093, 302...... 35201 1 ...... 35405, 36522, 38836 19...... 34155, 34561 38100 303...... 35201 2...... 35405, 38836 42...... 34155 Proposed Rules: 305...... 35201 18...... 35405 52...... 34155, 34561 17...... 33060, 35510 307...... 35201 25...... 38836 204...... 34569 21...... 34578 309...... 35201 27...... 38836 212...... 34569 36...... 35628 1168...... 35566 54...... 35627, 36522 239...... 34576 218...... 33914 Proposed Rules: 64...... 35406 252...... 34569, 34576 622...... 38350 153...... 33595, 38107 101...... 38836 825...... 35238 665...... 38837

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